## PROGRESS IN INTERNAT **IONAL READING LITERA CY** 

**STUDY (** **PIRLS 2016 ) FIELD TEST AND REC**  **RUITMENT**

**FOR MAIN STUDY REQUEST FOR OMB CLEA** **RANCE OMB#**  **1850 -**  **0645 v**  **.8**

**SUPPORTING STATEMENT PART A** 

**Submitted by:** 
**National Center for Education Statistics U.S.**  **Department of Education Institute of Education Sciences**  **Washington, DC August**  **201 4** 1 

### TABLE OF **CONTENTS**
PREFACE

................................ ................................ ................................ ................................ ...................... 2 

### A. JUSTIFICATION A.1 Importance of Information

................................ ................................ ................................ .............. 3 A.2 Purposes and Uses of Data

................................ ................................ ................................ .............. 3 A.3 Improved Information Technology (Reduction of Burden)

................................ ............................ 5 A.4 Efforts to Identify

Duplication

................................ ................................ ................................ ........ 5 A.5 Minimizing Burden for Small Entities

................................ ................................ ............................ 6 A.6 Frequency

of Data Collection

................................ ................................ ................................ .......... 6 A.7 Special Circumstances

................................ ................................ ................................ ..................... 6 A.8 Consultations outside NCES

................................ ................................ ................................ ........... 6 A.9 Pay

ments or Gifts to Respondents

................................ ................................ ................................ ... 6 A.10 Assurance of Confidentiality

................................ ................................ ................................ ....... 7 A.11 Sensitive Questions

................................ ................................ ................................ ...................... 8 A.12 Estimates of Burden

................................ ................................ ................................ ..................... 8 A.13 Total Annual Cost Burden

................................ ................................ ................................ ......... 10 A.14 Annualized Cost to Federal Government

................................ ................................ ................... 10 A.15 Program Changes or Adjustments

................................ ................................ ............................. 10 A.17 Display

OMB Expiration Date

................................ ................................ ................................ .. 10 A.18 Exceptions to Certification Statement

................................ ................................ ....................... 11

APPENDICES A: Parental Consent and Respondent Recruitment Materials B: Non
-response Bias Analysis Plan C: Data Collection Instruments2 

## PREFACE The Progress in International Reading Literacy Study ( PIRLS ) is an international assessment of fou rth

- grade students’ achievement in reading

. Since its inception in 2001 , PIRLS has continued to assess students every 5 years ( 2001, 2006 , 2011) , with the next PIRLS assessment, PIRLS 2016 , being the four th iteration of the study. P articipation in this study by the United States at regular intervals provides data on student achievement and on current and past education policies and a comparison of U.S. education policies and student performance with those of the U.S. international counterparts. In PIRLS 2011 , 5 3 education systems participated. The United States will participate in PIRLS 2016 to continue to monitor the progress of its students compared to that of other nations and to provide data on factors that may influence student achievement. PIRLS is conducted by the International Association for the Evaluation of Educational Achievement (IEA), an international collective of research organizations and government agencies that create the assessment framework, assessment , and background questionnaires. The IEA decides and agrees upon a common set of standards and procedures for collecting and reporting PIRLS data , and defines the studies’ timeline , all of which must be followed by all participating countries

. As a result, PIRLS is able to provide a reliable and comparable measure of student skills in participating countries. In the U.S. , the National Center for Education Statistics (NCES) conducts this study and works with the IEA and , for PIRLS 2016, RTI International (under contract with the U.S. Department of Eductaion), to ensure proper implementation of the study and adoption of practices in adherence to the IEA’s standards

. Participation in PIRLS also allow s NCES to meet its mandate of acquiring and disseminating data on educational activities and student achievement in the United States compared with foreign nations [The Educational Sciences Reform Act of 2002 ( ESRA 2002 ) 20 U.S.C., Section 9543 ]. PIRLS results provide four benchmarks in reading achievement at grade 4 ( Advanced, High , Medium , and Low). PIRLS also reports on a variety of issues related to the education context for the students in the sample , including instructional practices, school resources, curriculum implementation , and learning support s outsdie of school. Compared to PIRLS 2011 , PIRLS 2016 differs in that it may include parent questionnaire and will not involve the IEA’s bilateral coordination of PIRLS with the International Study Center ’s Trends in International Mathematics and Science Study ( TIMSS ) assessment . The two studies are on different time cycles ( TIMSS takes place every 4 years ) and take place in the same year only every 20 years (the current TIMSS is being administered in 2015)

