[Federal Register Volume 76, Number 75 (Tuesday, April 19, 2011)]
[Notices]
[Pages 21986-21997]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-9479]
[[Page 21985]]
Vol. 76
Tuesday,
No. 75
April 19, 2011
Part IV
Department of Education
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Notice of Final Priorities, Requirements, Definitions, and Selection
Criteria; Notice
Federal Register / Vol. 76 , No. 75 / Tuesday, April 19, 2011 /
Notices
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DEPARTMENT OF EDUCATION
Notice of Final Priorities, Requirements, Definitions, and
Selection Criteria
Enhanced Assessment Instruments; Catalog of Federal Domestic
Assistance (CFDA) Number: 84.368.
EAGENCY: Office of Elementary and Secondary Education, Department of
Education.
ACTION: Notice of final priorities, requirements, definitions, and
selection criteria.
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SUMMARY: The Assistant Secretary for Elementary and Secondary
Education announces priorities, requirements, definitions, and
selection criteria under the Enhanced Assessment Instruments Grant
program, also called the Enhanced Assessment Grants (EAG) program. The
Assistant Secretary may use one or more of these priorities,
requirements, definitions, and selection criteria for competitions in
fiscal year (FY) 2011 and later years. We take these actions to focus
Federal financial assistance on the pressing need to improve the
assessment instruments and systems used by States to accurately measure
student academic achievement and growth under the Elementary and
Secondary Education Act of 1965, as amended (ESEA).
DATES: Effective Date: These priorities, requirements, definitions, and
selection criteria are effective May 19, 2011.
FOR FURTHER INFORMATION CONTACT: Collette Roney, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3W210, Washington, DC 20202.
Telephone: (202) 401-5245. E-mail: [email protected].
If you use a telecommunications device for the deaf (TDD), call the
Federal Relay Service (FRS), toll free, at 1-800-877-8339.
SUPPLEMENTARY INFORMATION:
Purpose of Program: The purpose of the EAG program is to enhance
the quality of assessment instruments and systems used by States for
measuring the academic achievement of elementary and secondary school
students.
Program Authority: 20 U.S.C. 7301a.
Public Comment: We published a notice of proposed priorities,
requirements, definitions, and selection criteria for this program in
the Federal Register on January 7, 2011 (76 FR 1138). That notice
contained background information and our reasons for proposing the
particular priorities, requirements, definitions, and selection
criteria. In response to comments we received on the notice, we have
made revisions to Priority 1--English Language Proficiency Assessment
System (ELP Priority), Priority 2--Collaborative Efforts Among States
(Collaborative Efforts Priority), and the requirements, definitions,
and selection criteria.
Public Comment: In response to our invitation in the notice of
proposed priorities, requirements, definitions, and selection criteria,
15 parties submitted comments. We group major issues according to
subject. Generally, we do not address technical and other minor
changes.
Analysis of Comments and Changes: An analysis of the comments and
of any changes in the priorities, requirements, definitions, and
selection criteria since publication of the notice of proposed
priorities, requirements, definitions, and selection criteria follows.
Priority 1--English Language Proficiency (ELP) Assessment System
Comment: Many commenters expressed support for the ELP Priority and
its broad objective of promoting the development of high-quality ELP
assessment systems. Commenters stated that the priority addresses
assessment needs unique to English learners and that improvements in
assessments used to measure English learners' progress in and
attainment of English proficiency will support improvements in
curriculum and instruction for English learners, help raise their
educational achievement, and help close achievement gaps between
English learners and their English proficient-peers. Commenters also
stated that the priority promotes innovative, high-quality assessments
that are aligned with common college- and career-ready standards, which
will help prepare English learners for higher education and careers and
ensure that English learners have access to the same rigorous academic
content as all students. Another commenter stated that the use of
multiple measures of both academic and English proficiency will provide
more ongoing feedback to educators as well as students and their
families and offers the promise of greater validity and reliability in
assessments for the diverse population of English learners.
Discussion: We agree with the commenters that the development of
high-quality ELP assessments aligned with ELP standards that in turn
correspond to a common set of college- and career-ready standards in
English language arts and mathematics are likely to contribute to
improved teaching and learning for English learners. We appreciate the
commenters' recognition that we designed the ELP Priority to support
the development of high-quality diagnostic and summative assessments
that measure students' abilities in each of the four language domains
(reading, writing, speaking, and listening), in order to meet the
significant need for ELP assessments that correspond to college- and
career-ready standards held in common by multiple States.
Changes: None.
Comment: Some commenters recommended that the ELP assessment system
outlined in the ELP Priority be defined more explicitly and suggested
that the priority explicitly support the development of benchmark and
formative assessments as well as diagnostic and summative assessments.
The commenters expressed concern that formative assessments may be
under-emphasized in the resulting ELP assessment systems if they are
not explicitly included in the priority, and stated that many educators
prefer an ELP assessment system that includes benchmark and formative
assessments. One commenter stressed that the focus on assessments
developed under this priority should be on measuring students' progress
towards English proficiency. Another commenter recommended that the
limited amount of funds for the EAG program be focused on the
development of summative assessments only.
Discussion: We believe that two types of assessments are
particularly important for English learners: (1) Diagnostic assessments
(e.g., screener or placement tests), which can be used to determine
whether a student should be classified as an English learner, and (2)
summative assessments, which can be used to determine whether an
English learner has made progress toward and achieved grade-level
English proficiency and should no longer be classified as an English
learner. The ELP Priority does not preclude an applicant from including
benchmark or formative assessments in the ELP assessment system it
proposes to develop. However, because of the importance of diagnostic
and summative assessments to the implementation of Federal education
programs such as Title III of the ESEA, and given the limited resources
available, we decline to expand the ELP Priority to require more than
the development of diagnostic and summative ELP assessments.
We agree that clarification of the components for an ELP assessment
system developed under the ELP Priority would be helpful and have added
a definition of English language
[[Page 21987]]
proficiency (ELP) assessment system, for purposes of the ELP Priority.
Changes: We have added a definition of ELP assessment system to the
final definitions. The definition specifies that, for purposes of the
ELP Priority, ELP assessment system means a system of assessments that
includes, at a minimum, diagnostic (e.g., screener or placement) and
summative assessments at each grade level from kindergarten through
grade 12 that cover the four language domains of reading, writing,
speaking, and listening, as required by section 3113(b)(2) of the ESEA,
and that meets all other requirements of the priority. Consistent with
this change, we also have revised paragraphs (a)(2) and (a)(3) of the
ELP priority to include both screener and placement assessments as
examples of diagnostic assessments.
Comment: One commenter noted that schools implementing the ELP
assessment systems developed under the ELP Priority will need time to
transition to the new assessments and stated that the proposed
priorities, requirements, definitions, and selection criteria did not
address how an applicant would need to approach such a transition.
Discussion: Given the four-year project period we are planning for
grants under this program, we anticipate that some of the actions
needed to support the transition to new ELP assessment systems may take
place after the end of the project period, while other actions (e.g.,
developing professional capacity and outreach as described in the
selection criteria) will occur during the project period. Because
operational administration of the assessments is not required during
the project period, we are not requiring a complete transition plan.
Transition issues will be addressed by applicants, as necessary, in
response to selection criterion (e), the professional capacity and
outreach selection criterion, and we decline to add any additional
requirements relating to transition, as some of these activities may
occur outside the grant period. We note, in addition, that the
Department routinely provides guidance to the field on current
implementation issues and will continue to do so in the future.
Changes: None.
