Application for Exception to the One Percent Cap on Proficient or Above Scores Based on Alternate Achievement Standards 2009–10

Application for Exception to the One Percent Cap on Proficient or Above Scores Based on Alternate Achievement Standards 2009–10 - Word (127 KB)

Background Information:

The federal No Child Left Behind Act (NCLB), Part 200 of the Code of Federal Regulations (CFR) limit the number of students in each local educational agency (LEA) who can be counted as proficient using alternate achievement standards to 1.0 percent of the LEA’s enrollment in each testing grade in English language arts (ELA) and mathematics.  In New York State, this means that only 1.0 percent of student scores used to calculate the Performance Index (PI) in ELA or mathematics in Grades 3 through 8 combined or for a cohort (at the secondary level) for a LEA can be New York State Alternate Assessment (NYSAA) Levels 3 or 4.

If a LEA exceeds the cap, one or more student NYSAA score(s) of Level 3 or 4 must be reduced to Level 2 for accountability purposes only.  Individual student information that is reported to parents or included on the report card must continue to reflect the student’s actual score.  The federal regulations also allow LEAs to apply each year for an exception to exceed the 1.0 percent limitation by documenting extraordinary circumstances within the LEA.

LEAs must apply for this exception for 2009-10, unless the LEA was already approved in 2008-09 for both 2008-09 and 2009-10.  LEAs that were approved in 2008-09 for both 2008-09 and 2009-10 do not need to reapply.

During 2009-10 LEAs again have the option of applying for a two-year approval based on extraordinary circumstances and using current trend data.  If approved for an exception, this two-year approval would apply this year 2009-10 and continue for one additional year, 2010-11.

Exception Eligibility:

To be eligible for an exception to the 1.0 percent cap in 2009–10, the LEA must document that the incidence of students with the most significant cognitive disabilities, who are eligible for NYSAA at the age equivalent levels for Grades 3-8 testing and in the 2006 district accountability cohort, exceeds 1.0 percent of all continuously enrolled tested students (with and without disabilities) at those grade levels or in that cohort.  The LEA must also document that this higher incidence is significantly different than what would be expected because there are extraordinary circumstances.  Documentation of extraordinary circumstances must show that either the:

1. number of Office of Mental Retardation and Developmental Disabilities (OMRDD) licensed residential programs (e.g., Intermediate Care Facilities, Individualized Residential Alternatives) or other similar community or health organizations located within the district has resulted in a large percentage of students with the most significant cognitive disabilities being in the LEA and taking NYSAA in 2009-10; or
2. LEA has very specialized programs for students with severe cognitive disabilities, resulting in a disproportionate number of families of students with the most significant cognitive disabilities residing in the district and taking NYSAA in 2009-10.

In 2009–10, every LEA is automatically allowed to have one student counted as proficient or above on NYSAA in grades 3 through 8 combined or in the 2006 cohort, even if that one student would cause the LEA to exceed the 1.0 percent cap.  It is unnecessary for these LEAs to complete this exception application unless the LEA has more than one eligible NYSAA student and has extraordinary circumstances that would cause it to have a greater number of NYSAA students in the LEA.

Authorization to Grant Exceptions:  34 CFR section 200.13(c)(2)

Application Submission Information

Eligible Applicants:

A LEA (including a Charter School and a Special Act School District) that is subject to the accountability provisions of NCLB may apply.  This application does not apply to boards of cooperative educational services (BOCES), State-operated programs, State-supported programs, approved private schools, and other State agency educational programs.

Due Date:

Applications must be postmarked or submitted by e-mail or facsimile by April 1, 2010.  Applications received after that date will not be considered.

Send Applications To:

New York State Education Department
Office of Vocational and Educational Services for Individuals with Disabilities (VESID)
Strategic Evaluation Data Collection, Analysis and Reporting (SEDCAR) Unit
Room 1613 One Commerce Plaza
Albany, NY  12234
ATTN:  Application for Cap Exception
vesidcar@nysed.gov
Fax (518) 408-3363

Applicants will be notified of approval/disapproval of the exception request by June 1, 2010.

Questions regarding the application may be directed to Cynthia Wilson in EMSC, Special Education Policy at (518) 473-2878.

Questions and Answers

1. Does the 1.0 percent cap place a limitation on the number of students with disabilities who can take the New York State Alternate Assessment (NYSAA)?

No.  There is no cap on the number of students who may be assessed using NYSAA. The Committee on Special Education (CSE) determines the assessment that is most appropriate for the student with a disability.  All students who are designated as eligible to take NYSAA, whether they attend schools in the district or are placed by the CSE in out-of-district placements (e.g., BOCES programs, approved in-State or out-of-State private schools), must take that assessment at the appropriate age and must be reported as ungraded.