. In preparation for the PIRLS 2016 main s tudy, all countries are asked to implement a field test in 2015

. The purpose of the PIRLS f

ield test is to evaluate new assessment items and background questions, to ensure practices that promote low exclusion rates, and to ensure that classroom and student sampling procedures proposed for the main study are successful

. In selecting a school sample for this purpose, it is important to minimize the burden on schools, districts , and states, while also ensuring that the f ield test data are collected effectively

. PIRLS staff will also work to help respondents understand the study’s value relative to burden imposed, and to ensure a high level of school participation. Data collection for the field test will occur from March through April 2015 . The United States plans to recruit 25 public schools and assess 800 students

. The student samples will be obtained by selecting two classes from each school. The U.S. PIRLS ma in study will be conducted in the spring of 201 6 , and will involve a nationally

representative sample of 4,000 students in the target population from 150 schools

. This submission describes the overarching plan for all phases of the data collection, including the 201 6 main study. In addition to the supporting statements Parts A and B, Appendix A provides f ield test recruitment materials consisting of letters to state and district officials and school principals, text for a PIRLS field test brochure, “Frequently Asked Questions,” a “Summary of Activities” , and p arental consent materials . Appendix B provides the non -response bias analysis plan , and Appendix C provides the PIRLS background questionnaire s . These versions of the questionnaires are the international versions of the PIRLS 2016 field test questionnaire s . They will3

be replaced with the final versions of the PIRLS 2016 field test questionnaire s , including adaptions to the U.S. context (e.g., U.S. spelling and other conventions), as soon as they are released by the IEA in September 2014

. Because PIRLS is a collaborative effort among many parties, the United States must adhere to the international schedule set forth by the IEA, including the availability of draft and final questionnaires

. In order to meet the international data collection schedule for the spring 2015 field test, recruitment activities are scheduled to begin in October 201 4

. Recruitment for the main study will begin in March of 2015 to align with recruitment for other NCES studies ( e.g. , the National Assessment of Education Progress, NAEP), and for schools to put the assessment on their calendars. We expect the main study materials and procedures to be very similar to those used in the field test. Therefore, this submission request s approval for : 1. recruiting for the 201 5 field test and 201 6 main study; 2. conducting the 201 5 field test data collection ; and 3. a description of the overarching plan for all of the phases of the data collection, including the 201 6 main study. 1 One change request may follow this submission. In January 201 5 , we will submit a change

-request memo with the final main study recruitment materials and parental consent letters , along with a description of changes to the design , procedures , and respondent burden for the main study , should any changes be made

. In late 201 5 , we will submit a clearance package, with a 30

- day notice published in the federal register, which will include the final main study instruments for data collection in February

-May, 201 6 . The main study questionnaires will be a subset of the field test instruments. 

## A

. Justification **A.1 Importance of Info**  **rmation** Benchmarking of U.S. student achievement against other countries continues to be of high interest to education policymakers, and informs policy discussions of economic competitiveness and workforce and post

- secondary preparedness. PIRLS provides a unique opportunity to compare U.S. students ’ reading knowledge and skills at fourth grade with that of their peers in countries around the world

. The continuation of U

. S

. participation allows for the study of past and current education policies that have shaped reading achievement over the past 15 years . Furthermore, p articipating countries are not only able to obtain information about students' knowledge and abilitie s, but also about the cultural environments, teaching practices, curriculum goals, and institutional arrangements that are associated with student achievement. PIRLS complements what we learn from national assessments such as the National Assessment of Educational Progress (NAEP) by identifying the strengths and weaknesses of student reading achievement relative to participating countries around the world. Itprovides valuable benchmarking information about educational polices enacted in other countries and po licies that could be applie d to U.S. educational practices. Based on earlier PIRLS data releases, it is likely that the results of these studies will draw great attention in the United States and elsewhere. It is therefore expected that PIRLS will contribu te to ongoing national and international debate s and efforts to improve reading learning and achievement. **A.2 Purposes and Uses of Data**  PIRLS assesses reading knowledge and skills at grade 4

. PIRLS is designed to align broadly with curricula in the participating countries . The results, therefore, suggest the degree to which students have learned concepts and skills

1 The materials that will be used in the 201 6 main study will be based upon the field test materials included in this submission. Additionally, this submission is designed to adequately justify the need for and overall practical utility of the full study and to present the overarching plan for all of the phases of the data collection, providing as much detail about the measures to be used as is available at the time of this submission. As part of this submission, NCES is publishing a notice in the Federal Register allowing first a 60

