State of Preschool 2013

Request for approval of a collection of information

Supporting Statement Part B

OMB Paperwork Reduction Act Submission 

Submitted by:

The National Center for Education Statistics

Institute of Education Sciences

U.S. Department of Education

November 29, 2012
Table of Contents

B. Description of Statistical Methodology .........................................................................1

B.1. Respondent Universe .........................................................................................1

B.2. Statistical Methodology .....................................................................................1

B.3. Methods to Maximize Response Rate................................................................1

B.4. Tests of Procedures and Methods......................................................................2

B.5. Reviewing Individuals.......................................................................................2
1

Section B. Description of Statistical Methodology

B.1. Respondent Universe

The respondent universe for this study is the state preschool administrators in the 50 states and the District 

of Columbia. Data are collected directly from these entities through a web-based survey form. Note that 

in some states there are no state programs to support publicly provided early childhood education. As 

such, these states do not have state preschool administrator and they do not report data on the topic. More 

than one agency supports early childhood education programs in some states. As a result, some states will 

have more than one respondent. Based on the most recent collections, it is anticipated that the number of 

respondents to the 2013 collection will be 53 state agency representatives. Pending policy changes that 

might occur between now and 2015, the number of respondents for the 2014 and 2015 collections is 

expected to be the same. 

B.2. Statistical Methodology

This is a universe data collection employing a survey form. All states with publicly supported early 

childhood education have responded to the collection effort in recent years, the most recent being 2012. 

Because the data collection is based on a universe of sample members and because of very high response 

rates, weighting adjustments and adjustments to variances for statistical test purposes are not necessary. 

However, some statistical adjustments are made to the resulting data to help unduplicate enrollment 

counts that can arise when the same child is enrolled in more than one publicly funded program. More 

specifically, when states report that they have included children with disabilities who are in special 

programs in the counts of preschool aged children who are in regular prekindergarten programs, the 

preschool disability count is subtracted from the regular prekindergarten enrollment counts.

B.3. Methods to Maximize Response Rate

Several steps have been taken to maximize the response to this data collection. First, the data are 

collected through a user-friendly web-based computer assisted interview program. While the data can 

take considerable effort to prepare for inclusion into the data collection tool, the web-based collection 

instrument allows respondents to break off and log in several times without losing previously entered 

information. This flexibility allows respondents to enter information as time and data availability permit. 

Further, respondents are offered opportunities to check previous year’s entries prior to data collection 

starting up and to review a current year’s entries before the data are published. The first data check acts 

both as a data quality control step, in terms of reminding respondents what kinds of data will be needed 

for the current year’s collection, and as a reminder that the current year data collection is about to begin. 

Allowing respondents to review current year data entry before results are published acts as another data 

quality control check and also provides respondents with confidence that accurate data will be reported 

from their respective states further garnering cooperation.

These approaches, combined with a clear understanding of how important these data are, have helped the 

data collection achieve a 100 percent response rate in recent data collections. 

B.4. Tests of Procedures and Methods

Each year, staff at the National Institute for Early Education Research (NIEER) review changes to 

policies that support early childhood education at the state and federal levels. Modifications are then 

made to the questionnaire and the related web-based computer assisted interview (CAI) instruments to 

reflect these policy changes (see appendix B for the 2013 instrument and research question linkages). In 
2

addition to the policy review, respondents are sent data from the previous year’s data collection allowing 

them to correct errors or update information for the formal release of the data. Further, NIEER staff 

actively participate in the annual conference of the National Association of Early Childhood Specialists in 

State Departments of Education (NAECS-SDE). Attendees at the conference provide feedback to and 

updates for the questionnaires during these conferences. This facilitates NIEER staff learning about new 

or changing policies from the provider perspective.

The CAI instruments undergo extensive testing prior to the initiation of data collection. Tests are run to 

verify that logical skips through the instrument are functioning as expected so that respondents are not

asked questions that are not meaningful based on responses to prior questions. Tests also verify that logic 

checks are working as expected. The checks flag inconsistent answers for respondents while respondents 

are entering data into the CAI. Also, prior to publication, respondents are sent current year answers for 

one last verification for accuracy before the data are released.

Note that this package includes the survey developed for the 2013 data collection. The surveys fielded in 

2014 and 2015 will be largely the same, though some updates will be necessary. For example, the year of 

reference will have to be changed, and items that are no longer pertinent due to policy changes may need 

to be removed or modified. If changes beyond updating year references are made, the updated 

questionnaire will be submitted for OMB approval under a change request.

