Graduation Cohorts - Flexibility Subgroups

U.S. DEPARTMENT OF EDUCATION

EDFacts Submission System

C177 – Cohorts for Graduation Rates – Flexibility Subgroups File Specifications

Version 11.0 SY 2014-15

July 2014

U.S. DEPARTMENT OF EDUCATION C177 – Cohorts for Graduation Rates – Flexibility Subgroups File Specifications v11.0

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

EDFacts Ross Santy System Owner

July 2014

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: FILE 177 – Cohorts for Graduation Rates – Flexibility Subgroups 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.

July 2014 i SY 2014-15 U.S. DEPARTMENT OF EDUCATION C177 – Cohorts for Graduation Rates – Flexibility Subgroups File Specifications v11.0 DOCUMENT CONTROL DOCUMENT INFORMATION C177 – Cohorts for Graduation Rates – Flexibility Subgroups File Title: Specifications Revision: Version 11.0 Issue Date: July 2014 Security Level: Unclassified – For Official Use Only Filename: c177-11-0.doc

DOCUMENT HISTORY Version Date Summary of Change Number 1.0 – 10.0 Versions 1.0 through 10.0 are used to build files for school years prior to SY SY 2014-15 11.0 July 2014 Updated for SY 2014-15  Table 2.2-1 Clarified zero, not applicable, and missing reporting guidance

July 2014 ii SY 2014-15 U.S. DEPARTMENT OF EDUCATION C177 – Cohorts for Graduation Rates – Flexibility Subgroups File Specifications v11.0 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 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 EDFacts Submission System (ESS); particularly useful to new users; contains multiple appendices, including one that explains how to use the file specifications

 ESS User Guide – provides assistance to new users of the EDFacts Submission System (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, 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.

July 2014 iii SY 2014-15 U.S. DEPARTMENT OF EDUCATION C177 – Cohorts for Graduation Rates – Flexibility Subgroups 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...... 3 2.4 Guidance...... 4 2.5 Definitions...... 5 3.0 FILE NAMING CONVENTION...... 6 4.0 FIXED OR DELIMITED FILES...... 7 4.1 Header Record Definition...... 7 4.2 Data Record Definition...... 8 5.0 XML SPECIFICATIONS...... 11 5.1 Category XML Object...... 12 5.2 Table Type XML Object...... 15 5.3 Agency XML Object...... 16 5.4 File Transmit XML Object...... 17

July 2014 iv SY 2014-15 U.S. DEPARTMENT OF EDUCATION C177 – Cohorts for Graduation Rates – Flexibility Subgroups File Specifications v11.0

1.0 PURPOSE

This document contains instructions for building files to submit the following EDFacts data groups:

Table 1.0-1: EDFacts data groups Data Group Name DG Definition Cohorts for 774 The number of students in the adjusted-cohort for the regulatory four- regulatory four-year adjusted-cohort graduation rate. year adjusted cohort graduation rate table – Flex Cohorts for 775 The number of students in the adjusted-cohort for the regulatory five- regulatory extended time five-year adjusted-cohort year adjusted graduation rate. cohort graduation rate table – Flex Cohorts for 776 The number of students in the adjusted-cohort for the regulatory six-year regulatory extended time six-year adjusted-cohort adjusted cohort graduation rate. graduation rate table - Flex

The data collected using this file specification are required to provide transparency around SEA implementation of new reforms and accountability measures under ESEA Flexibility requests. This file needs to be submitted only by states with approved ESEA Flexibility requests that include the use of combined subgroups.

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

The guidance has been updated and other editorial changes have been made. These changes are listed in the document history on page ii. There have been no changes to the record layouts.

2.2 Core Requirements for Submitting this File

The following table contains the reporting period, the education units included or excluded, the type of count, and zero count reporting.

July 2014 5 SY 2014-15 U.S. DEPARTMENT OF EDUCATION C177 – Cohorts for Graduation Rates – Flexibility Subgroups File Specifications v11.0

States should report the counts of students (in both the numerator and denominator) for their regulatory four-year adjusted-cohort graduation rate in this file (DG774). States that also have an ED-approved regulatory extended five-year adjusted-cohort graduation rate should include counts of students for their extended-year adjusted- cohort graduation rate (DG775); states with an ED-approved extended six-year adjusted cohort graduation rate should also submit that data in this file (DG777).

