NO CHILD LEFT BEHIND
SUPPLEMENTAL EDUCATIONAL SERVICES
REQUIREMENTS FOR PENNSYLVANIA
Title I, Part A Section 1116(e)
2010-2011 School Year
Division of Federal Programs
Pennsylvania Department of Education
333 Market Street
Harrisburg, PA 17126
TABLE OF CONTENTS/CHECK LIST
Page √ For
Subject Number Completion
1.0 BACKGROUND 5
1.1 General Information 5
1.2 Purpose 5
2.0 APPLICATION INSTRUCTIONS 5
2.1 Submission Deadlines 5
2.1.1 On-line Application 5
2.1.2 Assurances and Printed Documentation 6
2.2 Technical Assistance 6
2.3 Submission of Application 7
2.4 Method of Review 7
2.5 Method of Announcement 7
3.0 SPECIFICATIONS 8
3.1 Eligible Service Providers 8
3.2 Eligibility Requirements 8
3.3 Responsibilities 9
3.3.1 Responsibilities of the Pennsylvania 9
Department of Education
3.3.2 Responsibilities of the School Districts 9
3.3.3 Responsibilities of the Approved Providers 10
3.4 Funding 11
3.5 Duration 12
3.6 Monitoring 12
3.7 Evaluation 12
3.8 Removal from the State-Approved List 13
3.9 Clearances for SES Providers 13
4.0 RESOURCES 14
5.0 TIMELINE AND REQUIREMENTS FOR SERVICES 15
6.0 APPLICATION 19
6.1 Provider Information 19
6.1.1 Contact Information 19
6.1.2 Tutoring Program 19
6.1.3 Application Classification 19
6.1.4 School District(s) to be Served 20
6.1.5 County(s) to be Served 20
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Page √ For
Subject Number Completion
6.2 Program Structure 20
6.2.1 Alignment 20
6.2.2 Communication with Classroom Teacher 20
6.2.3 Communication with Parents 20
6.2.4 Type of Instruction 20
6.2.5 Grade Levels Served 20
6.2.6 Duration 21
6.2.7 Student Tutor Ratio 21
6.2.8 Assessments 21
6.2.9 Location of Services 21
6.2.10 Accessible for Disabilities 21
6.3.11 Educational Accommodation for Disabilities 21
6.2.12 Language Assistance 21
6.3 Evidence Based Tutoring Models 22
6.4 Qualifications of Instructional Staff 22
6.4.1 Criminal Background Checks 22
6.4.2 Child Abuse Clearances 22
6.4.3 Requirements for ALL Staff 22
6.4.4 Professional Development 23
6.5 Assurances 23
6.6 List of Tutors 23
6.7 Program Evaluation & Accountability 23
6.7.1 Evidence of Past Effectiveness 23
6.7.2 Evaluation 23
6.7.3 Cost of Services 23
6.7.4 Financial Soundness 23
6.8 Verification Statement 24
6.9 Budget Summary 24
7.0 FISCAL 24
7.1 Financial Gifts to Students/Parents 24
7.1.1 Initial Incentives for Student Sign-Up 24
7.1.2 Rewards for Completing Program 24
7.2 Fiscal Soundness 25
7.2.1 Evidence of Financial Soundness 25
7.2.2 Verification of business or non-profit status 25
7.2.3 Statement of unresolved complaints with the 25
Better Business Bureau
7.2.4 Signed statement that organization has not been 25
suspended or disbarred from receiving federal
funding
7.2.5 Statement of lawsuits filed against organization 25
7.2.6 Statement of denied approval or removed 25
approval status from another state
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Page √ For
Subject Number Completion
8.0 RUBRIC 26
8.1 Alignment with School Curriculum and Pennsylvania 26
Reading and Math Standards
8.2 Communication with School Districts with Parents and 26
Families
8.3 Duration, Intensity, and Student-Tutor Ratio 27
8.4 Assessment and Student Progress 27
8.5 Program Accessibility (In-Home Tutoring not Permitted) 28
Post Office Bos not Acceptable for Address)
8.6 Evidence of Links between Research and Program 28
Design
8.7 Qualifications of Instructions Staff 29
8.8 Evidence of Effectiveness 29
8.9 Financial and Organization Capacity 30
8.10 Compliance with Federal, State and Local Regulations 30
SES ONLY
8.11 Other Considerations 30
9.0 COMPLAINT PROCEDURES 31
10.0 DOCUMENTATION TO MAIL OR HAND DELIVER: 34
10.1 Cover Page for mail or hand delivered documentation 34
10.2 ATTACHMENT A: General Assurances with original 35
signature
10.3 ATTACHMENT B: Internet Statement of Assurances with 38
original signature
Letter Designating Signature Authority:
If signatures on Attachment A and/or Attachment B are not of the head
of the applying agency, attach letter signed by agency head or
documentation citing action of governing body authorizing the person
to sign on behalf of said official.
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PENNSYLVANIA DEPARTMENT OF EDUCATION
SUPPLEMENTAL EDUCATION SERVICES (SES) POLICY
1.0 BACKGROUND
1.1 General Information
Supplemental educational services (SES) are defined as tutoring or other supplemental
academic enrichment services in reading/language arts, science and mathematics that are
provided beyond the normal school day and are of high quality, research based, and
specifically designed to increase academic achievement of students in schools in need of
improvement.
A Title I school that is in its second year of school improvement [a school that has not met
adequate yearly progress (AYP) for three years] or is in corrective action or identified for
restructuring must offer SES to eligible students. Students in Title I schools from low-
income families (participating in the Free or Reduced Price Lunch Program or Targeted
Assistance Needy Families) are eligible for SES. If the school district determines that the
amount of funds is insufficient to provide these services to all eligible students whose
parents requested the services, the school district must develop a process to prioritize the
services to the lowest-achieving students.
1.2 Purpose
As the SEA, the Department is responsible for identifying providers who are able to
provide high-quality, research-based instruction designed to increase academic
achievement for eligible students who are enrolled in Title I schools that are identified as
being in their second year of improvement, or are in corrective action, or restructuring for
the 2010-2011 school year.
The purpose of this document is to explain the processes that the Department uses to
review and approve SES Providers. Applications will be approved if they meet the criteria
stated within this policy. The list of PA approved providers of SES will be maintained and
monitored by the Pennsylvania Department of Education (PDE).
2.0 APPLICATION INSTRUCTIONS
2.1 Submission Deadlines for Online Application
2.1.1 On-line Application
All new (first time submissions) and renewing (previously approved) applicants for the
state’s 2010-2011 approved SES provider list must submit a complete application,
electronically, via the web-based application system, which can be accessed on the PDE
website for Supplemental Educational Services at
http://www.education.state.pa.us/portal/server.pt/community/supplemental_education_serv
ices/7416/home
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The deadline for online submission of a provider application is 4:00 p.m. April 30, 2010.
Applications received by mail, electronic mail (email), or by facsimile (fax) will not be
considered.
2.1.2 Assurances and Printed Documentation
In addition to submitting the application electronically, all applicants for the state’s 2010-
2011 approved SES provider list must mail or hand deliver a printed copy of all assurance
pages (with original signatures on Attachment A and Attachment B) and all other
documentation required by this document. The assurance pages must have no revisions,
additions, or deletions and must bear an original signature of the agency head in blue ink
color to distinguish it from a copy. Assurances signed by officials other than the head of
the providing agency must have a letter signed by the agency head, or documentation
citing action of the governing body delegating authority to the person to sign on behalf of
said official. Attach the letter or documentation with the signed assurance pages.
New applicants, not a school entity (all agencies serving more than 50 students and
registered with PDE) must submit with this package: (1) verification of business status:
For-Profit or Non Profit status. For example copy of 501(c) 3 document. All providers
must submit original criminal background checks, child abuse clearances, and FBI checks
for the contact name on the application.
The assurance pages and required documents must be received by the Midwestern
Intermediate Unit IV below no later than 4:00 p.m. Eastern Daylight Saving Time, May 7,
2010. Any missing, incomplete, or altered assurance pages or documents received after
May 7, 2010, will result in an unapproved application. Applicants may wish to mail the
documents via certified, return-receipt mail. It is the responsibility of the sender to ensure
that all assurances and documentation are received by the stated deadline. Enclose cover
page and attachments found in Section 10.
Mail To: Tutoring Application
Midwestern Intermediate Unit IV
453 Maple Street
Grove City, PA 16127
2.2 Technical Assistance
Questions regarding the application or the procedures for submitting a complete
application may be e-mailed to: tproctor@state.pa.us. Include in the subject line of the e-
mail message: SES Question. Questions will be answered on the PDE website for SES.