B.5. Reviewing Individuals

The individuals consulted on the design of the 2013 survey form are as follows:

W. Steven Barnett

Director, NIEER

sbarnett@nieer.org

(848) 932-3132

Megan Carolan

Policy Research Coordinator, NIEER

mcarolan@nieer.org

(848) 932-3137

Jen Fitzgerald

Public Information Officer, NIEER

jfitzgerald@nieer.org

(848) 932-3138

Jim Squires

Senior Research Fellow, NIEER

jsquires@nieer.org

(802) 734-9715

Chris Chapman

National Center for Education Statistics

U.S. Department of Education

chris.chapman@ed.gov

(202) 502-7414

Jacqueline Jones 

As Assistant Commissioner – Division of 

Early Childhood Education

New Jersey State Department of Education 

jacqueline.jones@ed.gov

(202) 401-2176

Participants in the 

annual conferences for the

National Association of Early Childhood 

Specialists in State Departments of Education

The survey form was developed by staff and faculty at NIEER with technical input and guidance

from staff at NCES. NIEER will also be responsible for collecting the data and developing 

initial reports, again with guidance from NCES.
State of Preschool 2013

Request for approval of a collection of information

Supporting Statement Part C

OMB Paperwork Reduction Act Submission 

Submitted by:

The National Center for Education Statistics

Institute of Education Sciences

U.S. Department of Education

November 29, 2012
Table of Contents

C. Justification of the State of Preschool Questionnaire ................................................................1

List of Tables

Table C1. Item-by-item descriptions of the State of Preschool questionnaire

and associated research questions and indicators...................................................................................2
1

Section C. Justification of the State of Preschool Questionnaire – Research Questions and Indicators

The questionnaire for the State of Preschool data collections has been relatively stable over the last decade. 

Adjustments have been made as policies directly affecting the funding for and the quality of publicly supported 

early childhood education programs have changed across the fifty states and at the federal level. Data from the 

collections are used to produce a report comparing the states to one another and providing an overall national-level 

description of the state of preschool in the United States. 

Research questions and basic indicators for which the State of Preschool is designed to address are summarized 

here. Following the list of research questions and indicators, table C1 links each item in the questionnaire back to 

the related research question or indicator.

Research questions and indicators

1. To what extent are preschool aged children enrolling in publicly provided early childhood education programs? 

Are the numbers and rates of enrollment increasing, decreasing or remaining stable?

2. Are there significant disparities in enrollment rates across the states? Within each state, is there significant 

variability in ease of access to programs?

3. Are children who are English language learners enrolling at similar rates as those of other children? Are 

children with disabilities enrolling at similar rates as those of other children?

4. How many children are attending programs run through public schools systems and how many are attending 

programs provided by private schools? 

5. How many states are actively promoting policies associated with high quality early education and care 

programs? What percentage of children in early education programs reside in states promoting high quality 

programs as compared to the percentage of children living in states with lower standards?

6. Related to quality, which quality components are more common and which are less prevalent across the states. 

The study identifies 10 components that are related to important development outcomes for children and that are 

readily measureable including components that focus the implementation of comprehensive early learning

standards, teacher qualifications and certifications, and class size information.

7. Over time, are there changes in terms of the quality of early childhood education?

8. What are the sources of funding for publicly provided early childhood education programs? Does the 

distribution of funding sources vary considerably across states?

9. How much is being spent at the state and federal levels to support publicly provided preschool programs? How 

does this translate into spending per pupil? Does spending vary considerably by state? 

10. Has spending on publicly provided preschool changed significantly over time at the state and national levels?

11. How is spending monitored and evaluated?
2

Table C1 - Item-by-item descriptions of the State of Preschool questionnaire and associated research questions and indicators

Item # Item Stem Source(s) Construct(s) Research Question(s)

1 In 2011-2012, the name of your state prekindergarten initiative was Prior Year Name. Was the name the same in 2012-

2013? 

1. Yes 

2. No

NIEER Introduction All 

1a What was the name of your state prekindergarten initiative in 2012-2013? NIEER Introduction All 

2 What state agency or agencies exercise(s) administrative authority over this state prekindergarten initiative? (Check all 

that apply, and specify the name of this agency in your state in the column to the right. If there are multiple agencies 

with administrative authority, please explain in the textbox below.) 

• State Department of Education ___________________

• State Office of School Readiness or Early Childhood Education __________________

• State Head Start Collaboration Office ___________________

• State Human Services Agency ___________________

• Other (Please specify) ___________________

If you have additional detail, please enter it in this textbox below:

______________________________________________________

NIEER Introduction NA

3 We would like to get information about the geographic availability of this state prekindergarten initiative and the

coverage across the state's school districts, counties, or towns. Please fill in information by school district if possible. If 

not possible, please fill in one of the other options. Programs are offered in:

 

(Please fill in the two boxes below and select one geographic unit. For example, your answer could be "7 out of 10 

School districts".)

