Archived Information

Application for State Grants

for

Reading First
CFDA Number 84.357

Form Approved
OMB No. 1810-0648
Expiration Date: August 31, 2002

Deadline for Application: July 1, 2003

According to the Paperwork Reduction Act of 1995, no persons are required to

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time estimate or suggestions for improving this form, please write to: U.S.
Department of Education, Washington, DC 20202-4651. If you have comments or
concerns regarding the status of your individual submission of this form, write
directly to: Reading First, Office of Elementary and Secondary Education, U.S.
Department of Education, 400 Maryland Avenue, SW, Washington, DC 20202-6201.

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 UNITED STATES
DEPARTMENT OF EDUCATION

READING FIRST PROGRAM

Number 84.357 in the Catalog of Federal Domestic Assistance

Date Funds Become Available: July 1, 2002

1. Legal Name of Applicant Agency 2. Employer Identification Number

(State Educational Agency): (EIN):

__ __ - __ __ __ __ __ __ __

3. Applicant Address (include zip): 4. Contact Person

Name:

Position:

Telephone:

Fax:

5. To the best of my knowledge and belief, all data in this application are true and
correct. The document has been duly authorized by the governing body of the
applicant and the applicant will comply with the attached assurances if the
assistance is awarded.
a. Typed Name and Title of Authorized Representative: b. Tel. No.

c. Signature of Authorized Representative: d. Date

 STATE APPLICATION FOR READING FIRST

Introduction

The Reading First program focuses on putting proven methods of early reading
instruction in classrooms. Through Reading First, States and districts will receive
support to apply scientifically based reading research – and the proven instructional and
assessment tools consistent with this research – to ensure that all children learn to read
well by the end of third grade. The Reading First program will provide the necessary
assistance to States and districts to establish research-based reading programs for students
in kindergarten through third grade. Funds will also support a significant increase in
professional development to ensure that all teachers have the skills they need to teach
these reading programs effectively. Additionally, the program provides assistance to
States and districts in preparing classroom teachers to screen, identify and eliminate
reading barriers facing their students.

The Department will award funds for Reading First under the authority of Title I, Part B,
Subpart 1 of the Elementary and Secondary Education Act, as amended by the No Child
Left Behind Act of 2001. Congress appropriated $900 million for Reading First in fiscal
year 2002. Funds are allotted to States by formula according to the proportion of children
aged 5 to 17 who reside within the State and are from families with incomes below the
poverty line. Funds become available for obligation on July 1, 2002 and remain available
through September 30, 2004.

Each State educational agency (SEA) will award subgrants to eligible local educational
agencies (LEAs) on a competitive basis. In order to fulfill the intent of the legislation –
to ensure that every student can read at grade level or above by the end of third grade –
an SEA should develop selection criteria that distinguish among the quality of programs
and approaches proposed by applicants. SEAs should fund those proposals that show the
most promise for raising student achievement and for successful implementation,
particularly at the classroom level. Only programs that are based on scientifically based
reading research are eligible for funding through Reading First.

In awarding competitive grants to LEAs, SEAs must make awards that are of sufficient
size and scope to enable LEAs to improve reading instruction. The amount awarded to
each LEA must relate to the number or percentage of K-3 students in that LEA who are
reading below grade level. In addition, the percentage of Reading First funds awarded to
an LEA may not be less than the percentage that LEA received of the State’s Title I Part A
funds during the previous fiscal year. SEAs should also ensure that LEAs will distribute
sufficient funding to eligible schools to implement effective reading programs.

Each SEA may reserve up to 20 percent of the Reading First funds it receives for State
use. These funds will assist States in building and maintaining statewide capacity to
effectively teach all children to read by third grade. States may expend up to 65 percent

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of these reserved funds for activities related to professional and preservice development;
up to 25 percent for technical assistance to local educational agencies and schools; and up
to 10 percent for planning, administration and reporting. This unprecedented and
significant level of funding will provide States with the resources and opportunity to
extend this reading initiative and to improve reading instruction beyond the specific
schools and districts that receive Reading First subgrants.

Components of Effective Reading Programs

Scientifically based reading research has identified five essential components of effective
reading instruction. To ensure that children learn to read well, explicit and systematic
instruction must be provided in these five areas:

1. Phonemic Awareness – the ability to hear, identify and manipulate the individual
sounds – phonemes—in spoken words. Phonemic awareness is the understanding
that the sounds of spoken language work together to make words.

2. Phonics – The understanding that there is a predictable relationship between

phonemes—the sounds of spoken language – and graphemes – the letters and
spellings that represent those sounds in written language. Readers use these
relationships to recognize familiar words accurately and automatically and to decode
unfamiliar words.

