The Utah State Board of Education invites stakeholders to comment on
the enclosed draft waiver request from a provision in the U.S. Every
Student Succeeds Act (ESSA) that would otherwise require the state to
count students who opt-out of statewide testing as receiving a score of
zero for school accountability purposes.
Please email comments to essacomments@schools.utah.gov on or
before March 1, 2018.

 The Honorable Betsy DeVos
Secretary of Education
U.S. Department of Education
400 Maryland Avenue, SW
Washington D.C. 20202

Dear Secretary DeVos:
This letter is to request a waiver for Utah from specific statutory and regulatory requirements
established under the Elementary and Secondary Education Act (ESEA) as amended by the Every Student
Succeeds Act (ESSA).
The waiver request, if granted, would enable the state to maintain one coherent accountability system,
allow Utah to more accurately identify schools in need of improvement, and avoid undermining the
transparency of our accountability system, including the ability of policymakers, educators, parents, and
students to make informed decisions.
Utah policymakers strongly support parental rights in directing and overseeing a student’s education.
State law authorizes parents to excuse a student from taking a statewide assessment (U.C.A. § 53G-6803). State law also requires the Utah State Board of Education (Board) to prevent negative impact to a
local education agency’s (LEA) or an LEA’s employees through the school accountability system due to a
student not taking a test (U.C.A. § 53G-6-803). ESEA section 1111(c)(4)(B)(i) requires that, for the
purpose of measuring, calculating, and reporting on the achievement indicator in the school
accountability system, a state education agency must include in the denominator the greater of the
number of students participating in the assessments or the number equal to 95 percent of all students.
This methodology essentially requires states to include non-tested students as zeros in the calculation of
the achievement indicator for a school when the assessment participation rate of a school is below 95
percent. See Appendix, Figure 1 for an example depicting how including non-tested students as zeros in
the accountability calculations negatively impacts LEA’s accountability scores, in violation of state law.
In 2017, the opt-out rate for statewide assessments was approximately six percent. The Board has taken
steps to encourage ethical testing behaviors and address student motivation, while protecting parental
rights. Specifically, the Board’s testing ethics policy requires educators and LEAs to ensure all eligible
students are tested, and no student is discouraged from participating in a statewide assessment.
Additionally, the Board recently enacted a rule that allows a parent to request that an LEA allow a

 student’s demonstration of proficiency on a statewide assessment to fulfill a requirement in a course
(R277-404-6).
Authority
Section 8401(a)(3) of ESEA as amended by ESSA allows the Secretary of the U.S. Department of
Education to waive, with the exceptions outlined in section 8401(c), “any statutory or regulatory
requirement of this Act for which a waiver request is submitted.” Section 8401(a)(1) of ESEA as
amended by ESSA establishes that a state educational agency (SEA) may submit such a waiver request.
Waiver Request Components
I.

Identify the federal programs affected by this waiver request.
This waiver request will affect Title I, Part A of ESEA

II.

Describe which federal statutory or regulatory requirements are to be waived.
ESEA section 1111(c)(4)(B)(i) requires that, for the purpose of measuring, calculating, and
reporting on the achievement indicator, a state education agency must include in the
denominator the greater of:
 the number of students participating in the assessments, or 95 percent of all such
students in the student group, as the case may be; or
 the number equal to 95 percent of all students.

III.

Describe how the waiving of the requirements indicated above will advance student
academic achievement.
Counting non-tested students as zeros in school accountability calculations undermines the
validity of the accountability system by inferring that non-tested students are nonproficient. The reality is that the proficiency of the non-tested student is unknown. The
intent of the policy is presumably to eliminate perverse incentives to encourage low
performing students to opt out of taking statewide assessments. However, this policy does
not translate in a state with liberal parental opt-out laws, and Utah has other policies in
place to protect against this perverse incentive.1 This policy would further erode the
confidence of the education community and its stakeholders in the validity of the
accountability system. Accountability systems are intended to promote action at the school
level to improve student academic achievement. That response is less likely to occur when
the validity of the accountability system is questioned.
Further, the accountability system is used to identify low performing schools and direct
school improvement resources to the lowest performing schools in the state. Counting nontested students as zeros in school accountability calculations may send resources to schools
with high opt-out rates, and not necessarily to schools where students have the lowest
proficiency and highest academic needs. School opt-out rates may be more reflective of a

1

Utah State Board of Education Standard Test Administration and Testing Ethics Policy. Incorporated by reference
in rule R277-404.

