No Child Left Behind Act: Education Actions May Help Improve
Implementation and Evaluation of Supplemental Educational
Services (18-APR-07, GAO-07-738T).
The No Child Left Behind Act (NCLBA) requires districts with
schools that receive Title I funds and that have not met state
performance goals for 3 consecutive years to offer low-income
students supplemental educational services (SES), such as
tutoring. This testimony discusses early implementation of SES,
including how (1) SES participation changed in recent years; (2)
providers work with districts to deliver services; (3) states
monitor and evaluate SES; and (4) the U.S. Department of
Education (Education) monitors and supports SES implementation.
This testimony is based on an August 2006 report (GAO-06-758) and
also provides information on actions Education has taken that
respond to our recommendations. For the report, GAO surveyed all
states and a nationally representative sample of districts with
schools required to offer SES, visited four school districts, and
interviewed SES providers.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-07-738T
ACCNO: A68384
TITLE: No Child Left Behind Act: Education Actions May Help
Improve Implementation and Evaluation of Supplemental Educational
Services
DATE: 04/18/2007
SUBJECT: Academic achievement
Aid for education
Education
Education program evaluation
Elementary school students
Elementary schools
Evaluation methods
Federal/state relations
Monitoring
School districts
State-administered programs
State/local relations
Students
Teachers
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GAO-07-738T
* [1]Background
* [2]SES Participation Has Increased as Districts Have Taken Acti
* [3]Providers Have Taken Steps to Deliver Quality Services, but
* [4]State and District SES Monitoring Is Increasing Though It Re
* [5]Several Education Offices Oversee SES Implementation, but St
* [6]Prior Recommendations
* [7]GAO Contacts
* [8]Related GAO Products
* [9]Order by Mail or Phone
Testimony
Before the Subcommittee on Early Childhood, Elementary and Secondary
Education, Committee on Education and Labor, House of Representatives
United States Government Accountability Office
GAO
For Release on Delivery
Expected at 9:30 a.m. EDT
Wednesday, April 18, 2007
NO CHILD LEFT BEHIND ACT
Education Actions May Help Improve Implementation and Evaluation of
Supplemental Educational Services
Statement of Cornelia M. Ashby, Director
Education, Workforce, and Income Security Issues
GAO-07-738T
Mr. Chairman and Members of the Subcommittee:
I am pleased to be here today to present information from our August 2006
report on early implementation of the supplemental educational services
(SES) provisions of the No Child Left Behind Act (NCLBA).^1 While our
September testimony before the full committee provided an overview of that
report, ^2 at your request, today I will expand on SES access and
delivery; state and federal oversight of SES implementation and quality;
and recent U.S. Department of Education (Education) actions to improve SES
implementation.
In school year 2006-2007, Title I of NCLBA--the most recent
reauthorization of the Elementary and Secondary Education Act
(ESEA)--provided $12.7 billion in federal funds to more than 50,000 public
schools nationwide in order to improve the education of low-income
students. When a school receiving Title I funds does not meet state
performance goals designated under NCLBA for 2 years, the district must
offer students the choice of transferring to another school in the
district that is not in improvement status. When a school receiving Title
I funds does not meet state NCLBA performance goals for 3 or more years,
the district must offer SES to all of the low-income students enrolled in
the school. SES includes tutoring and remediation that are provided
outside of the regular school day by a state-approved provider, such as a
for-profit company or a community-based organization. Districts with
schools required to offer school choice and SES must set aside an amount
equal to 20 percent of their Title I funds to provide choice-related
transportation and SES for eligible students in these schools.
While states set NCLBA performance goals and schools are judged on the
performance of their students, responsibility for SES implementation is
primarily shared by states and school districts. Specifically, states are
responsible for reviewing provider applications to assess each provider's
record of effectiveness and program design and approving, monitoring, and
evaluating providers. Districts are responsible for notifying parents of
their child's eligibility for SES and contracting with the state-approved
providers that parents select for services.
^1 GAO, No Child Left Behind Act: Education Actions Needed to Improve
Local Implementation and State Evaluation of Supplemental Educational
Services, [10]GAO-06-758 (Washington, D.C.: Aug. 4, 2006).
^2 GAO, No Child Left Behind Act: Education Actions Needed to Improve
Implementation and Evaluation of Supplemental Educational Services,
GAO-06-1121T (Washington, D.C.: Sept. 21, 2006).
Although some districts were first required to offer SES in school year
2002-2003, others did not have to offer SES until 2003-2004 or after, and
therefore, states and districts are at different stages of implementing
the SES provisions. My testimony today will focus on early implementation
of SES. Specifically, I will discuss (1) how the proportion of eligible
students receiving services has changed in recent years and actions that
have been taken to increase participation; (2) how providers are working
with districts and schools to provide services that increase student
achievement; (3) the extent to which states and districts are monitoring
and evaluating SES; and (4) how Education monitors state SES
implementation and assists state and district efforts.
