U.S. DEPARTMENT OF EDUCATION

EDFactsSubmission System

C151 – Cohorts for Regulatory Adjusted-Cohort Graduation Rate

File Specifications

SY 2016-17

U.S. DEPARTMENT OF EDUCATIONC151 – Cohorts for Regulatory Adjusted-Cohort

Graduation Rate
File Specifications v13.0

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

John King, Jr.

Secretary of Education

EDFacts

Ross Santy

System Owner

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 000– File Name File Specifications VXX.X(SY XXXX-XX), U.S. Department of Education, Washington, DC: EDFacts. Retrieved [date] from

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: / C151 – Cohorts for Regulatory Adjusted-Cohort Graduation RateFile Specifications
Security Level: / Unclassified – For Official Use Only

DOCUMENT HISTORY

Version Number / Date / Summary of Change
1.0 – 12.1 / Versions 1.0 through 12.1 are used to build files for school years prior to SY 2016-17.
13.0 / October 2016 / Updated for SY 2016-17:
  • Table 2.2-1 Revised Reporting Period name and description (editorial)
  • Table 2.3-1Added category Homeless Enrolled Status / Category Set E Homeless Enrolled Status and Cohort Status
  • Section 2.4 Added guidance for reporting by homeless enrolled status
  • Table 4.2-1:
  • Added MISSING as a permitted value for Disability Status (Only)
  • Revised the definition, added MISSING as a permitted value for LEP Status (Only)
  • Revised the definition, added MISSING as a permitted value for Economically Disadvantaged Status
  • Added data element Homeless Enrolled Status
  • Revised the definition for Cohort Status
  • Table 4.2-2 Revised the Data Record Example to include Category Set E
  • Table 5.1-1:
  • Added MISSING as a permitted value for DISABSTATUS
  • Revised the definition, added MISSING as a permitted value for LEPONLY
  • Revised the definition, added MISSING as a permitted value for ECODIS
  • Added data element HOMELSENRLSTAT
  • Revised the definition for COHSTATUS
  • Tables 5.2-2, 5.3-2 and 5.4-2: Updated the format description of the example

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 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:

Data submitted through the ESS are authorized by an Annual Mandatory Collection of Elementary and Secondary Education Data Through EDFacts (OMB 1850-0925, expires 2/28/2019). 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.

October 2016 / 1 / SY 2016-17

U.S. DEPARTMENT OF EDUCATIONC151 – Cohorts for Regulatory Adjusted-Cohort

Graduation Rate
File Specifications v13.0

Contents

DOCUMENT CONTROL

PREFACE

1.0PURPOSE

2.0GUIDANCE FOR SUBMITTING THIS FILE

2.1Changes from the SY 2015-16 File Specifications

2.2Core Requirements for Submitting this File

2.3Required Categories and Totals

2.4Guidance

2.5Definitions

3.0FILE NAMING CONVENTION

4.0FIXED OR DELIMITED FILES

4.1Header Record Definition

4.2Data Record Definition

5.0XML SPECIFICATIONS

5.1Category XML Object

5.2Table Type XML Object

5.3Agency XML Object

5.4File Transmit XML Object

APPENDIX: REPORTING EXTENDED COHORTS

October 2016 / 1 / SY 2016-17

U.S. DEPARTMENT OF EDUCATIONC151 – Cohorts for Regulatory Adjusted-Cohort

Graduation Rate
File Specifications v13.0

1.0PURPOSE

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 regulatory four-year adjusted-cohort graduation rate table / 696 / The number of students in the adjusted cohort for the regulatory four-year adjusted-cohort graduation rate.
Cohorts for regulatory five-year adjusted-cohort graduation rate table / 698 / The number of students in the adjusted cohort for the regulatory five-year adjusted-cohort graduation rate.
Cohorts for regulatory six-year adjusted-cohort graduation rate table / 756 / The number of students in the adjusted cohort for the regulatory six-year adjusted-cohort graduation rate.

The October 2008 Title I regulations require states to implement and report a four-year adjusted-cohort graduation rate. States will use this file and file C150 to report their four-year adjusted-cohort graduation rate data. Additional information about the 2008 Title I regulations can be found at:

The ED data stewarding office/s for this file: OESE/OSS and OSEP.

2.0GUIDANCE 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.

