U.S. DEPARTMENT OF EDUCATION
EDFactsSubmission System
C166 – Evaluation of Staff
File Specifications
Version 11.0
SY 2014-15
August2014
U.S. DEPARTMENT OF EDUCATIONC166 – Evaluation of Staff
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
August2014
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 166 – Evaluation of Staff File Specifications – V11.0 (SY 2014-15), 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 AlternateFormatCenter at (202) 260–0818.
DOCUMENT CONTROL
DOCUMENT INFORMATION
Title: / C166 – Evaluation of Staff File SpecificationsRevision: / Version 11.0
Issue Date: / August 2014
Security Level: / Unclassified – For Official Use Only
Filename: / c166-11-0.doc
DOCUMENT HISTORY
Version Number / Date / Summary of Change1.0 – 10.0 / Versions 1.0 through 10.0are used to build files for school years prior to SY 2014-15.
11.0 / August2014 / Updated for SY 2014-15
- Table 2.2-2 Clarified zero, not applicable, and missing reporting guidance
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 including 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 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.
August2014 / 1 / SY 2014-15U.S. DEPARTMENT OF EDUCATIONC166 – Evaluation of Staff
File Specifications v11.0
Contents
DOCUMENT CONTROL
PREFACE
1.0PURPOSE
2.0GUIDANCE FOR SUBMITTING THIS FILE
2.1Changes from the SY 2013-14 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
August2014 / 1 / SY 2014-15U.S. DEPARTMENT OF EDUCATIONC166 – Evaluation of Staff
File Specifications v11.0
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 / DefinitionTeacher evaluations table / 737 / The number of teachers
Teacher performance level names table / 747 / The names of the levels used in district evaluation systems for assigning teacher performance ratings.
Principal evaluations table / 738 / The number of principals
Principal performance level names table / 748 / The names of the levels used in district evaluation systems for assigning principal performance ratings
The data collected using this file specification are used to monitor and report performance on the School Improvement Grant (SIG) program, authorized under section 1003(g) of the Elementary and Secondary Education Act (ESEA) of 1965 as amended
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 2013-14 File Specifications
Other than the editorial changes listed in the document history on page ii, there have been no other changes to this file specification.
2.2Core Requirements for Submitting this File
This file is submitted at the SEA, LEA and School level. Not all data groups are submitted at all levels. See Table 2.2-1 for the data groups applicable at each level, presented in the order in which they appear in the Detail Record layouts. Table 2.2-2 contains the reporting period, the education units included or excluded, the type of count, and zero count reporting.
Table 2.2–1:Evaluation of Staff File, Data Groups by Level Table
SEA / LEA / SchoolDG737 - Teacher evaluations table / X / X / X
DG747 - Teacher performance level names table / X / X / X
DG738 - Principal evaluations table / X / X
DG748 - Principal performance level names table / X / X
Table 2.2-2: Core Reporting Requirements
SEA / LEA / SchoolReporting Period / School year – Any12-month period
Education units included / Include SEA / Operational LEAs / Operational Schools
Education units notreported / Closed, inactive, or future LEAs / Closed, inactive, or future Schools
Type of count / Headcount / Headcount at only one LEA / Headcount at only one school
Zero counts / Required for performance levels used by the state / Not required, valid combinations for the state not included will be assumed to be zeros / Not required, valid combinations for the state not included will be assumed to be zeros
Zero exceptions / Performance levels not used by the state should be left out of the file.
Not applicable / See zero exceptions above
Missing / Use “-1” to report missing counts.
Use “MISSING” when a category is not available.
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 / Faculty/Admin Performance Level / DG 747 and DG748 Teacher or Principal Performance Level Name / Total Indicator / CommentsDG737
Category Set A / TEACH / X / X / N / Teacher counts by performance level with performance level names
DG737
Total of education unit / TEACH / Y / Total number of teachers
DG738
Category Set A / PRINCIP / X / X / N / Principal counts by performance level with performance level names
DG738
Total of education unit / PRINCIP / Y / Total number of principals
2.4Guidance
This section contains guidance for submitting this file in the format of questions and answers.
What staff should be reported in this file?
SEA file
- All teachers employed by a school in the state during the reporting period
- All principals employed by a school in the state during the reporting period
LEA file
- All teachers employed by a school in the LEA during the reporting period
- All principals employed by a school in the LEA during the reporting period
School file
- All teachers employed by the school during the reporting period
What if the staff were not evaluated during the school year?
Include the staff who were not evaluated in the record for the total of the education unit but leave them out of the records for category set A (data by performance level). Do not use performance level one to report staff who were not evaluated.
What staff should not be reported in this file?
Exclude all vacant positions.
What evaluations should be reported in this file?
States should report on the evaluation method or system with the primary purpose of evaluating the performance of teachers and principals for personnel performance records and personnel actions such as promotions and tenure. Such systems may include other functions, such as informing teacher development, but must include personnel matters as their primary function.
What if the state has not yet adopted a new evaluation system for teachers and principals that take into account data on student growth as a significant factor?
The state should report on the evaluation method or system that is currently in place even if it does not take into account data on student growth as a significant factor.
May the data be suppressed because of privacy concerns?
Yes, for submission of data groups 737 (Teacher Evaluations) and 738 (Principal Evaluations) only, states may choose to suppress data for privacy reasons before submission to EDFacts.If a state chooses not to suppress data, ED will implement procedures to protect the privacy of individuals before publishing any data that has been submitted to EDFacts.
Are there applicable privacy/minimum group size requirements that states should follow in reporting these data?
