ESEA Status File Specifications

U.S. DEPARTMENT OF EDUCATION

Education Data Exchange Network (EDEN)

N130 –ESEAStatus File Specifications

Version 7.0

SY 2010-11

October 2010

U.S. DEPARTMENT OF EDUCATIONN130 – ESEA Status

File Specifications v7.0

This technical guide was produced under U.S. Department of Education Contract No. ED-PEP-09-O-0044 with 2020 Company, LLC. Brandon Scott served as the contracting officer’s representative. No official endorsement by the U.S. Department of Education of any product, commodity, service or enterprise mentioned in this publication is intended or should be inferred.

U.S. Department of Education

Arne Duncan

Secretary

Office of Planning, Evaluation and Policy Development

Carmel Martin

Assistant Secretary

October 2010

This technical guide 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: U.S. Department of Education, Office of Planning, Evaluation and Policy Development, N130 – ESEA Status File Specifications, Washington, D.C., 2010.

This technical guide is also available on the Department’s Web site at:

On request, this publication is available in alternate formats, such as Braille, large print, or computer diskette. For more information, please contact the Department’s AlternateFormatCenter at (202) 260–0852 or (202) 260–0818.

DOCUMENT CONTROL

DOCUMENT INFORMATION

Title: / N130 – ESEA Status File Specifications
Revision: / Version 7.0
Issue Date: / October 2010
Security Level: / Unclassified – For Official Use Only
Filename: / n130-7-0.doc

DOCUMENT HISTORY

Version Number / Date / Summary of Change
1.0 / This file specification was not used for SYs 2003-04 and 2004-05.
2.0 / This file specification was not used for SY 2005-06.
3.0 / This file specification was not used for SY 2006-07.
4.0 / Version 4.0 or subsequent updates (i.e., 4.1, 4.2, etc.) of this file specification is used to build files for SY 2007-08.
5.0 / Version 5.0 or subsequent updates (i.e.,5.1, 5.2, etc) of this file specification is used to build files for SY 2008-09.
6.0 / Version 6.0 or subsequent updates (i.e., 6.1, 6.2, etc) of this file specification is used to build files for SY 2009-10.
7.0 / October 2010 /

Updated specifications for SY 2010-11 Including updating the preface
1.0, 1.2, 2.0, 5.0 – Added Persistently lowest-achieving school (DG741)
2.0, 4.0 and 5.0 – Changed the permitted values for Improvement status – LEA (DG662) and Improvement status – school (DG34) for states with approval to use state defined improvement status

RELEASE AUTHORIZATION

Name / Signature / Date
Author
QA
Release Authority

PREFACE

This document provides technical instructions for building files that are submitted through the Education Data Exchange Network (EDEN) Submission System (ESS). The EDEN Submission System is an electronic system that facilitates the efficient and timely transmission of data from SEAs to the U.S. Department of Education.

This document is to be used in coordination with other documentation including the EDEN Submission System User Guide and the Business Rules Guide.

Data submitted through the ESS is authorized by an Annual Mandatory Collection of Elementary and Secondary Education Data Through EDFacts (OMB 1875-0240, expires 9/30/2013). EDFacts is a U.S. Department of Education (ED) initiative to govern, acquire, validate, and use high-quality, kindergarten through grade 12 (K–12) performance data for education planning, policymaking, and management and budget decisionmaking to improve outcomes for students. EDFacts centralizes data provided by SEAs, LEAs and schools, and provides users with the ability to easily analyze and report data. This initiative has significantly reduced the reporting burden for state and local data producers, and has streamlined data collection, analysis and reporting functions at the federal, state and local levels.

