[Federal Register Volume 75, Number 208 (Thursday, October 28, 2010)]
[Notices]
[Pages 66363-66371]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-27313]
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DEPARTMENT OF EDUCATION
[Docket ID ED-2009-OESE-0010]
RIN 1810-AB06
School Improvement Grants; American Recovery and Reinvestment Act
of 2009 (ARRA); Title I of the Elementary and Secondary Education Act
of 1965, as Amended (ESEA)
ACTION: Final requirements for School Improvement Grants authorized
under section 1003(g) of Title I of the ESEA.
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SUMMARY: The U.S. Secretary of Education (Secretary) is adopting as
final, without changes, interim final requirements for the School
Improvement Grants (SIG) program authorized under section 1003(g) of
Title I of the ESEA. These final requirements are needed to incorporate
new authority included in the Consolidated Appropriations Act, 2010
(Pub. L. 111-117) applicable to fiscal year (FY) 2010 SIG funds and FY
2009 ARRA SIG funds. Specifically, the Consolidated Appropriations Act,
2010 expanded the group of schools that are eligible to receive SIG
funds. In addition, the Consolidated Appropriations Act, 2010 raised
the maximum amount of SIG funds that a State educational agency (SEA)
may award to a local educational agency (LEA) for each participating
school from $500,000 to $2,000,000. These final requirements amend the
final requirements for the SIG program that were published on December
10, 2009.
DATES: These requirements are effective November 29, 2010.
FOR FURTHER INFORMATION CONTACT: Patricia McKee. Telephone: 202-260-
0826 or by e-mail: [email protected].
If you use a telecommunications device for the deaf (TDD), call the
Federal Relay Service (FRS), toll free, at 1-800-877-8339.
Individuals with disabilities can obtain this document in an
accessible format (e.g., braille, large print, audiotape, or computer
diskette) on request to the contact person listed under FOR FURTHER
INFORMATION CONTACT.
SUPPLEMENTARY INFORMATION: The Secretary published final requirements
for the SIG program in the Federal Register on December 10, 2009 (74 FR
65618). Subsequently, on December 16, 2009, the President signed into
law the Consolidated Appropriations Act, 2010, which contained FY 2010
appropriations for the Department, and which also included two
provisions applicable to the use of both FY 2010 SIG funds and FY 2009
ARRA SIG funds. First, the Consolidated Appropriations Act, 2010
expanded eligibility for participation in the SIG program by permitting
an SEA to award SIG funds for, and for an LEA to use those funds to
serve, any school that is eligible to receive assistance under Title I,
Part A and that: (1) Has not made adequate yearly progress (AYP) for at
least two years; or (2) is in the State's lowest quintile of
performance based on proficiency rates. With respect to secondary
schools, the Consolidated Appropriations Act, 2010 gave priority to
high schools with graduation rates
[[Page 66364]]
below 60 percent. Second, the Consolidated Appropriations Act, 2010
raised the maximum subgrant size for a participating school from
$500,000 to $2,000,000.\1\
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\1\ These two provisions apply only to FY 2009 ARRA SIG funds
and FY 2010 SIG funds; they do not apply to SIG funds made available
through the Consolidated Appropriations Act, 2009 (i.e., the regular
FY 2009 SIG funds). Therefore, prior to October 1, 2010, regular FY
2009 SIG funds may not be spent pursuant to the flexibility in these
provisions. Regular FY 2009 SIG funds, however, become subject to
the requirements applicable to FY 2010 SIG funds on October 1, 2010
when they become carryover funds. See section 421(b)(2)(A) of the
General Education Provisions Act (20 U.S.C. 1225(b)(2)(A)).
Accordingly, in order to ensure compliance with the Consolidated
Appropriations Act, 2010, we will consider LEAs' obligations of SIG
funds in the State as a whole prior to October 1, 2010 to come from
the State's allocation of FY 2009 ARRA SIG funds, which we believe
in every State will be more than sufficient to cover those
obligations. Beginning October 1, 2010, LEAs may use all SIG funds,
including regular FY 2009 SIG funds, pursuant to the flexibility in
these provisions, consistent with the final requirements as amended.
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On January 21, 2010, the Secretary published interim final
requirements for the SIG program in the Federal Register (75 FR 3375)
to incorporate this new authority into the SIG final requirements that
were published on December 10, 2009. The interim final requirements
became effective February 8, 2010; however, at the time the interim
final requirements were published, the Secretary invited public
comment. During the public comment period, we received only one comment
on the interim final requirements. That comment expressed general
disagreement with the SIG final requirements published on December 10,
2009 but did not address the changes to those requirements made by the
interim final requirements.
Absent any public comments addressing the changes to the December
10 SIG final requirements made in the January 21 interim final
requirements, the Secretary has determined that no substantive changes
to the interim final requirements are necessary; hence, with the
exception of two technical changes described herein, there are no
differences between the interim final requirements and these final
requirements.
For the reasons explained in the preamble to the interim final
requirements (75 FR 3375, 3376-80), the Secretary adopts as final the
interim final requirements as follows:
1. Section I.A.1--defining ``greatest need'': The Secretary amends
the definitions of Tier I, Tier II, and Tier III schools to incorporate
the expanded eligibility provided for in the Consolidated
Appropriations Act, 2010. The final requirements do not change the
definition of ``persistently lowest-achieving schools'' as that
definition is used to define Tier I and Tier II schools but permit an
SEA, at its option, to identify additional schools in each tier.