In summary, the SES participation rate increased from 12 to 19 percent of
eligible students between school years 2003-2004 and 2004-2005. While
districts have provided written information notifying parents of SES and
taken other actions to encourage participation, challenges remain, such as
notifying parents in a timely and effective manner. Regarding local SES
implementation, while providers took steps to align their curriculum with
district instruction and communicate with teachers and parents to promote
improved student academic achievement, both providers and districts
experienced contracting and coordination difficulties. In part because SES
is often delivered in school facilities, providers as well as district and
school officials reported that involvement of school administrators and
teachers can improve SES delivery and coordination. Further, while state
monitoring of SES had been limited, at the time of our review, more states
reported taking or planning to take steps to monitor district and provider
efforts to implement SES in school year 2005-2006 than had done so in
2004-2005. However, monitoring continues to be a challenge, and states
also continue to struggle to develop meaningful evaluations of SES
providers. Regarding federal oversight of SES implementation, although
several Education offices monitor various aspects of SES activity across
the country and provide support, states and districts reported needing
additional assistance and flexibility with program implementation.
Our August report made several recommendations to Education to help states
and districts implement SES more effectively and use SES funding to
provide services to the maximum number of students and to improve federal
and state monitoring of SES. Education expressed appreciation for the
report's recommendations and has made significant progress toward
addressing some of them.
Our prior report was based on a Web-based survey of SES coordinators in
all 50 states, the District of Columbia (D.C.), and Puerto Rico, and a
mail survey of SES coordinators in a nationally representative sample of
districts with schools required to offer SES. Our district survey sample
included all 21 districts required to offer SES with 100,000 or more total
enrolled students. Seventy-seven percent of district SES coordinators,
including all coordinators from districts with 100,000 or more enrolled
students, and all state SES coordinators responded to the surveys. In
addition, we conducted site visits to one school district in each of four
states (Woodburn, Ore.; Newark, N.J.; Chicago, Ill.; and Hamilton County,
Tenn.) during which we interviewed state, district, and school officials.
We also conducted interviews with 22 SES providers in our site visit
districts and others. In addition, we spoke with staff at Education
involved in SES oversight and implementation and reviewed Education's data
on SES. In our surveys and other data collection efforts, we asked
questions about SES implementation during specific school years;
therefore, all years cited refer to school years. We conducted the review
in accordance with generally accepted government auditing standards.
Background
Enactment of NCLBA strengthened accountability by requiring states and
schools to improve the academic performance of their students so that all
students are proficient in reading and math by 2014. Under NCLBA, each
state creates its own content standards, academic achievement tests, and
proficiency levels, and establishes and implements adequate yearly
progress (AYP) goals for districts and schools. Students in specified
grades are tested annually to determine whether districts and schools are
making AYP.
Title I^3 authorizes federal funds to help elementary and secondary
schools establish and maintain programs that will improve the educational
opportunities of economically disadvantaged children. Under NCLBA,
districts are required to implement specific interventions in schools
receiving federal Title I funds when they do not meet state AYP goals (see
table 1). Students from low-income families who attend schools receiving
Title I funds that have missed AYP goals for 3 consecutive years are
eligible for SES. Because some schools receiving Title I funds had not met
state goals set under ESEA before the enactment of NCLBA, these schools
were first required to offer SES in 2002-2003, the first year of NCLBA
implementation.
^3 In this testimony, we refer to Title I, Part A of ESEA as "Title I."
Other Parts of Title I (Parts B, C, and D) are targeted at specific
populations or purposes and are commonly referred to by their program
names, such as Even Start.
Table 1: NCLBA Interventions for Schools Not Meeting Yearly Performance
Goals over Time
Number of years school School status in the NCLBA interventions for
misses performance goals next year Title I schools
First year missed N/A None
Second year missed Needs Improvement - Required to offer school
First Year choice
Third year missed Needs Improvement - Required to offer school
Second Year choice and SES^a
Fourth year missed Corrective Action^b Also required to offer
school choice and SES^a
Fifth year missed Planning for Also required to offer
Restructuring^c school choice and SES^a
Sixth year missed Implementation of Also required to offer
Restructuring school choice and SES
Source: GAO analysis of NCLBA.
Note: N/A = not applicable.
aStudents who opt to transfer to another school in the district that is
not in improvement status are not eligible to receive SES, as they are no
longer in a school required to offer these services to its students.
bCorrective action is a significant intervention in a school that is
designed to remedy the school's persistent inability to make adequate
progress toward all students becoming proficient in reading and
mathematics.
cRestructuring is a major reorganization of a school, involving
fundamental reforms, such as significant changes in the school's staffing
and governance. For example, some schools may be converted to charter
schools during restructuring.
Under NCLBA, SES primarily include tutoring provided outside of the
regular school day that is designed to increase the academic achievement
of economically disadvantaged students in low-performing Title I schools.
These services must consist of high-quality, research-based instruction
that aligns with state educational standards and district curriculum. SES
providers may include nonprofit entities, for-profit entities, school
districts, public schools, public charter schools, private schools, public
or private institutions of higher education, educational service agencies,
and faith-based organizations. However, a district classified as needing
improvement or in corrective action because it failed to meet state AYP
goals for several years may not be an SES provider, though its schools
that are not identified as needing improvement may provide services. In
addition, individual teachers who work in a school or district identified
as in need of improvement may be hired by any state-approved provider to
serve as a tutor in its program.
A district must set aside an amount equal to 20 percent of its Title I
allocation to fund both SES and transportation for students who elect to
attend other schools under school choice. After ensuring all eligible
students have had adequate time to opt to transfer to another school or
apply for SES, the district may reallocate any unused set-aside funds to
other Title I activities. For each student receiving SES, a district must
spend an amount equal to its Title I per-pupil allocation or the actual
cost of provider services, whichever is less.^4
Education oversees SES implementation by monitoring states and providing
technical assistance and support. NCLBA, the Title I regulations, and SES
guidance outline the roles and responsibilities states, school districts,
service providers, and parents have in ensuring that eligible students
receive additional academic assistance through SES (see table 2).
