New York State Education Law 3012-d Evaluation of Teachers and Principals – APPR

Use sections of this law to respond to observation and evaluation issues.

ยง  3012-d.  Annual  teacher  and  principal  evaluations.  1.  General
  provisions.  Notwithstanding  any  other  provision  of  law,  rule   or
  regulation to the contrary, the annual teacher and principal evaluations
  (hereinafter,  evaluations)  implemented by districts shall be conducted
  in  accordance  with  the  provisions  of  this  section.  Such   annual
  evaluations  shall  be  a  significant  factor  for employment decisions
  including   but   not   limited   to,   promotion,   retention,   tenure
  determination,   termination,   and   supplemental   compensation.  Such
  evaluations shall also be a significant factor in teacher and  principal
  development  including  but  not limited to coaching, induction support,
  and differentiated professional development.
    2. Definitions.
    a. "District" shall mean school district and/or board  of  cooperative
  educational  services, except that for purposes of subdivision eleven of
  this section it shall only mean a school district;
    b. "Principal" shall mean a building principal or an administrator  in
  charge of an instructional program of a board of cooperative educational
  services;
    c.  "Student  growth" shall mean the change in student achievement for
  an individual student between two or more points in time.
    d. "State-designed supplemental assessment" shall mean a selection  of
  state  tests or assessments developed or designed by the state education
  department, or that the state education department purchased or acquired
  from (i) another state; (ii) an  institution  of  higher  education;  or
  (iii)  a  commercial or not-for-profit entity, provided that such entity
  must be objective and may not have a conflict of interest or  appearance
  of  a  conflict  of  interest;  such  definition  may  include  tests or
  assessments that have been previously  designed  or  acquired  by  local
  districts,  but  only  if  the  state education department significantly
  modifies growth targets or scoring bands for such tests  or  assessments
  or  otherwise  adapts  the  test  or  assessment  to the state education
  department's requirements.
    3. Ratings. The annual evaluations conducted pursuant to this  section
  shall  rate  teacher  and  principal  effectiveness  using the following
  categories: highly effective or "H", effective or "E", developing or "D"
  and ineffective or "I".
    4. Categories. The annual evaluation system shall consist of  multiple
  measures   in   two   categories:   student   performance   and  teacher
  observations.
    a. Student performance category. Such category shall have at least one
  subcomponent and an optional second subcomponent as follows:
    (1) For the first subcomponent, (A) for a teacher whose course ends in
  a state-created or administered test for which there is a state-provided
  growth model, such teacher shall  have  a  state-provided  growth  score
  based on such model, which shall take into consideration certain student
  characteristics,  as  determined  by the commissioner, including but not
  limited to students with disabilities, poverty, English language learner
  status and prior academic history and  which  shall  identify  educators
  whose  students'  growth is well above or well below average compared to
  similar students for a  teacher's  or  principal's  students  after  the
  certain  student  characteristics  above are taken into account; and (B)
  for  a  teacher  whose  course  does  not  end  in  a  state-created  or
  administered  test  such teacher shall have a student learning objective
  (SLO) consistent with a goal-setting process determined or developed  by
  the commissioner, that results in a student growth score; provided that,
  for  any  teacher  whose  course ends in a state-created or administered
  assessment for which there  is  no  state-provided  growth  model,  such
  assessment must be used as the underlying assessment for such SLO;
    (2)  For  the  optional  second  subcomponent,  a district may locally
  select a second measure  in  accordance  with  this  subparagraph.  Such
  second  measure  shall  apply  in  a  consistent  manner,  to the extent
  practicable,  across  the  district  and  be  either:   (A)   a   second
  state-provided  growth  score  on  a  state-created or administered test
  under clause (A) of subparagraph one of this paragraph, or (B) a  growth
  score  based  on  a  state-designed  supplemental assessment, calculated
  using a state-provided or approved growth  model.  The  optional  second
  subcomponent shall provide options for multiple assessment measures that
  are  aligned  to  existing  classroom and school best practices and take
  into consideration the recommendations in the testing  reduction  report
  as  required  by  section one of subpart F of the chapter of the laws of
  two thousand fifteen which added this section regarding the reduction of
  unnecessary additional testing.
    The commissioner shall determine the weights and  scoring  ranges  for
  the  subcomponent  or  subcomponents of the student performance category
  that shall result in a combined category rating. The commissioner  shall
  also  set parameters for appropriate targets for student growth for both
  subcomponents, and the department must affirmatively approve  and  shall
  have  the  authority  to disapprove or require modifications of district
  plans that do  not  set  appropriate  growth  targets,  including  after
  initial approval. The commissioner shall set such weights and parameters
  consistent with the terms contained herein.
    b.  Teacher  observations  category.  The  observations  category  for
  teachers shall be based on a state-approved rubric and shall include  up
  to  three  subcomponents. Such category must include: (1) a subcomponent
  based on classroom  observations  conducted  by  a  principal  or  other
  trained  administrator and must also include (2) a subcomponent based on
  classroom observations by an impartial independent trained evaluator  or
  evaluators  selected  by  the district. An independent trained evaluator
  may be employed within the school district,  but  not  the  same  school
  building, as the teacher being evaluated. Such category may also include
  a  subcomponent  based  on classroom observations conducted by a trained
  peer teacher rated effective or highly effective from the same school or
  from another school in the district.