With respect to Tier I, in addition to the Title I schools in
improvement, corrective action, or restructuring that an SEA identifies
as persistently lowest-achieving schools, the SEA may identify any
elementary school that (1) is eligible to receive Title I, Part A funds
(including schools that receive Title I, Part A funds and those that do
not); (2) either has not made AYP for at least two consecutive years 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 (3) is no higher
achieving on the State's assessments combined than the highest-
achieving Tier I school that the SEA has identified under paragraph
(a)(1)(i) of the definition of ``persistently lowest-achieving
schools.'' These newly eligible schools may be Title I schools that are
not identified for improvement, corrective action, or restructuring or
schools eligible for, but not receiving, Title I, Part A funds,
provided they meet the criteria in section I.A.1(a)(ii) of these final
requirements.
With respect to Tier II, in addition to the secondary schools that
are eligible for, but do not receive, Title I, Part A funds that an SEA
identifies as persistently lowest-achieving schools, the SEA may
identify any secondary school that (1) is eligible to receive Title I,
Part A funds (including schools that receive Title I, Part A funds and
those that do not); (2) either has not made AYP for at least two
consecutive years 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 (3) either is no higher achieving on the State's
assessments combined than the highest-achieving Tier II school that the
SEA has identified under paragraph (a)(2)(i) of the definition of
``persistently lowest-achieving schools'' or is a high school that has
had a graduation rate that is less than 60 percent over a number of
years. Tier II secondary schools that an SEA has identified as
persistently lowest-achieving schools--i.e., secondary schools that are
eligible for, but do not receive, Title I, Part A funds--are eligible
without the need for an SEA or LEA to obtain a waiver of section
1003(g)'s limitation on serving only Title I schools in improvement,
corrective action, or restructuring. Tier II also may now include Title
I secondary schools that are or are not in improvement, corrective
action, or restructuring if those schools meet the criteria in section
I.A.1(b)(ii) of these final requirements and are not already captured
in Tier I.
With respect to Tier III, in addition to any Title I school in
improvement, corrective action, or restructuring that is not a Tier I
or Tier II school, an SEA may identify any school that (1) is eligible
for Title I, Part A funds (including schools that receive Title I, Part
A funds and those that do not); (2) has not made AYP for at least two
years 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 (3)
does not meet the requirements to be a Tier I or Tier II school. Thus,
a Tier III school may be a Title I school in improvement, corrective
action, or restructuring, a school that receives Title I, Part A funds
that is not in improvement, or a school that is eligible for, but does
not receive, Title I, Part A funds, provided the school meets one of
the two criteria in section I.A.1(c)(ii)(A) of these final
requirements.
The Secretary makes a technical change in section I.A.1(c)(i) that
was not in the interim final requirements to make clear that a Tier III
school may be a Title I school in improvement, corrective action, or
restructuring that is not a Tier I or a Tier II school. The addition of
the phrase ``or a Tier II'' school in this section is necessary because
a Title I secondary school in improvement, corrective action, or
restructuring could be a newly eligible Tier II school at an SEA's
option and, therefore, could not be a Tier III school.
2. Section I.A.4--evidence of strongest commitment: The Secretary
amends section I.A.4 to refer to Tier I and Tier II schools rather than
persistently lowest-achieving schools to reflect the possibility that
an SEA has added newly eligible schools to Tier I and Tier II.
3. Sections I.B.2 and I.B.3--waivers for Tier I and Tier II Title I
participating schools: The Secretary amends section I.B.2 to clarify
that an SEA may seek a waiver of the school improvement timeline in
section 1116(b) with respect to a Tier I or Tier II Title I
participating school that implements a turnaround or restart model. The
Secretary also amends section I.B.3 to clarify that an SEA may seek a
waiver of the schoolwide program poverty threshold in section 1114(a)
with respect to a Tier I or Tier II Title I participating school
[[Page 66365]]
below that threshold in order that the school may implement one of the
school intervention models through a schoolwide program.
4. Section I.B.4--waiver to serve non-Title I secondary schools:
The Secretary removes section I.B.4, which permitted an SEA to seek a
waiver to enable an LEA to use SIG funds to serve secondary schools
that are eligible for, but do not receive, Title I, Part A funds,
because it is no longer needed.
5. New section I.B.4 (formerly section I.B.5)--extending the period
of availability: In new section I.B.4, which permits an SEA to seek a
waiver to extend the period of availability of SIG funds, the Secretary
makes a technical change that was not in the interim final requirements
to remove the phrase ``beyond September 30, 2011''. That phrase applied
to FY 2009 SIG funds but is not applicable to FY 2010 SIG funds, which
are available through September 30, 2012 without a waiver of the period
of availability. We are removing the phrase to ensure there is no
confusion about the period of availability of FY 2010 SIG funds. Thus,
an SEA requesting a waiver to extend the period of availability for its
FY 2010 SIG funds under this provision would be requesting a waiver for
extension beyond September 30, 2012.
6. Section II.A.1--LEA eligibility: The Secretary amends section
II.A.1 to make clear that an LEA may apply for a SIG grant if the LEA
receives Title I, Part A funds and has one or more schools that qualify
under the State's definition of a Tier I, Tier II, or Tier III school.
7. Sections II.A.4 and II.A.5--LEA's budget: The Secretary removes
language that is no longer necessary from sections II.A.4 and II.A.5
regarding an LEA's budget because the Consolidated Appropriations Act,
2010 raised the maximum amount for each participating school from
$500,000 to $2,000,000. Thus, an LEA's budget can reflect more
accurately the actual amount needed to implement one of the four school
intervention models in each Tier I and Tier II school the LEA commits
to serve, and the LEA can budget more accurately for its Tier III
schools without concern that they generate funds for the LEA's Tier I
and Tier II schools.