_________ out of ________ (choose school districts, counties/parishes, towns/communities, other specify) 

I 

If you have additional detail please enter it in this textbox below:

NIEER Accessibility of 

programs

2

4 Are districts/counties/towns in your state required to offer this prekindergarten initiative? 

1 

1. Required for all 

2. Required for some (Please describe) _____________________________________________________

3. Not required, but funds are available to any district/county/town choosing to offer the program 

4. Not required, but funding is awarded on a competitive basis 

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2
3

Introductory language Responses to questions 5-9 and 10b require finalized, unduplicated enrollment counts for the 2012-2013 program year.

Unduplicated enrollment figures include all children served on a specific date in time (preferably in fall 2012 unless fall

data are not representative of enrollment counts that year). A duplicated enrollment count, which is not requested

here, is the total number of individual children who enrolled during the course of the year, for any length of time. If

you cannot provide an unduplicated count, please provide the number of funded enrollment slots and explain in your

answer to Q6. 

Please do not count children in the home-based option in any of the enrollment counts for questions 5-9 and 10b.

Please also do not include children paying full tuition or funded solely through local dollars in the enrollment counts

for questions 5-9, 10b. 

NIEER Introduction NA

5a How many children were enrolled in this state-funded prekindergarten initiative as of your fall 2012 cut-off date (e.g., 

October 1st)? Provide an unduplicated enrollment count if possible, and only include children enrolled in center-based 

pre-K programs. Please provide an enrollment number that is consistent with the 2011-2012 response of prior year data 

children. 

Note: If the enrollment numbers are not yet available, please fill in the boxes with a ( -1) and go to question 5b.

Total number of children _______________

How many of the children in the total were 3 years old? _______________

How many of the children in the total were 4 years old? _______________

How many of the children in the total were 5 years old in pre-K? (Children who were age eligible for kindergarten but 

enrolled in pre-K) _______________

How many of the children in the total were under 3 years old? _______________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Enrollment in 

programs

1, 2

5b If final enrollment numbers are not yet available, please indicate the date by which you expect to have this 

information: _____________________________________________________

NIEER Enrollment in 

programs

1, 2

6 If the enrollment total in question 5a is not an unduplicated enrollment count, please describe what the number is 

(e.g., funded slots, duplicated count, etc.). If the enrollment reflects a time other than fall 2012, please indicate that 

date.

NIEER Enrollment in 

programs

1, 2

7 Of the total number of enrolled children in question 5a, how many were identified as English Language Learners? NIEER Characteristics of 

those enrolled

3
4

8 Are children who received special education services (i.e., had IEPs or IFSPs) counted in the enrollment total in 

question 5a?

1. Yes

2. No, children who receive special education services may attend state pre-K classrooms, but are not counted in state 

pre-K enrollment 

3. No, children in state pre-K classrooms do not receive special education services 

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Characteristics of 

those enrolled

3

8a How many children who received special education services (i.e., had IEPs or IFSPs) were enrolled in this state

prekindergarten initiative as of your fall 2012 cut-off date (e.g., October 1st)? Provide an unduplicated enrollment 

count if possible, and only include children who received special education services while enrolled in center-based preK programs. Note: If the special education enrollment numbers are not yet available, please fill in the boxes with a (-1) 

and go to Q9.

Total number of children who received special education services _______________

How many of the children in the total were 3 years old? _______________

How many of the children in the total were 4 years old? _______________

How many of the children in the total were 5 years old in pre-K? (Children who were age eligible for kindergarten but 

enrolled in pre-K) _______________

How many of the children in the total were under 3 years old? _______________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Characteristics of 

those enrolled

3

9 Please provide information about which agencies exercise administrative responsibility over the program. Answers 

should reflect agency with administrative responsibility, rather than the location of services, as has been requested in 

the past. Of the total enrollment mentioned in question 5a, how many children were enrolled in this state

prekindergarten initiative as of fall 2012 under the administrative authority of the following agencies? (Note: The total

enrollment as reported in question 5a should equal the total of children in all settings listed below. If the breakdown 

by auspice is unknown, please fill in the boxes with a -1). 