2. Which students are eligible to take NYSAA?

NYSAA assesses students with the most significant cognitive disabilities to evaluate their mastery of skills and attainment of knowledge. This assessment measures a student's level of performance based on alternate grade level indicators for students with severe cognitive disabilities. In order for the CSE to determine whether or not a student is eligible to take NYSAA, the student must:

• have a severe cognitive disability and significant deficits in communication/language and significant deficits in adaptive behavior; and
• require a highly specialized educational program that facilitates the acquisition, application, and transfer of skills across natural environments (home, school, community, and/or workplace); and
• require educational support systems, such as assistive technology, personal care services, health/medical services, or behavioral intervention.

Additionally, the individualized education program (IEP) of the student with a severe cognitive disability will indicate why the student cannot participate in the regular assessment and why the alternate assessment is appropriate for the student.

3. Does the 1.0 percent cap on proficient and advanced scores on NYSAA relate to the school district or to individual schools within a school district?

The 1.0 percent cap pertains to the school district, not to individual schools within that district, but it could affect an individual school if the district exceeds the cap.  For example, in the 2009–10 school year if a school has more than 1.0 percent of its continuously enrolled tested students at age equivalent levels for Grades 3–8 combined on NYSAA scoring at a proficient or advanced level on NYSAA in mathematics, but the district as a whole does not exceed the 1.0 percent cap at these grade levels in mathematics, the proficient and advanced scores of all the school’s students will be used when determining adequate yearly progress (AYP).  However, if a district has more than 1.0 percent of its continuously enrolled tested students at the combined Grades 3–8 levels score at a proficient or advanced level on NYSAA in mathematics, some of those students will be counted as performing at Level 2 when determining AYP for the district.  If these students attend in-district schools, the students will also have to be counted as performing at Level 2 when determining AYP for the school they attend. 

4. How will the New York State Education Department (NYSED) determine if a school district has exceeded the 1.0 percent cap on proficient and advanced scores on NYSAA for the 2009–10 school year?

To compute if a school district has exceeded the 1.0 percent cap for a particular year, grade levels and subject:

• Grades 3–8 Levels: The denominator is the number of continuously enrolled students (disabled and non-disabled) with a valid score on any of the accountability measures (NYSAA, general assessments, and New York State English as a Second Language Achievement Test (NYSESLAT) when taken in lieu of the general assessment, if applicable1) in the subject (e.g., English language arts (ELA) or mathematics) in Grades 3–8.  The numerator is the number of students from the denominator who achieved a score at Level 3 or 4 on NYSAA.
• Secondary Level: The denominator is the number of students (disabled and non-disabled) in the district accountability cohort. The numerator is the number of students from the denominator who scored at Level 3 or 4 on NYSAA in the subject (e.g., ELA or mathematics) at the secondary level.  For the 2009–10 school year, the 2006 cohort results will be reported. The 2006 cohort includes graded students who first entered 9th grade (anywhere) during the 2006–07 school year (July 1, 2006 through June 30, 2007) or, in the case of ungraded students with disabilities, reached their seventeenth birthday during the 2006–07 school year, who meet the criteria for inclusion in the cohort.

5. If a school district exceeds the 1.0 percent cap on proficient and advanced scores on NYSAA, which scores are reallocated and how?

If a district exceeds the 1.0 percent cap in ELA or mathematics at Grade levels 3–8 combined, sufficient numbers of Level 3 or 4 scores must be counted at Level 2 to reduce the percentage of remaining Level 3 and 4 scores to 1.0 percent or less. The reduction will be made by NYSED.

The effect on the accountability status of the district and component schools may depend on which students' scores are counted at the lower level. As such, NYSED will make every effort to designate students whose scores can be counted at Level 2 without changing the AYP status of the district or a component school. For example, students who are placed out-of-district or students who are attending in-district schools that would not make AYP even with the student counted at the proficient level will be chosen first.

If a district has been granted an exception to exceed the 1.0 percent cap, but exceeds the cap granted under the exception, similar procedures will be used to reduce the percentage of Level 3 and 4 NYSAA scores to the permitted level.

6. How are the results for students whose NYSAA scores had to be reduced to Level 2 for accountability purposes reported on school report cards?

A student’s earned performance levels are recorded on the student’s permanent record, reported to the student’s parent, and reported in the counts of students taking NYSAA at each grade equivalent level on the school report card.  The performance indices in the accountability report part of the report card reflect the reallocated performance levels when a school district exceeds the 1.0 percent cap or the cap provided through an approved exception.