^4 A state or each of its districts calculates the Title I per pupil
allocation by dividing the district's total Title I, Part A allocation by
the number of children residing within the district aged 5 to17 who are
from families below the poverty level, as determined by the most recent
Census Bureau estimates from the Department of Commerce.
Table 2: SES Stakeholder Roles and Responsibilities
Stakeholder Roles and responsibilities
State Set criteria and standards for approving providers
Identify, approve, and maintain public list of providers
Ensure that the list of approved providers includes
organizations that are able to serve students with
disabilities and limited English proficiency
Monitor and evaluate the effectiveness of provider
services
Monitor district SES implementation
Develop and use policy criteria for withdrawing providers
from state-approved list, including if
o provider fails for 2 consecutive years to increase
student proficiency relative to state academic content
and achievement standards
o provider fails to adhere to applicable health,
safety, and civil rights requirements
School district Provide an annual notice to parents, which must identify
available providers; describe the enrollment process and
timeline; describe the services, qualifications, and
demonstrated effectiveness of each provider; and be easily
understandable
Help parents choose a provider, if requested
Protect the privacy of students eligible for and receiving
services
Calculate and establish the SES per pupil allocation if
not determined by the state
Determine which students should receive services if more
students apply for SES than can be served with available
funds
Enter into contracts with providers
Ensure eligible students with disabilities and eligible
students with limited English proficiency may participate
in SES
At the discretion of the state, may be involved in
collecting data from providers to assist state monitoring
and evaluation activities
Providers Provide services in accordance with district agreements
Enable students to attain their individual achievement
goals
Measure student progress and inform parents and teachers
of progress made by students
Ensure non-disclosure of student data to the public
Provide services consistent with applicable health,
safety, and civil rights laws
Provide services that are secular, neutral, and
non-ideological
Parents Choose a provider from the state-approved list
Are encouraged to be actively involved in their child's
SES program
Source: GAO, per P.L.107-110, 34 C.F.R. Part 200, or the U.S. Department
of Education, Supplemental Educational Services Non-Regulatory Guidance,
June 2005.
SES Participation Has Increased as Districts Have Taken Actions to Ease Access,
but Challenges Remain
Nationally, the SES participation rate increased substantially from 12
percent of eligible students receiving SES in 2003-2004 to 19 percent in
2004-2005. In addition, the number of students receiving services almost
quadrupled between 2002-2003 and 2004-2005 from approximately 117,000 to
430,000 students nationwide, based on the best available national data at
the time of our work.^5 This increase may be due in part to the increase
in the number of schools required to offer SES over that time period.
While approximately 1,000 of the over 14,000 districts nationwide were
required to offer SES in 2004-2005, SES recipients were concentrated in a
small group of large districts--56 percent of recipients attended school
in the 21 districts required to offer SES with more than 100,000 total
enrolled students (see fig. 1). Further, about 20 percent of the districts
required to offer SES in 2004-2005 had no students receiving services. A
majority of these districts were rural or had a total enrollment of fewer
than 2,500 students.
^5 Certain states did not submit SES recipient information to Education
through their NCLBA Consolidated State Performance Reports for all years.
Specifically, 2002-2003 data from Kansas and North Dakota, 2003-2004 data
from Pennsylvania, and 2004-2005 data from New Jersey are not included in
our estimates. In addition, 2002-2003 data from New York only include
information from New York City. Further, Education did not collect data on
the number of students eligible for SES in 2002-2003, and therefore, an
estimate of the SES participation rate is unavailable for that year.
Figure 1: School Districts Required to Offer SES in 2004-2005
Many students receiving SES in 2004-2005 shared certain characteristics.
For example, districts reported that most students receiving services were
among the lower-achieving students in school. Further, over half of SES
recipients were elementary school students in the majority of districts,
and about 60 percent of schools required to offer SES in 2004-2005 were
elementary schools.^6 In some districts, the majority of SES recipients
were African-American or Hispanic. In about 40 percent of districts, over
half of SES recipients were African-American, and in about 30 percent of
districts, over half of SES recipients were Hispanic. However, districts
varied in the percentage of students with limited English proficiency
receiving services, and students with disabilities made up less than 20
percent of students receiving services in about two-thirds of districts.
^6 Many of the district estimates included in this paragraph have a margin
of error that exceeds plus or minus 8 percentage points. See table 9 in
appendix I of [11]GAO-06-758 for more information.
In order to increase SES participation, districts have taken multiple
actions. For example, in line with the federal statutory requirement that
districts notify parents in an understandable format of the availability
of SES, over 90 percent of districts provided written information in
English, held individual meetings and/or phone conversations with parents,
and encouraged school staff to talk with parents about SES. See table 3
for a list of district actions taken to encourage participation.
