N.Y. Education Law § 3012-c: Annual professional performance review of classroom teachers and building principals

§ 3012-c. Annual professional performance review of classroom teachers

and building principals. 1. Notwithstanding any other provision of law,

rule or regulation to the contrary, the annual professional performance

reviews of all classroom teachers and building principals employed by

school districts or boards of cooperative educational services shall be

conducted in accordance with the provisions of this section. Such

performance reviews which are conducted on or after July first, two

thousand eleven, or on or after the date specified in paragraph c of

subdivision two of this section where applicable, shall include measures

of student achievement and be conducted in accordance with this section.

Such annual professional performance reviews shall be a significant

factor for employment decisions including but not limited to, promotion,

retention, tenure determination, termination, and supplemental

compensation, which decisions are to be made in accordance with locally

developed procedures negotiated pursuant to the requirements of article

fourteen of the civil service law where applicable. Provided, however,

that nothing in this section shall be construed to affect the unfettered

statutory right of a school district or board of cooperative educational

services to terminate a probationary teacher or principal for any

statutorily and constitutionally permissible reasons, including but not

limited to misconduct and until a tenure decision is made, the

performance of the teacher or principal in the classroom. Such

performance reviews shall also be a significant factor in teacher and

principal development, including but not limited to, coaching, induction

support and differentiated professional development, which are to be

locally established in accordance with procedures negotiated pursuant to

the requirements of article fourteen of the civil service law.

2. a. (1) The annual professional performance reviews conducted

pursuant to this section for classroom teachers and building principals

shall differentiate teacher and principal effectiveness using the

following quality rating categories: highly effective, effective,

developing and ineffective, with explicit minimum and maximum scoring

ranges for each category, for the state assessments and other comparable

measures subcomponent of the evaluation and for the locally selected

measures of student achievement subcomponent of the evaluation, as

prescribed in the regulations of the commissioner. There shall be: (i) a

state assessments and other comparable measures subcomponent which shall

comprise twenty or twenty-five percent of the evaluation; (ii) a locally

selected measures of student achievement subcomponent which shall

comprise twenty or fifteen percent of the evaluation; and (iii) an other

measures of teacher or principal effectiveness subcomponent which shall

comprise the remaining sixty percent of the evaluation, which in sum

shall constitute the composite teacher or principal effectiveness score.

Such annual professional performance reviews shall result in a single

composite teacher or principal effectiveness score, which incorporates

multiple measures of effectiveness related to the criteria included in

the regulations of the commissioner.

(2) For annual professional performance reviews conducted in

accordance with paragraph b of this subdivision for the two thousand

eleven--two thousand twelve school year and for annual professional

performance reviews conducted in accordance with paragraphs f and g of

this subdivision for the two thousand twelve--two thousand thirteen

school year, the overall composite scoring ranges shall be in accordance

with this subparagraph. A classroom teacher and building principal shall

be deemed to be:

(A) Highly Effective if they achieve a composite effectiveness score

of 91-100.

(B) Effective if they achieve a composite effectiveness score of

75-90.

(C) Developing if they achieve a composite effectiveness score of

65-74.

(D) Ineffective if they achieve a composite effectiveness score of

0-64.

(3) For annual professional performance reviews conducted in

accordance with paragraph b of this subdivision for the two thousand

eleven--two thousand twelve school year and for annual professional

performance reviews conducted in accordance with paragraph f of this

subdivision for the two thousand twelve--two thousand thirteen school

year for classroom teachers in subjects and grades for which the board

of regents has not approved a value-added model and for building

principals employed in schools or programs for which there is no

approved principal value-added model, the scoring ranges for the student

growth on state assessments or other comparable measures subcomponent

shall be in accordance with this subparagraph. A classroom teacher and

building principal shall receive:

(A) a highly effective rating in this subcomponent if the teacher's or

principal's results are well-above the state average for similar

students and they achieve a subcomponent score of 18-20;

(B) an effective rating in this subcomponent if the teacher's or

principal's results meet the state average for similar students and they

achieve a subcomponent score of 9-17; or

(C) a developing rating in this subcomponent if the teacher's or

principal's results are below the state average for similar students and

they achieve a subcomponent score of 3-8; or

(D) an ineffective rating in this subcomponent, if the teacher's or

principal's results are well-below the state average for similar

students and they achieve a subcomponent score of 0-2.

(4) For annual professional performance reviews conducted in

accordance with paragraph g of this subdivision for the two thousand

twelve--two thousand thirteen school year for classroom teachers in

subjects and grades for which the board of regents has approved a

value-added model and for building principals employed in schools or

programs for which there is an approved principal value-added model, the

scoring ranges for the student growth on state assessments or other

comparable measures subcomponent shall be in accordance with this

subparagraph. A classroom teacher and building principal shall receive:

(A) a highly effective rating in this subcomponent if the teacher's or

principal's results are well-above the state average for similar

students and they achieve a subcomponent score of 22-25;

(B) an effective rating in this subcomponent if the teacher's or

principal's results meet the state average for similar students and they

achieve a subcomponent score of 10-21; or

(C) a developing rating in this subcomponent if the teacher's or

principal's results are below the state average for similar students and

they achieve a subcomponent score of 3-9; or

(D) an ineffective rating in this subcomponent, if the teacher's or

principal's results are well-below the state average for similar

students and they achieve a subcomponent score of 0-2.

