BILL ANALYSIS                                                                                                                                                                                                    






                         SENATE COMMITTEE ON EDUCATION
                              Gloria Romero, Chair
                      2009-2010 5th Extraordinary Session
                                        

          BILL NO:       SBx5 1 
          AUTHOR:        Steinberg
          AMENDED:       January 5, 2010
          FISCAL COMM:   Yes            HEARING DATE:  January 6,  
          2010
          URGENCY:       No             CONSULTANT:    Kathleen   
          Chavira
                                                       Lynn Lorber
          
          NOTE:  This bill has been amended to replace its contents.   
          Although this is the first time the bill is being heard in  
          its current form its contents are similar to those of SB 4  
          (Romero) which was heard by this Committee on December 17,  
          2009.

           SUBJECT  :  Federal Race to the Top Funding
          
           SUMMARY  

          This bill gives direction with regard to the state's  
          application for federal Race to the Top funding and does  
          all of the following. 

                 Establishes a framework for the state's application  
               for federal Race to the Top funding and the related  
               memoranda of understanding (MOU) with local  
               educational agencies.

                 Defines "low-achieving schools" and "persistently  
               low-achieving schools" and sets forth intervention  
               strategies to be followed in conformity to the Race to  
               the Top regulations.

                 Establishes the Science, Technology, Engineering,  
               Math, and Career Technical Education Educator  
               (STEM-CTE) Credentialing Program for purposes of  
               providing alternative routes to the teacher  
               credential.

                 Extends authorization of state testing programs by  
               two years, requires state involvement in the national  




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               academic content standards project and reestablishes a  
               Standards Commission in order to revise California  
               standards so that at least 85% will match the national  
               standards.

                 Authorizes the data in the California Educational  
               Information System, alone or in conjunction with any  
               other data system, to be used by local educational  
               agencies for evaluating teachers and administrators  
               and for making employment decisions, if those  
               decisions are in compliance with specified public  
               school employee collective bargaining law. 

              
           
           
          BACKGROUND  

           Federal law  : Race to the Top (RTTT)

          The federal Department of Education has issued an  
          invitation to the states to compete for approximately $4.35  
          Billion of American Recovery and Reinvestment Act (ARRA)  
          one-time funding as Race to the Top grants, provided that  
          the individual states meet the following requirements:

          Each state must be approved for State Fiscal Stabilization  
          Fund money, and have no legal barriers to linking student  
          achievement data to the evaluation of teachers and  
          principals. 

          In addition, each state must comprehensively address four  
          assurances or areas of priority in education including:

          1)   Adopting high quality standards and assessments to  
               prepare students for higher education or work.

          2)   Recruiting, developing, retaining and rewarding  
               effective teachers and principals.

          3)   Creating data systems to measure student success and  
               support instruction.

          4)   Turning around the lowest performing schools.  

          States that fail to meet any of the above criteria are  




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          barred from competing for Race to the Top funds, but  
          competition for Race to the Top funding among those states  
          that meet the basic criteria will be determined by the  
          quality of the states' plans and that will be determined by  
          the degree to which the states address nineteen competitive  
          criteria. (See Appendix II attached).  States receiving  
          State Fiscal Stabilization Funds are also required to  
          provide data in each of these four areas of reform and must  
          ensure the information is in place (or will shortly be in  
          place) so that parents, teachers, and policymakers know  
          where schools and students stand.  

          Each reform plan criterion has an associated performance  
          measure, for which states must set annual targets.   
          Finally, each state's application must include  
          certification from the state's attorney general that all  
          elements accurately reflect the state's legal framework;  
          and be signed by the Governor, the chief state schools  
          officer (Superintendent of Public Instruction in  
          California) and the president of the state board of  
          education.  States that are awarded funds must meet annual  
          reporting requirements and progress measures, participate  
          in national and state-level program evaluations, and make  
          results publicly available.

           


          Federal Law  :   School Improvement Grants (SIG)

          On December 3, 2009, the U.S. Secretary of Education  
          announced the final requirements for $3.5 billion in Title  
          I School Improvement grants to be made available to states  
          for the purpose of turning around the nation's lowest  
          performing schools. 

          According to the US Department of Education, it has fully  
          aligned the school intervention models and related  
          definitions across the Race to the Top, the State Fiscal  
          Stabilization Fund Phase II, and the School Improvement  
          Grants programs to make it easier for States to develop and  
          implement consistent and coherent plans for turning around  
          their persistently lowest-achieving schools. 