Table 3: District Actions Taken to Encourage SES Participation (2005-2006)
Estimated percentageof
Action taken during the 2005-2006 school year districts
Provided written information in English to parents 99
Held individual meetings and/or phone conversations 95
with interested parents
Encouraged principals, teachers, or other school 93
staff to talk with parents
Offered supplemental services in locations that are 90
easily accessible to students after school (e.g.,
on or near the school campus)
Offered SES at a variety of times (e.g., after 79
school, weekends, summer break)
Lengthened the period of time parents have to 79
submit applications for SES
Held events where parents of eligible students can 78
learn about providers
Provided written information in language(s) other 72
than English about SES to parents
Made public announcements (e.g., television, 67
billboards, newspaper ads, school newsletters)
Worked with a local community partner to raise 39
awareness of SES (e.g., Parent Information Resource
Center)
Provided or arranged for transportation of students 33
receiving SES to off-site providers
Source: GAO analysis of district survey results.
Despite these promising approaches to encourage participation, notifying
parents in a timely manner remains a challenge for some districts. An
estimated 58 percent of districts did not notify parents that their
children may be eligible to receive SES before the beginning of the
2005-2006 school year, which may be due in part to delays in states
reporting which schools were identified for improvement.^7 Effectively
notifying parents is also a challenge for some districts. For example,
officials in all four districts we visited reported difficulties
contacting parents to inform them about SES in part because some families
frequently move and do not always update their mailing addresses with
districts. In addition, some providers we interviewed indicated that
parental notification letters are confusing and poorly written or not
accompanied by additional outreach.
Another challenge to increasing SES participation is attracting more SES
providers for certain areas and groups of students. Specifically, some
rural districts surveyed indicated that no students received services last
year because of a lack of providers in the area.^8 Ensuring there are
providers to serve students with limited English proficiency or
disabilities has also been a challenge for some districts. We estimate
that there were not enough providers to meet the needs of students with
limited English proficiency in one-third of districts and not enough
providers to meet the needs of students with disabilities in one-quarter
of districts.
Providers Have Taken Steps to Deliver Quality Services, but Local Implementation
Challenges Include Contracting and Coordination
To promote improved student academic achievement and service delivery,
providers took steps to gather information on district curriculum and
student needs. Specifically, providers aligned their curriculum with
district instruction primarily by hiring district teachers and
communicating with the teachers of participating students. However, when
providers did not hire district teachers, the frequency of contact between
tutors and teachers varied, and we estimate that some providers did not
contact teachers in almost 40 percent of districts in 2004-2005. Regarding
communication with parents, providers reported mailing information as well
as meeting with parents over the phone and in-person to communicate
information on student needs and progress; however, the frequency of
communication with parents also varied. Specifically, we estimate that
some providers did not contact parents in about 30 percent of districts in
2004-2005. Despite these communication challenges, an estimated 90 percent
of districts indicated that their working relationships with providers
during 2004-2005 were good, very good, or excellent. In addition, many of
the providers we interviewed during our site visits also reported having
positive working relationships with district officials.
^7 GAO previously reported that some states have difficulty notifying
schools of their status in meeting proficiency goals in a timely fashion
in part because of the time involved in identifying and correcting errors
in student assessment data. See GAO, No Child Left Behind Act:
Improvements Needed in Education's Process for Tracking States'
Implementation of Key Provisions, [12]GAO-04-734 (Washington, D.C.: Sept.
30, 2004).
^8 GAO previously reported that geographic isolation created difficulties
for rural districts in implementing SES. Specifically, rural district
officials stated that traveling long distances to meet providers was not a
viable option and use of online providers was challenging in some small
rural districts where it was difficult to establish and maintain Internet
service. See GAO, No Child Left Behind Act: Additional Assistance and
Research on Effective Strategies Would Help Small Rural Districts,
[13]GAO-04-909 (Washington, D.C.: Sept. 23, 2004).
While providers have taken some steps to deliver quality services and
establish positive relationships with districts, both providers and
districts experienced contracting and coordination difficulties. Regarding
contracting, some of the providers we interviewed said certain districts
imposed burdensome contract requirements, limited the marketing they could
do to parents and students, or restricted the use of school facilities.
Districts also reported that contracting is a challenge. We estimate that
negotiating contracts with providers was a moderate, great, or very great
challenge in about 40 percent of districts nationwide. For example,
district officials at three of the sites we visited expressed concern
about their lack of authority to set parameters in provider contracts
around costs and program design, such as tutor-to-student ratios and total
hours of instruction. Specifically, Chicago, Ill., district officials
expressed concern about the variation among providers in the hours of
instruction and cost of services because the district does not have
sufficient funds to serve all eligible students, and officials would like
to maximize the number of students they can serve.
Coordination of service delivery has also been a challenge for providers
and districts, and sometimes these coordination difficulties have resulted
in service delays. For example, services were delayed or withdrawn in
certain schools in three of the districts we visited because not enough
students signed up to meet the providers' enrollment targets and districts
were not aware of these targets.^9 Coordination difficulties also occurred
during the enrollment process. Though districts are responsible for
arranging SES for eligible students, in two districts we visited, both the
district and providers sent enrollment forms to parents, which caused
confusion among parents as well as additional work for the district staff
processing the forms.
^9 In addition to our analysis, the Center on Education Policy case
studies also found that in some cases, approved providers that initially
expressed interest in serving a certain district later decided not to
provide services because too few students enrolled. See the Center on
Education Policy, From the Capital to the Classroom, Year 4 of the No
Child Left Behind Act (Washington, D.C.: March 2006).