2.1Changes from the SY 2015-16 File Specifications

There have been changes to this file specification that resulted in changes to the record layouts. The changes are:

  • Table 4.2-1:
  • Added MISSING as a permitted value for Disability Status (Only)
  • Added MISSING as a permitted value for LEP Status (Only)
  • Added MISSING as a permitted value for Economically Disadvantaged Status
  • Added data element Homeless Enrolled Status
  • Table 5.1-1:
  • Added MISSING as a permitted value for DISABSTATUS
  • Added MISSING as a permitted value for LEPONLY
  • Added MISSING as a permitted value for ECODIS
  • Added data element HOMELSENRLSTAT

2.2Core 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.

All states should report the counts of students (in both the numerator and denominator) for their regulatoryfour-year adjusted-cohort graduation rate in this file(DG696). States that also have an approved regulatory extended five-year adjusted-cohort graduation rate should include counts of students for their extended-year adjusted-cohort graduation rate (DG698); states with an approved extended six-year adjusted cohort graduation rate should also submit that data in this file (DG756).

Table 2.2-1: Core Reporting Requirements

SEA / LEA / School
Reporting Period / Revised!School Year – Any 12-month period.
Education units reported / Include SEA / Operational LEAs with a 12th grade / Operational schools with a 12th grade
Education units not reported / Closed, inactive, or future LEAs
LEAs that do not have a 12th grade / Closed, inactive, or future schools
Schools that do not 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 and Not applicable / Major Racial and Ethnic Groups - If a state does not use a permitted value, the counts by that permitted value should be left out of the file. See section 2.4.
Missing / Use “-1” to report missing counts.
Use “MISSING” when a category is not available
Related metadata survey

2.3Required Categories and Totals

The table below lists the combinations of the categories and totals 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 category valuemust be submittedwhen reporting that aggregation.
  • The total indicator must be either “Y” (Yes) or “N” (No).
  • If the record is for a category set, specify an “N” (No).
  • If the record is for a subtotal or education unit total, specify a “Y” (Yes).
  • The abbreviationsin the “Table Name” column represent the technical name of the data used in the file.

Table 2.3–1: Required Categories and Totals

Category Set / Table Name / Major Racial and Ethnic Groups / Disability Status (Only) / LEP Status (Only) / Economically Disadvantaged Status / New!Homeless Enrolled Status / Cohort Status / Total Indicator / Comments
Category Set A / See table 2.3-2 / X / X / N / Count by Major Racial and Ethnic Groups and Cohort Status
Category Set B / See table 2.3-2 / X / X / N / Count by Disability Status (Only) and Cohort Status
Category Set C / See table 2.3-2 / X / X / N / Count by LEP Status (Only) and Cohort Status
Category Set D / See table 2.3-2 / X / X / N / Count by Economically Disadvantaged Status and Cohort Status
Category Set E
New! / See table 2.3-2 / X[*] / X / N / Count by Homeless Enrolled Status and Cohort Status
Subtotal 1 / See table 2.3-2 / X / Y / Subtotal by Cohort Status
Total of the Education Unit / See table 2.3-2 / Y / Graduation Cohort Count for All Students

The following table contains the table names used in the files for the data groups reported in this file.

Table 2.3-2Cohorts forRegulatory Adjusted-Cohort Graduation Rate, Table Names Used in Files

DG# / DG Name / Table Name used in file
696 / Cohorts for regulatory four-year adjusted-cohort graduation rate table / GRADCOHORT4YR
698 / Cohorts for regulatory five-year adjusted-cohort graduation rate table / GRADCOHORT5YR
756 / Cohorts for regulatory six-year adjusted-cohort graduation rate table / GRADCOHORT6YR

2.4Guidance

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 cohortrate as defined in ED’s final Title I regulations released in October 2008. Use this file specification to report 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.

Are students from closed schools counted?

No data should be reported for closed schools. If the district is still operational a student would be reported at the LEA and SEA level. This is true for students in a 5 year cohort, or students who dropped out prior to the closing of the school.

How are start-up high schools with no 12th grade handled?

No graduation rate or cohort is reported for a school until it includes a 12th grade. When the transfer students in this question graduate, they should be reported in the schools 4-year & 5-year (if applicable) graduation rates.

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 extended year graduation is the number of students in the adjusted-cohort for the extended-year graduation rate.The extended year cohort includes students who transfer into the cohort after year four and excludes students who transfer out, emigrate, or die after year four.

NOTE: If you report the four-year adjusted-cohort counts in this file, you must report regulatoryfour-year adjusted-cohort graduation rates in File C150. If you report extended-yearadjusted-cohort counts in this file, you must report the regulatory extended-year adjusted-cohort graduation rates in File C150. For additional reporting guidance, see the appendix.