Comment: Some commenters expressed concern that the ELP Priority
does not adequately address coordination between the grants to be
awarded under the EAG program and grants already awarded under the RTTA
program. The commenters recommended that the ELP Priority require more
specific coordination between EAG and RTTA grants. They also suggested
that we ensure that ELP assessments developed under the EAG program be
embedded in work on assessments under the RTTA program, particularly
because of the academic language that students likely will need in
order to access the assessments to be developed under the RTTA grants.
Discussion: We understand the importance of ensuring that projects
funded under the EAG program and other Department programs related to
assessments coordinate efforts where appropriate. We plan to facilitate
coordination and technical assistance, as needed, across newly awarded
EAG projects and the RTTA grants. EAG and RTTA grantees will be
required to participate in such technical assistance and other
activities conducted or facilitated by the Department or its designees.
We are clarifying this expectation for coordination by adding language
to requirement (b) that will require EAG grantees to coordinate with
the RTTA program.
Changes: We have revised requirement (b) by adding a phrase that
requires EAG grantees to coordinate with the RTTA program in the
development of assessments under the EAG program.
Comment: One commenter stated that States will need guidance and
technical support from the Department on such implementation issues as
accountability, timeframes, and benchmarks for English learners'
linguistic and academic progress once States have developed their ELP
assessments. The commenter also asserted that, if the reauthorization
of the ESEA occurs prior to the development and implementation of ELP
assessment systems funded under the EAG program, a reauthorized ESEA
should not constrain such work.
Discussion: We recognize that the Department will need to work with
grantees and provide technical assistance on implementing new ELP
assessment systems. If a reauthorized ESEA requires changes to the
projects awarded under the EAG program, we will work with grantees to
make the necessary changes and provide guidance to the field, as
appropriate.
Changes: None.
Comment: A few commenters expressed concern with the examples of
linguistic components of language included in paragraph (a)(7) of the
proposed ELP Priority. One commenter suggested adding ``semantics and
graphophonemic'' to the list of examples. Another commenter suggested
removing the list of examples. One commenter stated that the linguistic
components should be embedded within ELP standards and that
determinations of students' English proficiency should not be limited
to the sum of students' abilities on any group of specific linguistic
components of language. This commenter expressed concern that the ELP
Priority could be interpreted as requiring the ELP assessment systems
to provide subscores on discrete linguistic components. Another
commenter stated that the ELP Priority should specify that measurement
of any linguistic component should be driven by the functions of
comprehension and expression. This commenter suggested revising the
priority to require the assessments to reflect the linguistic
components of language or demonstrate students' control over linguistic
components of language.
Discussion: Based on consideration of the comments and our further
review of this issue prompted by the comments, we revised the list of
the examples of linguistic components of language by removing
``vocabulary'' from the list. Use of the abbreviation ``e.g.'' in the
parenthetical indicates that the list is not exhaustive or definitive.
While a valid and reliable ELP assessment system should consider
students' control over the linguistic components of language, we do not
intend to require that the ELP assessment systems generate subscores
for the linguistic components of language. However, we do intend to
require that the ELP assessment systems generate a valid and reliable
measure of students' abilities in each of the four language domains and
are revising the priority accordingly.
Changes: We have revised paragraph (a)(7) of the ELP Priority to
indicate that the ELP assessment systems must ensure that the measures
of students' English proficiency consider students' control over the
linguistic components of language (e.g., phonology, syntax,
morphology). We also have revised paragraph (c)(2) of the ELP Priority
to state that ELP assessment systems developed under the priority must
provide a valid and reliable measure of students' abilities in each of
the four language domains and a comprehensive ELP score based on all
four domains, with each language domain score making a significant
contribution to the comprehensive ELP score, at each proficiency level.
To be consistent with revisions to paragraph (c)(2) of the ELP
Priority, we have revised paragraph (a)(9) of the ELP Priority to list
the four language domains.
Comment: Some commenters expressed concern about references to the
uses of data from the ELP
[[Page 21988]]
assessment systems for evaluations of teacher and principal
effectiveness. A few commenters outlined several concerns that may
limit the usefulness of ELP assessments in evaluating teacher and
principal effectiveness, for example: Limitations of current testing
instruments; difficulty in isolating the effects of a teacher or
principal on an individual student's scores, especially when multiple
teachers are involved in a student's instruction; a limited knowledge
base about growth in English learners' acquisition of English and how
to use measures of growth; and the complexities of using longitudinal
data, especially for English learners who tend to have high mobility
rates. One commenter noted that States could misinterpret the ELP
Priority as requiring student learning on an ELP assessment to be the
only measure of teacher effectiveness.
A few commenters suggested revising the ELP Priority to require the
use of multiple measures for evaluations of teacher and principal
effectiveness, as opposed to using ELP assessments as the sole measure
to evaluate teacher and principal effectiveness. One commenter
suggested removing the provisions of the ELP Priority that refer to the
use of ELP assessment data for informing evaluations of teacher and
principal effectiveness. A few commenters stated that ELP assessments
should be used for evaluations of teacher and principal effectiveness
only after a research base has been established to support the use of
the assessments for such purposes.
Discussion: The ELP Priority does not require that States or other
entities use data from ELP assessment systems developed under the
priority as the single measure of teacher and principal effectiveness.
The ELP Priority, in combination with the assessment design selection
criterion, is intended to signal that ELP assessment systems should be
developed so that, as appropriate, the data that they provide can be
used as one of multiple measures for teacher and principal evaluation.
We have revised the language in the ELP Priority and the assessment
design selection criterion to more clearly reflect that intent.
Changes: We have revised paragraph (c) of the ELP Priority to
distinguish those circumstances in which ELP assessment data can be
used as a single measure (paragraph (c)(3)) and those circumstances in
which ELP assessment data can be one measure along with other
appropriate measures (paragraph (c)(4)). We have included evaluations
of principal and teacher effectiveness in paragraph (c)(4). We have
also revised the assessment design selection criterion in paragraph
(b)(6)(i) to indicate that data from the assessments developed under
the EAG program should be used only as appropriate as one of multiple
measures for determinations of individual principal and teacher
effectiveness.
Comment: Many commenters raised questions about the references in
the ELP Priority to a ``common definition of `English learner'.'' One
commenter expressed support for the general approach of requiring a
common definition, noting that a common definition would ensure that
the data States provide on the total number of English learners being
served would be more accurate and consistent across the nation, thereby
allowing parents, educators, and other stakeholders to make comparisons
across States and the nation. Multiple commenters requested that the
Department clarify the meaning of the term ``common'' and had diverging
views on whether ``common'' should be defined as ``identical'' or
``similar'' (e.g., comparable and consistent). Commenters also asked
for clarification as to whether the reference to a ``common
definition'' applies to home language surveys, screening instruments,
procedures for identifying and classifying English learners,
definitions of language proficiency levels, and criteria for
determining the English proficiency of students and student exit from
English learner status.
Several commenters provided specific suggestions for how the term
``common'' should be interpreted when used in the phrase ``common
definition of English learner.'' One commenter recommended that the
common definition of English learner, including classification and exit
criteria, be based solely on the ELP assessment system and not on
academic performance. The commenter noted that excluding academic
performance measures would avoid problems of construct validity and
avoid confusing the ``English learner'' classification with non-
language-related criteria. Another commenter recommended that an
assessment of students' proficiency in their first language be
considered in the common definition of English learner. Another
commenter asked how subgroups of English learners would fit within a
common definition and how data on these subgroups would be collected,
disaggregated, reported, and used.
One commenter stated that requiring multiple States to change their
definition of English learner to a common definition would be an
unreasonable Federal administrative requirement that goes beyond the
intent of the ESEA. This commenter recommended removing paragraph
(a)(2) from the ELP Priority, which calls for States to adopt a common
definition of English learner.