          SIG grants are awarded by formula to States, which will  
          then make competitive grants to local educational agencies  




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          (LEAs). Each State must give priority in awarding SIG funds  
          to LEAs with persistently lowest-achieving schools and  
          outlines the following three tiers of priority:

          Tier I: Any Title I school in improvement, corrective  
          action, or restructuring that
          is among the lowest-achieving five percent of Title I  
          schools in improvement, corrective action, or restructuring  
          in the state or is a high school that has had a graduation  
          rate that is less than 60 percent over a number of years.

          Tier II: Any secondary school that is eligible for, but  
          does not receive, Title I funds that is among the  
          lowest-achieving five percent of secondary schools in the  
          State that are eligible for, but do not receive, Title I  
          funds; or is a high school that has had a graduation rate  
          that is less than 60 percent over a number of years.

          Tier III: Any Title I school in improvement, corrective  
          action, or restructuring; which could include schools with  
          low absolute performance but high growth rates over a  
          number years, or the bottom 6-10 percent of Title I schools  
          in improvement, corrective action, or restructuring.

          As they compete for the funds, school districts must  
          identify the schools they want to transform, and then  
          determine which of four models (turnaround, restart, school  
          closure, or transformation) is most appropriate. If a  
          school has begun implementation of one of these four models  
          or components of one of these models within the last two  
          years, it may apply to use SIG funds to continue to  
          implement the full model.  An LEA with more than nine Tier  
          I and Tier II schools may not implement the transformation  
          model in more than 50 percent of these schools. In Tier III  
          schools, an LEA may implement any of these four models but  
          may also choose other school improvement strategies.

          Applications for the grants are due by Feb. 8, 2010.  Title  
          I School Improvement Grants are funded by $546.6 million in  
          the fiscal year 2009 appropriation and an additional $3  
          billion from the American Recovery and Reinvestment Act  
          (ARRA).
           


          Federal Law: Pupil Data  




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          Current federal law, the Family Educational Rights and  
          Privacy Act (FERPA) limits the disclosure of records that  
          could lead to the identification of an individual student  
          to the entity that collected the data.  FERPA governs  
          virtually all pupil data including health information,  
          discipline records, and academic data.

           State Law:

           Current law requires the governing board of each school  
          district to establish standards of expected pupil  
          achievement at each grade level in each area of study and  
          evaluate and assess certificated employee performance on  
          various criteria including how the employee's performance  
          reasonably relates to the progress of pupils towards the  
          established standards and, if applicable, progress toward  
          the state adopted academic content standards as measured by  
          state adopted criterion referenced assessments.  Current  
          law requires an evaluation of each certificated employee at  
          least once each school year for probationary personnel, at  
          least every other year for personnel with permanent status,  
          and at least every five years for employees who have at  
          least 10 years of service with the school district.   

          On December 14, 2009, a call was jointly issued by the  
          Superintendent of Public Instruction, the President of the  
          State Board of Education, and the Secretary of Education,  
          inviting county and district superintendents and charter  
          school administrators to participate in the state's  
          application for federal funding under the Race to the Top  
          initiative.  Local education agencies that want to  
          participate in the state's RTTT application must submit, by  
          January 8, 2010, a Memorandum of Understanding (MOU) that  
          reflects the local education agency's willingness to commit  
          to partnering with the State in implementing each of the  
          four reform areas.  The MOU must be signed by the district  
          superintendent (or an equivalent authorized signatory), and  
          should be signed by the president of the local governing  
          board (or an equivalent authorized signatory) and the local  
          teachers union leader or an equivalent authorized signatory  
          if applicable.  

          Existing law authorizes the Commission on Teacher  
          Credentialing (Commission) to approve institutions of  
          higher education, school districts, and county offices of  




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          education to recommend to the Commission, the issuance of  
          credentials to persons who have successfully completed a  
          teacher education program (including an alternative  
          certification program) sponsored by the organization if the  
          program meets the standards approved by the Commission.   
          Existing law establishes, within the Commission, the  
          Committee on Accreditation (COA) and requires the COA to  
          make decisions about the accreditation of educator  
          preparation.  

          The Civil Code (California Information Practices Act)  
          currently prohibits a state agency from disclosing any  
          personal information in a manner that would allow the  
          identification of the individual to whom the information  
          pertains with specific exceptions such as nonprofit  
          educational institutions conducting scientific research  
          provided that the Committee for the Protection of Human  
          Subjects (CPHS), of the California Health and Human  
          Services Agency, has approved the request for information.