In part because SES is often delivered in school facilities, providers and
officials in the districts and schools we visited reported that
involvement of school administrators and teachers can improve SES delivery
and coordination. Although schools do not have federally defined
responsibilities for administering SES, many officials said SES
implementation is hindered when school officials are not involved. For
example, some providers we interviewed said that a lack of involvement of
school principals can make it difficult for them to coordinate with
schools to encourage student participation. In addition, Illinois and
Oregon school principals told us they found it difficult to manage
afterschool activities because they didn't have sufficient authority to
oversee SES tutors operating in their buildings at that time. While
helping to administer the SES program adds additional administrative
burden on schools, school officials in all four of the districts we
visited said they welcomed a stronger or more clearly defined role.
State and District SES Monitoring Is Increasing Though It Remains a Challenge,
and Many States Continue to Struggle with Developing Evaluations
While monitoring of SES had been limited, more states reported taking
steps to monitor both district and provider efforts to implement SES in
2005-2006. For example, more states conducted or planned to conduct
on-site reviews of districts and providers in 2005-2006 than had done so
in 2004-2005. In addition to state efforts to monitor providers, districts
have also taken a direct oversight role, and their monitoring activities
similarly increased during this time. For example, while we estimate that
less than half of districts collected information from parents, school
staff, on-site reviews, and students to monitor providers in 2004-2005, 70
percent or more were collecting or planning to collect information from
these sources in 2005-2006.
States and districts both collected information on several aspects of SES
programs, such as elements related to service delivery and use of funds,
to monitor providers (see table 4). For example, 94 percent of states
monitored or planned to monitor parent or student satisfaction with
providers, and 93 percent of districts monitored or planned to monitor
billing and payment for services and student attendance records. District
assistance with monitoring is likely welcomed by states, as over
two-thirds of states reported that on-site monitoring of providers has
been a challenge. During our site visits, officials explained that both
state and district capacity to implement SES is limited, because there is
typically one staff person at each level coordinating all aspects of SES
implementation, and sometimes that person may also oversee implementation
of additional federal education programs.
Table 4: Percentage of States and Districts That Reviewed Specified
Program Elements to Monitor Providers in 2005-2006
Estimated percentage of
Percentage of states districts
Monitored Monitored
or or
Planned planned Planned planned
to to to to
Program element Monitored monitor monitor Monitored monitor monitor
Parent/student
satisfaction with
a provider 27 67 94 34 57 91
Provider
communication
with teachers and
parents 37 56 92 46 43 89
Extent to which a
provider's
program, as
enacted, reflects
its program
design, as
outlined in its
application to
the state 19 73 92 30 41 70
Evidence of
meeting academic
achievement goals
as stated on
student learning
plan 23 65 88 28 60 88
Evidence of
improved student
achievement based
on any statewide
assessment 15 71 87 26 65 91
Alignment of
provider
curriculum with
district/school
curriculum or
instruction 25 62 87 35 39 74
Student
attendance
records 27 56 83 67 25 93
Evidence of
improved student
achievement based
on provider
assessments 27 56 83 39 52 91
Protection of
student privacy 33 50 83 55 28 82
Adherence to
applicable
health, safety,
and civil rights
laws 29 48 77 48 26 74
Provider
financial
stability (e.g.,
audits, financial
statements) 31 42 73 N/A N/A N/A
Evidence of
improved student
achievement based
on grades,
promotion, and/or
graduation 12 58 69 23 57 80
Billing and
payment for
services N/A N/A N/A 72 21 93
Source: GAO.
Note: The percentage of states that did not review or plan to review these
program elements to monitor providers in 2005-2006 and the percentage of
states that did not answer these survey questions are not shown in this
table. In addition, we did not ask states if they monitored billing and
payment for services, and we did not ask districts if they monitored
provider financial stability.
Although states are beginning to increase monitoring of SES
implementation, many continue to struggle with developing evaluations to
determine whether SES providers are improving student achievement.
Specifically, over three-fourths of states reported that determining
sufficient academic progress of students, having the time and knowledge to
analyze SES data, and developing data systems to track SES information
have been challenges to evaluating SES providers. Although states are
required to withdraw approval from providers that fail to increase student
academic achievement for 2 years, at the time of our survey in early 2006,
only New Mexico and Tennessee had drafted or completed evaluation reports
assessing how all SES providers serving students in their states impacted
student academic achievement. ^10 However, because of the limitations of
these two evaluations, neither provided a conclusive assessment of SES
providers' effect on student academic achievement.
Likely because of states' struggle to complete SES evaluations, states did
not report that they had withdrawn approval from providers because their
programs were determined to be ineffective at increasing student academic
achievement.^11 Rather, although over 40 percent of states reported that
they had withdrawn approval from some providers, they most frequently
reported withdrawing provider approval because the provider was a school
or district that had entered needs improvement status, the provider asked
to be removed from the state-approved provider list, or because of
provider financial impropriety.
Several Education Offices Oversee SES Implementation, but States and Districts
Reported Needing Additional Assistance and Flexibility
Several offices within Education monitor various aspects of SES activity
across the country and provide support, but states and districts reported
needing additional assistance and flexibility with SES implementation.
Education conducts SES monitoring in part through reviews of policy issues
brought to the department's attention and structured compliance reviews of
states and districts, and provides SES support through guidance, grants,
research, and technical assistance. The Office of Innovation and
Improvement (OII) and the Office of Elementary and Secondary Education
(OESE) are primarily responsible for monitoring and supporting SES
implementation, while the Office of Inspector General (OIG), Policy
Program and Studies Service, and Faith-Based and Community Initiatives
also contribute to these efforts (see fig. 2).