Table 2.2-1: Core Reporting Requirements SEA LEA School Reporting Period Entire school year Education units Include SEA Operational LEAs with a Operational schools included 12th grade with a 12th grade

Education units not Closed, inactive, or Closed, inactive, or reported future LEAs future schools LEAs that do not have a Schools that do not 12th grade have a 12th grade Type of count Once At only one LEA At only one school Zero counts Required Not required Not required Zero exceptions Only include for the state’s approved ESEA combined subgroups Not applicable See zero exceptions above Missing Use “-1” to report missing counts. Use “MISSING” when a category is not available

2.3 Required Categories and Totals

The table below lists the combiniations of the categories that are expected to be submitted for the state and each LEA or school that should be included in the file. An “X” in the column indicates that the column must be populated when reporting that particular category. The total indicator must be “N” (No). The abbreviations in the “Table Name” column represent the technical name of the data used in the file.

Table 2.3–1: Required Categories and Totals

Data Group Name DG ID Flexibilit Total Aggregatio y Cohort Table Name Indicat Comments n Subgroup Status or s Cohorts for 774 Student regulatory four-year Category Set FLEXGRCOF Count by adjusted cohort X X N A OUR Flexibility graduation rate Subgroup table – Flex Cohorts for 775 Student regulatory five-year Category Set FLEXGRCOFI Count by adjusted cohort X X N A VE Flexibility graduation rate Subgroup table – Flex Cohorts for 776 Student regulatory six-year Category Set FLEXGRCOS Count by adjusted cohort X X N A IX Flexibility graduation rate Subgroup table - Flex

2.4 Guidance

This section contains guidance for submitting this file in the format of questions and answers.

This file specification is used to report the number of students in the adjusted graduation cohort rate as defined in ED’s final Title I regulations released in October 2008. Use this file specification to report for the combined subgroups your state’s graduation counts; report the cohorts for graduation in four years, and if applicable to your state, the cohorts for graduation under extended time.

What is the difference among the data groups reported in this file? A majority of states will report graduation data based on a regulatory four-year adjusted- cohort:

The cohort for graduation in four years is the number of students in the adjusted-cohort for the graduating class. The four-year cohort includes students who graduated in four years or less.

Only a few states may also be approved to use a graduation rate based on a regulatory extended-year adjusted-cohort:

The cohort for graduation under extended year is the number of students in the adjusted-cohort for the extended-year graduation rate. The extended year cohort includes students who transferred into the cohort after year four and excludes students who transferred out, emigrated, or died after year four.

NOTE: If your state reported the four-year adjusted-cohort counts in this file, it must report regulatory four-year adjusted-cohort graduation rate in File C174. If your state reported the extended-year adjusted-cohort counts in this file, it must report the regulatory extended-year adjusted-cohort graduation rates in File C174.

Where is more information about using adjusted-cohort graduation rates for accountability purposes available? Refer to http://www.ed.gov/policy/elsec/guid/hsgrguidance.pdf for the high school graduation rate non-regulatory guidance.

How should states, with ED-approved extended-year adjusted-cohorts, report the extended-year cohorts? The extended five-year adjusted-cohort reported for SY 2014-15 is based on the 9th- grade adjusted-cohort group of SY 2010-11. The extended six-year adjusted-cohort reported for SY 2014-15 is based on the 9th-grade cohort group of SY 2009-10.

How is this file specification different from file specifications C174 – Regulatory Adjusted-Cohort Graduation Rates for High School - Flex? This file used to report the number of students in the adjusted-cohort used to calculate the graduation rate as defined in ED’s final Title I regulations, released in October 2008. File specification C174 is used to report the graduation rate. States should report both files C174 and C177.

What are the permitted values for the combined subgroup? The permitted values are:  B25 - Bottom 25 percent of students  B30 - Bottom 30 percent of students  T25 - Top 25 percent of students  T30 - Top 30 percent of students  T75 - Top 75 percent of students  HNS - High needs students (any combination of English learners, students with disabilities (IDEA), and/or economically disadvantaged)  HDS - Historically disadvantaged racial/ethnic minority students (any combination of African American, Hispanic, and/or Native American)  HNSHDS - High needs students including historically disadvantaged racial/ethnic minority students (any combination of English learners, students with disabilities (IDEA), economically disadvantaged, African American, Hispanic, and/or Native American)  REMS - Racial/ethnic minority students (any combination of all racial/ethnic minority students in a state)  NPS - Non-proficient students  OTH - Other

Which permitted values should be used for the category flexibility subgroups?