Contents

DOCUMENT CONTROL

PREFACE

1.0PURPOSE

1.1Changes from the SY 2009–10 File Specifications

1.2Requirements for Submitting these Data Groups

2.0GUIDANCE FOR SUBMITTING THIS FILE

2.1LEA File Guidance

2.2School File Guidance

3.0FILE NAMING CONVENTION

3.1Population Status

4.0LEA ESEA STATUS FILE

4.1Header Record Definition

4.2Data Record Definition

4.3LEA ESEA Status File Examples

4.3.1Partial Record Sample for Fixed Format LEA ESEA Status File

4.3.2Partial Record Sample for Comma–Delimited File Format LEA ESEA Status File

4.3.3Partial Record Sample for Tab–Delimited File Format LEA ESEA Status File

5.0SCHOOL ESEA STATUS FILE

5.1Header Record Definition

5.2Data Record Definition

5.3School ESEA Status File Examples

5.3.1Partial Record Sample for Fixed Format School ESEA Status File

5.3.2Partial Record Sample for Comma–Delimited File Format School ESEA Status File

5.3.3Partial Record Sample for Tab–Delimited File Format School ESEA Status File

October 2010 / 1 / SY 2010-11

U.S. DEPARTMENT OF EDUCATIONN130 – ESEA Status

File Specifications v7.0

1.0PURPOSE

This document contains instructions for building fixed and delimited files to submit the following EDFacts Data Groups:

Improvement Status – LEA, DG662
Improvement Status – School, DG34
Persistently Dangerous Status, DG36
New! Persistently lowest-achieving school, DG741

The definition for these data groups are in Table 4.2-1. A separate document contains the XML file formats. General guidance for constructing all file types may be found in the EDFacts Workbook.

The data groups included in this file specification fulfill reporting requirements for programs under the Elementary and Secondary Education Act (ESEA), as amended.

1.1Changes from the SY 2009–10 File Specifications

There have been changes to this file specification that impact record layout:

Added Persistently lowest-achieving school (DG741) to school level
Changed permitted values for Improvement status – LEA (DG662) and Improvement status – schools (DG34) for states approved to use state defined improvement levels.

1.2Requirements for Submitting these Data Groups

This file is submitted at the LEA and School level. Guidance on reporting period and education units included and excluded is included in section 2.0.

Not all data groups are submitted at all levels. See the table below for the data groups applicable at each level, presented in the order they appear in the Detail Record layouts.

Table 1.2–1:ESEA Status File, Data Groups by Level Table

LEA / School
DG662 – Improvement Status – LEA
DG34 – Improvement Status – School
DG36 – Persistently Dangerous Status
DG741 – Persistently lowest-achieving school

2.0GUIDANCE FOR SUBMITTING THIS FILE

This file specification is used to collect status data on LEAs and schools. Section 2.1 explains the LEA file and section 2.2 explains the school file.

2.1LEA File Guidance

The LEA file consists of one LEA status: Improvement Status – LEA (DG662)

What is the reporting period for this file?

The reporting period of the improvement status is the current school year. The status for the current school year is based on AYP determinations from previous school years.

Which LEAs should be reported in the file?

Include only LEAs that are accountable under the State Plan and that are operational in the current school year.

Which LEAs should not be reported in the file?

For LEAs that are not accountable under the State plan (e.g., an educational service district that only provides services to students who are assigned to their home district for accountability), either leave the LEA out of the file or use the permitted value “Not Applicable.”

Revised! What are the permitted values for improvement status of LEAs?

For states that use the improvement statuses defined in ESEA, each LEA has one of the following improvementstatuses for each school year:

Not in improvement

Improvement
Corrective Action

For states that have approval to use state defined improvement statuses, each LEA is either “not in improvement” or in “state defined level of improvement. The specific state defined improvement level is included in the explanation field.

What if the improvement status is not available?

If the improvement status is not available, it should be reported temporarily as “missing.”

2.2School File Guidance

The school file consists of three data groups:

Improvement Status – School (DG 34)
Persistently Dangerous Status (DG 36)
New! Persistently lowest-achieving school, DG741

Revised! What is the reporting period for this file?

The reporting period is the current school year. The statuses are based on what occurred in previous school years, for example, the improvement status is based on AYP determinations from previous school years.

Which schools should be reported in the file?

Include only schools that are operational in the current school year.

What are the permitted values for improvement status of schools?

For states that use ESEA school improvement statuses, each school is either “not in improvement” or in one of the following stages of improvement:

Improvement (Year 1)
Improvement (Year 2)
Corrective Action
Planning for Restructuring
Restructuring

For states that are approved to use state defined improvement levels, each school is either “not in improvement” or in “state defined improvement.” The specific state defined improvement level is included in the explanation field.