    The commissioner shall determine the weights, and/or weighting options
  and scoring ranges for the subcomponents of  the  observations  category
  that  result  in a combined category rating. The commissioner shall also
  determine the minimum number of observations to be  conducted  annually,
  including  frequency  and  duration,  and  any  parameters therefor. The
  commissioner shall set such weights and scores consistent with the terms
  contained herein.
    5. Rating determination. The overall  rating  determination  shall  be
  determined according to a methodology as follows:
    a.  The following rules shall apply: a teacher or principal who is (1)
  rated using two subcomponents in the student  performance  category  and
  receives  a  rating  of  ineffective  in  such  category  shall be rated
  ineffective overall; provided, however, that if the measure used in  the
  second  subcomponent is a state-provided growth score on a state-created
  or administered test pursuant to  clause  (A)  of  subparagraph  one  of
  paragraph  a of subdivision four of this section, a teacher or principal
  who receives a rating of ineffective  in  such  category  shall  not  be
  eligible  to  receive a rating of effective or highly effective overall;
  (2) rated using only the  state  measure  subcomponent  in  the  student
  performance  category  and  receives  a  rating  of  ineffective in such
  category shall not be eligible to  receive  a  rating  of  effective  or
  highly  effective  overall;  and  (3)  rated  ineffective in the teacher
  observations category shall not be  eligible  to  receive  a  rating  of
  effective or highly effective overall.
    b.  Except as otherwise provided in paragraph a of this subdivision, a
  teacher's composite score shall be determined as follows:
    (1) If a teacher receives an H in the  teacher  observation  category,
  and  an  H  in the student performance category, the teacher's composite
  score shall be H;
    (2) If a teacher receives an H in the  teacher  observation  category,
  and  an  E  in the student performance category, the teacher's composite
  score shall be H;
    (3) If a teacher receives an H in the  teacher  observation  category,
  and  a  D  in  the student performance category, the teacher's composite
  score shall be E;
    (4) If a teacher receives an H in the  teacher  observation  category,
  and  an  I  in the student performance category, the teacher's composite
  score shall be D;
    (5) If a teacher receives an E in the  teacher  observation  category,
  and  an  H  in the student performance category, the teacher's composite
  score shall be H;
    (6) If a teacher receives an E in the  teacher  observation  category,
  and  an  E  in the student performance category, the teacher's composite
  score shall be E;
    (7) If a teacher receives an E in the  teacher  observation  category,
  and  a  D  in  the student performance category, the teacher's composite
  score shall be E;
    (8) If a teacher receives an E in the  teacher  observation  category,
  and  an  I  in the student performance category, the teacher's composite
  score shall be D;
    (9) If a teacher receives a D in the teacher observation category, and
  an H in the student performance category, the teacher's composite  score
  shall be E;
    (10)  If  a  teacher receives a D in the teacher observation category,
  and an E in the student performance category,  the  teacher's  composite
  score shall be E;
    (11)  If  a  teacher receives a D in the teacher observation category,
  and a D in the student performance  category,  the  teacher's  composite
  score shall be D;
    (12)  If  a  teacher receives a D in the teacher observation category,
  and an I in the student performance category,  the  teacher's  composite
  score shall be I;
    (13)  If  a teacher receives an I in the teacher observation category,
  and an H in the student performance category,  the  teacher's  composite
  score shall be D;
    (14)  If  a teacher receives an I in the teacher observation category,
  and an E in the student performance category,  the  teacher's  composite
  score shall be D;
    (15)  If  a teacher receives an I in the teacher observation category,
  and a D in the student performance  category,  the  teacher's  composite
  score shall be I;
    (16)  If  a teacher receives an I in the teacher observation category,
  and an I in the student performance category,  the  teacher's  composite
  score shall be I.
    6.  Prohibited  elements.  The  following  elements shall no longer be
  eligible to be used in any  evaluation  subcomponent  pursuant  to  this
  section:
    a. evidence of student development and performance derived from lesson
  plans,  other  artifacts  of  teacher  practice, and student portfolios,
  except for student portfolios measured by a state-approved rubric  where
  permitted by the department;
    b. use of an instrument for parent or student feedback;
    c.  use  of  professional  goal-setting  as  evidence  of  teacher  or
  principal effectiveness;
    d. any district or regionally-developed assessment that has  not  been
  approved by the department; and
    e.  any  growth  or  achievement target that does not meet the minimum
  standards as set  forth  in  regulations  of  the  commissioner  adopted
  hereunder.