(5) For annual professional performance reviews conducted in

accordance with paragraph b of this subdivision for the two thousand

eleven--two thousand twelve school year and for annual professional

performance reviews conducted in accordance with paragraph f of this

subdivision for the two thousand twelve--two thousand thirteen school

year for classroom teachers in subjects and grades for which the board

of regents has not approved a value-added model and for building

principals employed in schools or programs for which there is no

approved principal value-added model, the scoring ranges for the locally

selected measures of student achievement subcomponent shall be in

accordance with this subparagraph. A classroom teacher and building

principal shall receive:

(A) a highly effective rating in this subcomponent if the results are

well-above district-adopted expectations for student growth or

achievement and they achieve a subcomponent score of 18-20; or

(B) an effective rating in this subcomponent if the results meet

district-adopted expectations for growth or achievement and they achieve

a subcomponent score of 9-17; or

(C) a developing rating in this subcomponent if the results are below

district-adopted expectations for growth or achievement and they achieve

a subcomponent score of 3-8; or

(D) an ineffective rating in this subcomponent if the results are

well-below district-adopted expectations for growth or achievement and

they achieve a subcomponent score of 0-2.

(6) For annual professional performance reviews conducted in

accordance with paragraph b of this subdivision for the two thousand

eleven--two thousand twelve school year and for annual professional

performance reviews conducted in accordance with paragraph g of this

subdivision for the two thousand twelve--two thousand thirteen school

year for classroom teachers in subjects and grades for which the board

of regents has approved a value-added model and for building principals

employed in schools or programs for which there is an approved principal

value-added model, the scoring ranges for the locally selected measures

of student achievement subcomponent shall be in accordance with this

subparagraph. A classroom teacher and building principal shall receive:

(A) a highly effective rating in this subcomponent if the results are

well-above district-adopted expectations for student growth or

achievement and they achieve a subcomponent score of 14-15; or

(B) an effective rating in this subcomponent if the results meet

district-adopted expectations for growth or achievement and they achieve

a subcomponent score of 8-13; or

(C) a developing rating in this subcomponent if the results are below

district-adopted expectations for growth or achievement and they achieve

a subcomponent score of 3-7; or

(D) an ineffective rating in this subcomponent if the results are

well-below district-adopted expectations for growth or achievement and

they achieve a subcomponent score of 0-2.

(7) For the two thousand thirteen--two thousand fourteen school year

and thereafter, the commissioner shall review the specific scoring

ranges for each of the rating categories annually before the start of

each school year and shall recommend any changes to the board of regents

for consideration.

(8) Except for the student growth measures on the state assessments or

other comparable measures of student growth prescribed in paragraphs e,

f and g of this subdivision, the elements comprising the composite

effectiveness score and the process by which points are assigned to

subcomponents shall be locally developed, consistent with the standards

prescribed in the regulations of the commissioner and the requirements

of this section, through negotiations conducted, pursuant to the

requirements of article fourteen of the civil service law.

b. (1) Annual professional performance reviews conducted by school

districts or boards of cooperative educational services for the two

thousand eleven--two thousand twelve school year of classroom teachers

of common branch subjects or English language arts or mathematics in

grades four to eight and all building principals of schools in which

such teachers are employed shall be conducted pursuant to this

subdivision and shall use two thousand ten--two thousand eleven school

year student data as the baseline for the initial computation of the

composite teacher or principal effectiveness score for such classroom

teachers and principals.

(2) Subject to paragraph k of this subdivision the entire annual

professional performance review shall be completed and provided to the

teacher or principal as soon as practicable but in no case later than

September first, two thousand twelve. The provisions of subparagraphs

two and three of paragraph c of this subdivision shall apply to such

reviews.

c. (1) Annual professional performance reviews conducted by school

districts or boards of cooperative educational services for the two

thousand twelve--two thousand thirteen school year and thereafter of all

classroom teachers and all building principals shall be conducted

pursuant to this subdivision and shall use two thousand eleven--two

thousand twelve school year student data as the baseline for the initial

computation of the composite teacher or principal effectiveness score

for such classroom teachers and principals. For purposes of this

section, an administrator in charge of an instructional program of a

board of cooperative educational services shall be deemed to be a

building principal.

(2) Subject to paragraph k of this subdivision the entire annual

professional performance review shall be completed and provided to the

teacher or principal as soon as practicable but in no case later than

September first of the school year next following the school year for

which the classroom teacher or building principal's performance is being

measured. The teacher's and principal's score and rating on the locally

selected measures subcomponent, if available, and on the other measures

of teacher and principal effectiveness subcomponent for a teacher's or

principal's annual professional performance review shall be computed and

provided to the teacher or principal, in writing, by no later than the

last day of the school year for which the teacher or principal is being

measured. Nothing in this subdivision shall be construed to authorize a

teacher or principal to trigger the appeal process prior to receipt of

his or her composite effectiveness score and rating.

(3) Each such annual professional performance review shall be based on

the state assessments or other comparable measures subcomponent, the

locally selected measures of student achievement subcomponent and the

other measures of teacher and principal effectiveness subcomponent,

determined in accordance with the applicable provisions of this section

and the regulations of the commissioner, for the school year for which

the teacher's or principal's performance is measured.

d. Prior to any evaluation being conducted in accordance with this

section, each individual who is responsible for conducting an evaluation

of a teacher or building principal shall receive appropriate training in

accordance with the regulations of the commissioner of education.

e. (1) For annual professional performance reviews conducted in

accordance with paragraph b of this subdivision for the two thousand

eleven--two thousand twelve school year, forty percent of the composite

score of effectiveness shall be based on student achievement measures as

follows: (i) twenty percent of the evaluation shall be based upon

student growth data on state assessments as prescribed by the

commissioner or a comparable measure of student growth if such growth

data is not available; and (ii) twenty percent shall be based on other

locally selected measures of student achievement that are determined to

be rigorous and comparable across classrooms in accordance with the

regulations of the commissioner and as are developed locally in a manner

consistent with procedures negotiated pursuant to the requirements of

article fourteen of the civil service law.