^10 At the time of our survey, several additional states, including
Louisiana and Pennsylvania, were in the process of drafting an SES
evaluation report that would assess the impact of SES providers serving
students in their states, but the reports were not yet available to the
public.
^11 Only one state reported withdrawing approval from one of its providers
because that provider's program was generally ineffective. However, this
provider's program was found to be ineffective because the provider did
not deliver services to all of the students it enrolled. This state also
indicated that it had not yet completed an evaluation of SES's effect on
student academic achievement.
Figure 2: U.S. Department of Education Offices Monitoring and Supporting
SES
Note: This figure reflects the coordination of Education's offices rather
than the statutory reporting relationships.
Specifically, OII leads SES policy development and provides strategic
direction, and its staff also primarily monitor SES policy issues through
"desk monitoring," which involves review of SES-related research and media
reports. In addition to these activities, OII also conducts more intensive
monitoring of specific SES implementation challenges when states,
districts, and providers bring them to Education's attention. Regarding
other support for SES implementation, OII has provided SES implementation
assistance in part through presentations at conferences and grants to
external organizations. For example, OII funded the Supplemental
Educational Services Quality Center (SESQC), which provided technical
assistance to states and districts until its grant period ended in
December 2005. OII is also responsible for coordinating the publication of
the non-regulatory SES guidance. Since 2002, OII has coordinated four
versions of this guidance, each updated to address ongoing challenges with
SES implementation.
OESE, which oversees and supports NCLBA implementation, is involved in
monitoring SES implementation through its overall monitoring of state
compliance with Title I and NCLBA. To monitor Title I, OESE staff visit
state departments of education and selected districts within each state to
interview officials and review relevant documents. Following these visits,
OESE issues reports to each state outlining any instances of Title I
noncompliance, including those related to SES, and actions needed to
comply with regulations. OESE also monitors SES through its oversight of
the collection of state NCLBA data, including data on SES, in the annual
Consolidated State Performance Report (CSPR). To support SES
implementation, OESE funded the Comprehensive Centers Program through
grants that established technical assistance centers across the country to
help low-performing schools and districts close achievement gaps and meet
the goals of NCLBA. Of these, the Center on Innovation and Improvement
provides support to states and districts on SES and other Education
programs.
Through its SES monitoring efforts, Education has found that
implementation of the SES provisions has been uneven throughout the
country. Consequently, in May 2006, the department issued a policy letter
announcing plans to take significant enforcement actions, such as
withholding federal funds, placing conditions on Title I grants, or
entering into compliance agreements with states. Related to this, an
Education official reported that the department placed conditions on
California's Title I grant because of compliance issues with SES and
school choice implementation. In addition, to gather more information that
will allow the department to take future enforcement actions, the
department revised its Title I monitoring protocols and added additional
monitoring related to SES and school choice. Beginning in the spring of
2007, the department is conducting additional Title I monitoring visits to
states and districts targeted at assessing SES and school choice
implementation efforts. Seven states were selected for the targeted
monitoring based on Education's previous monitoring findings and high
percentages of schools in need of improvement. In addition to the seven
selected states, beginning this year, all states that Education visits as
part of its regular Title I monitoring cycle will receive additional SES-
and school choice-specific monitoring. Specifically, the department plans
to visit additional districts in each state and interview SES providers to
obtain greater detail on SES and school choice implementation.
While Education's policy letter and monitoring actions reflect the
department's concern that SES implementation has been uneven throughout
the country, many states and districts reported needing clearer guidance
or additional assistance with certain SES provisions to improve
implementation. Specifically, 85 percent of states and an estimated 70
percent of districts needed additional assistance with methods for
evaluating SES, and over 60 percent of both groups also needed assistance
with developing data systems. Many districts also needed more information
on provider quality and effectiveness. Although OESE and OIG monitoring
results have also continually indicated that states and districts struggle
with SES evaluation, at the time of our report, Education had not yet
provided comprehensive assistance in this area, and during our site
visits, officials mentioned that they have been relying on other states,
organizations, or individuals for evaluation assistance.
In addition, several states commented through our survey that they also
needed additional guidance on managing costs and fees, implementing SES in
rural areas, and handling provider complaints. During three of our site
visits, officials also expressed some concern about the lack of clarity in
the SES guidance with regard to student eligibility requirements and how
to craft a parental SES notification letter that is both complete and easy
for parents to understand. Specifically, though Education's monitoring
reports have found many states and districts to be non-compliant with the
federal requirement that district SES parental notification letters
include several specific elements,^12 Education's SES guidance provides a
sample that does not clearly specify all of the key elements required by
SES law and regulations. Furthermore, a few state and district officials
commented that, when followed, the SES regulations yield a letter that is
unreasonably long and complex.
^12 OIG found all six of the states it visited during its audits of state
SES implementation to be deficient with respect to parent notifications.
In addition, in our analysis of the 40 OESE Title I state monitoring
reports publicly issued as of June 2006, we found that OESE cited 9 of the
states it had visited for SES noncompliance with respect to district
parent notifications.
Many states and districts expressed interest in the flexibility offered
through two pilot programs that Education implemented during 2005-2006.