3. Vocabulary Development – Development of stored information about the meanings

and pronunciation of words necessary for communication.

4. Reading Fluency, including oral reading skills – Fluency is the ability to read text
accurately and quickly. It provides a bridge between word recognition and
comprehension. Fluent readers recognize words and comprehend at the same time.

5. Reading Comprehension Strategies – Strategies for understanding, remembering

and communicating with others about what has been read. Comprehension strategies
are sets of steps that purposeful, active readers use to make sense of text.

An effective reading program is one that coherently integrates:

• Screening, diagnostic and classroom-based assessments that are valid and reliable;

• Instructional programs and aligned materials that include explicit and systematic
instruction in the five essential components of reading instruction;

• An aligned professional development plan; and

• Dynamic instructional leadership.

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Application Instructions

An SEA must submit an application to the Department to receive Reading First funding.
SEA applications will be held to rigorous standards for approval. State plans must
satisfactorily address all program requirements before the Department will award funds
to States. The Department urges SEAs to submit their applications as soon as possible to
maximize the amount of time available to obligate funds.

An expert panel will review applications according to the following projected schedule:

Funds for approved

Application received by: Expert review complete by: applications released by:
May 1, 2002 May 24, 2002 July 1, 2002
May 15, 2002 June 7, 2002 July 1, 2002
May 29, 2002 June 21, 2002 July 1, 2002
June 12, 2002 June 28, 2002 As close to July 1, 2002
as possible
After June 12, 2002 Rolling basis Rolling basis

While the Department will make every effort to arrange for expert review of applications
as soon as they are submitted, the Department cannot ensure that approved applications
received after May 29, 2002 will receive funding by July 1, 2002. The final deadline for
submission of applications by SEAs is July 1, 2003.

There is no specific format that the application must follow. However, each application
must provide the information below. The attached table, entitled Reading First Review
Criteria, provides guidance on criteria that expert panel reviewers will use to determine
whether State applications meet the necessary standard for funding. The table also
includes examples of exemplary criteria, the implementation of which are expected to
result in the highest quality Reading First programs. If a particular section of an
application addresses more than one review criterion, it is not necessary to repeat that
information under another heading.

1. Improving Reading Instruction – The SEA’s application describes the State’s

rationale for using scientifically based reading research to improve classroom
reading instruction in the State, and its plan for achieving that goal. This includes
both the plan for subgranting Reading First funds to targeted LEAs and schools,
as well as providing statewide professional development based on scientifically
based reading research. The application must specifically address the following:

a. Current Reading Initiatives and Identified Gaps (including REA) –

What initiatives (including Reading Excellence Act initiatives, where
applicable) are currently in place in the State to improve K-3 reading

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 achievement? What gaps exist in these initiatives, particularly in their
relationship to scientifically based reading research?

b. State Outline and Rationale for Using Scientifically Based Reading

Research – How will the SEA connect the scientifically based reading
research to plans for improving K-3 reading instruction?

c. State Definition of Subgrant Eligibility – Which local educational

agencies will be eligible for Reading First subgrants?

d. Selection Criteria for Awarding Subgrants

i. Schools to be Served – How will the subgrant selection process

evaluate the criteria LEAs use to identify schools to be served
through Reading First, as well as LEAs’ capacity to support these
schools?

ii. Instructional Assessments – How will the subgrant selection

process evaluate the screening, diagnostic and classroom-based
instructional assessments that LEAs and schools will use,
including the validity and reliability of these assessments?

iii. Instructional Strategies and Programs – How will the subgrant

selection process evaluate the instructional strategies and programs
based on scientifically based reading research that LEAs and
schools will use?

iv. Instructional Materials – How will the subgrant selection process

evaluate the instructional materials based on scientifically based
reading research that LEAs and schools will use?

v. Instructional Leadership – How will the subgrant selection

process evaluate the instructional leadership that LEAs and schools
will provide for their scientifically based reading programs?

vi. District and School Based Professional Development – How

will the subgrant selection process evaluate the professional
development plan related to their scientifically based reading
program that LEAs and schools will implement?

vii. District Based Technical Assistance – How will the subgrant

selection process evaluate the technical assistance LEAs will
provide to participating schools relating to the implementation of
Reading First?