(2) Such locally selected measures may include measures of student

achievement or growth on state assessments, regents examinations and/or

department approved equivalent, provided that such measures are

different from those prescribed by the commissioner pursuant to clause

(i) of subparagraph one of this paragraph. The regulations of the

commissioner shall describe the types of measures of student growth or

achievement that may be locally selected. The selection of the local

measure(s) as described in this paragraph to be used by the school

district or board of cooperative educational services shall be

determined through collective bargaining.

f. (1) For annual professional performance reviews conducted in

accordance with paragraph c of this subdivision for the two thousand

twelve--two thousand thirteen school year and thereafter for classroom

teachers in subjects and grades for which the board of regents has not

approved a value-added model and for building principals employed in

schools or programs for which there is no approved principal value-added

model, forty percent of the composite score of effectiveness shall be

based on student achievement measures as follows: (i) twenty percent of

the evaluation shall be based upon student growth data on state

assessments as prescribed by the commissioner or a comparable measure of

student growth if such growth data is not available; and (ii) twenty

percent shall be based on other locally selected measures of student

achievement that are determined to be rigorous and comparable across

classrooms in accordance with the regulations of the commissioner and as

are developed locally in a manner consistent with procedures negotiated

pursuant to the requirements of article fourteen of the civil service

law.

(2) One or more of the following types of locally selected measures of

student achievement or growth may be used for the evaluation of

classroom teachers:

(i) student achievement or growth on state assessments, regents

examinations and/or department approved alternative examinations as

described in the regulations of the commissioner including, but not

limited to, advanced placement examinations, international baccalaureate

examinations, and SAT II, using a measure that is different from the

growth score prescribed by the department for student growth on such

assessments or examinations for purposes of the state assessment or

other comparable measures subcomponent that is either:

(A) the change in percentage of a teacher's students who achieve a

specific level of performance as determined locally, on such

assessments/examinations compared to those students' level of

performance on such assessments/examinations in the previous school year

such as a three percentage point increase in students earning the

proficient level (three) or better performance level on the seventh

grade math state assessment compared to those same students' performance

levels on the sixth grade math state assessment, or an increase in the

percentage of a teacher's students earning the advanced performance

level (four) on the fourth grade English language arts or math state

assessments compared to those students' performance levels on the third

grade English language arts or math state assessments; or

(B) a teacher specific growth score computed by the department based

on the percent of the teacher's students earning a department determined

level of growth. The methodology to translate such growth into the

state-established subcomponent scoring ranges shall be determined

locally; or

(C) a teacher-specific achievement or growth score computed in a

manner determined locally based on a measure of student performance on

the state assessments, regents examinations and/or department approved

alternative examinations other than the measure described in item (A) or

(B) of this subparagraph;

(ii) student growth or achievement computed in a manner determined

locally based on a student assessment approved by the department

pursuant to a request for qualification process established in the

regulations of the commissioner;

(iii) student growth or achievement computed in a manner determined

locally based on a district, regional or BOCES-developed assessment that

is rigorous and comparable across classrooms;

(iv) a school-wide measure of either student growth or achievement

based on either:

(A) a state-provided student growth score covering all students in the

school that took the state assessment in English language arts or

mathematics in grades four through eight;

(B) a school-wide measure of student growth or achievement computed in

a manner determined locally based on a district, regional or board of

cooperative educational services developed assessment that is rigorous

and comparable across classrooms or a department approved student

assessment or based on a state assessment; or

(v) where applicable, for teachers in any grade or subject where there

is no growth or value-added growth model approved by the board of

regents at that grade level or in that subject, a structured

district-wide student growth goal-setting process to be used with any

state assessment or an approved student assessment or a district,

regional or BOCES-developed assessment that is rigorous and comparable

across classrooms.

(3) One or more of the following types of locally selected measures of

student achievement or growth may be used for the evaluation of

principals, provided that each measure is rigorous and comparable across

classrooms and that any such measure shall be different from that used

for the state assessment or other comparable measures subcomponent:

(i) student achievement levels on state assessments in English

language arts and/or mathematics in grades four to eight such as

percentage of students in the school whose performance levels on state

assessments are proficient or advanced, as defined in the regulations of

the commissioner;

(ii) student growth or achievement on state or other assessments in

English language arts and/or mathematics in grades four to eight for

students in each of the performance levels described in the regulations

of the commissioner;

(iii) student growth or achievement on state assessments in English

language arts and/or mathematics in grades four to eight for students

with disabilities and English language learners in grades four to eight;

(iv) student performance on any or all of the district-wide locally

selected measures approved for use in teacher evaluations;

(v) for principals employed in a school with high school grades, four,

five and/or six-year high school graduation and/or dropout rates;

(vi) percentage of students who earn a regents diploma with advanced

designation and/or honors as defined in the regulations of the

commissioner, for principals employed in a school with high school

grades;

(vii) percentage of a cohort of students that achieve specified scores

on regents examinations and/or department approved alternative

examinations including, but not limited to, advanced placement

examinations, international baccalaureate examinations and SAT II, for

principals employed in a school with high school grades such as the

percentage of students in the two thousand nine cohort that scored at

least a three on an advanced placement examination since entry into the

ninth grade; and/or

(viii) students' progress toward graduation in the school using strong

predictive indicators, including but not limited to ninth and/or tenth

grade credit accumulation and/or the percentage of students that pass

ninth and/or tenth grade subjects most commonly associated with

graduation and/or students' progress in passing the number of required

regents examinations for graduation, for principals employed in a school

with high school grades.

(ix) For school districts or boards of cooperative educational

services that choose to use more than one set of locally selected

measures described in this paragraph for principals in the same or

similar grade configuration or program such as one set of locally

selected measures is used to evaluate principals in some K-5 schools and

another set of locally selected measures is used to evaluate principals

in the other K-5 schools in the district, the superintendent or district

superintendent shall, in their professional performance review plan,

certify that the sets of measures are comparable, in accordance with the

testing standards as defined in regulations of the commissioner.

