School Improvement Grants, Sec. 1003(g) Roadmap. Resources

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1 School Improvement Grants, Sec. 1003(g) 1 David DeSchryver, Esquire Brustein & Manasevit DDeSchryver@bruman.com Fall Forum 2010 Roadmap Overview Persistently lowest achieving schools Consolidated Appropriations Act of 2010 Serving schools The 4 models Local Educational Agency (LEA) monitoring State Educational Agency (SEA) reporting Cross cutting matters Waivers Fiscal Year (FY) 2010 Guidance 2 Resources 3 Latest updates: Final requirements for School Improvement Grants authorized under section 1003(g) of Title I of the ESEA, 75 Fed. Reg (Oct. 28, 2010). Guidance on Fiscal year 2010 School Improvement Grants under 1003(g) of the Elementary and Secondary Education Act of 1965 (U.S. Department of Education, Office of Elementary and Secondary Education: November 1, 2010). 1

2 School Improvement Grant (SIG) 1003(g) 4 An SEA must subgrant at least 95% of the funds it receives to its LEAs for school improvement activities. In awarding such subgrants, an SEA must give priority to the local educational agencies with the lowest-achieving schools that tdemonstrate t (A) greatest need for such funds; and (B) strongest commitment to ensuring that such funds are used to provide adequate resources to enable the lowest-achieving schools to meet the goals under school and local educational improvement, corrective action, and restructuring plans under section Return on Investment 5 FY 2009: $546 million + American Recovery and Reinvestment Act $3 Billion; FY 2010: $546 million; FY 2011: President requested $900 million. Coordination across programs 6 2

3 Persistently lowest-achieving schools (PLAS) 7 (a) Any Title I school in improvement, corrective action, or restructuring that - (i) Is among the lowest-achieving 5% of Title I schools in improvement, corrective action, or restructuring or the lowest-achieving 5 Title I schools in improvement, corrective action, or restructuring in the State, whichever number of schools is greater; or (ii) Is a high school that has had a graduation rate as defined in 34 C.F.R (b) that is less than 60 % over a number of years; and (b) Any secondary school that is eligible for, but does not receive, Title I funds that - (i) Is among the lowest-achieving 5% of secondary schools or the lowestachieving five secondary schools in the State that are eligible for, but do not receive, Title I funds, whichever number of schools is greater; or (ii) Is a high school that has had a graduation rate as defined in 34 C.F.R (b) that is less than 60 % over a number of years. PLAS: Identification 8 To identify the PLAS in the State, an SEA must take into account both: (a) The academic achievement of the all students group in a school in terms of proficiency on the State s assessments under section 1111(b)(3) of the ESEA in reading/language arts and mathematics combined; and (b) The school s lack of progress on those assessments over a number of years in the all students group PLAS: All students 9 All students: The all students group includes LEP students and students with disabilities (SWD) including SWD who take an alternate assessment based on alternate academic achievement standards or modified academic achievement standards. SEA may use only assessment results of tested students in the all students group who were enrolled in the same school for a full academic year (as defined in the State s Accountability Workbook). 3

4 PLAS: Number of years 10 Goal: for the SEA to identify, on a fair and objective basis, the PLAS in the State SEA has discretion in determining How it will define a number of years. SEA may use as few as 2. The weight it gives to the 2 factors in identifying PLAS. 1. Academic achievement of all students & 2. Lack of progress on the State s assessments FY2010 SIG Guidance The SEA may revise its definition of "persistently lowest achieving schools" for the purposes of identifying schools for FY 2010 (A- 30j). Number of years over which lack of progress is determined. The manner in which SEA combined achievement data for reading and math. Revise definitions must be approved by ED. 11 PLAS: Other factors? 12 No. SEA may not, for example, also consider attendance rates or retention rates. 4