States should use the permitted values for combined subgroups from their approved ESEA Flexibility request.

Is an SEA required to report graduation cohorts data for each of its combined subgroups? Yes, an SEA is required to submit cohort data for each of its combined subgroups.

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 Cohorts for Graduation Rates - Flexibility Subgroups.

The following is the naming convention for file submissions:

sslevFLXGRADCOvvvvvvv.ext

Table 3.0-1: File Naming Convention Where Means Limit in characters ss USPS State Abbreviation 2 lev Abbreviation for level: 3  SEA for an State Education Agency level  LEA for an Local Education Agency level  SCH for a school level filename FLXGRADCO 9 vvvvvvv Alphanumeric string designated by the SEA to 7 uniquely identify the individual submission (e.g., ver0001, v010803) .ext Extension identifying the file format: 4 .txt – fixed .csv – comma delimited .tab – tab delimited .xml – XML

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

M - Mandatory, this field must always be populated A - This field is populated in accordance with table 2.3-1 “Required Categories and Totals” O - Optional, data in this field are optional

4.1 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, Cohorts for Graduation Rates - Flexibility Subgroups, file identifier, and file reporting period.

Table 4.1–1: Header Record Data Start Permitted Lengt Element Positio Type Pop Definition / Comments Values h Name n Abbreviations File Type 1 50 String M Identifies the type of file being SEA submitted. GRADUATION COHORTS FLEXIBILITY

LEA GRADUATION COHORTS FLEXIBILITY

SCHOOL GRADUATION COHORTS FLEXIBILITY Total Records 51 10 Numbe M The total number of data records In File r 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 See section 3.0 same as the external file name. 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).

Data Start Permitted Lengt Element Positio Type Pop Definition / Comments Values h Name n Abbreviations File Reporting 118 9 String M The school year for which data are 2014-2015 Period being reported. The required format is "CCYY–CCYY" or "CCYY CCYY", where OR either a hyphen or a space separates the beginning and ending years. 2014 2015 Filler 127 198 String M Leave filler field blank. Carriage 325 1 M Return / Line Feed (CRLF)

Below is an example of a header record.

Table 4.1–2: Header Record Example Format File Type, Total Records in File, File Name, File Identifier, File Reporting Period, Filler, Carriage Return/Line Feed Exampl SEA GRADUATION COHORTS FLEXIBILITY,15,EUSEAver0007.CSV,Euphoria e SEA Version 7.0,2014-2015,¶

4.2 Data Record Definition

Data records are required and immediately follow the header record in every file submitted to the ESS. Data records provide counts for the specified category sets, subtotals and education unit totals.

Table 4.2–1: Data Records Start Data Element Lengt Permitted Values Positio Type Pop Definition / Comments Name h Abbreviatioins n File Record 1 10 Numb M A sequential number Number er assigned by the State that is unique to each row entry within the file. DG559 11 2 String M The two-digit American For a list of valid State State Code National Standards Institute Codes, refer to the for the state, District of EDFacts Workbook. Columbia, and the possessions and freely associated areas of the United States. DG570 13 2 String M A number used to uniquely 01 – State Education State Agency identify state agencies. This Agency Number ID cannot be updated through this file.

Start Data Element Lengt Permitted Values Positio Type Pop Definition / Comments Name h Abbreviatioins n DG4 15 14 String M The identifier assigned to a SEA level – Blank State LEA local education agency (LEA) Identifier by the state education agency (SEA). Also known as State LEA ID. This data element cannot be updated through this file. DG5 29 20 String M The identifier assigned to a SEA level – Blank State School school by the state LEA level - Blank Identifier education agency (SEA). Also known as the State School ID. This ID cannot be updated through this file. Table Name 49 20 String M See section 1.0 FLEXGRCOFOUR FLEXGRCOFIVE FLEXGRCOSIX