 Public Schools _____________ children

 Nonpublic Schools _____________ children

If enrollment by auspice does not add up to total enrollment as reported in question 5a, please explain: 

_____________________________________________________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Provider 

characteristics

4
5

10 For questions 10 – 10b, please use the following definitions, which are revised from previous years:

Extended day: Eight or more hours per day

School day: At least 4 hours but fewer than 8 hours per day

Part day: Fewer than 4 hours per day

How many hours per day is this state prekindergarten initiative funded to operate using state funds? (Check all that 

apply) 

• Extended day (specify number of hours:) ________________

• School day (specify number of hours:) ________________

• Part day (specify number of hours:) ________________

• Determined locally, hours vary by program, or another operating schedule is used (Please describe, including the

most common operating schedule:) 

_____________________________________________________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2

10a Is there a formal partnership at the state level to provide extended-day services through collaboration with other 

agencies and programs (for example, Head Start providers, child care centers, etc.)

 1. Yes Specify: _______________________

2. No

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2

10b Please provide more information about the operating schedule of the programs in which children attend pre-K. Of the

total enrollment mentioned in question 5a, how many children were enrolled in this state prekindergarten initiative as 

of fall 2012 in programs that had the following operating schedules? (Note: The total enrollment as reported in 

question 5a should equal the total of children in all operating schedules listed below). Note: If enrollment by

operating schedule is unknown, please fill in the boxes with -1.

Extended day ________________children

School day ________________children

Part day ________________children

Locally determined/other ________________children

If enrollment by operating schedule does not add up to total enrollment as reported in question 5a, please explain: 

_____________________________________________________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2
6

11 How many days per week is this state prekindergarten initiative funded to operate using state funds?

1. 4 days per week 

2. 5 days per week 

3. Determined locally, days vary by program, or another operating schedule is used (Please describe, including the 

most common operating schedule:) 

_____________________________________________________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2

12 What is the state-funded annual operating schedule for this state prekindergarten initiative? 

1. School year or academic year 

2. Full calendar year 

3. Other (Please describe:) 

_____________________________________________________

4. Determined locally or varies by program (Please describe, including the most common operating schedule:) 

 _____________________________________________________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2

13 In the table below, please enter the age eligibility requirements for prekindergarten (minimum and maximum age)

and kindergarten as requested for 2012-2013 using the drop down menus provided

Any age exceptions or details can be reported in Q14 following.)

Please see attached facsimile of the instrument in appendix B for details about the contents of the drop down menus.

NIEER Accessibility of 

programs

2

14 Does state policy allow any exceptions to the age requirement for prekindergarten or kindergarten eligibility (such as 

exemptions from minimum or maximum age requirements for children with special needs): 

1. Yes, (Please describe exceptions stipulated in state policy) __________________

 2. No 

NIEER Accessibility of 

programs

2
7

14a What is the state policy on enrolling children in this state prekindergarten initiative when they are age-eligible for

kindergarten at the start of the school year? (Check all that apply.)

• Kindergarten-age eligible children with documented disabilities may enroll in pre-K 

• Kindergarten-age eligible children may enroll in pre-K at the local program's discretion or at the request of parents 

• Kindergarten-age eligible children may enroll and repeat 4-year-old prekindergarten 

• Kindergarten-age eligible children may only enroll in pre-K if they have not yet attended 4-year-old prekindergarten 

before 

• Children may not enroll in this state pre-K initiative if they are age eligible for kindergarten at the start of the year 

• State policy does not regulate the enrollment of kindergarten-age eligible children in pre-K 

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2

15 Aside from age, how is eligibility determined for individual children for this state prekindergarten initiative? You will 

be given the opportunity to provide more information about eligibility in subsequent questions.

1. All age-eligible children in districts offering the program, or in the entire state, may enroll

2. Eligibility is determined by individual child or family characteristics in addition to age

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2

16 Is a state-specified income requirement used as an eligibility criterion for this state prekindergarten initiative? (If your 

answer is Yes, you will be given the opportunity to explain your answer on the following page.)

1. Yes 

2. No

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2

17 What was the state-specified income requirement during the 2012-2013 program year?

1. 100% of the federal poverty level (FPL) 

2. Eligible for free lunch, or 130% of FPL

3. Eligible for free or reduced-price lunch, or 185% of FPL

4. Other percentage of FPL (please specify:) ________________

5. Percentage of state median income (please specify:) ________________

6. Other (please describe:) ______________________

 

If you have additional detail, please enter it in this textbox below:

NIEER Accessibility of 

programs

2
8

17b 17b To whom, or to what percentage of children, does the income requirement apply?

_____________________________________________________

NIEER Accessibility of 

programs

2

18 Can eligibility for this state prekindergarten initiative be determined by any of the following risk factors? (Check all 

that apply.) 

