National Assessment of Educational Progress (NAEP) 2018 and 2019

NATIONAL CENTER FOR EDUCATION STATISTICS
NATIONAL ASSESSMENT OF EDUCATIONAL PROGRESS

National Assessment of Educational Progress
(NAEP) 2018 and 2019
Appendix H
Instructions for Entering Student Information
OMB# 1850-0928 v.5

May 2017

Information on Log-in Screen:
Paperwork Burden Statement, OMB Information
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of
information unless it displays a valid OMB control number. The valid OMB control number for this voluntary
information collection is 1850-0928. The time required to complete this information collection is estimated to be
average [xx] minutes, including the time to review instructions, search existing data resources, gather the data
needed, and complete and review the information collection. If you have any comments concerning the accuracy of
the time estimate, suggestions for improving this collection, or any comments or concerns regarding the status of
your individual submission of form, please write to: National Assessment of Educational Progress (NAEP), National
Center for Education Statistics (NCES), Potomac Center Plaza, 550 12th St., SW, 4th floor, Washington, DC 20202.
Authorization and Confidentiality Assurance
National Center for Education Statistics (NCES) is authorized to conduct NAEP by the National Assessment of
Educational Progress Authorization Act (20 U.S.C. §9622) and to collect students’ education records from education
agencies or institutions for the purposes of evaluating federally supported education programs under the Family 9
Educational Rights and Privacy Act (FERPA, 34 CFR §§ 99.31(a)(3)(iii) and 99.35). The information provided will be
used for statistical purposes only. In accordance with the Confidential Information Protection provisions of Title V,
Subtitle A, Public Law 107-347 and other applicable Federal laws, responses will be kept confidential and will not be
disclosed in identifiable form to anyone other than employees or agents. By law, every NCES employee as well as
every NCES agent, such as contractors and NAEP coordinators, has taken an oath and is subject to a jail term of up
to 5 years, a fine of $250,000, or both if he or she willfully discloses ANY identifiable information about students.
Electronic submission of student information will be monitored for viruses, malware, and other threats by Federal
employees and contractors in accordance with the Cybersecurity Enhancement Act of 2015. The collected
information will be combined across respondents to produce statistical reports.

NAEP 2017
INSTRUCTIONS FOR PREPARING
AN ELECTRONIC FILE OF STUDENTS
(Six Columns Race/Ethnicity)

NAEP needs a complete list of students in the selected grade(s) at your school in order to draw a
random sample of students to participate in the assessment. Your student data electronic file (E-File)
must be submitted as a Microsoft Excel file.
We recommend that you create your student file using the NAEP E-File Excel Template, which is
available on the MyNAEP website’s “Submit Student List” page. If necessary, you may alternatively
provide an Excel file with the same column headers and data in a different order. If you cannot submit
your student data in an Excel file, call the NAEP Help Desk at 1-800-283-6237.

Step 1 — The E-Filing Template
Download and review the E-Filing Template. Note the column headers (fields) that must be
included in your student list. If you do not have data for a particular field, you may leave the
column blank.

Step 2 — Compile Data for the Template
For each grade in your school selected to participate in the NAEP assessment prepare and
submit a separate Excel file of all students enrolled in the sampled grade during the 20162017 school year using the most current enrollment data available.


Include in the file data for all students in the grade, even those students who typically may be
excluded from other testing programs, such as students with IEPs (SD) and English language
learners (ELL). Make sure there are no duplicate students in your file.



Also include students in the sampled grade who were displaced from other locations due to
hurricanes and other disasters.



If this is a year-round school,1 include students who will be on break/on vacation on the
scheduled assessment day along with all of the other students enrolled in the sampled
grade. The NAEP E-File Excel Template contains an “On Break” column you will use to
identify those students who will be on break/on vacation by filling in “Yes.” (If you are not
using the template, be sure to create and provide data for an “On Break” column in your
file.)

Your Excel file must contain the following data:

Excel Header/Field
Name

NAEP Values

Comments

State unique Student
ID

N/A

If available; do not use the
student’s Social Security
number

Student First Name

N/A

Text, must be in its own
column
Text--Middle Name is
optional, but the column
must be included in the
Excel file

Student Middle Name

1

Student Last Name

N/A

Text, must be in its own
column

Grade in School

4, 8

Use current year data; don’t
use previous year’s grade 3
enrollment for grade 4

Homeroom or other
Locator

N/A

If available, locator
information is helpful in
finding students and
notifying them of the
assessment

Month of Birth

M or MM (numeric format)

Numeric format; must be in
its own column

In year-round schools, students attend classes throughout the 12 calendar months unlike traditional schools that
follow the 9-month calendar. However, at any one time during the year a percentage (e.g., 25 percent) of the students
will be on break or on vacation.