5 Generally, no. PLAS: Categorical exclusions? Narrow exception: schools specifically designed to serve over-age, under-credited students i.e., schools designed to re-engage students who have dropped out of high school and who, by definition, cannot graduate within the standard number of years. 13 PLAS: Listing results 14 PLAS: Tier III - catchall Tier III would include every Title I school in improvement, corrective action, or restructuring that is not a Tier I or Tier II school. 15 5

6 Consolidated Appropriations Act, The Act expands the group of schools that an SEA may identify as Tier I, Tier II, or Tier III schools. The Act raised the maximum amount that a participating school may receive from $500,000 to $2,000,000. This does not affect the schools an SEA must identify as Tier I, Tier II, and Tier III schools. PLAS: newly eligible Tier I schools SEA may identify as a Tier I school an elementary school that is eligible for (receiving or not receiving) Title I, Part A funds and that: Has not made Adequate Yearly Progress (AYP) for at least 2 consecutive years; 17 or Is in the State s lowest quintile [20%] of performance based on proficiency rates in reading/language arts and mathematics combined; and Is no higher achieving than the highest-achieving school identified by the SEA in the Tier I definition of PLAS PLAS: newly eligible Tier II schools 18 SEA may identify as a Tier II school a secondary school that is eligible for (receiving or not receiving) Title I, Part A funds and that: Has not made AYP for at least 2 consecutive years; or Is in the State s lowest quintile [20%] of performance based on proficiency rates in reading/language arts and mathematics combined; and Is no higher achieving than the highest-achieving school identified by the SEA it the Tier II definition of PLAS; or Is a secondary school that has had a graduation rate as defined in 34 CFR (b) that is less than 60% over a number of years. 6

7 PLAS: newly eligible Tier III schools SEA may identify as a Tier III school a school that is eligible for Title I, Part A funds and that: Has not made AYP for at least two years (need not be 2 consecutive); 19 or Is in the State s lowest quintile of performance based on proficiency rates on the State s assessments under section 1111(b)(3) of the ESEA in reading/language arts and mathematics combined; and Does not meet the requirements to be a Tier I or Tier II school. PLAS: Once in, all in 20 The requirements that govern awarding funds for and serving Tier I, Tier II, and Tier III schools apply with respect to all schools in those tiers, regardless of whether they are newly eligible schools identified in those tiers at the SEA s option. Persistently lowest-achieving schools: 21 7

8 Addendum to the SIG FAQs, Feb. 2, If an SEA finds Title I-participating secondary schools that are not among the PLAS in Tier I but need whole-school reform, the SEA has two options. 1) SEA may exercise the flexibility offered in the interim final requirements published on January 21, 2010 (75 FR 3375) to identify additional Tier II schools. 2) SEA may request a waiver of the regulatory definition of Tier II persistently lowest-achieving schools to include Title I-participating secondary schools that either have missed AYP for two consecutive years or are in the lowest quintile of schools in the State in terms of proficiency and are not identified as PLAS in Tier I. Addendum to the SIG FAQs, Feb. 2, 2010 Applying an N size: If an SEA finds the PLAS lists are invalid or unreliable due to the small number of students on whom that identification is based, then the SEA may request a waiver of the definition in section I.A.3 of the final requirements in order to apply a minimum n below which the SEA would not identify a school. N based on the number of students in the all students group in all the grades assessed and may include only those students that have been in the school for a full academic year 23 LEA Requirements: Commit to serve Tier I 24 An LEA need only identify the Tier I, Tier II, and Tier III schools that it commits to serve with SIG funds. An LEA that applies for a SIG grant must serve each of its Tier I schools using one of the 4 intervention models unless the LEA demonstrates that it lacks sufficient capacity to do so. 8

