NCEE 2011-4019 U.S. DEPARTMENT OF EDUCATION

Baseline Analyses of 

SIG Applications and SIG-Eligible

and SIG-Awarded Schools
NCEE 2011-4019

U.S. DEPARTMENT OF EDUCATION

Baseline Analyses of 

SIG Applications and SIG-Eligible

and SIG-Awarded Schools

May 2011

Steven Hurlburt

Kerstin Carlson Le Floch

Susan Bowles Therriault

Susan Cole

American Institutes for Research

Thomas E. Wei

Project Officer

Institute of Education Sciences
U.S. Department of Education

Arne Duncan

Secretary

Institute of Education Sciences

John Q. Easton

Director

National Center for Education Evaluation and Regional Assistance

Rebecca Maynard

Commissioner

May 2011

The report was prepared for the Institute of Education Sciences under Contract No. ED-04-CO0025/0022. The project officer is Thomas E. Wei in the National Center for Education Evaluation and 

Regional Assistance.

IES evaluation reports present objective information on the conditions of implementation and impacts 

of the programs being evaluated. IES evaluation reports do not include conclusions or recommendations 

or views with regard to actions policymakers or practitioners should take in light of the findings in the 

reports.

This report is in the public domain. Authorization to reproduce it in whole or in part is granted. While 

permission to reprint this publication is not necessary, the citation should be: Hurlburt, S., Le Floch, K.C., 

Therriault, S.B., and Cole, S. (2011). Baseline Analyses of SIG Applications and SIG-Eligible and SIGAwarded Schools (NCEE 2011-4019). Washington, DC: National Center for Education Evaluation and 

Regional Assistance, Institute of Education Sciences, U.S. Department of Education.

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Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

Acknowledgments 

We wish to thank the many individuals who contributed to the completion of this report. Researchers 

who provided useful assistance for this report include Molly Abend, Rose Goff, Megan Lebow, 

Jack Rickard, and Diana Mercado-Garcia of AIR. The authors also appreciate the helpful feedback and 

guidance from the study’s principal investigators, Jennifer O’Day and Beatrice Birman, as well as 

thoughtful reviewer comments from Mike Garet, all of AIR. 

We are also grateful to staff at the Office of Elementary and Secondary Education at the U.S. Department 

of Education, who provided the initial data on schools eligible for School Improvement Grants (SIG). 

We also appreciate the efforts of state administrators with responsibility for SIG who provided data on 

SIG awards and reviewed our data files to ensure accuracy and completeness. 

While we appreciate the assistance and support of all of the above individuals, any errors in judgment or 

fact are, of course, the responsibility of the authors. 

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Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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Disclosure of Potential Conflicts of Interest

The research team for this study consists of a prime contractor, American Institutes for Research (AIR), 

and three subcontractors, Mathematica Policy Research, Inc., Decision Information Resources, Inc., and 

Education Northwest. None of these organizations or their key staff has financial interests that could be 

affected by findings from the Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded 

Schools, as part of the Study of School Turnaround.
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Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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Contents

1. Introduction........................................................................................................................................1

2. Policy Overview ..................................................................................................................................1

3. Analysis of State SIG Applications.......................................................................................................3

3.1. Methodology ................................................................................................................................4

3.1.1. Step 1: Data collection and capture ........................................................................................4

3.1.2. Step 2: Data coding and analysis.............................................................................................6

3.2. Identifying SIG Schools and Intervention Models...........................................................................6

3.2.1. Defining persistently lowest-achieving schools.......................................................................6

3.2.2. SIG-eligible schools by Tier .....................................................................................................9

3.2.3. Intervention models authorized by states............................................................................. 12

3.2.4. State priorities for awarding funds to Tier I, Tier II, and Tier III schools ................................. 13

3.3. Determining LEA Capacity ........................................................................................................... 13

3.4. Monitoring LEAs’ Progress .......................................................................................................... 14

3.4.1. Monitoring strategies........................................................................................................... 15

3.4.2. Monitoring measures........................................................................................................... 16

3.5. State Support for SIG Implementation......................................................................................... 17

4. Analyses of SIG-Eligible and SIG-Awarded Schools............................................................................21

4.1. Data Sources............................................................................................................................... 22

4.2. Overview of SIG-Eligible and SIG-Awarded Schools...................................................................... 22

4.3. Characteristics of SIG-Eligible and SIG-Awarded Schools.............................................................. 26

4.4. SIG Funding to States and Schools............................................................................................... 32

5. Summary...........................................................................................................................................41

Appendix A. ........................................................................................................................................ A–1

Appendix B. ........................................................................................................................................ B–1

Appendix C. ........................................................................................................................................ C–1
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List of Exhibits

Exhibit 1. Number of Years of Assessment Data States Used to Identify Persistently 

Lowest-Achieving Schools...................................................................................................................7

Exhibit 2. Number of Years of Assessment Data States Used to Determine “Lack of Progress” 

Among Persistently Lowest-Achieving Schools...................................................................................8

Exhibit 3. Number of Years of Graduation Rate Data States Used to Identify Persistently 

Lowest-Achieving Schools...................................................................................................................9

Exhibit 4. Number of States With Various Approaches for Prioritizing LEAs With Eligible Tier III 

Schools..............................................................................................................................................10

Exhibit 5. Definitions of Schools “Newly Eligible” for SIG Funding, by Tier...........................................11

Exhibit 6. Number of States Using Various Evidence of LEA Capacity ...................................................14

Exhibit 7. Frequency of State Monitoring of SIG-Awarded LEAs and Schools........................................15

Exhibit 8. SEA Strategies for Monitoring LEA Progress..........................................................................16

Exhibit 9. Achievement and Leading Indicators for Tier I and Tier II Schools ........................................17

Exhibit 10. SEA Strategies to Support SIG Implementation...................................................................18

Exhibit 11. Distribution of SIG-Eligible Schools in Tiers I, II, and III, by State.........................................23

Exhibit 12. Distribution of SIG-Awarded Schools in Tiers I, II, and III, by State......................................25

Exhibit 13. Characteristics of the Universe of Schools, SIG-Eligible Schools and SIG-Awarded 

Schools..............................................................................................................................................27

Exhibit 14. Percentage Distribution of SIG Schools by Poverty Level, for Tier I, II, and III SIG-Eligible 

and SIG-Awarded Schools.................................................................................................................28

Exhibit 15. Percentage Distribution of SIG Schools by Minority Level, for Tier I, II, and III 

SIG-Eligible and SIG-Awarded Schools...............................................................................................29

Exhibit 16. Number of SIG-Awarded Schools in Districts Receiving SIG Funds......................................30

Exhibit 17. Number of SIG-Awarded Schools in Districts With 5 or More SIG-Awarded Schools...........31

Exhibit 18. Percent and Number of SIG-Awarded Tier I and Tier II Schools Implementing 

Turnaround, Restart, School Closure, and Transformation Models ..................................................32

Exhibit 19. State School Improvement Grant 1003 (g) Program Allocations .........................................33

Exhibit 20. Average Total SIG Award and Annual Per-Pupil Award, by Tier, SIG Model, School Size, 

and School Level ...............................................................................................................................34

Exhibit 21. Average Total SIG Award and Annual Per-Pupil Award for SIG-Awarded Tier I and II 

Schools, Overall and by State............................................................................................................35

Exhibit 22. Average Total SIG Award and Annual Per-Pupil Award for SIG-Awarded Tier III Schools, 

Overall and by State..........................................................................................................................37
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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Exhibit 23. Percentage Increase in Annual Per-Pupil Funding from SIG Funding for SIG-Awarded 

Tier I and II Schools, by State ............................................................................................................38

Exhibit 24. Percentage Increase in Annual Per-Pupil Funding from SIG Funding for SIG-Awarded 

Tier III Schools, by State....................................................................................................................39

Exhibit A–1. Baseline Data Report—State School Improvement Grant (SIG) Data Capture Elements 

(from Data Capture Workbook) ...................................................................................................... A-1

Exhibit B–1. Characteristics of SIG-Eligible Schools, by State: Number of SIG-Eligible Schools 

Overall and by Poverty Level, Minority Level, and Urbanicity.......................................................... B-1

Exhibit B–2. Characteristics of SIG-Eligible Schools, by State: Number of SIG-Eligible Schools by 

School Level and School Size............................................................................................................ B-3

Exhibit B–3. Characteristics of SIG-Eligible Schools, by State: Number of SIG-Eligible Schools by 

School Type and Charter School....................................................................................................... B-5

Exhibit C–1. Characteristics of SIG-Awarded Schools, by State: Number of SIG-Awarded Schools 

Overall and by Tier, Poverty Level, and Minority Level.................................................................... C-1

Exhibit C–2. Characteristics of SIG-Awarded Schools, by State: Number of SIG-Awarded Schools by 

Urbanicity, School Level, and School Size......................................................................................... C-3

Exhibit C–3. Characteristics of SIG-Awarded Schools, by State: Number of SIG-Awarded Schools by 

School Type and Charter School....................................................................................................... C-5

Exhibit C–4. Characteristics of SIG-Awarded Schools, by State: Number of SIG-Awarded Schools by 

Intervention Model.......................................................................................................................... C-7
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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1. Introduction

The Study of School Turnaround (SST) is an examination of the implementation of School Improvement 

Grants (SIG) authorized under Title I section 1003(g) of the Elementary and Secondary Education Act

(ESEA). SIG is funded through ESEA and has been supplemented by the American Recovery and 

Reinvestment Act of 2009 (ARRA). This baseline report provides an overview of the state policies and 

practices for SIG implementation as well as a description of the first round of SIG awards made to Local 

Education Agencies (LEAs) and SIG-eligible schools. The report focuses on two key questions:

1. What SIG-related policies and practices do states intend to implement based on their SIG 

applications?

2. What are the characteristics of SIG-eligible and SIG-awarded schools?

The report is divided into four sections, organized to mirror the flow of SIG funds as they are disbursed 

from the federal government to states and then from states to districts and schools. Accordingly, 

Section 2 provides an overview of the key elements of the SIG program. Section 3 provides an analysis of

state SIG applications approved by the U.S. Department of Education (ED), focusing on the definition 

and identification of SIG-eligible schools, how states determine district capacity and how states are 

monitoring and supporting SIG implementation. Section 4 reviews descriptive data on the characteristics 

of SIG-eligible schools identified by states, as well as the characteristics of SIG-awarded schools. Section 

5 concludes by synthesizing the key findings from the report.

2. Policy Overview

Authorized under Title I section 1003(g) of ESEA and supplemented by ARRA, the SIG program will target 

$3.5 billion over the next three years toward the goal of turning around the nation’s lowest-performing

schools. Each state’s allotment of SIG funds is determined by formula based on Title I allocations. In 

turn, state education agencies (SEAs) award funds to LEAs with eligible schools, based on a competitive 

application process. According to ED guidelines, states may award LEAs up to $2,000,000 annually to 

each qualified SIG school.

1 States may award SIG funds to LEAs and schools that meet criteria 

established by the federal guidelines and in accordance with state determinations of LEA capacity and 

commitment to support school turnaround. 

The final rules issued by ED define both the criteria for selecting eligible schools and the authorized 

intervention models. Eligible schools are defined as belonging to one of three categories:

• Tier I, which includes any Title I school in improvement, corrective action, or restructuring that 

(1) is among the lowest-achieving five percent of those schools in the state; or (2) is a high 

school that has had a graduation rate below 60 percent for a number of years. States have the 

option of identifying Title I eligible elementary schools that (1) are no higher achieving than the 

highest-achieving school identified as a persistently lowest-achieving school in Tier I; and that 

 

1 The Consolidated Appropriations Act of 2010 raised the maximum funding amount for a participating school from $500,000 to 

$2,000,000 per year.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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(2) have not made AYP for at least two consecutive years; or are in the state’s lowest quintile 

based on proficiency rates.

• Tier II, which includes any secondary school that is eligible for, but does not receive, Title I, 

Part A funds and (1) is among the lowest-achieving five percent of such secondary schools in the 

state; or (2) had a graduation rate below 60 percent for a number of years. States may also 

identify as Tier II schools Title I eligible secondary schools that (1) are no higher achieving than 

the highest-achieving school identified as a persistently lowest-achieving school in Tier II; or that 

had a graduation rate of less than 60 percent over a number of years; and that (2) have not 

made AYP for at least two consecutive years; or are in the state’s lowest quintile based on 

proficiency rates.

• Tier III, which includes the remaining Title I schools in improvement, corrective action, or 

restructuring that are not Tier I schools. States have the option of identifying as Tier III schools 

(1) Title I eligible schools that do not meet the requirements to be in Tier I or Tier II; and (2) have 

not made AYP for at least two consecutive years; or are in the state’s lowest quintile based on 

proficiency rates.

For each Tier I and II school identified in an LEA’s SIG subgrant application, the LEA must specify one of 

four improvement models to be implemented in an effort to turn around the school. The key elements 

for each of the four models include: 

1. Turnaround model: replace the principal and no less than 50 percent of the staff; and introduce 

significant instructional reforms, increase learning time, and provide flexibility and support

2. Restart model: reopen the school under the management of a charter school operator, charter 

management organization, or an education management organization

3. School closure: close the school and reassign students to higher achieving schools

4. Transformation model: replace the principal, introduce significant instructional reforms, 

increase learning time, and provide flexibility and support

These models are consistent with those defined in other ARRA-funded initiatives, including Race to the 

Top (RTT) and the State Fiscal Stabilization Funds (SFSF)—Phase 2.

According to the federal rules, SIG funds may be awarded to LEAs to support Tier III schools 

implementing improvement strategies. However, Tier I and II schools must be served first, and SEAs 

must define in their applications how they will prioritize the disbursement of funds to eligible Tier III 

schools. Federal rules do not require Tier III schools to implement one of the four models.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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3. Analysis of State SIG Applications

By November 2010, ED had approved SIG applications from all 50 states and the District of Columbia. An 

analysis of these state applications is presented in this section, which addresses the report’s first key 

question and the following related questions:

• How are the persistently lowest-achieving Tier I and Tier II schools defined and identified by 

states? Which intervention models are allowable in each state?

• How are states prioritizing the awarding of funds to Tier I, Tier II and Tier III schools?

• How are states determining whether a LEA has the capacity to support a Tier I or Tier II school?

• How are states monitoring and supporting SIG implementation?

Section 3.1 provides a description of the methodology used to review the 51 SIG applications, and

Sections 3.2, 3.3, 3.4 and 3.5 present the results from this review in the context of the questions above.

Key Findings

• Identifying SIG schools. Twenty-seven states and the District of Columbia reported using 

three years of achievement data to identify persistently lowest-achieving schools. Ten states 

reported using one year of data, eight states reported using two years of data, and one state 

reported using seven years of data.

• Intervention models. The turnaround, transformation and closure models are authorized in all 

50 states and the District of Columbia. Four states will exclude the restart model, and four states 

plan to modify the SIG-defined intervention models.

• Determining LEA capacity. Twenty states plan to use the LEA applications for SIG funds as the 

primary evidence of LEA capacity, in which LEAs are to provide a self-report on their own 

capacity levels. Seventeen states plan to use a district audit or needs assessment.

• Monitoring LEA progress. Eighteen states plan to monitor progress in SIG-awarded LEAs and 

schools more than once each year. Thirty-nine states plan to monitor SIG implementation 

through site visits to SIG-awarded schools.

• State support for SIG implementation. Twenty-six states plan to enhance existing supports to 

assist SIG schools. Nineteen states plan to assign a school or district coach, and twelve states 

plan to provide technical assistance teams to support SIG schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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3.1. Methodology

For the review of SIG applications, three researchers from the American Institutes for Research (AIR) led 

the process: Kerstin Carlson Le Floch, project director, Susan Bowles Therriault, senior researcher and 

Susan Cole, senior researcher. Dr. Therriault developed and facilitated the coding and quality control 

process. Dr. Le Floch and Ms. Cole provided guidance and feedback, and both participated in the quality 

control data check processes. All three researchers analyzed and synthesized the data.

3.1.1. Step 1: Data collection and capture

The primary data source for the analysis was SIG applications approved by ED for all 51 SEAs.

2

Researchers downloaded all but one of the state SIG applications from ED’s Web site.

3 Tennessee’s SIG 

application was listed on the Web site but had a faulty link. This application was obtained directly from 

Tennessee’s SEA Web site.

To prepare for data capture, the three lead researchers reviewed ED’s Guidance on School Improvement 

Grants,

4 ED’s School Improvement Grants Application,5 and the first set of nine approved SEA SIG 

applications in June 2010. Based on these resources and a review of the state SIG application form

released by ED,

6 the lead researchers identified four topic areas which cover the key elements of the 

state applications: 

• SEA definitions and identification of persistently lowest-achieving schools;

• SEA SIG priorities (e.g., whether all, some or none of the eligible Tier I, Tier II, and Tier III schools 

would be served; availability of SIG models; and SEA elected waivers);

• LEA requirements (e.g., determining LEA capacity, metrics for measuring progress, reporting 

requirements); and

• SEA strategies for building LEA capacity (e.g., use of the five percent reserve funds, mechanisms 

for supporting SIG implementation, etc.). 