          Current law authorizes the establishment of California  
          Longitudinal Pupil Achievement Data System (CALPADS) to  
          provide school districts and the California Department of  
          Education (CDE) with data to comply with federal reporting  
          requirements prescribed under the No Child Left Behind Act  
          and to 
          (1) improve the evaluation of educational progress and  
          investments over time, 
          (2) provide school districts with information that can be  
          used to improve pupil achievement, and (3) provide an  
          efficient, flexible, secure means of maintaining  
          longitudinal statewide pupil level data.  

           ANALYSIS  

           With regard to the State's participation in the Race to the  
          Top, this bill:  

          1)   Authorizes the Superintendent of Public Instruction  
               (SPI) and President of the State Board to enter into a  
               memorandum of understanding (MOU) with local  
               educational agencies (LEAs) for the purpose of  
               participating in the Race to the Top. The local  
               Superintendent, President of the Local Board and  
               leader of teacher's bargaining unit are required to  
               sign for each LEA.




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          2)   Requires the Governor, SPI and State Board, in  
               collaborations with participating LEAs, to jointly  
               develop the state's plan for Race to the Top.

          3)   Requires the Department of Finance to provide copies  
               of the state plan(s) for participation in the Race to  
               the Top to appropriate policy and fiscal committees of  
               the Legislature when the plan(s) are submitted to the  
               Attorney General for review as required by federal  
               law. 

          4)   Requires that the plan include an expenditure plan  
               that addresses how RTTT and related federal funds are  
               to be used to assist low-achieving schools.

          5)   Requires that, by January 1, 2011, the SPI contract  
               for evaluation of the implementation of the state RTTT  
               plan and further requires that the SPI convene a  
               working group of legislative and executive staff to  
               develop parameters for the evaluation and make  
               recommendations for the request for proposals for the  
               contract with an independent evaluator.

          6)   Requires that the evaluation be delivered to the  
               Legislature, Governor and State Board by June 1, 2014,  
               with an interim report due on June 1, 2012.

           With regard to low-achieving schools, this bill:  

          7)   Defines "Low-achieving schools" as Title I schools  
               that have been identified for improvement, corrective  
               action or restructuring.

          8)   Defines "Persistently lowest-achieving schools" as  
               schools that are in the lowest 5% of low-achieving  
               schools (as defined above) and high schools that have  
               graduated less than 60% of their pupils each year for  
               the previous three years.

          9)   Authorizes the SPI and State Board of Education, for  
               the purposes of identifying the lowest 5% of  
               low-achieving schools, to use a methodology consistent  
               with the one used to calculate the Academic  
               Performance Index, unless the SPI and State Board  
               develop a more appropriate methodology.  Prior to the  




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               implementation of a methodology, the SPI and State  
               Board must notify the appropriate policy and fiscal  
               committees of the Legislature.

          10)  Allows county community schools, juvenile court  
               schools, special education schools and schools that  
               have grown at least 50 points on the API in the  
               previous five years, to be exempted from the  
               low-achieving categories if allowed by federal law,  
               and not returned to the category by joint action of  
               the SPI and State Board.  Community day schools  
               (operated by school districts) may be excluded by  
               joint action of the State Board and SPI, if allowed by  
               federal law.

          11)  Mandates that school district governing boards impose  
               one of four intervention models, defined in federal  
               law (see appendix 1), on persistently low-achieving  
               schools that have not implemented a similar strategy  
               within the past 2 years. Those intervention strategies  
               are known as:

               a)        The turnaround model
               b)        The restart model.
               c)        School closure.
               d)        The transformational model.

          12)  Requires that local boards hold at least two public  
               hearings prior to designating an intervention model  
               for a persistently low-achieving school.

          13)  Permits a persistently low-performing school  
               implementing the turnaround model or the  
               transformational model to participate in a partnership  
               with a mentor school, provided that all federal  
               requirements are met as well.

          14)  Defines a "mentor school" as a school that has exited  
               from "program improvement" status under the federal No  
               Child Left Behind Act or has increased its API ranking  
               by two or more deciles over the last five years.

