U.S. DEPARTMENT OF EDUCATION

Education Data Exchange Network (EDEN)

N029 – Directory

File Specifications

Version 4.1

SY 2007 – 08

September 2008

U.S. DEPARTMENT OF EDUCATION
N029 - Directory File Specifications v4.1

This technical guide was produced under U.S. Department of Education Contract No. GS00F0049M–ED05P01299 with Perot Systems Government Services, Inc. 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

Margaret Spellings

Secretary

Office of Planning, Evaluation and Policy Development

Williamson M. “Bill” Evers

Assistant Secretary

September 2008

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, N029 – Directory File Specifications, Washington, D.C., 2007.

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 Alternate Format Center at (202) 260–0852 or (202) 260–0818.

DOCUMENT CONTROL

DOCUMENT INFORMATION

Title: / N029 – Directory File Specifications
Revision: / Version 4.1
Issue Date: / September 2008
Security Level: / Unclassified – For Official Use Only
Filename: / N029 - Directory v4.1.doc

DOCUMENT HISTORY

Version Number / Date / Summary of Change
1.0 / 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 / December 2007 /
  • Updated for SY 2007-08.
  • Sections 2.0 and 3.0 were flipped.
  • Section 2.0 guidance was updated and enhanced.
  • Changes occurred in sections 4.0, 5.0 and 6.0.

4.1 / September 2008 /
  • Section 2.6 – Updated guidance for inactive education units.

RELEASE AUTHORIZATION

Name / Signature / Date
Author
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.

September 2008 / 1 / SY 2007-08

U.S. DEPARTMENT OF EDUCATION
N029 - Directory File Specifications v4.1

CONTENTS

DOCUMENT CONTROL

PREFACE

1.0PURPOSE

1.1Changes from the SY 2006–07 File Specifications

1.2Requirements for Submitting this Data Group

2.0GUIDANCE FOR SUBMITTING THIS FILE

2.1State Identifiers

2.2Updating State Identifiers

2.3NCES Identifiers

2.4Out of State Indicator

2.5Educational Agency Type and School Type

2.6School Year Start Operational Status

2.7Updated Operational Status and Operational Status Effective Date

2.8Supervisory Union ID

2.9Mailing Address

2.10Location Address

2.11Charter Status

2.12Explanation Field

2.13Application of Zero, Missing and Not Collected

3.0FILE NAMING CONVENTION

3.1Population Status

4.0SEA DIRECTORY FILE

4.1Header Record Definition

4.2Data Record Definition

4.3SEA Directory File Examples

4.3.1Partial Record Sample for Fixed Format SEA Directory File

4.3.2Partial Record Sample for Comma–Delimited File Format SEA Directory File

4.3.3Partial Record Sample for Tab–Delimited File Format SEA Directory File

5.0LEA DIRECTORY FILE

5.1Header Record Definition

5.2Data Record Definition

5.3LEA Directory File Example

5.3.1Partial Record Sample for Fixed Format LEA Directory File

5.3.2Partial Record Sample for Comma–Delimited File Format LEA DirectoryFile

5.3.3Partial Record Sample for Tab–Delimited File Format LEA Directory File

6.0SCHOOL DIRECTORY FILE

6.1Header Record Definition

6.2Data Record Definition

6.3School Directory File Example

6.3.1Partial Record Sample for Fixed Format School Directory File

6.3.2Partial Record Sample for Comma–Delimited File Format School Directory File

6.3.3Partial Record Sample for Tab–Delimited File Format School Directory File

APPENDIX A: DIRECTORY DATA GROUPS BY TIER

September 2008 / 1 / SY 2007-08

U.S. DEPARTMENT OF EDUCATION
N029 - Directory File Specifications v4.1

1.0PURPOSE

This document contains instructions for building fixed and delimited files to submit EDFacts Data Groups: IDs # 1, 4, 5, 7, 8, 9, 10, 11, 16, 21, 27, 453, 458, 529, 531, 551, 559, 570, 571, and 669. Please see Appendix A for a complete list of the data groups that make up the Directory at each level.

A separate document contains the XML file formats. General guidance for constructing all file types may be found in the EDFactsWorkbook.

The data listed in this file specification is used to create a directory of education entities for each state in EDFacts. The directory also creates the universe for the Non-Fiscal Survey of the Common Core of Data (CCD).

1.1Changes from the SY 2006–07 File Specifications

There have been changes to this file specification that resulted in changes to the record layout.

Up until now, the Directory was the only non-SY specific state supplied data. The significant change this year for the Directory specification is all school and LEA directory data will now be specific to a school year. This is a change that states requested along with satisfying the Department of Education’s need for an "annual" survey for CCD. Business rules will be used to match one institution in a SY to the same institution in the prior SY. As a result of this SY implementation, several new statuses have been added to ensure information is captured at the start of the school year as well as throughout the school year. These are described in more detail in Section 2.0.

