D1

What must be covered in a state educational agency application?

Section 2253(b)(2) contains a complete list of information that must be covered in the SEA application for a Reading and Literacy Grant under the Reading Excellence Act. The statutory language also is provided in Appendix B of this guidance.

In general, the SEA application must include descriptions or assurances regarding proposed activities and processes, including information on the following topics, among others:

• Reading and literacy partnership

• Professional development and instruction based on scientifically based reading research

• Parent participation

• Use of educational technology

• Local educational agency activities

• Students at risk of being inappropriately referred to special education

• Program coordination

• Promoting reading and library programs that provide access to engaging reading materials

• Public notification of the availability of Local Reading Improvement and Tutorial Assistance subgrants

• Program evaluation, including information on evaluation instruments

All reading instruction supported under the grant—both classroom and tutorial—and professional development for teachers and tutors must be based on scientifically based reading research. (See B3.)

States must also include in their application (1) a copy of their proposed local educational agency subgrant application and (2) a description of the proposed review process, including review criteria. Federal reviewers will need information about how states plan to select participating LEAs and ensure that successful LEA applicants will implement high quality programs. Information on required elements of the LEA subgrant applications are contained in Appendix D.

D2

What types of documentation might state educational agencies include in their application to facilitate the federal review process?

The SEA, when addressing each content area, should include supporting documentation that will enable the federal peer review panel to determine the extent to which the activities will satisfy the particular content area, as well as the purpose of the Reading Excellence Act.

For example, the REA requires that the SEAs provide a description of how the activities funded by the grant will address the needs of teachers and other instructional staff, and will effectively teach students to read. The type of information that could assist the peer review panel may include a description of how the teachers? needs for professional development were assessed, descriptions of the professional development activities to be provided, and information on how the impact on students will be measured.

The SEA also must provide a description of the extent to which the activities will prepare teachers in all the major components of reading instruction (including phonemic awareness, systematic phonics, fluency, and reading comprehension). Applicants may want to include a description of how they will determine whether the teachers benefit from the professional development activities and how the subgrant applicants will ensure that teachers improve classroom practices.

D3

What is required for a state Reading and Literacy Partnership?

The governor of the state, in consultation with the SEA, must establish a Reading and Literacy Partnership in order to receive an REA grant, and the Department strongly encourages SEAs to use the partnership to create a seamless approach to reading and literacy throughout the state. SEAs must include in their application an assurance on how the partnership assisted in the development of the state plan, how it will advise on the selection of subgrantees, and how it will assist in oversight and evaluation. (See Appendix B.) The Department encourages SEAs to provide in their applications a list of the participants, a copy of the mission statement for the partnership, information on proposed partnership activities and how the activities will link on-going reading and literacy activities in the state, a timeline for implementation, and the resources that will be available for the partnership.

The partnership must consist of at least the following participants (see Section 2253(d)(1) of the statute):

1. The Governor of the state.

2. The chief state school officer.

3. The chairman and the ranking member of each committee of the state legislature that is responsible for education policy.

4. A representative, selected jointly by the Governor and the chief state school officer, of at least one local educational agency that is eligible to receive a Local Reading Improvement subgrant.

5. A representative, selected jointly by the Governor and the chief state school officer, of a community-based organization working with children to improve their reading skills, particularly a community-based organization using tutors and scientifically based reading research.

6. State directors of appropriate Federal or state programs with a strong reading component.

7. A parent of a public or private school student or a parent who educates his or her child or children in their home, selected jointly by the Governor and the chief state school officer.

8. A teacher who successfully teaches reading and an instructional staff member, selected jointly by the Governor and the chief state school officer. The term "instructional staff" includes staff such as principals, teachers, librarians, and library media specialists. (See Section 2252 of the REA or Appendix F, for the definition of "instructional staff".)

9. A family literacy service provider selected jointly by the Governor and the chief state school officer.

A reading and literacy partnership may include additional participants (Section 2253(d)(2)). If there are additional participants, they must be selected jointly by the Governor and the chief state school officer. Additional partners may include a representative of—

1. An institution of higher education operating a program of teacher preparation based on scientifically based reading research in the state;

2. A local educational agency;

3. A private nonprofit or for-profit eligible professional development provider providing instruction based on scientifically based reading research;

4. An adult education provider;

5. A volunteer organization that is involved in reading programs; or

6. A school library or a public library that offers reading or literacy programs for children or families.

Some SEAs may have established a reading consortium, partnership, or other similar body before the date of the enactment of the Reading Excellence Act. If this consortium, partnership, or other body includes the Governor and the chief state school officer and has, as a central part of its mission, the promotion of literacy for children in their early childhood years through the 3rd grade and of family literacy services, the state may elect to treat that consortium, partnership, or body as the reading and literacy partnership for the state. In this case, the partnership may be considered a reading and literacy partnership for purposes of the other provisions of this part even though it does not include all of the required participants under this part.

D4

What is the purpose of the Reading Excellence Act assurance regarding children at risk of referral to special education?

Early literacy intervention for children who are experiencing reading difficulties often can prevent such children from being referred to special education. In their state applications, SEAs must provide an assurance that instruction in reading will be provided to children with reading difficulties who are at risk of being referred to special education (Section 2253(b)(2)(D)). This provision aims to prevent the misidentification of students in need of effective reading instruction. In some cases, children with reading difficulties, due to inadequate instruction and curriculum, have been unnecessarily referred to special education services and identified as having a disability.