9 LEA Requirements: Tier III flexibility 25 An LEA has flexibility to choose the strategies it will implement in the Tier III schools it commits to serve, so long as they are research based & targeted to need. An LEA may serve a Tier III school by providing services that provide a direct benefit to the school. SIG 4 Models: 26 The only services an LEA may provide to a Tier I & II school using SIG funds are services entailed in the implementation of one of the four interventions Turnaround Restart Closure Transformation SIG 4 Models: Turnaround 1/ required elements - An LEA implementing a turnaround model in one or more of its schools must take all of the actions required by the final requirements. (1) Replace the principal cpa and grant the principal cpa sufficient operational flexibility (including in staffing, calendars/time, and budgeting) to fully implement a comprehensive approach in order to substantially improve student achievement outcomes and increase high school graduation rates; 9

10 SIG 4 Models: Turnaround 2/9 28 (2) Using locally adopted competencies to measure the effectiveness of staff who can work within the turnaround environment to meet the needs of students, (A) Screen all existing staff and rehire no more than 50 percent; and (B) Select new staff. Critical to develop a set of competencies designed d to identify staff that can be effective in a turnaround situation [ ] failure has become an entrenched way of life for students and staff, and staff members need stronger and more consistent habits in critical areas to transform the school s wide-scale failure into learning success. FY2010 SIG Guidance - Turnaround model 29 "All instructional staff" includes teachers of core academic subjects as well as teachers of non-core academic subjects. Focus is on the effectiveness of "staff" who work within the turnaround environment (B-3a). FY2010 SIG Guidance - Cross-Cutting/turnaround 30 An LEA must comply with state and local laws and agreements, including collective bargaining agreements. If an LEA cannot resolve a conflict in a way that permits it to implement one of the school intervention models fully and effectively, it would not be able to apply for SIG funds (F-7a). 10

11 FY2010 SIG Guidance - Cross-Cutting/turnaround 31 A school may count the staff it has already replaced in determining the number of additional staff that would have to be replaced in accordance with the turnaround model. Of the new ewstaff members, bes, how many yae are new ewand dwee were screened using locally adopted competencies as part of school reform effort that is consistent with the turnaround model (G-1c)? The new hires that do not qualify may be kept - but they are replaced staff, not rehired, as is required by the turnaround model. SIG 4 Models: Turnaround 3/9 32 (3) Implement such strategies as financial incentives, increased opportunities for promotion and career growth, and more flexible work conditions to meet the needs of the students in the turnaround school; An LEA is not obligated to use these particular strategies, so long as it implements some strategies that are designed to recruit, place, and retain the appropriate staff. SIG 4 Models: Turnaround 4/9 33 (4) Provide staff ongoing, high-quality jobembedded professional development that is aligned with the school s comprehensive instructional program and designed to successfully implement school reform strategies; When implemented as part of a turnaround model, jobembedded professional development must be designed with school staff. 11

12 SIG 4 Models: Turnaround 5/9 (5) Adopt a new governance structure, which may include, but is not limited to, requiring the school to report to a new turnaround office in the LEA ; 34 SIG 4 Models: Turnaround 6/9 35 (6) Use data to identify and implement an instructional program that is research-based and vertically aligned from one grade to the next as well as aligned with State academic standards; Requires careful review of appropriate data and alignment. ED expects that most LEAs with Tier I or Tier II schools will need to make at least minor adjustments. SIG 4 Models: Turnaround 7/9 36 (7) Promote the continuous use of student data (such as from formative, interim, and summative assessments) to inform and differentiate instruction in order to meet the academic needs of individual students; 12

13 SIG 4 Models: Turnaround 8/9 (8) Establish schedules and implement strategies that provide increased learning time; 37 Increased learning time. A defined term-of-. It means using a longer school day, week, or year schedule to significantly increase the total number of school hours. SIG 4 Models: Turnaround 9/9 38 (9) Provide appropriate social-emotional and community-oriented services and supports for students. An LEA should examine the needs of students in the turnaround school to determine which socialemotional and community-oriented services will be appropriate and useful under the circumstances. See Harlem Children s Zone, SIG 4 Models: Restart An LEA converts a school or closes and reopens a school under a charter school operator, a charter management organization (CMO), or an education management organization (EMO) that has been selected through a rigorous review process