Out of State Indicator (Data Group ID# 669) was added as an official data group and expanded its use to LEAs. This data group was used during SY 2006-07 to indicate which schools do not share the same state postal code as the state a school submits under. This has been done for both LEAs and schools in SY 2007-08 to ensure submissions pass validation edits.

Another significant change was adding a permitted value to School Type (Data Group ID# 21). School Type has a new permitted value of "Reportable Program". The purpose of this permitted value is to add education units that are not schools for CCD purposes but are needed to report other data groups.

FIPS County Code (Data Group ID# 12) is no longer required to be submitted. This value will be system derived.

A few minor verbiage changes were made:

  • In the LEA Operational Status (Data Group ID# 16) data group were changed from "district" to "LEA" to include all LEAs, not just school districts.
  • For the data groups Supervisory Union Identification Number (Data Group ID# 551) and School Operational Status (Data Group ID# 531) definition was reworded for clarity.

In Section 2.0, Guidance, the discussion of the above changes or related changes are highlighted by the word “NEW!”.

1.2Requirements for Submitting this Data Group

These data groups are submitted at the following levels:

  • SEA
  • LEA
  • School

Note: Not all data is applicable at all levels. Please see Appendix A for the level–specific data record definition for the data applicable at each level.

The Directory data for a school, LEA or SEA must exist in EDEN prior to submitting other data. If the Directory does not exist, all other EDEN data submissions for that educational entity will fail.

2.0GUIDANCE FOR SUBMITTING THIS FILE

This file specification collects basic directory data to identify, locate, and contact SEAs, LEAs, and schools and to determine the operational status and type of LEAs and schools. Please review or reference the Directory Files chapter in the SY 2007–08 EDFacts Workbook before building the directory files for SY 2007–08.

A directory entry must exist in the EDFacts database before any other data may be submitted to the EDEN Submission System (ESS). Therefore, this should be the first file submitted for a school year.

The significant change this year for the Directory specification is all school and LEA directory data will now be specific to a school year; therefore, states must submit complete school and LEA directory files. Note: States will not be required to submit an updated SEA directory file.

2.1State Identifiers

State identifiers are the primary key for identifying an educational entity and must therefore be unique within the state for LEAs and unique within the LEA for schools. These identifiers are string fields and although they may appear as numeric data, EDEN views them as alphanumeric characters. State identifiers submitted to EDEN must be consistent across submissions and levels since they are used to connect all the information about the SEA, LEA or school.

SEAs must establish a policy about whether to include leading zeros on State, LEA and school identifiers and submit all data to EDEN based on that decision. The consistent application of the state’s policy of using or not using leading zeros will eliminate the primary cause of duplicate LEAs and schools, disconnected data, and related validation errors.

The State Agency Identifier is assigned by EDEN and the only valid value currently available is “01” for the SEA. In the future, additional state agencies may be able to submit data directly to EDEN and they will receive different State Agency Identifiers.

2.2Updating State Identifiers

States are able to update their state–assigned LEA and school IDs, and the LEA with which a school is associated.

School or LEA ID Updates

  • When updating a state–assigned LEA ID, a field in the LEA directory record holds the Prior State LEA ID that must match an existing LEA on the EDFacts database. The new State LEA ID goes in the State LEA Identifier field (Data Group ID# 4). All of the schools associated with that LEA will reflect the update to that LEA ID.
  • If a school’s state–assigned identifier has changed, but the school’s LEA association has not changed, enter the new State School ID in the State School Identifier field (Data Group ID# 5) and the old state identifier in the Prior State School ID field. The prior state school identifier must match an existing school on the EDFacts database or a validation error will result. The LEA ID on the school record also must match an LEA ID existing in the system.
  • NEW! Even with the new SY-specific Directory file, EDEN will continue to use the Prior LEA ID and Prior School ID fields as noted above. However, instead of using the submitted Effective Date to determine when the ID change is effective, the system date will be used. This is in keeping with the fundamental assumption that a directory file processed after another directory file will contain the more up-to-date data.

School to LEA Association Updates

  • If the school has changed the LEA it reports to, the new LEA ID goes in the State LEA Identifier field and the old LEA ID goes in the Prior State LEA ID field on the school directory record. The new and the prior LEA IDs must exist on the EDFacts database before the school directory record will process. A School matching the submitted State School ID must exist – i.e., you cannot "move" a school that is not in the system. The school’s Operational Status must be "Changed Agency".
  • NEW! Even with a SY-specific Directory file, EDEN will support intra-SY changes of LEA to school associations as noted above. The change is that instead of EDEN using the Effective Date, EDEN will use the file received date for the Effective Date.

2.3NCES Identifiers

NCES (CCD) identifiers for the LEA are 7–digits, the first two of which are the 2–digit FIPS State Code.