8. Section II.A.6--SIG funds are supplemental: The Secretary adds
section II.A.6, which requires an LEA that commits to serve one or more
Tier I, Tier II, or Tier III schools that do not receive Title I, Part
A funds to ensure that each of those schools receives all of the State
and local funds it would have received in the absence of the SIG funds.
9. Sections II.B.4 and II.B.7 (formerly II.B.8)--priority for
funding Tier I and Tier II schools: The Secretary amends sections
II.B.4 and II.B.7 (as well as various other sections--e.g., sections
II.A.1, II.A.3) to give equal status to Tier I and Tier II schools.
Accordingly, sections II.B.4 and II.B.7 make clear that an LEA that
applies to serve either Tier I or Tier II schools receives priority
before an LEA that applies to serve only Tier III schools. Moreover, as
section II.B.7 makes clear, an SEA must award SIG funds to each LEA to
serve the Tier I and Tier II schools that the SEA has approved the LEA
to serve before awarding any funds to an LEA to serve a Tier III
school. In other words, an SEA must ensure that all Tier I and Tier II
schools are funded before it funds the Tier III schools identified in
its LEAs' applications.
10. Section II.B.5--size of LEA grant awards: The Secretary amends
section II.B.5 to clarify that the Consolidated Appropriations Act,
2010 raised the maximum amount an LEA may receive per year for each
Tier I, Tier II, and Tier III school the LEA commits to serve from
$500,000 to $2,000,000.
11. Section II.B.6--allocating SIG funds to LEAs: The Secretary
removes section II.B.6, which governed the allocation of SIG funds to
LEAs, because it is no longer needed after the Consolidated
Appropriations Act, 2010 extended the maximum amount an LEA may receive
for each school to $2,000,000.
12. Section II.B.9 (formerly II.B.10)--2010 SIG appropriations: The
Secretary removes the phrase ``(depending on the availability of
appropriations)'' in section II.B.9(a) and (b) because the Consolidated
Appropriations Act, 2010 appropriated SIG funds for FY 2010.
13. Section II.C--renewal for additional one-year periods: These
final requirements amend section II.C.1(a) to require Tier III schools
that receive SIG funds to meet ``goals established by the LEA and
approved by the SEA.''
Final Requirements
The Secretary adopts as final the interim final requirements (with
the technical changes described herein) published in the Federal
Register on January 21, 2010 (75 FR 3375). For the ease of the user of
the final requirements, the Secretary has incorporated the changes made
by these final requirements into the December 10, 2009 final
requirements as published at 74 FR 65618 and is publishing a combined
set of SIG final requirements as follows:
I. SEA Priorities in Awarding School Improvement Grants
A. Defining key terms. To award School Improvement Grants to its
LEAs, consistent with section 1003(g)(6) of the ESEA, an SEA must
define three tiers of schools, in accordance with the requirements in
paragraph 1, to enable the SEA to select those LEAs with the greatest
need for such funds. From among the LEAs in greatest need, the SEA must
select, in accordance with paragraph 2, those LEAs that demonstrate the
strongest commitment to ensuring that the funds are used to provide
adequate resources to enable the lowest-achieving schools to meet the
accountability requirements in this notice. Accordingly, an SEA must
use the following definitions to define key terms:
1. Greatest need. An LEA with the greatest need for a School
Improvement Grant must have one or more schools in at least one of the
following tiers:
(a) Tier I schools: (i) A Tier I school is a Title I school in
improvement, corrective action, or restructuring that is identified by
the SEA under paragraph (a)(1) of the definition of ``persistently
lowest-achieving schools.''
(ii) At its option, an SEA may also identify as a Tier I school an
elementary school that is eligible for Title I, Part A funds that--
(A)(1) Has not made adequate yearly progress for at least two
consecutive years; or
(2) 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
(B) Is no higher achieving than the highest-achieving school
identified by the SEA under paragraph (a)(1)(i) of the definition of
``persistently lowest-achieving schools.''
(b) Tier II schools: (i) A Tier II school is a secondary school
that is eligible for, but does not receive, Title I, Part A funds and
is identified by the SEA under paragraph (a)(2) of the definition of
``persistently lowest-achieving schools.''
(ii) At its option, an SEA may also identify as a Tier II school a
secondary school that is eligible for Title I, Part A funds that--
(A)(1) Has not made adequate yearly progress for at least two
consecutive years; or
(2) 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
[[Page 66366]]
(B)(1) Is no higher achieving than the highest-achieving school
identified by the SEA under paragraph (a)(2)(i) of the definition of
``persistently lowest-achieving schools;'' or
(2) Is a high school that has had a graduation rate as defined in
34 CFR 200.19(b) that is less than 60 percent over a number of years.
(c) Tier III schools: (i) A Tier III school is a Title I school in
improvement, corrective action, or restructuring that is not a Tier I
or a Tier II school.
(ii) At its option, an SEA may also identify as a Tier III school a
school that is eligible for Title I, Part A funds that--
(A)(1) Has not made adequate yearly progress for at least two
years; or
(2) 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
(B) Does not meet the requirements to be a Tier I or Tier II
school.
(iii) An SEA may establish additional criteria to use in setting
priorities among LEA applications for funding and to encourage LEAs to
differentiate among Tier III schools in their use of school improvement
funds.