          15)  Authorizes regional consortia established under the No  
               Child Left Behind Act to use Race to the Top funds and  
               requires them to provide support to local educational  
               agencies with persistently low-achieving schools with  




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               various forms of assistance, including identifying  
               strategies that provide financial incentives to  
               recruit or retain staff and strategies that reward  
               staff for improving pupil achievement and remove staff  
               that have failed to do so.  Regional consortia are  
               also authorized to assist LEAs to implement teacher  
               hiring policies in persistently lowest-achieving  
               schools that are not seniority based, provided that  
               the policies are consistent with local collective  
               bargaining agreements.

           With regard to teacher credentialing, this bill:  

          16)  Establishes the Science, Technology, Engineering,  
               Math, and Career Technical Education Educator  
               (STEM-CTE) Credentialing Program for purposes of  
               providing alternative routes to credentialing.

          17)  Requires the Commission in consultation with the  
               Committee on Accreditation, to establish by June 1,  
               2010, a process for authorizing alternative route  
               educator preparation programs provided by school  
               districts, county offices of education,  
               community-based organizations (CBOs) and  
               nongovernmental organizations (NGOs) and as such, adds  
               CBOs and NGOs to the list of entities that may be  
               approved to offer science, mathematics, and career  
               technical education teacher preparation programs.   
               Also authorizes the Commission to assess a fee on CBOs  
               and NGOs seeking approval to participate in the  
               STEM-CTE program.  

          18)  Requires the Commission to authorize community-based  
               or non-governmental organizations accredited by an  
               organization that is recognized by the Council for  
               Higher Education Accreditation (CHEA) and the United  
               States Department of Education, and authorizes the  
               Commission to establish alternative criteria, if  
               necessary. 
           
           With regard to standards and assessment, this bill:  

          19)  Extends authorization for the Standardized Testing and  
               Reporting (STAR) pupil assessment program by two  
               years, from July 2011, to July 2013.





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          20)  Establishes the 21 member Academic Content Standards  
               Commission comprised of 11 members appointed by the  
               Governor and 5 members each appointed by the Senate  
               Rules Committee and the Assembly Speaker, provided  
               that at least half of each appointing power's  
               appointees are public classroom teachers.

          21)  Requires the Academic Content Standards Commission to  
               develop academic content standards in language arts  
               and mathematics that are at least 85% the same as the  
               national standards being developed by the Common Core  
               State Standards Initiative. The Commission is required  
               to report its recommendations to the state board by  
               July 15, 2010, and the Board is required to accept or  
               reject, with written reasons for rejection, by August  
               2, 2010.

          22)  Requires the committee that advises the SPI on matters  
               relative to the Academic Performance Index (API) to  
               make recommendations, by January 1, 2011, on how to  
               measure group and individual academic performance  
               growth and how to increase emphasis on the assessment  
               of science and math.


          23)  Requires the SPI, the State Board and a representative  
               appointed by the Governor to participate in the Common  
               Core State Standards Initiative or any related effort  
               to develop a common set of national standards.

          24)  Requires the SPI and State Board, in consultation with  
               the SPI's advisory committee on API matters to make  
               recommendations to the Legislature by January 1, 2011,  
               on each of the following:

               a)        Increasing emphasis on Science and Math in  
                    the API.

               b)        Revising the API to include a measure of  
                    pupil skills and knowledge needed to obtain entry  
                    level employment.

               c)        Revising the API to include a measure of  
                    pupil skills and knowledge needed to succeed in  
                    postsecondary education.  





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                d)        And, by July 1, 2013, developing a method to  
                    determine group and individual academic  
                    performance growth from individual pupil results  
                    from  a longitudinally valid assessment system,  
                    addressing any interactions with the Academic  
                    Performance Index (API).

           With regard to data systems and management, this bill: 

          25)  Authorizes the data in the California Educational  
               Information System, alone or in conjunction with any  
               other data system, to be used by local educational  
               agencies for evaluating teachers and administrators  
               and for making employment decisions, if those  
               decisions are in compliance with specified public  
               school employee collective bargaining law. 

          26)  Declares Legislative intent that by January 1, 2011,  
               and to the extent funds are appropriated for this  
               purpose, the California Department of Education ensure  
               that data elements pertaining to success in the  
               workforce as described in the federal America COMPETES  
               Act be collected for career technical education  
                 programs operated by local educational agencies. 

          27)  Authorizes the California Department of Education, the  
               University of California, the California State  
               University, the Chancellor of the California Community  
               Colleges, the Commission on Teacher Credentialing, the  
               Employment Development Department and the California  
               School Information Services to enter into interagency  
               agreements to facilitate, (1) the implementation of a  
               longitudinal data system, (2) the transfer of data  
               across educational segments and (3) the transfer of  
               workforce data to the educational segments.