Discussion: The term ``common,'' as used in a ``common definition
of English learner'' in paragraph (a)(2) of the ELP Priority, means an
identical definition of English learner with respect to certain
criteria, specifically: The diagnostic assessments and associated
achievement standards used to classify students as English learners, as
well as the summative assessments and associated achievement standards
used to exit students from English learner status. This definition is
the same for all subgroups of English learners, with the exception of
English learners with the most significant cognitive disabilities who
are eligible to participate in alternate assessments based on alternate
academic achievement standards in accordance with 34 CFR 200.6(a)(2).
Assessment of students' proficiency in their first language is beyond
the scope of the ELP Priority.
The use of a common definition of ``English learner'' and common
criteria for exiting a student from English learner status will help
ensure consistency in identifying English learners across the States in
a consortium. However, the term ``common'' for purposes of the ELP
Priority does not apply to other areas such as home language surveys,
program placement and instruction for students, and the duration of
program and support services for students. To clarify the scope of the
ELP Priority, we have added language to paragraph (a)(2) to indicate
that ``common'' means identical for purposes of the diagnostic
assessments and associated achievement standards used to classify
students as English learners as well as the summative assessments and
associated achievement standards used to exit students from English
learner status. To provide further clarity, we also substituted the
word ``common'' for the word ``uniform'' in the definition of English
learner.
We agree with the commenter that a common definition of English
learner should be based on the ELP assessments to be developed under
the priority, as reflected in paragraph (c)(3) of the ELP Priority. We
also agree that the priority should specifically reference subgroups of
English learners and, therefore, are adding language to paragraph
(c)(1) of the ELP Priority to require that the ELP assessment system
provide data that can be disaggregated by key English learner
subgroups.
Because participation in a grant under the EAG program is voluntary
and no
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entity is required to participate and adopt a common definition of
English learner, we do not believe the requirement in the ELP Priority
regarding a common definition of English learner represents an
unreasonable Federal administrative requirement and therefore decline
to remove this provision from the priority.
Changes: We have revised paragraph (a)(2) of the ELP Priority to
indicate that ``common'' means identical for purposes of the diagnostic
and summative assessments and the associated achievement standards used
to classify students as English learners and exit students from English
learner status. We also substituted the word ``common'' for the word
``uniform'' in the definition of English learner. We have revised
paragraph (c)(1) of the ELP Priority to require that the ELP assessment
system provide data that can be disaggregated by key English learner
subgroups and to provide examples of those subgroups.
Comment: Several commenters expressed concern that the proposed ELP
Priority did not adequately address the development of ELP standards
with which assessments developed under the priority must be aligned.
The commenters recommended that the Department revise the priority to
provide that the ELP standards be of high quality. One commenter also
stated that the language of the proposed ELP Priority was unclear
regarding whether EAG applicants would be required to develop the ELP
standards to which assessments under the priority must be aligned as an
activity under a grant. A few commenters specifically recommended that
we require grantees to submit a detailed plan for developing and
implementing the ELP standards on which they would base their ELP
assessments. Another commenter recommended including in the ELP
Priority a provision requiring the development of ELP standards or a
requirement that all members of a consortium agree to the adoption and
implementation of common ELP standards as a requirement for joining a
consortium. These commenters stated that it would be impossible for a
consortium to successfully develop common ELP assessments if each State
in the consortium had its own ELP standards.
One commenter noted that linguistic components of language embedded
within ELP standards may be necessary, but are not sufficient, to
measure the extent to which English learners can process and use
language for specified purposes or situations. This commenter stated
that it is the discourse level of language that carries the ``semantic
load'' supportive of communication that is needed for college- and
career-readiness.
Another commenter stated that the ELP assessments developed under
the ELP Priority should be aligned with ELP standards that correspond
to content standards not only in English language arts but also in
other subject areas.
Another commenter noted the importance of effectively implementing
ELP standards, stating that, in an aligned assessment system, standards
are the reference point for designing proficiency measures,
interpreting and communicating assessment results, and using assessment
results to improve teaching and learning.
Discussion: We agree that high-quality ELP standards and their
implementation are a crucial foundation for the ELP assessment systems
to be developed under the ELP Priority. Section 6112 of the ESEA, which
authorizes the EAG program, does not authorize EAG funds to be used for
developing standards. Therefore, the Department can make awards under
the EAG program only to develop assessments. We are adding a program
requirement clarifying this limitation.
We expect that the assessments developed under the ELP Priority
will be aligned with high-quality ELP standards, and are revising the
ELP Priority to more specifically define the characteristics of high-
quality ELP standards to which the ELP assessments should align.
Grants under the RTTA program, which the ELP Priority is designed
to complement, are focused on assessments that are aligned with
college- and career-ready standards in English language arts and
mathematics that are held in common by a multiple States. Hence, we are
providing that the assessments developed under the ELP Priority must be
aligned with ELP standards that correspond to common, college- and
career-ready standards in English language arts and mathematics. The
ELP Priority does not preclude an applicant from proposing to align the
ELP assessments with ELP standards that include the academic language
necessary for college- and career-readiness in subjects in addition to
English language arts and mathematics. We also expect that rigorous ELP
standards that correspond to a set of college- and career-ready
standards in English language arts and mathematics that are held in
common by multiple States and that are developed with broad stakeholder
involvement will attend not only to the linguistic components of
language but also to the discourse level of language.
Changes: We have revised paragraph (a)(5) of the ELP Priority to
more specifically define the characteristics of the ELP standards to
which the ELP assessments developed under the program must align.
Specifically, we have indicated that those standards must correspond to
a common set of college- and career-ready standards in English language
arts and mathematics, and be rigorous, developed with broad stakeholder
involvement, and vetted with experts and practitioners. The standards
also must be standards for which external evaluations have documented
rigor and correspondence to a common set of college- and career-ready
standards in English language arts and mathematics.
We removed the reference to States adopting or utilizing any
standards developed under a proposed project from paragraph (d) of the
Collaborative Efforts Priority in order to clarify that EAG program
funds may not be used to develop standards. We also have added a new
requirement (e), which requires grantees to ensure that EAG funds are
not used to support the development of standards, such as under the ELP
Priority or any other priority. The subsequent requirements have been
re-numbered accordingly.
Comment: Two commenters expressed support for our approach to ELP
assessments for students with the most significant cognitive
disabilities. One commenter suggested removing paragraph (e) of the ELP
Priority, which requires applicants to include in their applications
the strategies the applicant State or, if the applicant is part of a
consortium, all States in the consortium, would use to assess the
English proficiency of English learners with the most significant
cognitive disabilities. The commenter suggested replacing this
provision with a requirement that grantees under the EAG program
coordinate with existing grantees funded under the Individuals with
Disabilities Education Act (IDEA), including the General Supervision
Enhancement Grant (GSEG) program, to address the needs of English
learners with the most significant cognitive disabilities. One
commenter suggested that we require applicants to indicate how they
would coordinate work under an EAG grant awarded under the ELP Priority
with grants awarded under the GSEG program.
Discussion: Recent awards under the GSEG program are supporting the
development of alternate assessments based on alternate achievement
standards that measure student knowledge and skills against academic
content standards in English language
[[Page 21990]]
arts and mathematics held in common by multiple States; these grants
are not supporting the development of alternate ELP assessments for
students with the most significant cognitive disabilities. We
acknowledge the importance of developing alternate ELP assessments for
English learners with the most significant cognitive disabilities but,
due to limited resources, are not including them in the ELP Priority.