(x) For building principals employed in schools or programs for which

there is no approved principal value-added model, the types of locally

selected measures of student achievement or growth specified in

subparagraph three of paragraph g of this subdivision may be used. In

addition, a structured district-wide student growth goal-setting process

to be used with any state assessment or an approved student assessment

or a district, regional of BOCES-developed assessment that is rigorous

and comparable across classrooms may be a locally selected measure.

(4) The selection of the local measure or measures as described in

subparagraphs two and three of this paragraph to be used by the school

district or board of cooperative educational services shall be

determined through collective bargaining.

g. (1) For annual professional performance reviews conducted in

accordance with paragraph c of this subdivision for the two thousand

twelve--two thousand thirteen school year and thereafter for classroom

teachers in subjects and grades in which there is a value-added growth

model approved by the board of regents and for building principals

employed in schools or programs for which there is an approved principal

value-added model, forty percent of the composite score of effectiveness

shall be based on student achievement measures as follows: (i)

twenty-five percent of the evaluation shall be based upon student growth

data on state assessments as prescribed by the commissioner or a

comparable measure of student growth if such growth data is not

available; and (ii) fifteen percent shall be based on other locally

selected measures of student achievement that are determined to be

rigorous and comparable across classrooms in accordance with the

regulations of the commissioner and as are locally developed in a manner

consistent with procedures negotiated pursuant to the requirements of

article fourteen of the civil service law. The department shall develop

the value-added growth model and shall consult with the advisory

committee established pursuant to subdivision seven of this section

prior to recommending that the board of regents approve its use in

evaluations.

(2) One or more of the following types of locally selected measures of

student achievement or growth may be used for the evaluation of

classroom teachers:

(i) student achievement or growth on state assessments, regents

examinations and/or department approved alternative examinations as

described in the regulations of the commissioner including, but not

limited to, advanced placement examinations, international baccalaureate

examinations and SAT II, using a measure that is different from the

growth score prescribed by the department for student growth on such

assessments or examinations for purposes of the state assessment or

other comparable measures subcomponent that is either:

(A) the change in percentage of a teacher's students who achieve a

specific level of performance as determined locally, on such

assessments/examinations compared to those students' level of

performance on such assessments/examinations in the previous school year

such as a three percentage point increase in students earning the

proficient level (three) or better performance level on the seventh

grade math state assessment compared to those same students' performance

levels on the sixth grade math state assessment, or an increase in the

percentage of a teacher's students earning the advanced performance

level (four) on the fourth grade English language arts or math state

assessments compared to those students' performance levels on the third

grade English language arts or math state assessments; or

(B) a teacher specific growth score computed by the state based on the

percent of the teacher's students earning a state determined level of

growth. The methodology to translate such growth into the

state-established subcomponent scoring ranges shall be determined

locally; or

(C) a teacher-specific achievement or growth score computed in a

manner determined locally based on a measure of student performance on

the state assessments, regents examinations and/or department approved

alternative examinations other than the measure described in item (A) or

(B) of this subparagraph;

(ii) student growth or achievement computed in a manner determined

locally based on a student assessment approved by the department

pursuant to a request for qualification process established in the

regulations of the commissioner;

(iii) student growth or achievement computed in a manner determined

locally based on a district, regional or BOCES-developed assessment that

is rigorous and comparable across classrooms;

(iv) a school-wide measure of either student growth or achievement

based on either:

(A) a state-provided student growth score covering all students in the

school that took the state assessment in English language arts or

mathematics in grades four through eight; or

(B) a school-wide measure of student growth or achievement computed in

a manner determined locally based on a district, regional or board of

cooperative educational services developed assessment that is rigorous

and comparable across classrooms or a department approved student

assessment or based on a state assessment.

(3) One or more of the following types of locally selected measures of

student achievement or growth may be used for the evaluation of

principals, provided that each measure is rigorous and comparable across

classrooms and that any such measure shall be different from that used

for the state assessment or other comparable measures subcomponent:

(i) student achievement levels on state assessments in English

language arts and/or mathematics in grades four to eight such as

percentage of students in the school whose performance levels on state

assessments are proficient or advanced, as defined in the regulations of

the commissioner;

(ii) student growth or achievement on state or other assessments in

English language arts and/or mathematics in grades four to eight for

students in each of the performance levels described in the regulations

of the commissioner;

(iii) student growth or achievement on state assessments in English

language arts and/or mathematics in grades four to eight for students

with disabilities and English language learners in grades four to eight;

(iv) student performance on any or all of the district-wide locally

selected measures approved for use in teacher evaluations;

(v) for principals employed in a school with high school grades, four,

five and/or six-year high school graduation and/or dropout rates;

(vi) percentage of students who earn a regents diploma with advanced

designation and/or honors as defined in the regulations of the

commissioner, for principals employed in a school with high school

grades;

(vii) percentage of a cohort of students that achieve specified scores

on regents examinations and/or department approved alternative

examinations including, but not limited to, advanced placement

examinations, international baccalaureate examinations and SAT II, for

principals employed in a school with high school grades such as the

percentage of students in the two thousand nine cohort that scored at

least a three on an advanced placement examination since entry into the

ninth grade; and/or

(viii) students' progress toward graduation in the school using strong

predictive indicators, including but not limited to ninth and/or tenth

grade credit accumulation and/or the percentage of students that pass

ninth and/or tenth grade subjects most commonly associated with

graduation and/or students' progress in passing the number of required

regents examinations for graduation, for principals employed in a school

with high school grades.