Phone calls can be made to the Division of Federal Programs at (717) 787-7135.
PDE will hold mandatory meetings in August 2010 for all approved providers to review our
procedures. Additional information regarding this technical assistance event will be posted
on the PDE website for SES.
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2.3 Submission of Application
At the completion of each section the applicant must scroll to the bottom of the page and
click on the button reading: Mark Section Complete. A green checkmark will appear
before each completed section on the menu page. When all sections on the menu page
have blue checkmarks a final submit button will appear. Activation of this button will move
the application from IN PROCESS to SUBMITTED PENDING DOCUMENTS status and
alert the Department to begin the review process after ALL necessary documents has
been received. It is important to return to your application and verify that the status reads
SUBMITTED PENDING DOCUMENTS. Applications marked IN PROCESS are
considered under construction by the applicant, and the state reviewer will not receive an
alert that the application is completed and ready for review.
2.4 Method of Review
State officials familiar with the selection of applications and with the NCLB, Title I, Part A
provisions and in SES instruction and delivery of services will review each application and
make recommendations for the approval of providers of SES for the 2010-2011 school
year. Selection will be based on accurate completion of requested information and data,
compliance with all provider eligibility requirements, and agreement with assurances set
forth in the document. All clearance documents, fiscal documents and signed policy
assurance documents must be received by May 7, 2010 for review of online application.
Successful applications are those that provide substantial evidence based on the rubric
(see attachments). It is anticipated that the selection process will be finalized in July 2010.
Approval is valid for one year.
2.5 Method of Announcement
The list of the state-approved SES providers for the 2010-2011 school year will be
announced on the Pennsylvania Department of Education website Friday, July 23, 2010.
Providers who appeal the decision of non-approval must submit a letter of complaint that
conforms to the definition set forth in Section 9 of this document and PDE must receive
prior to August 6, 2010, at 4:00 p.m.
If you wish to appeal, you must attend one of the mandatory meetings in August,
2010.
3.0 SPECIFICATIONS
3.1 Eligible Service Providers
Entities eligible to apply to provide SES may include:
For-profit companies
Non-profit organizations
Community-based/faith-based organizations
Institutions of higher education
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Local Educational Agencies – Applicants must not be identified as in need of
improvement, or in corrective action, or restructuring
Public schools that are not identified as in need of improvement, or in corrective
action, or restructuring
Charter schools that are not identified as in need of improvement, or in corrective
action, or restructuring
Private schools
Distance learning services (internet-based services)
In the past, a school district or school identified as in need of improvement, or in corrective
action, or restructuring was not allowed to apply for approval to be an SES provider. This
is no longer the case. Districts and schools that are in school improvement are now
allowed to apply to become SES providers.
3.2 Eligibility Requirements
To be eligible to be state-approved SES providers, applicants must:
Demonstrate a record of effectiveness in providing academic programs for students
for at least two years, or be able to demonstrate the capacity to effectively provide
the services through qualified staff, appropriate research-based curriculum, and an
established infrastructure.
Demonstrate a high probability of increasing the academic achievement of eligible
students on state assessments and attaining proficiency in meeting Pennsylvania’s
academic content standards by providing instruction that is of high quality, research
based, and aligned with Pennsylvania’s academic content standards.
Provide instruction in addition to that which is provided during the school day.
Instruct with a tutor/student ratio of no more than 1:10 during the school year; 1:15
during the summer.
Meet all applicable federal, state, and local health, safety, and civil rights laws
Provide SES services that are secular, neutral, and non-ideological.
Demonstrate financial soundness and stability.
Understand and agree to abide by the terms stated within this policy statement.
3.3 Responsibilities
3.3.1 Responsibilities of the Pennsylvania Department of Education
Define Annual Yearly Progress (AYP), which is the minimum performance that
school districts and schools must reach each year on state assessments and other
measures, and identify schools that do not make AYP.
Notify annually potential providers of SES regarding the opportunity to provide
services and the procedures for applying to become state-approved to deliver SES.
Develop and apply objective criteria in the application process for selecting
providers.
Promote maximum participation by providers to ensure that parents have as many
choices as possible.
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Identify providers that offer high-quality, research-based tutoring services that are
aligned with the state standards.
Maintain an updated list of state-approved providers, sorted by school districts, from
which parents may select.
Develop and implement standards and techniques for monitoring the quality and
effectiveness of the services to be offered by approved providers. Such standards
and techniques, as well as any findings resulting from such monitoring, must be
publicly reported.
Develop procedures for withdrawing approval from providers that fail for two
consecutive years to contribute to increasing the academic proficiency of the
students they serve under this program.
3.3.2 Responsibilities of the School Districts
Identify eligible students.
Notify parents annually in an understandable and uniform format, and to the extent
practicable, in a language and translation that the parents can understand
regarding:
the availability of SES.
the approved providers whose services are available to serve within the school
district.
the services, qualifications, and demonstrated effectiveness of each approved
provider.
Help parents choose a provider, if requested.
Enter into a contractual agreement with providers selected by the parents on behalf
of their students. Through a school district, the parents, and the provider, must
develop and identify specific academic achievement goals for the student,
measures of student progress, and a timetable for improving achievement.
Prioritize SES for the lowest-achieving eligible students, if parents’ request for SES
exceed the available funds.
Protect the privacy of students who receive SES.
Check the FBI clearance of all tutors before the tutors work with the students.
3.3.3 Responsibilities of the Approved Providers
Provide tutoring or other supplemental academic enrichment services in
reading/language arts and mathematics that are provided beyond the normal school
day that are of high quality, research based, and specifically designed to increase
the academic achievement of students. Homework assistance is not a form of
supplemental education services.
Ensure that the instruction provided is aligned with Pennsylvania’s academic
content standards and in the case of a student with disabilities, is consistent with
the Individuals with Disabilities Education Act as amended in 2004.
Regularly notify parents and the appropriate schools regarding the academic
progress of students receiving SES.
Enter into an agreement with the local school district that includes:
o Provisions for termination of the contract
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o Provisions for payment for services
o An assurance that the identity of any student eligible for or receiving services will
not be disclosed without prior written consent of the student’s parents
o Specific student achievement goals
o How the student’s progress will be measured
o Timetable for improving achievement
o Consistency with Individualized Educational Program plans for students with
disabilities
Meet all applicable federal, state, and local health, safety, and civil rights laws.
Be financially sound.
Ensure that all instruction and content are secular, neutral, and non-ideological.
Comply with the eligibility requirements and assurances.
Comply with all reporting requirements and timelines for submitting reports to the
school district and state.
Deliver services consistent with the approved application and the signed agreement
with each school district for which it is approved. If a provider refuses to serve a
school district, the provider will be removed immediately from the approved list.
Provide a location for tutoring that is conducive to learning. Requirements for the
location include:
o The provider should work with the LEA to explore using the LEA’s facilities for
the SES program.
o Permission must be given for the tutoring to take place by an authorized person
at the establishment. This permission must be based on the understanding of
the times of the tutoring and requirements of the tutoring environment.
o A contact name and phone number must be provided to PDE for confirmation of
the location’s acceptability.
o The tutoring environment must be conducive to learning. For example: quiet,
minimal disruptions, acceptable work surface.
o The students must be supervised by an adult with approved clearances at all
times, including to and from the restroom.
o There must be an acceptable transportation plan for how the students will get to
and from the facility.
o The school district must be notified immediately if any tutoring session is
canceled or the time or location have changed.
3.4 Funding
School districts must spend an amount equal to twenty percent (20%) of their Title I
Allocation for school improvement; an amount equal to five percent (5%) of their
allocation provides for transportation for students opting to transfer to another public
school within the LEA; an amount equal to five percent (5%) of their allocation provides
SES; and an amount equal to the remaining ten percent (10%) of their allocation
provides for transportation, SES or both. If sufficient funds are not available to provide
state-approved SES to all eligible low income students whose parents request the
services, school districts must give priority to the lowest-performing eligible students.
School districts must prioritize on the basis of the academic achievement of individual
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students. School districts are required to pay the per-student amount or the actual cost
of the SES, whichever is less.
Each applicant must account for, with the rate per hour indicated in its approved
application, expenses that it will incur in the provision of SES. All budgeted expenses
must be consistent with the rate submitted within the approved application. Maximum
hourly rate for state approved providers is $50 and this rate is permitted only when
there is a teaching ratio of three (3) or fewer students per tutor.
Note: School districts are not required to provide transportation for students being
served. A school district or school may enter into an agreement, if it so chooses, with
the provider for the use of its resources and transportation services. However, a school
district may require additional fees for this use, and the provider must ensure that there
will be on-site supervision of students at all times.
