U.S. DEPARTMENT OF EDUCATION
EDFacts Submission System
C130 – ESEA Status
File Specifications
Version 11.0
SY 2014-2015
April 2015
40071.1
U.S. DEPARTMENT OF EDUCATION C130 – ESEA STATUS
File Specifications v11.0
This technical guide was produced under U.S. Department of Education Contract No. ED-PEP-14-O-5013 with Applied Engineering Management Corporation. 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
EDFacts
Ross Santy
System Owner
April 2015
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: C130 – ESEA Status File Specifications – V11.0 (SY 2014-15), U.S. Department of Education, Washington, DC: EDFacts. Retrieved [date] from http://www.ed.gov/edfacts.
On request, this publication is available in alternate formats, such as Braille, large print, or CD Rom. For more information, please contact the Department’s Alternate Format Center at (202) 260–0818.
DOCUMENT CONTROL
DOCUMENT INFORMATION
Title: / C130 – ESEA File SpecificationsRevision: / Version 11.0
Issue Date: / June 2014
Security Level: / Unclassified – For Official Use Only
Filename: / c130-11-0.doc
DOCUMENT HISTORY
Version Number / Date / Summary of Change1.0 – 10.0 / Versions 1.0 through 10.0 are used to build files for school years prior to SY 2014-15.
11.0 / June 2014 / Updated for SY 2014-15
· 2.4.2.1 Revised – (What are the permitted values for improvement status of schools?)
· 2.4.2.5 Revised – (If a state included a reference to a state-defined school status in its ESEA flexibility request, does the state always need to report this data group?)
11.0 / April 2015 / 2.4.2.5 – Updated data group number in section header
PREFACE
This document provides technical instructions for building files that are submitted through the EDFacts Submission System (ESS). The ESS is an electronic system that facilitates the efficient and timely transmission of data from State Educational Agencies (SEAs) to the U.S. Department of Education.
This document is to be used in coordination with other documentation posted on http://www2.ed.gov/about/inits/ed/edfacts/index.html under EDFacts System Documentation, including:
· EDFacts Workbook – a reference guide to using the ESS; particularly useful to new users; contains multiple appendices, including one that explain how to use the file specifications.
· ESS User Guide – provides assistance to new users of ESS; it addresses the basic mechanics of system access and data submission.
· EDFacts Business Rules Guide – describes each business rule; includes the error number, type, message, definition, edit logic, and the file specifications where the business rules are applied.
Please contact the Partner Support Center (PSC) with questions about the documents. You will find contact information for PSC and each State EDFacts Coordinator at:
http://www2.ed.gov/about/inits/ed/edfacts/eden/contacts.html.
Data submitted through the ESS are authorized by an Annual Mandatory Collection of Elementary and Secondary Education Data Through EDFacts (OMB 1875-0240, expires 2/29/2016). 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 decision-making to improve outcomes for students. EDFacts centralizes data provided by SEAs, local educational agencies (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.
April 2015 / 21 / SY 2014-15U.S. DEPARTMENT OF EDUCATION C130 – ESEA STATUS
File Specifications v11.0
Contents
DOCUMENT CONTROL ii
PREFACE iii
1.0 PURPOSE 2
2.0 GUIDANCE FOR SUBMITTING THIS FILE 2
2.1 Changes from the SY 2013-14 File Specifications 2
2.2 Core Requirements for Submitting this File 2
2.3 Required Categories and Totals 4
2.4 Guidance 4
2.4.1 LEA File Guidance 4
2.4.2 School File Guidance 4
2.5 Definitions 6
3.0 FILE NAMING CONVENTION 7
4.0 FIXED OR DELIMITED FILES 8
4.1 LEA Header Record Definition 8
4.2 LEA Data Record Definition 9
4.3 School Header Record Definition 10
4.4 School Data Record Definition 11
5.0 XML SPECIFICATIONS 14
5.1 LEA Status XML Object 15
5.2 LEA File Transmit XML Object 16
5.3 SCH Status XML Object 17
5.3 SCH File Transmit XML Object 20
April 2015 / 21 / SY 2014-15U.S. DEPARTMENT OF EDUCATION C130 – ESEA STATUS
File Specifications v11.0
U.S. DEPARTMENT OF EDUCATION C130 – ESEA STATUS
File Specifications v11.0
1.0 PURPOSE
This document contains instructions for building files to submit the following EDFacts Data Groups:
Table1.0-1: EDFacts data groups
Data Group Name / DG / DefinitionImprovement Status – LEA / 662 / An indication of the improvement stage of the local educational agency (LEA)
Improvement Status – School / 34 / An indication of the improvement status of the school
Persistently Dangerous Status / 36 / An indication of whether the school is identified as persistently dangerous in accordance with state definition.
Persistently lowest-achieving school / 741 / An indication of whether or not the school has been identified by the state as persistently lowest-achieving
Reward Schools / 778 / An indication of whether the school is designated by the state as a reward school under its approved ESEA flexibility request
State-defined school status / 779 / An indication of the state designated improvement status of the school under its approved ESEA flexibility request
The data collected using this file specification are required by the Elementary and Secondary Education Act of 1965, as amended (ESEA).
2.0 GUIDANCE FOR SUBMITTING THIS FILE
This section contains changes from the previous school year, core requirements for submitting this file, required categories and totals, and general guidance.
2.1 Changes from the SY 2013-14 File Specifications
Other than the editorial changes listed in the document history on page ii, there have been no other changes to this file specification.
2.2 Core Requirements for Submitting this File
The following table contains the core reporting requirements.
Table 2.2-1 Core Reporting Requirements
/ SEA / LEA / School /Reporting Period / Current school year - the status for the current school year is based on accountability determinations from previous school years.