(ix) For school districts or boards of cooperative educational

services that choose to use more than one set of locally selected

measures described in this paragraph for principals in the same or

similar grade configuration or program, the superintendent or district

superintendent shall, in their professional performance review plan,

certify that the sets of measures are comparable, in accordance with the

testing standards as defined in regulations of the commissioner.

(4) The selection of the local measure or measures as described in

subparagraphs two and three of this paragraph to be used by the school

district or board of cooperative educational services shall be

determined through collective bargaining.

h. The remaining sixty percent of the evaluations, ratings and

effectiveness scores shall be locally developed, consistent with the

standards prescribed in the regulations of the commissioner, through

negotiations conducted pursuant to article fourteen of the civil service

law.

(1) A majority of the sixty points for classroom teachers shall be

based on multiple classroom observations conducted by a principal or

other trained administrator, which may be performed in-person or by

video. For evaluations for the two thousand twelve--two thousand

thirteen school year and thereafter, at least one such observation shall

be an unannounced visit.

(2) For the remaining portion of these sixty points for evaluations

for the two thousand eleven--two thousand twelve school year, the

commissioner's regulation shall prescribe the other forms of evidence of

teacher and principal effectiveness that may be used.

(3) For evaluations of classroom teachers for the two thousand

twelve--two thousand thirteen school year and thereafter, the remaining

portion of these sixty points shall be based on one or more of the

following:

(i) one or more classroom observations by independent trained

evaluators selected by the school district or board of cooperative

educational services who are teachers or former teachers with a

demonstrated record of effectiveness and have no prior affiliation with

the school in which they are conducting the evaluation and no other

relationship with the teachers being evaluated that would affect their

impartiality;

(ii) classroom observations by trained in-school peer teachers; and/or

(iii) use of a state-approved instrument for parent or student

feedback; and/or

(iv) evidence of student development and performance through lesson

plans, student portfolios and other artifacts of teacher practices

through a structured review process.

(4) A majority of these sixty points for building principals shall be

based on a broad assessment of the principal's leadership and management

actions based on the principal practice rubric by the building

principal's supervisor, a trained administrator or a trained independent

evaluator, with one or more visits conducted by the supervisor, and, for

evaluations for the two thousand twelve--two thousand thirteen school

year and thereafter, that such assessment must incorporate multiple

school visits by a supervisor, a trained administrator or other trained

evaluator, with at least one visit conducted by the supervisor and at

least one unannounced visit. For the remaining portion of these sixty

points for evaluations for the two thousand eleven--two thousand twelve

school year, such regulations shall also prescribe the other forms of

evidence of principal effectiveness that may be used consistent with the

standards prescribed by the commissioner.

(5) For evaluations of building principals for the two thousand

twelve--two thousand thirteen school year and thereafter, the remaining

portion of these sixty points shall include, in addition to the

requirements of subparagraph three of this paragraph, at least two other

sources of evidence from the following options: feedback from teachers,

students, and/or families using state-approved instruments; school

visits by other trained evaluators; and/or review of school documents,

records, and/or state accountability processes. Any such remaining

points shall be assigned based on the results of one or more ambitious

and measurable goals set collaboratively with principals and their

superintendents or district superintendents as follows:

(i) at least one goal must address the principal's contribution to

improving teacher effectiveness, which shall include one or more of the

following: improved retention of high performing teachers, the

correlation between student growth scores of teachers granted tenure as

opposed to those denied tenure; or improvements in the proficiency

rating of the principal on specific teacher effectiveness standards in

the principal practice rubric.

(ii) any other goals shall address quantifiable and verifiable

improvements in academic results or the school's learning environmental

such as student or teacher attendance.

(6) The district or board of cooperative educational services shall

establish specific minimum and maximum scoring ranges for each

performance level within this subcomponent before the start of each

school year and shall assign points to a teacher or principal for this

subcomponent based on the standards prescribed in the regulations of the

commissioner, all in accordance with, and subject to, the requirements

of paragraph j of this subdivision.

i. For purposes of this section, student growth means the change in

student achievement for an individual student between two or more points

in time.

j. (1) The process by which points are assigned in subcomponents and

the scoring ranges for the subcomponents must be transparent and

available to those being rated before the beginning of each school year.

The process by which points are assigned in the respective subcomponents

are to be determined as follows:

(i) For the state assessment or other comparable measures

subcomponent, that process shall be formulated by the commissioner with

the approval of the board of regents.

(ii) For the locally selected measures of the student achievement

subcomponent, that process shall be established locally through

negotiations conducted under article fourteen of the civil service law.

(iii) For the other measures of teacher and principal effectiveness

subcomponent, that process shall be established locally through

negotiations conducted under article fourteen of the civil services law.

(2) Such process must ensure that it is possible for a teacher or

principal to obtain each point in the applicable scoring ranges,

including zero, for the state assessment or other comparable measures

subcomponent, the locally selected measures of student achievement

subcomponent and the overall rating categories. The process must also

ensure that it is possible for a teacher or principal to obtain each

point in the scoring ranges prescribed by the district or board of

cooperative educational services for the other measures of teacher and

principal effectiveness subcomponent.

(3) The superintendent, district superintendent or chancellor and the

president of the collective bargaining representative (where one exists)

shall certify in its plan that the process will use the narrative

descriptions of the standards for the scoring ranges provided in the

regulations of the commissioner to effectively differentiate a teacher

or principal's performance in each of the subcomponents and in their

overall ratings to improve student learning and instruction.