Considerations in determining the stated rate per hour should include:
Tutor/student ratio.
Variation in per-student allocations among school districts in the state.
Variation in the cost of doing business among school districts in the state.
Number of instructional hours.
Qualifications (and therefore cost) of the tutoring staff.
Cost of personnel expenses.
Cost of instructional material and equipment such as books, computers,
manipulative, etc.
Amount of rent charged by the school district and other landlords (including
variations throughout the state).
Cost for transportation, if providing transportation.
Cost of developing the agreement, including all assessment and evaluation costs
that precede any tutoring services.
School district’s payment policies regarding attendance and missed sessions
Costs associated with obtaining employee criminal background checks.
Cost of liability insurance.
Administrative expenses.
A mandatory one day SES technical assistance meeting sponsored by Pennsylvania
Department of Education to be held in August 2010. Note: Non-attendance will result in
removal from the state-approved SES provider list.
3.5 Duration
Students must begin receiving services as soon as possible in the school year.
Providers must be prepared to provide regularly scheduled services no later than 30
days of signed agreement. A provider must continue to provide SES to eligible
students who are receiving such services until the end of the school year in which
such services were first received or until the per-student allocation is exhausted.
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3.6 Monitoring
PDE is required to monitor the quality and effectiveness of the services offered by
each approved provider. Reviewers will conduct announced and unannounced on-
site visits at provider sites. Programs will be observed and required documents will
be examined. Review will cover the following: original background and child abuse
clearances, signed progress reports, assessment data, individual student goals,
student sign in sheets, enrollment list, curriculum and instructional materials, and
parent response forms.
Failure to comply with monitoring procedures may result in removal from the state-
approved SES provider list. Failure of non-school entities to provide original
clearances for all tutors observed will result in immediate revocation of approval for
tutoring programs (SES & EAP). If the provider disagrees with the report and wishes
to challenge it, the provider must appeal by submitting a complaint and evidence of
the clearances that are retained by the provider within 48 hours. The complaint
should conform to the definition set forth in Section 9 of this document. During PDE
investigation, if findings indicate the agency submitted no prior original clearances
for providers to the state, revocation will stand. Appeal will be denied.
3.7 Evaluation
Section 200.47(a)(4)(i) of the federal regulations requires PDE to monitor the quality
and effectiveness of services offered by each provider. Sec. 200.47(b)(1)(i) requires
the provider to offer SES services that are consistent with the State Academic
Content and Achievement Standards. The provider and district should work
together to determine an acceptable tool that can be used to present feedback to
the district and assist the provider in providing a course of action for the SES
program for each student.
Effective supplemental educational services are those that show significant
academic progress with at least eighty percent (80%) of the students who received
SES. The PSSA test will be used by the state to measure students’ year to year
academic progress in reading/language arts and mathematics.
3.8 Removal from the State-Approved List
PDE may remove a provider from the approved list if the provider fails for two
consecutive years to contribute to increasing the academic proficiency of students
to whom it provides services. Also, PDE has the discretion to immediately remove
a provider from the approved list if the provider fails to fulfill eligibility requirements,
provider responsibilities, general and internet assurances, health and safety
concerns or other good cause such as refusing to deliver services to school districts
in which the provider is approved by the state.
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3.9 Clearances for SES Tutors
Act 114 of 2006, 24 PS 1-111 as amended specifies that all applicants for employment with
public and private schools including employees of independent contractors, but excluding
employees who do not have direct contact with students undergo background checks. As
of April 1, 2007, the following three background checks are required:
1. Pennsylvania State Police Request for Criminal Records Check (Act 34).
Applies to individuals hired as of January 1, 1986.
2. Department of Public Welfare Child Abuse History Clearance (Act 151)
3. Federal Criminal History Record Information (CHRI) in a manner prescribed
by the Department of Education.
Act 114 of 2006, 24 PS 1-111 as amended can be found at the following site:
http://www.portal.state.pa.us/portal/server.pt/community/background_checks_(act_114)/749
3/act_114_of_2006,_24_ps_1-111,_background_checks/601417
Who requires clearances:
Section 111 applies to SES providers in that they are contractors of school districts, or other
public schools (eg: Charter Schools) or private schools that are covered by the law, and
SES providers are also subject to requirements developed pursuant to federal law. The No
Child Left Behind Act requires the Department to establish criteria for the approval of
providers. These criteria always have included criminal background checks and child
abuse clearances. Starting with the 2009-10 school years and beyond, FBI criminal history
background checks will also be required.
Obtaining clearances:
The processes for obtaining each clearance can be found at:
http://www.portal.state.pa.us/portal/server.pt/community/background_checks_(act_114)/749
3
How often clearances need to be updated:
Clearances for employees of LEAs (including charter schools and AVTS) and for state
licensed Private Academic Schools: LEAs and state licensed Private AcademicSchools are
required by law to ensure that all personnel who may have direct contact with students
have submitted the required background check reports and the school administrator has
reviewed those reports prior to working in a position in which they will have direct contact
with children. Therefore, providers in this category are not required to send clearance
information about their SES tutors to the Division of Federal Programs (DFP) for approval.
However, these providers are still required to obtain clearances as required by state law for
their employees in this type of situation. In this case, the LEA will provide a letter to DFP
from the superintendent or CEO verifying all employees working with the SES program
have the required clearances and list the appropriate employees by name. This letter must
be available upon request during monitoring visits.
Clearances for SES providers that are not LEAs or state licensed Private Academic
Schools: All employees who may have direct contact with students must have clearances
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approved by DFP. New employees are required to send original Child Abuse and State
Police Background Check reports to DFP for approval. The FBI background check reports
are to be reviewed by the school district or charter school that is contracting for the SES
services. The school district or charter school is to review the FBI reports through PDE’s
online review system, which enables the school district or charter school to review the
original report online.
If an employee has been continuously employed by the provider since having clearances
approved, they are not required to apply for new clearances providing the provider sends
proof of continuous employment to PDE. This option also requires that the tutor has been
working continuously with the same school district or charter school since having
clearances approved. Whenever a tutor starts work with a different school district, new
clearances must be provided.
Examples of proof of continuous employment are copies of W2 forms, a spreadsheet of the
company’s payroll information, or cancelled checks.
Out-of-state applicants:
All fingerprints must be taken at a Cogent Pennsylvania site. It is recommended that
applicants arrange to have fingerprints taken in PA during the job interview.
Submitting Clearances:
The original copy of the criminal background check and child abuse clearances must be
sent to IU 4 which DFP contracts with to maintain the list of approved tutors. The address
is:
SES Clearances
c/o Midwestern IU 4
453 Maple Street
Grove City, PA 16127-2399
The original background check reports are also to be reviewed by the school district or
charter school that is contracting for service with the individual tutor. FBI clearance is
checked by the school district the tutor will be working with. Once the Child Abuse and
State Police Background Check clearances have been received and no history of
disallowed criminal activity is found, PDE will place the tutor’s name on the state approved
tutor list.
For tutors who do not require new background check reports based on the previously
mentioned circumstances, the superintendent or CEO of the provider will send a letter to
PDE stating that the tutor meets all of the clearance requirements.
Provisional Contracting:
Section 1-111 of the School Code permits the administrator of a school district to hire
employees on a provisional basis for a period of ninety days while the required background
check reports are pending. In the case of an SES program, offering this accommodation
will not be feasible in most instances because the school administrator who seeks to hire a
provisional employee must agree to several conditions, which are set forth in section 111,
before the 90-day grace period can be implemented. The required conditions are found at
this site:
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http://www.portal.state.pa.us/portal/server.pt/community/background_checks_(act_114)/749
3/federal_criminal_history_background_checks/601327
PDE requires that the applicant not be permitted to work alone with children and that the
applicant work in the immediate vicinity of an employee with approved clearances.
Hiring new tutors:
Tutors may not work with children until the provider has received the appropriate
clearances (unless the above provisional requirements are followed) and submitted them to
PDE. No tutor will be allowed to work directly with students until they are on the state
approved tutor list. They are also required to have their FBI clearance checked by the
district if they are not an employee of an LEA or state licensed private school.