• Disability or developmental delay of the child

• Low parental education level 

• History of abuse, neglect, or family violence 

• Homelessness or unstable housing 

• Non-English speaking family 

• Parental substance abuse 

• Risk that child will not be ready for kindergarten 

• Teen parent 

• Low birth weight or other child health risk 

• Child is or was in foster care

• Parent is on active military duty 

• Locally determined risk factors (Please specify:) _________________________________________

• Other risk factors (Please specify:) ____________________________________________________

• No, there are no risk factors other than the state-specified income requirement. 

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2

18a How many of the specified risk factors must be present for eligibility?

_____________________________________________________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2

18b How do these risk factors relate to the income cutoff for the state pre-K program?

1. Children must have the above number of risk factors in addition to meeting the income cutoff 

2. Meeting the income cutoff can count as one of the risk factors 

3. Other (Please specify:) _____________________________________________________

4. Not applicable/no income cutoff 

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Accessibility of 

programs

2
9

19 Is there a sliding payment scale based on income? 

1. Yes 

2. No 

3. Determined locally 

NIEER Accessibility of 

programs

2

19a To whom, or to what subgroup of children, does the sliding payment scale apply?

_____________________________________________________

NIEER Accessibility of 

programs

2

20 Is child eligibility for this state prekindergarten initiative ever reassessed after a child has been enrolled in the 

program? 

1. Yes 

2. No 

NIEER Accessibility of 

programs

2

20a How often is eligibility reassessed, what factors are considered in the reassessment process, and what happens to 

enrolled children who are deemed ineligible?

_____________________________________________________

NIEER Accessibility of 

programs

2

21 What is the maximum class size allowed in 2012-2013 for classes with predominantly...

 

3-year-olds? _______________

4-year-olds? _______________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7

22 What is the staff-child ratio requirement for classes in 2012-2013 with predominantly...

3-year-olds? ______________

4-year-olds? ______________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7
10

23 Which meals are required for all state pre-K participants. This includes meals offered due to requirements not set 

specifically by this state prekindergarten initiative as well as meals that must be offered even if some or all children 

pay for them, such as lunch in a public school setting. (Check all that apply)

• Breakfast 

• Lunch 

• Snack 

• Requirements depend on length of program day (please specify:) 

 _____________________________________________________

• No meals are required

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7

24 Is this state prekindergarten initiative required to provide BOTH screening AND referral for...

 Yes No Left to LEAs to decide 

Vision? 1 2 3

Hearing? 1 2 3

General physical health? 

 Height and weight or BMI 1 2 3

 Blood pressure 1 2 3

 Immunizations 1 2 3

 Psychosocial/behavioral 1 2 3

 Full physical exam (specify 

 components) 

 _____________________ 1 2 3

Developmental? 1 2 3

Dental? 1 2 3

Other (please specify:) 

__________________ 1 2 3

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7
11

25 What are the state policy requirements for teaching pre-K children who do not speak English as their primary language, 

and for supporting their families and teachers? (Check all that apply.)

• Bilingual classes are permitted in pre-K

• Monolingual non-English classes are permitted in pre-K 

• Professional development or coaching is provided for teachers 

• Programs are required to screen and assess all children 

• A home language survey is sent home at the beginning of the school year 

• Information must be presented to parents in their primary language

• A systematic, written plan must be in place on how to work with English Language Learners

• Translators or bilingual staff members are available if some children do not speak English

• Other (please specify): _____________________________________________________

• All pre-K classes must be conducted in English only

• State policy does not regulate services for English Language Learners

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7

26 Which of the following types of comprehensive services are all programs required to offer, either directly or through 

active referral? (Check all that apply.) 

• Education services or job training for parents 

• Parenting support or training

• Parent involvement activities

• Health services for parents

• Health services for children 

• Information about nutrition (beyond meals that are provided)

• Referral to social services

• Transition to kindergarten activities 

• Parent conferences and/or home visits 

• Other services (Please specify:) __________________________________________________

• Some comprehensive services are required, but specific services are determined locally 

• No comprehensive services are required

NIEER Quality of service 5, 6, 7
12

27 Please provide information about the early learning standards document that applied to this state prekindergarten 

initiative in 2012-2013:

Title of the document ________________________________________

Web address where this document can be accessed ________________________________________

Year state pre-K program adopted this set of standards ____________________________________

Year this set of standards was last revised (please use "under revision" as your answer, if applicable) 

_________________________________

NIEER Quality of service 5, 6, 7

28 Are early learning standards aligned with the Common Core standards for early grades?

 

1. Yes

2. No

3. Alignment is in progress

If you have additional detail about aligning early learning standards, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7

29 Do the state early learning standards address each of the following subject areas? If so, please describe:

 Included Heading/Chapter

 covering subject area

Physical well-being/motor development • ______________________

Social/emotional development • ______________________

Approaches toward learning* • ______________________

Language development • ______________________

Cognition and general knowledge • ______________________

 *According to 

Kagan, Moore, & Bredekamp (1995), approaches toward learning are the ways that children engage themselves in the

learning process. Approaches toward learning are not skills, but are instead dispositions, habits, attitudes, inclinations, 

or styles, and may vary due to culture, gender, and temperament. Examples are independence, initiative, 

attentiveness, and curiosity. 