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 viii. Evaluation Strategies – How will the subgrant selection process
evaluate the methods LEAs will use to assess the effectiveness of
Reading First activities for the district as well as for individual
participating schools? How will the subgrant selection process
evaluate LEAs plans for using this outcome information to make
decisions about continuation funding for participating schools?

ix. Access to Print Materials – How will the subgrant selection

process evaluate the programs and strategies LEAs and schools
will use to provide student access to engaging reading materials?

x. Additional Criteria – How will the subgrant selection process

evaluate any additional uses of funds by LEAs and schools? What,
if any, additional criteria will the SEA use in its subgrant selection
process?

xi. Competitive Priorities – How will the subgrant selection process

apply the required competitive priority? What, if any, additional
competitive priorities will the SEA use in its subgrant selection
process?

e. Process for Awarding Subgrants – What process will the SEA use to
award Reading First subgrants to eligible LEAs, including the number and
size of anticipated subgrants, a timeline for the subgrant process, and a
description of the review process? How will the SEA disseminate
information about the Reading First program and the SEA’s subgrant
process to eligible LEAs?

f. State Professional Development Plan – What is the SEA’s plan for

professional development related to the Reading First program? How will
teachers statewide receive professional development in the essential
components of reading instruction, using scientifically based instructional
strategies programs and materials, and using screening, diagnostic and
classroom based instructional assessments?

g. Integration of Proposed Reading First Activities with Reading

Excellence Activities (where applicable) – How will Reading Excellence
activities be coordinated with Reading First activities? Will the SEA
modify, expand or discontinue activities implemented through Reading
Excellence?

2. State Leadership and Management – The SEA’s application describes the

State’s plan for providing coherent leadership by 1) providing targeted LEAs and
schools that receive Reading First subgrants with technical assistance in
implementing strategies to improve reading instruction that are based on
scientifically based reading research, and 2) building a statewide Reading

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 Leadership Team to coordinate State efforts to improve reading instruction, and
with a leadership capability that approves and monitors the underlying scientific
base of the instruction implemented by targeted districts and schools. The
application must also demonstrate a feasible plan to effectively manage the State’s
Reading First program. The application must specifically address the following:

a. State Technical Assistance Plan – How will the SEA provide technical
assistance to LEAs and schools participating in Reading First? How will
the SEA monitor the progress of participating LEAs and schools?

b. Building Statewide Infrastructure – How will the SEA use Reading

First to build statewide commitment to improving K-3 reading instruction
and raising K-3 reading achievement? What leadership at the SEA will be
dedicated to Reading First? Has the State established a Reading
Leadership Team?

c. State Management Plan – What staff will the SEA provide for the
administration of the Reading First program? What is the timeline for
carrying out activities related to the administration of the Reading First
program? How will resources be used to implement the Reading First
program?

3. State Reporting and Evaluation – The SEA’s application describes the strategies
the State will use to evaluate the effectiveness of its Reading First program and to
report required information annually. The application explains how the SEA will
effectively monitor the academic impact of Reading First on subgrant LEAs, and
the steps the SEA will take in the event of inadequate academic progress. The
application must specifically address the following:

a. Evaluation Strategies – How will the SEA evaluate the progress

participating LEAs are making in improving reading achievement? How
will the SEA use evaluation data to make decisions about continuation
funding to LEAs?

b. State Reporting – How will the SEA meet all of its Reading First
reporting requirements?

c. Participation in National Evaluation – Will the SEA and subgrant

LEAs, if asked, participate in the national evaluation of the Reading First
program?

4. Classroom Level Impact – The SEA’s application describes how the many
facets of its Reading First plan will result in improved classroom reading
instruction. The application includes the SEA’s vision for how a Reading First
classroom will look and demonstrates the integration and coherence among the

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 many components of the plan. The application must specifically address the
following:

a. Key Reading First Classroom Characteristics – What is the SEA’s

vision for how a Reading First classroom will look?

b. Coherence – How will the SEA demonstrate that all activities are based
on scientifically based reading research and integrated in a coherent
manner? Note: Although reviewers will evaluate the overall coherence of
the SEA’s plan, applicants need not specifically address this topic as a
separate section of the application.

Each application must also include the information on the application cover sheet and the
Assurances and Certifications page, both signed by the authorized SEA representative.

