Kathy Strunk, Tiffany Katanyoutanant, Andrew R. Hinkle, Markie McNeilly, Virginia A. Ressa, Sylvia Kwon, Sheryl S. Lazarus, Katherine Nagle, Martha L. Thurlow, and Bryan Hemberg
A publication of
NATIONAL CENTER ON EDUCATIONAL OUTCOMES
In collaboration with
NCEO’s 1.0% Community of Practice (CoP)
The Center is supported through a Cooperative Agreement (#H326G210002) with the Research to Practice Division, Office of Special Education Programs, U.S. Department of Education. The Center is affiliated with the Institute on Community Integration at the College of Education and Human Development, University of Minnesota. Consistent with EDGAR §75.62, the contents of this report were developed under the Cooperative Agreement from the U.S. Department of Education, but do not necessarily represent the policy or opinions of the U.S. Department of Education or Offices within it. Readers should not assume endorsement by the federal government.
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All rights reserved. Any or all portions of this document may be reproduced and distributed without prior permission, provided the source is cited as:
Strunk, K., Katanyoutanant, T., Hinkle, A. R., McNeilly, M., Ressa, V. A., Kwon, S., Lazarus, S. S., Nagle, K., Thurlow, M. L., & Hemberg, B. (2023). Developing an assessment participation plan: A tool for district leaders (NCEO Tool #14). National Center on Educational Outcomes.
This resource was developed through a collaborative process with the 49 states participating in the National Center on Educational Outcomes’ (NCEO’s) 1% Cap Community of Practice (CoP) during its bi-weekly webinar calls in 2021 and 2022. Although the CoP was formed at the request of states to provide them the opportunity for private state conversations, it was with mutual agreement among the CoP members that this tool should be shared publicly on the NCEO website.
The states participating in the 1% Cap CoP are listed here: Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana. Iowa, Kansas, Kentucky, Louisiana, Maine, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming.
This resource is designed to be used by district leaders to develop an action plan to increase student participation in assessments, including annual statewide assessments and districtwide assessments, (e.g., interim assessments). Federal regulations require states and districts to administer an annual state assessment to students in grades 3-8 and once in high school in the content areas of reading/language arts, mathematics, and science. State assessments are aligned to state academic content standards and are used to measure student progress toward mastering the standards.
The Every Student Succeeds Act (ESSA) requires the participation of all (100 percent) students in state tests. For students with disabilities, test participation is also required by the Individuals with Disabilities Education Act (IDEA). ESSA requires states to assess at least 95 percent of all students and 95 percent of students with disabilities in order to meet federal accountability requirements.
Districts also administer other types of assessments such as interim (or benchmark) assessments. Some states and districts mandate the use of a specific interim assessment, but this decision is usually made locally. Interim assessments are usually given across a district multiple times during the year. The information from these tests can be used for a variety of purposes, such as measuring growth, making instructional decisions, and looking for patterns across groups of students.
Other locally administered assessments include classroom tests and quizzes to provide information about what students know or have learned recently. Diagnostic assessments and screeners help schools identify how to provide support for individual students so that teachers can tailor what and how they are teaching.
This tool focuses on the federally required state general and alternate assessments in reading/language arts, mathematics, and science administered in grades 3-8 and once in high school. However, the tool can easily be adapted to develop a student assessment participation action plan for interim assessments.
The purpose of this resource is to provide a tool for districts that wish to improve student assessment participation. The tool provides guidance on how district leaders can develop an assessment participation action plan. It describes a series of steps that support the development of the action plan. These steps include: (a) forming teams for designing, implementing, monitoring, and evaluating the action plan; (b) collecting and analyzing district data on state assessment participation; (c) collecting and analyzing school assessment participation; (d) compiling contextual information; (e) identifying district challenges to reach 95 percent participation; (f) designing and implementing action plan steps; (g) monitoring implementation of the plan; and (h) evaluating the plan.
Districts may customize this tool as needed to meet their needs. See https://nceo.umn.edu/docs/OnlinePubs/DistrictAssessmentParticipationActionPlan.docx to download the Microsoft Word version of this resource.