    7. The commissioner shall ensure that the process by which weights and
  scoring   ranges   are  assigned  to  subcomponents  and  categories  is
  transparent and available to those being rated before the  beginning  of
  each  school  year.  Such  process must ensure that it is possible for a
  teacher or principal to obtain any number of points  in  the  applicable
  scoring    ranges,   including   zero,   in   each   subcomponent.   The
  superintendent,  district   superintendent   or   chancellor   and   the
  representative  of  the  collective  bargaining  unit (where one exists)
  shall certify in the district's plan that the evaluation  process  shall
  use  the  standards for the scoring ranges provided by the commissioner.
  Provided, however, that in any event, the following rules shall apply: a
  teacher or principal who is:
    a. rated using two subcomponents in the student  performance  category
  and  receives  a  rating  of ineffective in such category shall be rated
  ineffective overall, except that if  the  measure  used  in  the  second
  subcomponent   is   a   second   state-provided   growth   score   on  a
  state-administered  or  sponsored  test  pursuant  to  clause   (A)   of
  subparagraph  one  of paragraph a of subdivision four of this section, a
  teacher or principal that receives  a  rating  of  ineffective  in  such
  category  shall  not  be  eligible  to  receive a rating of effective or
  highly effective overall;
    b. rated using only the state  measure  subcomponent  in  the  student
  performance  category  and  receives  a  rating  of  ineffective in such
  category shall not be eligible to  receive  a  rating  of  effective  or
  highly effective overall; and
    c.  rated  ineffective  in  the  observations  category  shall  not be
  eligible to receive a rating of effective or highly effective overall.
    8. A student may not be instructed, for two consecutive school  years,
  by any two teachers in the same district, each of whom received a rating
  of ineffective under an evaluation conducted pursuant to this section in
  the  school  year  immediately  prior  to  the  school year in which the
  student is placed in  the  teacher's  classroom;  provided,  that  if  a
  district  deems  it  impracticable  to comply with this subdivision, the
  district shall seek a waiver from the department from such requirement.
    9. Nothing in this section shall be construed to affect the unfettered
  statutory right of a district to terminate a probationary  (non-tenured)
  teacher   or   principal   for   any  statutorily  and  constitutionally
  permissible reasons.
    10. The local collective  bargaining  representative  shall  negotiate
  with the district:
    a.  whether  to  use a second measure, and, in the event that a second
  measure is used, which measure to use, pursuant to subparagraph  two  of
  paragraph a of subdivision four of this section and
    b.  how to implement the provisions of paragraph b of subdivision four
  of this section,  and  associated  regulations  as  established  by  the
  commissioner,  in  accordance with article fourteen of the civil service
  law.
    11. Notwithstanding any  inconsistent  provision  of  law,  no  school
  district  shall  be eligible for an apportionment of general support for
  public schools from the funds appropriated  for  the  2015--2016  school
  year and any year thereafter in excess of the amount apportioned to such
  school  district in the respective base year unless such school district
  has submitted documentation that has been approved by  the  commissioner
  by  November  fifteenth,  two thousand fifteen, or by September first of
  each subsequent year, demonstrating that it has  fully  implemented  the
  standards  and  procedures  for  conducting annual teacher and principal
  evaluations  of  teachers  and  principals  in   accordance   with   the
  requirements   of  this  section  and  the  regulations  issued  by  the
  commissioner. Provided further that any apportionment withheld  pursuant
  to this section shall not occur prior to April first of the current year
  and  shall  not  have any effect on the base year calculation for use in
  the subsequent school year. For purposes of this  section,  "base  year"
  shall mean the base year as defined in paragraph b of subdivision one of
  section thirty-six hundred two of this chapter, and "current year" shall
  mean  the  current  year as defined in paragraph a of subdivision one of
  section thirty-six hundred two of this chapter.
    12. Notwithstanding any other provision of law, rule or regulation  to
  the  contrary,  all  collective bargaining agreements entered into after
  April  first,  two  thousand  fifteen  shall  be  consistent  with   the
  requirements  of  this  section, unless the agreement relates to the two
  thousand fourteen--two thousand fifteen school  year  only.  Nothing  in
  this  section  shall be construed to abrogate any conflicting provisions
  of any collective bargaining agreement in effect  on  April  first,  two
  thousand  fifteen  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.
    13.  Any  reference in law to "annual professional performance review"
  shall be deemed to refer to an annual  professional  performance  review
  pursuant  to  section  three thousand twelve-c of this article or annual
  teacher and principal evaluations  pursuant  to  this  section  and  any
  references  to  section three thousand twelve-c of this article shall be
  deemed to refer to section  three  thousand  twelve-c  of  this  article
  and/or this section, as applicable.
    14.  The  commissioner  shall adopt regulations to align the principal
  evaluation system as set forth in section  three  thousand  twelve-c  of
  this article with the new teacher evaluation system set forth herein.
    15.  The  provisions of paragraphs d, k, k-1, k-2 and l of subdivision
  two and subdivisions four, five, five-a, nine, and ten of section  three
  thousand  twelve-c  of  this  article,  as  amended, shall apply to this
  section to the extent determined by the commissioner.

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