2. Strongest Commitment. An LEA with the strongest commitment is an
LEA that agrees to implement, and demonstrates the capacity to
implement fully and effectively, one of the following rigorous
interventions in each Tier I and Tier II school that the LEA commits to
serve:
(a) Turnaround model: (1) A turnaround model is one in which an LEA
must--
(i) Replace the principal and grant the principal sufficient
operational flexibility (including in staffing, calendars/time, and
budgeting) to implement fully a comprehensive approach in order to
substantially improve student achievement outcomes and increase high
school graduation rates;
(ii) 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;
(iii) 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 the
turnaround school;
(iv) 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 that
they are equipped to facilitate effective teaching and learning and
have the capacity to successfully implement school reform strategies;
(v) 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 or SEA, hire a ``turnaround leader'' who reports
directly to the Superintendent or Chief Academic Officer, or enter into
a multi-year contract with the LEA or SEA to obtain added flexibility
in exchange for greater accountability;
(vi) 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;
(vii) 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;
(viii) Establish schedules and implement strategies that provide
increased learning time (as defined in this notice); and
(ix) Provide appropriate social-emotional and community-oriented
services and supports for students.
(2) A turnaround model may also implement other strategies such
as--
(i) Any of the required and permissible activities under the
transformation model; or
(ii) A new school model (e.g., themed, dual language academy).
(b) Restart model: A restart model is one in which 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. (A CMO is a non-profit organization that operates or
manages charter schools by centralizing or sharing certain functions
and resources among schools. An EMO is a for-profit or non-profit
organization that provides ``whole-school operation'' services to an
LEA.) A restart model must enroll, within the grades it serves, any
former student who wishes to attend the school.
(c) School closure: School closure occurs when an LEA closes a
school and enrolls the students who attended that school in other
schools in the LEA that are higher achieving. These other schools
should be within reasonable proximity to the closed school and may
include, but are not limited to, charter schools or new schools for
which achievement data are not yet available.
(d) Transformation model: A transformation model is one in which an
LEA implements each of the following strategies:
(1) Developing and increasing teacher and school leader
effectiveness.
(i) Required activities. The LEA must--
(A) Replace the principal who led the school prior to commencement
of the transformation model;
(B) Use rigorous, transparent, and equitable evaluation systems for
teachers and principals that--
(1) Take into account data on student growth (as defined in this
notice) 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 graduations rates; and
(2) Are designed and developed with teacher and principal
involvement;
(C) 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;
(D) Provide staff ongoing, high-quality, job-embedded professional
development (e.g., regarding subject-specific pedagogy, instruction
that reflects a deeper understanding of the community served by the
school, or differentiated instruction) that is aligned with the
school's comprehensive instructional program and designed with school
staff to ensure they are equipped to facilitate effective teaching and
learning and have the capacity to successfully implement school reform
strategies; and
(E) 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 school.
(ii) Permissible activities. An LEA may also implement other
strategies to develop teachers' and school leaders' effectiveness, such
as--
(A) Providing additional compensation to attract and retain staff
with the skills necessary to meet the needs of the students in a
transformation school;
[[Page 66367]]
(B) Instituting a system for measuring changes in instructional
practices resulting from professional development; or
(C) Ensuring that the school is not required to accept a teacher
without the mutual consent of the teacher and principal, regardless of
the teacher's seniority.
(2) Comprehensive instructional reform strategies.
(i) Required activities. The LEA must--
(A) 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; and
(B) 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.
(ii) Permissible activities. An LEA may also implement
comprehensive instructional reform strategies, such as--
(A) Conducting periodic reviews to ensure that the curriculum is
being implemented with fidelity, is having the intended impact on
student achievement, and is modified if ineffective;
(B) Implementing a schoolwide ``response-to-intervention'' model;
(C) Providing additional supports and professional development to
teachers and principals in order to implement effective strategies to
support students with disabilities in the least restrictive environment
and to ensure that limited English proficient students acquire language
skills to master academic content;
(D) Using and integrating technology-based supports and
interventions as part of the instructional program; and
(E) In secondary schools--
(1) Increasing rigor by offering opportunities for students to
enroll in advanced coursework (such as Advanced Placement;
International Baccalaureate; or science, technology, engineering, and
mathematics courses, especially those that incorporate rigorous and
relevant project[dash], inquiry[dash], or design-based contextual
learning opportunities), early-college high schools, dual enrollment
programs, or thematic learning academies that prepare students for
college and careers, including by providing appropriate supports
designed to ensure that low-achieving students can take advantage of
these programs and coursework;
(2) Improving student transition from middle to high school through
summer transition programs or freshman academies;
(3) Increasing graduation rates through, for example, credit-
recovery programs, re-engagement strategies, smaller learning
communities, competency-based instruction and performance-based
assessments, and acceleration of basic reading and mathematics skills;
or
(4) Establishing early-warning systems to identify students who may
be at risk of failing to achieve to high standards or graduate.
(3) Increasing learning time and creating community-oriented
schools.
(i) Required activities. The LEA must--
(A) Establish schedules and strategies that provide increased
learning time (as defined in this notice); and
(B) Provide ongoing mechanisms for family and community engagement.
(ii) Permissible activities. An LEA may also implement other
strategies that extend learning time and create community-oriented
schools, such as--
(A) Partnering with parents and parent organizations, faith- and
community-based organizations, health clinics, other State or local
agencies, and others to create safe school environments that meet
students' social, emotional, and health needs;
(B) Extending or restructuring the school day so as to add time for
such strategies as advisory periods that build relationships between
students, faculty, and other school staff;
(C) Implementing approaches to improve school climate and
discipline, such as implementing a system of positive behavioral
supports or taking steps to eliminate bullying and student harassment;
or
(D) Expanding the school program to offer full-day kindergarten or
pre-kindergarten.
(4) Providing operational flexibility and sustained support.