This resource is designed to be used by district education leaders and staff to develop action plans that identify steps to increase student participation in assessments. The U.S. Department of Education requires states and districts to annually assess at least 95 percent of all students and 95 percent of students with disabilities to meet accountability requirements, underscoring the importance of encouraging student participation in testing. Districts also administer tests that are unique to their district and schools, such as interim assessments, diagnostic assessments, and classroom assessments. District assessments are important because they provide information that helps districts and schools measure student growth, make instructional decisions, look for patterns across groups of students, and provide support for individual students so that teachers can tailor what and how they are teaching.
For districts that do not meet the 95 percent participation rate on the state assessment, or for districts that wish to improve their current participation rates in all assessments, developing an action plan is a good place to start. Developing an action plan involves a close analysis of prior student assessment participation, examination of state and local contextual factors that influence participation, and identification of strategies and activities that might be most effective at the district and school levels for encouraging student participation in assessments.
This tool focuses on the federally-required statewide general assessments and statewide alternate assessments in reading/language arts, mathematics, and science administered in grades 3-8 and once in high school. However, the tool can easily be adapted to develop a student assessment participation action plan for district-specific assessments (e.g., state-mandated interim assessments). It is designed to guide districts through seven steps and considerations for the development and implementation of an assessment participation action plan:
After completing this guide’s steps and suggestions, users will be equipped to implement an action plan that addresses state assessment participation with consideration of district and school contexts and needs.
Developing a comprehensive action plan necessitates identifying the education community members and partners who will be part of each stage of the work (design, implementation, monitoring, and evaluation). Members of the teams might include:
When identifying education community members and partners to be involved in action plan design and implementation, it is helpful to think about the stages that will be part of your plan and who will be tasked with implementing steps during each stage (design, implementation, monitoring, and evaluation). For example, when designing your plan, who is best positioned to analyze prior participation data and provide insights? In delineating action plan tasks and responsibilities, your plan should leverage existing experts or teams. If not, you will need to identify those who have the capacity to learn the necessary skills to implement specific tasks. Use Table 1 to identify the people who will be included in each stage of the action plan (design, implementation, monitoring, and evaluation) and the responsibilities each person will take on.
Table 1. Action Plan Participants and their Responsibilities
Participant name |
Participant role |
Which action plan stage(s) will this |
List all participant responsibilities |
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To better understand the assessment system context in your district, first specify all the general and alternate assessments that are required under your state’s assessment system. For each assessment, identify the students, content areas, and grade levels at which each assessment is administered. This step should be conducted by stakeholders who will participate in the design stage of plan development.
What was the overall participation rate for each assessment in your district? What was the participation rate for subgroups of students, including students with disabilities? Look for patterns over time and across content areas.
Use Tables 2a, 2b, 3a, 3b, and 3c to analyze participation rates from the previous school years; add additional rows as needed. For analysis, include data from the most recent three school years.
Table 2a. District Participation Rates in State General Assessment by Content Area and Grades Administered
Assessment Content Area |
Grade(s) Administered |
All Students Participation Rate |
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(insert |
(insert |
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Reading/Language Arts |
Grade 3 |
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Grade 4 |
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Grade 5 |
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Grade 6 |
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Grade 7 |
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Grade 8 |
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High School |
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Mathematics |
Grade 3 |
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Grade 4 |
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Grade 5 |
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Grade 6 |
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Grade 7 |
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Grade 8 |
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High School |
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Science |
Elementary |
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Middle |
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High School |
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Table 2b. District Participation Rates in State Alternate Assessment by Content Area and Grades Administered
Assessment Content Area |
Grade(s) Administered |
All Students Participation Rate |
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(insert |
(insert |
(insert |
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Reading/Language Arts |
Grade 3 |
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Grade 4 |
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Grade 5 |
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Grade 6 |
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Grade 7 |
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Grade 8 |
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High School |
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Mathematics |
Grade 3 |
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Grade 4 |
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Grade 5 |
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Grade 6 |
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Grade 7 |
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Grade 8 |
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High School |
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Science |
Elementary |
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Middle |
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High School |
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In Tables 3a, 3b, and 3c, identify the overall participation rates for student subgroups for each content area in the three previous school years. Subgroups may be added, removed, or renamed to meet your state’s reporting categories. If desired, copy the tables for other content areas in your state assessment system.