What if the state has an approved differentiated accountability pilot?

There are two models for submitting DG#34 for states currently engaged in the differentiated accountability pilot.

1)If a state maintained the ESEA school improvement levels and differentiated within them, use one of the five improvement status permitted values and the explanations field provided to specify the status unique to the state’s differentiated accountability model;

2)If a state developed entirely new school improvement levels, use the “not in improvement” and “state defined improvement.”

What are the permitted values for the persistently dangerous status of schools?

Each school is either reported as “persistently dangerous” or “not persistently dangerous. “ If the persistently dangerous status is not available, it should be reported temporarily as “missing.”

Is there additional guidance on persistently dangerous schools?

Yes. The U.S. Department of Education has published Non-Regulatory guidance on Unsafe School Choice. This guidance can be found at:

What are the permitted values for the persistently lowest-achieving school?

Each school is either reported as “identified as persistently lowest-achieving school” or “not identified as persistently lowest-achieving school. “ If the status is not available, it should be reported temporarily as “missing.”

What schools can be determined to be “persistently lowest-achieving?”

To be identified as a persistently lowest-achieving school, a school must be in one of two categories:

Title I school in improvement, corrective action or restructuring
Secondary Schools that are eligible for but do not receive Title I funds

New! What if one of the statusesare not available?

If the a status is not available, it should be reported temporarily as “missing.”

3.0FILE NAMING CONVENTION

Being able to readily identify any particular file transmission is an important consideration for users of the EDEN Data Submission System. Being able to identify a particular file can greatly facilitate any technical assistance that may be requested by the state. A maximum of 25 characters (including the file extension) is allowed for the file name. The following is the naming convention for ESEA Status file submissions:

sslevSCHYRSTSTvvvvvvv.ext

Where:

ss= Two–characterUSPSState Abbreviation for the submitting SEA.

lev= Three–character abbreviation for the level submitted. Use:

LEA for a Local Education Agency ESEA School Year Start Status submission

SCH for a School ESEA School Year Start Status submission

Filename= SCHYRSTST (no more than nine characters)

vvvvvvv= Up to seven–character alphanumeric string designated by the SEA to uniquely identify the individual submission. (e.g., ver0001, v010803)

.ext= Three–character file extension identifying the file format as follows:

.txt – fixed format

.csv – comma–delimited format

.tab – tab–delimited format

3.1Population Status

The “Pop” column in the header and data records is coded as follows:

M - Mandatory, this field must always be populated

O - Optional, data in this field is optional

4.0LEAESEA STATUS FILE

This section describes the fixed file and delimited file specifications used to transmit information pertaining to the LEA ESEA Status file. The file type is specified in the header record.

4.1Header Record Definition

The header record is required and is the first record in every file submitted to the EDEN Submission System. The purpose of the header record is to provide information as to the file type, number of data records in the file, file name, file identifier, and file reporting period.

See Section 4.3 for examples of the header record.

Table 4.1–1:ESEA Status File, LEA Header Record

DataElementName / Start
Position / Length / Type / Pop / Definition / Comments / Permitted Values
File Type / 1 / 50 / String / M / Identifies the type of file being submitted. / LEA NCLB SY START STATUS
Total Records In File / 51 / 10 / Number / M / The total number of Data Records contained in the file. The header record is NOT included in this count
File Name (Including file extension) / 61 / 25 / String / M / File Name and extension are provided by the SEA. The file name should be the same as the external file name. (Please see File Naming Convention in Section 3.0 of this document.)
File Identifier / 86 / 32 / String / M / Any combination of standard characters to further identify the file as specified by the SEA, e.g., a date, person’s name, and version number.
File Reporting Period / 118 / 9 / String / M / Enter the Academic School Year for which data is being reported. The required format for entering the File Reporting Period is "CCYY–CCYY" or "CCYY CCYY", where either a hyphen or a space must separate the beginning and ending years. / 2010-2011
OR
2010 2011
Filler / 127 / 137 / String / M / Leave filler field blank.
Carriage Return/Line Feed (CRLF) / 264 / 1 / M /

4.2Data Record Definition

Data records are required and immediately follow the header record in every file submitted to the EDEN Submission System. Data records provide the improvement status for LEAs. Each LEA has one data record.