There will be limited overlap in the focus of the projects awarded
under the ELP Priority and the projects awarded under the GSEG program
because the EAG grants will not be supporting the development of
alternate assessments and because the GSEG awards, which focus only on
alternate assessments, are not supporting the development of ELP
assessments. Accordingly, we decline to require that EAG grantees
coordinate with GSEG grantees.
To clarify the reference to English learners with the most
significant cognitive disabilities who are eligible to participate in
alternate assessments based on alternate academic achievement
standards, we added the relevant regulatory citation to paragraphs
(a)(10) and (a)(11) of the ELP Priority.
Changes: We have added the relevant regulatory citation, 34 CFR
200.6(a)(2), to paragraphs (a)(10) and (a)(11) of the ELP Priority.
Comment: One commenter recommended that we consider adding a
priority to support the development of assessments to measure
proficiency in a second language other than English for States that
support bilingual education and bi-literacy.
Discussion: We recognize that measuring student proficiency in a
second language other than English can provide useful data to educators
of such students. States already have the flexibility to develop such
assessments, which under certain circumstances may be supported by ESEA
funds in accordance with section 6111 of the ESEA.
We decline to make the suggested change because we believe that
developing new ELP assessments is a more pressing need than developing
assessments that measure student proficiency in a second language other
than English. The Department has provided funding under the RTTA
program to consortia that together include 44 States and the District
of Columbia to develop new assessment systems that measure student
knowledge and skills against a common set of college- and career-ready
standards in English language arts and mathematics. ELP assessments
corresponding to such common standards will be needed when the RTTA
assessments are implemented, and such assessments have not been
developed.
Changes: None.
Comment: One commenter noted that addressing issues such as the
assessment of students whose education has been interrupted might be
more appropriately addressed by the GSEG program.
Discussion: The ELP Priority requires that ELP assessment systems
developed under the priority accurately assess English learners with
limited or no formal education, including students whose education has
been interrupted. Data on the English proficiency of these students can
support efforts to improve their instruction. The GSEG program focuses
on assessment for students with disabilities, who may or may not be
English learners. We decline to make a change in response to this
comment, because it is beyond the scope of the program to make changes
to other programs, such as the GSEG program, and because the GSEG
program focuses on assessments for students with disabilities, only
some of whom are English learners and not necessarily English learners
with interrupted education.
Changes: None.
Priority 2--Collaborative Efforts Among States
Comment: We received a variety of comments on the paragraph in the
Collaborative Efforts Priority that requires a consortium to include a
minimum of 15 States. One commenter stated that providing grants to
sizeable consortia of States would maximize the impact of program
funds. Another commenter suggested that the Department establish an
eligibility restriction under which only consortia would be eligible to
apply and require that a consortium include a minimum of 15 States that
represent at least 30% of the nation's English learners. Another
commenter expressed concern that the approach to consortia may result
in grants that do not include all States, including some States with
sizable English learner populations. Two additional commenters
recommended removing the proposed minimum number of States in a
consortium, suggesting that a minimum of 15 States would impose an
unfair obstacle to States and that improvement in assessment quality
will be achieved through competition in the marketplace.
Discussion: States have indicated to the Department their interest
in working together in consortia to develop assessments aligned with
common standards. Because of the complexity of developing and
implementing assessments and assessment-related instruments,
collaborative efforts between and among States can yield approaches
that build on each State's expertise and experience, as well as
approaches that generate substantial efficiencies in development,
administration, costs, and uses of results. We believe that larger
consortia will make more effective use of EAG funds by drawing on the
expertise and experience of more States, increasing the potential
impact across States, and increasing the degree to which common
assessment tools are available to States nationwide. However, we do not
want to limit States' flexibility in forming consortia by adding
requirements in the Collaborative Efforts Priority, such as a
requirement that a certain percentage of English learners be
represented by the population of consortium member States. We do not
have the authority to require all States to participate, and we decline
to prohibit individual States from applying for an award under the EAG
program; as a result, we decline to make the suggested changes in these
areas.
Changes: None.
Comment: While expressing general support for the Collaborative
Efforts Priority, one commenter expressed concern regarding the
requirement to have States sign a binding memorandum of understanding
to use assessments not yet developed. The commenter suggested that
requiring a strong and exclusive letter of support for one consortium
proposal would be a more reasonable requirement.
Discussion: Under Department regulations, all members of a
consortium applying for a grant must enter into an agreement that (1)
details the activities that each member of the consortium plans to
perform; and (2) binds each member of the consortium to every statement
and assurance made by the applicant in its application. (34 CFR
75.128). In response to the commenters' concerns that States may decide
to leave a consortium after receiving the grant, we are revising
paragraph (c)(3) of the Collaborative Efforts Priority to require
applicants to include in their applications protocols for member States
to leave a consortium and for new member States to join a consortium. A
consortium of States applying for a grant would have flexibility in
determining the roles that member States may play. In addition, a State
could enter or leave a consortium according to the protocols the
consortium has established for this purpose. In light of the
Department's
[[Page 21991]]
regulations and the changes being made to provide flexibility to
States, we decline to require a strong and exclusive letter of support
rather than a binding memorandum of understanding.
Changes: We have revised paragraph (c)(3) of the Collaborative
Efforts Priority to require that applications from consortia include
protocols to allow States to leave the consortium and for new member
States to join the consortium. We also revised paragraph (d) of the
Collaborative Efforts Priority to indicate that, to remain in the
consortium, a State must adopt or use any instrument, including to the
extent applicable, assessments, developed under the proposed project no
later than the end of the project period.
Selection Criteria
Comment: One commenter, expressing support for the selection
criteria, observed that the criteria include all the essential
principles needed to govern the development and implementation of high-
quality, rigorous, research-based assessment practices.
Discussion: We agree that the selection criteria should address the
key aspects of developing high-quality assessments and that the
selection criteria, as designed, address those key aspects.
Changes: None.
Comment: One commenter suggested revising paragraph (5) of the
assessment design selection criterion, which specifies the types of
data that must be provided by the assessments. The commenter suggested
adding the following categories of data: types of English learner
program services, length of time in the English learner program, and
level of English proficiency.
Discussion: Students' levels of English proficiency are already
included among the data the ELP assessments developed under the ELP
Priority must provide. However, because the selection criteria in this
notice may be used in future competitions, which may or may not include
the ELP Priority, we decline to revise the selection criteria in a
manner that relates specifically to the ELP Priority. For this same
reason, we decline to include in the selection criteria the other types
of data the commenter suggested (i.e., English learner program
services, length of time in the English learner program). In addition,
data regarding services provided by English learner programs and the
length of time students are in such programs are data that help assess
program effectiveness; they are not data that ELP assessments provide.
Changes: None.
Comment: One commenter suggested that we revise paragraph (b)(10)
of the assessment design selection criterion, which addresses methods
of scoring, to allow for self-scoring of student performance on
assessments in order to shorten the turnaround time for scoring.
Discussion: The selection criteria do not specify the scoring
methods that grantees must use. Applicants may propose to use a self-
scoring approach, as the commenter suggests, so long as the approach is
consistent with the technical quality requirements for the assessments.
Changes: None.
Comment: One commenter recommended that paragraph (11) of the
assessment design selection criterion, which addresses reports to be
produced based on the assessments, be revised to include the provision
of reports in a language and format that parents can understand.
Discussion: We agree with the commenter that reports of assessment
data should be provided to parents in an understandable and uniform
format and, to the extent practicable, in a language that parents can
understand, and have revised this paragraph accordingly.
Changes: We have revised paragraph (11) of the assessment design
selection criterion to provide for the consideration of the extent to
which, reports produced based on the assessments will be presented in
an understandable and uniform format, and to the extent practicable, in
a language that parents can understand.