If you have additional detail about your early learning standards, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7

Transition statement In this survey, a lead teacher is defined as the lead individual required to be present in each classroom during all daily 

instructional time. 

Questions 30-31 request information regarding minimum education/degree requirement for entry-level teachers in 

this state prekindergarten initiative located in public and non-public settings. If degree requirements differ for newly 

hired teachers and/or teachers hired before a certain year, please explain in the space provided for additional detail.

NIEER NA NA
13

30 What is the minimum education/degree requirement for entry level lead teachers?

 Public school Non-public school 

settings settings settings 

No minimum degree is required 0 0

Teachers must have at least a high school diploma/GED 1 1

Teachers must have at least a CDA 2 2

Teachers must have at least an associate's degree 3 3

Teachers must have at least a bachelor's degree 4 4

Teachers must have at least a master's degree 5 5

Other or varies by other factors such as program 

schedule or number of classrooms (Please explain:) 

_____________________________________________________ 6 6

Not applicable 9 9

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7

31 Are lead teachers required to have certification/licensure/endorsement or degree specialization for programs that are:

 Yes No N/A

Located in a public school? 1 2 3

Not located in a public school? 1 2 3

NIEER Quality of service 5, 6, 7

31a Please provide more information about the required certification/licensure/endorsement or degree specialization 

required for lead teachers in this state prekindergarten initiative.

 Required in... 

Name of certification/licensure/ Grades Only Public Only Non- Public and Non-

 endorsement Covered Settings Public Settings Public Settings

 

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7
14

32 How many hours of in-service professional development (including state re-certification requirements) are lead 

teachers in this state prekindergarten initiative required to attend? (Please fill in the three boxes below. For example, 

your answer could be "20 clock hours per year".)

# of Clock/Credit hours per Period of time

 Credit or Clock Hours 

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7

33 Please provide as much information as possible on the percentages and number of lead teachers during 2012-2013 at 

the following educational levels, for their highest credential/degree. 

Credential Percent of Lead Teachers Number of lead teachers

High school diploma/GED _________________________ _________________________

CDA _________________________ _________________________

AA _________________________ _________________________

BA _________________________ _________________________

MA _________________________ _________________________

Other (please specify:) _________________________ _________________________

• Data not available 

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7

34 Question 34 requests information regarding minimum education/degree requirements for assistant teachers in this 

state prekindergarten initiative located in public and non-public settings. If degree requirements differ for newly 

hired assistant teachers and/or assistant teachers hired before a certain year, please explain in the space provided for

additional detail.

What is the minimum education/degree requirement for assistant teachers?

 Public school Non-public school 

settings settings settings

No minimum degree is required 0 0

Assistant teachers must have at least a high school diploma/GED 1 1

Assistant teachers must have at least a CDA 2 2

Assistant teachers must have at least an associate's degree 3 3

Assistant teachers must have at least a bachelor's degree 4 4

Assistant teachers must have at least a master's degree 5 5

Other or varies by other factors such as program schedule or 

number of classrooms (Please explain:)

_____________________________________________________ 6 6

Not applicable 9 9

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7
15

35 Are assistant teachers required to have degree specialization or other specialized pre-service training for programs 

that are:

 Yes No N/A

Located in a public school? 1 2 3

Not located in a public school? 1 2 3

NIEER Quality of service 5, 6, 7

35a Please specify what type of training and what ages/grade ranges are covered by the degree specialization or preservice specialized training for assistant teachers.

 Required in ... 

Name of certification/licensure/ Grades Only Public Only Non- Public and Non-

 endorsement Covered Settings Public Settings Public Settings

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

____________________________ ___________ 1 2 3

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Quality of service 5, 6, 7

36 Responses to question 36 require finalized spending data for Fiscal Year 2013, which corresponds to the 2012-2013 

program year. The spending figures in this section should include all costs of implementing the state pre-K initiative, 

including non-programmatic costs such as facilities. Please provide actual spending if this differs from the total amount 

allocated. 