(i) Required activities. The LEA must--
(A) Give the school sufficient operational flexibility (such as
staffing, calendars/time, and budgeting) to implement fully a
comprehensive approach to substantially improve student achievement
outcomes and increase high school graduation rates; and
(B) 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).
(ii) Permissible activities. The LEA may also implement other
strategies for providing operational flexibility and intensive support,
such as--
(A) Allowing the school to be run under a new governance
arrangement, such as a turnaround division within the LEA or SEA; or
(B) Implementing a per-pupil school-based budget formula that is
weighted based on student needs.
3. Definitions.
Increased learning time means using a longer school day, week, or
year schedule to significantly increase the total number of school
hours to include additional time for (a) instruction in core academic
subjects including English, reading or language arts, mathematics,
science, foreign languages, civics and government, economics, arts,
history, and geography; (b) instruction in other subjects and
enrichment activities that contribute to a well-rounded education,
including, for example, physical education, service learning, and
experiential and work-based learning opportunities that are provided by
partnering, as appropriate, with other organizations; and (c) teachers
to collaborate, plan, and engage in professional development within and
across grades and subjects.\2\
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\2\ Research supports the effectiveness of well-designed
programs that expand learning time by a minimum of 300 hours per
school year. (See Frazier, Julie A.; Morrison, Frederick J. ``The
Influence of Extended-Year Schooling on Growth of Achievement and
Perceived Competence in Early Elementary School.'' Child
Development. Vol. 69 (2), April 1998, pp.495-497 and research done
by Mass2020.) Extending learning into before- and after-school hours
can be difficult to implement effectively, but is permissible under
this definition with encouragement to closely integrate and
coordinate academic work between in school and out of school. (See
James-Burdumy, Susanne; Dynarski, Mark; Deke, John. ``When
Elementary Schools Stay Open Late: Results from The National
Evaluation of the 21st Century Community Learning Centers Program.''
Educational Evaluation and Policy Analysis, Vol. 29 (4), December
2007, Document No. PP07-121.) (http://www.mathematica-mpr.com/publications/redirect_PubsDB.asp?strSite=http://epa.sagepub.com/cgi/content/abstract/29/4/296
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Persistently lowest-achieving schools means, as determined by the
State--
(a)(1) Any Title I school in improvement, corrective action, or
restructuring that--
(i) Is among the lowest-achieving five percent of Title I schools
in improvement, corrective action, or restructuring or the lowest-
achieving five 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 CFR 200.19(b) that is less than 60 percent over a number of years;
and
(2) Any secondary school that is eligible for, but does not
receive, Title I funds that--
[[Page 66368]]
(i) Is among the lowest-achieving five percent of secondary schools
or the lowest-achieving 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 CFR 200.19(b) that is less than 60 percent over a number of years.
(b) To identify the lowest-achieving schools, a State must take
into account both--
(i) 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
(ii) The school's lack of progress on those assessments over a
number of years in the ``all students'' group.
Student growth means the change in achievement for an individual
student between two or more points in time. For grades in which the
State administers summative assessments in reading/language arts and
mathematics, student growth data must be based on a student's score on
the State's assessment under section 1111(b)(3) of the ESEA. A State
may also include other measures that are rigorous and comparable across
classrooms.
4. Evidence of strongest commitment. (a) In determining the
strength of an LEA's commitment to ensuring that school improvement
funds are used to provide adequate resources to enable Tier I and Tier
II schools to improve student achievement substantially, an SEA must
consider, at a minimum, the extent to which the LEA's application
demonstrates that the LEA has taken, or will take, action to--
(i) Analyze the needs of its schools and select an intervention for
each school;
(ii) Design and implement interventions consistent with these
requirements;
(iii) Recruit, screen, and select external providers, if
applicable, to ensure their quality;
(iv) Align other resources with the interventions;
(v) Modify its practices or policies, if necessary, to enable it to
implement the interventions fully and effectively; and
(vi) Sustain the reforms after the funding period ends.
(b) The SEA must consider the LEA's capacity to implement the
interventions and may approve the LEA to serve only those Tier I and
Tier II schools for which the SEA determines that the LEA can implement
fully and effectively one of the interventions.
B. Providing flexibility
1. An SEA may award school improvement funds to an LEA for a Tier I
or Tier II school that has implemented, in whole or in part, an
intervention that meets the requirements under section I.A.2(a), 2(b),
or 2(d) of these requirements within the last two years so that the LEA
and school can continue or complete the intervention being implemented
in that school.
2. An SEA may seek a waiver from the Secretary of the requirements
in section 1116(b) of the ESEA in order to permit a Tier I or Tier II
Title I participating school implementing an intervention that meets
the requirements under section I.A.2(a) or 2(b) of these requirements
in an LEA that receives a School Improvement Grant to ``start over'' in
the school improvement timeline. Even though a school implementing the
waiver would no longer be in improvement, corrective action, or
restructuring, it may receive school improvement funds.
3. An SEA may seek a waiver from the Secretary to enable a Tier I
or Tier II Title I participating school that is ineligible to operate a
Title I schoolwide program and is operating a Title I targeted
assistance program to operate a schoolwide program in order to
implement an intervention that meets the requirements under section
I.A.2(a), 2(b), or 2(d) of these requirements.
4. An SEA may seek a waiver from the Secretary to extend the period
of availability of school improvement funds so as to make those funds
available to the SEA and its LEAs for up to three years.
5. If an SEA does not seek a waiver under section I.B.2, 3, or 4,
an LEA may seek a waiver.
II. Awarding School Improvement Grants to LEAs
A. LEA Requirements
1. An LEA may apply for a School Improvement Grant if it receives
Title I, Part A funds and has one or more schools that qualify under
the State's definition of a Tier I, Tier II, or Tier III school.
