U.S. DEPARTMENT OF EDUCATION
Education Data Exchange Network (EDEN)
N004 – Children with Disabilities (IDEA) Not Participating inAssessments File Specifications
Version 6.1
SY 2009-10
July 2010
U.S. DEPARTMENT OF EDUCATIONN004 - Children with Disabilities (IDEA) Not
Participating in Assessments File Specifications v6.1
This technical guide was produced under U.S. Department of Education Contract No. ED-PEP-09-O-0044 with 2020 Company, LLC. Brandon Scott served as the contracting officer’s representative. No official endorsement by the U.S. Department of Education of any product, commodity, service or enterprise mentioned in this publication is intended or should be inferred.
U.S. Department of Education
Arne Duncan
Secretary
Office of Planning, Evaluation and Policy Development
Carmel Martin
Assistant Secretary
July 2010
This technical guide is in the public domain. Authorization to reproduce it in whole or in part is granted. While permission to reprint this publication is not necessary, the citation should be: U.S. Department of Education, Office of Planning, Evaluation and Policy Development, N004 – Children with Disabilities (IDEA) Not Participating inAssessments File Specifications, Washington, D.C., 2010.
This technical guide is also available on the Department’s Web site at:
On request, this publication is available in alternate formats, such as Braille, large print, or computer diskette. For more information, please contact the Department’s AlternateFormatCenter at (202) 260–0852 or (202) 260–0818.
DOCUMENT CONTROL
DOCUMENT INFORMATION
Title: / N004 – Children with Disabilities (IDEA)Not Participating inAssessments File SpecificationsRevision: / Version 6.1
Issue Date: / July 2010
Security Level: / Unclassified – For Official Use Only
Filename: / n004-6-1.doc
DOCUMENT HISTORY
Version Number / Date / Summary of Change1.0 / Version 1.0 or subsequent updates (i.e., 1.1, 1.2, etc) of this file specification is used to build files for SYs 2003-04 and 2004-05.
2.0 / Version 2.0 or subsequent updates (i.e., 2.1, 2.2, etc) of this file specification is used to build files for SY 2005-06.
3.0 / Version 3.0 or subsequent updates (i.e., 3.1, 3.2, etc) of this file specification is used to build files for SY 2006-07.
4.0 / Version 4.0 or subsequent updates (i.e., 4.1, 4.2, etc) of this file specification is used to build files for SY 2007-08.
5.0 / Version 5.0 or subsequent updates (i.e., 5.1, 5.2, etc) of this file specification is used to build files for SY 2008-09.
6.0 / October 2009 / Updated specifications for SY 2009-10.
6.1 / July 2010 / 1.2 - Clarified the zero count requirement at the SEA level.
RELEASE AUTHORIZATION
Name / Signature / DateAuthor
QA
Release Authority
PREFACE
This document provides technical instructions for building files that can be submitted through the Education Data Exchange Network (EDEN). This document is used in coordination with the EDFacts Workbook, EDFacts Business Rules Guide and the EDEN Submission System User Guide.
EDEN is a centralized, coordinated repository of state reported, K through 12, educational data residing at the U.S. Department of Education. The EDEN Submission System is an electronic system that facilitates the efficient and timely transmission of data from SEAs to the U.S. Department of Education.