(4) The scoring ranges for the other measures of teacher and principal

effectiveness subcomponent shall be established locally through

negotiations conducted under article fourteen of the civil service law.

k. Notwithstanding any other provision of law, rule or regulation to

the contrary, by July first, two thousand twelve, the governing body of

each school district and board of cooperative educational services shall

adopt a plan, on a form prescribed by the commissioner, for the annual

professional performance review of all of its classroom teachers and

building principals in accordance with the requirements of this section

and the regulations of the commissioner, and shall submit such plan to

the commissioner for approval. The plan may be an annual or multi-year

plan, for the annual professional performance review of all of its

classroom teachers and building principals. The commissioner shall

approve or reject the plan by September first, two thousand twelve, or

as soon as practicable thereafter. The commissioner may reject a plan

that does not rigorously adhere to the provisions of this section and

the regulations of the commissioner. Should any plan be rejected, the

commissioner shall describe each deficiency in the submitted plan and

direct that each such deficiency be resolved through collective

bargaining to the extent required under article fourteen of the civil

service law. If any material changes are made to the plan, the school

district or board of cooperative educational services must submit the

material changes, on a form prescribed by the commissioner, to the

commissioner for approval. To the extent that by July first, two

thousand twelve, or by July first of any subsequent year, if all the

terms of the plan have not been finalized as a result of unresolved

collective bargaining negotiations, the entire plan shall be submitted

to the commissioner upon resolution of all of its terms, consistent with

article fourteen of the civil service law.

k-1. If material changes are submitted pursuant to paragraph k of this

subdivision for an approved plan that solely relates to the elimination

of student assessments that are not required by state or federal law,

the commissioner shall expedite his or her review of such material

changes and solely review those sections of the plan that relate to the

eliminated student assessments to ensure compliance with this section

and the regulations of the commissioner, provided that the governing

body of such school district or board of cooperative educational

services provide a written explanation of the material changes submitted

for approval, on a form prescribed by the commissioner, and certify that

no other material changes have been made to any other sections of the

currently approved plan, and provided further that the commissioner

shall complete such review of material changes properly and completely

submitted under this paragraph within ten business days of submission.

k-2. The commissioner shall take actions to reduce time spent on field

tests for students taking the state administered standardized English

language arts and mathematics assessments for grades three through eight

to the extent federal funds are allowable for such purpose under the

state stabilization fund of the American Recovery and Reinvestment Act

of 2009 or are otherwise available.

l. In the event a school district does not have an annual professional

performance review plan approved by the commissioner for the applicable

school year as of September first of that year, the collectively

bargained plan most recently approved or the plan determined by the

commissioner shall remain in effect until a subsequent plan is agreed to

by the parties in accordance with this section and is approved by the

commissioner.

3. Nothing in this section shall be construed to excuse school

districts or boards of cooperative educational services from complying

with the standards set forth in the regulations of the commissioner for

conducting annual professional performance reviews of classroom teachers

or principals, including but not limited to required quality rating

categories, in conducting evaluations prior to July first, two thousand

eleven, or, for classroom teachers or principals subject to paragraph c

of subdivision two of this section, prior to July first, two thousand

twelve.

4. Notwithstanding any other law, rule or regulation to the contrary,

upon rating a teacher or a principal as developing or ineffective

through an annual professional performance review conducted pursuant to

subdivision two of this section, the school district or board of

cooperative educational services shall formulate and commence

implementation of a teacher or principal improvement plan for such

teacher or principal as soon as practicable but in no case later than

ten school days after the opening of classes for the school year. Such

improvement plan shall be consistent with the regulations of the

commissioner and developed locally through negotiations conducted

pursuant to article fourteen of the civil service law. Such improvement

plan shall include, but need not be limited to, identification of needed

areas of improvement, a timeline for achieving improvement, the manner

in which improvement will be assessed, and, where appropriate,

differentiated activities to support a teacher's or principal's

improvement in those areas.

5. a. An appeals procedure shall be locally established in each school

district and in each board of cooperative educational services by which

the evaluated teacher or principal may only challenge the substance of

the annual professional performance review, the school district's or

board of cooperative educational services' adherence to the standards

and methodologies required for such reviews, pursuant to this section,

the adherence to the regulations of the commissioner and compliance with

any applicable locally negotiated procedures, as well as the school

district's or board of cooperative educational services' issuance and/or

implementation of the terms of the teacher or principal improvement

plan, as required under this section. Appeal procedures shall provide

for the timely and expeditious resolution of any appeal under this

subdivision. The specifics of the appeal procedure shall be locally

established through negotiations conducted pursuant to article fourteen

of the civil service law. An evaluation which is the subject of an

appeal shall not be sought to be offered in evidence or placed in

evidence in any proceeding conducted pursuant to either section three

thousand twenty-a of this article or any locally negotiated alternate

disciplinary procedure, until the appeal process is concluded.

b. Nothing in this section shall be construed to alter or diminish the

authority of the governing body of a school district or board of

cooperative educational services to grant or deny tenure to or terminate

probationary teachers or probationary building principals during the

pendency of an appeal pursuant to this section for statutorily and

constitutionally permissible reasons including the teacher's or

principal's performance that is the subject of the appeal.

c. Nothing in this section shall be construed to authorize a teacher

or principal to trigger the appeal process prior to receipt of their

composite effectiveness score and rating from the district or board of

cooperative educational services.