2. In its application, in addition to other information that the
SEA may require--
(a) The LEA must--
(i) Identify the Tier I, Tier II, and Tier III schools it commits
to serve;
(ii) Identify the intervention it will implement in each Tier I and
Tier II school it commits to serve;
(iii) Demonstrate that it has the capacity to use the school
improvement funds to provide adequate resources and related support to
each Tier I and Tier II school it commits to serve in order to
implement fully and effectively one of the four interventions
identified in section I.A.2 of these requirements;
(iv) Provide evidence of its strong commitment to use school
improvement funds to implement the four interventions by addressing the
factors in section I.A.4(a) of these requirements;
(v) Include a timeline delineating the steps the LEA will take to
implement the selected intervention in each Tier I and Tier II school
identified in the LEA's application; and
(vi) Include a budget indicating how it will allocate school
improvement funds among the Tier I, Tier II, and Tier III schools it
commits to serve.
(b) If an LEA has nine or more Tier I and Tier II schools, the LEA
may not implement the transformation model in more than 50 percent of
those schools.
3. The LEA must serve each Tier I school unless the LEA
demonstrates that it lacks sufficient capacity (which may be due, in
part, to serving Tier II schools) to undertake one of these rigorous
interventions in each Tier I school, in which case the LEA must
indicate the Tier I schools that it can effectively serve. An LEA may
not serve with school improvement funds awarded under section 1003(g)
of the ESEA a Tier I or Tier II school in which it does not implement
one of the four interventions identified in section I.A.2 of these
requirements.
4. The LEA's budget for each Tier I and Tier II school it commits
to serve must be of sufficient size and scope to ensure that the LEA
can implement one of the rigorous interventions identified in section
I.A.2 of these requirements. The LEA's budget must cover the period of
availability of the school improvement funds, taking into account any
waivers extending the period of availability received by the SEA or
LEA.
5. The LEA's budget for each Tier III school it commits to serve
must include the services it will provide the school, particularly if
the school meets additional criteria established by the SEA.
6. An LEA that commits 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 it serves receives all of the State and local
funds it would have received in the absence of the school improvement
funds.
7. An LEA in which one or more Tier I schools are located and that
does not apply to serve at least one of these schools may not apply for
a grant to serve only Tier III schools.
[[Page 66369]]
8. (a) To monitor each Tier I and Tier II school that receives
school improvement funds, an LEA must--
(i) Establish annual goals for student achievement on the State's
assessments in both reading/language arts and mathematics; and
(ii) Measure progress on the leading indicators in section III of
these requirements.
(b) The LEA must also meet the requirements with respect to
adequate yearly progress in section 1111(b)(2) of the ESEA.
9. If an LEA implements a restart model, it must hold the charter
school operator, CMO, or EMO accountable for meeting the final
requirements.
B. SEA requirements
1. To receive a School Improvement Grant, an SEA must submit an
application to the Department at such time, and containing such
information, as the Secretary shall reasonably require.
2. (a) An SEA must review and approve, consistent with these
requirements, an application for a School Improvement Grant that it
receives from an LEA.
(b) Before approving an LEA's application, the SEA must ensure that
the application meets these requirements, particularly with respect
to--
(i) Whether the LEA has agreed to implement one of the four
interventions identified in section I.A.2 of these requirements in each
Tier I and Tier II school included in its application;
(ii) The extent to which the LEA's application shows the LEA's
strong commitment to use school improvement funds to implement the four
interventions by addressing the factors in section I.A.4(a) of these
requirements;
(iii) Whether the LEA has the capacity to implement the selected
intervention fully and effectively in each Tier I and Tier II school
identified in its application; and
(iv) Whether the LEA has submitted a budget that includes
sufficient funds to implement the selected intervention fully and
effectively in each Tier I and Tier II school it identifies in its
application and whether the budget covers the period of availability of
the funds, taking into account any waiver extending the period of
availability received by either the SEA or the LEA.
(c) An SEA may, consistent with State law, take over an LEA or
specific Tier I or Tier II schools in order to implement the
interventions in these requirements.
(d) An SEA may not require an LEA to implement a particular model
in one or more schools unless the SEA has taken over the LEA or school.
(e) To the extent that a Tier I or Tier II school implementing a
restart model becomes a charter school LEA, an SEA must hold the
charter school LEA accountable, or ensure that the charter school
authorizer holds it accountable, for complying with these requirements.
3. An SEA must post on its Web site, within 30 days of awarding
School Improvement Grants to LEAs, all final LEA applications as well
as a summary of those grants that includes the following information:
(a) Name and National Center for Education Statistics (NCES)
identification number of each LEA awarded a grant.
(b) Amount of each LEA's grant.
(c) Name and NCES identification number of each school to be
served.
(d) Type of intervention to be implemented in each Tier I and Tier
II school.
4. If an SEA does not have sufficient school improvement funds to
award, for up to three years, a grant to each LEA that submits an
approvable application, the SEA must give priority to LEAs that apply
to serve Tier I or Tier II schools.
5. An SEA must award a School Improvement Grant to an LEA in an
amount that is of sufficient size and scope to support the activities
required under section 1116 of the ESEA and these requirements. The
LEA's total grant may not be less than $50,000 or more than $2,000,000
per year for each Tier I, Tier II, and Tier III school that the LEA
commits to serve.