Education units reported / File not submitted at SEA level / Operational LEAs that are accountable under the State plan / Operational schools
Education units not reported / Closed, inactive, or future LEAs
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.” / Closed, inactive, or future schools
Type of count
Zero counts
Zero exceptions
Not applicable / Use the NA permitted value
Missing / Use the “MISSING” permitted value
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 2.2–2: Data Groups by Level Table
LEA / School /DG662 – Improvement Status – LEA
DG34 – Improvement status – school
DG36 – Persistently dangerous status
DG741 – Persistently lowest-achieving school
DG778 – Reward schools
DG779 – State-defined school status
Because different data groups are submitted at each level, the record layouts for the LEA and school levels are different.
2.3 Required Categories and Totals
This section is not used for this file specification.
2.4 Guidance
This section contains guidance for submitting this file in the format of questions and answers. Section 2.4.1 explains the LEA file and section 2.4.2 explains the school file.
2.4.1 LEA File Guidance
2.4.1.1 Improvement Status – LEA (DG662)
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 improvement statuses 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 to the SEA to submit?
If the improvement status is not available, use “MISSING.”
2.4.2 School File Guidance
2.4.2.1 Improvement Status – School (DG34)
Revised! What are the permitted values for improvement status of schools?
For states that are not implementing ESEA flexibility in SY 2014-15 for SY 2014-15, each school is either “not in improvement” or in one of the following stages of improvement:
o Improvement (Year 1)
o Improvement (Year 2)
o Corrective Action
o Planning for Restructuring
o Restructuring
For states that are approved to implement ESEA flexibility in SY 2014-15 the permitted values are:
· Priority
· Focus
· Not priority or focus
What if the improvement status is not available to the SEA to submit?
If the improvement status is not available, use “MISSING.”
2.4.2.2 Persistently Dangerous Status (DG36)
What are the permitted values for the persistently dangerous status of schools?
The permitted values are:
· Persistently dangerous
· Not persistently dangerous
· MISSING – Data are not available to the SEA at the time the file is submitted.
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: http://www.ed.gov/policy/elsec/guid/unsafeschoolchoice.pdf.
2.4.2.3 Persistently Lowest-Achieving School (DG741)
What are the permitted values for the persistently lowest-achieving status of schools?
The permitted values are:
· Identified as persistently lowest-achieving school
· Not identified as persistently lowest-achieving school
MISSING – Data are not available to the SEA at the time the file is submitted.
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
2.4.2.4 Reward Schools (DG778)
Which states submit data on reward schools?
States with approved ESEA flexibility requests.
What are the permitted values for the reward status of schools?
The permitted values are:
· Reward school
· Not a reward school
· MISSING – Data are not available to the SEA at the time the file is submitted.
2.4.2.5 State Defined School Status (DG779)
Which states submit data on reward schools?
States with approved ESEA flexibility requests that use state-defined school statuses should indicate the state-defined status of the school in a range from 1 to 10.
What are the permitted values for the state-defined status of schools?
The permitted values are status 1 through status 10. States should use the permitted value of “Status 1” for the lowest level state-defined school status. For example, if a state uses a grading system of A-F, then Status 1 would = F. Use the permitted value “no state-defined school status” for any school that was not assigned a state-defined status.
What if the improvement status is not available to the SEA to submit?
If the improvement status is not available, use “MISSING.”
Revised! If a state included a reference to a state-defined school status in its ESEA flexibility request, does the state always need to report this data group?
Yes, regardless of how the state uses the status, if a reference to a state-defined school status is included in a state’s approved ESEA flexibility request, such as assigning schools a grade (e.g., A-F) or a classification that is distinct from priority or focus (e.g., warning), the state must report this data group.
2.5 Definitions
See the EDFacts Workbook (http://www2.ed.gov/about/inits/ed/edfacts/index.html) for the standard definitions. This file specification has no additional definitions.
3.0 FILE NAMING CONVENTION
The following file naming convention is to help identify files to provide technical assistance.
A maximum of 25 characters (including the file extension) is allowed for the file name.
The following is the naming convention for file submissions:
sslevSCHYRSTSTvvvvvvv.ext
Table 3.0-1: File Naming Convention
Where / Means / Limit in charactersss / USPS State Abbreviation / 2
lev / Abbreviation for level:
· LEA for an Local Education Agency level
· SCH for a school level / 3
filename / SCHYRSTST / 9
vvvvvvv / Alphanumeric string designated by the SEA to uniquely identify the individual submission (e.g., ver0001, v010803) / 7
.ext / Extension identifying the file format:
.txt – fixed
.csv – comma delimited
.tab – tab delimited
.xml – XML / 4
4.0 FIXED OR DELIMITED FILES
This section describes the fixed file and delimited file specifications. The fixed file and delimited files contain a header record followed by data records. The file type is specified in the header record.
The population status (“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 may not be required, see guidance
The record layouts for the LEA and school level are different. Sections 4.1 and 4.2 describe the LEA level record layouts. Sections 4.3 and 4.4 describe the school level record layouts.
4.1 LEA Header Record Definition
The header record is required and is the first record in every file submitted to the ESS. 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.
Table 4.1–1: LEA Header Record
Data Element Name / StartPosition / Length / Type / Pop / Definition / Comments / Permitted Values
Abbreviations /
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 / 61 / 25 / String / M / The file name including extension, the same as the external file name. / See section 3.0
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 / The school year for which data are being reported. The required format is "CCYY–CCYY" or "CCYY CCYY", where either a hyphen or a space separates the beginning and ending years. / 2014-2015
OR
2014 2015
Filler / 127 / 137 / String / M / Leave filler field blank.
Carriage Return / Line Feed (CRLF) / 264 / 1 / M /
Below is an example of a header record.