Data were collected from the following sections of Part I SEA Requirements: A. Eligible Schools, 

B. Evaluation Criteria, C. Capacity, D. Descriptive Information, F. SEA Reservation and H. Waivers. 

Sections on Assurances and Consultation with Stakeholders were standard requirements for approval of 

the SIG application and were excluded because there was no variation in these sections among states.

Data from Part II LEA Requirements (specifically A. Schools to be Served, B. Descriptive Information and

C. Budget) were used only to supplement or verify information gathered from Part I of the applications, 

as these sections focus on district rather than state policies. 

 

2 State education agencies include all 50 states and the District of Columbia.

3 U.S. Department of Education (2010). School Improvement Fund: Summary of Applicant Information. Retrieved from: 

http://www2.ed.gov/programs/sif/summary/index.html#nm on September 25, 2010. 4 U.S. Department of Education. (2010). Guidance on School Improvement Grants Under Section 1003(g) of the Elementary and 

Secondary Education Act of 1965. 5 Ibid.

6 U.S. Department of Education. (2010). School Improvement Grants Application: Section 1003(g) of the Elementary and 

Secondary Education Act, CFDA Numbers: 84.377A; 84.388A.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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The lead researchers developed an Excel-based data capture workbook to record the data compiled on 

these key topics. The data capture tool was divided into worksheets for each topic, with one row for 

each state. For some data elements, the research team entered text data (cut and pasted from the SIG 

application). For other elements, the research team inserted numbers, yes or no responses, or short 

answers. The cells with closed-ended questions had drop-down menus with response options. Because 

the state SIG applications followed the outline provided by ED, information was found in the same 

section of the application across states. Thus, in each column of the data capture workbook, the 

relevant section of the SEA application was noted. For a full list of the elements examined in the data 

capture workbook, see Appendix A.

The lead researchers piloted the workbook, reviewing four randomly selected SEA applications and 

identifying topics in the application that were not captured. Based on the test cases, the researchers 

refined the data capture workbook by adding data elements. For example, after testing the data capture 

tool, the lead researchers added fields to include information on whether a SEA is able to take over 

schools and the waivers for which SEAs applied.

Three strategies were used in Step 1 to ensure reliability of the data capture process: training of all 

researchers, on-going guidance, and continuous data checks. 

Training. After the data capture workbook was developed, a total of eight researchers were trained to 

individually review applications and capture data in the workbook. The training consisted of a review of 

ED’s SIG guidelines and the state application form, discussion and guidance on the data capture 

workbook, and a group exercise focused on capturing the data from one SEA application. During the 

process, team members were trained to read their assigned SEA applications at least twice: once to get 

an overview of the state’s approach, and a second time while completing the data capture workbook. 

For specific sections, the team members were instructed to quote directly from applications (see 

Appendix A for more details). The lead researchers provided one-on-one guidance and reviewed the 

initial entries of all researchers. 

On-going guidance. To ensure reliable data entry, the team leader provided team members with 

on-going guidance. Team members participated in ten meetings over three months to discuss specific 

SEA applications and data capture categories to clarify coding categories and identify data entry

discrepancies. Once discrepancies were resolved, team members returned to earlier applications to add 

or clarify information as appropriate. For example, the team members found that some SEAs plan to use 

a rubric for determining LEA capacity, others plan to use a rubric for reviewing LEA applications, and still 

others plan to use the same rubric to determine LEA capacity and review applications. Upon a review of 

all data entries, the team leader clarified the differences among each of the three categories, and each 

member went back to the SEA applications to confirm the accuracy of data entries.

Continuous data-checks. On a weekly basis, the team leader reviewed all entries to ensure consistency 

across the SEA applications for which data were entered and across data capture categories. Each team 

member reviewed from two to ten SEA applications. Upon completion of the data capture from all 

51 SEA applications, the team leader and another senior team member conducted a final review of all 

data to cross-check the entries and to ensure consistency of the data captured. During this process, at 

least one entry from each researcher was selected for a second review. The secondary reviewers then 

added or corrected information in the entry within the data capture workbook.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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3.1.2. Step 2: Data coding and analysis

Once data capture workbooks were completed for all states and the District of Columbia, the three lead 

researchers developed a coding and analysis plan. First, the researchers reviewed the data capture 

elements to determine which categories needed further specification (in Appendix A, all of those with a 

“short answer” or “cut and paste from application”). For example, the narrative from each SEA 

application included several strategies for monitoring the implementation of the intervention models in 

SIG-awarded schools. To determine the prevalence of different strategies, the study team reviewed the 

application text from all states and identified the following top three categories: use of on-line 

monitoring tools, informal “check-in” meetings or conference calls, and monitoring site visits to SIG 

schools.

For all components of the state SIG applications that required a more detailed level of coding, the lead 

researchers identified a list of potential codes based on a review of the data elements across SEA 

applications. The researchers then developed a master list of codes with associated definitions. Next, 

the researchers developed state-by-state tables with the relevant application text for each state, and 

the coding categories in columns. The text for each state was reviewed and assigned a category (or 

multiple categories, if they were not mutually exclusive) listed in the columns; results were tallied for all 

state applications.

Reliability and validity. To ensure a reliable and valid coding process, at least two researchers reviewed 

each data element in the state-by-state coding tables.

First, two researchers coded all of the short answer or text data for each of the states. The codes for 

these two researchers were compared to identify discrepancies. The initial inter-rater reliability rating 

was determined based on the first round of coding, by calculating the proportion of codes on which the 

two researchers agreed. Across all of the data elements, the average inter-rater agreement was 

96 percent. The range among the elements coded was between 93 percent and 100 percent.

For the cases in which the first two researchers disagreed on the code, a third researcher coded the text 

as well and reconciled the discrepancy. When the codes were finalized, the states in each category were 

tallied; the results of these coding analyses are presented in the following sections. 

3.2. Identifying SIG Schools and Intervention Models

3.2.1. Defining persistently lowest-achieving schools

To determine SIG eligibility, SEAs must define and identify the persistently lowest-achieving schools, the 

definitions of which vary across states. ED’s Guidance on School Improvement Grants requires states to 

use three common elements to identify the lowest-performing schools: (1) a school’s overall academic 

achievement level, (2) whether there is a “lack of progress” in the school, and (3) for high schools, 

whether the school has a graduation rate below 60 percent.7 However, within each of these elements 

there is variation across SEAs. 

 

7 U.S. Department of Education. (2010). Guidance on School Improvement Grants Under Section 1003(g) of the Elementary and 

Secondary Education Act of 1965. 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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Schools’ academic achievement level. All 50 states and the District of Columbia used student 

assessment results in reading/English language arts and mathematics to determine whether a school is 

persistently lowest-achieving (no other content areas were used). To determine the achievement level 

of SIG-eligible schools, states analyzed 2.7 years of data on average. Exhibit 1 lists the number of years 

of data used by each state. Twenty-seven states and the District of Columbia reported using three years 

of achievement data to identify the SEA’s persistently lowest-achieving schools. Ten states reported 

using one year of data, and eight states reported using two years of data. One state, Florida, used 

seven years of achievement data.

Exhibit 1.

Number of Years of Assessment Data States Used to Identify Persistently

Lowest-Achieving Schools

Number of 

Years of Data Number of SEAs Percent of SEAs SEAs

1 10 20% AL, GA, NV, NY, OH, OK, PA, RI, SD, WY

2 8 15% AK, MS, OR, TN, TX, VT, VA, WV

3 28 55% AL, AR, CA, CO, CT, DE, D.C., HI, ID, IL, IN, IA, KS, KY, 

LA, ME, MD, MI, MN, MO, MT, NE, NJ, NC, ND, SC, WA, 

WI

4 3 6% MA, NH, UT

5 1 2% NM

7 1 2% FL

Exhibit reads: Ten states used one year of achievement data to determine if a school is persistently 

lowest-achieving.

Source: Approved State SIG applications (N = 50 states and D.C.).

Notes: One state (VT) used four years of data for elementary and middle schools and two years of data for high 

schools—it has been included in the two year count.

Lack of progress. To determine if a school is eligible for SIG, SEAs are required to determine whether the

school demonstrated a lack of progress on the reading/English language arts and mathematics 

assessments in the “all students” group. Each SEA developed its own criteria and thresholds for lack of 

progress. Thirty-eight states used either two or three years of data to determine lack of progress in 

schools. Another six states used either four or five years of data, and one state, Florida, used seven 

years of data (see Exhibit 2).
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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Exhibit 2.

Number of Years of Assessment Data States Used to Determine “Lack of Progress” 

Among Persistently Lowest-Achieving Schools

Number of 

Years of Data Number of SEAs Percent of SEAs SEAs

2 12 24% AK, GA, IL, MN, MS, NH, NC, OR, RI, SD, TX, WV

3 26 51% AL, AZ, AR, CO, CT, DE, ID, IN, IA, KS, KY, LA, ME, MD, 

MI, MT, NE, NM, ND, PA, SC, TN, UT, WA, WI, WY

4 3 6% MA, NV, NY

5 3 6% CA, OH, OK

7 1 2% FL

Not specified 5 10% D.C., HI, MO, NJ, VA

Missing data 1 2% VT

Exhibit reads: Twelve states used two years of achievement data to determine a school’s lack of progress.

Source: Approved State SIG applications (N = 50 states and D.C.).

Notes: In NH (included in the two year count), the number of years to determine lack of progress for elementary 

and middle schools is five years and for high schools is two years. In NM (included in the three year count), the 

number of years to determine lack of progress for elementary and middle schools is five years and for high schools 

is three years.

Eleven states used a student-level growth measure to determine whether a school had made progress. 

For example, the Colorado SEA developed school level growth scores from the states’ student growth 

percentile (SGP), which is assigned based on how a student’s performance compares to the academic 

progress of the student’s peers.8 For schools, growth scores were aggregated at the grade level within 

each school by taking the median of all SGPs for students in a given grade across three years (2007, 

2008, and 2009) separately for each content area resulting in the median growth percentile (MGP). The 

MGP was then combined with the school-level percent proficient, with extra weight given to the growth 

measure resulting in a standardized performance index score. Using the index, the lowest five percent of 

eligible schools were identified.9 The remaining 39 states and the District of Columbia took a somewhat 

different approach focusing on school-level improvement over time. For example, in New York, a school 

must have failed to make at least a 25 point gain for the “all students group” between 2005–06 and 

2008–09 on the English language arts and mathematics assessments to be designated as “not making 

progress.” 

Graduation rates. To determine a school’s graduation rate for the purposes of SIG, SEAs used between 

two and seven years of data, averaging the graduation rates across years (see Exhibit 3). Forty states and 

the District of Columbia used two or three years of data. One state, Florida used seven years of 

graduation rate data. Four states (Maine, Ohio, Vermont and West Virginia) did not specify the number 

of years of data used. In Hawaii there are no Title I eligible high schools in improvement, corrective 

action or restructuring.

 

8 According to the February 2010 Colorado state SIG application, “Colorado has developed its own measure of student 

academic progress, the Colorado Growth Model, which has been approved for use in the AYP growth pilot. This growth model 

assigns each individual a student growth percentile (SGP)...[and] are reported on a scale of 1–99, with 50 being typical growth 

representing a year’s worth of academic progress in a year’s time...In order to calculate a growth percentile, a student must 

follow a traditional grade progression and have test scores for at least the two most recent years. Additional prior years of test 

scores yield better growth estimates, and are used whenever available.” (p. 37). 9 For more information on the Colorado SEA’s lack of progress indicator, see pages 37 and 38 of their state application at 

http://www2.ed.gov/programs/sif/summary/coapp.pdf. 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

9 

Exhibit 3.

Number of Years of Graduation Rate Data States Used to Identify Persistently

Lowest-Achieving Schools

Number of 

Years of Data Number of SEAs Percent of SEAs SEAs

2 12 24% D.C., LA, MA, MS, NJ, OR, PA, RI, TN, TX, VA, WY

3 29 57% AL, AK, AZ, AR, CT, DE, GA, ID, IL, IN, IA, KS, KY, MD, 

MI, MN, MO, MT, NE, NH, NM, NY, NC, ND, SC, SD, UT, 

WA, WI

4 3 6% CA, CO, NV

5 1 2% OK

7 1 2% FL

Not specified 4 8% ME, OH, VT, WV

Not applicable 1 2% HI

Exhibit reads: Eleven states and the District of Columbia used two years of graduation rate data to determine if a 

school is persistently lowest-achieving.

Source: Approved State SIG applications (N = 50 states and D.C.).

Notes: In three states (PA, TN, and WY), a school was identified as persistently lowest-achieving if its graduation 

rate was below 60 percent for any two of the three years of data examined. These states are included in the 

two year count.

Three states expanded the graduation rate definition for SIG-eligible high schools. For example, 

Nebraska raised the SIG threshold from 60 to 75 percent. The Vermont SEA had no schools with 

graduation rates below 60 percent, and thus included schools with higher graduation rates. Rhode 

Island also had no Title I-eligible high schools with a graduation rate below 60 percent. 

Each of the three states with expanded graduation rate definitions devised its own system for 

determining schools’ eligibility for SIG. For example, Rhode Island used the following point system for 

determining SIG eligibility among high schools: 

• 2 points were assigned when the school’s graduation rate was more than 1 standard deviation 

below the overall state average of 73.9 percent. 

• 1 point was assigned when the school’s graduation rate was between the overall state average 

and 1 standard deviation.

• 0 points were assigned when the school’s graduation rate was higher than the overall state 

average or when the school proficiency rates for math or reading were above state averages of 

52 percent and 68 percent respectively.10

Using the cumulative criteria described above (overall achievement level, lack of progress, and 

graduation rates), states ranked schools within each eligible pool to identify Tier I, Tier II and Tier III 

schools.

3.2.2. SIG-eligible schools by Tier

SEAs defined the SIG-eligible schools by Tier in the state applications. 

 

10 Rhode Island Department of Elementary and Secondary Education, Application for School Improvement Grants, p.23.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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• Tier I Schools. Tier I schools are selected from the pool of Title I schools that are in 

improvement, corrective action or restructuring. Title I high schools with a graduation rate 

below 60 percent are also eligible for Tier I. Five states and the District of Columbia weighted a 

school’s ranking based on the school’s improvement status. For example, Tennessee first ranked 

all Title I “high priority” schools based on their mathematics and reading/language arts 

assessment scores for all students. If a Title I school had failed to make AYP for six years or more 

(and thus was in restructuring status), then the school’s rank was multiplied by six to determine 

a school’s priority in the list of persistently lowest-achieving schools.

• Tier II Schools. Tier II schools include secondary schools that are eligible for, but not funded by 

Title I, that are also among the state’s persistently lowest-achieving schools. On the SIG 

applications, SEAs are required to define “secondary school” for the purposes of identifying 

Tier II schools. Twenty-three states defined secondary schools as a high school or a school 

serving 9th through 12th grades. Twenty-seven states and the District of Columbia defined 

secondary school as including both middle and high school levels, or those schools serving 

6th through 12th grades. Eighteen states included newly eligible schools as part of the Tier II 

eligible schools.

• Tier III Schools. Tier III schools include all Title I schools that are identified for improvement, 

corrective action or restructuring and that are not included in the list of Tier I schools. SEAs 

developed different criteria for awarding SIG funds to Tier III schools, including commitment to 

implementing one of the intervention models, schools in greatest academic need, a school’s 

improvement status under ESEA, schools in LEAs with Tier I and Tier II schools, schools with the 

highest score on the LEA application, and schools that are feeder schools for Tier I or II schools 

(see Exhibit 4).

Exhibit 4.

Number of States With Various Approaches for Prioritizing LEAs

With Eligible Tier III Schools

Priority

Number 

of SEAs

Percent 

of SEAs SEAs

Tier III schools that commit to implementing 

one of the four intervention models

17 33% AZ, D.C., DE, IN, LA, ME, MO, MS, NE, NH, 

NY, OR, SD, TX, UT, WV, WY

Lowest-achieving Tier III schools (greatest 

academic need based on persistently 

lowest-achieving ranking)

14 27% AL, AR, CA, FL, ME, NC, NE, NH, NY, OK, 

OR, RI, UT, WI

Tier III schools’ improvement status based 

on state and/or federal accountability 

system 

13 25% AK, CA, CT, FL, GA, IA, MD, MO, MS, NC, 

VA, WV, WY

Tier III schools that are part of LEAs with Tier 

I and Tier II schools

9 18% CT, DE, HI, NV, OH, SC, SD, VT, WI

Tier III school with the highest score on LEA 

application

7 14% CA, IN, ND, NM, OH, PA, WI

Tier III schools that are feeder schools for 

Tier I or Tier II schools

6 12% MO, MS, MT, NM, NV, SC

Exhibit reads: Seventeen SEAs will prioritize Tier III schools that commit to implementing one of the 

four intervention models under SIG.

Source: Approved State SIG applications (N = 50 states and D.C.).

