ESEA Flexibility

Request

U.S. Department of Education

Washington, DC 20202

OMB Number: 1810-0581

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burden estimate or any other aspect of this collection of information, including suggestions for reducing this 

burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email 

ICDocketMgr@ed.gov and reference the OMB Control Number 1810-0581. Note: Please do not return the 

completed ESEA Flexibilities Request to this address.
TABLE OF CONTENTS: ESEA FLEXIBILITY REQUEST

Introduction iii 

General Instructions iv

Table of Contents 1

Cover Sheet for ESEA Flexibility Request 3

Waivers 4

Assurances 7

Consultation 9

Evaluation

Overview of SEA’s ESEA Flexibility Request

9

9

Principle 1: College- and Career-Ready Expectations for All Students 10

Principle 2: State-Developed Differentiated Recognition, Accountability, and Support 12

Principle 3: Supporting Effective Instruction and Leadership 18

Sample Plan Template

 

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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

INTRODUCTION

The U.S. Department of Education (Department) is offering each State educational agency (SEA)

the opportunity to request flexibility on behalf of itself, its local educational agencies (LEAs), and its 

schools, in order to better focus on improving student learning and increasing the quality of 

instruction. This voluntary opportunity will provide educators and State and local leaders with 

flexibility regarding specific requirements of the No Child Left Behind Act of 2001 (NCLB) in 

exchange for rigorous and comprehensive State-developed plans designed to improve educational 

outcomes for all students, close achievement gaps, increase equity, and improve the quality of 

instruction. This flexibility is intended to build on and support the significant State and local reform 

efforts already underway in critical areas such as transitioning to college- and career-ready standards 

and assessments; developing systems of differentiated recognition, accountability, and support; and 

evaluating and supporting teacher and principal effectiveness. 

The Department invites interested SEAs to request this flexibility pursuant to the authority in 

section 9401 of the Elementary and Secondary Education Act of 1965 (ESEA), which allows the 

Secretary to waive, with certain exceptions, any statutory or regulatory requirement of the ESEA for 

an SEA that receives funds under a program authorized by the ESEA and requests a waiver. Under 

this flexibility, the Department would grant waivers through the 20132014 school year, after which 

time an SEA may request an extension of this flexibility. 

REVIEW AND EVALUATION OF REQUESTS

The Department will use a review process that will include both external peer reviewers and staff 

reviewers to evaluate SEA requests for this flexibility. This review process will help ensure that each 

request for this flexibility approved by the Department is consistent with the principles described in 

the document titled ESEA Flexibility, which are designed to support State efforts to improve student 

academic achievement and increase the quality of instruction, and is both educationally and 

technically sound. Reviewers will evaluate whether and how each request for this flexibility will 

support a comprehensive and coherent set of improvements in the areas of standards and 

assessments, accountability, and teacher and principal effectiveness that will lead to improved 

student outcomes. Each SEA will have an opportunity, if necessary, to clarify its plans for peer and 

staff reviewers and to answer any questions reviewers may have. The peer reviewers will then 

provide comments to the Department. Taking those comments into consideration, the Secretary 

will make a decision regarding each SEA’s request for this flexibility. If an SEA’s request for this

flexibility is not granted, reviewers and the Department will provide feedback to the SEA about the 

components of the SEA’s request that need additional development in order for the request to be 

approved. 
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

GENERAL INSTRUCTIONS

An SEA seeking approval to implement this flexibility must submit a high-quality request that 

addresses all aspects of the principles and waivers and, in each place where a plan is required, 

includes a high-quality plan. Consistent with ESEA section 9401(d)(1), the Secretary intends to 

grant waivers that are included in this flexibility through the end of the 2013–2014 school year. An 

SEA will be permitted to request an extension of the initial period of this flexibility prior to the start 

of the 2014–2015 school year unless this flexibility is superseded by reauthorization of the ESEA. 

The Department is asking SEAs to submit requests that include plans through the 2014–2015 school 

year in order to provide a complete picture of the SEA’s reform efforts. The Department will not 

accept a request that meets only some of the principles of this flexibility. 

This version of the ESEA Flexibility Request replaces the document originally issued on September 

23, 2011 and revised on September 28, 2011. Through this revised version, the following section

has been removed: 3.A, Option B (Option C has been renamed Option B). Additions have also 

been made to the following sections: Waivers and Assurances. Finally, this revised guidance 

modifies the following sections: Waivers; Assurances; 2.A.ii; 2.C.i; 2.D.i; 2.E.i; Table 2; 2.G; and 3.A, 

Options A and B.

High-Quality Request: A high-quality request for this flexibility is one that is comprehensive and 

coherent in its approach, and that clearly indicates how this flexibility will help an SEA and its LEAs 

improve student achievement and the quality of instruction for students.

A high-quality request will (1) if an SEA has already met a principle, provide a description of how it 

has done so, including evidence as required; and (2) if an SEA has not yet met a principle, describe 

how it will meet the principle on the required timelines, including any progress to date. For 

example, an SEA that has not adopted minimum guidelines for local teacher and principal evaluation

and support systems consistent with Principle 3 by the time it submits its request for the flexibility 

will need to provide a plan demonstrating that it will do so by the end of the 2011–2012 school year.