Start Data Element Lengt Permitted Values Positio Type Pop Definition / Comments Name h Abbreviatioins n Flexibility 69 15 String A The state-specific combined B25 - Bottom 25 Subgroups subgroups used under ESEA percent of students flexibility. B30 - Bottom 30 percent of students T25 - Top 25 percent of students T30 - Top 30 percent of students T75 - Top 75 percent of students HNS - High needs students (any combination of English learners, students with disabilities (IDEA), and/or economically disadvantaged) HDS - Historically disadvantaged racial/ethnic minority students (any combination of African American, Hispanic, and/or Native American) HNSHDS - High needs students including historically disadvantaged racial/ethnic minority students (any combination of English learners, students with disabilities (IDEA), economically disadvantaged, African American, Hispanic, and/or Native American) REMS - Racial/ethnic minority students (any combination of all racial/ethnic minority students in a state) NPS - Non-proficient students OTH - Other

Start Data Element Lengt Permitted Values Positio Type Pop Definition / Comments Name h Abbreviatioins n Cohort Status 84 15 String A Whether or not a student in a COHYES – Graduated cohort graduated with a with a regular high regular high school diploma school diploma within within the allowable time. the allowable time COHNO – Did not graduate with a regular high school diploma within the allowable time MISSING Filler 99 15 String M Leave filler field blank. Total Indicator 114 1 String M An indicator that defines the N – Specifies category count level – see table 2.3-1 set “Required Categories and Totals” Explanation 115 200 String O Text field for state use. Student Count 315 10 Numb M er Carriage Return / 325 1 M Line Feed (CRLF)

Below is an example of a data record, this is the set of data that should be submitted for each education unit. See section 2.3-1.

Table 4.2–2: Data Record Example – School level Data Group DG Aggregati Example Name ID on Format File Record Number,State Code,State Agency Number,State LEA Identifier,State School Identifier,Table Name,Flexibility Subgroups,Cohort Status,Filler,Total Indicator,Explanation,Student Count¶ Cohorts for 774 1,80,01,249,91113,FLEXGRCOFOUR,T25,COHYES,, regulatory four- Category N,Explanation,15¶ year adjusted Set A cohort graduation rate table – Flex Cohorts for 775 2,80,01,249,91113,FLEXGRCOFIVE,HNS,COHYES,, regulatory five- Category N,Explanation,74¶ year adjusted Set A cohort graduation rate table – Flex Cohorts for 776 3,80,01,249,91113,FLEXGRCOSIX,HNSHDS,COHN regulatory six- Category O,,N,Explanation,71¶ year adjusted Set A cohort graduation rate table - Flex

5.0 XML SPECIFICATIONS

The XML files contain three (3) distinct metric objects and a file transmit objects. The structure of the objects contains a node that defines the education unit that corresponds to the submitted metric. The structure also contains nodes that represent the characteristics of the metric (see table 2.3-1 for a list of the characteristics used in this file), the associated value, and whether the metric value is a subtotal or total of the education unit. The metric objects are contained within the file transmission objects that define the group of values that is being submitted.

The XML specifications are represented in a table with the headings:

 Element – name of the XML element tag.  Attribute – name of the XML attribute tag.  Category Value – name of the category.  Char – the XML element or attribute characteristic see table 5.0-1 below  Definition/Comments – definition and additional comments related to formats or other business rules.  Permitted Values – values for data elements.

The Char (characteristics) column in the XML format matrices accepts the following codes: Table 5.0-1: XML Format Codes Code Characteristic M Mandatory Element/Attribute O Optional C Conditionally Required MR Mandatory and Repeatable Element OR Optional and Repeatable Element CR Conditional and Repeatable Element

The size of the fields is found in the record layouts in section 4.1 and 4.2.

5.1 Category XML Object

The category XML object is used to define the characteristics associated with a count. There may be zero, one, or more categories defined for a count.

Table 5.1-1: Category XML Object Definition Definition / Permitted Values Element Attribute Data Element Name Category Value Char Comments Abbreviations CATEGOR Y TYPE M The category or categories for the table type. Flexibility Subgroups FLEXSUBG Cohort Status COHSTATUS VALUE M The category permitted value