Crimes that prohibit a tutor from working in an SES program in Pennsylvania:
The ultimate purpose of these requirements is to ensure the protection, safety, and welfare
of the students enrolled in SES programs across the Commonwealth. Although Section
111 lists convictions of certain criminal offenses that, if indicated on the report to have
occurred within the preceding five years, would prohibit the individual from being hired,
there are other serious crimes that the PDE will consider, on a discretionary case-by-case
basis, in determining a prospective employee’s fitness to work in a position in which they
will have direct contact with children. Such crimes would include those listed in Section 111
but which were committed prior to the five-year look-back period, as well as other crimes of
a serious nature that are not on the list at all but involve ―moral turpitude‖, as defined in
Chapter 237, Title 22 of the Pennsylvania Code of Professional Practice and Conduct for
Educators. Crimes that the Professional Standards and Practices Commission previously
has concluded meet the definition of moral turpitude include, but are not limited to:
Burglary; Defrauding Public Welfare; Theft by Deception; Mail Fraud; False Imprisonment;
Altering Military Records; Receiving Stolen Property; and Money Laundering. Generally,
crimes that involve deception, lying or fraud are considered universally to be crimes
involving moral turpitude.
After acknowledging receipt of the clearance in question, the Chief of the Division of
Federal Programs will review the reports and make a determination concerning the fitness
of the individual to work in a position in which they will have direct contact with students
within thirty (30) days of the receipt of any and requested supporting documentation.
Further information:
Terri Proctor Karl Streckewald
SES Program Administrator SES Program Manager
tproctor@state.pa.us kstreckewa@state.pa.us
REMINDER: All original clearances must be approved by PDE before tutors can begin
working with students.
4.0 RESOURCES
Additional information can be found at:
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Pennsylvania Department of Education website for Supplemental Education
Services:
http://www.education.state.pa.us/portal/server.pt/community/supplemental_ed
ucation_services/7416/home
NCLB Legislation Title I – Improving The Academic Achievement of the
Disadvantaged Part A – Improving Basic Programs Operated by Local
Educational Agencies, Section 1116: Academic Assessment and Local
Educational Agency and School Improvement. [see (e) Supplemental
Education Services]:
http://www.ed.gov/policy/elsec/leg/esea02/pg2.html#1116
NCLB Supplemental Educational Services Non-Regulatory Guidance (issued
June 13, 2005): www.ed.gov/policy/elsec/guid/suppsvcsguid.doc
The Education Industry Association’s Code of Professional Conduct and
Business Ethics for Supplemental Educational Services Providers (amended
November 15, 2005) www.educationindustry.org/documents/Code of
Standards and Ethics 11-15-05.pdf
AYP Report http://paayp.emetric.net/
5.0 SES TIMELINE AND REQUIREMENTS FOR SERVICES
Dates Time Requirements Location Requirements and
2010 Consequences for Failure to
Meet Requirements
Friday Online Application Open SES Website Application will be
February Window for ALL Providers considered complete only if
26, 2010 the applicant has satisfied all
See application for of the following requirements:
information about
documents that must be by 1. Policy Signature Page is
hard copy: signed and received by IU
4 by May 7, 2010.
1. Policy Signature Page
2. Applicant attends one of
2. Clearances: the SES Mandatory
Child Abuse Meetings.
Criminal
Background
FBI Clearance 3. Hard copies of SES
required fiscal documents
3. Once every Two are received by IU 4 by
years: May 7, 2010.
Evidence of Non-Profit
or For Profit Status. 4. Original State Police,
Recent Audited Child Abuse, and FBI
Financial Statement clearances of contact
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person and all staff having
contact with children are
Read the Rubric prior received at IU 4 by May 7,
to completion of the 2010.
application. Approval
is based on fulfillment
of the specific 5. Application narrative
requirements listed in meets rubric
the Rubric. requirements.
Friday, 4 pm Last Day for electronic SES Website Applications submitted or
April 30, submission of Provider resubmitted after 4 p.m. on
2010 Application April 30, 2010 will not be
(Hard copies of the accepted.
Application will NOT be
accepted).
Friday May 4 pm Last Day for Original Send to: Applicant is not pre-approved
7, 2010 Clearance/FBI Check Tutoring if:
Submission. Application Original clearances and FBI
Midwestern IU checks are not received by IU 4
4 for contact person.
453 Maple St.
Grove City,
PA 16127
Cover Page
Friday Pre-Approved List Posted - SES Website If an applicant whose
July 23, Pending Final SES application has not been
2010 Mandatory Meeting. approved wishes to challenge
that decision, it must appeal
within 10 days of PDE decision
date. The applicant shall follow
the complaint resolution
procedures set forth at Link.
NOTE: The decision date will
be the posting of approved
applicants on our website on
July 23, 2010.
August 2, Mandatory Meeting for PaTTAN King Application will be revoked if:
2010 9-12 PRE-APPROVED SES of Prussia The Applicant’s signature
Providers (610) 265- does not appear on the
7321 attendance log from the
mandatory meeting.
P.S. If your application
was rejected and you
appeal, you must also
attend one of these
Mandatory meetings.
17
August , 9-12 Mandatory Meeting for Philadelphia Application will be revoked if:
2010 PRE-APPROVED SES School The Applicant’s signature
Provider District, does not appear on the
(215)-400- attendance log from the
4000 mandatory meeting.
P.S. If your application
was rejected and you
appeal, you must also
attend one of these
Mandatory meetings.
August , Mandatory Meeting for Pittsburgh SD Application will be revoked if:
2010 9-12 PRE-APPROVED SES (412) 622- The Applicant’s signature does
Providers 3500 not appear on the attendance
log from the mandatory
meeting.
P.S. If your application was
rejected and you appeal, you
must also attend one of these
Mandatory meetings.
August 10, Mandatory Meeting for PDE Application will be revoked if:
2010 9-12 PRE-APPROVED SES Harrisburg The Applicant’s signature does
Providers 717-783-2193 not appear on the attendance
log from the mandatory
Heritage meeting.
Room A
P.S. If your application was
rejected and you appeal, you
must also attend one of these
Mandatory meetings.
August Schools that have been PDE: School districts must meet the
identified for school SES Website requirements of parent
Improvement II or corrective notification or PDE may
action will send: Letter of consider sanctions.
Notification with approved Parents must submit request for
SES provider list of eligible services within the district
children is sent out by the deadline noted in letter or
school district to parents. students will not be served.
September Providers contacted by
parents.
October Providers sign agreements Pursuant to section 1116(e)(3)
with school districts. of NCLB, LEAs are required to
enter contracts with providers
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that have been approved by the
Department and selected by
parents of eligible students. If,
during the course of
negotiations or during the term
of the contract, questions
regarding the provider’s
compliance with state
requirements or contractual
obligations arise, the LEA
should consult its solicitor, just
as it would do if it had questions
about other contracts.
November SES Services begin within If services do not begin within
30 days of agreement 30 days, parents may choose
signature. another provider for student.
6.0 APPLICATION
The application, if approved, is the basis upon which the provider and school district
agreement is written. Each approved SES provider must enter into an agreement with
each school district before services to students. Please consider each of the responses
carefully as these responses will become the terms of the contract signed with the school
district. In addition, PDE will monitor each provider to ensure that the implementation of
the program is consistent with representations made on the approved application.
6.1 Provider Information
6.1.1 Contact Information
Name of Center or Organization/Name of Private Tutor
AUN # (School Districts Only)
Federal Employer Identification Number
SS#
Position Title
Name of Contact Person (director or manager of agency)
Mailing Address (P.O. Box numbers not accepted)
City/State/Zip Code
Telephone Number including area code
Fax Number
E-mail Address (REQUIRED)
6.1.2 Program:
Educational Assistance Program (EAP)
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Supplemental Educational Services (SES)
6.1.3 Classification:
- Local Educational Agency (LEA)
- School (If the school has been identified for School Improvement, Corrective
Action or Restructuring, it cannot be a provider for SES.)
- Charter School
- Individual Teacher
- Institution of Higher Education
- Non-Profit Entity
- For Profit Entity
- Faith Based Organization
6.1.4 School District(s) to be served (Select all school districts in which the
applicant requests approval and agrees to provide SES):
Indicate the school district(s) for which the applicant will provide services. A link to the list
of 2009-2010 Title I schools, by district, with 2009 AYP and School in Need of
Improvement (SI) status, can be found on the PDE SES website. This report lists the Title
I schools that are in year two and three SI status and therefore were required to offer SES
to eligible students. This list will be updated with 2010 AYP data and is expected to be
released in August, 2010. For 2010 planning purposes, any school on this list that remains
in SI status will be required to offer the option of state-approved SES to eligible students.
A school that currently must offer SES to eligible students will continue to be required to
offer this option until the school has made AYP for two consecutive years.
6.1.5 County(s) to be Served
6.2 PROGRAM STRUCTURE DETAILS
6.2.1 How will the provider ensure that the selected evidence-based tutoring models are
aligned with the school curriculum and with Pennsylvania’s reading, math and
science standards?