In each such case, an SEA’s plan must include, at a minimum, the following elements for each 

principle that the SEA has not yet met: 

1. Key milestones and activities: Significant milestones to be achieved in order to meet a given 

principle, and essential activities to be accomplished in order to reach the key milestones. The 

SEA should also include any essential activities that have already been completed or key 

milestones that have already been reached so that reviewers can understand the context for and

fully evaluate the SEA’s plan to meet a given principle.

2. Detailed timeline: A specific schedule setting forth the dates on which key activities will begin 

and be completed and milestones will be achieved so that the SEA can meet the principle by the 

required date. 

3. Party or parties responsible: Identification of the SEA staff (e.g., position, title, or office) and, as 

appropriate, others who will be responsible for ensuring that each key activity is accomplished.
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

4. Evidence: Where required, documentation to support the plan and demonstrate the SEA’s 

progress in implementing the plan. This ESEA Flexibility Request indicates the specific evidence 

that the SEA must either include in its request or provide at a future reporting date. 

5. Resources: Resources necessary to complete the key activities, including staff time and 

additional funding.

6. Significant obstacles: Any major obstacles that may hinder completion of key milestones and 

activities (e.g., State laws that need to be changed) and a plan to overcome them.

Included on page 19 of this document is an example of a format for a table that an SEA may use to 

submit a plan that is required for any principle of this flexibility that the SEA has not already met. 

An SEA that elects to use this format may also supplement the table with text that provides an 

overview of the plan.

An SEA should keep in mind the required timelines for meeting each principle and develop credible 

plans that allow for completion of the activities necessary to meet each principle. Although the plan 

for each principle will reflect that particular principle, as discussed above, an SEA should look across 

all plans to make sure that it puts forward a comprehensive and coherent request for this flexibility. 

Preparing the Request: To prepare a high-quality request, it is extremely important that an SEA 

refer to all of the provided resources, including the document titled ESEA Flexibility, which includes 

the principles, definitions, and timelines; the document titled ESEA Flexibility Review Guidance, which 

includes the criteria that will be used by the peer reviewers to determine if the request meets the 

principles of this flexibility; and the document titled ESEA Flexibility Frequently Asked Questions, 

which provides additional guidance for SEAs in preparing their requests. 

As used in this request form, the following terms have the definitions set forth in the document 

titled ESEA Flexibility: (1) college- and career-ready standards, (2) focus school, (3) high-quality 

assessment, (4) priority school, (5) reward school, (6) standards that are common to a significant 

number of States, (7) State network of institutions of higher education, (8) student growth, and (9) 

turnaround principles. 

Each request must include:

 A table of contents and a list of attachments, using the forms on pages 1 and 2.

 The cover sheet (p. 3), waivers requested (p. 4-6), and assurances (p. 7-8). 

 A description of how the SEA has met the consultation requirements (p. 9).

 Evidence and plans to meet the principles (p. 10-18). An SEA will enter narrative text in 

the text boxes provided, complete the required tables, and provide other required 

evidence. An SEA may supplement the narrative text in a text box with attachments, 

which will be included in an appendix. Any supplemental attachments that are included 

in an appendix must be referenced in the related narrative text.

Requests should not include personally identifiable information.
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

Process for Submitting the Request: An SEA must submit a request to the Department to receive 

the flexibility. This request form and other pertinent documents are available on the Department’s 

Web site at: http://www.ed.gov/esea/flexibility. 

Electronic Submission: The Department strongly prefers to receive an SEA’s request for the 

flexibility electronically. The SEA should submit it to the following address: 

ESEAflexibility@ed.gov.

Paper Submission: In the alternative, an SEA may submit the original and two copies of its 

request for the flexibility to the following address:

Patricia McKee, Acting Director

Student Achievement and School Accountability Programs

U.S. Department of Education

400 Maryland Avenue, SW, Room 3W320

Washington, DC 20202-6132 

Due to potential delays in processing mail sent through the U.S. Postal Service, SEAs are 

encouraged to use alternate carriers for paper submissions. 

REQUEST SUBMISSION DEADLINE 

SEAs have multiple opportunities to submit requests for the flexibility. The submission dates are 

November 14, 201X, February 28, 201X, and an additional opportunity following the conclusion of 

the 201X–201X school year.

TECHNICAL ASSISTANCE MEETING FOR SEAS

The Department has conducted a number of webinars to assist SEAs in preparing their requests and 

to respond to questions. Please visit the Department’s Web site at: 

http://www.ed.gov/esea/flexibility for copies of previously conducted webinars and information on 

upcoming webinars.

FOR FURTHER INFORMATION

If you have any questions, please contact the Department by e-mail at ESEAflexibility@ed.gov.
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

TABLE OF CONTENTS

Insert page numbers prior to submitting the request, and place the table of contents in front of the 

SEA’s flexibility request.