Notes: SEAs may have identified more than one priority area for funding Tier III schools; therefore, SEAs may be 

listed more than once.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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“Newly Eligible” Schools. When identifying persistently lowest-achieving schools, SEAs are required to 

indicate if they are including a school that is newly eligible to receive SIG funds. According to ED 

guidance, the Consolidated Appropriations Act of 2010 modified the SIG program to allow “SEAs and 

LEAs to use SIG funds to serve certain ‘newly eligible’ schools (i.e., certain low-achieving schools that are 

not Title I schools in improvement, corrective action, or restructuring).”11 (See Exhibit 5.) 

Exhibit 5.

Definitions of Schools “Newly Eligible” for SIG Funding, by Tier

Tier I Title I eligible elementary schools that are no higher achieving than the highest-achieving school that 

meets the criteria in paragraph (a)(1)(i) in the definition of “persistently lowest-achieving schools” 

and that: • are in the bottom 20 percent of all schools in the State based on proficiency rates; or • have not made AYP for two consecutive years. 

Tier II Title I eligible secondary schools that are (1) no higher achieving than the highest-achieving school 

that meets the criteria in paragraph (a)(2)(i) in the definition of “persistently lowest-achieving

schools” or (2) high schools that have had a graduation rate of less than 60 percent over a number of 

years and that: • are in the bottom 20 percent of all schools in the State based on proficiency rates; or • have not made AYP for two consecutive years.

Tier III Title I eligible schools that do not meet the requirements to be in Tier I or Tier II and that:

• are in the bottom 20 percent of all schools in the State based on proficiency rates; or • have not made AYP for two years.

Source: Appendix C of the U.S. Department of Education. (January 2010). School Improvement Grants Application, 

Section 1003(g) of the Elementary and Secondary Education Act.

SEAs are authorized to include newly eligible schools in each of the tiers. Of the twenty-one states that 

identified newly eligible schools, five states included newly eligible schools in all tiers. The remaining 

states identified newly eligible schools in two of the three tiers (eight states) or one tier only 

(eight states). Twenty-eight states and the District of Columbia did not include any newly eligible 

schools, and one state did not report whether schools were newly eligible.12

Exclusions. Twenty-three states chose to exclude schools from the pool of eligible persistently 

lowest-achieving schools. Reasons for excluding schools varied, but the two most commonly cited 

reasons concerned small school size or schools that were primarily alternative schools designed to 

transition students back to a home school. Sixteen states excluded schools with low enrollment. For 

example, Kansas excluded schools that had less than 30 students in the “all students” category in the 

most recent administration of its state assessment. The exclusion of schools based on low enrollment 

ranged from a school size of 100 students in California to 10 students in South Dakota, Tennessee, and 

Wisconsin. Ten states excluded alternative schools from the eligibility list. For example, Colorado 

excluded alternative education campuses (AECs) that serve special needs or at-risk students because 

these schools are focused on re-engagement of students to transition back to their base schools. 

“Start Over” and “Schoolwide Eligibility” Waivers. In their applications, states had the option to apply 

for waivers to allow Tier I and Tier II schools to “start over” in the ESEA school accountability timeline. 

Forty-seven states (all but Montana, Tennessee, and Vermont) and the District of Columbia applied for a 

waiver to allow Tier I and Tier II schools to “start over” in the improvement timeline if they implemented

a turnaround or restart model (ESEA, section 1116(b)(12)). Through this waiver, schools that previously 

 

11 U.S. Department of Education (2010). Guidance on School Improvement Grants Under Section 1003(g) of the Elementary and 

Secondary Education Act of 1965. Washington, D.C.: Author. 12 In the South Dakota state application, there is a link to a website for the list of persistently lowest-achieving schools. The list 

did not have a column for “newly eligible.”
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

12

had been identified for improvement, corrective action, and restructuring under ESEA would no longer 

be so identified, thus, these schools would no longer be required to offer supplemental educational 

services, Title I choice, and other accountability requirements associated with Title I, Part A, of ESEA. A 

school that receives this waiver in the 2010–11 school year would not even be eligible to enter into the 

first year of improvement until the beginning of the 2012–13 school year. Another waiver option gave 

SEAs the option to waive the 40 percent poverty eligibility threshold to permit LEAs to implement a 

school-wide program in a Tier I or Tier II Title I participating school that does not meet the poverty 

threshold. Forty-four states (all but the District of Columbia, Hawaii, Montana, Pennsylvania, South 

Dakota, Vermont, and West Virginia) sought to waive the 40 percent poverty eligibility threshold in 

order to implement a school-wide Title I program. 

3.2.3. Intervention models authorized by states

The Guidance on School Improvement Grants from ED specifies the four intervention models to be 

implemented in schools that receive SIG funds. However, because of state policy or context, some 

models are not allowable. The turnaround, transformation and closure models are authorized in all 

50 states and the District of Columbia. The restart model is authorized in 46 states and the District of 

Columbia (all but Mississippi, North Dakota, Vermont, and West Virginia). 

In the four states in which the restart model is not an available option for LEA SIG grants, charter schools 

are not authorized by state statute, or there are no charter management or education management 

organizations in operation. For example, the Vermont state SIG application explains:

In the restart model, an LEA would close a school and reopen it under a charter school operator, 

a CMO, or an EMO. This option is not currently available in Vermont because no charter entities 

are available to work to provide these services. The low population, small schools, 94% white 

demographic and relatively high educational outcomes overall makes Vermont a poor location 

for supporting charter and/or education management organizational services (p.52).

Four states (Alabama, Mississippi, Texas, and Virginia) modified aspects of one or more of the federal 

intervention models by adding or focusing requirements within the models to align with state priorities. 

For example, the Texas SEA enhanced and customized both the transformation and turnaround models 

by focusing the goals of the models and prescribing specific supports (referred to as the TEA Designed 

Model for Turnaround and the TEA Designed Model for Transformation). The SEA’s modifications to the 

transformation model are intended to align with three principles: 1) improving student achievement, 

career, and college readiness; 2) improving school climate; and 3) supporting districts to transform 

schools. To accomplish this, the model requires staff to participate in training on data use, develop an 

evaluation system, and conduct a needs assessment. The support to be provided through the model

includes the assignment of a case manager, online professional development, and partnerships with the 

regional support network and other community stakeholders. The Texas SEA’s transformation model 

includes a two-year leadership program in partnership with institutions of higher education. This 

program is intended to build LEA and school-level capacity through the establishment of a talent pool 

for the recruitment, selection, and development of highly qualified and effective leaders; mentoring and 

coaching principals to develop the knowledge, skills, and resources to accelerate and sustain increases in 

student achievement; and integrating research-based best practices in turnaround efforts. 

In two states, the SEA added a model that is designed to enhance the transformation or turnaround 

models in Tier I and Tier II schools, or to serve as the improvement strategy in Tier III schools. The 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

13

Alabama SEA added the “Alabama Transformation Model” to the list of potential models, which 

integrates the SEA’s Response to Instruction13 (RtI) framework. LEAs selecting this model are required to 

hire a “District Grant Coach,” who will be trained by the SEA in the school improvement process and RtI. 

The District Grant Coach will work directly with LEA personnel to build instructional capacity in Tier I, 

II and III schools. Virginia, too, has added a “state transformation model” for Tier III schools. The Virginia 

model requires LEAs to hire a coach who will work with each Tier III school on the area(s) associated 

with the school’s chronically low performance. 

3.2.4. State priorities for awarding funds to Tier I, Tier II, and Tier III schools

In their SIG applications, all SEAs were required to specify how they would prioritize SIG grants to LEAs if 

the SEA did not have sufficient funds to serve all eligible schools for which each LEA applies. The federal 

rules require that all qualified Tier I schools be served before serving Tier II schools, and that both Tier I 

and Tier II schools must be served prior to awarding funds to Tier III schools. Additionally, the rules 

require states to describe how they will prioritize Tier III schools, anticipating that states may not be able 

to fund all Tier III schools.

According to state SIG applications, all states and the District of Columbia planned to fund Tier I schools

(as required), and 46 states planned to fund Tier II schools. Of the four states and the District of 

Columbia that were not anticipating funding Tier II schools, Colorado and Rhode Island indicated that 

they would serve Tier II schools only if funds were available; the District of Columbia, Hawaii, and 

Montana did not identify Tier II schools. Twenty-five states indicated that they would serve Tier III 

schools as well, and twenty-one states and the District of Columbia planned to serve Tier III schools only 

if funds were available. Four states reported that they would not fund Tier III schools.

SIG funding extension. In their applications, SEAs had the option to apply for waivers to extend the 

period of availability of FY 2009 SIG funds for two additional years, through September 30, 2013. 

Forty-nine states (all but Montana) and the District of Columbia applied for a waiver to extend the 

period of availability of school improvement funds (General Education Provisions Act, 20 U.S.C. 1225(b) 

section 421(b)).

3.3. Determining LEA Capacity

As part of the criteria for evaluating LEA subgrant applications, each SEA was required to explain how 

they would determine whether an LEA applicant had demonstrated the commitment and capacity to use 

the SIG funds to support Tier I and Tier II schools.

14 SEAs’ strategies for identifying evidence of LEA

capacity varied in specificity and breadth. For example, 20 states plan to use the LEA applications for SIG 

funds as the primary evidence of LEA capacity; in these applications LEAs are to self-report on their own 

capacity levels. Other states plan to use approaches that would involve sources of information beyond 

applications, such as a district audit or needs assessment, indicators of past performance (whether 

academic or financial), SEA-designed rubrics, or plans for SEA staff to meet with LEA administrators to 

ascertain capacity (see Exhibit 6). 

 

13 Alabama’s SIG application refers to Response to Instruction not the more commonly known Response to Intervention. 14 U.S. Department of Education. (2010). State School Improvement Grant Application. Washington, D.C.: U.S. Department of 

Education.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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For example, in the spring of 2010, the Kentucky SEA conducted audits in all LEAs that had Tier I or Tier II 

schools. Using the state standards for school improvement and a survey of working conditions, the 

Kentucky audit team was required to provide data regarding each LEA’s capacity to support SIG 

interventions in Tier I and Tier II schools. In Maryland, LEAs applying for SIG funds are required to 

conduct a needs assessment for each SIG-eligible school as well as a self-assessment that articulates the 

strengths and areas of need of the LEA.

Exhibit 6.

Number of States Using Various Evidence of LEA Capacity

Evidence of LEA Capacity

Number of 

SEAs

Percent of 

SEAs SEAs

LEA self-report of capacity 20 39% AK, AR, CO, DE, FL, ID, IN, MI, MO, NE, NJ, 

NM, NY, NC, ND, OH, OK, VT, WA, WI

Needs assessment/audit* 17 33% AZ, AR, CA, D.C., ID, IL, KY, LA, MD, MS, 

NE, NV, NC, PA, RI, TX, WY

Prior LEA performance/action 15 29% AK, CT, FL, GA, KS, ME, MI, MO, MT, NH, 

ND, OK, SC, WV, WI

Evidence of community support 9 18% AZ, AR, FL, GA, ME, MI, NM, PA, VA

SEA meeting with LEA 7 14% AL, AZ, D.C., HI, KS, KY, NE

Exhibit reads: Twenty SEAs reported that they will determine LEA capacity through an LEA self-report.

Source: Approved State SIG applications (N = 50 states and D.C.).

Notes: These strategies are not mutually exclusive, since some SEAs identified more than one strategy for 

determining LEA capacity.

* Needs assessments and audits include LEA self-assessments, recent audits, or new audits of LEAs.

Fifteen states plan to review LEAs’ past performance or history as a factor in determining LEA capacity, 

including prior academic performance, management of grants, and past efforts to recruit effective 

principals. For example, the Alaska SEA will also consider evidence of the LEA’s previous actions taken to 

improve achievement in its schools, any growth in student achievement, and use of federal grants 

awarded to the LEA within the past two school years.

In determining LEA capacity, nine states require that the LEA submit evidence of engagement on the 

part of community stakeholders, including parents, unions, or the local school board. Seven states plan

to meet with LEA staff to determine their capacity to support SIG schools. For example, in Arizona the 

SEA plans to meet with the LEA team to develop qualitative reports of LEA capacity. This information will 

supplement the LEA’s application and claims of capacity.

In order to synthesize the evidence of LEA capacity, fourteen states developed rubrics to assess LEA 

capacity during the SIG application review. For example, Arizona developed a rubric for Capacity and 

Commitment which covers five areas reflected in the Arizona Standards for District and School 

improvement. The five categories include: 1) LEA and School Leadership; 2) Curriculum, Instruction and 

Professional Development; 3) Classroom and School Assessments; 4) School Culture and Climate; and 

5) Communication and Resource Management. The LEA must then meet a minimum score to be 

considered as having capacity to support school improvement.

3.4. Monitoring LEAs’ Progress

All SEAs are required to evaluate LEA and SIG-awarded schools’ progress on an annual basis to 

determine if SIG funding should continue. SEAs are allowed, but not required, to monitor LEAs more 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

15

frequently than once a year. State officials reported that they intend to monitor either weekly, monthly, 

quarterly, twice each year or annually (see Exhibit 7).

Exhibit 7.

Frequency of State Monitoring of SIG-Awarded LEAs and Schools

Frequency

Number of 

SEAs

Percent of 

SEAs SEAs

At least monthly 8 16% AZ, CO, KS, KY, MI, NE, VT, WV

Quarterly 9 18% AL, LA, NV, NJ, OH, OK, RI, TN, UT,

Twice per year 1 2% WI

Annually 33 65% AK, AR, CA, CT, DE, D.C., FL, GA, HI, ID, IL, IN, IA, ME, MD, MA, 

MN, MS, MO, MT, NH, NM, NY, NC, ND, OR, PA, SC, SD, TX, VA, 

WA, WY

Exhibit reads: Eight SEAs intend to monitor SIG-awarded schools at least monthly.

Source: Approved State SIG applications (N = 50 states and D.C.).

3.4.1. Monitoring strategies

SEAs reported a variety of strategies to monitor LEAs’ progress in implementing SIG intervention 

models. Strategies include in-person site visits, designation of staff assigned to specific LEAs or schools, 

and online tools (see Exhibit 8).

Site visits. Thirty-nine states plan to conduct site visits to monitor progress toward SIG goals at some 

point during the SIG implementation process. For example, the Arizona SEA requires school 

improvement specialists from the SEA to conduct monthly site visits to SIG-funded LEAs. These 

specialists must use an implementation checklist based on LEA priorities identified in the online school 

turnaround implementation plans. In California, representatives from the state and regional consortia 

intend to conduct site visits to a “selected representative sample” of LEAs and schools in order to 

validate information submitted by LEAs and to gather additional information from interviews and 

observations.

Designated staff. Thirty states intend to designate specific staff from the SEA, regional offices, LEA or 

external providers as responsible for monitoring the progress of SIG schools. For example, in South 

Dakota, a state Title I staff member assigned to each LEA will be responsible for providing monthly 

monitoring reports to the SEA and conducting regular conference calls and site visits. In Indiana, the SEA 

plans to assign each school to an external provider who will be responsible for monitoring and reporting 

progress.

Check-in meetings. Sixteen states plan to “check-in” with LEAs to obtain progress reports and identify 

challenges prior to the annual renewal of the SIG funds. These check-in meetings are less formal than 

site visits, involve fewer staff, and may not include face-to-face meetings. For example, in Idaho, 

personnel from the Student Achievement and School Improvement Division of the SEA will conduct 

conference calls and in-person meetings with key LEA and school leaders to monitor progress. In Maine, 

the SEA requires that a Title I school improvement consultant provide a variety of supports, including 

quarterly check-in meetings to identify LEA and school needs and monitor implementation. 

Online/electronic tools. Sixteen states plan to use online tools and data systems to monitor progress. 

For example, in Virginia, the SEA will monitor progress and provide feedback to LEAs and SIG schools 

through the Indistar online school improvement system developed jointly with the Center on Innovation 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

16

and Improvement. In Oklahoma, the LEAs and SIG schools will use the WISE online planning and 

coaching tool to monitor progress on a quarterly basis.

Exhibit 8.

SEA Strategies for Monitoring LEA Progress

Frequency

Number 

of SEAs

Percent of 

SEAs SEAs

Site visits 39 76% AL, AK, AZ, AR, CA, CO, D.C., FL, GA, HI, ID, IL, IN, IA, ME, 

MD, MA, MI, MS, MO, MT, NV, NH, NJ, NY, NC, OK, PA, 

RI, SC, SD, TN, TX, UT, VT, VA, WA, WV, WI

Designated staff 30 59% AZ, AR, CT, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, 

MN, MO, MT, NE, NH, NJ, NM, NY, OH, OR, SD, TN, VT, 

WV, WY

Check-in meetings 

(e.g., in-person, telephone)

16 31% AK, AZ, AR, CT, CO, FL, GA, ID, ME, MO, MT, NE, NH, SC, 

SD, WA

Online/electronic tools 16 31% AL, AZ, DE, D.C., ID, KS, LA, MS, NM, NY, ND, OH, RI, VA, 

WA, WY

Exhibit reads: Eight SEAs intend to monitor SIG-awarded schools at least monthly.