Comment: One commenter noted that paragraph (1)(ii) of the proposed
assessment development plan selection criterion, which described the
types of personnel to be involved in each assessment development phase
and provided some examples of such personnel, did not include
references to advocates for English learners or parents of English
learners. The commenter suggested that the Department revise this
paragraph to include such stakeholders in the examples provided.
Discussion: We agree that the list of examples should include a
reference to other key stakeholders and have revised the selection
criterion accordingly. However, because the selection criteria may be
used in future competitions, which may or may not include the ELP
Priority, we decline to revise the selection criteria in a manner that
relates specifically to the ELP Priority, such as listing stakeholder
groups specific to English learners.
Changes: We have revised paragraph (1)(ii) of the assessment
development plan selection criterion to include ``other key
stakeholders'' in the list of examples provided.
Comment: One commenter expressed support for the Department's
reference to the use of representative sampling for field testing in
paragraph (5) of the assessment development plan selection criterion.
This commenter suggested that we revise this paragraph to specify
certain subgroups of English learners that may be considered in a
representative sample.
Discussion: We agree with the suggestion that the student
populations that should be considered for representative sampling
include high- and low-performing students, different types of English
learners, and students with disabilities, and that it would be helpful
for applicants to have examples of subgroups of English learners that
may be considered. We have revised this paragraph to provide examples
of the subgroups of English learners that may be considered in a
representative sample.
Changes: We have revised paragraph (5) of the assessment
development plan selection criterion to include the following examples
of subgroups of English learners that may be considered in a
representative sample: recently arrived English learners, former
English learners, migratory English learners, and English learners with
disabilities.
Comment: One commenter expressed support for the emphasis on
research and evaluation in the selection criteria.
Discussion: The Department agrees that the selection criteria
should include a research and evaluation component and believes that
the selection criteria, as designed, adequately consider whether an
applicant's research and evaluation plan will ensure that the
assessments developed are valid, reliable, and fair for their intended
purposes.
Changes: None.
Comment: One commenter, while expressing support for the emphasis
on professional capacity and outreach in the selection criteria, stated
that mainstream and content-area teachers, as well as English-as-a-
second language and bilingual program educators and administrators,
should be included in professional capacity and outreach plans. The
commenter also suggested that such plans should address additional
factors relating to ELP assessments, including the definition of
English learners, language proficiency levels, exit criteria for
programs and services, and professional development on the use of the
assessments and assessment results to inform and improve instruction.
[[Page 21992]]
Discussion: The activities suggested by the commenter are allowable
under the requirements for this program. However, because the selection
criteria may be used in future competitions that may or may not involve
the ELP Priority, we decline to make the recommended changes to the
selection criterion.
Changes: None.
Requirements
Comment: One commenter recommended that the requirement related to
evaluation be revised to mandate that evidence from evaluation
activities be posted on a specific Web site used by professionals who
specialize in issues related to English learners in order to improve
dissemination of findings.
Discussion: The EAG requirements do not preclude grantees from
posting information related to grant activities on Web sites (provided
that the appropriate disclaimers are included). However, we believe
that specifying the manner in which grantees make information available
would be unnecessarily prescriptive. Therefore, we decline to make the
suggested change in order to provide grantees with flexibility in how
they meet the requirement to make information related to grant
activities available to the public.
Changes: None.
Comment: A couple of commenters expressed concern regarding the
requirement that grantees develop a strategy to make student-level data
that result from any assessments or other assessment-related
instruments developed under the ELP Priority available on an ongoing
basis for research, including for prospective linking, validity, and
program improvement studies. One commenter recommended that the
requirements affirmatively address the applicable privacy safeguards
under the ESEA and the Family Educational Rights and Privacy Act
(FERPA) to ensure that disaggregated data used to report achievement
results for subgroups cannot be traced back to an identifiable student.
Another commenter suggested removing the requirement due to concerns
about privacy issues and a concern that limited funds for the grants
might be diverted to research or other entities that have separate
access to governmental and non-governmental funding sources. The
commenter also stated that the proposed requirements included all
necessary considerations for validity, reliability, and fairness,
thereby making the need for further research duplicative and
superfluous.
Discussion: Eligible applicants awarded a grant under the EAG
program must comply with FERPA and 34 CFR Part 99, as well as State and
local requirements regarding privacy; we are adding a footnote to the
notice reminding applicants that they must comply with these
requirements. With regard to the concern that limited funds for the
grants might be diverted to research, we note that the requirement
states that grant recipients must make data available for further
research, and that grant recipients may only use grant funds on
research and evaluation activities that fall within the scope of the
activities proposed in their approved applications. In order to allow
for additional research that may prove useful, we decline to remove the
requirement.
Changes: We have added a footnote to requirement (c) (making
student-level data available for further research) reminding applicants
that they must comply with FERPA and State and local privacy
requirements should they receive an award under this program.
Comment: Two commenters expressed concern regarding the requirement
that grantees, unless otherwise protected by law or agreement as
proprietary information, make any assessment content and other
assessment-related instruments developed with EAG funds freely
available to States, technology platform providers, and others that
request it for purposes of administering assessments, provided that
those parties receiving assessment content comply with consortium or
State requirements for test or item security. One commenter reiterated
that all instruments developed with EAG funding must be open-source and
available to any State requesting the use of the tools and instruments.
The other commenter requested that we clarify that assessments would be
freely available to States and others, including local educational
agencies. This commenter recommended removing the phrase ``unless
otherwise protected by law or agreement as proprietary information''
from the requirement, and adding a reference to making the information
available to local educational agencies.
Discussion: We cannot make a change to protections of proprietary
information guaranteed by existing laws. In addition, for work funded
by the EAG program and other Department-funded discretionary grant
programs, the Department reserves a royalty-free, nonexclusive, and
irrevocable license to reproduce, publish, or otherwise use, and to
authorize others to use, for Federal Government purposes: The copyright
in any work developed under a grant from the EAG program; and any
rights of copyright to which a grantee or a contractor purchases
ownership with grant support. (34 CFR 80.34). At this time we do not
intend to exercise this license with respect to any products produced
with EAG funds. If a grantee develops a product but fails to make it
reasonably available to interested entities, however, we may exercise
our license if doing so would further the interests of the Federal
Government. We believe the requirement as originally stated, coupled
with our license with respect to any products produced with EAG funds,
will serve to make adequately available products produced with EAG
funds. Additionally, we note that this requirement is consistent with
requirements of the RTTA program (see program requirement 6 ``Making
Work Available,'' in the RTTA program notice inviting applications, 75
FR 18175 (April 9, 2010)). As a result, we decline to make the
suggested changes.
Changes: None.
Definitions
Comment: With regard to the definition of a common set of college-
and career-ready standards, one commenter suggested revising the
definition to specify what constitutes a ``significant number of
States.''
Discussion: In using the term significant, we intended to indicate
multiple States rather than to refer to a specific number of States. We
agree that the ELP Priority should be more specific and have replaced
the phrase ``significant number of'' with the term ``multiple.''
Changes: In the definition of common set of college- and career-
ready standards, we have replaced the phrase ``significant number of''
with the term ``multiple.''
Funding
Comment: Some commenters expressed concern about the amount of
funds anticipated to be available for awards under a competition for
EAG funds involving the ELP Priority. Two commenters stated that the
information they had from interviews and press reports suggested that
funding for the development of ELP assessment systems under the ELP
Priority would be limited, especially when compared to funds available
for recent Department grants awarded under the RTTA and GSEG programs.