The application with original signatures and two copies must be submitted by July 1,
2003 to:

Reading First
Office of Elementary and Secondary Education
U.S. Department of Education
400 Maryland Avenue, SW
Washington, DC 20202-6201
Attn: Christopher Doherty

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 Reading First Estimated State Allocations
As of April 1, 2002

State FY 2002 Reading First Allocation

Alabama $ 15,586,984
Alaska 2,158,750
Arizona 17,699,993
Arkansas 9,885,535
California 132,972,937
Colorado 9,001,635
Connecticut 7,392,983
Delaware 2,158,750
District of Columbia 2,158,750
Florida 45,638,330
Georgia 27,838,020
Hawaii 2,759,438
Idaho 3,392,098
Illinois 32,809,085
Indiana 12,908,193
Iowa 5,753,307
Kansas 6,399,468
Kentucky 13,742,471
Louisiana 19,216,464
Maine 2,612,181
Maryland 11,345,141
Massachusetts 15,301,143
Michigan 28,473,719
Minnesota 9,678,552
Mississippi 11,105,435
Missouri 14,908,815
Montana 2,941,386
Nebraska 3,024,000
Nevada 4,036,470
New Hampshire 2,158,750
New Jersey 18,426,354
New Mexico 8,390,433
New York 68,449,761
North Carolina 20,739,819
North Dakota 2,158,750
Ohio 26,895,020
Oklahoma 12,536,251
Oregon 7,395,755
Pennsylvania 28,110,897
Puerto Rico 27,318,495
Rhode Island 2,477,709

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 State FY 2002 Reading First Allocation
South Carolina 13,639,293
South Dakota 2,201,077
Tennessee 14,372,449
Texas 79,005,865
Utah 4,661,709
Vermont 2,158,750
Virginia 16,916,142
Washington 13,181,965
West Virginia 6,128,379
Wisconsin 11,117,594
Wyoming 2,158,750
Bureau of Indian Affairs 4,500,000
Outlying Areas 4,500,000

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Subgrant Identification Report

This package also contains the Subgrant Identification Report. Each SEA will need to
complete the report as soon as it makes subgrant awards. If an SEA makes awards on a
rolling basis or in multiple rounds, the SEA should submit the relevant information as it
makes awards. The Department will forward to SEAs additional information on
submitting this report electronically.

The Subgrant Identification Report should be sent to:

Reading First
Office of Elementary and Secondary Education
U.S. Department of Education
400 Maryland Avenue, SW
Washington, DC 20202-6201
Attn: Sandi Jacobs

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 Reading First
Subgrant Identification Report
(A separate form should be completed for each LEA that receives funding.)

District Name

Education Agency ID Code (NCES)

District Contact (Contact name, address,

phone number, email)

Award Amount

Award Date

Percentage of K-3 students reading below

grade level*

District Poverty Rate

Description of Reading First program

For each participating school:

School Name

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School Contact

Title I School?
If so, targeted-assistance or schoolwide?

Identified for Improvement under Title I?

Charter School?

Percentage of K-3 students reading below

grade level*

Poverty Rate

*If K-3 reading achievement data are not available, report the closest grade for which
data are available.

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 ASSURANCES AND CERTIFICATIONS

The State educational agency (SEA) hereby declares that it has filed the following assurances and
certifications with the U.S. Department of Education, and, as of the date of the signature below,
reaffirms and incorporates by reference those assurances and certifications with respect to the
Reading First Program. The SEA certifies that no circumstances affecting the validity of these
assurances have changed since their previous filing.

• As applicable, the assurances in OMB Standard Form 424B (Assurances for Non-
Construction Programs), relating to legal authority to apply for assistance; access to records;
conflict of interest; merit systems; nondiscrimination; Hatch Act provisions; labor standards;
flood insurance; environmental standards; wild and scenic river systems; historic
preservation; protection of human subjects; animal welfare; lead-based paint; Single Audit
Act; and general agreement to comply with all Federal laws, executive orders and regulations.

• The three certifications in ED Form 80-0013, regarding lobbying, debarment/suspension/

responsibility status, and drug-free workplace. (A copy of the related debarment/
suspension/responsibility assurances that the State is required to obtain from subgrantees and
maintain on file (ED Form 80-0014) is attached for the SEA's information.)

• With respect to the Certification Regarding Lobbying, the SEA recertifies that no Federal
appropriated funds have been paid or will be paid to any person for influencing or attempting
to influence an officer or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with the
making or renewal of Federal grants under this program; that the SEA shall complete and
submit Standard Form-LLL, "Disclosure Form to Report Lobbying," when required (34
C.F.R. Part 82, Appendix B); and that the SEA shall require the full certification, as set forth
in 34 C.F.R. Part 82, Appendix A, in the award documents for all subawards at all tiers.

The SEA further agrees to:

• The certifications in the Education Department General Administrative Regulations

(EDGAR) §76.104, relating to State eligibility, authority and approval to submit and carry out
the provisions of its State plan, and consistency of that plan with State law.

• The assurances in section 9304 of the Elementary and Secondary Education Act (ESEA), in
accordance with the SEA’s consolidated plan.

Name of Applicant: Program:

Printed Name and Title of Authorized Representative of the State:

Signature: Date:

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