Source: Approved State SIG applications (N = 50 states and D.C.).

3.4.2. Monitoring measures

ED’s Guidance on School Improvement Grants delineates a combination of achievement and leading 

indicators for Tier I and Tier II SIG schools. These indicators are clustered in the following categories: 

1) school data, 2) student outcomes and academic progress, 3) student connection and school climate, 

and 4) talent (see Exhibit 9).
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

17

Exhibit 9.

Achievement and Leading Indicators for Tier I and Tier II Schools

Metric

Achievement 

Indicators

Leading 

Indicators

School Data

AYP status 

Which AYP targets the school met and missed 

School improvement status 

Number of minutes within the school year 

Percentage of students at or above each proficiency level on State assessments 

in reading/language arts and mathematics (e.g., Basic, Proficient, Advanced), by 

grade and by student subgroup



Student participation rate on State assessments in reading/language arts and in 

mathematics, by student subgroup



Average scale scores on State assessments in reading/language arts and in 

mathematics, by grade, for the “all students” group, for each achievement 

quartile, and for each subgroup 



Percentage of English Learners who attain English language proficiency 

Graduation rate 

Dropout rate 

Student attendance rate 

Number and percentage of students completing advanced coursework 

(e.g., AP/IB), early-college high schools, or dual enrollment classes



College enrollment rates 

Student Connection and School Climate

Discipline incidents 

Truants 

Talent

Distribution of teachers by performance level on LEA’s teacher evaluation system 

Teacher attendance rate 

Source: U.S. Department of Education. (2010). Final Requirements for School Improvement Grants, as Amended in 

January 2010.

In addition to these indicators, an SEA may identify additional measures to evaluate a SIG school’s 

progress. All but seven states reported additional monitoring measures to evaluate progress and to 

determine if SIG funding should continue. In states that added monitoring measures, these focused on 

assessing implementation progress as opposed to academic outcomes. For example, the Ohio SEA 

developed an electronic implementation monitoring tool and the Florida SEA established a 

“Performance Expectations for Intervention Model” flowchart that guides LEAs and schools in how to 

establish annual performance goals. Some SEAs that added measures developed them based on specific 

goals in SIG schools’ improvement or turnaround plans (15 states) or model-specific implementation 

goals developed by the state or LEA (12 states and the District of Columbia). Two states (Florida and 

Louisiana) plan to examine the distribution of effective teachers in an LEA using value-added teacher 

evaluation models. 

3.5. State Support for SIG Implementation 

SEAs are able to reserve up to five percent of SIG funds for administration, evaluation and the provision 

of technical assistance to SIG-awarded schools. Twenty-six states intend to use all or a portion of these 

funds to enhance their existing state systems of support to better assist SIG schools. Twelve states are 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

18

creating new offices specifically designed to support state SIG efforts. For example, the Kentucky SEA 

intends to create a new Office of Educational Recovery Services to build LEA and SIG school capacity.

With regard to direct assistance to schools, the primary categories of support include: state designated 

support staff, quality control measures for external providers, targeted professional development, 

improvement tools, and strategies to engage community stakeholders (see Exhibit 10).

Exhibit 10.

SEA Strategies to Support SIG Implementation

Frequency

Number 

of SEAs

Percent 

of SEAs SEAs

SEA Restructuring/Enhancement

Enhancing the existing state system of 

support to target SIG LEAs and schools

26 51% AK, AZ, AR, CA, DE, D.C., FL, IL, IA, LA, ME, 

MD, MA, MN, MS, NM, NY, NC, OH, OK, OR, 

PA, RI, TN, TX, WV

Plans to reorganize or create a new office 

within the SEA to support SIG schools. 

12 24% AZ, AR, CO, DE, ID, IL, KY, LA, MA, MN, NY, RI

Designated liaison to monitor and support 

SIG implementation (state and local)

12 24% AL, AZ, AR, CO, FL, ME, MD, MI, MS, NH, ND, 

TN

Designated Support Staff

School or District Coaches (e.g., leadership 

coaches, instructional coaches, etc.)

20 39% AL, AK, AZ, CO, D.C., GA, KS, KY, ME, MN, 

NE, NV, NH, NJ, NM, ND, OH, OK, PA, WI

District/School Support Team to support 

SIG implementation (state and local)

13 25% AZ, AR, CT, DE, HI, IA, MD, NY, OH, OK, SD, 

VT, WV

Quality Control Measures for External 

Providers

Provides quality control measures for 

identifying external providers (e.g., SEA 

approved list)

18 35% AR, CO, DE, IL, IN, LA, MA, MI, MO, NE, NV, 

NH, OH, RI, UT, VA, WA, WV

Professional Development

Targeted professional development for SIG 

LEAs and schools

16 31% AL, AK, AZ, AR, FL, HI, IN, IA, LA, ME, NH, NY, 

OH, OK, PA, WA 

Improvement Tools

Developed or mandated School/District 

Improvement Tools

10 20% CO, IL, IN, KS, MA, NM, ND, OH, PA, VA

Engaging Stakeholders

Support state or regional networks of SIG 

LEAs/schools to improve capacity

8 16% KS, MI, NE, NJ, NM, NY, OR, SC

Plans to enlist institutions of higher 

education to support SIG LEAs and schools 

(e.g., leadership academies, staff training)

5 10% IL, KY, LA, MN, NY

Exhibit reads: Twenty-six SEAs will support SIG schools by enhancing the existing statewide system of support. 

Source: Approved State SIG applications (N = 50 states and D.C.).

State designated support staff. Nineteen states intend to assign a coach or facilitator to work with 

specific LEAs and SIG schools. For example, the Maine SEA plans to hire additional staff and Title I school 

improvement consultants to act as liaisons between the SEA and SIG grantees. In Kansas 

implementation coaches will visit each school every other week and work with the principal and 

leadership team to ensure implementation of the school improvement plan and SIG. Oklahoma plans to 

hire district Educational Leadership Coaches for principals, and in Kentucky, Educational Recovery 

Specialists will focus on coaching, mentoring and modeling effective instructional practices to increase 

the effectiveness of the school’s staff. Thirteen states plan to use technical assistance teams to support 

LEAs and SIG schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

19

Quality control measures for external providers. Eighteen states plan to support LEAs in accessing 

external providers and evaluating their quality. For example, the Colorado SEA plans to host an External 

Providers’ fair so that LEAs may attend the fair and obtain information on potential external partners. 

The Massachusetts SEA plans to qualify external providers based on the providers’ ability to support the 

“Essential Conditions” that the SEA has identified as critical to turning around schools. In Indiana, the 

SEA plans to approve LEAs’ external provider selections. 

Customized professional development. Sixteen states plan to customize professional development 

based on specific LEA and SIG school needs. For example, the Pennsylvania SEA intends to offer the 

Pennsylvania Inspired Leadership Initiative, which is designed to provide SIG-school leaders with 

knowledge and skills to implement standards-based reform and use data to inform decision-making. 

Improvement tools. Ten states will provide tools to support SIG school activities, including school 

improvement planning templates, needs assessments, budgeting documents, data analysis tools, 

teacher evaluations, and suggested guidelines for hiring new staff. For example, the New Mexico SEA 

developed the Web Educational Plan for Student Success (Web EPSS) tool which guides schools and 

districts through the process of conducting a school-wide needs assessment, and then tracking actions, 

responsibilities and progress toward increasing student achievement. The Ohio SEA plans to customize 

and enhance existing tools to target SIG-schools. One such tool is the Implementation 

Management/Monitoring (IMM) tool, which provides a way for Ohio LEAs to document how 

improvement plans will be implemented and how implementation will be measured. The IMM tool also 

provides an opportunity for LEAs and schools to identify needed resources, to assign individual 

responsibilities, and to set a timeline for implementation. In another example, the Colorado SEA 

developed the Expedited Diagnostic Review (EDR) for LEAs to identify the needs of Tier I and Tier II 

schools. Colorado School Support Team standards, indicators, and protocols were used to develop a 

review process with the primary goal of identifying root causes of a school’s poor academic performance 

and the best improvement strategy for the school.

Engaging stakeholders. Thirteen states plan to provide support to districts and schools by engaging 

stakeholders. Among these thirteen states, eight plan to facilitate support networks of SIG LEAs and 

schools. For example, Kansas will draw from an existing collaborative district and school improvement 

model—the Kansas Learning Network—to identify coaches for LEAs and SIG schools. The remaining 

five states plan to enlist partners, including institutions of higher education to support LEAs and SIG 

schools. For example, Minnesota plans to work with the University of Minnesota to develop the 

Minnesota Principals Academy for turnaround principals in order to increase the pool of high-caliber 

principals available for SIG schools in the state.
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Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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4. Analyses of SIG-Eligible and SIG-Awarded 

Schools

This section addresses the report’s second key question, which includes the following related questions:

• How many SIG-eligible and SIG-awarded schools are in each state? How are they distributed by 

Tier and by model?

• What are the characteristics of SIG-eligible and SIG-awarded schools? How do they compare to 

schools nationwide? 

• What is the level of SIG funding to awarded schools, overall and per pupil?

Section 4.1 describes how the data were collected, and Sections 4.2, 4.3 and 4.4 explore the questions 

above with these data.

Key Findings

• 15,277 schools, or 16 percent of all schools nationwide, were eligible for SIG.

• Given the program’s intent, SIG-awarded schools were, as expected, more likely to be 

high-poverty, high-minority, urban schools in comparison to elementary and secondary schools 

nationwide. They were also more likely to be high schools.

• Nearly three-quarters (74 percent) of SIG-awarded Tier I and Tier II schools are implementing

the transformation model.

• School-level SIG award amounts varied by Tier and by state. The average total award among 

Tier I and Tier II schools was $2.54 million, compared to $520,000 among Tier III schools. 

Additionally, the average three-year award for Tier I and Tier II schools in Illinois was 

$4.63 million compared to $620,000 in Vermont.

• The percentage increase in per-pupil funding associated with SIG varied across states. For 

example, Tier I and Tier II schools receiving SIG awards in Montana increased their per-pupil 

funding by 58 percent, while the increase was 3 percent in Vermont.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

22

4.1. Data Sources

The American Institutes for Research compiled a database of SIG-eligible and SIG-awarded schools. 

Information on SIG-eligible schools was obtained from state SIG applications for all 50 states and the 

District of Columbia on ED’s Web site (http://www2.ed.gov/programs/sif/summary/index.html). Data on 

SIG-awarded schools, including school names, intervention models, and award allocations, were derived 

from information available on the SEA Web sites. As of March 21, 2011, 49 states and the District of 

Columbia had provided information on SIG awards to LEAs and schools.15 The availability of specific data 

elements differed across states: for instance, data on intervention models were available for 48 states 

and the District of Columbia and total award allocations for 43 states and the District of Columbia.

Demographic data, including school enrollment, grade levels served, minority population, and poverty 

levels, were obtained from ED’s National Center for Education Statistics (NCES) Common Core of Data

(CCD) for 2008–09. Of the 15,277 schools eligible for SIG awards in 49 states and the District of 

Columbia, 40 schools were not included in the 2008–09 CCD. Of these 40 schools, 34 were identified as 

new public schools for the 2009–10 CCD collection. The remaining six had no record in CCD. Not all 

schools reported all of the data measures in CCD. To facilitate analysis, missing data on selected 

measures were replaced by 2007–08 CCD data, where possible. The number and percentage of 

remaining missing values for variables used in the report are as follow: 237 schools (1.6 percent) for the 

percent of free and reduced-price lunch eligible students, 19 schools (0.1 percent) for the percent of 

Native American students, 14 schools (<0.1 percent) for the percent of Asian, African-American, 

Hispanic, and White students and school enrollment.

4.2. Overview of SIG-Eligible and SIG-Awarded Schools

Exhibit 11 summarizes the distribution of SIG-eligible Tier I, II, and III schools for each state. Among 

49 states and the District of Columbia, 15,277 schools, or 16 percent of all schools nationwide, are 

eligible for School Improvement Grants under ARRA. By state, the proportion of schools eligible for SIG 

awards varies widely, ranging from 2 percent of schools in Oklahoma and South Carolina to over half 

(56 percent) of schools in the District of Columbia. The majority of SIG-eligible schools (86 percent) are 

Tier III schools, while Tier I and Tier II schools each represent approximately 7 percent of all eligible 

schools. California has the largest number of eligible schools, with 2,720 schools, of which 189 are Tier I 

and Tier II schools. Pennsylvania has the largest combined number of Tier I and Tier II schools (200). 

 

15 As of March 21, 2011, SIG award information was unavailable for Hawaii, which has therefore been excluded from all 

analyses of SIG-eligible and SIG-awarded schools. 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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Exhibit 11.

Distribution of SIG-Eligible Schools in Tiers I, II, and III, by State

Tier I Tier II Tier III

States Total

% of 

Schools 

Eligible N % N % N %

Total 15,277 15.5% 1,107 7.2% 1,034 6.8% 13,136 86.0%

Alabama 263 16.4% 41 15.6% 7 2.7% 215 81.7%

Alaska 139 27.4% 24 17.3% 7 5.0% 108 77.7%

Arizona 305 13.6% 24 7.9% 6 2.0% 275 90.2%

Arkansas 279 24.7% 14 5.0% 5 1.8% 260 93.2%

California 2,720 27.1% 140 5.1% 49 1.8% 2,531 93.1%

Colorado 280 15.7% 11 3.9% 56 20.0% 213 76.1%

Connecticut 234 20.3% 18 7.7% 5 2.1% 211 90.2%

D.C. 128 55.9% 10 7.8% 0 0.0% 118 92.2%

Delaware 28 11.7% 5 17.9% 6 21.4% 17 60.7%

Florida 829 20.8% 52 6.3% 19 2.3% 758 91.4%

Georgia 217 8.7% 26 12.0% 9 4.1% 182 83.9%

Idaho 165 22.4% 8 4.8% 5 3.0% 152 92.1%

Illinois 738 16.8% 40 5.4% 20 2.7% 678 91.9%

Indiana 290 14.7% 37 12.8% 27 9.3% 226 77.9%

Iowa 130 8.7% 6 4.6% 29 22.3% 95 73.1%

Kansas 49 3.4% 5 10.2% 13 26.5% 31 63.3%

Kentucky 108 7.0% 5 4.6% 5 4.6% 98 90.7%

Louisiana 320 19.5% 24 7.5% 7 2.2% 289 90.3%

Maine 54 8.1% 5 9.3% 5 9.3% 44 81.5%

Maryland 72 4.9% 5 6.9% 11 15.3% 56 77.8%

Massachusetts 676 36.4% 57 8.4% 43 6.4% 576 85.2%

Michigan 228 5.6% 10 4.4% 98 43.0% 120 52.6%

Minnesota 294 13.0% 21 7.1% 13 4.4% 260 88.4%

Mississippi 225 20.7% 7 3.1% 92 40.9% 126 56.0%

Missouri 459 18.9% 21 4.6% 32 7.0% 406 88.5%

Montana 130 15.6% 7 5.4% 0 0.0% 123 94.6%

Nebraska 52 4.6% 9 17.3% 19 36.5% 24 46.2%

Nevada 139 22.5% 11 7.9% 8 5.8% 120 86.3%

New Hampshire 158 32.0% 13 8.2% 5 3.2% 140 88.6%

New Jersey 206 8.0% 20 9.7% 12 5.8% 174 84.5%

New Mexico 32 3.6% 20 62.5% 9 28.1% 3 9.4%

New York 438 9.3% 49 11.2% 8 1.8% 381 87.0%

North Carolina 769 30.0% 8 1.0% 33 4.3% 728 94.7%

North Dakota 72 13.5% 5 6.9% 5 6.9% 62 86.1%

Ohio 786 20.4% 55 7.0% 13 1.7% 718 91.3%

Oklahoma 44 2.4% 11 25.0% 9 20.5% 24 54.5%

Oregon 75 5.7% 6 8.0% 11 14.7% 58 77.3%

Pennsylvania 431 13.3% 93 21.6% 107 24.8% 231 53.6%

Rhode Island 43 13.1% 6 14.0% 5 11.6% 32 74.4%

South Carolina 28 2.3% 15 53.6% 13 46.4% * *

South Dakota 61 8.3% 5 8.2% 7 11.5% 49 80.3%

Tennessee 118 6.7% 10 8.5% 5 4.2% 103 87.3%

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

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Exhibit 11. (continued)

Distribution of SIG-Eligible Schools in Tiers I, II, and III, by State

Tier I Tier II Tier III

States Total

% of 

Schools 

Eligible N % N % N %

Total 15,277 15.5% 1,107 7.2% 1,034 6.8% 13,136 86.0%

Texas 1,644 19.3% 69 4.2% 113 6.9% 1,462 88.9%

Utah 60 5.8% 18 30.0% 18 30.0% 24 40.0%

Vermont 69 21.1% 5 7.2% 5 7.2% 59 85.5%

Virginia 65 3.2% 11 16.9% 11 16.9% 43 66.2%

Washington 480 20.6% 26 5.4% 21 4.4% 433 90.2%

West Virginia 33 4.3% 5 15.2% 12 36.4% 16 48.5%

Wisconsin 62 2.7% 5 8.1% 7 11.3% 50 80.6%

Wyoming 52 14.4% 9 17.3% 9 17.3% 34 65.4%

Exhibit reads: 1,107 schools were identified as Tier I, representing 7.2 percent of all SIG-eligible schools 

nationwide.