July 2010 / 1 / SY 2009-10U.S. DEPARTMENT OF EDUCATIONN004 - Children with Disabilities (IDEA) Not
Participating in Assessments File Specifications v6.1
Contents
DOCUMENT CONTROL
PREFACE
1.0PURPOSE
1.1Changes from the SY 2008-09 File Specifications
1.2Requirements for Submitting this Data Group
2.0GUIDANCE FOR SUBMITTING THIS FILE
2.1Definitions
Invalid results
3.0FILE NAMING CONVENTION
3.1Population Status
4.0SEA CHILDREN WITH DISABILITIES (IDEA) NOT PARTICIPATING IN ASSESSMENTS FILE
4.1Header Record Definition
4.2Data Record Definition
4.3SEA Children with Disabilities (IDEA) Not Participating in Assessments File Examples
4.3.1Partial Record Sample for Fixed Format SEA Children with Disabilities (IDEA) Not Participating in Assessments File
4.3.2Partial Record Sample for Comma–Delimited File Format SEA Children with Disabilities (IDEA) Not Participating in Assessments File
4.3.3Partial Record Sample for Tab–Delimited File Format SEA Children with Disabilities (IDEA) Not Participating in Assessments File
5.0LEA CHILDREN WITH DISABILITIES (IDEA) NOT PARTICIPATING IN ASSESSMENTS FILE
5.1Header Record Definition
5.2Data Record Definition
5.3LEA Children with Disabilities (IDEA) Not Participating in Assessments File Examples
5.3.1Partial Record Sample for Fixed Format LEA Children with Disabilities (IDEA) Not Participating in Assessments File
5.3.2Partial Record Sample for Comma–Delimited File Format LEA Children with Disabilities (IDEA) Not Participating in Assessments File
5.3.3Partial Record Sample for Tab–Delimited File Format LEA Children with Disabilities (IDEA) Not Participating in Assessments File
6.0APPENDIX: IDEA (ASSESSMENT) EDFACTS CROSSWALK
July 2010 / 1 / SY 2009-10U.S. DEPARTMENT OF EDUCATIONN004 - Children with Disabilities (IDEA) Not
Participating in Assessments File Specifications v6.1
1.0PURPOSE
This document contains instructions for building fixed and delimited files to submit EDFacts Data Group: Children with Disabilities (IDEA) Not Participating inAssessmentsTable, DG491. The definition for this data group is in the row “Table Name” in Table 4.2-1.
The data collected using this file specification are required by the Individuals with Disabilities Education Act (IDEA), Section 618. The data will be used as responses in Table 6, “Report of Participation and Performance of Students with Disabilities on State Assessments.” The data are also used for monitoring the programs and activities under IDEA. The appendix contains a crosswalk between this file and the applicable sections of Table 6.
A separate document contains the XML file formats. General guidance for constructing all file types may be found in the EDFacts Workbook.
1.1Changes from the SY 2008-09 File Specifications
Other than the editorial changes and guidance updates listed in the document history on page ii, there have been no other changes to this file specification.
1.2Requirements for Submitting this Data Group
This section contains two tables that summarize the reporting requirements. The first table contains the reporting period, the education units included or excluded, the type of count, and zero count reporting. The second table contains the required categories and applicable totals.
Table 1.2-1 Children with Disabilities (IDEA) Not Participating in Assessments, Core Reporting Requirements
SEA / LEA / SchoolReporting Period / State-specific assessment testing window
Education units reported / Include SEA / Operational LEAs that had students with disabilities (IDEA) during the assessment testing window / File not submitted at the school level
Education units not reported / Closed, inactive, or future LEAs
Type of count / Once for each academic subject / Once for each academic subject at the LEA where the student was enrolled during the reporting period
Revised! Zero counts / Required, except as explained below / Not required
Added! Exceptions to the requirement for zero counts at the SEA level
- Grade level (Assessment) – Use only applicable high school grades (i.e, 9, 10, 11, and 12) or the permitted value HS for high school. Leave the other permitted values for high school out of the file.
- Reason for Not Completing Assessment – If a state doesn’t use a permitted value (e.g. parent opt out), the counts by that permitted value should be left out of category set A.
The responses to the EMAPS State Supplementary Survey – IDEA and the permitted values reported must align. The permitted values for the remaining categories are applicable to every state.
The following table indicates the valid combinations of categories and the subtotals and/or totals needed for this file. An “X” in the column indicates that the column must be populated when reporting that particular category. The total indicator must be either “Y” (Yes) or “N” (No). If the record is for a detail count, specify an “N” (No). If the record is for a subtotal specify a “Y” (Yes).
Table 1.2–2: Children with Disabilities (IDEA) Not Participating in Assessments Table, Required Categories, and Applicable Totals
Category Set / Table Name / Academic Subject (Assessment) / Grade Level (Assessment) / Reason for Not Completing Assessment / Total Indicator / CommentsCategory Set A / NIDEACMPASSTM / X / X / X / N / Student Count by
Academic Subject
(Assessment), Grade
Level (Assessment), and Reason for Not Participating in Assessments
Subtotal 1 / NIDEACMPASSTM / X / Y / Subtotal by Academic Subject (Assessment)
2.0GUIDANCE FOR SUBMITTING THIS FILE
This file specification is used to collect the number of children with disabilities (IDEA) who did notparticipate in one or more state academic assessments under ESEA, as amended.