Table 3a. Overall District Student Subgroup Participation Rates on State Reading/Language Arts Assessments
Subgroup |
(insert school year) |
(insert school year) |
(insert school year) |
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American Indian or Alaska Native |
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Asian |
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Black or African American |
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Hispanic or Latino |
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Native Hawaiian or Pacific |
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White |
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Multiracial |
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English Learners |
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Students with Disabilities |
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Economically |
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Migrant Students |
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Homeless Students |
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Students from Military |
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Table 3b. Overall District Student Subgroup Participation Rates on State Mathematics Assessments
Subgroup |
(insert school year) |
(insert school year) |
(insert school year) |
American Indian or Alaska |
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Asian |
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Black or African American |
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Hispanic or Latino |
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Native Hawaiian or Pacific |
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White |
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Multiracial |
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English Learners |
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Students with Disabilities |
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Economically |
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Migrant Students |
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Homeless Students |
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Students from Military Families |
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Table 3c. Overall District Student Subgroup Participation Rates on State Science Assessments
Subgroup |
(insert school year) |
(insert school year) |
(insert school year) |
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American Indian or Alaska |
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Asian |
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Black or African American |
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Hispanic or Latino |
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Native Hawaiian or Pacific |
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White |
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Multiracial |
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English Learners |
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Students with Disabilities |
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Economically |
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Migrant Students |
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Homeless Students |
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Students from Military |
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It may be illustrative to examine school-level data to highlight individual schools that may need targeted support for increasing participation on statewide assessments. Tables 4a and 4b can be used to organize school-level data for review when targeting supports for assessment participation.
Table 4a. School Participation on Statewide General Assessments
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Reading/Language Arts Participation |
Math Participation |
Science Participation |
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(insert |
(insert |
(insert |
(insert |
(insert |
(insert |
(insert |
(insert |
(insert |
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School name |
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School name |
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School name |
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Table 4b. School Participation on Statewide Alternate Assessments
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Reading/Language Arts Participation |
Math Participation |
Science Participation |
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(insert |
(insert |
(insert |
(insert |
(insert |
(insert |
(insert |
(insert |
(insert |
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School name |
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School name |
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Collecting contextual information will support developing an action plan that is responsive and appropriate for your district. This section guides the user to consider state and district policies that oversee decisions to opt students out of testing and other considerations that may impact student assessment participation.
Some states permit parents to opt students out of state assessments, students to opt out of state assessments, or districts to set their own policies allowing voluntary opt outs of assessment participation.
Use Table 5a to compile data on the percentage of students opted out by parents (i.e., parent refusal) in your district. This percentage is typically calculated as: [(number of students opted out by parents) ÷ (number of students enrolled during the testing window)] x 100. Are there any patterns in the opt-out data?
Table 5a. Percentage of Students Opted out by Parents (Parent Refusal), by Content Area and Grade, in Previous School Years
Grade |
Reading/Language Arts |
Mathematics |
Science |
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(insert |
(insert |
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(insert |
(insert |
(insert |
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Grade 3 |
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Grade 4 |
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Grade 5 |
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Grade 6 |
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Grade 7 |
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Grade 8 |
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High School |
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Use Table 5b to compile data on the percentage of students who opted out (i.e., student refusal) in your district. This percentage is typically calculated as: [(number of students who opted out) ÷ (number of students enrolled during the testing window)] x 100. Are there any patterns in the
Table 5b. Percentage of Students Who Opted Out (Student Refusal), by Content Area and Grade, in Previous School Years
Grade |
Reading/Language Arts |
Mathematics |
Science |
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(insert |
(insert |
(insert |
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(insert |
(insert |
(insert |
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Grade 3 |
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Grade 4 |
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Grade 5 |
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Grade 6 |
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Grade 7 |
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Grade 8 |
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High School |
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On March 29, 2004, the U.S. Department of Education announced a policy that students who were unable to participate in the state assessment during the testing and make-up windows because of a significant medical emergency would not count against the school’s participation rate. States decide whether or not to use this flexibility and what constituted a significant medical emergency (U.S. Department of Education, 2023).
Considering all the data you have looked at and considering the contexts you have identified, what do you identify as your main challenges in meeting the 95 percent assessment participation requirement? This will help in targeting the action plan toward your particular contexts. What does the data review highlight about different facets of statewide assessment participation in your district?
Team members identified to assist with designing the plan are education community members and partners who share insights, contexts, and strategies to increase student assessment participation. They should determine steps/strategies, a timeline, and milestones.
The design team should begin by reviewing participation data. Do the data point to potential causes of low participation? Is more data needed? What are the district’s data-based goals for improving participation?