Another commenter expressed concern that the amount of funding that
would be available for an EAG competition involving the ELP Priority
would be too small, especially in comparison with the RTTA and
[[Page 21993]]
GSEG programs that the new priorities for the EAG program are designed
to complement. Some commenters recommended that the Department consider
making additional funds available to support the development of ELP
assessment systems under the EAG program. Another commenter noted that,
based on its experience in developing assessments, the cost of
accomplishing the scope and scale of work proposed in the notice of
proposed priorities, requirements, definitions, and selection criteria
would require more than the $10.7 million appropriated for the EAG in
FY 2010 to be awarded in 2011. The commenter encouraged the Department
to provide funding for grants under the EAG program comparable to the
amounts awarded under the RTTA and GSEG programs. Another commenter
stated that $10.7 million would be inadequate to address the needs of
English learners through the EAG program. Another commenter recommended
that the Department provide awards of $30 million, and suggested
decreasing the estimated number of awards if necessary to fund grantees
at this amount. None of the commenters outlined specific anticipated
costs for the various components of developing an ELP assessment
system, and only one commenter suggested a specific amount for awards.
Discussion: We cannot alter the amount of funding that Congress
appropriated for the EAG program in the FY 2010 budget. In developing
our estimates for the average size and range of awards included in the
FY 2011 notice inviting applications for new awards for FY 2010 funds,
published elsewhere in this issue of the Federal Register, we
considered the costs of efforts to develop ELP assessment systems that
the Department has previously funded, the cost estimates for activities
under programs with similar goals, and other information available for
estimating the costs of developing assessment systems.
Changes: None.
Final Priorities:
English Language Proficiency Assessment System. The Department
establishes a priority under the EAG program for an English language
proficiency assessment system. To meet this priority, an applicant must
propose a comprehensive plan to develop an English language proficiency
assessment system that is valid, reliable, and fair for its intended
purpose. Such a plan must include the following features:
(a) Design. The assessment system must--
(1) Be designed for implementation in multiple States;
(2) Be based on a common definition of English learner adopted by
the applicant State and, if the applicant applies as part of a
consortium, adopted and held in common by all States in the consortium,
where common with respect to the definition of ``English learner''
means identical for purposes of the diagnostic (e.g., screener or
placement) assessments and associated achievement standards used to
classify students as English learners as well as the summative
assessments and associated achievement standards used to exit students
from English learner status;
(3) At a minimum, include diagnostic (e.g., screener or placement)
and summative assessments;
(4) Measure students' English proficiency against a set of English
language proficiency standards held by the applicant State and, if the
applicant applies as part of a consortium, held in common by all States
in the consortium;
(5) Measure students' English proficiency against a set of English
language proficiency standards that correspond to a common set of
college- and career-ready standards (as defined in this notice) in
English language arts and mathematics, are rigorous, are developed with
broad stakeholder involvement, are vetted with experts and
practitioners, and for which external evaluations have documented rigor
and correspondence with a common set of college- and career-ready
standards in English language arts and mathematics;
(6) Cover the full range of the English language proficiency
standards across the four language domains of reading, writing,
speaking, and listening, as required by section 3113(b)(2) of the ESEA;
(7) Ensure that the measures of students' English proficiency
consider the students' control over the linguistic components of
language (e.g., phonology, syntax, morphology);
(8) Produce results that indicate whether individual students have
attained the English proficiency necessary to participate fully in
academic instruction in English and meet or exceed college- and career-
ready standards;
(9) Provide at least an annual measure of English proficiency and
student progress in learning English for English learners in
kindergarten through grade 12 in each of the four language domains of
reading, writing, speaking, and listening;
(10) Assess all English learners, including English learners who
are also students with disabilities and students with limited or no
formal education, except for English learners with the most significant
cognitive disabilities who are eligible to participate in alternate
assessments based on alternate academic achievement standards in
accordance with 34 CFR 200.6(a)(2); and
(11) Be accessible to all English learners, including by providing
appropriate accommodations for English learners with disabilities,
except for English learners with the most significant cognitive
disabilities who are eligible to participate in alternate assessments
based on alternate academic achievement standards in accordance with 34
CFR 200.6(a)(2).
(b) Technical quality. The assessment system must measure students'
English proficiency in ways that--
(1) Are consistent with nationally recognized professional and
technical standards; and
(2) As appropriate, elicit complex student demonstrations of
comprehension and production of academic English (e.g., performance
tasks, selected responses, brief or extended constructed responses).
(c) Data. The assessment system must produce data that--
(1) Include student attainment of English proficiency and student
progress in learning English (including data disaggregated by English
learner subgroups such as English learners by years in a language
instruction educational program; English learners whose formal
education has been interrupted; students who were formerly English
learners by years out of the language instruction educational program;
English learners by level of English proficiency, such as those who
initially scored proficient on the English language proficiency
assessment; English learners by disability status; and English learners
by native language);
(2) Provide a valid and reliable measure of students' abilities in
each of the four language domains (reading, writing, speaking, and
listening) and a comprehensive English proficiency score based on all
four domains, with each language domain score making a significant
contribution to the comprehensive ELP score, at each proficiency level;
and
(3) Can be used for the--
(i) Identification of students as English learners;
(ii) Decisions about whether a student should exit from English
language instruction educational programs;
(iii) Determinations of school, local educational agency, and State
effectiveness for the purposes of
[[Page 21994]]
accountability under Title I and Title III of the ESEA;
(4) Can be used, as appropriate, as one of multiple measures, to
inform--
(i) Evaluations of individual principals and teachers in order to
determine their effectiveness;
(ii) Determinations of principal and teacher professional
development and support needs; and
(iii) Strategies to improve teaching, learning, and language
instruction education programs.
(d) Compatibility. The assessment system must use compatible
approaches to technology, assessment administration, scoring,
reporting, and other factors that facilitate the coherent inclusion of
the assessments within States' student assessment systems.
(e) Students with the most significant cognitive disabilities. The
comprehensive plan to develop an English language proficiency
assessment system must include the strategies the applicant State and,
if the applicant is part of a consortium, all States in the consortium,
plans to use to assess the English proficiency of English learners with
the most significant cognitive disabilities who are eligible to
participate in alternate assessments based on alternate academic
achievement standards in accordance with 34 CFR 200.6(a)(2) in lieu of
including those students in the operational administration of the
assessments developed for other English learners under a grant from
this competition.
Collaborative Efforts Among States. The Department establishes a
priority under the EAG program for collaborative efforts among States.
To meet this priority, an applicant must--
(a) Include a minimum of 15 States in the consortium;
(b) Identify in its application a proposed project management
partner and provide an assurance that the proposed project management
partner is not partnered with any other eligible applicant applying for
an award under this competition; \1\
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\1\ In selecting a proposed project management partner, an
eligible applicant must comply with the requirements for procurement
in 34 CFR 80.36.
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(c) Provide a description of the consortium's structure and
operation. The description must include--
(1) The organizational structure of the consortium (e.g.,
differentiated roles that a member State may hold);
(2) The consortium's method and process (e.g., consensus, majority)
for making different types of decisions (e.g., policy, operational);
(3) The protocols by which the consortium will operate, including
protocols for member States to change roles in the consortium, for
member States to leave the consortium, and for new member States to
join the consortium;
(4) The consortium's plan, including the process and timeline, for
setting key policies and definitions for implementing the proposed
project, including, for any assessments developed through a project
funded by this grant, the common set of standards upon which to base
the assessments, a common set of performance-level descriptors, a
common set of achievement standards, common assessment administration
procedures, common item-release and test-security policies, and a
common set of policies and procedures for accommodations and student
participation; and
(5) The consortium's plan for managing grant funds received under
this competition; and
(d) Provide a memorandum of understanding or other binding
agreement executed by each State in the consortium that includes an
assurance that, to remain in the consortium, the State will adopt or
use any instrument, including to the extent applicable, assessments,
developed under the proposed project no later than the end of the
project period.