See below for additional guidance concerning this file:
Which students should be reported?
Report children with disabilities (IDEA) who did not participatein one or more state academic assessment required by ESEA or received an invalid score. This includes students who were in attendance for both the full academic year (FAY) and those who were not in attendance the full academic year. The definition of children with disabilities (IDEA) is in section 4.2 of the EDFacts Workbook. Please note that definition in the Workbook is all inclusive. For purpose of this file, the phrase “Individualized Family Service Plan (IFSP), or a services plan” should be removed. Data on the academic achievement of students who are parentally-placed in private schools are not required to be reported under IDEA.
Which students should be excluded from this file?
Exclude children with disabilities (IDEA) who are parentally-placed in private schools and served through services plans.
Exclude children with disabilities (IDEA) who participated in the assessment, received a valid score, and for whoma proficiencylevel was assigned.
Are data by science required to be reported in this file?
No.For SY 2009-10, reasons why children with disabilities (IDEA) did not participate inthe science assessment are optional.
What grade levels should be reported?
Records for an LEA need only include those grade levels offered at the LEA. For example, if the highest grade in an LEA is 6th, the records for that LEA do not need to include grades 7th through 12th.
For reading and mathematics, records should only include the grades assessed under ESEA, as amended; that is grades 3 through 8 and one high school grade.
If submitting data for science, records should only include the grades assessed under ESEA; that is, one grade in each of the following grade spans:
- Grades 3 through 5
- Grades 6 through 8
- High school (that is grades 9, 10, 11 and 12)
If your state administers science assessments in more than one grade in any of these grade spans, report the results for each of the grades in which the state administers science assessments to meet science assessment requirements under ESEA.
Why do the permitted values include both grades 9 through 12 as well as a value for “High School?”
The permitted values are provided so SEAs have more flexibility. For high school grades, assessment results can be reported by specific grade levels or by using the permitted value for high school. Data reported by specific grade levels (9, 10, 11, and 12) and high school will be used for reporting results of statewide assessments in high school.
How are assessment of students in grade 9 reported?
ESEA as amended requires assessments in grades 3 through 8 and high school. In ESEA, high school is explained as grades 10, 11, and 12. Students who took assessments in grade 9 should be reported either under grade 9 or as high school.
To what grade levels are students assigned?
Students should be assigned to the same grade levels used for purposes of reporting under ESEA, as amended.
What are the permitted values for reason for not participating an assessment?
The permitted values are:
- EXEMPT – Parental exemption, this is also referred to as “parental opt-out”.
- ABSENT– Absent during the testing window
- EXPOTHER – Did not participate for other reasons
- NOTNCLB –student took an out–of-grade level assessment (See definition in section 2.1).
- NOSCORE –Student who received an invalid score (See definition in section 2.1)
- MEDICAL – Did not take assessment due to medical emergency (see definition in section 2.1)
How does the EDFacts data crosswalk to Table 6?
A crosswalk to Table 6 is in the appendix.
Do other files collect related data?
Yes. There are several files specifications that are used to collect data on statewide assessments. Section 5.3 “Relationship among files” in the EDFacts Workbook explains how these files relate to one another. Specifically, the students reported in this file are also reported in N/X081 as follows:
Students reported in this file / Reported in category set C of N/X081 as not participating2.1Definitions
The following definitions related to reasons for not participating:
Invalid results
Assessment results that cannot be used for reporting and/or aggregation due to problems in the testing process (e.g., student does not take all portions of the assessment, student does not fill out the answer sheet correctly, student receives accommodations or modifications that threaten test validity) or changes in testing materials that result in a score that is deemed by the state to be incomparable to scores received by students who took the assessment without these changes. The students whose test results are determined to be invalid are counted as nonparticipants.
Out-of-grade level test
An assessment taken at a grade level below which the student is currently enrolled. Students who are tested out-of-level, for the purposes of this data collection, are considered to be nonparticipants because out-of-grade level tests do not result in a valid score.