14 SIG 4 Models: Restart 40 Restart operator has considerable flexibility with respect to the school improvement activities it will undertake, and with respect to the type of school program it will offer. A restart model must enroll, within the grades it serves [which may change], any former student who wishes to attend the school. FY2010 SIG Guidance - Restart Model Provider may require all former students be assigned student or parent/student agreements covering behavior, attendance, or other commitments ts related to academic c performance. Provider may not require students to meet academic standards prior to enrolling (C-6a). 41 FY2010 SIG Guidance - Restart Model 42 An LEA may use SIG to pay a fee to a CMO/EMO to operate to restart model. Only to the extent that the fee is reasonable & necessary to implement the restart model. The contract must be reasonable & necessary, in accordance with A-87, Attachment A, C.1.a. (C-10). The SEA has fiduciary responsibilities. 14

15 SIG 4 Models: Closure 43 LEA closes a school and enrolls the students who attended that school in other schools in the LEA that are higher achieving. SIG 4 Models: Closure costs Central question: What are the regular responsibilities an LEA carries out for all students? 44 LEA may use SIG funds to pay certain reasonable and necessary costs associated with closing a Tier I or Tier II school, such as costs related to parent and community outreach. FY2010 SIG Guidance - Closure Model Critical that LEAs engage families and the school community early in the process of selecting the appropriate improvement model to assure a smooth transition for students and their families at the receiving schools (D-1a). Policies and politics are closely intertwined! 45 15

16 SIG 4 Models: Transformation cap An LEA with 9 or more Tier I and Tier II schools may not implement the transformation model in more than 50 percent of those schools. Equivalent to other under NCLB? 46 FY2010 SIG Guidance - Transformation Cap An LEA with nine or more Tier I and Tier II schools may not implement the transformation model in more than 50% of the schools. If an LEA is already exceeding the cap, it may not implement the transformation model in any additional schools (H-21a). 47 SIG 4 Models: Transformation 1/5 48 (1) Replace the principal who led the school prior to commencement of the transformation model. 16

17 SIG 4 Models: Transformation 2/5 49 (2) Use rigorous, transparent, and equitable evaluation systems for teachers & principals that: (a)take into account data on student growth as a significant factor as well as other factors, such as multiple observation-based assessments of performance and ongoing collections of professional practice reflective of student achievement and increased high school graduation rates; and (b) Are designed and developed with teacher and principal involvement. Student growth means the change in achievement for an individual student between two or more points in time. SIG 4 Models: Transformation 3/5 50 (3) Identify and reward school leaders, teachers, and other staff who, in implementing this model, have increased student achievement and high school graduation rates, and Identify and remove those who, after ample opportunities [?] have been provided for them to improve their professional practice, have not done so; LEAs have flexibility to determine both the type and number of opportunities for staff to improve before they are removed. SIG 4 Models: Transformation 4/5 51 (4) Provide staff ongoing, high-quality, job-embedded professional development that is aligned with the school s comprehensive instructional program and designed with school staff to ensure they have the capacity to successfully implement school reform strategies. Comprehensive instructional reform strategies require: Data to identify and implement a program that is research-based and vertically aligned, & aligned with State academic standards. Promote the continuous use of student data (such as from formative, interim, and summative assessments). 17

18 SIG 4 Models: Transformation, 4/5 Comprehensive instructional reform strategies require (Cont.): Establish schedules and strategies that provide increased learning time; and Provide ongoing mechanisms for family and community engagement. 52 SIG 4 Models: Transformation, 5/5 53 (5) Implement such strategies as financial incentives, increased opportunities for promotion and career growth, and more flexible work conditions that are designed to recruit, place, and retain staff with the skills necessary to meet the needs of the students in a transformation model. Providing operational flexibility is required. SIG 4 Models: Transformation 5/5 54 Providing operational flexibility is required. An LEA must: Give the school sufficient operational flexibility to fully implement a comprehensive approach to substantially improve student achievement outcomes and increase high school graduation rates; and Ensure that the school receives ongoing, intensive technical assistance and related support from the LEA, the SEA, or a designated external lead partner organization (such as a school turnaround organization or an EMO). 18