- and then a 30

- day public comment period. For the final proposal for the main study, after the field test, NCES will publish a notice in the Federal Register allowing an additional 30

- day public comment period on the final details of 2015 main study.4

likely to have b een taught in school. PIRLS also collect s background information on students, teachers, schools, curricula, and official education policies in order to allow cross

-national comparison of educational contexts that may be related to student achievement. Data compiled and collected from PIRLS 2016 allows for evidence

-based decisions to be made for the purposes of educational improvement

. E ach successive participation in PIRLS provides trend information about student achievement in reading relative to other c ountries, as well as indicators that show how this achievement relates to demographic and curricular, school, teacher , home, and student factors that provide the educational context for achievement. The s e high quality, internationally comparative trend data are key in informing education policy discussions. Through the participation in PIRLS and other international assessment programs, NCES is able to provide comparative indicators on student performance and school practices across countries in order to benchmark U.S. student performance, and to suggest hypotheses about the relationship betwe en student performance and factors that may influence performance as well as areas in which students have strengths or weaknesses. The international studies identify differences among countries over time in instructional practices, school policies, and opp ortunity

to
- learn that can inform discussions about how to improve students’ ability to read

. This collection of data i s consistent with the NCES mandate. The enabling legislation of the National Center for Education Statistics [Section 406 of the General Education Provisions Act, as amended (20 U.S.C. 1221e

- 1)] specifies that "The purpose of the Center [NCES] shall be to collect and analyze and disseminate statistics and other information related to education in the United States and in other nations." The Educational Sciences Reform Act of 2002 (ESRA 2002 : 20 U.S.C., Section 9543 ) also mandates that NCES shall collect, report, analyze, and disseminate statistical data related to education in the United States and in other nations, including acquiring and disseminating data on educational activities and student achievement in the United States compared with foreign nations. In addition to being essential for any international perspective on reading knowledge and skills, U.S. participation fulfills both the national and international aspects of NCES' mission. **PIRLS 2016 Components**  The reading assessment is organized around a content dimension that specifies the subject matter to be assessed and a cognitive dimension that specifies the thinking processes to be assessed. PIRLS assesses two purposes for reading that fourth

- grade students typically engage in: reading for literary experience and reading to acquire and use information. PIRLS also assesses f our broad processes of comprehension predominantly used by fourth

- grade readers: focus ing on and retrieving explicitly stated information; making straightforward inferences ; interpreting and integrating ideas and information ; and evaluating and critiquing content and textual elements. The PIRLS 2016 framework is similar to 2011, but has been slightly updated to provide more specificity for item writers, and to better reflect current curricula in participating countries. There were no revisions to the content domains or cognitive domains , nor were there changes to the target percentages for either domain

. Assessment Instruments T o minimize burden and ensure broad subject

-matter coverage, PIRLS will use a matrix sampling approach where the reading items are organized into a set of test booklets, with each student receiving only one booklet. Questionnaires The background questionnaires for PIRLS 2016 were developed to address the issues outlined in the PIRLS context questionnaire framework

. The United State s is adapting the questions to fit the U.S. education context, as appropriate, including adding a few questions, such as about the race/ethnicity of students. All but the student questionnaire will be offered online, with a paper and pencil backup. Student s will only receive a paper and pencil questionnaire.5

**School Questionnaire.** A representative from each participating school will be asked to provide information on reading resources, teacher availability and retention, principal leadership, school emphasis on academic success, school climate, and parental involvement in school activities. **Teac her Questionnaire.**  Reading teachers of students in selected classes will be asked to complete a teacher questionnaire , which will include questions about teacher preparation and experience, reading instruction , instructional resources and technology, instructional time, instructional engagement, and classroom assessment. **Student Questio nnaire.**  Student information will be collected about home resources , motivation, self

- concept , self

- efficacy, and student characteristics such as gender and race/ethnicity. Itshould be administered to all students who have received parental permission to p articipate in PIRLS. **Parent Questionnaire**

**– Learning to Read Survey.**  Parents ( or legal guardians ) are asked about their child’s experiences related to reading outside of the school , providing an international comparison on home environment and other learning support s outside of school