6.2.2 Explain the method of communication between the provider and the classroom
teacher and how often student progress reports will be made available to the
classroom teacher.
6.2.3 Explain the method of communication between the provider and the parents and
how often student progress report will be provided for the parent.
6.2.4 What assessments are used to determine student eligibility and benchmarks? How
will tutors know that students are making progress within the tutoring program
session so they can adjust instruction and provide feedback to teachers and
parents?
6.2.5 Where will the tutoring services be offered? Note: Please indicate whether services
will be offered at a school site or a different location. List all locations including
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name of site, address and phone number. [Note: Tutoring is not permitted in the
student's or provider's home.].
6.2.6 What are the educational or instructional accommodations for eligible students with
disabilities?
6.2.7 Will language assistance for eligible Limited English Proficiency (LEP/ELL) students
be provided? If so which languages (i.e. Spanish, Chinese) will be offered? Explain
qualifications and experience.
6.2.8 Please provide a brief abstract that outlines your program. School districts will have
the ability to include this when mailing out parent notification letters and will also be
publicly viewable on the Department of Education’s website. (PDE may modify or
return this narrative to the provider for edit/modification if it is deemed that
information contained is inaccurate or misleading).
6.2.9 Which of the following types of instruction will the provider offer (check all that
apply) Note: Only SES providers may offer distance learning tutoring.
6.2.10 In the chart please indicate what grade levels will be served. SES tutoring may be
offered before school, after school, on weekends and during the summer. (4th, 6th
and 9th may include retained students.) SES tutoring may not be offered during the
school day.
6.2.11 What is the anticipated duration of the tutoring program module? Please specify in
terms of what each student is expected to receive in hours of tutoring per week,
number of sessions per week over how many weeks. A link to view the maximum
per pupil SES allocation for all PA districts will be posted on the PDE SES website
in August, 2010. Also, as stated in the Assurances, the maximum hourly rate for
state approved providers is $50, and this rate is permitted only when there is a
teaching ratio of three (3) or fewer students per tutor. Please keep this maximum
rate and the Per Pupil allocation in mind when completing this section.*
6.2.12 List your maximum student: tutor ratios. The maximum group size for tutoring is 10
students per instructor during the school year and 15 students per instructor during
the summer.
6.2.13 List the specific types of disabilities you are able to work with.
6.2.14 List specific foreign languages you are able to work with.
6.3 EVIDENCE-BASED TUTORING MODELS
Choose the Evidence-Based Research Model from the list provided. In the second
column describe objectives and strategies used in the model. How will student needs
be identified? Are all tutors trained in the model? What remediation methods will be
21
utilized? What formative assessments are used? Description of strategies must
assure the reviewer that student needs are being met. Note: Homework help, such as
working on subjects assigned by the classroom teacher, is not sufficient to meet the
requirements of this program. Choose the subjects (reading and/or math) for which
tutoring will be offered.
6.4 QUALIFICATION OF INSTRUCTIONAL STAFF
6.4.1 Does the program – and its entire instructional staff – operate in
compliance with 24 P.S.§ 1-111 (criminal background checks and FBI clearances)?
6.4.2 Does the program operate in compliance with 24 C.S.§ 6354 et seq.
(clearance relative to child abuse and injury)? If staff is hired during the school year
clearances must be submitted to the same address prior to the staff providing
services to students. A provider’s failure to fully comply with this requirement is a
basis for disqualification from further participation in the program.
Please mail documents to: Tutoring Application
Midwestern IU4
453 Maple St.,
Grove City, PA 16127-2399
Hard copies of original clearances must be RECEIVED for the contact person listed
on this application by end of business day May 7, 2010. Failure to submit required
documentation by this time and date will result in the rejection of the tutoring
application. Include the cover page with package.
6.4.3 Please indicate which of the following is a requirement for EVERY instructor in your
program. (Check each that applies, but only if it is a requirement for every
instructor.)
A high school diploma or GED?
A college degree?
Pennsylvania public school certification or private
school certification in reading or math for the appropriate grade level(s)?
An advanced degree?
Other qualifications (specify)?
6.4.4 Please provide a brief statement regarding the qualification of your tutors. What
professional development do you provide for your instructors? Describe how you
will ensure that all tutoring is aligned with classroom practice.
6.5 ASSURANCES
All tutors on staff have submitted clearances.
6.6 LIST OF TUTORS
6.7 PROGRAM EVALUATION & ACCOUNTABILITY
22
6.7.1 Explain past effectiveness in increasing student achievement in reading, math and
science. Preferably include achievement data with valid and reliable assessment
results from a state, district or an independent test developer. Applicant may include
measure of improvement using school grades or may list percentages of students
improving one year or more as a result of the listed program. Data must be the
result of the individual applicant, not a national organization. If the applicant is a
new tutor, state the professional development in the model selected.
6.7.2 A formal evaluation will be conducted annually by the Department or its designee.
Each tutoring provider must give its assurance that it understands that the
evaluation will be based on students’ progress in reading and math, as measured
by an assessment plan approved by the Department. Note: The Department shall
revoke the approval of any provider for which the annual assessment requirement
demonstrates that 20% or more of students failed to make academic progress for
two consecutive years.
6.7.3 Each tutoring provider will follow a data collection and reporting plan in partnership
with the evaluator.
6.7.4 All providers must be financially sound in order to be eligible for state funds. Check
the applicable box:
The provider is an LEA or school.
The applicant is a for-profit entity, non-profit or individual.
The provider is none of the above. Specify.
If none of the above selected please specify.
SES APPLICANTS ONLY
The SES provider is a for-profit entity or non-profit entity and has submitted a hard
copy of the most recent audited financial statement and evidence of for-profit or
non-profit status. Fiscal documents must be received by the Midwestern
Intermediate Unit IV below no later than 4:00 p.m. Eastern Daylight Saving Time
on or before May 7, 2010. Please mail all documents in one package with the cover
page. Mail to: Tutoring Application
Midwestern IU4
453 Maple St.
Grove City, PA 16127-2399
6.8 VERIFICATION STATEMENTS
With the submission of this application I verify that my representations in
this application are true and correct to the best of my knowledge, information, and
belief. I understand that false statements herein are subject to the penalties of 18
PA C.S. § 4904 relating to unsworn falsifications to authorities.
6.8.1 Applicant has printed, read and agrees to the Timeline and Provider Requirements
located at the following link. Applicant agrees to submit, with Cover Page,
Attachment A (General Assurances), Attachment B (Internet Statement of
23
Assurances) and required documents to Midwestern IU 4. Documents must be
received by 4:00 pm EST May 7, 2010.
6.9 BUDGET SUMMARY - FOR SES PROVIDERS ONLY
6.9.1 Please provide a description of the organization, including information such as
projected overall budget, length of time in operation, number of existing locations,
number of staff, organizational structure, etc.
6.9.2 Please provide a description of the organization’s history of providing similar
supplemental educational services, including the number of previous contracts, the
diversity of clients, the number of students served, etc.
6.9.3 Please provide the names, titles, addresses, phone numbers, and e-mail addresses
(if available) of at least three references who contracted for similar services within
the past two years.
7.0 FISCAL SOUNDNESS
Attach copies of the organization’s tax returns for the past two years or other
evidence of fiscal soundness e.g. annual financial statements, fiscal audits, Dunn &
Bradstreet reports, etc., submitted as Appendices. Only required once every two (2)
years.
7.1 FINANCIAL GIFTS
7.1.1 Initial Incentives for Student Sign up. Maximum of $2 incentive or equivalent value
may be offered or given to a student/parent who signs with a provider.
Examples are:
Book Mark
Placemat
Pencil or Pen
Providers may give no incentive to school staff for referrals
No registration Fees are permitted
7.1.2 Rewards for Completing Program
Maximum of $50 educational gift per year per student. (Must be educationally
related or be used to provide snacks for group party upon completion of goals.)
Suggested examples are:
Books for appropriate age level or
Gifts certificates at book stores for educational material
Providers may not give away free computers
Distance Learning Agencies requiring use of computer in home may lend
computers for student use during the period of tutoring.
7.2 FISCAL SOUNDNESS DOCUMENTATION
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[NCLB, Section 1116(e)(12)(B)(iii)]
Applicants must ensure the following documentation is mailed or hand delivered
and received by the Midwestern Intermediate Unit IV below no later than 4:00
p.m. Eastern Daylight Saving Time on or before May 7, 2010. Limit to a total of 15
pages. Tutoring Application
Midwestern IU4
453 Maple St.
Grove City, PA 16127-2399
7.2.1 Copy of the organization’s most recent tax return or other evidence or fiscal
soundness such as annual financial statements, or fiscal audits.