Year of Birth

YYYY (numeric format)

Numeric format; must be in
its own column

The expected ranges for Year of Birth are listed below:

Grade 4 – 2004-2008
Grade 8 – 2000 -2004

Sex

School-defined codes

Codes (numeric or text) for
Male/Female

Ethnicity (Hispanic or
not)

School-defined codes for:
 Yes, Hispanic: A person of Mexican, Puerto Rican,
Cuban, Central or South American, or other
Spanish (but not Portuguese) culture of origin,
regardless of race

Indicate all Race/Ethnicity
categories that apply for
each student, text or
numeric.

Race: White

Race: Black or
African American



No, Not Hispanic



Information unavailable at this time: If you
currently do not have this information for one or
more students, blank cells or an indicator such as
“N/A” (Not Available) in the cell(s) can be mapped
to this code to notify your NAEP representative of
the need to collect the data at a later date.

 Yes, White: A person having origins in any of the
original peoples of Europe, North Africa, or the
Middle East
 No, not White
 Information unavailable at this time: If you
currently do not have this information for one or
more students, blank cells or an indicator such as
“N/A” (Not Available) in the cell(s) can be mapped
to this code to notify your NAEP representative of
the need to collect the data at a later date.

Indicate all Race/Ethnicity
categories that apply for
each student, text or
numeric.



Yes, Black: A person having origins in any of the
Black peoples of Africa



No, not Black



Information unavailable at this time: If you
currently do not have this information for one or
more students, blank cells or an indicator such as

Indicate all Race/Ethnicity
categories that apply for
each student, text or
numeric.

“N/A” (Not Available) in the cell(s) can be mapped
to this code to notify your NAEP representative of
the need to collect the data at a later date.

Race: Asian

Race: American
Indian or Alaska
Native



Yes, Asian: A person having origins in any of the
original peoples of the Far East, Southeast Asia,
the Indian Subcontinent, including, for example,
Cambodia, China, Japan, India, Korea, Malaysia,
Pakistan, the Philippine Islands, Thailand, and
Vietnam



No, not Asian



Information unavailable at this time: If you
currently do not have this information for one or
more students, blank cells or an indicator such as
“N/A” (Not Available) in the cell(s) can be mapped
to this code to notify your NAEP representative of
the need to collect the data at a later date.



Yes, American Indian or Alaska Native: A person
having origins in any of the original peoples of North
and South America (including Central America), and
who maintains tribal affiliation or community
attachment
No, not American Indian or Alaska Native



Race: Native
Hawaiian or Pacific
Islander

National School
Lunch Program
(NSLP)



Information unavailable at this time: If you
currently do not have this information for one or
more students, blank cells or an indicator such as
“N/A” (Not Available) in the cell(s) can be mapped
to this code to notify your NAEP representative of
the need to collect the data at a later date.



Yes, Native Hawaiian or Pacific Islander : A
person having origins in any of the original people
of Hawaii, Guam, Samoa or other Pacific Islands



No, not American Indian or Alaska Native



Information unavailable at this time: If you
currently do not have this information for one or
more students, blank cells or an indicator such as
“N/A” (Not Available) in the cell(s) can be mapped
to this code to notify your NAEP representative of
the need to collect the data at a later date.

School defined codes for:

Indicate all Race/Ethnicity
categories that apply for
each student, text or
numeric.

Indicate all Race/Ethnicity
categories that apply for
each student, text or
numeric.

Indicate all Race/Ethnicity
categories that apply for
each student, text or
numeric.

Use ONE code per student,
text or numeric



Student not eligible to participate: Student is not
eligible for free or reduced-price lunch.



Free lunch: Student is eligible for free lunch.
Schools participating in Provisions 2 or 3 of the
NSLP should code all students as “free lunch.” 2



Reduced price lunch: Student is eligible for
reduced-price lunch.



School not participating: School does not
participate in the NSLP. When used, this code
must be applied to all students.



Information unavailable at this time: If you
currently do not have this information for one or
more students, blank cells or an indicator such as
“N/A” (Not Available) in the cell(s) can be mapped
to this code to notify your NAEP representative of
the need to collect the data at a later date.