CONTENTS PAGE 

Cover Sheet for ESEA Flexibility Request

Waivers

Assurances

Consultation

Evaluation

Overview of SEA’s Request for the ESEA Flexibility

Principle 1: College- and Career-Ready Expectations for All Students 

1.A Adopt college-and career-ready standards

1.B Transition to college- and career-ready standards

1.C Develop and administer annual, statewide, aligned, high-quality assessments that 

measure student growth

Principle 2: State-Developed Differentiated Recognition, Accountability, and 

Support

2.A Develop and implement a State-based system of differentiated recognition, 

accountability, and support

2.B Set ambitious but achievable annual measurable objectives

2.C Reward schools

2.D Priority schools

2.E Focus schools

2.F Provide incentives and supports for other Title I schools

2.G Build SEA, LEA, and school capacity to improve student learning

Principle 3: Supporting Effective Instruction and Leadership

3.A Develop and adopt guidelines for local teacher and principal evaluation and support 

systems

3.B Ensure LEAs implement teacher and principal evaluation and support systems 
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

TABLE OF CONTENTS, CONTINUED

For each attachment included in the ESEA Flexibility Request, label the attachment with the 

corresponding number from the list of attachments below and indicate the page number where the 

attachment is located. If an attachment is not applicable to the SEA’s request, indicate “N/A” 

instead of a page number. Reference relevant attachments in the narrative portions of the request.

LABEL LIST OF ATTACHMENTS PAGE

1 Notice to LEAs

2 Comments on request received from LEAs (if applicable)

3 Notice and information provided to the public regarding the request

4 Evidence that the State has formally adopted college- and career-ready 

content standards consistent with the State’s standards adoption process

5 Memorandum of understanding or letter from a State network of institutions 

of higher education (IHEs) certifying that meeting the State’s standards 

corresponds to being college- and career-ready without the need for remedial 

coursework at the postsecondary level (if applicable)

6 State’s Race to the Top Assessment Memorandum of Understanding (MOU)

(if applicable)

7 Evidence that the SEA has submitted high-quality assessments and academic 

achievement standards to the Department for peer review, or a timeline of 

when the SEA will submit the assessments and academic achievement 

standards to the Department for peer review (if applicable)

8 A copy of the average statewide proficiency based on assessments 

administered in the 20102011 school year in reading/language arts and 

mathematics for the “all students” group and all subgroups (if applicable)

9 Table 2: Reward, Priority, and Focus Schools

10 A copy of the guidelines that the SEA has developed and adopted for local 

teacher and principal evaluation and support systems (if applicable)

11 Evidence that the SEA has adopted all of the guidelines for local teacher and

principal evaluation and support systems
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

COVER SHEET FOR ESEA FLEXIBILITY REQUEST

Legal Name of Requester: 

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Requester’s Mailing Address: 

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State Contact for the ESEA Flexibility Request 

Name: Click here to enter text.

Position and Office: Click here to enter text.

Contact’s Mailing Address: 

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Telephone: Click here to enter text.

Fax: Click here to enter text.

Email address: Click here to enter text.

Chief State School Officer (Printed Name): 

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Telephone: 

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Signature of the Chief State School Officer: 

X_______________________________ 

Date: 

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The State, through its authorized representative, agrees to meet all principles of the ESEA 

Flexibility.
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

WAIVERS 

By submitting this flexibility request, the SEA requests flexibility through waivers of the ten ESEA 

requirements listed below and their associated regulatory, administrative, and reporting requirements 

by checking each of the boxes below. The provisions below represent the general areas of flexibility 

requested; a chart appended to the document titled ESEA Flexibility Frequently Asked Questions

enumerates each specific provision of which the SEA requests a waiver, which the SEA incorporates 

into its request by reference. 

 1. The requirements in ESEA section 1111(b)(2)(E)-(H) that prescribe how an SEA must

establish annual measurable objectives (AMOs) for determining adequate yearly progress (AYP) 

to ensure that all students meet or exceed the State’s proficient level of academic achievement 

on the State’s assessments in reading/language arts and mathematics no later than the end of the 

2013–2014 school year. The SEA requests this waiver to develop new ambitious but achievable

AMOs in reading/language arts and mathematics in order to provide meaningful goals that are 

used to guide support and improvement efforts for the State, LEAs, schools, and student 

subgroups.

 2. The requirements in ESEA section 1116(b) for an LEA to identify for improvement, 

corrective action, or restructuring, as appropriate, a Title I school that fails, for two consecutive 

years or more, to make AYP, and for a school so identified and its LEA to take certain

improvement actions. The SEA requests this waiver so that an LEA and its Title I schools need 

not comply with these requirements.

 3. The requirements in ESEA section 1116(c) for an SEA to identify for improvement or 

corrective action, as appropriate, an LEA that, for two consecutive years or more, fails to make 

AYP, and for an LEA so identified and its SEA to take certain improvement actions. The SEA 

requests this waiver so that it need not comply with these requirements with respect to its LEAs.

 4. The requirements in ESEA sections 6213(b) and 6224(e) that limit participation in, and use of 

funds under the Small, Rural School Achievement (SRSA) and Rural and Low-Income School 

(RLIS) programs based on whether an LEA has made AYP and is complying with the 

requirements in ESEA section 1116. The SEA requests this waiver so that an LEA that receives

SRSA or RLIS funds may use those funds for any authorized purpose regardless of whether the 

LEA makes AYP.

 5. The requirement in ESEA section 1114(a)(1) that a school have a poverty percentage of 40 

percent or more in order to operate a schoolwide program. The SEA requests this waiver so 

that an LEA may implement interventions consistent with the turnaround principles or 

interventions that are based on the needs of the students in the school and designed to enhance 

the entire educational program in a school in any of its priority and focus schools that meet the 

definitions of “priority schools” and “focus schools,” respectively, set forth in the document 

titled ESEA Flexibility, as appropriate, even if those schools do not have a poverty percentage of 

40 percent or more.