7.2.2 Verification of business status or non-profit status. For example:
Internal Revenue Service (IRS) letter noting FEIN or 501(c)(3) document.
7.2.3 If there are unresolved complaints with the Better Business Bureau, provide
statement of explanation.
7.2.4 Agency must provide signed statement that it has not been suspended or disbarred
from receiving federal funding.
7.2.5 If lawsuits have been filed against the organization for education and/or fiscal
mismanagement, civil rights violations, criminal act(s), or other reason(s); provide
information on the lawsuit(s) filed and the outcome for each instance.
7.2.6 If the organization has been denied approval or its approval status was removed as
an SES provider in another state, identify such state(s) and the reason(s) for such
denial or removal.
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8.0 Pennsylvania Department of Education
Rubric for Provider Applications
No Evidence Limited Evidence Substantial Evidence
Agency
A. Program Structure Details
8.1 Alignment with Applicant fails to demonstrate a Applicant provides some Applicant clearly describes the connection
connection to State content and information regarding the between its proposed program and State
School Curriculum student achievement standards. alignment of its proposed content and student achievement standards
and Pennsylvania Applicant cannot demonstrate supplemental services and state and can clearly cite which standards it
knowledge of the instructional academic standards. addresses.
Reading and Math program of the district(s) in Past state reviews of this applicant
Standards which it intends to operate. document that the provider has provided
Past state reviews of this research based educational materials to
provider document that students students and the instruction is aligned with
do not have adequate access to state student and academic achievement
educational materials and standards.
instruction is not aligned with
state academic standards.
8.2 Communication Applicant does not clearly Applicant provides some Applicant clearly describes process to
describe a process to ensure a information as to how it will ensure a connection between the
with School Districts connection between the ensure a connection between the instructional program and the program in
and with Parents instructional program and the instructional program and the place at the student’s school.
and Families program in place at the student’s program in place at the student’s Applicant provides evidence that it already
school or how it will report on school. has a strong relationship with the school or
student progress to school and Applicant outlines how it will district and clearly describes how it will
parents, and how it will involve communicate student progress to communicate with parents; provides
parents in developing goal and school and parents, explains an innovative strategies to promote parental
timeline for student. initial goal setting meeting with involvement.
Past state reviews of this parents and how it will involve Past state reviews of this applicant
applicant document that the parents in developing goal and document that the provider has regular
provider is inconsistent in timeline for student. progress reports available with evidence
providing progress reports to the that teachers and parents have received
school district and to parents. information on progress.
26
No Evidence Limited Evidence Substantial Evidence
Agency
8.3 Duration, Applicant does not provide Applicant provides evidence that Applicant clearly demonstrates that the
evidence that the intensity of the the intensity of the program merits duration of the program will provide for
intensity, and program is in direct proportion the cost per pupil hour and that the success of student.
student-tutor ratio to the cost per pupil hour and duration of the program will be of Program indicates maximum instruction
that the duration of the program sufficient length to be of benefit to time per student.
will be of sufficient length to be the student’s progress. Past state reviews of this applicant
of benefit to the student’s Past state reviews of this applicant document that the provider has sites open
progress. document that the provider meets within 30 days of the signed district
Past state reviews of this the approved ratio and serves agreement and sites are open as contracted
applicant document that the students at least 20 hours in each with the school district.
provider does not have sites subject.
open on a regular basis.
Applicant does not adequately Applicant provides some Applicant clearly explains how the student
describe a clear process to description of how the student will will be assessed and prescribed an
8.4 Assessment and assess/diagnose student needs, be assessed and prescribed an individual learning program.
Student Progress identify skill gaps, and prescribe individual learning program. Applicant clearly explains how student
an individualized instructional Applicant shows a limited method progress will be monitored through
program. for monitoring progress of each assessments.
Applicant fails to clearly student receiving assistance. Applicant describes plan to thoroughly
describe evaluation and Applicant provides some inform district, parents, and teacher(s) of
monitoring process. explanation of how district, student progress.
Past state reviews of this parents, and teacher(s) will be Past state reviews of this applicant
applicant document no informed of progress. document ongoing assessments are in place
assessments in place to identify Past state reviews of this applicant to identify student needs and instruction is
student needs. document limited assessments in adjusted to provide for student success.
place to identify student needs.
27
No Evidence Limited Evidence Substantial Evidence
Agency
8.5 Program Applicant does not describe in Applicant gives a brief description Applicant cites specific detail on how
detail how access to services will of how services will be provided to services may be accessed by students; offers
Accessibility be provided and does not give students. Providers may give transportation as part of service; provides
address for site locations. addresses for site locations. the addresses for site locations.
IN-HOME In-Home Tutoring Applicant provides services during Applicant provides services during
Applicant does not provide extended hours. extended hours.
TUTORING NOT services that are accessible to Past state reviews of this applicant Location is in a safe location and the
PERMITTED students. document this applicant meets at a environment is quiet and conducive to
Past state reviews of this safe location and students have education.
applicant document that this average attendance. Past state reviews of this applicant
POST OFFICE applicant changes locations on a document this applicant meets at a
BOX NOT regular basis, and student confirmed location and reviewers
instruction is inconsistent and consistently find programs in progress and
ACCEPTABLE not conducive to student students actively involved.
FOR ADDRESS remediation.
B. Evidence-Based
Models
8.6 Evidence of Applicant can explain how major Applicant clearly and specifically explains
Applicant fails to adequately elements of its program are how instructional materials selected for use
Links Between discuss how instructional research-based and can provide in program are based on evidence from
Research and materials selected for use in some evidence from research. research and provides detailed citations that
Program Design program are based on evidence Applicant can cite research that are of high quality.
from research. justifies instructional methodology. Five Essential Elements of Learning to
Past state reviews of this Past state reviews of this applicant Read addressed: Phonemic Awareness,
applicant document the use of a document the use of an approved Phonics, Fluency, Vocabulary Building and
curriculum which is not research curriculum. Comprehension.
based. Applicant clearly explains strategies for
meeting student needs.
Past state reviews of this applicant
document the use of an approved
curriculum utilizing effective strategies.
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No Evidence Limited Evidence Substantial Evidence
Agency
C. Instructional
Staff
8.7 Qualifications of Applicant fails to address the Applicant provides some Applicant provides evidence that staff is
qualifications of teachers/other description of the qualifications of highly qualified to provide supplemental
Instructional Staff staff or the ongoing support they teacher/other staff and the ongoing services.
will be given. support they will be given. Applicant describes comprehensive plan in
CLEARANCES Applicant does not demonstrate Applicant demonstrates some place for professional development and
experience in working with low experience in working with low technical assistance.
REQUIRED -- academic students. academic students. Applicant demonstrates experience in
COLLECTED BY Applicant does not require Past state reviews of this applicant working with low academic students.
criminal background checks for document that the tutor Past state reviews of this applicant
STATE AND LEA employees. qualifications agree with the document the tutors are highly qualified and
approved application. receiving extensive professional
development in the approved model.
D. Program
Evaluation and
Accountability
8.8 Evidence of Applicant fails to discuss the Applicant shows some evidence of Applicant cites evidence that fully supports
effectiveness of the program; effectiveness of the program. the program’s effectiveness. Includes
Effectiveness includes little data, if any, that Limited description of high description of high quality, research-based
demonstrates positive impact on quality, research-based instruction instruction. Has independent study or other
student achievement on state, or curriculum model. data available.
district or other test Past state reviews of this applicant Applicant includes pre and post test scores
Fails to include evidence, such document that some of the students or other measure to verify progress of
as national or statewide test data, are gaining less than the minimum students taught such as: percentage of
school grades, etc. of one proficiency level on the 4 students that increased from below
Past state reviews of this Sight Assessment. proficient to proficient levels.
applicant document that progress Past state reviews of this applicant
of students is below the state document that 80% of students are gaining a
average. minimum of one proficiency level on the 4
Sight Assessment.
29
No Evidence Limited Evidence Substantial Evidence
Agency
8.9 Financial and Applicant does not Applicant provides some Cost per pupil hour is appropriate
adequately demonstrate that it information that indicates that it is considering ratio of students per teacher.
Organizational is financially and financially and organizationally Applicant clearly demonstrates that it is
Capacity organizationally sound. sound and able to carry out financially and organizationally sound and
Applicant fails to provide proposed program. capable of carrying out proposed program.
copy of last audited financial Applicant provides evidence that SES Applicant provides detailed evidence
statement or presents one the intensity of the program merits of acceptable financial and management
with significant findings. the cost per pupil hour capacity, including audited financial
Past state reviews of this SES Applicant provides copies of statements, business licenses, and
applicant document that audited financial statements and/or organizational charts.
financial obligations with detailed organizational charts and Past state reviews of this applicant
staff and building contracts descriptions. document that financial obligations with
are not met. staff and building contracts are met.