What was the actual fiscal year 2013 spending for this state prekindergarten initiative? Please provide the total

spending in the first line below - including all federal, state, and local contributions - and provide figures for each of 

the sources listed on the subsequent lines. (Note: If final spending data for fiscal year 2013 are not yet available, 

please fill in the boxes with a (-1) and go to question 36a)

Please provide spending figures that are consistent with last year's response. 

Total fiscal year 2013 spending $______________________

Amount of total from state sources $______________________

Amount of total from federal sources $______________________

Amount of total from required local sources* $______________________

Amount of total from non-required local sources* $______________________

* If reporting local spending figures, please divide these amounts into local spending mandated by state law (required)

and all other local spending (non-required). Required local sources include mandated local matches for grant programs 

and local contributions required in states using the state aid or school funding formula to pay for pre-K.

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Funding sources for 

publicly provided 

early childhood 

education

8,9, 10
16

36a If final spending data for fiscal year 2013 are not yet available, please indicate when you expect to have this 

information: _____________________________________________________

NIEER Funding sources for 

publicly provided 

early childhood 

education

8,9, 10

37a Please list any specific state sources used to support this state prekindergarten initiative. When available, also indicate

how much money was contributed. (Examples of state sources include general revenue funds, lottery, gaming 

revenue, sin tax, etc.)

 Source: Amount (if known):

1 _____________________________________ $ _________________________

2 _____________________________________ $ _________________________

3 _____________________________________ $ _________________________

4 _____________________________________ $ _________________________

If you have additional detail, please enter it in this textbox below:

___________________________________________________________

NIEER Funding sources for 

publicly provided 

early childhood 

education

8,9, 10

37b Please list any federal sources used to support this state prekindergarten initiative. When available, also indicate how 

much money was contributed. (Examples of federal sources include TANF, CCDF, IDEA, USDA Child and Adult Care Food 

Program, McKinney-Vento Homeless Assistance Act, Federal Impact Act, Even Start, Title I, etc.) If no federal sources 

were used, please use N/A as your response.

 Source: Amount (if known):

1 _________________________________ $_________________________

2 _________________________________ $_________________________

3 _________________________________ $_________________________

4 _________________________________ $_________________________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Funding sources for 

publicly provided 

early childhood 

education

8,9, 10

38 Is funding for this state prekindergarten initiative determined by a school funding or state aid formula?

1. Yes 

2. No

Please describe the funding or state aid formula as it applies to this state prekindergarten initiative:

_____________________________________________________

NIEER Funding sources for 

publicly provided 

early childhood 

education

8,9, 10
17

39 What types of agencies are eligible to receive funding directly? (Check all that apply.) 

• Public schools 

• Head Start settings 

• Private agencies (such as child care centers or non-profit organizations)

• Faith-based centers (with or without religious content) 

• Family child care homes 

• Other (Please specify:) 

_____________________________________________________

NIEER Funding sources for 

publicly provided 

early childhood 

education

8,9, 10

40 Are agencies that receive funds directly allowed to subcontract with: (check all that apply)

• Public schools 

• Head Start settings 

• Private agencies (such as child care centers or non-profit organizations)

• Faith-based centers (with or without religious content) 

• Family child care homes 

• Other (Please specify:) 

_____________________________________________________

• Agencies who receive funds directly are not allowed to subcontract

NIEER Funding sources for 

publicly provided 

early childhood 

education

8,9, 10

41 Is there a required local match for this program? 

1. Yes (Please describe the requirement:) _____________________________________________________

2. No

NIEER Funding sources for 

publicly provided 

early childhood 

education

8,9, 10

42 What information does the state collect for monitoring purposes for programs in this state prekindergarten initiative? 

(Check all that apply.) 

• Structured observations of classroom quality (e.g., ECERS, CLASS) 

 Specify observation instruments _____________________

 Specify frequency of observations _____________________

• Documentation of children's learning and/or child outcomes 

 Specify assessments used _____________________

 Specify frequency of documentation _____________________

• Documentation of program-level outcomes 

 Specify outcomes measured _____________________

 Specify frequency of documentation _____________________

• Review of program facilities and safety procedures 

• Results of program self-assessments 

• Participation in a state quality rating system 

• Review of program records 

• Other (Please describe:) 

_____________________________________________________

• State policy does not require collection of information for monitoring purposes 

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Metrics for 

monitoring program 

spending and 

performance

11
18

43 How is this monitoring information collected by the state? (Check all that apply, and please describe the frequency of 

each activity checked. If some information is only collected for a sample of programs, please describe in the textbox

below.)