 6. The requirement in ESEA section 1003(a) for an SEA to distribute funds reserved under that 
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

section only to LEAs with schools identified for improvement, corrective action, or 

restructuring. The SEA requests this waiver so that it may allocate section 1003(a) funds to its 

LEAs in order to serve any of the State’s priority and focus schools that meet the definitions of 

“priority schools” and “focus schools,” respectively, set forth in the document titled ESEA 

Flexibility.

 7. The provision in ESEA section 1117(c)(2)(A) that authorizes an SEA to reserve Title I, Part 

A funds to reward a Title I school that (1) significantly closed the achievement gap between 

subgroups in the school; or (2) has exceeded AYP for two or more consecutive years. The SEA 

requests this waiver so that it may use funds reserved under ESEA section 1117(c)(2)(A) for any 

of the State’s reward schools that meet the definition of “reward schools” set forth in the 

document titled ESEA Flexibility.

 8. The requirements in ESEA section 2141(a), (b), and (c) for an LEA and SEA to comply with 

certain requirements for improvement plans regarding highly qualified teachers. The SEA 

requests this waiver to allow the SEA and its LEAs to focus on developing and implementing 

more meaningful evaluation and support systems.

 9. The limitations in ESEA section 6123 that limit the amount of funds an SEA or LEA may 

transfer from certain ESEA programs to other ESEA programs. The SEA requests this waiver 

so that it and its LEAs may transfer up to 100 percent of the funds it receives under the 

authorized programs among those programs and into Title I, Part A.

 10. The requirements in ESEA section 1003(g)(4) and the definition of a Tier I school in Section 

I.A.3 of the School Improvement Grants (SIG) final requirements. The SEA requests this 

waiver so that it may award SIG funds to an LEA to implement one of the four SIG models in 

any of the State’s priority schools that meet the definition of “priority schools” set forth in the 

document titled ESEA Flexibility.

Optional Flexibilities:

If an SEA chooses to request waivers of any of the following requirements, it should check the 

corresponding box(es) below: 

11. The requirements in ESEA sections 4201(b)(1)(A) and 4204(b)(2)(A) that restrict the 

activities provided by a community learning center under the Twenty-First Century Community 

Learning Centers (21st CCLC) program to activities provided only during non-school hours or 

periods when school is not in session (i.e., before and after school or during summer recess). 

The SEA requests this waiver so that 21st CCLC funds may be used to support expanded 

learning time during the school day in addition to activities during non-school hours or periods 

when school is not in session.

12. The requirements in ESEA sections 1116(a)(1)(A)-(B) and 1116(c)(1)(A) that require LEAs 

and SEAs to make determinations of adequate yearly progress (AYP) for schools and LEAs, 

respectively. The SEA requests this waiver because continuing to determine whether an LEA 

and its schools make AYP is inconsistent with the SEA’s State-developed differentiated 

recognition, accountability, and support system included in its ESEA flexibility request. The 
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

SEA and its LEAs must report on their report cards performance against the AMOs for all 

subgroups identified in ESEA section 1111(b)(2)(C)(v), and use performance against the AMOs 

to support continuous improvement in Title I schools that are not reward schools, priority 

schools, or focus schools.

13. The requirements in ESEA section 1113(a)(3)-(4) and (c)(1) that require an LEA to serve 

eligible schools under Title I in rank order of poverty and to allocate Title I, Part A funds based 

on that rank ordering. The SEA requests this waiver in order to permit its LEAs to serve a Title 

I-eligible high school with a graduation rate below 60 percent that the SEA has identified as a 

priority school even if that school does not rank sufficiently high to be served.
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

ASSURANCES

By submitting this application, the SEA assures that:

1. It requests waivers of the above-referenced requirements based on its agreement to meet 

Principles 1 through 4 of the flexibility, as described throughout the remainder of this request.

 2. It will adopt English language proficiency (ELP) standards that correspond to the State’s 

college- and career-ready standards, consistent with the requirement in ESEA section 3113(b)(2), 

and that reflect the academic language skills necessary to access and meet the new college- and 

career-ready standards, no later than the 2013–2014 school year. (Principle 1)

 3. It will develop and administer no later than the 2014–2015 school year alternate assessments 

based on grade-level academic achievement standards or alternate assessments based on 

alternate academic achievement standards for students with the most significant cognitive 

disabilities that are consistent with 34 C.F.R. § 200.6(a)(2) and are aligned with the State’s 

college- and career-ready standards. (Principle 1)

 4. It will develop and administer ELP assessments aligned with the State’s ELP standards, 

consistent with the requirements in ESEA sections 1111(b)(7), 3113(b)(2), and 3122(a)(3)(A)(ii). 

(Principle 1)

5. It will report annually to the public on college-going and college credit-accumulation rates for 

all students and subgroups of students in each LEA and each public high school in the State.