6. If an SEA does not have sufficient school improvement funds to
allocate to each LEA with a Tier I or Tier II school an amount
sufficient to enable the school to implement fully and effectively the
specified intervention throughout the period of availability, including
any extension afforded through a waiver, the SEA may take into account
the distribution of Tier I and Tier II schools among such LEAs in the
State to ensure that Tier I and Tier II schools throughout the State
can be served.
7. An SEA must award funds to serve each Tier I and Tier II school
that its LEAs commit to serve, and that the SEA determines its LEAs
have the capacity to serve, prior to awarding funds to its LEAs to
serve any Tier III schools. If an SEA has awarded school improvement
funds to its LEAs for each Tier I and Tier II school that its LEAs
commit to serve in accordance with these requirements, the SEA may
then, consistent with section II.B.9, award remaining school
improvement funds to its LEAs for the Tier III schools that its LEAs
commit to serve.
8. In awarding School Improvement Grants, an SEA must apportion its
school improvement funds in order to make grants to LEAs, as
applicable, that are renewable for the length of the period of
availability of the funds, taking into account any waivers that may
have been requested and received by the SEA or an individual LEA to
extend the period of availability.
9. (a) If not every Tier I school in a State is served with FY 2009
school improvement funds, an SEA must carry over 25 percent of its FY
2009 funds, combine those funds with FY 2010 school improvement funds,
and award those funds to eligible LEAs consistent with these
requirements. This requirement does not apply in a State that does not
have sufficient school improvement funds to serve all the Tier I
schools in the State.
(b) If each Tier I school in a State is served with FY 2009 school
improvement funds, an SEA may reserve up to 25 percent of its FY 2009
allocation and award those funds in combination with its FY 2010 funds
consistent with these requirements.
10. In identifying Tier I and Tier II schools in a State for
purposes of allocating funds appropriated for School Improvement Grants
under section 1003(g) of the ESEA for any year subsequent to FY 2009,
an SEA must exclude from consideration any school that was previously
identified as a Tier I or Tier II school and in which an LEA is
implementing one of the four interventions identified in these
requirements using funds made available under section 1003(g) of the
ESEA.
11. An SEA that is participating in the ``differentiated
accountability pilot'' must ensure that its LEAs use school improvement
funds available under section 1003(g) of the ESEA in a Tier I or Tier
II school consistent with these requirements.
12. Before submitting its application for a School Improvement
Grant to the Department, the SEA must consult with its Committee of
Practitioners established under section 1903(b) of the ESEA regarding
the rules and policies contained therein and may consult with other
stakeholders that have an interest in its application.
C. Renewal for Additional One-Year Periods
1. If an SEA or an individual LEA requests and receives a waiver of
the period of availability of school improvement funds, an SEA--
[[Page 66370]]
(a) Must renew the School Improvement Grant for each affected LEA
for additional one-year periods commensurate with the period of
availability if the LEA demonstrates that its Tier I and Tier II
schools are meeting the requirements in section II.A.8, and that its
Tier III schools are meeting the goals established by the LEA and
approved by the SEA; and
(b) May renew an LEA's School Improvement Grant if the SEA
determines that the LEA's schools are making progress toward meeting
the requirements in section II.A.8 or the goals established by the LEA.
2. If an SEA does not renew an LEA's School Improvement Grant
because the LEA's participating schools are not meeting the
requirements in section II.A.8 or the goals established by the LEA, the
SEA may reallocate those funds to other eligible LEAs, consistent with
these requirements.
D. State Reservation for Administration, Evaluation, and Technical
Assistance
An SEA may reserve from the school improvement funds it receives
under section 1003(g) of the ESEA in any given year no more than five
percent for administration, evaluation, and technical assistance
expenses. An SEA must describe in its application for a School
Improvement Grant how the SEA will use these funds.
E. A State Whose School Improvement Grant Exceeds the Amount the State
May Award to Eligible LEAs
In some States in which a limited number of Title I schools are
identified for improvement, corrective action, or restructuring, the
SEA may be able to make School Improvement Grants, renewable for
additional years commensurate with the period of availability of the
funds, to each LEA with a Tier I, Tier II, or Tier III school without
using the State's full allocation under section 1003(g) of the ESEA. An
SEA in this situation may reserve no more than five percent of its FY
2009 allocation of school improvement funds for administration,
evaluation, and technical assistance expenses under section 1003(g)(8)
of the ESEA. The SEA may retain sufficient school improvement funds to
serve, for succeeding years, each Tier I, II, and III school that
generates funds for an eligible LEA. The Secretary may reallocate to
other States any remaining school improvement funds from States with
surplus funds.
III. Reporting and Evaluation
A. Reporting Metrics
To inform and evaluate the effectiveness of the interventions
identified in these requirements, the Secretary will collect data on
the metrics in the following chart. The Department already collects
most of these data through EDFacts and will collect data on two metrics
through SFSF reporting. Accordingly, an SEA must only report the
following new data with respect to school improvement funds:
1. A list of the LEAs, including their NCES identification numbers,
that received a School Improvement Grant under section 1003(g) of the
ESEA and the amount of the grant.
2. For each LEA that received a School Improvement Grant, a list of
the schools that were served, their NCES identification numbers, and
the amount of funds or value of services each school received.
3. For any Tier I or Tier II school, school-level data on the
metrics designated on the following chart as ``SIG'' (School
Improvement Grant):
----------------------------------------------------------------------------------------------------------------
Achievement Leading
Metric Source indicators indicators
----------------------------------------------------------------------------------------------------------------
SCHOOL DATA
----------------------------------------------------------------------------------------------------------------
Which intervention the school used (i.e., NEW SIG........................
turnaround, restart, closure, or
transformation).