Source: Approved state SIG applications.

Notes: The number of SIG-eligible schools included in this exhibit was 15,277 schools in 49 states and D.C. (As of 

March 21, 2011, SIG award information was unavailable for HI). The mean number of total SIG-eligible schools per 

state was 306 (S.D.=456). The mean number of SIG-eligible schools per state was 22 (S.D.=26) for Tier I, 21 

(S.D.=27) for Tier II, and 263 (S.D.=423) for Tier III.

*The approved state SIG application for SC did not provide Tier III schools in its list of eligible schools.

Exhibit 12 summarizes the distribution of SIG-awarded Tier I, II, and III schools for each state. Among the 

49 states (and the District of Columbia) with available data, 1,228 schools have been awarded SIG funds, 

of which 42 percent are Tier I schools and 25 percent are Tier II schools. Eleven states awarded SIG funds 

to Tier III schools. Tier III schools constitute the majority of SIG-eligible schools (86 percent) but the

minority of SIG-awarded schools (33 percent). With 105 SIG-awarded schools, Kentucky funded both the 

largest number of schools and the largest proportion of SIG-eligible schools (97 percent); among states 

with available information, Delaware has the fewest SIG-awarded schools (2 schools). 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

25

Exhibit 12.

Distribution of SIG-Awarded Schools in Tiers I, II, and III, by State

Tier I Tier II Tier III

States Total N % N % N %

Total 1,228 514 41.9% 312 25.4% 402 32.7%

Alabama 11 9 81.8% 2 18.2% 0 0.0%

Alaska 7 7 100.0% 0 0.0% 0 0.0%

Arizona 19 14 73.7% 5 26.3% 0 0.0%

Arkansas 7 5 71.4% 2 28.6% 0 0.0%

California 92 67 72.8% 25 27.2% 0 0.0%

Colorado 19 10 52.6% 9 47.4% 0 0.0%

Connecticut 14 10 71.4% 4 28.6% 0 0.0%

D.C. 10 10 100.0% 0 0.0% 0 0.0%

Delaware 2 0 0.0% 2 100.0% 0 0.0%

Florida 77 52 67.5% 19 24.7% 6 7.8%

Georgia 26 21 80.8% 5 19.2% 0 0.0%

Idaho 6 3 50.0% 3 50.0% 0 0.0%

Illinois 10 4 40.0% 6 60.0% 0 0.0%

Indiana 7 4 57.1% 3 42.9% 0 0.0%

Iowa 6 6 100.0% 0 0.0% 0 0.0%

Kansas 6 4 66.7% 2 33.3% 0 0.0%

Kentucky 105 5 4.8% 5 4.8% 95 90.5%

Louisiana 32 1 3.1% 1 3.1% 30 93.8%

Maine 6 3 50.0% 3 50.0% 0 0.0%

Maryland 11 5 45.5% 6 54.5% 0 0.0%

Massachusetts 12 12 100.0% 0 0.0% 0 0.0%

Michigan 28 3 10.7% 25 89.3% 0 0.0%

Minnesota 19 11 57.9% 8 42.1% 0 0.0%

Mississippi 8 2 25.0% 6 75.0% 0 0.0%

Missouri 32 14 43.8% 18 56.3% 0 0.0%

Montana 6 6 100.0% 0 0.0% 0 0.0%

Nebraska 7 7 100.0% 0 0.0% 0 0.0%

Nevada 10 6 60.0% 4 40.0% 0 0.0%

New Hampshire 7 5 71.4% 2 28.6% 0 0.0%

New Jersey 12 4 33.3% 8 66.7% 0 0.0%

New Mexico 9 9 100.0% 0 0.0% 0 0.0%

New York 25 22 88.0% 3 12.0% 0 0.0%

North Carolina 24 6 25.0% 18 75.0% 0 0.0%

North Dakota 38 1 2.6% 0 0.0% 37 97.4%

Ohio 41 25 61.0% 10 24.4% 6 14.6%

Oklahoma 10 10 100.0% 0 0.0% 0 0.0%

Oregon 12 5 41.7% 7 58.3% 0 0.0%

Pennsylvania 58 32 55.2% 26 44.8% 0 0.0%

Rhode Island 6 6 100.0% 0 0.0% 0 0.0%

South Carolina 19 9 47.4% 10 52.6% 0 0.0%

South Dakota 18 1 5.6% 1 5.6% 16 88.9%

Tennessee 72 10 13.9% 2 2.8% 60 83.3%

Texas 66 30 45.5% 18 27.3% 18 27.3%

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

26

Exhibit 12. (continued)

Distribution of SIG-Awarded Schools in Tiers I, II, and III, by State

Tier I Tier II Tier III

States Total N % N % N %

Total 1,228 514 41.9% 312 25.4% 402 32.7%

Utah 7 5 71.4% 2 28.6% 0 0.0%

Vermont 66 5 7.6% 5 7.6% 56 84.8%

Virginia 58 11 19.0% 7 12.1% 40 69.0%

Washington 18 8 44.4% 10 55.6% 0 0.0%

West Virginia 15 4 26.7% 11 73.3% 0 0.0%

Wisconsin 46 5 10.9% 6 13.0% 35 76.1%

Wyoming 6 0 0.0% 3 50.0% 3 50.0%

Exhibit reads: 514 Tier I schools were awarded SIG nationwide, representing 41.9 percent of all SIG-awarded 

schools nationwide.

Source: SEA Web sites.

Notes: The number of SIG-awarded schools included in this exhibit was 1,228 schools in 49 states and D.C. (As of 

March 21, 2011, SIG award information was unavailable for HI). The mean number of total SIG-awarded schools 

per state was 25 (S.D.=25). The mean number of SIG-awarded schools per state was 10 (S.D.=12) for Tier I, 

6 (S.D.=7) for Tier II, and 8 (S.D.=19) for Tier III.

4.3. Characteristics of SIG-Eligible and SIG-Awarded Schools

Exhibit 13 provides summary characteristics of SIG-eligible schools, SIG-awarded schools, and all schools 

nationwide. Compared to the overall population of elementary and secondary schools, SIG-awarded 

schools in the 49 states (and the District of Columbia) for which data on SIG awards are available are 

more likely to be high-poverty, high-minority, urban schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

27

Exhibit 13.

Characteristics of the Universe of Schools, SIG-Eligible Schools and

SIG-Awarded Schools

Characteristics

Universe of 

Schools

SIG-Eligible 

Schools

SIG-Awarded 

Schools

School Level (percent of schools)

Elementary 54.3% 55.3% 32.2%*

Middle 17.0% 20.1% 22.1%*

High 20.6% 19.1% 40.4%*

Non-standard 8.1% 5.5% 5.2%

School Type (percent of schools)

Regular 90.0% 93.9% 92.3%

Alternative 6.3% 5.0% 6.1%

Special Education 2.3% 0.8% 0.9%

Vocational 1.4% 0.3% 0.7%*

Charter school status (percent of schools) 4.7% 6.3% 5.5%

Urbanicity (percent of schools)

Large or Middle-Sized City 26.0% 44.9% 52.5%*

Urban Fringe and Large Town 41.9% 35.2% 24.3%*

Small Town and Rural Area 32.1% 19.9% 23.2%*

Free and Reduced-Price Lunch (school average percent 

of students)a 44.7% 68.3% 68.4%

Race/Ethnicity (school average percent of students)a

White 55.0% 26.7% 26.5%

African American 17.0% 28.0% 41.9%*

Hispanic 21.5% 39.6% 26.9%*

Native American 1.3% 1.5% 2.1%

Asian 4.7% 3.7% 2.4%*

Total School Enrollment (school average) 516 597 664*

Exhibit reads: 54.3 percent of schools nationwide were elementary schools. Among SIG-eligible schools 

nationwide, 55.3 percent were elementary schools; among SIG-awarded schools nationwide, 32.2 percent were 

elementary schools.

Source: 2008–09 Common Core of Data; Approved state SIG applications; SEA Web sites.

Notes: Analyses were based on 98,648 schools in 49 states and D.C., 15,237 SIG-eligible schools in 49 states and

D.C. (Of the 15,277 schools eligible for SIG awards in 49 states and the District of Columbia, 40 schools were not 

included in the 2008–09 CCD), and 1,228 SIG-awarded schools in 49 states and D.C. (As of March 21, 2011, SIG 

award information was unavailable for HI). Due to missing data in CCD, analysis samples vary across school 

characteristics, and thus estimates may contain inaccuracies. For example, 7 percent of the universe of schools, 

2.3 percent of SIG-eligible schools, and 1.0 percent of SIG-awarded schools were missing data for at least one of 

the variables. The variable with the most missing data was percent of free and reduced-price lunch students.

Percentage values for characteristics with multiple categories may not sum to 100 due to rounding.

Statistical significance was determined based on one-sample tests of proportion for categorical variables and 

t-tests for continuous variables. All differences between the universe of schools and SIG-eligible schools were 

significant at the p ≤ .05 level. All differences between the universe of schools and SIG-awarded schools were 

significant at the p ≤ .05 level except for alternative school type and charter school status. For comparisons 

between SIG-eligible and SIG-awarded schools, two-tailed statistical significance at the p ≤ .05 level is indicated by 

an asterisk (*).

Non-standard refers to those schools with a grade configuration not falling within the elementary, middle, or high 

school categories. 

a Student characteristics are weighted in proportion to the number of students enrolled in a school.

SIG-awarded schools are also more likely to be high schools: high schools constitute 21 percent of 

schools nationwide and 19 percent of SIG-eligible schools, but constitute 40 percent of SIG-awarded

schools. In four states (Alaska, Delaware, Georgia, and Illinois), all of the SIG-awarded schools include 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

28

high school grades, and in another four states (New Mexico, Mississippi, Oregon, and Texas), over 

75 percent of the SIG-awarded schools are high schools.

Exhibit 14 depicts the poverty levels in SIG-eligible and SIG-awarded schools by tier. Among SIG-eligible 

and SIG-awarded Tier I schools, 73 percent and 70 percent, respectively, are high poverty (i.e., schools in 

which at least 75 percent of students received free or reduced-price lunch). Tier II and III schools are less 

likely to be high poverty than Tier I schools—37 percent of SIG-eligible Tier II schools and 36 percent of 

SIG-awarded Tier II schools are high poverty; among Tier III schools, 47 percent of SIG-eligible schools 

have high poverty enrollments, compared to 35 percent of SIG-awarded schools.

Exhibit 14.

Percentage Distribution of SIG Schools by Poverty Level, for Tier I, II, and III

SIG-Eligible and SIG-Awarded Schools

Schools Eligible to Receive School Improvement Grants

Schools Awarded School Improvement Grants

Exhibit reads: 73 percent of Tier I SIG-eligible schools enroll at least 75 percent of students from low-income 

families.

Source: 2008–09 Common Core of Data; Approved state SIG applications; SEA Web sites.

Notes: Analysis of SIG-eligible schools in 49 states and D.C. were based on 1,078 of 1,107 Tier I schools, 1,000 of 

1,034 Tier II schools, and 12,922 of 13,136 Tier III schools. Analysis of SIG-awarded schools in 49 states and D.C. 

were based on 511 of 514 Tier I schools, 308 of 312 Tier II schools, and 397 of 402 Tier III schools.

As of March 21, 2011, SIG award information was unavailable for HI

Exhibit 15 shows the minority levels (i.e., the percentage of non-white students) in SIG-eligible and 

SIG-awarded schools by tier. Among SIG-eligible and SIG-awarded Tier I schools, the percentage of 

high-minority schools (those with at least 75 percent minority enrollment) is 85 percent and 86 percent, 

respectively. The percentage of high-minority schools is similar for SIG-eligible (51 percent) and 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

29

SIG-awarded (54 percent) Tier II schools, although at levels lower than those observed for Tier I schools. 

Among Tier III schools, SIG-awarded schools are less likely to be high minority than SIG-eligible schools—

32 percent of SIG-awarded schools were high-minority, compared to 55 percent of SIG-eligible schools.

Exhibit 15.

Percentage Distribution of SIG Schools by Minority Level, for Tier I, II, and III

SIG-Eligible and SIG-Awarded Schools

Schools Eligible to Receive School Improvement Grants

Schools Awarded School Improvement Grants

Exhibit reads: 85 percent of Tier I SIG-eligible schools have a minority concentration of 75 percent or greater.

Source: 2008–09 Common Core of Data; Approved state SIG applications; SEA Web sites.

Notes: Analysis of SIG-eligible schools in 49 states and D.C. were based on 1,105 of 1,107 Tier I schools, 1,033 of 

1,034 Tier II schools, and 13,085 of 13,136 Tier III schools. Analysis of SIG-awarded schools in 49 states and D.C. 

were based on 514 of 514 Tier I schools, 312 of 312 Tier II schools, and 398 of 402 Tier III schools. As of March 21, 

2011, SIG award information was unavailable for HI.

The SIG Final Requirements (section II.A.2(b)) specify that an LEA with nine or more Tier I and Tier II 

SIG-awarded schools may not implement the transformation model in more than 50 percent of those 

schools. Among the states with available data, thirteen districts have nine or more SIG-awarded Tier I 

and Tier II schools and are subject to this requirement (see Exhibit 16).

Focusing on all three tiers of SIG-awarded schools, the minority of schools (359 of the 

1,228 SIG-awarded schools, or 29 percent) are the only SIG-awarded school in their district, while the 

majority of districts with SIG-awarded schools (62 percent) have only one SIG-awarded school (see 

Exhibit 16). In contrast, 43 districts (7 percent of the 576 districts with SIG-awarded schools) across 

24 states and the District of Columbia have 5 or more SIG-awarded schools. The district with the largest

number of SIG-awarded schools is Milwaukee, Wisconsin, with 46 SIG schools, which accounts for 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

30

4 percent of all SIG-awarded schools (see Exhibit 17). Additionally, 170 of the 576 districts with 

SIG-awarded schools serve only Tier III schools.

Exhibit 16.

Number of SIG-Awarded Schools in Districts Receiving SIG Funds

 Districts With At Least One

SIG-Awarded Tier I or Tier II School

Districts With At Least One

SIG-Awarded School

# of Awarded 

Schools

in District Number of Districts % of Districts Number of Districts % of Districts

1 school 260 64.0% 359 62.3%

2 schools 64 15.8% 105 18.2%

3 schools 37 9.1% 48 8.3%

4 schools 13 3.2% 21 3.6%

5 schools 5 1.2% 8 1.4%

6 schools 9 2.2% 10 1.7%

7 schools 4 1.0% 6 1.0%

8 schools 1 0.2% 1 0.2%

9 or more schools 13 3.2% 18 3.1%

Exhibit reads: Of the 406 districts with at least one SIG-awarded Tier I or Tier II school, 260 districts have 

one awarded Tier I or Tier II school.

Source: SEA Websites.

Notes: The number of districts included in this exhibit is 406 districts with at least one SIG-awarded Tier I or Tier II 

school and 576 districts with at least one SIG-awarded school in 49 states and D.C. As of March 21, 2011, SIG 

award information was unavailable for HI.

Geographic districts in New York City were aggregated into a single entity for New York City Public Schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

31

Exhibit 17.

Number of SIG-Awarded Schools in Districts With 5 or More SIG-Awarded Schools

District N

Milwaukee, WI 46

Philadelphia, PA 27

Jefferson County, KY 26

Memphis, TN 20

Davidson County, TN 20

Miami-Dade County, FL 19

Cleveland, OH 12

San Bernardino, CA 11

Duval County, FL 11

St. Louis, MO 11

New York City, NY 11

San Francisco, CA 10

Hardin County, KY 10

Boston, MA 10

Sioux Falls, SD 10

Los Angeles, CA 9

Denver, CO 9

District of Columbia 9

Burlington, VT 8

Baltimore City, MD 7

Washoe County, NV 7

Columbus, OH 7

District N

Pittsburgh, PA 7

Hamilton County, TN 7

Knox County, TN 7

Santa Ana, CA 6

Pueblo, CO 6

Osceola County, FL 6

Fayette County, KY 6

Detroit, MI 6

Minneapolis, MN 6

Cincinnati, OH 6

Tulsa, OK 6

Allentown, PA 6

Houston, TX 6

Recovery School District, LA 5

Terrebonne Parish, LA 5

Grand Rapids, MI 5

Newark, NJ 5

Rochester, NY 5

Minot, ND 5

Providence, RI 5

Kanawha County, WV 5

Exhibit reads: Milwaukee, WI has 46 SIG-awarded schools.

Source: SEA Websites.

Notes: The number of districts included in this exhibit is 43 districts in 24 states and D.C.

SIG-Awarded schools include Tier I, Tier II, and Tier III schools.

Geographic districts in New York City were aggregated into a single entity for New York City Public Schools.