SPECIAL INSTRUCTIONS FOR CEP SCHOOLS:
If your school participates in the Community
Eligibility Provision (CEP), note that for NAEP,
only students who are economically
disadvantaged students can be classified as
eligible for free or reduced-price lunch.
--------------------------------------------------------------------------CEP Direct Only
In CEP schools in our state economically disadvantaged
students are those who are directly certified through
participation in assistance programs such as the
Supplemental Nutrition Assistance Program (SNAP) and
the Temporary Assistance for Needy Families (TANF).
Please code your students as follows
Is the student
How should student be
economically
coded on NAEP?
disadvantaged?
1. Yes
1. Eligible for free or
reduced prince lunch
2. No
2. Student not eligible
3. Information missing 3. Information
unavailable
--------------------------------------------------------------------------CEP Direct Certification Plus

If it is not possible to distinguish between “free” and “reduced-price” for some students, code these students as eligible for free
lunch
2

In CEP schools in our state/district economically
disadvantaged students are identified in two ways: a)
directly certified through participation in assistance
programs such as the Supplemental Nutrition
Assistance Program (SNAP) and the Temporary
Assistance for Needy Families (TANF); b) through a
household income survey.
Please code your students as follows:
Is the student
How should student be
economically
coded on NAEP?
disadvantaged?
1. Yes
1. Eligible for free lunch
4. No
2. Student not eligible
5. Information missing 3. Information
unavailable
----------------------------------------------------------------------CEP All
In our state all students in CEP schools are considered
economically disadvantaged.
Please code your students as follows:
Is the student
How should student be
economically
coded on NAEP?
disadvantaged?
1. Yes
1. Eligible for free lunch
Students with
Disabilities (SD)

School-defined codes for:


Yes, IEP: Student has a formal Individualized
Education Plan (IEP), the student’s IEP is in
progress, or the student has an equivalent
classification for private schools. If some students
have both an IEP and a 504 Plan, code these
students as “Yes, IEP.”

No, not SD: If students have a 504 Plan without an
IEP, code these students as “No, not SD.”
 Information unavailable at this time: If you
currently do not have this information for one or
more students, blank cells or an indicator such as
“N/A” (Not Available) in the cell(s) can be mapped
to this code to notify your NAEP representative of
the need to collect the data at a later date.
School-defined codes for:

Use ONE code per student,
text or numeric



English Language
Learner (ELL)



Yes, ELL

Use ONE code per student,
text or numeric



No, Not ELL

On-Break Indicator

No, Formerly ELL (and monitored for AYP
reporting): If a student has achieved full English
proficiency within the previous 2 years and the state
includes formerly ELL students in its AYP reports,
the student should be coded as “No, formerly ELL.”
Public schools, contact your NAEP State
Coordinator if you have any questions about using
this code.
 Information unavailable at this time: If you
currently do not have this information for one or
more students, blank cells or an indicator such as
“N/A” (Not Available) in the cell(s) can be mapped
to this code to notify your NAEP representative of
the need to collect the data at a later date.
School-defined code

Student ZIP Code

Numeric only



Only for year-round schools;
column can be left off if
school is not year-round
If available

.

Tips for ensuring the E-File process goes smoothly:


The NAEP 2017 E-File template should be used if possible. Please use it as is. Do not change the
column headers. Student information must begin on the second row. There should be no empty
rows between the headings and the student data or within the student data, and no headings
within the data.



If you are not able to use the NAEP 2017 E-File Excel Template (for example, because of the way
your data system works), the columns in your Excel E-File should have the same, or similar,
names but do not have to be in any particular order. You will be able to identify the contents of
each column after you have submitted your file. (For example, you will be able to indicate that
your column labeled “Gender” is what provides the NAEP “Sex” information, and your value of
“1” is “Male” and a “2” is “Female,” or whatever the correct interpretation.)



Be sure to give your file a unique, descriptive name. Select “File,” then “Save As,” and give it a
name such as “Your School Name Grade 8.xls.” Should you need to reference your file again, this
will help you locate it after E-Filing.



The first row of data in your file will be read as the column header unless you indicate otherwise
on the E-Filing “Welcome” page. Each succeeding row will be considered a student record.



If you merge or cut and paste data from another Excel file into the template, review the file
afterward to be sure there are properly aligned student data in every row and there are no
column headers or blank rows in the middle of the data.



Be sure that your file contains only a heading row and student data, not notes or text in
additional columns, or they will be read as data resulting in a warning or error message.



There should be only one worksheet with data in the Excel file. If there are other worksheets,
they must not contain any data.

Step 3 – E-File

Once your file is prepared and checked for accuracy and completeness, login to the MyNAEP website
and select “Submit Student List” from the left-hand menu.


Select the “Start E-Filing Grade X” button



You will see a checklist come up on the screen; please review it carefully to be sure your file is
set up correctly and is ready to be submitted. Then select “Continue.”



Enter the required fields and then browse for the name of your file and select “Upload.”

Step 4 – Map Your Columns and Rows to NAEP Values
The field names used by your database system may not have the same names as the NAEP values. You
will need to match the names of your columns to the names of the NAEP columns and then match row
values to NAEP values.

Shown below are two examples of row mapping. You need to match the values in each of your columns
to the NAEP codes (in drop-down). Once you map a value, select “Next” to move to the next value.

When you finish row mapping, the E-Filing process will continue and you will be prompted to verify your

data.

If you need assistance, call the NAEP Help Desk at 1-800-283-6237.