Types of Priorities:
When inviting applications for a competition using one or more
priorities, we designate the type of each priority as absolute,
competitive preference, or invitational through a notice in the Federal
Register. The effect of each type of priority follows:
Absolute priority: Under an absolute priority, we consider only
applications that meet the priority (34 CFR 75.105(c)(3)).
Competitive preference priority: Under a competitive preference
priority, we give competitive preference to an application by (1)
awarding additional points, depending on the extent to which the
application meets the priority (34 CFR 75.105(c)(2)(i)); or (2)
selecting an application that meets the priority over an application of
comparable merit that does not meet the priority (34 CFR
75.105(c)(2)(ii)).
Invitational priority: Under an invitational priority, we are
particularly interested in applications that meet the priority.
However, we do not give an application that meets the priority a
preference over other applications (34 CFR 75.105(c)(1)).
Final Requirements:
The Department establishes the following requirements for the
Enhanced Assessment Grants program. We may apply one or more of these
requirements in any year in which a competition for program funds is
held. An eligible applicant awarded a grant under this program must:
(a) Evaluate the validity, reliability, and fairness of any
assessments or other assessment-related instruments developed under a
grant from this competition, and make available documentation of
evaluations of technical quality through formal mechanisms (e.g., peer-
reviewed journals) and informal mechanisms (e.g., newsletters), both in
print and electronically;
(b) Actively participate in any applicable technical assistance
activities conducted or facilitated by the Department or its designees,
coordinate with the RTTA program in the development of assessments
under this program, and participate in other activities as determined
by the Department;
(c) Develop a strategy to make student-level data that result from
any assessments or other assessment-related instruments developed under
a grant from this competition available on an ongoing basis for
research, including for prospective linking, validity, and program
improvement studies; \2\
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\2\ Eligible applicants awarded a grant under this program must
comply with the Family Educational Rights and Privacy Act (FERPA)
and 34 CFR Part 99, as well as State and local requirements
regarding privacy.
---------------------------------------------------------------------------
(d) Ensure that any assessments or other assessment-related
instruments developed under a grant from this competition will be
operational (ready for large-scale administration) at the end of the
project period;
(e) Ensure that funds awarded under the EAG program are not used to
support the development of standards, such as under the English
language proficiency assessment system priority or any other priority.
(f) Maximize the interoperability of any assessments and other
assessment-related instruments developed with funds from this
competition across technology platforms and the ability for States to
move their assessments from one technology platform to another by doing
the following, as applicable, for any assessments developed with funds
from this competition by--
(1) Developing all assessment items in accordance with an industry-
recognized open-licensed interoperability standard that is approved by
the Department during the grant period, without non-standard extensions
or additions; and
(2) Producing all student-level data in a manner consistent with an
industry-recognized open-licensed interoperability standard that is
[[Page 21995]]
approved by the Department during the grant period;
(g) Unless otherwise protected by law or agreement as proprietary
information, make any assessment content (i.e., assessments and
assessment items) and other assessment-related instruments developed
with funds from this competition freely available to States, technology
platform providers, and others that request it for purposes of
administering assessments, provided that those parties receiving
assessment content comply with consortium or State requirements for
test or item security; and
(h) For any assessments and other assessment-related instruments
developed with funds from this competition, use technology to the
maximum extent appropriate to develop, administer, and score the
assessments and report results.
Final Definitions:
The Department establishes the following definitions for the
Enhanced Assessment Grants program. We may apply one or more of these
definitions in any year in which a competition for program funds is
held.
Common set of college- and career-ready standards means a set of
academic content standards for grades K-12 held in common by multiple
States, that (a) define what a student must know and be able to do at
each grade level; (b) if mastered, would ensure that the student is
college- and career-ready by the time of high school graduation; and
(c) for any consortium of States applying under the EAG program, are
substantially identical across all States in the consortium.
A State in a consortium may supplement the common set of college-
and career-ready standards with additional content standards, provided
that the additional standards do not comprise more than 15 percent of
the State's total standards for that content area.
English language proficiency assessment system, for purposes of the
English language proficiency assessment system priority, means a system
of assessments that includes, at a minimum, diagnostic (e.g., screener
or placement) and summative assessments at each grade level from
kindergarten through grade 12 that cover the four language domains of
reading, writing, speaking, and listening, as required by section
3113(b)(2) of the ESEA, and that meets all other requirements of the
priority.
English learner means a student who is an English learner as
defined by the applicant consistent with the definition of a student
who is ``limited English proficient'' as that term is defined in
section 9101(25) of the ESEA. If the applicant submits an application
on behalf of a consortium, member States must develop and adopt a
common definition of the term during the period of the grant.
Student with a disability means a student who has been identified
as a child with a disability under the Individuals with Disabilities
Education Act, as amended.
Final Selection Criteria:
The Department establishes the following selection criteria for the
Enhanced Assessment Grant program. We may apply one or more of these
selection criteria in any year in which a competition for program funds
is held.
(a) Theory of action. The Secretary reviews each application to
determine the extent to which the eligible applicant's theory of action
is logical, coherent, and credible, and will result in improved student
outcomes. In determining the extent to which the theory of action has
these attributes, we will consider the description of, and rationale
for--
(1) How the assessment results will be used (e.g., at the State,
local educational agency, school, classroom, and student levels);
(2) How the assessments and assessment results will be incorporated
into coherent educational systems (i.e., systems that include
standards, assessments, curriculum, instruction, and professional
development) of the State(s) participating in the grant; and
(3) How those educational systems as a whole will improve student
achievement.
(b) Assessment design. The Secretary reviews each application to
determine the extent to which the design of the eligible applicant's
proposed assessments is innovative, feasible, and consistent with the
theory of action. In determining the extent to which the design has
these attributes, we will consider--
(1) The number and types of assessments, as appropriate (e.g.,
diagnostic assessments, summative assessments);
(2) How the assessments will measure student knowledge and skills
against the full range of the relevant standards, including the
standards against which student achievement has traditionally been
difficult to measure, provide an accurate measure of student
proficiency on those standards, including for students who are high-
and low-performing in academic areas, and provide an accurate measure
of student progress in the relevant area over a full academic year;
(3) How the assessments will produce the required student
performance data, as described in the priority;
(4) How and when during the academic year different types of
student data will be available to inform and guide instruction,
interventions, and professional development;
(5) The types of data that will be produced by the assessments,
which must include student achievement data and other data specified in
the relevant priority;
(6) The uses of the data that will be produced by the assessments,
including (but not limited to)--
(i) Determining individual student achievement and student
progress; determining, as appropriate and as one of multiple measures,
individual principal and teacher effectiveness, if applicable; and
professional development and support needs;
(ii) Informing teaching, learning, and program improvement; and
(7) The frequency and timing of administration of the assessments,
and the rationale for these;
(8) The number and types of items (e.g., performance tasks,
selected responses, observational rating, brief or extended constructed
responses) and the distribution of item types within the assessments,
including the extent to which the items will be varied and elicit
complex student demonstrations or applications of knowledge, skills,
and approaches to learning, as appropriate (descriptions should include
a concrete example of each item type proposed); and the rationale for
using these item types and their distributions;
(9) The assessments' administration mode (e.g., paper-and-pencil,
teacher rating, computer-based, or other electronic device), and the
rationale for the mode;
(10) The methods for scoring student performance on the
assessments, the estimated turnaround times for scoring, and the
rationale for these; and
(11) The reports that will be produced based on the assessments,
and for each report: The key data it will present; its intended use;
target audience (e.g., students, parents, teachers, administrators,
policymakers); and its presentation in an understandable and uniform
format and, to the extent practicable, in a language that parents can
understand.