          28)  Expands the existing goals of the California  
               Longitudinal Pupil Achievement Data System (CALPADS)  
               to include the requirement that it 
               facilitate the ability of the state to publicly report  
               data, consistent with the requirements of the federal  
               America COMPETES Act and AARA. 

          29)  Authorizes the SPI, with approval of the State Board,  
               to add data elements to CALPADS that are needed to  
               comply with the federal reporting requirements  




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               delineated in ARRA and, prior to implementation,  
               requires the California Department of Education and  
               appropriate higher education agencies to submit an  
               expenditure plan to the Department of Finance (DOF),  
               to be provided by DOF to the Joint Legislative Budget  
               Committee within 10 days of its receipt, detailing any  
               related administrative and local educational agency  
               costs.

          30)  Authorizes the California Department of Education,  
               University of California, California State University,  
               and the Chancellor of the California Community  
               Colleges to obtain quarterly wage data beginning July  
               1, 2010, to the extent permitted by federal law, to  
               assess, analyze, and report to the Legislature and  
               Governor on the impact of education on  
               employment/earnings of the students attending their  
               respective segments, and the higher education system's  
               performance in achieving priority educational  
               outcomes.  

          With regard to pupil data, this bill  :  

           31)  Clarifies that fees or charges imposed upon  
               researchers applying for access to individually  
               identifiable data, (authorized by SB 2 (Simitian) of  
               the 5th Extraordinary Session) must be imposed and  
               must equal the actual costs incurred by the Department  
               of Education in responding to the applicant's request.  
           
           Contingent enactment provisions:

           36)  Makes its provisions contingent upon the enactment of  
               SB 4 (Romero) of the 5th Extraordinary Session.

           STAFF COMMENTS  

           1)   Bills are linked  .  This bill and SB 4 (Romero) both  
               contain contingent enactment provisions.  This bill  
               becomes operative only if SB 4 of the Fifth  
               Extraordinary Session is also enacted and becomes  
               operative.

           2)   Related legislation.   Other bills introduced in the  
               5th Extraordinary Session include:





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           SB 4 (Romero)  - As it was heard and passed by this  
               committee on December 17, 2009 (7-0), proposed several  
               changes to law in an effort to make California more  
               competitive for federal K-12 Race to the Top (RTTT)  
               grants.  This bill is nearly identical to SB 4 as it  
               was previously heard by this committee, but omits any  
               provisions related to open enrollment and parental  
               involvement.   

           SB 2 (Simitian)   - Develops a process for reviewing and  
               responding to requests for individual pupil data  
               records housed in the emerging pre-school through  
               higher education statewide longitudinal educational  
               data system (P-20 data system).  SB 2 was passed by  
               the Legislature on December 17, 2009, and is currently  
               before the Governor awaiting action.  This bill makes  
               the following clarifications regarding the fees or  
               charges imposed upon researchers:

               a)        SB 2 references fees or charges that may be  
                    imposed, while this bill references fees or  
                    charges that shall be imposed.

               b)        SB 2 prohibited any fees or charges from  
                    exceeding actual costs, while this bill requires  
                    fees or charges to be equal to actual costs.

                AB 8 (Brownley)   - Declares legislative intent and  
               provides statutory direction concerning the state's  
               application for Race to the Top funds and contains  
               provisions related to lifting the cap on charter  
               schools as well as imposing new requirements for  
               charter school renewal, intervention in persistently  
               low achieving schools, professional development,  
               standards and assessment and allocating RTTT funds.    
               Although AB 8 was scheduled to be heard in this  
               committee on December 17, 2009, its hearing was  
               cancelled at the request of the author.

           3)   Related regular session legislation.   SB 19 (Simitian)  
               in the 2009-10 Regular Session repealed the firewall  
               and addressed statutory changes related to the  
               collection and use of data necessary to qualify for  
               American Recovery and Reinvestment Act (ARRA) funding.  
                SB 19 was signed into law by Governor Schwarzenegger  
               on October 11, 2009.  