Where is more information about using adjusted-cohort graduation rates for accountability purposes available?

Refer to 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 2016-17 is based on the 9th-grade adjusted-cohort group of SY 2012-13. The extended six-year adjusted-cohort reported for SY 2016-17 is based on the 9th-grade cohort group of SY 2011-12.

How is this file specification different from file specifications C150 – Regulatory Adjusted-Cohort Graduation Rates for High School?

This file is 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 C150 is used to report the graduation rate. States should report both files C150 and C151.

How does this file relate to Adequate Yearly Progress (AYP) data?

States can use SY 2016-17 graduation count data to determine their high school graduation rate indicators for SY 2017-18. Regardless of which year’s graduation count data are used for the high school graduation rate indicators, report SY 2016-17 graduation count data in the SY 2016-17 file and SY 2017-18 graduation count data in the SY 2017-18 file.

What are the permitted values for the category major racial and ethnic groups?

The permitted values are:

  • White (not Hispanic) \Caucasian
  • Black (not Hispanic) African American
  • Hispanic \Latino – use if includes Puerto Ricans
  • Hispanic (not Puerto Rican)
  • Puerto Rican
  • Asian – Use if doesn’t include Pacific Islanders
  • Asian \Pacific Islander
  • American Indian \Alaska Native \ Native American
  • Multicultural \Multiethnic \Multiracial \other
  • Filipino
  • Native Hawaiian \other Pacific Islander \ Pacific Islander

Which permitted values should be used for the category major racial and ethnic groups?

States should use the permitted values for the major racial and ethnic subgroups outlined in their State Accountability Plan and used to determine adequate yearly progress (AYP).

When reporting the major racial and ethnic values, use one of the following sets of values for Asian populations:

  • Asian/Pacific Islander
  • Asian
  • Asian and Native Hawaiian/Pacific Islander

Do not use the combination of either “’Asian/Pacific Islander’ and ‘Asian’” or “‘Asian/Pacific Islander’ and ‘Asian and Native Hawaiian/Pacific Islander.’” Using these combinations may lead to duplicated counts and do not allow data to be rolled up to a higher level for privacy/small cell purposes.

How are student counts reported by disability status (only)?

Include only students who meet the definition of children with disabilities (IDEA) in the EDFacts Workbook.

How are student counts reported by LEP status (only)?

Include only students who meet the definition of limited English proficient (LEP) students in the EDFacts Workbook.

How are student counts reported by economically disadvantaged status?

Include only students who meet the state’s definition of economically disadvantaged status.

New! How are student counts reported by homeless enrolled status?

Include only students who meet the definition of Homeless Children and Youth in Section 2.5

How are students who change status in certain category groups (ex: disability, LEP, or economically disadvantaged status) during high school reported in the cohort?

The business rules regarding the inclusion or exclusion of students based on statuses are SEA-defined. SEAs should have standards defined and universally applied with regards to students changing status in these groups from the beginning to the end of high school. For additional information, refer to question A-10 of the non-regulatory guidance, which can be found at:

How are students in alternative schools counted?
In alternative schools where all of the grade 12 students are certificate bound–students should be reported based on the state’s accountability workbook. If in the State's accountability workbook AYP is assigned to the alternative school, and the alternative school offers a regular high school diploma, then a graduation rate would be assigned to the school. If the State's practice is to map student data back to sending schools for AYP, then the student's data would be assigned to the sending school. If the school does not offer a regular high school diploma, the students are counted as non-graduates from their sending schools.

How are students who transfer in and out of alternative schools counted?

There are some instances where students transfer in, and out of alternative schools during the School Year. Some schools may not have a current cohort or graduation rate. In this case if AYP is assigned to the alternative school, then a graduation rate would be assigned to the school. If a state maps APY back to the sending school, then the students’ data should be assigned to that school. For the individual student, if the alternative school offers a diploma and the student transfers out, he/she would be counted as a transfer. If the alternative school does not offer a regular high school diploma, then the student would be counted as a non-graduate from his/her sending school unless the student re-enrolls at another school offering a diploma, in which case the student would become part of the receiving school's cohort.

What is the total for the education unit?

The total for the education unit is the graduation count of all students in the adjustedcohort. Subtotal 1collects the counts of students who did and did not graduate with a high school diploma within the allowable time. Subtotal 1 must equal the education unit total reported in this file.