Exhibit 18 displays the distribution of SIG intervention models adopted for SIG-awarded Tier I and II 

schools. Among the 49 states and the District of Columbia with available data, the transformation model 

was the predominant choice: this model was adopted for 603 (74 percent) of the SIG-awarded Tier I and 

Tier II schools. In 16 states, the transformation model was the only intervention model adopted for

SIG-awarded Tier I and II schools (see Appendix C). In 11 states and the District of Columbia, schools are 

implementing three of the four intervention models, and, in three states—California, Colorado, and 

Pennsylvania—all four intervention models are represented. The adoption of intervention models varied 

significantly by urbanicity: the transformation model was adopted for 96 percent of rural SIG-awarded 

schools, compared to 66 percent of urban SIG-awarded schools. Likewise, while the turnaround model 

was adopted for 26 percent of urban SIG-awarded schools, it was adopted for just 2 percent of rural 

SIG-awarded schools (these differences are significant at the p ≤ .05 level). 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

32

Exhibit 18.

Percent and Number of SIG-Awarded Tier I and Tier II Schools Implementing 

Turnaround, Restart, School Closure, and Transformation Models

Exhibit reads: 168 Tier I and Tier II schools are implementing the “turnaround” model, representing 20 percent of 

the 820 Tier I and Tier II SIG-awarded schools nationwide, for which intervention model information was available.

Source: SEA Web sites.

Notes: Analysis was based on 820 SIG-awarded Tier I and Tier II schools in 49 states and D.C. Information on 

intervention models was not available for all six SIG-awarded schools in RI. As of March 21, 2011, SIG award 

information was unavailable for HI.

Tier III schools are excluded from the exhibit since federal rules do not require Tier III schools to implement one of 

the four intervention models.

4.4. SIG Funding to States and Schools

SIG awards were allocated to states based on state Title I funding formulas; the total allocations ranged 

from $415.8 million in California to $8.6 million in Vermont (see Exhibit 19). Overall, ED has disbursed 

$3.19 billion in SIG awards to states. The average state award was $65 million, and the median state 

award was $39.7 million.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

33

Exhibit 19.

State School Improvement Grant 1003 (g) Program Allocations

Exhibit reads: California was allocated $415,844,376 for the School Improvement Grant 1003 (g) program through 

the American Recovery and Reinvestment Act of 2009 and the FY 2009 budget.

Source: Fiscal Year 2009-FY 2011 President’s Budget State Tables for the U.S. Department of Education 

(http://www2.ed.gov/about/overview/budget/statetables/11stbyprogram.pdf) 

Notes: This exhibit includes all 50 states and D.C.

Exhibit 20 presents school and per-pupil average SIG award amounts by tier, intervention model, school 

size, and school level. The SIG Final Requirements (section II.B.5) specify that the LEA’s total SIG 

subgrant must be between $50,000 and $2,000,000 per year for each SIG-awarded Tier I, Tier II, and Tier 

III school. On average, Tier I and II schools received total awards of $2.6 million and $2.47 million, 

respectively. In terms of annual per-pupil allocations, Tier I schools received the largest awards ($1,490

per pupil), and Tier III schools received the smallest allocation ($330 per pupil). Among the different 

intervention models, turnaround schools received the largest total awards ($2.96 million per school), 
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

34

while closure schools, not surprisingly, received the lowest level of funding.

16 By school level, high 

schools received the largest total allocation ($2.37 million), whereas non-standard schools (i.e., schools 

with a grade configuration not falling within the elementary, middle, or high school categories) receive 

the highest per-pupil grants ($1,880).

Exhibit 20.

Average Total SIG Award and Annual Per-Pupil Award, by Tier, SIG Model, School Size, 

and School Level

Total Award Per School (in millions of dollars) Annual Per-Pupil Award

N Mean S.D. Mean S.D.

Tier

Tier I 397 $2.60 1.49 $1,490 1,210

Tier II 260 $2.47 1.53 $1,130 1,450

Tier III 354 $0.52 0.84 $330 410

Intervention Model

Turnaround 131 $2.96 1.53 $1,630 1,590

Restart 31 $2.71 1.59 $1,210 910

Closure 11 $0.10 0.10 $380 360

Transformation 484 $2.48 1.45 $1,270 1,280

Tier III SI Strategies 354 $0.52 0.84 $330 410

School Size

200 or fewer students 142 $1.42 1.18 $3,860 4,300

201-400 students 250 $1.37 1.28 $1,540 1,400

401-600 students 238 $1.57 1.47 $1,070 990

601 or more students 377 $2.48 1.87 $760 570

School Level

Elementary 334 $1.37 1.42 $1,100 1,100

Middle 236 $1.61 1.66 $1,020 1,090

High 383 $2.37 1.67 $910 1,140

Non-standard 54 $1.99 1.33 $1,880 2,780

Exhibit reads: Among Tier I SIG-awarded schools nationwide, the average total award was $2.6 million per school.

Source: 2008–09 Common Core of Data; SEA Web sites.

Notes: Analyses were based on 1,011 SIG-awarded schools in 43 states and D.C. Total SIG awards were not 

available for AR, FL, MO, NY, RI and WI (NY and WI are approving funds for schools on a year-by-year basis, and 

thus have announced year 1 award allocations only). Additionally, school-level award allocations were unavailable 

for 2 schools in CA, 7 schools in GA, and 15 schools in TX. The analysis sample for school size, school level, and 

annual per-pupil awards was 1,007 SIG-awarded schools, since 4 Tier III schools in LA did not have records in the 

2008–09 CCD. As of March 21, 2011, SIG award information was unavailable for HI.

Tier III SI strategies refer to all school improvement strategies adopted for SIG-awarded Tier III schools (Federal 

rules do not require Tier III schools to implement one of the four intervention models).

Non-standard refers to those schools with a grade configuration not falling within the elementary, middle, or high 

school categories. 

*Annual per-pupil awards were calculated for each SIG-awarded school by dividing the total SIG award by the 

number of years of the grant (3 years for 907 schools, 2 years for 1 school, and 1 year for 99 schools) and then by 

the school’s student enrollment. Per-pupil amounts were then averaged, weighting each school’s per-pupil award 

amount in proportion to the number of students enrolled.

 

16 Schools that are closing receive one-year SIG awards, in contrast to the three-year awards typically granted to schools 

implementing one of the three other intervention models. Costs associated with school closure include notifying parents and 

the community of closure, transferring students, teachers, and other school staff to new schools, and supporting schools 

receiving transferred students.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

35

Exhibit 21 shows the average total per-school and per-pupil SIG awards for each state’s Tier I and II 

schools only. (Because Tier III schools received smaller SIG awards, on average, these data are presented

separately in Exhibit 22.) Overall, the average total award is $2.54 million per school, while the annual

per-pupil award is $1,330. In five states, the average annual per-pupil award exceeded $3,000, while in 

three states, the annual per-pupil award was less than $600. Among the 43 states and the District of 

Columbia with available data, average total school-level SIG awards varied, ranging from $620,000 in 

Vermont to $4.63 million in Illinois.

Exhibit 21.

Average Total SIG Award and Annual Per-Pupil Award for SIG-Awarded

Tier I and II Schools, Overall and by State

Total Award Per School (in millions of dollars) Annual Per-Pupil Award

States N Mean S.D. Mean S.D.

Total 657 $2.54 1.51 $1,330 1,330

Alabama 11 $3.76 1.09 $3,740 4,550

Alaska 7 $1.46 0.27 $2,690 520

Arizona 19 $2.29 1.08 $2,660 1,710

California 90 $4.14 1.58 $1,420 1,060

Colorado 19 $1.74 0.89 $1,050 550

Connecticut 14 $1.67 0.42 $800 550

D.C. 10 $1.15 0.46 $870 540

Delaware 2 $1.59 0.30 $640 30

Georgia 19 $2.95 0.68 $1,160 770

Idaho 6 $0.53 0.09 $650 610

Illinois 10 $4.63 1.34 $1,220 890

Indiana 7 $4.23 1.97 $2,570 1,950

Iowa 6 $2.94 0.67 $1,680 930

Kansas 6 $4.24 1.75 $3,150 1,190

Kentucky 10 $1.32 0.08 $660 320

Louisiana 2 $1.08 0.27 $380 20

Maine 6 $1.78 0.90 $1,560 760

Maryland 11 $2.71 0.78 $1,560 480

Massachusetts 12 $2.15 0.82 $1,180 390

Michigan 28 $2.96 1.54 $1,420 900

Minnesota 19 $1.25 0.27 $1,040 490

Mississippi 8 $4.06 1.10 $2,030 1,020

Montana 6 $1.83 1.29 $8,620 2,730

Nebraska 7 $1.81 0.71 $3,650 1,790

Nevada 10 $1.53 0.54 $580 420

New Hampshire 7 $1.03 0.09 $1,010 820

New Jersey 12 $3.77 1.17 $1,590 980

New Mexico 9 $2.95 1.35 $2,540 960

North Carolina 24 $2.38 0.79 $1,470 1,720

North Dakota 1 $1.06 0.00 $7,510 0

Ohio 35 $2.43 0.94 $1,450 1,480

Oklahoma 10 $3.69 0.91 $1,740 1,150

Oregon 12 $2.73 1.11 $1,760 1,170

Pennsylvania 58 $1.77 0.83 $670 400

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

36

Exhibit 21. (continued)

Average Total SIG Award and Annual Per-Pupil Award for SIG-Awarded

Tier I and II Schools, Overall and by State

Total Award Per School (in millions of dollars) Annual Per-Pupil Award

States N Mean S.D. Mean S.D.

Total 657 $2.54 1.51 $1,330 1,330

South Carolina 19 $1.72 0.49 $1,270 490

South Dakota 2 $0.63 0.23 $2,780 370

Tennessee 12 $2.13 0.06 $820 230

Texas 40 $3.18 1.74 $2,410 3,330

Utah 7 $1.76 0.54 $800 400

Vermont 10 $0.62 0.11 $410 210

Virginia 18 $2.03 1.47 $1,130 930

Washington 18 $2.22 1.19 $1,310 530

West Virginia 15 $0.98 0.31 $690 300

Wyoming 3 $1.12 0.28 $2,240 400

Exhibit reads: Among Tier I and II SIG-awarded schools nationwide, the average total school award was $2.54 

million, and the average annual per-pupil award was $1,330.

Source: 2008–09 Common Core of Data; SEA Web sites.

Notes: Analyses were based on 657 SIG-awarded Tier I and II schools in 43 states and D.C.

Total SIG awards were not available for AR, FL, MO, NY, RI and WI (NY and WI are only approving funds for schools 

on a year-by-year basis, and thus have announced year 1 award allocations only). Additionally, school-level award 

allocations were unavailable for 2 schools in CA, 7 schools in GA, and 8 schools in TX. As of March 21, 2011, SIG 

award information was unavailable for HI.

*Annual per-pupil awards were calculated for each SIG-awarded school by dividing the total SIG award by the 

number of years of the grant (3 years for 646 schools and 1 year for 11 schools) and then by the school’s student 

enrollment. Per-pupil amounts were then averaged, weighting each school’s per-pupil award amount in 

proportion to the number of students enrolled.

Relative to Tier I and Tier II SIG-awarded schools, an average Tier III SIG-awarded school received less 

funding, often because states opted to allocate the SIG funds across large numbers of Tier III schools. 

For example, Kentucky and Vermont funded 97 percent and 95 percent of their Tier III schools, resulting 

in annual per-pupil awards of $180 and $150, respectively. However, 3 states (Ohio, Texas, and 

Wyoming) funded 11 Tier III schools or fewer, and the Tier III SIG-awarded schools received larger 

awards—as much as $1,520 per-pupil in Ohio. The average total award amount for Tier III schools in 

Texas was $4.51 million, while the next highest average award was $1.66 million in Ohio (see Exhibit 22).
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

37

Exhibit 22.

Average Total SIG Award and Annual Per-Pupil Award for SIG-Awarded Tier III Schools, 

Overall and by State

Total Award Per School (in millions of dollars) Annual Per-Pupil Award

States N Mean S.D. Mean S.D.

Total 354 $0.52 0.84 $330 410

Kentucky 95 $0.35 0.19 $180 110

Louisiana 30 $0.91 0.26 $900 460

North Dakota 37 $0.15 0.07 $490 260

Ohio 6 $1.66 1.15 $1,520 880

South Dakota 16 $0.42 0.13 $320 230

Tennessee 60 $0.38 0.38 $150 160

Texas 11 $4.51 1.37 $1,130 740

Vermont 56 $0.06 0.01 $150 90

Virginia 40 $0.55 0.10 $350 160

Wyoming 3 $0.82 0.46 $910 390

Exhibit reads: Among Tier III SIG-awarded schools nationwide, the average total award was $0.52 million, and the 

average annual per-pupil award was $330.

Source: 2008–09 Common Core of Data; SEA Web sites.

Notes: Analyses were based on 354 SIG-awarded schools in 10 states that awarded SIG to Tier III schools.

Total SIG awards were not available for two states that awarded SIG to Tier III schools—FL and WI (WI is only 

approving funds for schools on a year-by-year basis, and thus has announced year 1 award allocations only). 

Additionally, school-level award allocations were unavailable for 7 Tier III schools in TX. As of March 21, 2011, SIG 

award information was unavailable for HI. The analysis sample for annual per-pupil awards was 350 SIG-awarded 

schools, since 4 Tier III schools in LA did not have records in the 2008–09 CCD.

*Annual per-pupil awards were calculated for each SIG-awarded school by dividing the total SIG award by the 

number of years of the grant (3 years for 265 schools, 2 years for 1 school, and 1 year for 88 schools) and then by 

the school’s student enrollment. Per-pupil amounts were then averaged, weighting each school’s per-pupil award 

amount in proportion to the number of students enrolled.

Exhibit 23 displays the average percentage increase in per-pupil spending from the SIG award over the 

baseline spending level (given in parentheses) for Tier I and Tier II SIG-awarded schools in each state. 

The unweighted average increase among the 43 states (and the District of Columbia) is 18.6 percent, 

while the weighted average (by student enrollment) represents a 15.1 percent increase in per-pupil 

funding across states.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

38

Exhibit 23.

Percentage Increase in Annual Per-Pupil Funding from SIG Funding for

SIG-Awarded Tier I and II Schools, by State

Exhibit reads: Among SIG-awarded Tier I and II schools in Montana, the average per-pupil SIG award represents a 

58 percent increase in annual per-pupil funding.

Source: 2008–09 Common Core of Data; SEA Web sites.

Notes: Analyses were based on 651 SIG-awarded Tier I and II schools in 43 states and D.C. Total SIG awards were 

not available for AR, FL, MO, NY, RI and WI (NY and WI are only approving funds for schools on a year-by-year 

basis, and thus have announced year 1 award allocations only). Additionally, school-level award allocations were 

unavailable for 2 schools in CA, 7 schools in GA, and 8 schools in TX. Base per-pupil funding was unavailable for 

6 schools (2 schools in CA, 2 schools in GA, and 2 schools in IN).

Annual per-pupil awards were calculated for each SIG-awarded school by dividing the total SIG award by the 

number of years of the grant (3 years for 640 schools and 1 year for 11 schools) and then by the school’s student 

enrollment.

The percentage increase in annual per-pupil funding for each school is calculated as the percentage of the school’s 

annual SIG per-pupil award relative to the annual per-pupil spending on instruction, support services (student 

support services, instructional staff, and school administration), and operation and maintenance for the district in 

which the school is located. This district measure is used as a proxy for per-pupil school-level spending

(2008–09 base per-pupil spending figures from the CCD are CPI-adjusted to 2010 dollars). State averages were 

then calculated, weighting each school’s percentage increase in proportion to the number of students enrolled.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

39

Because states’ funding strategies for Tier III schools differ from those for Tier I and Tier II schools, the 

percentage increase in annual per-pupil funding from SIG for Tier III schools are presented separately in 

Exhibit 24. The unweighted average increase in per-pupil funds among the ten states is 4.1 percent, 

while the weighted average (by student enrollment) is 7.2 percent. Thus, Tier I and Tier II SIG-awarded 

schools received, on average, greater funding increases over baseline spending with SIG than Tier III 

schools. However, there are variations by state: Tier III schools in Ohio received a greater funding 

increase (19 percent) than Tier I and Tier II schools in Ohio (13 percent). Also, although the average total 

award for SIG-awarded Tier III schools in Texas was over $4 million per school, Ohio still ranks higher in 

terms of the percentage increase in annual per-pupil funding from SIG.

Exhibit 24.

Percentage Increase in Annual Per-Pupil Funding from SIG Funding for

SIG-Awarded Tier III Schools, by State

Exhibit reads: Among SIG-awarded Tier III schools in Ohio, the average per-pupil SIG award represents a 

19 percent increase in annual per-pupil funding.

Source: 2008–09 Common Core of Data; SEA Web sites.

Notes: Analyses were based on 346 SIG-awarded Tier III schools in 10 states that awarded SIG to Tier III schools. 