----------------------------------------------------------------------------------------------------------------
AYP status................................... EDFacts........................ [check]
----------------------------------------------------------------------------------------------------------------
Which AYP targets the school met and missed.. EDFacts........................ [check]
----------------------------------------------------------------------------------------------------------------
School improvement status.................... EDFacts........................ [check]
----------------------------------------------------------------------------------------------------------------
Number of minutes within the school year..... NEW SIG........................ ............... [check]
----------------------------------------------------------------------------------------------------------------
STUDENT OUTCOME/ACADEMIC PROGRESS DATA
----------------------------------------------------------------------------------------------------------------
Percentage of students at or above each EDFacts........................ [check]
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 EDFacts........................ ............... [check]
assessments in reading/language arts and in
mathematics, by student subgroup.
----------------------------------------------------------------------------------------------------------------
Average scale scores on State assessments in NEW SIG........................ [check]
reading/language arts and in mathematics, by
grade, for the ``all students'' group, for
each achievement quartile, and for each
subgroup.
----------------------------------------------------------------------------------------------------------------
Percentage of limited English proficient EDFacts........................ [check]
students who attain English language
proficiency.
----------------------------------------------------------------------------------------------------------------
Graduation rate.............................. EDFacts........................ [check]
----------------------------------------------------------------------------------------------------------------
Dropout rate................................. EDFacts........................ ............... [check]
----------------------------------------------------------------------------------------------------------------
Student attendance rate...................... EDFacts........................ ............... [check]
----------------------------------------------------------------------------------------------------------------
[[Page 66371]]
Number and percentage of students completing NEW SIG HS only................ ............... [check]
advanced coursework (e.g., AP/IB), early-
college high schools, or dual enrollment
classes.
----------------------------------------------------------------------------------------------------------------
College enrollment rates..................... NEW SFSF Phase II HS only...... [check]
----------------------------------------------------------------------------------------------------------------
STUDENT CONNECTION AND SCHOOL CLIMATE
----------------------------------------------------------------------------------------------------------------
Discipline incidents......................... EDFacts........................ ............... [check]
----------------------------------------------------------------------------------------------------------------
Truants...................................... EDFacts........................ ............... [check]
----------------------------------------------------------------------------------------------------------------
TALENT
----------------------------------------------------------------------------------------------------------------
Distribution of teachers by performance level NEW SFSF Phase II.............. ............... [check]
on LEA's teacher evaluation system.
----------------------------------------------------------------------------------------------------------------
Teacher attendance rate...................... NEW SIG........................ ............... [check]
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4. An SEA must report these metrics for the school year prior to
implementing the intervention, if the data are available, to serve as a
baseline, and for each year thereafter for which the SEA allocates
school improvement funds under section 1003(g) of the ESEA. With
respect to a school that is closed, the SEA need report only the
identity of the school and the intervention taken--i.e., school
closure.
B. Evaluation
An LEA that receives a School Improvement Grant must participate in
any evaluation of that grant conducted by the Secretary.
Executive Order 12866
Under Executive Order 12866, the Secretary must determine whether a
regulatory action is ``significant'' and therefore subject to the
requirements of the Executive order and subject to review by the Office
of Management and Budget (OMB). Section 3(f) of Executive Order 12866
defines a ``significant regulatory action'' as an action likely to
result in a rule that may (1) have an annual effect on the economy of
$100 million or more, or adversely affect a sector of the economy,
productivity, competition, jobs, the environment, public health or
safety, or State, local or tribal governments or communities in a
material way (also referred to as an ``economically significant''
rule); (2) create serious inconsistency or otherwise interfere with an
action taken or planned by another agency; (3) materially alter the
budgetary impacts of entitlement grants, user fees, or local programs
or the rights and obligations of recipients thereof; or (4) raise novel
legal or policy issues arising out of legal mandates, the President's
priorities, or the principles set forth in the Executive order. The
Secretary has determined that this regulatory action is not significant
under section 3(f) of the Executive order.
We have also determined that this regulatory action does not unduly
interfere with State, local, and tribal governments in the exercise of
their governmental functions.
We summarized the potential costs and benefits of these final
requirements in the interim final requirements at 75 FR 3375, 3382.
Regulatory Flexibility Act Certification
The Secretary certifies that these final requirements will not have
a significant economic impact on a substantial number of small entities
for the reasons summarized in the interim final requirements at 75 FR
3375, 3382-3383.
Paperwork Reduction Act of 1995
These final requirements contain information collection
requirements that are subject to review by OMB under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501-3520). The Department received
emergency approval for the information collections in the SIG final
requirements published on December 10, 2009, under OMB Control Number
1810-0682. OMB approved changes described in the interim final
requirements at 75 FR 3375, 3383 on January 20, 2010. On June 10, 2010,
the Department submitted a request to OMB for regular approval of this
collection and received approval on September 22, 2010, under the OMB
control number 1810-0682, which lasts until September 30, 2013.
Intergovernmental Review
This program is not subject to Executive Order 12372 and the
regulations in 34 CFR 79.
Electronic Access to This Document
You may view this document, as well as all other documents of this
Department published in the Federal Register, in text or Adobe Portable
Document Format (PDF) on the Internet at the following site: http://www.ed.gov/news/fedregister.
To use PDF, you must have Adobe Acrobat Reader, which is available
free at this site.
Note: The official version of this document is the document
published in the Federal Register. Free Internet access to the
official edition of the Federal Register and the Code of Federal
Regulations is available on GPO Access at: http://www.gpoaccess.gov/nara/index.html.
Dated: October 25, 2010.
Arne Duncan,
Secretary of Education.
[FR Doc. 2010-27313 Filed 10-27-10; 8:45 am]
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