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           4)   STEM-CTE programs  :  Currently, institutions of higher  
               education must be accredited by a regional accrediting  
               organization such as the Western Association of  
               Schools and Colleges in order to be eligible to seek  
               approval from the Commission to offer teacher  
               preparation programs.  Because regional accrediting  
               associations may not accredit CBOs or NGOs, these  
               entities may not be able to meet this essential  
               eligibility "precondition."  The bill requires the  
               Commission and the COA to establish a process for  
               approving programs, yet the bill also appears to  
               require the Commission to authorize community-based or  
               nongovernmental organizations if those entities are  
               accredited by an accrediting body recognized by the  
               Council for Higher Education Accreditation and the US  
               Department of Education.  It appears to be the intent  
               that the Commission consider community-based or  
               nongovernmental organizations accredited by an  
               accrediting organization recognized by CHEA or the US  
               Department of Education as satisfying the precondition  
               of accreditation may be necessary.  Future legislation  
               may be necessary to clarify this intent.  
           
           

          SUPPORT  

          (none received on this version of the bill)

           OPPOSITION

           (none received on this version of the bill)

















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                                   Appendix I

                      Federal School Intervention Models 

          (Appendix C in the Notice of Final Priorities,  
          Requirements, Definitions, and Selection Criteria; and in  
          the Notice Inviting Applications)

          There are four school intervention models referred to in  
          Selection Criterion (E)(2): turnaround model, restart  
          model, school closure, or transformation model.  Each is  
          described below. 

          (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)  Use 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 with 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;




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           (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.




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          (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 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 with 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;
          (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.




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          (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 or International Baccalaureate; or science,  
          technology, engineering, and mathematics courses,  
          especially those that incorporate rigorous and relevant  
          project-, inquiry-, 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  




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          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 implement 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  




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          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.

          If a school identified as a persistently lowest-achieving  
          school has implemented, in whole or in part within the last  
          two years, an intervention that meets the requirements of  
          the turnaround, restart, or transformation models, the  
          school may continue or complete the intervention being  
          implemented.







































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                                  Appendix II

                  Race To The Top Selection Criteria & Points

          A. State Success Factors (125 Points)  
                    
          (1) Articulating State's education reform agenda and LEA's  
          participation in it                                          
              

              (i)  Articulating comprehensive, coherent reform agenda  
            
              (ii) Securing LEA commitment  
              (iii) Translating LEA participation into statewide  
          impact

          (2) Building strong statewide capacity to implement, scale  
          up, and sustain proposed plans   

             (i) Ensuring the capacity to implement 
             (ii) Using broad stakeholder support  

          (3) Demonstrating significant progress in raising  
          achievement and closing gaps
                                                                       
            
             (i) Making progress in each reform area 
             (ii) Improving student outcomes


          B. Standards and Assessments (70 Points)    
          
          (1) Developing and adopting common standards                 
            |

             (i) Participating in consortium developing high-quality  
          standards                                                    
              
             (ii) Adopting standards 

          (2) Developing and implementing common, high-quality  
          assessments                                                  
              

          (3) Supporting the transition to enhanced standards and  
          |high-quality assessments 




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          C. Data Systems to Support Instruction (47 Points)   

          (1) Fully implementing a statewide longitudinal data system  
           

          (2) Accessing and using State data 

          (3) Using data to improve instruction 

          D. Great Teachers and Leaders (138 Points)      

          Eligibility Requirement (b) - Linking student data to  
          teachers and principals                                    

          (1) Providing high-quality pathways for aspiring teachers  
          and principals 

          (2) Improving teacher and principal effectiveness based on  
          performance   

          (i) Measuring student growth  
          (ii) Developing evaluation systems
          (iii) Conducting annual evaluations 
          (iv) Using evaluations to inform key decisions 

          (3) Ensuring equitable distribution of effective teachers  
          and principals     

          (i) Ensuring equitable distribution in high-poverty or  
          high-minority schools                                        
              
          (ii) Ensuring equitable distribution in hard-to-staff  
          subjects and specialty areas                                 
              

          (4) Improving the effectiveness of teacher and principal  
          preparation programs 

          (5) Providing effective support to teachers and principals 

          E. Turning Around the Lowest-Achieving Schools (50 Points) 

          (1) Intervening in the lowest-achieving schools and LEAs   
                           
          (2) Turning around the lowest-achieving schools 




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          (i) Identifying the persistently lowest-achieving schools  
          (ii) Turning around the persistently lowest-achieving  
          schools

          F. General (55 Points) 
           
          Eligibility Requirements (a) - State application must be  
          approved by the Department                              |

          (1) Making education funding a priority   

          (2) Ensuring successful conditions for high-performing  
          charter schools and other innovative schools

          (3) Demonstrating other significant reform conditions  

          Competitive Preference Priority 2: Emphasis on STEM (15  
          Points)