See Section 4.3 for examples of the data record.

Table 4.2–1:ESEA Status File, LEA Data Record

DataElement
Name / Start Position / Length / Type / Pop / Definition / Comments / Permitted Values
File Record Number / 1 / 10 / Number / M / A sequential number assigned by the SEA that is unique to each row entry within the file.
ID 559
FIPSState Code / 11 / 2 / String / M / The two–digit Federal Information Processing Standard (FIPS) Code for the State, District of Columbia, and the possessions and freely associated areas of the United States (e.g., Puerto Rico). / For a list of valid FIPS State Codes, refer to the EDFacts Workbook.
ID 570
State Agency Number / 13 / 2 / String / M / A number used to uniquely identify state agencies. This ID cannot be updated through this file. / 01 – State Education Agency
ID 4
State LEA Identifier / 15 / 14 / String / M / The identifier assigned to a local education agency (LEA) by the state education agency (SEA). Also known as State LEA ID. This ID is a required field. This data element cannot be updated through this file.
Filler / 29 / 20 / String / M / Leave filler field blank.
ID 662
Improvement Status – LEA / 49 / 15 / String / M / An indication of the improvement stage of the local education agency (LEA). / NOTIDENT – Not Identified for Improvement
IMPR – Improvement
CORRACT – Corrective Action
STATEDEFINED–State defined improvement status
MISSING
NA – Not Applicable[1]
Explanation / 64 / 200 / String / O / If using state defined levels, provide the state defined level
Carriage Return/Line Feed (CRLF) / 264 / 1 / M /
October 2010 / 1 / SY 2010-11

U.S. DEPARTMENT OF EDUCATIONN130 – ESEA Status

File Specifications v7.0

4.3LEAESEA Status File Examples

The examples use ESEA defined improvement statuses.

4.3.1Partial Record Sample for Fixed FormatLEAESEA Status File

The following text shows a portion of the header row and data rows.

The highlighted ruler line is provided to help the reader visually identify the column placement of the data. The ruler line should not be included in submitted files.

4.3.2Partial Record Sample for Comma–DelimitedFileFormatLEAESEA Status File

The following text shows the header row and data rows.[*]

4.3.3Partial Record Sample for Tab–DelimitedFileFormatLEAESEA Status File

The following text shows the header row and data rows.*

October 2010 / 1 / SY 2010-11

U.S. DEPARTMENT OF EDUCATIONN130 – ESEA Status

File Specifications v7.0

5.0SCHOOLESEA STATUS FILE

This section describes the fixed file and delimited file specifications used to transmit information pertaining to the School ESEA Status file type. The file type is specified in the header record.

5.1Header Record Definition

See Section 5.3 for examples of the header record.

Table 6.0–1:ESEA Status File, School Header Record

DataElementName / Start
Position / Length / Type / Pop / Definition / Comments / Permitted Values
File Type / 1 / 50 / String / M / Identifies the type of file being submitted. / SCHOOL NCLB SY START STATUS
Total Records In File / 51 / 10 / Number / M / The total number of Data Records contained in the file. The header record is NOT included in this count
File Name (Including file extension) / 61 / 25 / String / M / File Name and extension are provided by the SEA. The file name should be the same as the external file name. (Please see File Naming Convention in Section 3.0 of this document.)
File Identifier / 86 / 32 / String / M / Any combination of standard characters to further identify the file as specified by the SEA, e.g., a date, person’s name, and version number.
File Reporting Period / 118 / 9 / String / M / Enter the Academic School Year for which data is being reported. The required format for entering the File Reporting Period is "CCYY–CCYY" or "CCYY CCYY", where either a hyphen or a space must separate the beginning and ending years. / 2010-2011
OR
2010 2011
Filler / 127 / 152 / String / M / Leave filler field blank.
Carriage Return/Line Feed (CRLF) / 279 / 1 / M /

5.2Data Record Definition

Data records are required and immediately follow the header record in every file submitted to the EDEN Submission System. Data records provide the improvement and persistently dangerous statuses for schools. Each school has one record.