• Site visits by staff of the oversight agency or consultants hired by the state 

(Specify frequency):

_____________________________________________________

• Submission of information by program or local entity (such as LEA) 

(Specify frequency and briefly describe information required to be submitted):

_____________________________________________________

• Other (Please describe and specify frequency): 

_____________________________________________________

If you have additional detail, please enter it in this textbox below:

____________________________________________________________

NIEER Metrics for 

monitoring program 

spending and 

performance. Also 

metrics for program 

quality

5, 6, 7, 11

44 How is the monitoring information described in question 42 used for program improvement? (Check all that apply.) 

• To identify needs that will guide teacher training or professional development 

• To identify programs for corrective action or sanctions 

• To make funding decisions about programs or grantees

• To make adjustments to curricula

• To provide program staff with technical assistance and/or mentoring 

• To make changes to state policies regarding the preschool program 

• To measure program on a Quality Rating and Improvement System (QRIS)

• To provide feedback to parents

• Other uses (Please specify:) 

_____________________________________________________

If you have additional detail please enter it in this textbox below:

_____________________________________________________

NIEER Metrics for 

monitoring program 

spending and 

performance. Also 

metrics for program 

quality

5, 6, 7, 11

45a Has there been a formal evaluation of this state prekindergarten initiative that measured the quality and effectiveness 

of the program? 

1. Yes, measuring process quality (e.g., ECERS, CLASS) 

2. Yes, measuring impact and child outcomes (e.g., child assessments in literacy and math)

3. Yes, measuring both process quality and program impact/child outcomes 

4. No 

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Metrics for 

monitoring program 

spending

11

45b Year(s) of most recent evaluation (if ongoing or planned, please note): 

____________________________________________________

NIEER Metrics for 

monitoring program 

spending

11
19

45c Web address where this evaluation can be accessed: ____________________________________________

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Metrics for 

monitoring program 

spending

11

45d Was the evaluation of this state prekindergarten initiative mandated by the state (even if it was conducted by an 

outside organization)? 

1. Yes

2. No

If you have additional detail, please enter it in this textbox below: 

_____________________________________________________

NIEER Metrics for 

monitoring program 

spending

11

46 Does state policy require programs in this state prekindergarten initiative to assess children's learning and 

development during the preschool year(s)? 

1. Yes 

2. No 

NIEER Metrics for 

monitoring program 

spending and 

performance. Also 

metrics for program 

quality

5, 6, 7, 11

46a Please list any specific assessment tools for children's learning and development that are required for use in this state

prekindergarten initiative. If the state provides a choice of required assessment tools, please explain.

____________________________________________________

NIEER Metrics for 

monitoring program 

spending and 

performance. Also 

metrics for program 

quality

5, 6, 7, 11

47 How are these child-level assessments used? (Check all that apply.) 

• To guide teacher training, professional development, or technical assistance 

• To make decisions regarding a child’s enrollment in kindergarten

• To identify programs for corrective action or sanctions 

• To make funding decisions about programs or grantees

• To make adjustments to curricula

• To track child and program level outcomes over time

• To include pre-K data in a state’s K-12 student data system

• To make changes to state policies regarding the preschool program 

• To evaluate teacher performance

• To provide a measure of kindergarten readiness

• Other uses (Please specify:) 

_____________________________________________________

If you have additional detail please enter it in this textbox below:

_____________________________________________________

NIEER Metrics for 

monitoring program 

spending and 

performance. Also 

metrics for program 

quality

5, 6, 7, 11
20

48 Does state policy require kindergarten programs in your state to assess children's learning and development? (Check 

all that apply) 

1. Yes, at kindergarten entry (beyond any screening for disabilities or developmental delay).

Specify requirements and assessment tools ______________________________________

2. Yes, to assess children’s learning and development during the kindergarten year. 

Specify requirements and assessment tools ______________________________________

3. No

If you have additional detail, please enter it in this textbox below:

_____________________________________________________

NIEER Metrics for

monitoring program 

spending and 

performance. Also

metrics for program 

quality

5, 6, 7, 11

49 Please describe major changes (budget cuts or increases, changes in program requirements, etc.) in the 2012-2013 

program year that have had a positive or negative impact on state-funded pre-K in your state. 

_____________________________________________________

NIEER Current funding and 

policy changes

1, 2, 5, 7, 8, 10

50 Please describe major changes that will (or are anticipated to) have a positive or negative impact on state-funded preK in your state during the 2013-2014 program year.

_____________________________________________________

NIEER Anticipated funding 

and policy changes

1, 2, 5, 7, 8, 10

Closeout Thank you very much for your help.

Please provide us with the names and contact information for those who contributed to the completion of this survey.

Name Phone number E-mail address

__________________ __________________ __________________

__________________ __________________ __________________

__________________ __________________ __________________

NIEER Study administration NA