D5

Are children with reading difficulties who have been identified as students with disabilities under the Individuals with Disabilities Education Act eligible for services under the Reading Excellence Act?

Yes. Students with disabilities are eligible for services under the Reading Excellence Act, and should receive those services to which they are entitled under IDEA. The intent of the special education provision in the Reading Excellence Act is to avoid student misidentification and to provide early literacy intervention to prevent unnecessary referral to special education, not to restrict services to students who are appropriately identified as students with disabilities.

D6

What types of evaluation instruments might the state educational agency employ to evaluate the subgrantees? programs?

Each state educational agency that receives a Reading and Literacy Grant under section 2253 must evaluate the success of the agency?s subgrantees in meeting the statutory purposes of grant. (Section 2259) In their applications, SEA must describe how the evaluation will measure the extent to which students who are the intended beneficiaries of the subgrants made by the agency have improved their reading skills.

Section 2253(b)(2)(E)(iv) requires SEAs to provide a description of how they will assess and evaluate LEA activities. The statute does not mandate specific evaluation components, but SEAs may want to consider providing information on:

• How they plan to collect information from the project sites,

• Over what period of time they will measure student progress in reading,

• How they will assess the impact of teacher professional development on classroom practices and student outcomes, and

• How they will assess the impact of tutorial programs.

Section 2253(b)(2)(F) requires SEAs to provide a description of the evaluation instrument they will use to assess the LEA activities. Again, the SEAs have discretion on what to include, but should attempt to provide sufficient detail to allow the peer reviewers to make an informed assessment of the quality of the state plans. Such information may include:

• Whether the SEA plans to require or encourage the LEAs to use common tests. This could include a description of the age/grade of test takers as well as a content description of the test.

• A discussion of value-added indicators. This description should provide information on how the SEA will determine whether the students learned more than they would have without the REA program activities and could, for example, provide for collecting data on prior growth rates.

• A discussion of how the SEA will determine if the improvements in student reading are educationally significant.

Section F of the guidance provides additional information on evaluation requirements.

D7

What additional assurances and certifications are required in the state application?

The following assurances and certification are required in the state application:

• Assurances for Non-Construction Programs

• Assurance for Section 427 of the Department of Education?s General Education Provisions Act (GEPA)

• Certifications regarding lobbying, debarment, suspension, and other responsibility matters; and drug-free workplace requirements

Please note that respective guidelines and/or standard forms are provided in the application package.

D8

What is the responsibility of the SEA with regard to the LEA choice of reading program or the way that professional development is provided?

The SEA's application to the Department for the Reading and Literacy Grant must describe the process and selection criteria by which the SEA will make competitive grants to eligible LEAs and how it will ensure that only programs of reading instruction based on scientifically based reading research will be funded.

The responsibility to select the reading program and the way in which professional development will be provided rests with the LEA. (Section 2255(b)(1)) However, the SEA may only approve applications that clearly describe how the LEA will work with schools to implement a reading program and provide professional development based on scientifically based reading research. The SEA is responsible for ensuring that LRI funds go only to LEAs that will implement such programs.

In carrying out this responsibility, an SEA has considerable flexibility:

• The SEA may assist LEAs in identifying programs of reading instruction and professional development that meet the intent of the Act. It could disseminate guidance on the types of programs and professional development that would qualify and identify actual examples of such for LEA consideration. For example, the SEA could provide further guidance on what constitutes "scientifically based reading research" as defined in section 2252(5) of the Act. Such guidance, however, cannot change the definition in the REA.

• Some SEAs have established reading standards that are directly linked (matched) to specific programs/models. SEAs may require LEAs to select from the state?s preferences if the programs/models satisfy the statute?s definition of scientifically based reading research.

• Furthermore, an SEA may establish a competitive preference for programs that incorporate certain models using scientifically based reading research that the SEA determines are particularly effective. The SEA should exercise care, however, when establishing a competitive preference for particular models, to ensure that its LEAs and schools have sufficient flexibility to adopt a program based on scientifically based reading research that best meets their needs. If the LEA?s options are too limited, it may not have the flexibility to best meet its needs.

SEAs may wish to ask LEAs to discuss specific reading approaches they are considering and the scientific basis for each in their application to the SEA.

D9

How does the Reading Excellence Act serve private school children?

Funds awarded to SEAs and LEAs under the REA are subject to the requirements of Section 14503 of ESEA (Participation by Private School Children and Teachers) and the regulations in 34 C.F.R. 299, Subpart E. The statute and regulations require the grantee and subgrantees to provide private school children and their teachers, or other educational personnel, with program educational services or other benefits on an equitable basis with public school children and teachers.

Expenditures for the educational services and benefits provided for private school children and their teachers must be equal, taking into account the number and educational needs of the children to be served, to the expenditures for participating public school children and their teachers.

All services or benefits provided under the REA must be secular, neutral, and non-ideological.

The services and benefits provided under the REA must be provided by employees of a public agency or through a contractor that is independent of the private school and any religious organization in the provision of those services and benefits.

Potential grantees and subgrantees must consult with appropriate private school officials during the design and development of the programs under the REA on such issues as how the children?s needs will be identified; what services will be offered; how and where the services will be provided; and how the services will be assessed.