(Principle 1)

 6. If the SEA includes student achievement on assessments in addition to reading/language arts 

and mathematics in its differentiated recognition, accountability, and support system and uses 

achievement on those assessments to identify priority and focus schools, it has technical 

documentation, which can be made available to the Department upon request, demonstrating 

that the assessments are administered statewide; include all students, including by providing 

appropriate accommodations for English Learners and students with disabilities, as well as 

alternate assessments based on grade-level academic achievement standards or alternate 

assessments based on alternate academic achievement standards for students with the most 

significant cognitive disabilities, consistent with 34 C.F.R. § 200.6(a)(2); and are valid and reliable 

for use in the SEA’s differentiated recognition, accountability, and support system. (Principle 2)

 7. It will report to the public its lists of reward schools, priority schools, and focus schools at the 

time the SEA is approved to implement the flexibility, and annually thereafter, it will publicly 

recognize its reward schools as well as make public its lists of priority and focus schools if it 

chooses to update those lists. (Principle 2)

 8. Prior to submitting this request, it provided student growth data on their current students and 

the students they taught in the previous year to, at a minimum, all teachers of reading/language 

arts and mathematics in grades in which the State administers assessments in those subjects in a 

manner that is timely and informs instructional programs, or it will do so no later than the 

deadline required under the State Fiscal Stabilization Fund. (Principle 3)
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

 9. It will evaluate and, based on that evaluation, revise its own administrative requirements to 

reduce duplication and unnecessary burden on LEAs and schools. (Principle 4)

 10. It has consulted with its Committee of Practitioners regarding the information set forth in its 

request.

 11. Prior to submitting this request, it provided all LEAs with notice and a reasonable 

opportunity to comment on the request and has attached a copy of that notice (Attachment 1) as 

well as copies of any comments it received from LEAs (Attachment 2).

 

 12. Prior to submitting this request, it provided notice and information regarding the request to 

the public in the manner in which the State customarily provides such notice and information to 

the public (e.g., by publishing a notice in the newspaper; by posting information on its website) 

and has attached a copy of, or link to, that notice (Attachment 3).

 13. It will provide to the Department, in a timely manner, all required reports, data, and 

evidence regarding its progress in implementing the plans contained throughout this request. 

 14. It will report annually on its State report card, and will ensure that its LEAs annually report 

on their local report cards, for the “all students” group and for each subgroup described in 

ESEA section 1111(b)(2)(C)(v)(II): information on student achievement at each proficiency 

level; data comparing actual achievement levels to the State’s annual measurable objectives; the 

percentage of students not tested; performance on the other academic indicator for elementary 

and middle schools; and graduation rates for high schools. It will also annually report, and will 

ensure that its LEAs annually report, all other information and data required by ESEA section 

1111(h)(1)(C) and 1111(h)(2)(B), respectively. 

If the SEA selects Option A in section 3.A of its request, indicating that it has not yet 

developed and adopted all the guidelines for teacher and principal evaluation and support 

systems, it must also assure that:

 15. It will submit to the Department for peer review and approval a copy of the guidelines that 

it will adopt by the end of the 2011–2012 school year. (Principle 3)
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

CONSULTATION

An SEA must meaningfully engage and solicit input from diverse stakeholders and communities in 

the development of its request. To demonstrate that an SEA has done so, the SEA must provide an 

assurance that it has consulted with the State’s Committee of Practitioners regarding the information 

set forth in the request and provide the following:

1. A description of how the SEA meaningfully engaged and solicited input on its request from 

teachers and their representatives.

Click here to enter text.

2. A description of how the SEA meaningfully engaged and solicited input on its request from 

other diverse communities, such as students, parents, community-based organizations, civil 

rights organizations, organizations representing students with disabilities and English 

Learners, business organizations, and Indian tribes. 

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EVALUATION

The Department encourages an SEA that receives approval to implement the flexibility to 

collaborate with the Department to evaluate at least one program, practice, or strategy the SEA or 

its LEAs implement under principle 1, 2, or 3. Upon receipt of approval of the flexibility, an 

interested SEA will need to nominate for evaluation a program, practice, or strategy the SEA or its 

LEAs will implement under principles 1, 2, or 3. The Department will work with the SEA to 

determine the feasibility and design of the evaluation and, if it is determined to be feasible and 

appropriate, will fund and conduct the evaluation in partnership with the SEA, ensuring that the 

implementation of the chosen program, practice, or strategy is consistent with the evaluation design. 

 Check here if you are interested in collaborating with the Department in this evaluation, if your 

request for the flexibility is approved. 

OVERVIEW OF SEA’S REQUEST FOR THE ESEA FLEXIBILITY 

Provide an overview (about 500 words) of the SEA’s request for the flexibility that: 

1. explains the SEA’s comprehensive approach to implement the waivers and principles and 

describes the SEA’s strategy to ensure this approach is coherent within and across the 

principles; and

2. describes how the implementation of the waivers and principles will enhance the SEA’s and 

its LEAs’ ability to increase the quality of instruction for students and improve student 

achievement.
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ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

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PRINCIPLE 1: COLLEGE- AND CAREER-READY EXPECTATIONS

FOR ALL STUDENTS 

1.A ADOPT COLLEGE- AND CAREER-READY STANDARDS

Select the option that pertains to the SEA and provide evidence corresponding to the option 

selected.

Option A

The State has adopted college- and careerready standards in at least reading/language 

arts and mathematics that are common to a

significant number of States, consistent with 

part (1) of the definition of college- and 

career-ready standards.

i. Attach evidence that the State has 

adopted the standards, consistent with the 

State’s standards adoption process. 