5-a. In the city school district of the city of New York,

notwithstanding any provision of law to the contrary, the following

shall apply to classroom teachers:

a. A teacher who did not receive an ineffective rating in the annual

professional performance review for the prior school year is in "year

one status".

b. A teacher who received an ineffective rating in the previous school

year is in "year two status", until and unless that rating is either

changed by the principal or reversed on appeal in accordance with the

provisions of this subdivision, or until and unless the teacher reverts

to year one status in accordance with the provisions of this

subdivision.

c. A teacher who is rated ineffective for a school year in which the

teacher has year one status shall have a right to appeal that rating to

the chancellor of the city school district, who shall make a final

determination, unless an appeal is initiated to a three-member panel

subject to the following requirements. The united federation of teachers

(UFT) may appeal to a three-member panel the ineffective ratings of up

to thirteen percent of teachers who received such ineffective ratings

for a school year. Any such appeal may only be made on the ground that

the ineffective rating was given due to harassment or reasons not

related to job performance. These appeals shall be known as a "panel

appeals". The three-member panel shall consist of a person selected by

the UFT, a person selected by the chancellor of the city school district

and an independent person, not affiliated with the UFT or the district

and selected by the state education department, who shall be the chair

of the panel and conduct the appeal hearing. If the panel sustains the

appeal, the principal must submit to the panel a different rating, which

must be approved by the panel. Any ineffective rating that is appealed

to the panel may not be appealed to the chancellor of the city school

district.

d. The chancellor of the city school district shall notify the UFT of

all ineffective ratings. Each school year, if the UFT is notified of an

ineffective rating prior to October first, a panel appeal of that rating

must be initiated by the UFT by November first, provided that more than

thirteen percent of these ratings may be appealed to the panel. The UFT

and the board of education shall negotiate, pursuant to article fourteen

of the civil service law, a procedure for ensuring that each school

year, not more than thirteen percent of the ratings received by the UFT

after October first are appealed to the panel. The board of education

shall make all reasonable efforts to issue ratings and notify the UFT of

ineffective ratings by October first. Any rating not appealed to the

panel may be appealed by the individual teacher to the chancellor of the

city school district. Appeals made to the chancellor of the city school

district must be filed within ten school days after the UFT would

otherwise be required to notify the board of education of a panel

appeal.

e. For all teachers in year two status, unless and until the

ineffective rating they received in the prior year is changed by a

principal or otherwise changed in accordance with the provisions of this

subdivision, an independent validator shall be appointed to evaluate the

teacher on each component of the annual professional performance review

in which the scoring of the component is at the discretion of the

principal. These components shall not necessarily be limited to teacher

performance, but shall not include any components in which the scoring

of the component is outside the discretion of the principal, even if the

principal has discretion in a related goal-setting process prior to

scoring. The independent validator shall perform three observations

during the course of the school year. The terms and conditions of the

observations shall be negotiated pursuant to the requirements of article

fourteen of the civil service law.

f. The UFT and the board of education shall jointly select an

organization or organizations that employ certified educators, including

teachers, to perform the work as independent validators. Independent

validators shall not be employed simultaneously by the board of

education or simultaneously have an individual contract with the board

of education. Should either the board of education or the UFT notify the

department that after a good faith effort the board of education and the

UFT are unable to jointly select organizations, the commissioner shall

name organizations subject to the following requirements. The board of

education shall set forth a required number of validators, and the

commissioner shall name organizations that can provide at least this

number of validators whom the commissioner deems qualified. The

commissioner shall name organizations based on the criteria set forth in

this subdivision that apply to the mutual selection process for the

board of education and the UFT and shall also consider potential

conflicts of interest.

g. In an instance in which the independent validator does not complete

the review process due to circumstances beyond the control of the board

of education, the teacher shall remain in year two status the following

school year. Should the independent validator not complete the review

process for a second consecutive school year and for any reason in the

second year for other than a leave of absence or chronic absence on the

part of the teacher, the teacher shall return to year one status the

following school year.

h. An independent validator shall be deemed to have agreed with the

principal when an independent validator's scoring, in conjunction with

the scoring of components not reviewed by the independent validator in

accordance with this subdivision, would result in a rating in the same

category on the annual professional performance review than would result

from the principal's rating.

i. For purposes of this subdivision, an independent validator shall be

deemed to have disagreed with the principal when an independent

validator's scoring, in conjunction with the scoring of components not

reviewed by the independent validator in accordance with this

subdivision, would result in a rating in a different category on the

annual professional performance review than would result from the

principal's rating.

j. If a teacher receives an ineffective rating for a school year in

which the teacher is in year two status and the independent validator

agrees, the district may bring a proceeding pursuant to sections three

thousand twenty and three thousand twenty-a of this article based on a

pattern of ineffective teaching or performance. In such proceeding, the

charges shall allege that the employing board has developed and

substantially implemented a teacher improvement plan in accordance with

subdivision four of this section for the employee following the

evaluation made for the year in which the employee was in year one

status and was rated ineffective. The pattern of ineffective teaching or

performance shall give rise to a rebuttable presumption of incompetence

and if the presumption is not successfully rebutted, the finding, absent

extraordinary circumstances, shall be just cause for removal. In these

hearings, the teacher shall have up to three days to present his or her

case for every one day used by the district to present its case. The

hearing officer shall render a written decision within ten days of the

last day of the hearing.

k. If the teacher receives an ineffective rating by the principal in a

school year in which they are in year two status and the independent

validator disagrees, the ineffective rating remains but the district may

not bring proceeding based on a pattern of ineffective teaching or

performance, as defined in this section, provided however that nothing

in this section shall prevent the board of education from charging a

teacher based on incompetence and entering the principal's evaluations

into evidence.

l. If upon the completion of a hearing pursuant to sections three

thousand twenty and three thousand twenty-a of this article, based

either on a pattern of ineffective teaching or performance or charges of

incompetence in which year one or year two evaluations were entered into

evidence, and a hearing officer finds the teacher incompetent, but

decides not to terminate, the teacher remains in year two status for the

school year in progress or the following school year if the finding is

made in between school years. If upon the completion of the hearing, the

hearing officer exonerates the teacher of charges of incompetence the

teacher shall revert to year one status if in the middle of the school

year or at the beginning of the following school year if the finding is

made in between school years.

m. If the teacher receives an ineffective rating in year two by the

principal and the validator agrees, and the district does not bring an

expedited proceeding pursuant to sections three thousand twenty and

three thousand twenty-a of this article, the teacher may appeal the year

two ineffective rating to the chancellor of the city school district,

who shall make a final determination. If the rating is upheld, the

teacher shall remain in year two status for the subsequent school year,

but if following that year the teacher is not charged, the teacher

reverts to year one status for the next school year.

n. A process shall be established to evaluate the effectiveness of the

specific procedures established in this subdivision after two years from

the effective date of this subdivision, provided however that a failure

or delay in establishing that process shall not invalidate any

provisions of this subdivision.

o. Notwithstanding any other provision of law to the contrary, the

board of education and the UFT may alter any provisions of this

subdivision through collective bargaining.