Total SIG awards were not available for two states that awarded SIG to Tier III schools—FL and WI (WI is only 

approving funds for schools on a year-by-year basis, and thus has announced year 1 award allocations only). 

Additionally, school-level award allocations were unavailable for 7 Tier III schools in TX. Base per-pupil funding was 

unavailable for 8 Tier III schools in LA. As of March 21, 2011, SIG award information was unavailable for HI.

Annual per-pupil awards were calculated for each SIG-awarded school by dividing the total SIG award by the 

number of years of the grant (3 years for 257 schools, 2 years for 1 school, and 1 year for 88 schools) and then by 

the school’s student enrollment.

The percentage increase in annual per-pupil funding for each school is calculated as the percentage of the school’s 

annual SIG per-pupil award relative to the annual per-pupil spending on instruction, support services (student 

support services, instructional staff, and school administration), and operation and maintenance for the district in 

which the school is located. This district measure is used as a proxy for per-pupil school-level spending 

(2008–09 base per-pupil spending figures from the CCD are CPI-adjusted to 2010 dollars). State averages were 

then calculated, weighting each school’s percentage increase in proportion to the number of students enrolled.
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Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

41

5. Summary

By September 2010, all states and the District of Columbia had applied for Title I School Improvement 

Grants and received approval from ED. By January 2011, all states and the District of Columbia (with the 

exception of Hawaii) had awarded SIG funds to eligible schools. Data on these activities, collected and 

analyzed in this report, offer a first glimpse at the implementation of the SIG program. Through these 

initial steps in identifying, funding, and establishing supports for SIG schools, states have set the 

parameters that will define the next phase of SIG implementation.

A key finding is that states vary in their planned approach to implementing SIG. For example, state 

strategies for monitoring local implementation of SIG vary in both frequency and depth (8 SEAs plan to 

monitor LEAs monthly, while 33 SEAs plan to monitor LEAs annually; Arizona plans to conduct site visits, 

designate staff for monitoring, hold check-in meetings, and use electronic/online tools, while Delaware

just plans to use electronic/online tools). With regard to supports for SIG schools, some states have 

proposed a comprehensive network of intensive supports, while others plan to offer more limited 

assistance (for instance, Oregon plans to enhance or restructure their SIG office and engage 

stakeholders, while New York plans to do all that in addition to designating district/school support 

teams and providing targeted professional development). 

Another key finding is that states vary in how they distributed SIG funds to schools. In Kentucky, SIG 

funds were awarded to 105 of 108 schools (97 percent of all their SIG-eligible schools), while Illinois 

funded 10 of 738 schools (1 percent of all their SIG-eligible schools). Although the average annual 

per-pupil SIG award is $1,330 nationwide, in two states the average per-pupil award exceeded $7,000. 

In another two states the per-pupil award was less than $500. SIG funds do not always constitute a 

substantial relative spending boost: in four states, Tier I and Tier II SIG funds represent an increase of 

six percent or less in annual per-pupil funding. In contrast, Tier I and Tier II SIG schools in eleven states 

will receive an increase in funding of 30 percent or more as a result of SIG. Thus, the absolute and 

relative funding levels among SIG schools are variable. 

Despite all these variations, commonalities also exist among SIG-awarded schools: for instance, most SIG 

schools (74 percent) are implementing the transformation model, and they are more likely to be high 

schools (40 percent of SIG-awarded schools are high schools compared to 21 percent nationwide). 

Finally, compared to elementary and secondary schools nationwide, SIG-awarded schools are more 

likely to be high-poverty (68 percent of students in SIG schools are eligible for free and reduced price 

lunch compared to 45 percent of students nationwide), high-minority (73 percent of students in SIG 

schools are non-white compared to 45 percent of students nationwide), urban schools (53 percent of 

SIG schools are in large or middle-sized cities compared to 26 percent of schools nationwide).
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Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

A–1 

Appendix A. 

Exhibit A–1.

Baseline Data Report—State School Improvement Grant (SIG)

Data Capture Elements (from Data Capture Workbook)

Data Category Coding Options

Definitions and identification of persistently lowest-achieving schools

Are there persistently lowest-achieving schools that are excluded from 

the pool of SIG-eligible schools [e.g., small schools, alternative schools, 

other?]

short answer

Are exclusions different for Tier I and Tier II schools? yes or no

Achievement data in content areas included in determination

ELA/Reading yes or no

Mathematics yes or no

Sciences yes or no

History/SS yes or no

Other short answer

Achievement data used

Number of years of achievement data used to calculate current 

achievement level [#]

number of years

Achievement data from grade levels (grades 1–12)? yes or no, for each grade level (1–12)

Achievement data—Other comments short answer

Achievement data in content areas included in determination

ELA/Reading yes or no

Mathematics yes or no

Sciences yes or no

History/SS yes or no

Other short answer

Lack of progress

Number of years of achievement data used to calculate “lack of 

progress” [#]

number of years

Growth measure used? yes or no

Describe growth measure short answer

Graduation rate

Number of years of data used to calculate graduation rate [#] number of years

State has HS w/ 60% or less grad rate [y/n] yes or no

Different than 60% grad rate [y/n] yes or no

If graduation rate is different, describe short answer

Tier I

Tier I 5% or 5? %, 5 or both

Comments short answer

Role of being IFI school in ranking [describe] short answer

Ranking of Tier I schools [describe] cut and paste from application

Cut-off point(s) for Tier I schools [describe] cut and paste from application

Other notes short answer 

WAIVER Tier I New Eligible Schools? yes or no

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

A–2 

Exhibit A–1. (continued)

Baseline Data Report—State School Improvement Grant (SIG)

Data Capture Elements (from Data Capture Workbook)

Data Category Coding Options

Tier II

Tier II 5% or 5? %, 5 or both

Tier II 5% or 5—if “both” include comments short answer

Role of being IFI school in ranking [describe] short answer

State has high schools with 60% or less graduation rate? yes or no

State uses different graduation rate than 60% grad rate? yes or no

If the graduation is different than 60% graduation rate, describe short answer

Describe ranking of Tier II schools cut and paste from application

Describe cut-off point(s) for Tier II schools cut and paste from application

WAIVER Tier II New Eligible Schools? yes or no

Tier III

State has a different way of prioritizing Tier III schools? yes or no

Schools in LEAs w/ Tier I & II schools? yes or no

Tier III schools that are willing to adopt one of the models? yes or no

Schools that feed into Tier I or II Schools? yes or no

Other—describe other Tier III prioritization strategies? short answer

WAIVER Tier III New Eligible Schools? yes or no

States serving schools, by Tiers

State will serve Tier I schools yes, no, or other

State will serve Tier II schools yes, no, if funding is available

State will serve Tier III schools yes, no, if funding is available

Comments short answer

Number of Tier I, II, and III schools

Number of Tier I schools number

Number of Tier II schools number

Number of Tier III schools number

Total number of schools number

SIG Funding Priorities

Funding distributed based on number of students? yes or no

Funding distributed based on the year of implementation? yes or no

Funding limits for particular models (if yes, explain in comments)? yes or no

Other funding priorities? short answer

Comments short answer

Intervention Models Available

Turnaround yes or no

Transformation yes or no

Restart (CMO) yes or no

Close yes or no

Comments short answer

Model Modifications? yes or no

Additional Models? yes or no

Description of modifications and/or additional models short answer

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

A–3 

Exhibit A–1. (continued)

Baseline Data Report—State School Improvement Grant (SIG)

Data Capture Elements (from Data Capture Workbook)

Data Category Coding Options

State Review of LEA Capacity and LEA Applications

Components of Determining LEA Capacity (from the LEA Capacity 

Section of the Applications, and when included from the LEA 

Applications—often in appendices)

short answer

Evaluation of LEA Applications short answer

Key Features of LEA application review process short answer

Review Rigor (low, med, high) pull-down menu

Timeline for LEA applications

Announcement of SIG funding date

LEA application due date

LEA awards announced date

Comments on aspects of the timeline for the LEA application to SEA short answer

SEA Monitoring

Metrics (in addition to SIG established indicators) [source: indicators 

and renewal process]

short answer

Reporting processes short answer

Monitoring strategies short answer

Comments about SEA monitoring short answer

Process for Withholding Funds (annually) short answer

State Reserve—Building Capacity

Mechanisms for building LEA Capacity short answer

Strategies for building LEA Capacity short answer
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Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

B–1 

Appendix B.

Exhibit B–1.

Characteristics of SIG-Eligible Schools, by State:

Number of SIG-Eligible Schools Overall and by Poverty Level, Minority Level,

and Urbanicity

Poverty Level Minority Level Urbanicity

States

Number of 

SIG-Eligible 

Schools

Low

(0 to 

<35%)

Medium

(35 to 

<75%)

High 

(75 to 

100%)

Low 

(0 to 

<25%)

Medium

(25 to 

<75%)

High

(75 to 

100%) Urban Suburban Rural

Total 15,277 1,341 6,397 7,262 2,406 4,231 8,586 6,848 5,363 3,026

Alabama 263 1 94 167 34 61 167 95 48 120

Alaska 139 30 41 66 10 38 89 26 16 96

Arizona 305 12 107 186 4 64 237 160 66 79

Arkansas 279 4 151 124 69 121 89 71 93 115

California 2,720 79 954 1,687 32 560 2,128 1,347 1,131 242

Colorado 280 45 112 118 36 106 137 125 108 47

Connecticut 234 34 102 98 29 76 129 128 98 8

D.C. 128 6 39 81 0 3 125 128 0 0

Delaware 28 0 21 7 0 19 9 9 19 0

Florida 829 1 304 524 32 251 546 296 453 80

Georgia 217 3 112 101 15 76 125 58 91 68

Idaho 165 12 137 16 86 75 4 32 59 74

Illinois 738 46 189 460 63 121 554 435 266 37

Indiana 290 12 134 144 124 78 88 146 99 45

Iowa 130 5 102 23 43 83 4 75 29 26

Kansas 49 0 8 41 2 22 25 38 8 3

Kentucky 108 1 74 33 60 42 6 28 43 37

Louisiana 320 1 31 284 2 66 248 149 105 62

Maine 54 9 42 3 48 6 0 8 11 35

Maryland 72 0 24 48 1 4 67 54 17 1

Massachusetts 676 228 215 201 260 202 182 208 397 42

Michigan 228 12 119 97 56 44 128 134 65 29

Minnesota 294 30 149 115 74 97 123 142 92 60

Mississippi 225 1 40 184 9 47 169 14 98 113

Missouri 459 93 247 119 193 97 169 167 170 122

Montana 130 26 61 43 62 25 43 15 44 71

Nebraska 52 12 27 13 25 18 9 14 9 29

Nevada 139 1 87 51 0 44 95 60 66 13

New Hampshire 158 94 61 3 145 13 0 16 74 68

New Jersey 206 0 79 127 1 22 183 87 114 5

New Mexico 32 1 10 21 0 6 26 5 9 18

New York 438 13 130 295 29 61 348 372 54 12

North Carolina 769 40 392 221 48 375 339 258 200 310

North Dakota 72 21 32 17 39 8 23 10 12 48

Ohio 786 129 323 334 252 234 300 460 231 95

Oklahoma 44 1 12 31 1 21 22 25 9 10

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

B–2 

Exhibit B–1. (continued)

Characteristics of SIG-Eligible Schools, by State:

Number of SIG-Eligible Schools Overall and by Poverty Level, Minority Level,

and Urbanicity

Poverty Level Minority Level Urbanicity

States

Number of 

SIG-Eligible 

Schools

Low

(0 to 

<35%)

Medium

(35 to 

<75%)

High 

(75 to 

100%)

Low 

(0 to 

<25%)

Medium

(25 to 

<75%)

High

(75 to 

100%) Urban Suburban Rural

Total 15,277 1,341 6,397 7,262 2,406 4,231 8,586 6,848 5,363 3,026

Oregon 75 0 42 33 19 44 12 31 30 14

Pennsylvania 431 28 131 212 81 100 250 279 114 38

Rhode Island 43 1 10 32 3 7 33 29 13 1

South Carolina 28 0 7 21 0 4 24 7 9 12

South Dakota 61 5 21 33 12 17 30 15 5 40

Tennessee 118 1 60 53 22 38 58 78 18 22

Texas 1,644 220 901 523 135 510 999 740 446 458

Utah 60 6 23 31 5 35 20 25 28 7

Vermont 69 16 50 2 66 3 0 8 27 34

Virginia 65 4 45 16 7 25 33 22 16 27

Washington 480 35 276 167 110 238 130 151 216 111

West Virginia 33 0 28 5 30 3 0 5 13 15

Wisconsin 62 1 12 49 2 5 55 59 2 1

Wyoming 52 21 29 2 30 16 6 4 22 26

Source: 2008–09 Common Core of Data; approved state SIG applications.

Notes: The number of SIG-eligible schools included in this exhibit was 15,277 schools in 49 states and D.C. (As of March 21, 

2011, SIG award information was unavailable for HI). Due to missing data in CCD, the number of schools across school 

characteristic categories may not sum to the total number of SIG-eligible schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

B–3 

Exhibit B–2.

Characteristics of SIG-Eligible Schools, by State:

Number of SIG-Eligible Schools by School Level and School Size

School Level School Size

States Elementary Middle High Other

200 

students

or less

201 to 400 

students

401 to 600 

students

601 

students

or greater

Total 8,418 3,067 2,916 836 1,843 3,619 4,340 5,421

Alabama 93 81 54 35 24 109 79 50

Alaska 33 3 12 90 82 38 17 0 

Arizona 129 80 80 16 67 40 50 148

Arkansas 148 74 55 2 27 98 86 68

California 1,643 611 380 86 161 356 733 1,470

Colorado 145 32 67 36 80 72 84 43

Connecticut 176 36 18 4 8 72 98 56

D.C. 83 18 20 7 22 70 22 14

Delaware 7 8 11 2 3 5 5 15

Florida 583 144 62 40 59 91 235 444

Georgia 23 73 103 18 8 29 36 143

Idaho 107 40 13 5 33 48 52 32

Illinois 465 91 173 9 29 147 207 355

Indiana 232 23 21 14 17 99 106 68

Iowa 88 29 10 3 11 55 40 24

Kansas 19 13 15 2 9 18 10 12

Kentucky 20 53 32 3 2 14 41 51

Louisiana 164 66 72 14 23 119 103 71

Maine 19 16 16 3 6 32 12 4

Maryland 50 16 4 2 4 25 26 17

Massachusetts 453 114 54 26 120 168 209 147

Michigan 53 19 139 17 68 53 41 66

Minnesota 204 27 53 10 56 105 81 52

Mississippi 60 59 96 10 12 72 73 68

Missouri 346 71 31 11 57 208 136 58

Montana 54 43 33 0 45 54 18 13

Nebraska 18 6 28 0 22 12 9 9

Nevada 94 32 7 6 4 5 26 104

New Hampshire 103 37 18 0 29 53 57 19

New Jersey 124 53 24 5 9 49 73 75

New Mexico 10 6 15 1 11 9 2 10

New York 181 108 126 23 12 72 143 211

North Carolina 467 132 116 53 76 193 256 237

North Dakota 44 11 15 0 40 15 11 4

Ohio 496 126 103 61 109 267 275 135

Oklahoma 12 16 16 0 7 14 11 12

Oregon 35 21 15 4 7 32 21 15

Pennsylvania 210 82 111 28 16 95 132 188

Rhode Island 22 5 14 2 2 15 14 12

South Carolina 3 11 11 3 7 6 8 7

South Dakota 35 14 10 1 29 16 11 3

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

B–4 

Exhibit B–2. (continued)

Characteristics of SIG-Eligible Schools, by State:

Number of SIG-Eligible Schools by School Level and School Size

School Level School Size

States Elementary Middle High Other

200 

students

or less

201 to 400 

students

401 to 600 

students

601 

students

or greater

Total 8,418 3,067 2,916 836 1,844 3,618 4,341 5,420

Tennessee 38 25 48 7 4 17 32 65

Texas 607 393 505 139 343 301 359 641

Utah 40 4 14 2 8 8 19 25

Vermont 48 11 9 1 8 42 8 11

Virginia 39 12 12 2 4 17 24 20

Washington 324 94 32 28 35 125 215 103

West Virginia 19 11 1 2 0 15 14 4

Wisconsin 29 7 24 2 6 21 16 19

Wyoming 23 10 18 1 22 23 4 3

Source: 2008–09 Common Core of Data; approved state SIG applications.

Notes: The number of SIG-eligible schools included in this exhibit was 15,277 schools in 49 states and D.C. (As of 

March 21, 2011, SIG award information was unavailable for HI). Due to missing data in CCD, the number of schools 

across school characteristic categories may not sum to the total number of SIG-eligible schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

B–5 

Exhibit B–3.