E. Assurances
8.10 Compliance Applicant does not require Applicant does require criminal Applicant submits original criminal
criminal background checks background checks for employees. background checks for employees.
with Federal, State, for employees. Applicant does provide some Applicant provides strong evidence that it
and Local Applicant does not give evidence that it holds required holds required licenses and certifications for
Regulations detailed descriptions of licenses and certifications for health and safety; gives detailed description
required licenses; does not health and safety; adequately of physical site.
adequately describe physical describes physical site. Applicant provides strong evidence that it
SES ONLY locations and safety measures Applicant provides some evidences complies with federal, state, and local civil
taken. that it complies with federal, state, rights protections and ADA.
Applicant does not provide or local civil rights protections and Past state reviews of this applicant
enough evidence to verify it ADA or IDEA requirements. document original background checks and
complies with federal, state, child abuse clearances are on site and are
or local civil rights available for all tutors and staff having
protections or ADA or IDEA contact with children.
requirements.
8.11 Other Applicant provides Applicant provides additional Applicant provides references corroborating
information that does not information that adds limited value the substantial value of the overall program.
Considerations impact overall application to the overall application. Optional interview or visit to program site
and that adds little value to Applicant indicates that it has a indicates agency meets exceptional
proposed program. delivery system that is readily standards.
available to accept students. Applicant has a delivery system that can
immediately accept students.
30
9.0 COMPLAINT PROCEDURES
INTRODUCTION
The No Child Left Behind Act of 2001 (NCLB) legislation requires State Educational Agencies (SEAs)
to adopt written procedures for ―receiving and resolving any complaint alleging violations of the law in
administration of programs.‖ In accordance with this legislative requirement, the Pennsylvania
Department of Education (PDE) Division of Federal Programs has adopted the following procedures
after presenting them to the Committee of Practitioners.
DEFINITION
A ―complaint‖ is a written, signed statement filed by an individual or an organization. It must include:
a. A statement that PDE or a Local Educational Agency has violated a requirement of federal
statute or regulations which apply to programs under the No Child Left Behind Act.
b. The facts on which the statement is based.
c. Information on any discussions, meetings or correspondence with PDE or the LEA
regarding the complaint.
Complaint Resolution Procedures
1) Referral—Complaints against LEAs or appeals from LEA decisions regarding complaints will be
referred to the Regional Coordinator for the LEA against which the complaint has been filed.
2) Notice to LEA—The Regional Coordinator will notify the LEA’s superintendent or chief
administrative officer that a complaint or appeal has been received, will provide a copy, and will
direct the LEA to respond.
3) Investigation—After receiving the LEA’s response, the Regional Coordinator will determine
whether further investigation is necessary. If necessary, the Regional Coordinator may carry out
an independent investigation on-site at the LEA.
4) Opportunity to Present Evidence—The Regional Coordinator may, in his or her discretion,
provide for the complainant, the complainant’s representative, or both, and the LEA to present
evidence. Such presentation may include the opportunity for each side to question parties to the
dispute and any of their witnesses.
5) Report and Recommended Resolution—Once the Regional Coordinator has finished any
investigation and taking of evidence, he or she will prepare a final report with a recommendation
for resolving the complaint or appeal. The final report will give the name of the party bringing the
complaint or appeal, the nature of the complaint or appeal, a summary of the investigation, the
recommended resolution, and the reasons for the recommendation. The regional Coordinator will
issue the report to all parties to the complaint or appeal. The recommended resolution will
become effective upon issuance of the final report.
6) Follow-up—The Regional Coordinator will insure that the resolution of the complaint or appeal is
implemented.
7) Time Limit—The period between PDE’s receipt of a complaint or appeal and its resolution shall
not exceed sixty (60) calendar days.
8) Extension of Time Limit—The Chief of the Division of Federal Programs may extend the 60 day
time limit if exceptional circumstances exist with respect to a particular complaint or appeal.
31
9) Right to Appeal—Either party may appeal the final resolution to the United States Secretary of
Education.
Procedures for Resolving Complaints Against PDE
1) Referral—Complaints against PDE will be referred to the Chief of the Division of Federal
Programs.
2) Acknowledgment— The Division Chief will acknowledge receipt of the complaint in writing.
3) Investigation— The Division Chief will investigate the complaint.
4) Opportunity to Present Evidence—The Division Chief may, in his or her discretion, provide for
the complainant and/or the complainant’s representative to present evidence. Such a
presentation may include the opportunity for each side to question parties to the dispute and any
of their witnesses.
5) Report and Recommended Resolution—Once the Division Chief has finished any investigation
and taking of evidence, he or she will prepare a final report with a recommendation for resolving
the complaint. The final report will give the name of the party bringing the complaint, the nature of
the complaint, a summary of the investigation, the recommended resolution, and the reasons for
the recommendation. The Division Chief will issue the report to the complainant and the
complainant’s representative, if any.
6) Appeal to Secretary of Education—In appropriate cases, the complainant may appeal from the
recommended resolution to the Secretary of Education of the Commonwealth. In all other cases,
the recommended resolution will become effective upon issuance of the final report.
7) Follow-up—The Division Chief will insure that the resolution of the complaint is implemented.
8) Time Limit—The period between PDE’s receipt of a complaint and its resolution shall not exceed
sixty (60) calendar days.
9) Extension of Time Limit--The Division Chief may extend the 60 day time limit if exceptional
circumstances exist with respect to a particular complaint.
10) Right to Appeal—Either party may appeal the final resolution to the United States Secretary of
Education.
Local Complaint Procedures
1) Adoption of Procedures—Each LEA must adopt written procedures for resolving complaints filed
with them.
2) Appeal to PDE—The LEA’s procedures must provide the complainant or the complainant’s
representative with the right to appeal the LEA’s resolution of the complaint to PDE.
Filing a Complaint
Complaints should be addressed as follows:
George Raynes,
NCLB Complaint Manager
Division of Federal Programs
Pennsylvania Department of Education
333 Market Street
Harrisburg, PA 17126-0333
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10 DOCUMENTATION THAT PROVIDERS MUST MAIL OR HAND DELIVER
10.1 COVER PAGE
PRINT THIS PAGE TO USE AS THE COVER PAGE FOR MAILING SIGNED ASSURANCE PAGES
(ATTACHMENTS A AND B), AND ALL OTHER REQUIRED DOCUMENTATION.
The cover page, signed assurance pages (Attachments A and B) and all other required
documentation, must be received by the Midwestern IU4 Office below, either by mail or hand delivery,
no later than 4:00 p.m. Eastern Daylight Saving Time on May 7, 2010.
Mail To: Tutoring Application
Midwestern Intermediate Unit IV
453 Maple Street
Grove City, PA 16127
Name of Company or Agency:
Name of Contact Person (director or manager for each SES location):
Title:
Mailing Address:
City/State/Zip Code:
Telephone Number:
Fax Number:
E-mail Address (REQUIRED):
Federal Employer Identification Number (FEIN) or Federal Tax Identification Number, if applicable:
ATTACHED:
General Assurances with original signatures.
Internet Statement of Assurances with original signature.
Evidence of Fiscal Soundness.
Verification of Business Status
Child Abuse Clearances
Criminal Background Checks
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10.2 ATTACHMENT A: GENERAL ASSURANCES
The following assurances are required of all applicants to become supplemental educational
services providers. Please print this attachment, sign in blue ink, and mail to the address
stated on the previous page.
Assurances signed by officials other than the head of the providing agency must have a letter signed
by the agency head, or documentation citing action of the governing body delegating authority to the
person to sign on behalf of said official. Attach the letter or documentation to assurance pages.
As the duly authorized representative of this applicant, I certify compliance with all of the
following assurances:
1. Applicant assures that the program submitted herein is the program to be offered to
enrolled students. If the program presented for instruction to students is not the same as
submitted herein Pennsylvania Department of Education (PDE) reserves the right to
remove the organization from the approved list of providers. Applicant understands no
changes may be made to the application except contact information such as address,
phone number, fax number or email address.
2. Applicant agrees to deliver all services in accordance with the terms of this application. If
the Applicant fails to meet these terms, it may be removed from the state-approved list of
SES providers. Applicant agrees to abide by the conditions set forth in the contract with the
school district, including the payment schedule, rates and any facility user fee arranged
with the school district, that complies with Section 1116(e)(3) and (6) of the No Child Left
Behind Act of 2001 pertaining to agreements and amounts for SES. If the applicant
operates multiple sites, applicant agrees to provide services only at individual sites that
meet all criteria independently.