There are no Federal privacy or minimum group size requirements that apply to reporting this information. LEAs should follow any applicable State privacy statutes or policies governing such reporting.
What if the count of principals or teachers isbelow the state threshold for reporting data due to privacy considerations?
The LEA or school should be included in the file with a total of the education unit record that contains the count of principals or teachers. The records for category set A (data by performance level) are left out of the file.
How are LEA and school level data reported when LEAsuse different performance levels for teacher or principal evaluations? For example, one LEA in the state has six performance levels while another LEA has three performance levels.
At the LEA and school levels, report teacher or principal counts in Data Groups 737 and 738 corresponding to each level used in the evaluation system for assigning teacher or principal performance ratings by the LEA. FAL1 should always correspond to the lowest performance level, FAL2 the next lowest level, and so on. Data Groups 747 and 748 will be used to designate the level names used by each LEA in teacher or principal performance ratings systems.
How are data reported when the LEA or school does not have performance levels?
When the LEA or school evaluation does not use performance level rankings for teacher or principal evaluations, data should be submitted at two levels: FAL1 and FAL2. States should designate the Performance Level Name for FAL1 and FAL2 as:
- FAL1 – “Not Acceptable”
- FAL2 – "Acceptable"
When the LEA or school evaluation does not utilize a summative performance ranking for reporting at two or more levels (e.g. narrative evaluations), count the teacher or principal in the performance level associated with value: EVALNR “Evaluated, Not Ranked.” The Faculty/Admin Performance Level Name field should be left blank.
How should SEA level data be reportedwhen LEAsuse different performance levels for teacher or principal evaluations?
At the SEA level, states utilizing a single set of statewide performance levels for teacher or principal evaluations at the LEA level should report teacher or principal counts in Data Groups 737 and 738 corresponding to each level used in the evaluation system for assigning teacher or principal performance ratings. This would be similar to how LEA and School data are reported.
In states with LEAs that use different performance levels for teacher or principal evaluations, SEA level data should be submitted at two levels: FAL1 and FAL2. States should designate the Performance Level Name for FAL1: "Not Acceptable" and FAL2: "Acceptable". LEAs should provide the data to the SEA in that format for the purposes of reporting the SEA file. If the LEA evaluation does not utilize a summative performance ranking for reporting at two or more levels (e.g. narrative evaluations), count the teacher or principal in the performance level associated with value: EVALNR “Evaluated, Not Ranked.”
How is a teacher/principal reported when …?
The chart below explains how teachers and principals are reported in specific situations.
Table 2.4-1- Reporting Situations
Situation / SEA / LEA / SchoolThe teacher works at multiple schools in the same LEA and is evaluated based on performance at one school. / Once / Once / Once at the school used for the evaluation
The teacher works at multiple schools in the same LEA and is evaluated based on performance at multiple schools. / Once / Once / Once at the school where the teacher spends the majority of time
The teacher works at multiple schools in more than one LEA and is evaluated based on performance at one school. / Once / Once at the LEA with the school where the teacher was evaluated / Once at the school used for the evaluation
The teacher works at multiple schools in more than one LEA and is evaluated based on performance at multiple schools. / Once / Once at the LEA with the school where the teacher spends the majority of time / Once at the school where the teacher spends the majority of time
The principal works at multiple schools in more than one LEA and is evaluated based on performance at one school. / Once / Once at the LEA with the school where the principal was evaluated
The principal works at multiple schools in more than one LEA and is evaluated based on performance at multiple schools. / Once / Once at the LEA with the school where the principal spends the majority of time
2.5Definitions
Teacher
A teacher is defined as an individual who provides instruction to Pre-Kindergarten, Kindergarten, grades 1 through 12, or ungraded classes; or who teaches in an environment other than a classroom setting and who maintains daily student attendance records.
3.0FILE 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 file name.
The following is the naming convention for file submissions:
sslevSTAFFEVAvvvvvvv.ext
Table 3.0-1: File Naming Convention
Where / Means / Limit in charactersss / USPS State Abbreviation / 2
lev / Abbreviation for level:
- SEA for an State Education Agency level
- LEA for an Local Education Agency level
- SCH for a school level
filename / STAFFEVA / 9
vvvvvvv / Alphanumeric string designated by the SEA to uniquely identify the individual submission (e.g., ver0001, v010803) / 7
.ext / Extension identifying the file format:
.txt – fixed
.csv – comma delimited
.tab – tab delimited
.xml – XML / 4
4.0FIXED 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
4.1Header 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, file name, file identifier, and file reporting period.
Table 4.1–1: Header Record
Data Element Name / StartPosition / Length / Type / Pop / Definition / Comments / Permitted Values Abbreviations
File Type / 1 / 50 / String / M / Identifies the type of file being submitted. / SEA EVALUATION STAFF
LEA EVALUATION STAFF
SCHOOL EVALUATION STAFF
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 / 61 / 25 / String / M / The file name including extension, the same as the external file name. / See section 3.0
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 / The school year for which data are being reported. The required format is "CCYY–CCYY" or "CCYY CCYY", where either a hyphen or a space separates the beginning and ending years. / 2014-2015
OR
2014 2015
Filler / 127 / 333 / String / M / Leave filler field blank.
Carriage Return / Line Feed (CRLF) / 460 / 1 / M /
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 FeedExample / SCHOOL EVALUATION STAFF,12,EUSCHSTAFFEVALVER0007.CSV,characters to identify file,2014-2015,¶
4.2Data 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.