19 LEA Monitoring 55 An LEA must establish SEA approved annual goals for student achievement on the State s assessments in both reading/language arts and mathematics that it will use to monitor each Tier I and Tier II school that receives SIG funds. The determination of whether a school meets the student achievement goals established by the LEA is in addition to the determination of whether the school makes AYP as required by section 1111(b)(2) of the ESEA. LEA Monitoring The following metrics constitute the NEW key indicators for the SIG program, collected by SEA: (1) Number of minutes within the school year; (2) Student participation rate on State assessments in reading/language arts and in mathematics, by student subgroup; (3) Dropout rate; (4) Student attendance rate; (5) Number and percentage of students completing advanced coursework (e.g., AP/IB), early-college high schools, or dual enrollment classes; 56 (6) Discipline incidents; (7) Truants; (8) Distribution of teachers by performance level on an LEA s teacher evaluation system; and (9) Teacher attendance rate. SEA Renewal 57 If a Tier I or Tier II school does not meet the annual student achievement goals established by the LEA, may an SEA renew the LEA s SIG grant with respect to that school? An SEA has discretion to examine factors such as School s progress on the leading indicators in section III of the final requirements or Fidelity with which it is implementing the model See section II.C(a)(ii) of the final requirements (I-16). 19

20 SIG Cross Cutting Issues 58 If not every Tier I school in a State is served with FY 2009 SIG funds in the school year, an SEA must carry over 25 % of those funds, combine them with FY 2010 SIG funds, and award those funds to LEAs in the same manner as FY 2009 SIG funds are awarded. If a State does not serve every Tier I, but needs more than 75% to fund all LEAs that it committed to serve contact USED prior to issuing grants. SIG District-wide Activities 59 An LEA may use SIG funds to pay for district-level activities to support implementation of one of the four school intervention models in each Tier I and Tier II school it commits to serve and to support other school improvement strategies in the Tier III schools it commits to serve. An LEA may not use SIG funds to support districtlevel activities for schools that are not receiving SIG funds. Ongoing activities 60 An SEA may award SIG funds to an LEA for a Tier I or Tier II school that has implemented, in whole or in part, one of the models within the last two years so that the LEA and school can continue or complete the intervention being implemented. 20

21 SIG Waivers School Improvement Timeline 61 ESEA Sec. 1116(b)(12) requires an LEA to identify a school for improvement, corrective action, or restructuring until the school has made AYP for two consecutive years. A waiver of the school improvement timeline would allow a Tier I or Tier II Title I participating school implementing a turnaround or restart model to start over. SIG Waivers School-wide 62 Sec. 1114(a)(1) of the ESEA requires that a school have a poverty percentage of 40% or greater in order to operate a school-wide program. A waiver of this provision (school-wide waiver) would allow a Tier I or Tier II Title I participating i school with a poverty percentage of less than 40% to operate a school-wide program. SIG Waivers GEPA 421(b) 63 General Education Provisions Act (GEPA), section 421(b), 20 U.S.C. 1225(b), that funds be obligated prior to the end of the fiscal year succeeding the fiscal year for which they were appropriated. A waiver of this provision would allow an SEA to extend the period of availability of SIG funds for all of its LEAs for a period of up to 3 years. If an SEA is granted this waiver, an LEA must create a budget for the full period of availability of the funds, including the period granted by the waiver. 21