(Attachment 4)

Option B 

 The State has adopted college- and careerready standards in at least reading/language 

arts and mathematics that have been 

approved and certified by a State network of 

institutions of higher education (IHEs), 

consistent with part (2) of the definition of 

college- and career-ready standards.

i. Attach evidence that the State has 

adopted the standards, consistent with 

the State’s standards adoption process. 

(Attachment 4)

ii. Attach a copy of the memorandum of 

understanding or letter from a State 

network of IHEs certifying that students 

who meet these standards will not need 

remedial coursework at the 

postsecondary level. (Attachment 5)

1.B TRANSITION TO COLLEGE- AND CAREER-READY STANDARDS 

Provide the SEA’s plan to transition to and implement no later than the 2013–2014 school year 

college- and career-ready standards statewide in at least reading/language arts and mathematics for 

all students and schools and include an explanation of how this transition plan is likely to lead to all 

students, including English Learners, students with disabilities, and low-achieving students, gaining 

access to and learning content aligned with such standards. The Department encourages an SEA to 

include in its plan activities related to each of the italicized questions in the corresponding section of 

the document titled ESEA Flexibility Review Guidance, or to explain why one or more of those 

activities is not necessary to its plan.

Insert plan and explanation here.
11

ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

1.C DEVELOP AND ADMINISTER ANNUAL, STATEWIDE, ALIGNED, HIGHQUALITY ASSESSMENTS THAT MEASURE STUDENT GROWTH 

Select the option that pertains to the SEA and provide evidence corresponding to the option 

selected.

Option A

 The SEA is participating in

one of the two State 

consortia that received a 

grant under the Race to the 

Top Assessment 

competition.

i. Attach the State’s 

Memorandum of 

Understanding (MOU)

under that competition. 

(Attachment 6)

Option B

 The SEA is not 

participating in either one 

of the two State consortia 

that received a grant under 

the Race to the Top 

Assessment competition, 

and has not yet developed 

or administered statewide 

aligned, high-quality 

assessments that measure 

student growth in 

reading/language arts and 

in mathematics in at least

grades 3-8 and at least once 

in high school in all LEAs.

i. Provide the SEA’s plan 

to develop and 

administer annually, 

beginning no later than 

the 20142015 school 

year, statewide aligned, 

high-quality assessments 

that measure student 

growth in 

reading/language arts 

and in mathematics in at 

least grades 3-8 and at 

least once in high school 

in all LEAs, as well as 

set academic

achievement standards

for those assessments.

Option C 

 The SEA has developed 

and begun annually 

administering statewide 

aligned, high-quality 

assessments that measure 

student growth in 

reading/language arts and 

in mathematics in at least

grades 3-8 and at least once 

in high school in all LEAs.

i. Attach evidence that the 

SEA has submitted these 

assessments and 

academic achievement 

standards to the 

Department for peer 

review or attach a 

timeline of when the 

SEA will submit the 

assessments and 

academic achievement 

standards to the 

Department for peer 

review. (Attachment 7)

For Option B, insert plan here
12

ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

PRINCIPLE 2: STATE-DEVELOPED DIFFERENTIATED RECOGNITION,

ACCOUNTABILITY, AND SUPPORT

2.A DEVELOP AND IMPLEMENT A STATE-BASED SYSTEM OF DIFFERENTIATED 

RECOGNITION, ACCOUNTABILITY, AND SUPPORT

2.A.i Provide a description of the SEA’s differentiated recognition, accountability, and support 

system that includes all the components listed in Principle 2, the SEA’s plan for 

implementation of the differentiated recognition, accountability, and support system no later 

than the 2012–2013 school year, and an explanation of how the SEA’s differentiated 

recognition, accountability, and support system is designed to improve student achievement

and school performance, close achievement gaps, and increase the quality of instruction for 

students.

Insert description, plan, and explanation here.

2.A.ii Select the option that pertains to the SEA and provide the corresponding information, if 

any.

Option A

 The SEA includes student achievement only 

on reading/language arts and mathematics 

assessments in its differentiated recognition, 

accountability, and support system and to 

identify reward, priority, and focus schools.

Option B 

If the SEA includes student achievement on 

assessments in addition to reading/language 

arts and mathematics in its differentiated 

recognition, accountability, and support 

system or to identify reward, priority, and 

focus schools, it must:

a. provide the percentage of students in the 

“all students” group that performed at the 

proficient level on the State’s most recent 

administration of each assessment for all 

grades assessed; and

b. include an explanation of how the 

included assessments will be weighted in a 

manner that will result in holding schools 

accountable for ensuring all students 

achieve college- and career-ready 

standards.

Insert text for Option B here.
13

ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

2.B SET AMBITIOUS BUT ACHIEVABLE ANNUAL MEASURABLE OBJECTIVES

Select the method the SEA will use to set new ambitious but achievable annual measurable 

objectives (AMOs) in at least reading/language arts and mathematics for the State and all LEAs, 

schools, and subgroups that provide meaningful goals and are used to guide support and 

improvement efforts. If the SEA sets AMOs that differ by LEA, school, or subgroup, the AMOs

for LEAs, schools, or subgroups that are further behind must require greater rates of annual 

progress. 