The department designed these pilots to increase the number of eligible
students receiving SES and to generate additional information about the
effect of SES on student academic achievement. For example, several state
and district SES coordinators expressed interest in Education's pilot
program that allowed two districts in needs improvement status to act as
SES providers. As a condition of the pilot, these districts agreed to
expand student access to SES and collect achievement data to determine SES
program effectiveness. The other SES pilot allowed four districts in
Virginia to offer SES instead of school choice in schools that have missed
state performance goals for 2 years and are in their first year of needs
improvement. During our site visits and through our surveys, many states
and districts expressed interest in adjusting the order of the SES and
school choice interventions (see table 5). In line with interest in
increased flexibility with the order of these interventions, Education
announced in May 2006 that it was expanding this pilot for 2006-2007.
Table 5: State and District Opinion on the Ordering of School Choice and
SES
In percent
Order of school choice and SES States District
SES should precede school choice 48 62
Both school choice and SES should be offered at the same 27 15
time
School choice should precede SES 15 23
Source: GAO.
Note: 10 percent of states did not respond or were not sure. In addition,
district percentages are estimates.
Prior Recommendations
Our August report recommended that Education clarify guidance and provide
additional assistance to states and districts to help them comply with the
federal requirements for parental notification letters and ensure that
letters are easy for parents to understand, collect and disseminate
information on promising practices used by districts to attract providers
for certain areas and groups, and collaborate with school officials to
coordinate local SES implementation. In addition, we recommended that
Education consider expanding its current SES pilot program allowing
selected districts in need of improvement to serve as providers and
clarify state authority to set parameters around service design and costs.
Finally, we also recommended that Education require states to collect and
submit information on the amount spent by districts to provide SES and the
percentage of districts' Title I funds that this amount represents and
provide states with technical assistance and additional guidance on how to
evaluate the effect of SES on student academic achievement.
In written comments on the report, Education expressed appreciation for
our recommendations, and the department has since made significant
progress toward addressing some of them. Specifically, Education has taken
a variety of steps that address our recommendations focused on increased
dissemination of promising practices related to parental notification,
attracting providers for certain areas and student groups, and improved
local coordination. For example, between November 2006 and March 2007,
Education staff conducted an outreach tour focused on school choice and
SES during which they met with state and district officials, providers,
and parents in 14 large school districts around the country. Education
staff met with these groups in each district, and participants discussed
issues including parental outreach, parental notification, serving special
student populations, and local coordination. The department plans to
disseminate information collected through the outreach tour by publishing
a handbook that shares strategies on informing parents and implementing
SES and school choice. In addition, officials indicated that they plan to
convene a national meeting during the summer of 2007 to share the handbook
with state and district SES and school choice coordinators and discuss
effective implementation. In addition to the tour, Education directed the
Center on Innovation and Improvement to focus on providing assistance
related to parental outreach during school year 2006-2007. Consequently,
in the fall of 2006, the center began providing examples of related
materials, such as documents that states and districts have used to notify
parents of services, through its Web site. The center also plans to
provide assistance and guidance on parental outreach to four states that
requested assistance starting before the end of the current school year
and continuing into school year 2007-2008.
Education has also taken some actions that address our recommendations
targeted at improving state and district use of SES funding to provide
services to the maximum number of students. Specifically, the department
extended and expanded its pilot program to allow four districts in need of
improvement to serve as SES providers for the 2006-2007 school year. As we
noted in our report, allowing districts to act as providers may ease
student access to SES for rural districts that do not have providers
located nearby and allow more students to participate in SES because
district costs to provide services are sometimes lower than other
providers' costs. While we suggested in our other recommendation that
Education could clarify how states can set parameters around provider
program design and costs by providing written guidance on these issues,
according to department officials, Education has instead addressed state
questions on these issues on a case-by-case basis.
Concerning our recommendations to improve federal and state monitoring of
SES, Education officials reported that beginning with the 2006-2007 school
year all states are required to submit information to the department on
the amount of funds spent by districts to provide SES. The department has
also taken action to provide states with technical assistance and guidance
on how to evaluate the effect of SES on student academic achievement.
Specifically, Education directed the Center on Innovation and Improvement
to focus on SES evaluation assistance during school year 2006-2007. To
that end, the center issued an updated version of the guidebook on SES
evaluation in November 2006, and it plans to provide technical assistance
before the end of the current school year to sixteen states that requested
such assistance.
Mr. Chairman, this completes my prepared statement. I would be happy to
respond to any questions you or other members of the subcommittee may
have.
GAO Contacts
For further information regarding this testimony, please contact me at
(202) 512-7215. Individuals making key contributions to this testimony
include Bryon Gordon, Rachel Frisk, and David Perkins.
Related GAO Products
No Child Left Behind Act: Education Assistance Could Help States Better
Measure Progress of Students with Limited English Proficiency.
GAO-07-646T. Washington, D.C.: March 23, 2007.
No Child Left Behind Act: Education Actions Needed to Improve
Implementation and Evaluation of Supplemental Educational Services.
GAO-06-1121T. Washington, D.C.: September 21, 2006.
No Child Left Behind Act: Education Actions Needed to Improve Local
Implementation and State Evaluation of Supplemental Educational Services.
[14]GAO-06-758 . Washington, D.C.: August 4, 2006.
No Child Left Behind Act: Assistance from Education Could Help States
Better Measure Progress of Students with Limited English Proficiency.
[15]GAO-06-815 . Washington, D.C.: July 26, 2006.
No Child Left Behind Act: States Face Challenges Measuring Academic Growth
That Education's Initiatives May Help Address. [16]GAO-06-661 .