Medical Emergencies
On March 29, 2004, the Department announced a policy that students who are unable to participate in the state assessment during the testing and make-up windows because of a significant medical emergency will not count against the school’s participation rate. A May 19, 2004, “Dear Colleague” letter provided additional guidance acknowledging that there may be circumstances beyond an LEA's control when a student cannot be assessed at any time during the testing window due to a significant medical emergency (e.g., a student is hospitalized due to an accident). In these cases, the school or LEA should not be penalized for that student's absence due to the documented significant medical emergency. Therefore, when determining the percentage of students taking an assessment, states do not have to include a student with a significant medical emergency in the participation rate calculation. States desiring to use this flexibility are responsible for determining what constitutes a significant medical emergency. This guidance is posted on the Department’s website at
3.0FILE NAMING CONVENTION
Being able to readily identify any particular file transmission is an important consideration for users of the EDEN Data Submission System. Being able to identify a particular file can greatly facilitate any technical assistance that may be requested by the State. A maximum of 25 characters (including the file extension) is allowed for the file name. The following is the naming convention for Children with Disabilities (IDEA) Not Participating in Assessments file submissions:
sslevCWDIDEANAvvvvvvv.ext
Where:
ss= Two–characterUSPSState Abbreviation for the submitting SEA.
lev= Three–character abbreviation for the level submitted. Use:
SEA for a State Education Agency Children with Disabilities (IDEA) Not Participating in Assessments submission
LEA for a Local Education Agency Children with Disabilities (IDEA) Not Participating in Assessments submission
Filename= CWDIDEANA (no more than nine characters)
vvvvvvv= Up to seven–character alphanumeric string designated by the SEA to uniquely identify the individual submission (e.g., ver0001, v010803).
.ext= Three–character file extension identifying the file format as follows:
.txt – fixed format
.csv – comma–delimited format
.tab – tab–delimited format
3.1Population Status
The “Pop” column in the header and data records is coded as follows:
M - Mandatory, this field must always be populated
A - This field is populated in accordance with table 1.2-2
O - Optional, data in this field is optional
4.0SEA CHILDREN WITH DISABILITIES (IDEA) NOT PARTICIPATING IN ASSESSMENTS FILE
This section describes the fixed file and delimited file specifications used to transmit information pertaining to the SEA Children with Disabilities (IDEA) Not Participating in Assessments File. The file type is specified in the header record.
4.1Header Record Definition
The header record is required and is the first record in every file submitted to the EDEN Submission System. The purpose of the header record is to provide information as to the file type, number of Data Records in the file, file name, file identifier, and file reporting period.
Section 4.3 contains examples of the header record.
Table 4.1–1: Children with Disabilities (IDEA) Not Participating in Assessments, SEA Header Record
Data Element Name / Start Position / Length / Type / Pop / Definition / Comments / Permitted ValuesFile Type / 1 / 50 / String / M / Identifies the type of file being submitted. / SEA CHILDREN WITH DISAB (IDEA) ASSESS NOT COMP
Total Records In File / 51 / 10 / Number / M / The total number of Data Records contained in the file. The header record is NOT included in this count.
File Name (Including file extension) / 61 / 25 / String / M / File Name and extension are provided by the SEA. The file name should be the same as the external file name. (Please see File Naming Convention in Section 3.0 of this document.)
File Identifier / 86 / 32 / String / M / Any combination of standard characters to further identify the file as specified by the SEA (e.g., a date, person’s name, and version number).
File Reporting Period / 118 / 9 / String / M / Enter the Academic School Year for which data is being reported. The required format for entering the File Reporting Period is "CCYY–CCYY" or "CCYY CCYY", where either a hyphen or a space must separate the beginning and ending years (e.g., 2009-2010 or 2009 2010).
Filler / 127 / 213 / String / M / Leave filler field blank.
Carriage Return / Line Feed (CRLF) / 340 / 1 / M /
4.2Data Record Definition
Data Records are required and immediately follow the header record in every file submitted to the EDEN Submission System. Data Records provide counts for the specified categories as well as a subtotal.
Section 4.3 contains examples of Data Records.