Characteristics of SIG-Eligible Schools, by State:

Number of SIG-Eligible Schools by School Type and Charter School

School Type

States Regular Special Education Vocational Alternative/Other Charter School

Total 14,301 127 47 762 957

Alabama 256 5 0 2 0

Alaska 113 2 0 23 2

Arizona 296 1 2 6 62

Arkansas 279 0 0 0 1

California 2,536 7 1 176 103

Colorado 212 7 4 57 32

Connecticut 229 1 3 1 8

D.C. 124 3 0 1 41

Delaware 23 2 2 1 3

Florida 794 13 1 21 46

Georgia 211 6 0 0 0

Idaho 157 0 0 8 3 

Illinois 738 0 0 0 14

Indiana 281 1 0 8 23

Iowa 129 0 0 1 2

Kansas 48 0 0 1 1

Kentucky 108 0 0 0 0

Louisiana 280 0 0 36 34

Maine 54 0 0 0 0

Maryland 70 0 0 2 6

Massachusetts 612 16 5 14 21

Michigan 147 13 1 67 26

Minnesota 282 0 0 12 53

Mississippi 225 0 0 0 0

Missouri 451 4 0 4 21

Montana 130 0 0 0 0

Nebraska 52 0 0 0 0

Nevada 139 0 0 0 1

New Hampshire 158 0 0 0 0

New Jersey 202 0 3 1 14

New Mexico 30 0 0 2 1

New York 420 0 14 4 1 

North Carolina 723 13 0 32 24

North Dakota 70 0 0 0 0

Ohio 763 21 0 2 164

Oklahoma 43 0 0 1 1

Oregon 69 0 0 6 6

Pennsylvania 421 2 8 0 40

Rhode Island 37 1 1 4 1

South Carolina 28 0 0 0 4

South Dakota 59 0 0 1 0

Tennessee 113 2 2 1 0

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

B–6 

Exhibit B–3. (continued)

Characteristics of SIG-Eligible Schools, by State:

Number of SIG-Eligible Schools by School Type and Charter School

School Type

States Regular Special Education Vocational Alternative/Other Charter School

Total 14,301 127 47 762 957

Texas 1,403 6 0 235 178

Utah 56 0 0 4 3

Vermont 69 0 0 0 0

Virginia 62 0 0 3 0

Washington 463 1 0 14 0

West Virginia 33 0 0 0 0

Wisconsin 61 0 0 1 15

Wyoming 42 0 0 10 2

Source: 2008–09 Common Core of Data; approved state SIG applications.

Notes: The number of SIG-eligible schools included in this exhibit was 15,277 schools in 49 states and D.C. (As of 

March 21, 2011, SIG award information was unavailable for HI). Due to missing data in CCD, the number of schools 

across school characteristic categories may not sum to the total number of SIG-eligible schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

C–1 

Appendix C.

Exhibit C–1.

Characteristics of SIG-Awarded Schools, by State:

Number of SIG-Awarded Schools Overall and by Tier, Poverty Level, and Minority Level

Tier Poverty Level Minority Level

States

Number 

of SIGAwarded 

Schools Tier I Tier II Tier III

Low

(0 to 

<35%)

Medium

(35 to 

<75%)

High 

(75 to 

100%)

Low 

(0 to 

<25%)

Medium

(25 to 

<75%)

High

(75 to 

100%)

Total 1,228 514 312 402 76 533 607 224 264 736

Alabama 11 9 2 0 0 1 10 0 1 10

Alaska 7 7 0 0 0 2 5 1 1 5

Arizona 19 14 5 0 1 4 14 1 4 14

Arkansas 7 5 2 0 0 2 5 0 0 7

California 92 67 25 0 0 21 71 0 3 89

Colorado 19 10 9 0 0 6 13 0 6 13

Connecticut 14 10 4 0 0 2 12 0 1 13

D.C. 10 10 0 0 0 3 7 0 0 10

Delaware 2 0 2 0 0 2 0 0 2 0

Florida 77 52 19 6 1 38 38 3 22 52

Georgia 26 21 5 0 0 8 18 3 7 16

Idaho 6 3 3 0 0 5 1 1 4 1

Illinois 10 4 6 0 0 6 4 0 1 9

Indiana 7 4 3 0 0 1 6 0 3 4

Iowa 6 6 0 0 0 4 2 0 6 0

Kansas 6 4 2 0 0 2 4 1 1 4

Kentucky 105 5 5 95 1 71 33 57 42 6

Louisiana 32 1 1 30 0 3 25 0 7 21

Maine 6 3 3 0 1 4 1 4 2 0

Maryland 11 5 6 0 0 6 5 0 0 11

Massachusetts 12 12 0 0 0 2 10 0 0 12

Michigan 28 3 25 0 2 11 15 4 9 15

Minnesota 19 11 8 0 0 8 11 4 2 13

Mississippi 8 2 6 0 0 0 8 0 0 8

Missouri 32 14 18 0 11 6 15 0 1 31

Montana 6 6 0 0 0 0 6 0 0 6

Nebraska 7 7 0 0 0 2 5 1 2 4

Nevada 10 6 4 0 0 5 5 0 4 6

New Hampshire 7 5 2 0 2 5 0 5 2 0

New Jersey 12 4 8 0 0 7 5 0 0 12

New Mexico 9 9 0 0 0 3 6 0 0 9

New York 25 22 3 0 0 13 12 0 2 23

North Carolina 24 6 18 0 4 10 7 1 11 12

North Dakota 38 1 0 37 12 17 9 24 5 9

Ohio 41 25 10 6 7 21 13 4 9 28

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

C–2 

Exhibit C–1. (continued)

Characteristics of SIG-Awarded Schools, by State:

Number of SIG-Awarded Schools Overall and by Tier, Poverty Level, and Minority Level

Tier Poverty Level Minority Level

States

Number 

of SIGAwarded 

Schools Tier I Tier II Tier III

Low

(0 to 

<35%)

Medium

(35 to 

<75%)

High 

(75 to 

100%)

Low 

(0 to 

<25%)

Medium

(25 to 

<75%)

High

(75 to 

100%)

Total 1,228 514 312 402 76 533 607 224 264 736

Oklahoma 10 10 0 0 0 0 10 0 3 7

Oregon 12 5 7 0 0 8 4 3 7 2

Pennsylvania 58 32 26 0 1 14 39 2 12 44

Rhode Island 6 6 0 0 0 1 5 0 0 6

South Carolina 19 9 10 0 0 4 15 0 1 18

South Dakota 18 1 1 16 1 11 6 3 11 4

Tennessee 72 10 2 60 1 50 21 16 21 35

Texas 66 30 18 18 9 25 32 1 10 55

Utah 7 5 2 0 1 0 6 0 1 6

Vermont 66 5 5 56 15 48 2 63 3 0

Virginia 58 11 7 40 4 38 16 6 23 29

Washington 18 8 10 0 1 9 8 0 6 12

West Virginia 15 4 11 0 0 13 2 13 2 0

Wisconsin 46 5 6 35 0 6 40 0 1 45

Wyoming 6 0 3 3 1 5 0 3 3 0

Source: 2008–09 Common Core of Data; SEA Web sites.

Notes: The number of SIG-awarded schools included in this exhibit was 1,228 schools in 49 states and D.C. (As of 

March 21, 2011, SIG award information was unavailable for HI). Due to missing data in CCD, the number of schools 

across school characteristic categories may not sum to the total number of SIG-awarded schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

C–3 

Exhibit C–2.

Characteristics of SIG-Awarded Schools, by State:

Number of SIG-Awarded Schools by Urbanicity, School Level, and School Size

Urbanicity School Level School Size

States Urban Suburban Rural Elementary Middle High Other

200 

students 

or less

201 to 

400 

students

401 to 

600 

students

601 

students 

or greater

Total 641 297 284 394 271 495 64 155 292 283 494

Alabama 5 0 6 1 7 1 2 1 6 3 1

Alaska 0 1 6 0 0 1 6 4 3 0 0 

Arizona 8 2 7 5 1 11 2 10 4 3 2

Arkansas 5 0 2 1 3 3 0 2 2 0 3

California 53 29 10 44 22 25 1 2 17 22 51

Colorado 15 3 1 7 7 5 0 1 6 6 6

Connecticut 12 2 0 9 0 5 0 2 1 6 5

D.C. 10 0 0 4 0 5 1 3 2 3 2

Delaware 0 2 0 0 0 2 0 0 0 0 2

Florida 29 33 15 19 12 42 4 0 5 18 54

Georgia 11 8 7 0 0 24 2 2 3 1 20

Idaho 0 1 5 2 4 0 0 3 2 0 1

Illinois 5 3 2 0 0 10 0 2 0 0 8

Indiana 6 1 0 1 2 3 1 1 3 0 3

Iowa 5 0 1 2 3 1 0 1 1 1 3

Kansas 4 1 1 1 3 2 0 0 4 0 2

Kentucky 28 42 35 20 51 31 3 2 14 41 48

Louisiana 17 2 9 18 4 3 3 4 14 6 4

Maine 2 1 3 2 0 4 0 0 4 1 1

Maryland 7 4 0 2 8 1 0 0 2 5 4

Massachusetts 11 1 0 7 3 2 0 0 5 2 5

Michigan 17 6 5 4 7 16 1 1 6 7 14

Minnesota 9 2 8 6 1 12 0 4 10 1 4 

Mississippi 1 7 0 1 1 6 0 0 1 4 3

Missouri 21 11 0 8 13 10 1 3 15 4 10

Montana 0 0 3 1 1 4 0 6 0 0 0

Nebraska 1 0 6 5 0 2 0 5 1 1 0

Nevada 9 0 1 5 4 1 0 0 1 3 6

New Hampshire 3 2 2 2 3 2 0 3 2 1 1

New Jersey 8 3 1 3 1 7 1 0 3 3 6

New Mexico 1 3 5 3 2 3 1 2 3 2 2

New York 23 2 0 4 1 19 1 1 0 5 19

North Carolina 9 7 8 2 2 14 6 13 2 2 7

North Dakota 7 12 19 25 8 5 0 16 10 9 3

Ohio 33 6 2 15 4 17 5 5 15 9 12

Oklahoma 9 0 1 2 3 5 0 0 4 1 5

Oregon 7 4 1 1 0 9 2 3 3 3 3

Pennsylvania 47 10 1 15 9 33 1 2 8 14 34

Rhode Island 5 1 0 2 1 3 0 0 3 1 2

South Carolina 5 6 8 2 9 6 2 2 5 8 4

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

C–4 

Exhibit C–2. (continued)

Characteristics of SIG-Awarded Schools, by State:

Number of SIG-Awarded Schools by Urbanicity, School Level, and School Size

Urbanicity School Level School Size

States Urban Suburban Rural Elementary Middle High Other

200 

students 

or less

201 to 

400 

students

401 to 

600 

students

601 

students 

or greater

Total 641 297 284 394 271 495 64 155 292 283 494

South Dakota 13 1 4 15 1 2 0 3 6 7 2

Tennessee 47 9 16 1 22 46 3 0 7 16 49

Texas 43 12 11 6 3 49 8 26 5 8 27

Utah 4 3 0 4 2 1 0 1 0 1 5

Vermont 8 25 33 45 11 9 1 8 40 7 11

Virginia 17 16 25 37 12 7 2 4 14 24 16

Washington 10 7 1 5 10 2 1 1 4 6 7

West Virginia 2 6 7 6 6 1 2 0 7 6 2

Wisconsin 46 0 0 21 4 20 1 4 15 12 15

Wyoming 3 0 3 3 0 3 0 2 4 0 0

Source: 2008–09 Common Core of Data; SEA Web sites.

Notes: The number of SIG-awarded schools included in this exhibit was 1,228 schools in 49 states and D.C. (As of 

March 21, 2011, SIG award information was unavailable for HI). Due to missing data in CCD, the number of schools 

across school characteristic categories may not sum to the total number of SIG-awarded schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

C–5 

Exhibit C–3.

Characteristics of SIG-Awarded Schools, by State:

Number of SIG-Awarded Schools by School Type and Charter School

School Type

States Regular Special Education Vocational Alternative/Other Charter School

Total 1,130 11 9 74 67

Alabama 10 0 0 1 0

Alaska 5 0 0 2 0

Arizona 17 0 0 2 6

Arkansas 7 0 0 0 0

California 90 0 0 2 3

Colorado 18 0 0 1 2

Connecticut 14 0 0 0 1

D.C. 7 2 0 1 1

Delaware 2 0 0 0 0

Florida 77 0 0 0 0

Georgia 24 2 0 0 0

Idaho 6 0 0 0 0 

Illinois 10 0 0 0 0

Indiana 7 0 0 0 2

Iowa 6 0 0 0 0

Kansas 6 0 0 0 0

Kentucky 105 0 0 0 0

Louisiana 19 0 0 9 9

Maine 6 0 0 0 0

Maryland 10 0 0 1 0

Massachusetts 11 1 0 0 0

Michigan 25 2 0 1 1

Minnesota 19 0 0 0 1

Mississippi 8 0 0 0 0

Missouri 32 0 0 0 5

Montana 6 0 0 0 0

Nebraska 7 0 0 0 0

Nevada 10 0 0 0 0

New Hampshire 7 0 0 0 0

New Jersey 10 0 2 0 0

New Mexico 9 0 0 0 1

New York 21 0 4 0 0 

North Carolina 13 1 0 10 0 

North Dakota 38 0 0 0 0

Ohio 38 2 0 1 2

Oklahoma 10 0 0 0 0

Oregon 8 0 0 4 2

Pennsylvania 56 1 1 0 3

Rhode Island 5 0 0 1 0

South Carolina 19 0 0 0 0

South Dakota 18 0 0 0 0

Tennessee 70 0 2 0 0

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

C–6 

Exhibit C–3. (continued)

Characteristics of SIG-Awarded Schools, by State:

Number of SIG-Awarded Schools by School Type and Charter School

School Type

States Regular Special Education Vocational Alternative/Other Charter School

Total 1,130 11 9 74 67

Texas 35 0 0 31 20

Utah 7 0 0 0 0

Vermont 66 0 0 0 0

Virginia 55 0 0 3 0

Washington 17 0 0 1 0

West Virginia 15 0 0 0 0

Wisconsin 45 0 0 1 8

Wyoming 4 0 0 2 0

Source: 2008–09 Common Core of Data; SEA Web sites.

Notes: The number of SIG-awarded schools included in this exhibit was 1,228 schools in 49 states and D.C. (As of 

March 21, 2011, SIG award information was unavailable for HI). Due to missing data in CCD, the number of schools 

across school characteristic categories may not sum to the total number of SIG-awarded schools.
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

C–7 

Exhibit C–4.

Characteristics of SIG-Awarded Schools, by State:

Number of SIG-Awarded Schools by Intervention Model

Intervention Model

States Turnaround Restart School Closure Transformation

Tier III School 

Improvement Strategies

Total 168 33 16 603 402

Alabama 0 0 0 11 0

Alaska 0 1 0 6 0

Arizona 7 0 0 12 0

Arkansas 0 0 0 7 0

California 29 5 2 56 0

Colorado 6 1 3 9 0

Connecticut 6 1 0 7 0

D.C. 4 3 0 3 0

Delaware 0 0 0 2 0

Florida 17 0 0 54 6

Georgia 2 0 0 24 0

Idaho 0 0 0 6 0

Illinois 4 1 0 5 0

Indiana 3 0 0 4 0

Iowa 0 0 0 6 0

Kansas 1 0 0 5 0

Kentucky 6 0 0 4 95

Louisiana 0 0 0 2 30

Maine 1 0 0 5 0

Maryland 6 5 0 0 0

Massachusetts 5 0 0 7 0

Michigan 9 0 0 19 0

Minnesota 3 0 0 16 0

Mississippi 0 0 0 8 0

Missouri 14 0 1 17 0

Montana 0 0 0 6 0

Nebraska 0 0 0 7 0

Nevada 3 0 0 7 0

New Hampshire 0 0 0 7 0

New Jersey 3 1 0 8 0

New Mexico 1 0 0 8 0

New York 5 0 0 20 0

North Carolina 6 1 0 17 0

North Dakota 0 0 0 1 37

Ohio 8 0 0 27 6

Oklahoma 1 0 0 9 0

Oregon 0 0 0 12 0

Pennsylvania 6 7 2 43 0

Rhode Island 0 0 0 0 0

South Carolina 0 0 1 18 0

South Dakota 1 0 0 1 16

continued next page
Baseline Analyses of SIG Applications and SIG-Eligible and SIG-Awarded Schools

C–8 

Exhibit C–4. (continued)

Characteristics of SIG-Awarded Schools, by State:

Number of SIG-Awarded Schools by Intervention Model

Intervention Model

States Turnaround Restart School Closure Transformation

Tier III School 

Improvement Strategies

Total 168 33 16 603 402

Tennessee 6 0 0 6 60

Texas 2 0 0 46 18

Utah 0 0 0 7 0

Vermont 0 0 0 10 56

Virginia 0 5 2 11 40

Washington 3 0 1 14 0

West Virginia 0 0 0 15 0

Wisconsin 0 2 4 5 35

Wyoming 0 0 0 3 3

Source: SEA Web sites.

Notes: The number of SIG-awarded schools included in this exhibit was 1,222 schools in 49 states and D.C. (As of 

March 21, 2011, SIG award information was unavailable for HI). Information on intervention models was not 

available for all six SIG-awarded schools in RI.