. One p arent of each student participating in PIRLS 2016 will be asked to fill out th e survey. **A .3**  **Improved Information Technology (Reduction of Burden)** The PIRLS 2016 design and procedures are prescribed internationally and data collection involves paper and pencil student assessments and questionnaires, as well as optional online or paper and pencil for school s and teachers . Each participating nation is expected to adhere to the internationally prescribed design. In the United States , t he school and teacher questionnaires will be made available to school administrators and teachers online as the main mode of administration, with a paper and pencil backup to facilitate user preference for par ticipation. The online questionnaires will be provided on the secure NCES server, so that NCES will be able to control access to the data to ensure confidentiality and minimize disclosure risk. A communication website will be used for PIRLS 2016 during the field test and main s tudy in order to provide a simple, single source of information to engage and maintain high levels of school involvement. This portal will be used throughout the assessment cycle to inform schools of their tasks and to provide them with easy access to information tailored for their anticipated needs

. We plan to gather class and student lists from participating schools electronically using a secure electronic filing process. E lectronic filing is an electronic system for submitting lists of student information, including student background information in school records. The electronic filing system provides advantageous features such as efficiency and data quality checks. **A.4 Efforts to Identify Duplication**  In the United States, reading achievement is systematically assessed at (1) the Federal level, where trend data have been collected on a fairly regular basis since 1971 through the National Assessment of Educational Progress (NAEP); (2) the state level, where data are routinely collected as part of state testing programs, though they vary across the states in terms of the frequency of testing, age/grades tested, and types of cognitive items administered; and (3) the district level, where data are collected through the use of commercially or locally developed standardized tests as well as tests developed in conjunction with the instructional programs used in schools. PIRLS 2016 does not duplicate these assessments. PIRLS 2016 is part of a program of internati onal cooperative studies of educational achievement supported and funded, in part, by the U.S. Department of Education. These studies represent the U.S. participation in international studies involving 4 0 to over 70 c ountries each

. As part of international cooperative studies, the United States must collect the same information at the same time as the other nations for purposes of making both valid international comparisons with other countries and with the previous PIRLS data. While some studies in the United States collect similar, though not identical, kinds of information (e.g., NAEP), the data from those studies cannot be substituted for the information collected in PIRLS in that they do not allow for comparisons outside the United States

.6

Furthermore, the data collected through PIRLS is based on a unique framework that is not shared by any other state, national, or international data collection effort. In order to participate in these international studies, the United States must agree to administer the same core instruments that are administered in the other countries. Because the items measuring reading achievement have been developed with intensive international coordination, any change s to the instruments require international coordination and approval. **A.5 Minimizing Burden for Small**  **Entities** The school samples for PIRLS contain small

- , medium

- and large

- size schools, including private schools, selected based on probability proportionate to their size. All school sizes are needed to ensure an appropriate representation of each type of school in the selected sample of schools. Burden will be minimized wherever possible. In addition, RTI staff will conduct all test administrations , and will assist with parental notification, sampling, and other tasks as much as possible within each school. The assessment will b e administered to intact classe s to minimize disruption to school schedules. **A.6 Frequency of Data Collection**  The f ield test data collection is scheduled for March 1 through April 15, 201 5 , and th e full

- scale data collection for February through May , 201 6

. This schedule is prescribed by the international collective for PIRLS , and adherence to this schedule is necessary to establish consistency in survey operations among participating countries as well as to maintain trend lines. **A.7 Special Circumstances**  None of the special circumstances identified in the Instructions for Supporting Statement apply to the PIRLS study. **A.8 Consultations**  **outside NCES**  Consultations outside NCES have been extensive and will continue throughout the life of the project. The IEA studies are developed as a cooperative enterprise involving all participating countries. An international panel of reading and measurement experts provide substantive and technical guidance for the study and National Research Coordinator s participate in extensive discussions concerning the projects, usually with advice from national subject matter and testing experts. In addition, the IEA convened a panel of reading experts from around the world to develop cognitive items

. The majority of the consultations (outside NCES) have involved the TIMSS & PIRLS International Study Center at Boston College in the United States. Key to these ongoing consultations are: Dirk Hastedt (executive director of the IEA); Michael Martin, Ina V.S. Mullis, and Pierre Foy , all of whom have extensive experience in developing and operating international education surveys (especially related to PIRLS ). **A.9 Payments or Gifts to**  **Respondents** I n order to achieve acceptable school response rates, schools have historically been offered incentives to participate and as a thank you for the time they invest in and the space they make available for the international assessments. High response rates are required by both IEA and NCES, and are difficult to achieve in school