 school’s culture and not the proficiency level of its students. For example, charter schools’
opt-out rates are three times higher than opt-out rates among school districts (see
Appendix, Figure 2). Also, online schools have among the highest opt-out rates in the state
(see Appendix, Figure 3). Applying the methodology required by ESSA may move several of
the online schools into the lowest performing five percent of schools and bump some
schools with low proficiency rates (and low opt-out rates) out of the lowest performing five
percent.
Also, different groups of students opt-out at disproportionate rates. For example, students
who are native English speakers, and those who are non-low-income students are choosing
to opt-out of statewide assessments at higher rates than other student groups (see
Appendix, Figure 4). These groups of students score proficient on statewide assessments at
higher rates than many of the other student groups, on average. Counting the scores of
students who are non-low-income and non-minority is likely to interfere with identifying the
lowest performing schools and student groups. Again, this is an example of where
assessment opt-out rates may be influenced by factors other than the expected proficiency.
The unintended consequence of the requirement to count non-tested students as zeros
could become a civil rights issue for the students who are otherwise eligible for the
additional educational resources and programs. Denying schools and student groups that
are in the greatest academic need for improvement and assistance in Utah is in direct
opposition of the intent and several provisions of ESSA. The waiver would allow the Board to
more accurately identify schools and students in need of improvement and additional
resources.
IV.

Describe the methods that will be used to monitor and regularly evaluate the
effectiveness of the implementation of this waiver request.
The effectiveness of the implementation of this waiver request depends on the extent to
which the state is able to avoid compromising the reliability of the accountability system in
evaluating school performance by counting non-tested students as zeros in school
accountability calculations. Utah will monitor and evaluate the effectiveness and continuing
necessity for this waiver by annually monitoring assessment opt-out rates at the school level
and student group level. If opt-out rates decline significantly enough to nullify the necessity
for this waiver, Utah will reevaluate and consider rescinding this waiver request.

V.

Describe how schools will continue to provide assistance to the same populations served
by programs for which waivers are requested.
Schools will continue to provide assistance to eligible students under ESSA Title I, Part A.
The waiver further supports Utah’s efforts to correctly identify the schools that are the
lowest performing five percent and most in need of support.

VI.

If the waiver related to provisions of subsections (b) or (h) of Section 1111 of ESEA-ESSA,
describe how the SEA requesting the waiver will maintain or improve transparency in
reporting to parents and the public on student achievement and school performance,
including the achievement of the subgroups of students identified in section
111(b)(2)(B)(xi) of ESEA-ESSA.

 Requesting this waiver will improve transparency in reporting to parents and the public on
student achievement and school performance. Counting non-tested students as zeros in
school accountability calculations undermines transparency by inferring that non-tested
students are non-proficient. The reality is that the proficiency of the non-tested student is
unknown. Applying this methodology would cause stakeholders to draw inappropriate
conclusions when interpreting a school’s or student group’s proficiency rate. For a school
with less than 95 percent participation at the school level or student group level, counting
non-participating students as zeros distorts the accountability data in ways that mask the
true performance of students, and therefore the true achievement gaps that may exist.
Utah will also maintain its current transparency reporting tools. The Board maintains a
robust Data Gateway that is designed to provide the public, especially parents, with the
tools they need to understand how Utah public schools are performing on key academic
indicators. These online tools allow for examination of performance on key academic
indicators by student group, by comparison to state and district averages, by comparison to
“like schools,” and comparison over time. Parents and other stakeholders can also access
school report cards that display a letter grade and detail related to the key academic
indicators, school self-reported indicators, and school quality indicators.
Additionally, students and parents are provided individual score reports after each
assessment that display student proficiency, growth, and trend score for math and language
arts. These transparency tools are dependent on quality assessments and reliable
accountability measures. Utah’s statewide assessment system was recently identified as
among the most "honest" states by The Honesty Gap, meaning the statewide assessment
system results are consistent with the NAEP assessment results. Utah has comprehensive
assessment items aligned to Utah’s core standards. Counting non-tested students as zeros in
school accountability calculations may foster loss of confidence in the system's results.

 Appendix
Figure 1: Impact of Applying ESSA Methodology to Calculate Proficiency Rates

Figure 2: State Opt-Out Rates (2016-17).

State Opt-Out Rates
14.0%
12.0%
10.0%
8.0%
6.0%
4.0%
2.0%
0.0%
2015

2016
State

District

2017
Charter

 Figure 3: Opt-Out Rates by Traditional School and Online School (2016-17).

Opt-Out by School Type
80%
67%

70%
60%
50%
40%
30%
20%
10%

5%

0%
Traditional School

Figure 4: Opt Out Rates by Student Group (2016-17).

Online School