Option A

 Set AMOs in annual equal 

increments toward a goal of 

reducing by half the 

percentage of students in 

the “all students” group 

and in each subgroup who 

are not proficient within six 

years. The SEA must use 

current proficiency rates 

based on assessments 

administered in the 2010–

2011 school year as the 

starting point for setting its 

AMOs. 

i. Provide the new AMOs 

and an explanation of 

the method used to set 

these AMOs.

Option B

 Set AMOs that increase in 

annual equal increments and 

result in 100 percent of 

students achieving 

proficiency no later than the 

end of the 2019–2020 

school year. The SEA must 

use the average statewide 

proficiency based on 

assessments administered in 

the 2010–2011 school year 

as the starting point for 

setting its AMOs.

i. Provide the new AMOs 

and an explanation of the 

method used to set these 

AMOs.

Option C

 Use another method that is 

educationally sound and 

results in ambitious but 

achievable AMOs for all 

LEAs, schools, and 

subgroups.

i. Provide the new AMOs 

and an explanation of 

the method used to set 

these AMOs.

ii. Provide an educationally 

sound rationale for the 

pattern of academic 

progress reflected in the 

new AMOs in the text 

box below.

iii. Provide a link to the 

State’s report card or 

attach a copy of the 

average statewide 

proficiency based on 

assessments 

administered in the 

20102011 school year

in reading/language arts 

and mathematics for the 

“all students” group and 

all subgroups. 

(Attachment 8)

Insert text for Option C here.
14

ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

2.C REWARD SCHOOLS

2.C.i Describe the SEA’s methodology for identifying highest-performing and high-progress 

schools as reward schools . If the SEA’s methodology is not based on the definition of reward 

schools in ESEA Flexibility (but instead, e.g. based on school grades or ratings that take into account 

a number of factors), the SEA should also demonstrate that the list provided in Table 2 is consistent 

with the definition, per the Department’s “Demonstrating that an SEA’s Lists of Schools meet 

ESEA Flexibility Definitions” guidance.

Insert methodology here.

2.C.ii Provide the SEA’s list of reward schools in Table 2.

2.C.iii Describe how the SEA will publicly recognize and, if possible, reward highest-performing 

and high-progress schools. 

Insert description here.

2.D PRIORITY SCHOOLS

2.D.i Describe the SEA’s methodology for identifying a number of lowest-performing schools 

equal to at least five percent of the State’s Title I schools as priority schools. If the SEA’s 

methodology is not based on the definition of priority schools in ESEA Flexibility (but instead, e.g. 

based on school grades or ratings that take into account a number of factors), the SEA should also 

demonstrate that the list provided in Table 2 is consistent with the definition, per the Department’s 

“Demonstrating that an SEA’s Lists of Schools meet ESEA Flexibility Definitions” guidance.

Insert methodology here.

2.D.ii Provide the SEA’s list of priority schools in Table 2.

2.D.iii Describe the meaningful interventions aligned with the turnaround principles that an LEA 

with priority schools will implement. 

Insert description here.

2.D.iv Provide the timeline the SEA will use to ensure that its LEAs that have one or more priority 

schools implement meaningful interventions aligned with the turnaround principles in each

priority school no later than the 2014–2015 school year and provide a justification for the 

SEA’s choice of timeline.

Insert timeline and justification here.
15

ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

2.D.v Provide the criteria the SEA will use to determine when a school that is making significant 

progress in improving student achievement exits priority status and a justification for the 

criteria selected.

Insert criteria and justification here.

2.E FOCUS SCHOOLS

2.E.i Describe the SEA’s methodology for identifying a number of low-performing schools equal 

to at least 10 percent of the State’s Title I schools as “focus schools.” If the SEA’s methodology is 

not based on the definition of focus schools in ESEA Flexibility (but instead, e.g. based on school 

grades or ratings that take into account a number of factors), the SEA should also demonstrate that 

the list provided in Table 2 is consistent with the definition, per the Department’s “Demonstrating 

that an SEA’s Lists of Schools meet ESEA Flexibility Definitions” guidance. 

Insert methodology here.

2.E.ii Provide the SEA’s list of focus schools in Table 2.

2.E.iii Describe the process and timeline the SEA will use to ensure that its LEAs that have one or 

more focus schools will identify the specific needs of the SEA’s focus schools and their 

students and provide examples of and justifications for the interventions focus schools will 

be required to implement to improve the performance of students who are the furthest 

behind. 

Insert description here.

2.E.iv Provide the criteria the SEA will use to determine when a school that is making significant 

progress in improving student achievement and narrowing achievement gaps exits focus

status and a justification for the criteria selected.

Insert criteria and justification here.
16

ESEA FLEXIBILITY – REQUEST U.S. DEPARTMENT OF EDUCATION

TABLE 2: REWARD, PRIORITY, AND FOCUS SCHOOLS

Provide the SEA’s list of reward, priority, and focus schools using the Table 2 template. Use the key to indicate the criteria used to identify a school as a 

reward, priority, or focus school.