NCES (CCD) identifiers for schools are 12 digits, the first seven of which are the LEA ID. To allow us to move schools between LEAs and properly assign the new NCES ID, the NCES school IDs are split into two fields: one for the 7 digit LEA ID and another for the 5 digit school portion. Incomplete IDs result in a validation error.

While all schools and LEAs must have NCES ID codes in the EDEN database, they are optional when submitting a directory to EDEN. When a directory submission is provided, the system will pull in the NCES ID associated with the Education Unit and used in the prior year. The NCES IDs are useful as a secondary identifier and we encourage the state to submit them on the Directory record.

Under CCD’s existing rules, the NCES ID is required unless the LEA or school has an operational status of “New”, “Added”, or “Future” or the school has an operational status of “Changed Agency”.

  • NEW! In the case of an institution with a status of “Future” and no supplied NCES ID, the system will first check the prior year directory and if the same institution existed there with a “Future” status and same state ID then the NCES ID from the prior year will be reused. The status of “Future” is allowed to be a status that is used over two years.
  • If the state submits an institution with a blank NCES ID, a status of “New”, “Added”, or “Future” and no NCES ID has already been associated to that institution then the NCES ID generation process will give that institution a new NCES ID.

Tech Tip! If the state finds an existing school or LEA that has never been reported to EDEN previously it should be reported with an operational status of “Added”. When it is reported as “Added” it will be assigned an NCES ID number. If the school is reported as “Open” it will generate a match error since the school did not exist in a prior school year.

NCES requires all schools and LEAs to have an NCES ID, even if they were not previously reported to CCD.

Note: The ESS does not clear out an NCES ID if the state subsequently submits a directory with a blank NCES ID.

2.4Out of State Indicator

EDEN includes an Out of State School Indicator on the school and LEA level (NEW!) directory files. This is a simple flag (Yes/No) to indicate whether the school or LEA has an out–of–state address as compared to its FIPS State Code.

Each state has a single FIPS State Code (e.g., Texas’ is 48). If the mailing or location address Postal State Code (e.g., TX) of an LEA or School does not match the FIPS state code then set the Out of State indicator to Yes. This will avoid the validation error that would require the addresses to be within the state.

This field is optional and defaults to No if left blank.

2.5Educational Agency Type and School Type

Additional organizational levels other than the SEA, district, and school should be reported as LEAs with their own Directory record. In LEA Educational Agency Type (Data Group ID# 453), the organization should be identified as to its type (e.g., 4 for an RESA).

For Educational Agency Type the code values and their meaning are:

1 – Regular local school district that is NOT a component of a supervisory union.

Includes both independent school districts and those that are a dependent segment of a local government, such as a city or county. Agencies that do not operate schools (non–ops) but have primary responsibility to provide free public elementary and/or secondary education to school–age children within their jurisdictions should be included.

2 – Local school district that is a component of a supervisory union. A superintendent and administrative services are shared with other local school districts. Each agency given this code should have an entry in the Supervisory Union Identification Number data field corresponding to the appropriate type 3 agency. Non–ops in supervisory unions should be included in this category.

3 – Supervisory union administrative center, (or county superintendent’s office serving the same purpose). Each agency given this code should have an entry in the Supervisory Union ID data field. Student and staff data reported elsewhere should NOT be duplicated in records carrying this code.

4 – Regional education service agency (RESA). Agencies created for the purposes of providing specialized educational services to other education agencies. Student and staff data reported elsewhere should NOT be duplicated in records carrying this code. Each agency given this code can optionally have an entry in the Supervisory Union ID data field corresponding to the appropriate type 3 agency.

5 – State agency providing elementary and/or secondary level instruction to school–age children in a specified population, e.g., agency responsible for state schools for the blind or deaf students, correctional facilities, and state hospitals.

6 – Federal agency providing elementary and/or secondary level instruction to school–age children in a specified population. EXCLUDE Bureau of Indian Education (BIE formerly BIA) and Department of Defense (DOD) agencies.

7 – Independent Charter District. Any LEA that is made up only of one or more charter schools.

8 – Other education agencies. Education agencies that do not fit into the first seven categories. If “8” is used, an explanation (using the Directory’s Explanation field) is necessary for ED to better understand the use of this type of agency.

For School Type the code values and their meaning are:

1 – Regular School: A public elementary/secondary school that does NOT focus primarily on vocational, special or alternative education, although it may provide these programs in addition to a regular curriculum.

2 – Special Education School: A public elementary/secondary school that focuses primarily on serving the needs of students with disabilities.

3 – Vocational Education School:A school that focuses primarily on providing secondary students with an occupationally relevant or career–related curriculum, including formal preparation for vocational, technical or professional occupations.

4 – Alternative Education School: A public elementary/secondary school that addresses the needs of students that typically cannot be met in a regular school program. The school provides nontraditional education; serves as an adjunct to a regular school; and falls outside the categories of regular, special education, or vocational education.