Next, the design team can plan specific implementation and monitoring steps and strategies. They should consider which implementation and monitoring team members are best positioned to assist with each step and strategy, what resources are needed to complete those steps, and the expected timing for beginning and completing the work.
For each key step/strategy, consider the following (sample steps/strategies are included):
Step/Strategy |
Responsible Member(s) |
Resources Needed for Step/Strategy |
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1. District reviews schools’ participation data for statewide assessments |
Data analysis team |
Staff time |
2. District notifies schools if they are below the 95 percent participation rate either overall or for students with disabilities. Let them know they need to develop a plan to increase student assessment participation |
Communications team |
Email text: Dear Principal… |
3. District checks in with schools on whether they have formed a team and started the analysis process and offer supports |
Communications team |
Provide supports for data analysis |
4. District designates and communicates a deadline for action plans to be delivered to the district |
Implementation and communications teams |
Staff time |
5. School action plans are delivered to the district |
Implementation Team |
Staff time |
6. District reviews school action plans to confirm they address the areas that are problematic and offer feedback |
Action plan review team |
Staff time |
7. District and schools monitor implementation of action plans |
Monitoring team |
Staff time |
8. District reviews state assessment participation data |
Data analysis team |
Staff time |
9. District evaluates effectiveness of action plans and takes steps to improve the plans where needed |
Evaluation team |
Staff time |
For each task, consider the following (sample milestones and start/end dates are included):
Task |
Milestones |
Task Start |
Task Complete |
1. District reviews schools’ participation data for statewide assessments |
Disaggregate spring 2022 participation data by subgroup to establish baseline for students with disabilities |
One month after data are released |
August 31 |
2. District notifies schools if they are below the 95 percent participation rate either overall or for students with disabilities. Let them know they need to develop an action plan to increase student assessment participation |
All schools <95% overall and for students with disabilities notified to develop an action plan |
September 1 |
September 15 |
3. District checks in with schools on whether they have formed a team and started the analysis process and offer supports |
All schools <95% overall and for students with disabilities are contacted regarding their progress on their action plan and whether they need |
September 30 |
October 10 |
4. District designates and communicates a deadline for action plans to be delivered to the district |
Communications on action plan deadline go out to all schools <95% overall and for students with disabilities |
October 11 |
December 17 |
5. School action plans are delivered to the |
Schools upload action plans to district repository |
October 11 |
December 17 |
6. District reviews school action plans to confirm they address the areas that are problematic and offer feedback |
District signs off on all district action plans for <95% overall and for students with disabilities |
December 1 |
January 15 |
7. District and schools monitor implementation of action plans |
All schools <95% overall and for students with disabilities implementing action |
January 15 |
May 31 |
8. District reviews state assessment participation data |
State assessment scored and participation rates analyzed |
When data are final |
August 31 |
9. District evaluates effectiveness of action plans and takes steps to improve the plans if needed |
District evaluates plans and makes any needed improvements |
May 31 |
June 30 |
As a last step, the education community members and partners team should evaluate the effectiveness of the action plans and make adjustments in areas where improvement is needed. A team should develop some questions that will provide feedback needed to understand the plans’ effectiveness. Some simple examples of questions might include:
This resource is designed for district leaders and staff to use in reviewing assessment participation data, engaging in data analyses, and supporting the design of action plans that address students’ assessment participation. After reviewing data and engaging with different stakeholder groups, district leaders and staff will be equipped to support their schools in developing action plans that are reflective of their unique contexts.
Accrediting Commission for Schools. (n.d.). Chapter V: Sample excerpts from the schoolwide action plan. https://www.acswasc.org/wp-content/uploads/2015/05/5-ACS-WASC-Sample- action-plan.pdf
D’Agord, C., Ruggiero, T., Strunk, K., & Thurlow, M. L. (2019). Data analysis and use planning tool for examining AA-AAAS participation: Addressing the percentage of students participating in the alternate assessment (NCEO Tool #2). National Center on Educational Outcomes. https://nceo.umn.edu/docs/OnlinePubs/Tool2DataAnalysisAndUse.pdf
U.S. Department of Education. (2023). FS185 - Assessment participation in mathematics file specifications: SY 2022-23. https://www2.ed.gov/about/inits/ed/edfacts/eden/non-xml/fs185-19-1.docx
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