TABLE 2: REWARD, PRIORITY, AND FOCUS SCHOOLS

LEA Name School Name School NCES ID # REWARD SCHOOL PRIORITY SCHOOL FOCUS SCHOOL

Ex. Washington Oak HS 111111100001 C

Maple ES 111111100002 H

Adams Willow MS 222222200001 A

Cedar HS 222222200002 F

Elm HS 222222200003 G

TOTAL # of Schools:

Total # of Title I schools in the State: _________

Total # of Title I-participating high schools in the State with graduation rates less than 60%: ___________ 

Key

Reward School Criteria:

A. Highest-performing school

B. High-progress school

Priority School Criteria: 

C. Among the lowest five percent of Title I schools in the State based on 

the proficiency and lack of progress of the “all students” group 

D-1. Title I-participating high school with graduation rate less than 60% 

 over a number of years

D-2. Title I-eligible high school with graduation rate less than 60% over a 

 number of years

E. Tier I or Tier II SIG school implementing a school intervention model

Focus School Criteria:

F. Has the largest within-school gaps between the highest-achieving 

subgroup(s) and the lowest-achieving subgroup(s) or, at the high school 

level, has the largest within-school gaps in the graduation rate

G. Has a subgroup or subgroups with low achievement or, at the high 

school level, a low graduation rate

H. A Title I-participating high school with graduation rate less than 60% 

over a number of years that is not identified as a priority school
17

ESEA FLEXIBILITY – REQUEST U. S. DEPARTMENT OF EDUCATION

2.F PROVIDE INCENTIVES AND SUPPORTS FOR OTHER TITLE I SCHOOLS 

2.F Describe how the SEA’s differentiated recognition, accountability, and support system will 

provide incentives and supports to ensure continuous improvement in other Title I schools 

that, based on the SEA’s new AMOs and other measures, are not making progress in 

improving student achievement and narrowing achievement gaps, and an explanation of how 

these incentives and supports are likely to improve student achievement and school 

performance, close achievement gaps, and increase the quality of instruction for students.

Insert description and explanation here.

2.G BUILD SEA, LEA, AND SCHOOL CAPACITY TO IMPROVE STUDENT 

LEARNING

2.G Describe the SEA’s process for building SEA, LEA, and school capacity to improve student

learning in all schools and, in particular, in low-performing schools and schools with the 

largest achievement gaps, including through:

i. timely and comprehensive monitoring of, and technical assistance for, LEA 

implementation of interventions in priority and focus schools;

ii. ensuring sufficient support for implementation of interventions in priority schools, 

focus schools, and other Title I schools identified under the SEA’s differentiated 

recognition, accountability, and support system (including through leveraging funds 

the LEA was previously required to reserve under ESEA section 1116(b)(10), SIG 

funds, and other Federal funds, as permitted, along with State and local resources); 

and

iii. holding LEAs accountable for improving school and student performance, 

particularly for turning around their priority schools.

Explain how this process is likely to succeed in improving SEA, LEA, and school capacity.

Insert description and explanation here.
18

ESEA FLEXIBILITY – REQUEST U. S. DEPARTMENT OF EDUCATION

PRINCIPLE 3: SUPPORTING EFFECTIVE INSTRUCTION 

AND LEADERSHIP 

3.A DEVELOP AND ADOPT GUIDELINES FOR LOCAL TEACHER AND PRINCIPAL 

EVALUATION AND SUPPORT SYSTEMS 

Select the option that pertains to the SEA and provide the corresponding description and evidence, 

as appropriate, for the option selected.

Option A

 If the SEA has not already developed and 

adopted all of the guidelines consistent with 

Principle 3, provide:

i. the SEA’s plan to develop and adopt 

guidelines for local teacher and principal 

evaluation and support systems by the 

end of the 2011–2012 school year;

ii. a description of the process the SEA will 

use to involve teachers and principals in 

the development of these guidelines; and

iii. an assurance that the SEA will submit to 

the Department a copy of the guidelines 

that it will adopt by the end of the 2011–

2012 school year (see Assurance 14).

Option B

 If the SEA has developed and adopted all of 

the guidelines consistent with Principle 3, 

provide:

i. a copy of the guidelines the SEA has 

adopted (Attachment 10) and an 

explanation of how these guidelines are 

likely to lead to the development of 

evaluation and support systems that 

improve student achievement and the 

quality of instruction for students;

ii. evidence of the adoption of the guidelines 

(Attachment 11); and 

iii. a description of the process the SEA used 

to involve teachers and principals in the 

development of these guidelines. 

Insert text here.

3.B ENSURE LEAS IMPLEMENT TEACHER AND PRINCIPAL EVALUATION AND 

SUPPORT SYSTEMS

3.B Provide the SEA’s process for ensuring that each LEA develops, adopts, pilots, and 

implements, with the involvement of teachers and principals, including mechanisms to 

review, revise, and improve, high-quality teacher and principal evaluation and support 

systems consistent with the SEA’s adopted guidelines.

Insert process here.
19

ESEA FLEXIBILITY – REQUEST U. S. DEPARTMENT OF EDUCATION

SAMPLE FORMAT FOR PLAN

Below is one example of a format an SEA may use to provide a plan to meet a particular principle in 

the ESEA Flexibility.

Key 

Milestone or 

Activity

Detailed 

Timeline

Party or 

Parties 

Responsible

Evidence 

(Attachment)

Resources 

(e.g., staff 

time, 

additional 

funding)

Significant 

Obstacles