(c) Assessment development plan. The Secretary reviews each
application to determine the extent to which the eligible applicant's
plan for developing the proposed assessments will ensure that the
assessments are ready by the end of the grant period for wide-scale
administration in a manner that is
[[Page 21996]]
timely, cost-effective, and consistent with the proposed design and
incorporates a process for ongoing feedback and improvement. In
determining the extent to which the assessment development plan has
these attributes, we will consider--
(1)(i) The approaches for developing assessment items (e.g.,
evidence-centered design, universal design) and the rationale for using
those approaches; and the development phases and processes to be
implemented consistent with the approaches; and
(ii) The types of personnel (e.g., practitioners, content experts,
assessment experts, experts in assessing English learners, linguists,
experts in second language acquisition, experts in assessing students
with disabilities, psychometricians, cognitive scientists, institution
of higher education representatives, experts on career readiness
standards, and other key stakeholders) involved in each development
phase and process;
(2) The approach and strategy for designing and developing
accommodations, accommodation policies, and methods for standardizing
the use of those accommodations for students with disabilities;
(3) The approach and strategy for ensuring scalable, accurate, and
consistent scoring of items, including the approach and moderation
system for any human-scored items and the extent to which teachers are
trained and involved in the administration and scoring of assessments;
(4) The approach and strategy for developing the reporting system;
and
(5) The overall approach to quality control and the strategy for
field-testing assessment items, accommodations, scoring systems, and
reporting systems, including, with respect to assessment items and
accommodations, the use of representative sampling of all types of
student populations, taking into particular account high- and low-
performing students, different types of English learners (e.g.,
recently arrived English learners, former English learners, migratory
English learners, and English learners with disabilities), and students
with disabilities.
(d) Research and evaluation. The Secretary reviews each application
to determine the extent to which the eligible applicant's research and
evaluation plan will ensure that the assessments developed are valid,
reliable, and fair for their intended purposes. In determining the
extent to which the research and evaluation plan has these attributes,
we will consider--
(1) The plan for identifying and employing psychometric techniques
suitable for verifying, as appropriate to each assessment, its
construct, consequential, and predictive validity; external validity;
reliability; fairness; precision across the full performance continuum;
and comparability within and across grade levels; and
(2) The plan for determining whether the assessments are being
implemented as designed and the theory of action is being realized,
including whether the intended effects on individuals and institutions
are being achieved.
(e) Professional capacity and outreach. The Secretary reviews each
application to determine the extent to which the eligible applicant's
plan for implementing the proposed assessments is feasible, cost-
effective, and consistent with the theory of action. In determining the
extent to which the implementation plan has these attributes, we will
consider--
(1) The plan for supporting teachers and administrators in
implementing the assessments and for developing, in an ongoing manner,
their professional capacity to use the assessments and results to
inform and improve instructional practice; and
(2) The strategy and plan for informing the public and key
stakeholders (including teachers, administrators, families,
legislators, and policymakers) in each State or in each member State
within a consortium about the assessments and for building support from
the public and those stakeholders.
(f) Technology approach. The Secretary reviews each application to
determine the extent to which the eligible applicant would use
technology effectively to improve the quality, accessibility, cost-
effectiveness, and efficiency of the proposed assessments. In
determining the extent to which the eligible applicant is using
technology effectively, we will consider--
(1) The description of, and rationale for, the ways in which
technology will be used in assessment design, development,
administration, scoring, and reporting; the types of technology to be
used (including whether the technology is existing and commercially
available or is being newly developed); and how other States or
organizations can re-use in a cost-effective manner any technology
platforms and technology components developed under this grant; and
(2) How technology-related implementation or deployment barriers
will be addressed (e.g., issues relating to local access to internet-
based assessments).
(g) Project management. The Secretary reviews each application to
determine the extent to which the eligible applicant's project
management plan will result in implementation of the proposed
assessments on time, within budget, and in a manner that is financially
sustainable over time. In determining the extent to which the project
management plan has these attributes, we will consider--
(1) The project workplan and timeline, including, for each key
deliverable (e.g., necessary procurements and any needed approvals for
human subjects research, assessment, scoring and moderation system,
professional development activities), the major milestones, deadlines,
and entities responsible for execution;
(2) The approach to identifying, managing, and mitigating risks
associated with the project;
(3) The extent to which the eligible applicant's budget is adequate
to support the development of assessments that meet the requirements of
the priority and includes costs that are reasonable in relation to the
objectives, design, and significance of the proposed project and the
number of students to be served;
(4) For each applicant State or for each member State within a
consortium, the estimated costs for the ongoing administration,
maintenance, and enhancement of the operational assessments after the
end of the project period for the grant and a plan for how the State
will fund the assessments over time (including by allocating to the
assessments funds for existing State or local assessments that will be
replaced by the new assessments); and
(5) The quality and commitment of the personnel who will carry out
the proposed project, including the qualifications, relevant training,
and experience of the project director and other key project personnel,
and the extent to which the time commitments of the project director
and other key project personnel are appropriate and adequate to meet
the objectives of the proposed project.
This notice does not preclude us from proposing additional
priorities, requirements, definitions, or selection criteria, subject
to meeting applicable rulemaking requirements.
Note: This notice does not solicit applications. In any year in
which we choose to use these priorities, requirements, definitions,
and selection criteria, we invite applications through a notice in
the Federal Register.
Executive Order 12866: This notice has been reviewed in accordance
with Executive Order 12866. Under the terms
[[Page 21997]]
of the order, we have assessed the potential costs and benefits of this
final regulatory action.
The potential costs associated with this final regulatory action
are those resulting from statutory requirements and those we have
determined as necessary for administering this program effectively and
efficiently.
In assessing the potential costs and benefits--both quantitative
and qualitative--of this final regulatory action, we have determined
that the benefits of the final priorities, requirements, definitions,
and selection criteria justify the costs.
We have determined, also, that this final regulatory action does
not unduly interfere with State, local, and tribal governments in the
exercise of their governmental functions.
We fully discussed the costs and benefits of this regulatory action
in the notice of proposed priorities, requirements, definitions, and
selection criteria. Elsewhere in this notice we discuss the potential
costs and benefits, both quantitative and qualitative, of the final
priorities, requirements, definitions, and selection criteria.
Intergovernmental Review: This program is subject to Executive
Order 12372 and the regulations in 34 CFR part 79. One of the
objectives of the Executive order is to foster an intergovernmental
partnership and a strengthened federalism. The Executive order relies
on processes developed by State and local governments for coordination
and review of proposed Federal financial assistance.
This document provides early notification of our specific plans and
actions for this program.
Accessible Format: Individuals with disabilities can obtain this
document in an accessible format (e.g., braille, large print,
audiotape, or computer diskette) on request to the program contact
person listed under FOR FURTHER INFORMATION CONTACT.
Electronic Access to This Document: The official version of this
document is the document published in the Federal Register. Free
Internet access to the official edition of the Federal Register and the
Code of Federal Regulations is available via the Federal Digital System
at: http://www.gpo.gov/fdsys. At this site you can view this document,
as well as all other documents of this Department published in the
Federal Register, in text or Adobe Portable Document Format (PDF). To
use PDF you must have Adobe Acrobat Reader, which is available free at
the site.
Dated: April 14, 2011.
Thelma Mel[eacute]ndez de Santa Ana,
Assistant Secretary for Elementary and Secondary Education.
[FR Doc. 2011-9479 Filed 4-18-11; 8:45 am]
BILLING CODE 4000-01-P