Definition / Permitted Values Element Attribute Data Element Name Category Value Char Comments Abbreviations FLEXSUBG The state- B25 - Bottom 25 specific percent of students combined B30 - Bottom 30 subgroups usedpercent of students under ESEA T25 - Top 25 percent of flexibility. students T30 - Top 30 percent of students T75 - Top 75 percent of students HNS - High needs students (any combination of English learners, students with disabilities (IDEA), and/or economically disadvantaged) HDS - Historically disadvantaged racial/ethnic minority students (any combination of African American, Hispanic, and/or Native American) HNSHDS - High needs students including historically disadvantaged racial/ethnic minority students (any combination of English learners, students with disabilities (IDEA), economically disadvantaged, African American, Hispanic, and/or Native American) REMS - Racial/ethnic minority students (any combination of all racial/ethnic minority students in a state) NPS - Non-proficient students OTH - Other

Definition / Permitted Values Element Attribute Data Element Name Category Value Char Comments Abbreviations COHSTATUS Whether or not COHYES – Graduated a student in a with a regular high cohort school diploma within graduated with the allowable time a regular high COHNO – Did not school diploma graduate with a regular within the high school diploma allowable time. within the allowable time MISSING

Table 5.1-2: Category XML Object Example Format Examp le

5.2 Table Type XML Object

The table type XML object is used to define the type and value of the count. It may contain category XML objects to define additional characteristics.

Table 5.2-1: Table Type XML Object Definition Data Cha Permitted Values Element Element Attribute Definition / Comments r Abbreviations Name TABLETYPE Table Name TYPEABBRV M See section 1.0 FLEXGRCOFOUR FLEXGRCOFIVE FLEXGRCOSIX Total IndicatorTOTALINDICATO M An indicator that defines the N – Specifies R count level. See table 2.3-1 category set “Required Categories and Totals” CATEGORY OR The categories used to define the characteristics associated with the count. AMOUNT Student Count M EXPLANATIO Explanation O Text field for state use N

Table 5.2-2: Examples of Table Type XML Objects Format ## text for state use DG77 4 Examp le of 15 Catego text for state use ry Set A DG77 5 Examp le of 25 Catego text for state use ry Set A DG77 6

Examp le of 18 Catego text for state use ry Set A

5.3 Agency XML Object

This section defines the XML object used to submit all metric information. The XML object matrix is followed by an example of the object.

Table 5.3-1: Agency XML Object Definition Data Permitted Cha Element Element Attribute Definition / Comments Values r Name Abbreviatoins AGENCY DG559 FIPSSTATECODE M The two-digit American National For a list of valid State Code Standards Institute for the state, State Codes, refer District of Columbia, and the to the EDFacts possessions and freely associated Workbook. areas of the United States.. DG570 STATEAGENCYIDNU M A number used to uniquely identify 01 – State State MBER state agencies. This ID cannot be Education Agency Agency updated through this file. Number DG4 STATELEAIDNUMBER M The identifier assigned to a local SEA – Not used State LEA education agency (LEA) by the Identifier state education agency (SEA). Also known as State LEA ID. This data element cannot be updated through this file. DG 5 STATESCHOOLIDNU M The identifier assigned to a school SEA – Not used State School MBER by the state education agency Identifier (SEA). Also known as the States ID.LEA – Not used This ID cannot be updated through this file. TABLETYP MR The XML Object used to define the E type and value of the count.

Table 5.3-2: Examples of Agency XML Objects Level Example Format Table Type XML Object SEA Table Type XML Object

LEA Table Type XML Object

School Table Type XML Object

5.4 File Transmit XML Object

The purpose of the File Transmit XML Object is to provide information as to the file type, file identifier, and file reporting period.

Table 5.4-1: File Transmit XML Object Definition Data Element Permitted Element Name Attribute Char Definition / Comments Values Abbreviations FILETRANSMISSI M ON File Type FILELAYOUTTYP M Identifies the type of file SEA E being submitted. GRADUATION COHORTS FLEXIBILITY

LEA GRADUATION COHORTS FLEXIBILITY

SCHOOL GRADUATION COHORTS FLEXIBILITY File Identifier FILEID 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).

Data Element Permitted Element Name Attribute Char Definition / Comments Values Abbreviations File Reporting SCHOOLYEAR M The school year for which 2014-2015 Period data are being reported. The required format is "CCYY– OR CCYY" or "CCYY CCYY", where either a hyphen or a 2014 2015 space must separate the beginning and ending years. AGENCY MR The information that fully describes the education unit.

Table 5.4-2: Examples of File Transmission XML Objects Level Example Format Agency XML Object SEA Agency XML Object LEA Agency XML Object School Agency XML Object

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July 2014 26 SY 2014-15