3. Applicant agrees to deliver services to the selected school district for which it is approved.
If the applicant refuses to serve district for which it was approved, the applicant will be
removed immediately from the approved list for the current school year for that school
district, and will be ineligible to apply for approval to provide services in the state for the
following year.
4. Applicant agrees to abide by ethical business practices, as adopted by the
Education Industry Association in its Code of Professional Conduct and Business Ethics for
Supplemental Education Services Providers (See
http://www.educationindustry.org/documents/Code of Standards and Ethics 11-15-05.pdf)
for the Education Industry Association’s Code of Professional Conduct and Business Ethics
for Supplemental Educational Services Providers, Amended November 15, 2005.
5. Applicant understands that attendance of mandatory meetings held in August of 2010 is
required for approved applications.
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6. Applicant understands that the state evaluation shall determine progress of students
utilizing a state-approved assessment. Providers not meeting the requirement for 80% of
students to make progress will not be approved.
7. Applicant understands that online submission of application is required prior to 4:00 p.m. on
April 30, 2010. Any application not submitted electronically by this time is not reviewed. Any
application narrative submitted must meet rubric requirements to be approvable.
8. Applicant has read the requirements and is aware of important dates for required
documents.
9. Applicant agrees to limit its distribution of any sign-up incentives to the students and/or
parents to $2 or less; and $50.00 or less for educational or party supplies (including such
food items as pizza or snack foods). For program completion computer giveaway is
prohibited.
10. Applicant agrees that it may be removed from the list if any false information is found to have
been provided in its application or to parents.
11. Applicant agrees to be responsible for payment of all taxes and fees resulting from payment
from school districts for services.
12. Applicant assures that all instruction and content are secular, neutral, and non-ideological.
13. Applicant acknowledges that all documents contained in or submitted with the application
shall become the exclusive property of PDE and may be distributed or displayed in any
manner deemed necessary by the agency. Clearances will be copied and returned as
received.
14. Applicant understands that its status as an approved provider is non- transferable. Contact
name and FEIN changes require the submission of a new application.
15. Applicant agrees that it is an independent entity separate from PDE and that PDE is not
obligated to approve an application, provide funds, or endorse any application submitted.
This application does not commit PDE to pay any costs incurred. Applicant understands that
all appeals must be received by PDE within 10 business days of the postmarked letter of
notification. Appeal must be addressed to the Chief of the Division of Federal Programs
and must include any evidence or statement verifying compliance and reason for a reversal
of decision. Appeals for revocation due to clearances must include evidence and be
received by PDE within 48 hours of letter of notification.
16. To the fullest extend permitted by law, the applicant and its organization agree to indemnify,
defend and hold harmless PDE, the State of Pennsylvania and their respective agents,
officers and employees from and against any and all claims, demands, suits, liabilities,
injuries (personal or bodily) property damage causes of the action, losses, costs, expenses,
damages or penalties, including without limitation reasonable defense costs and legal fees
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arising or resulting from, or occasioned by or in connection with (i) any bodily injury or
property damaged resulting or arising from any act or omission to act (whether negligent,
willful, wrongful or otherwise) by the applicant or its organization, its subcontractors, anyone
directly or indirectly employed by them or anyone for whose acts they may be liable; (ii)
failure by the applicant and its organization or its subcontractors to comply with any laws or
regulations applicable to the performance of SES; (iii) the breach of any representation or
assurance provided by the applicant and its organization in this application; or (iv) any act of
infringement of any existing patent or copyright or any unauthorized use of any trade secret.
17. Applicant agrees that original clearances must be submitted to the state and LEA as
appropriate prior to tutors having contact with students (applicant agrees it will be removed
immediately from the list if original clearances are not available). Provider agrees to submit
additional clearances in a timely manner so that tutors may begin services within 30 days of
agreement signature.
18. Applicant agrees that all original clearances must be on the site where services are provided
and available for inspection. Again, applicant understands that original clearances must be
submitted to the state and LEA as appropriate prior to tutors having contact with students
(Applicant agrees it will be removed immediately from the list if original clearances are not
available.
19. Applicant agrees that the following documentation will be submitted by May 7, 2010, if not
submitted within 2 (two) previous years:
1. Audited Statement
2. Proof of For Profit or Non Profit
20. Applicant understands that approval is valid for 1 (one) year.
I, THE UNDERSIGNED, CERTIFY that I am an individual authorized to act on behalf of the
organization in submitting this application and assurances and that all of the information provided
herein is true and accurate, to the best of my knowledge. I understand that, if any of the information
contained herein is found to have been deliberately misrepresented, that may constitute grounds for
denying the applicant’s request for approval to be placed on the list of approved supplemental
educational services providers or for removal from that same list. I further certify that the organization
will comply with all of the assurances set forth herein. Failure to comply with the assurances during
the school year may result in removal from the state-approved list and potential ineligibility to apply
for approval for the following school year.
Furthermore, I understand that this Verification is subject to Section 4904, relating to unsworn
falsification to authorities.
___________________________________________
(Name of Applicant (Typed or Printed)
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____________________________________________ ________
(Signature of Applicant) (Date signed)
____________________________________________
Name of Agency/Company/Group
Note:
1. Print name and original signature must match.
2. Use blue ink color for signature.
3. ―B‖, ―for,‖ or initials will not be accepted.
4. Rubber stamp signatures will not be accepted.
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ATTACHMENT B: INTERNET STATEMENT OF ASSURANCES
The following assurances are required of all applicants for approval as supplemental
educational services providers. Please print this attachment, sign in blue ink, and mail with
the Cover Page to the address stated previously.
Assurances signed by officials other than the head of the providing agency must have a letter signed
by the agency head, or documentation citing action of the governing body delegating authority to the
person to sign on behalf of said official. Attach the letter or documentation to assurance pages.
The internet is an electronic network connecting thousands of computer networks and million of
individual subscribers all over the world. Access to the Internet will allow students to explore the rich
resources of thousands of university libraries, governmental databases, and other on-line sources
while exchanging electronic mail with Internet users throughout the world. However, use of the
Internet, because is may lead to any publicly available fileserver in the world, may open classrooms
to electronic information resources that have not been screened by educators for use by students.
Some items accessible via the Internet may contain material that is inaccurate, defamatory, or
offensive.
The following guidelines define ―appropriate use‖ of the Internet.
1. Transmitting any material in violation of any U.S. or state regulation or school board policy is
prohibited. This includes, but is not limited to, copyrighted material and threatening or obscene
material.
2. All content transmitted via e-mail or the Internet shall be secular, neutral, and non-ideological.
3. Hate mail, harassment, discriminatory remarks, and other anti-social behaviors are
unacceptable in internet and other network communication.
4. All information accessible via the Internet should be assumed to be private property and
subject to copyright protection. Internet sources should be credited appropriately, as with the
use of any copyrighted material.
5. Applicant has a responsibility to respect the privacy and property of students. Applicant should
not intentionally seek information about, obtain copies of, or modify, files, data or passwords of
other users.
6. For the safety of students, applicant must not request or provide any personal information,
such as addresses, phone numbers, or photographs.
7. Applicant should not expect that files are private. State and school district representatives,
including school administrators, as well as parents, may review files and communications at
any time to ensure that the network is being used responsibly. Applicant must gain written
parental permission before communicating with students under the age of 13¹ via e-mail of the
Internet.
_______________________
¹ As defined in Title XIII – Children’s Online Privacy Protection Act of 1998
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8. If students will be using a school computer to access information from an applicant, the
applicant must abide by all school and school district policies and procedures regarding
computer/Internet use.
PENALTY FOR VIOLATION OF INTERNET RESPONSIBILITIES:
Failure to follow appropriate practices will result in immediate removal of the applicant from the
Pennsylvania Department of Education’s Approved Supplemental Educational Services
Provider List. When applicable, law enforcement agencies may be involved.
I, the undersigned, as a representative of _______________________________, agree that
all tutors/instructors employed by this organization will be notified of all guidelines regarding
appropriate use of the Internet and will agree to abide by them.
____________________________________ ___________________
Signature of Applicant Date signed
____________________________________
Print Name
_____________________________________
Name of Agency/Company/Group
Note:
1. Printed name and original signature must match.
2. Use blue ink for original signature.
3. ―By‖, ―for,‖ or initials will not be accepted.
Rubber stamp signatures will not be accepted.
39