6. For purposes of disciplinary proceedings pursuant to sections three

thousand twenty and three thousand twenty-a of this article, a pattern

of ineffective teaching or performance shall be defined to mean two

consecutive annual ineffective ratings received by a classroom teacher

or building principal pursuant to annual professional performance

reviews conducted in accordance with the provisions of this section.

7. The regulations adopted pursuant to this section shall be developed

in consultation with an advisory committee consisting of representatives

of teachers, principals, superintendents of schools, school boards,

school district and board of cooperative educational services officials

and other interested parties. The regulations shall also take into

account any (i) professional teaching standards; (ii) standards for

professional contexts; and (iii) standards for a continuum of system

support for teachers and principals developed in consultation with the

advisory committee. Regulations promulgated pursuant to this section

shall be effective no later than July first, two thousand eleven, for

implementation in the two thousand eleven--two thousand twelve school

year.

8. Notwithstanding any other provision of law, rule or regulation to

the contrary, all collective bargaining agreements applicable to

classroom teachers or building principals entered into after July first,

two thousand ten shall be consistent with requirements of this section.

Nothing in this section shall be construed to abrogate any conflicting

provisions of any collective bargaining agreement in effect on July

first, two thousand ten during the term of such agreement and until the

entry into a successor collective bargaining agreement, provided that

notwithstanding any other provision of law to the contrary, upon

expiration of such term and the entry into a successor collective

bargaining agreement the provisions of this section shall apply.

Furthermore, nothing in this section or in any rule or regulation

promulgated hereunder shall in any way, alter, impair or diminish the

rights of a local collective bargaining representative to negotiate

evaluation procedures in accordance with article fourteen of the civil

service law with the school district or board of cooperative educational

services.

9. a. The department shall annually monitor and analyze trends and

patterns in teacher and principal evaluation results and data to

identify school districts, boards of cooperative educational services

and/or schools where evidence suggests that a more rigorous evaluation

system is needed to improve educator effectiveness and student learning

outcomes. The criteria for identifying school districts, boards of

cooperative educational services and/or schools shall be prescribed in

the regulations of the commissioner.

b. A school, school district or board of cooperative educational

services identified by the department in one of the categories

enumerated in paragraph a of this subdivision may be highlighted in

public reports and/or the commissioner may order a corrective action

plan, which may include, but not be limited to, requirements that the

district or board of cooperative educational services arrange for

additional professional development, provide additional in-service

training and/or utilize independent trained evaluators to review the

efficacy of the evaluation system, provided that the plan shall be

consistent with law and not in conflict with any applicable collective

bargaining agreement.

10. Each school district and board of cooperative educational services

shall fully disclose and release to the public and the department the

final quality ratings and composite effectiveness scores from the annual

professional performance reviews of its teachers and principals as

provided in this subdivision.

a. The commissioner shall fully disclose professional performance

review data for teachers and principals in each school district and

board of cooperative educational services on the department website and

in any other manner to make such data widely available to the public.

Such data shall be suitable for research, analysis and comparison of

professional performance review data for teachers and principals. Such

public disclosure shall include but not be limited to the final quality

ratings and composite effectiveness scores by school district for

principal evaluation data, by school building for teacher evaluation

data and, within each district and school building, by class, subject

and grade; final quality ratings and composite effectiveness scores by

region, district wealth, district need category, student enrollment,

type of school (i.e. elementary, middle and high school), student need

(e.g., poverty level), and district spending; final quality ratings and

composite effectiveness scores by the percentage or number of teachers

and principals in each final quality rating category, moving to a higher

rating category than the previous year, moving to a lower rating

category than the previous year, and retained in each rating category;

and data on tenure granting and denial based on the final quality rating

categories.

b. Each school district and board of cooperative educational services

shall fully disclose and release to the parents and legal guardians of a

student the final quality rating and composite effectiveness score for

each of the teachers and for the principal of the school building to

which the student is assigned for the current school year upon the

request of such parents and legal guardians. The governing body of each

school district and board of cooperative educational services shall

provide conspicuous notice to parents and legal guardians of the right

to obtain such information. Parents and legal guardians may review and

receive such data in any manner, including by phone or in person; shall

receive an oral or written explanation of the composite effectiveness

scoring ranges for final quality ratings; and be offered opportunities

to understand such scores in the context of teacher evaluation and

student performance. Reasonable efforts shall be made to verify that any

such request is a bona fide request by a parent or guardian entitled to

review and receive such data pursuant to this paragraph.

c. The department and each school district and board of cooperative

educational services shall ensure that any release to the public of

annual professional performance review data, or any other data that is

used as a component of annual professional performance reviews, does not

include personally identifying information for any teacher or principal,

provided, however, that nothing shall impair the right of parents and

legal guardians to review and receive the final quality rating and

composite effectiveness score of individual teachers and principals as

provided in paragraph b of this subdivision. Annual professional

performance reviews of individual teachers and principals shall not be

subject to disclosure pursuant to article six of the public officers

law.

d. Nothing in this subdivision shall prohibit the department from

collecting such data and materials from school districts and boards of

cooperative educational services as is necessary to carry out its

functions and duties, including its responsibilities related to the

federal Race to the Top program.