22 FY2010 SIG Guidance - Overview Contains many of the same questions as the FY 2009 guidance, but focuses on implementation using FY 2010 funds and FY 2009 carryover funds. 64 FY09/10 SIG Guidance - SNS Must SIG funds supplement, and not supplant, non- Federal funds a school would otherwise receive? YES!!! ESEA Section 1114(a)(2)(B): School-wide; ESEA Section 1120A(c): () LEA is obligated to ensure that all of its Title I schools are comparable to its non-title I schools; Section II.A.6 of the final requirements: an LEA that receives SIG funds to serve one or more Tier I, Tier II, or Tier III schools that do not receive Title I, Part A funds must ensure that each such school receives all of the State and local funds it would have received in the absence of the SIG funds. 65 FY2010 SIG Guidance 66 Increased clarification on supplement not supplant (SNS). SNS applied to increased learning time (A-32a, et seq.). q) Costs must be directly attributable to the implementation of the model, be reasonable and necessary, and exceed the cost the district would have incurred in the absence of its implementation model. This all requires documentation. 22

23 FY2010 SIG Guidance - Widen the net 67 If there are Tier II schools that are significantly higher achieving than Title I participating secondary schools that are not among the PLAS, but are tremendously in need of intervention, the SEA has 2 options (A-17a): 1. Exercise Newly Eligible Tier II status. 2. Request a waiver of the regulatory definition of Tier II. FY2010 SIG Guidance - New lists? 68 An SEA must identify, at a minimum, five tier I schools. Some SEAs will be required to generate new lists of Tier I, Tier II, and Tier III schools to ensure that they comply with this requirement (A-30, et seq.). FY2010 SIG Guidance - New lists? 69 23

24 FY2010 SIG Guidance - Eligible Schools 70 Must Tier I, Tier II, and Tier III schools served with FY 2009 funds be included in the pool of schools from which an SEA identifies the bottom 5% (or 5) schools for Tier 1 and Tier II? Tier I schools that are implementing the transformation model are not eligible for the school improvement timeline waiver and, therefore, must be included in the pool. (Turnaround & Restart can get a waiver). Tier II as long as they continue to be eligible for, but do not receive, Title I, Part A funds in (A-30 d & g). FY2010 SIG Guidance - Eligible Schools 71 If currently served Tier III school falls in the bottom 5% (or 5) schools for either Tier I or Tier II for FY 2010, it would be identified d as a Tier I or Tier II for FY 2010 purposes (A-30h). The LEA must apply through the FY 2010 competition to serve the school has a Tier I or Tier II school (H-12a). FY2010 SIG Guidance - Period of Availability 72 FY waiver of section 421(b) of GEPA, available until September 30, FY 2009 carryover funds are also available until September 30, 2013, but Fiscal year 2010 competition i will not begin full implementation until the 2011/2012 school year. Three years of implementation will not be completed until the end of This requires another waiver, for another year, of the FY 2009 carryover. 24

25 FY2010 SIG Guidance - Period of Availability 73 Absent a waiver, the period of availability for FY 2010 funds expire September 30, Funds are available for pre-implementation activities in the school year and one year of full implementation in the school year (I-26). FY2010 SIG Guidance - Period of Availability 74 SEA may request a waiver to extend the availability of FY 2010 funds until September 30, ED request that SEA calculate how the FY 2009 carryover, with extension, and the FY month period of availability will work together to serve the maximum number of schools (G-6 et seq.). FY2010 SIG Guidance - Period of Availability 75 25

26 FY2010 SIG Guidance - SEA Renewal 76 It depends on whether the LEA is funded with FY 2009 carryover funds or FY 2010 funds. FY 2009:SEA must apportion in a way that will enable it to renew LEA grants for additional one-year periods for the entire period of availability. FY 2010: SEA would fund the renewal of each LEA s grant through a continuation grant using subsequently appropriated SIG funds, assuming availability [!!!]. No 25% carry over for FY2010. FY2010 SIG Guidance - Pre-implementation 77 LEA may carry out activities using FY 2010/FY 2009 carry over in the spring or summer prior to full implementation. Enables an LEA to prepare for full implementation of a school intervention model at the start of the school year (J-2) 2). May not use the funds to pay for needs assessment. An LEA may use SIG funds only after the LEA has received a grant award based on a fully approvable application. Open for Questions 78 26

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