Washington, D.C.: July 17, 2006.
No Child Left Behind Act: Most Students with Disabilities Participated in
Statewide Assessments, but Inclusion Options Could Be Improved.
[17]GAO-05-618 . Washington, D.C.: July 20, 2005
No Child Left Behind Act: Education Needs to Provide Additional Technical
Assistance and Conduct Implementation Studies for School Choice Provision.
[18]GAO-05-7 . Washington, D.C.: December 10, 2004.
No Child Left Behind Act: Improvements Needed in Education's Process for
Tracking States' Implementation of Key Provisions. [19]GAO-04-734 .
Washington, D.C.: September 30, 2004.
No Child Left Behind Act: Additional Assistance and Research on Effective
Strategies Would Help Small Rural Districts. [20]GAO-04-909 . Washington,
D.C.: September 23, 2004.
Disadvantaged Students: Fiscal Oversight of Title I Could Be Improved.
[21]GAO-03-377 . Washington, D.C.: February 28, 2003.
Title I Funding: Poor Children Benefit Though Funding Per Poor Child
Differs. [22]GAO-02-242 . Washington, D.C.: January 31, 2002.
(130611)
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www.gao.gov/cgi-bin/getrpt?GAO-07-738T .
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Highlights of [31]GAO-07-738T , a report to Subcommittee on Early
Childhood, Elementary and Secondary Education, Committee on Education and
Labor, House of Representatives
April18, 2007
NO CHILD LEFT BEHIND ACT
Education Actions May Help Improve Implementation and Evaluation of
Supplemental Educational Services
SES participation increased from 12 to 19 percent between school years
2003-2004 and 2004-2005. District actions to increase participation have
included greater efforts to notify parents. However, timely and effective
notification of parents remains a challenge, as does attracting providers
to serve certain areas and students, such as rural districts and students
with disabilities.
To promote improved student academic achievement and service delivery, SES
providers took steps to align their curriculum with district instruction
and communicate with teachers and parents. However, the extent of these
efforts varied, as some providers did not have any contact with teachers
in almost 40 percent of districts or with parents in about 30 percent of
districts. Both providers and district officials experienced challenges
related to contracting and coordination of service delivery. In part
because SES is often delivered in school facilities, providers and
district and school officials reported that greater involvement of schools
can improve SES delivery.
While states' monitoring of district and provider efforts to implement SES
had been limited in past years, more states reported conducting on-site
reviews and other monitoring activities during 2005-2006. Districts also
increased their oversight role. However, many states continue to struggle
with how to evaluate whether SES providers are improving student
achievement. While a few states have completed evaluations, none provides
a conclusive assessment of SES providers' effect on student academic
achievement.
Education conducts SES monitoring in part through policy oversight and
compliance reviews of states and districts, and provides SES support
through written guidance, grants, and technical assistance. Education
monitoring found uneven implementation and compliance with SES provisions,
and states and districts reported needing SES policy clarification and
assistance in certain areas, such as evaluating SES. Many states also
voiced interest in Education's pilot programs that increase SES
flexibility, including the recently expanded pilot allowing certain
districts identified as in need of improvement to act as providers. Since
GAO's report was published, Education has taken several actions to help
improve SES implementation and monitoring, such as disseminating promising
practices and guidance, and meeting with states, districts, and providers.
The No Child Left Behind Act (NCLBA) requires districts with schools that
receive Title I funds and that have not met state performance goals for 3
consecutive years to offer low-income students supplemental educational
services (SES), such as tutoring. This testimony discusses early
implementation of SES, including how (1) SES participation changed in
recent years; (2) providers work with districts to deliver services; (3)
states monitor and evaluate SES; and (4) the U.S. Department of Education
(Education) monitors and supports SES implementation.
This testimony is based on an August 2006 report (GAO-06-758) and also
provides information on actions Education has taken that respond to our
recommendations. For the report, GAO surveyed all states and a nationally
representative sample of districts with schools required to offer SES,
visited four school districts, and interviewed SES providers.
[32]What GAO Recommends
The GAO report recommended that Education clarify guidance and provide
information on promising practices, consider expanding flexibility and
clarifying state authority, and collect information on district SES
expenditures and provide evaluation assistance. Education generally
supported GAO's recommendations.
References
Visible links
10. http://www.gao.gov/cgi-bin/getrpt?GAO-06-758
11. http://www.gao.gov/cgi-bin/getrpt?GAO-06-758
12. http://www.gao.gov/cgi-bin/getrpt?GAO-04-734
13. http://www.gao.gov/cgi-bin/getrpt?GAO-04-909
14. http://www.gao.gov/cgi-bin/getrpt?GAO-06-758
15. http://www.gao.gov/cgi-bin/getrpt?GAO-06-815
16. http://www.gao.gov/cgi-bin/getrpt?GAO-06-661
17. http://www.gao.gov/cgi-bin/getrpt?GAO-05-618
18. http://www.gao.gov/cgi-bin/getrpt?GAO-05-7
19. http://www.gao.gov/cgi-bin/getrpt?GAO-04-734
20. http://www.gao.gov/cgi-bin/getrpt?GAO-04-909
21. http://www.gao.gov/cgi-bin/getrpt?GAO-03-377
22. http://www.gao.gov/cgi-bin/getrpt?GAO-02-242
31. http://www.gao.gov/cgi-bin/getrpt?GAO-07-738T
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