-based studies. The U.S. has historically had difficulties in achieving sufficient participation levels. We plan to conduct an experiment to compare the effectiveness o f offering schools $ 200 for participation versus offering schools two iPad mini s loaded with grade

- level appropriate reading materials. The $200 is b ased on incentives provided in past administrations of PIRLS and currently offered in other international a ssessments. The school staff serving as School Coordinators will receive $ 100 for their time and effort. The School Coordinator serves a critical role in data collection, functioning as the central school contact , and facilitating arrangements for the assessments. They are asked to file class and student listing forms; arrange the date, time , and space for the assessment; and disseminate information to parents and students. In addition, s chool c oordinators will be asked to7

provide contact information for parents to send information home about the Learning to Read Survey , and to play a role in helping to secure the participation of parents in the Learning to Read Survey. We anticipate mixed levels of cooperation, with some school coordinators agreeing to actively contact parents to encourage their participation in the study and others who defer to RT I staff to contact parents
. School coordinators who contact parents will receive additional remuneration based on achieving response rate thresholds of both parent and student response. Since parent data is only meaningful when their student also participates in the study, the response rate thresholds require both the parent and student to participate. A per parent

- student pair incentive was considered but was determined not to be comparable between field test and main study given the larger number of students per school selected in the field test

. To test this process in preparation for the main study, a threshold

-based inc entive structure seemed more comparable. Four threshold levels are proposed to school coordinators who contact parents and receive responses from parent

- student pairs:

Parent and student response pair Additional Incentive

90

- 100% $100 80

- 90% $75 70

- 80% $50 Under 70% $ 25 School coordinators who opt not to contact parents directly will not receive additional incentive money. Consistent with prior administrations of PIRLS , as a token of appreciation for their participation, the main study students will receive a small gift valued at approximately $ 4 . In PIRLS 2011 , each participating student received a small watch/stop watch that could be clipped securely (with an attached karabiner) to a backpack or belt loop. A similarly priced item will be distributed to participating students for the PIRLS 2016 data collection. Students will also receive a certificate with their name thanking them for participating in and representing the United States in PIRLS 2016

. Some schools also offer recognition parties with pi zza or other treats for students who participate; however these are not reimbursed by NCES or the contractor. Teachers will be offered $ 20 for completing the PIRLS teacher questionnaire. Historically, participation is high among school administrators without offering incentives ; therefore, no incentive will be offered for completion of the school administrator questionnaire. In order to gain parental participation, parents whose child also participates in PIRLS will be offered a $20 incentive for completion of the Learning to Read Survey. **A.10 Assurance of Confidentiality**  The laws pertaining to the collection and use of personally identifiable information are clearly communicated in correspondence with states, districts, schools, teachers, students , and parents . Letters and information materials will be sent to parents and school administrators describing the study , its voluntary nature , and the extent to which respondents and their responses will be kept confidential (see copies in appendix A) : NCES is a uthorized to conduct this study under the Education Sciences Reform Act of 2002 (ESRA 2002 ; 20 U.S.C

. § 9543 ) . By law, the data provided [by you, schools, staff, parents, and students ] may only be used for statistical purposes and may not be disclosed, or used, in identifiable form for any other purpose except as required by law (20 U.S.C

. § 9573). The following statement will appear on the front cover of the questionnaires (the phrase “search existing data resources, gather the data needed ” will not be inc luded on the student and parent questionnaire s ): U.S. participation in this study is sponsored by the National Center for Education Statistics (NCES), U.S. Department of Education, and authorized by the Education Sciences Reform Act of 2002 (20 U.S.C., § 9543) . Your responses are protected by federal statute (20 U.S.C., § 9573) and may be used only for statistical purposes and may not be disclosed, or used, in identifiable form for any other purpose except as required by law. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this voluntary information collection is 1850

- 06 4 5 . The time required to compl ete this information collection is estimated to average [ XX ] mi nutes per8

[ respon d ent type] , including the time to review instructions [, search existing data resources, gather the data needed, ] and complete and review the information collection. If you have any comments or concerns regarding the accuracy of the time estimate(s) , suggestions for improving the form , or the status of your individual submission of this form, write directly to: Progress in International Reading Literacy Study ( PIRLS ) , National Center for Education Statistics, U.S. Department of Education, 1990 K Street, N.W., Washington, D.C. 20006

. OMB No. 1850

- 0645 , Approval Expires xx/xx/201 7
. The PIRLS 2016 confidentiality plan includes signing confidentiality agreements and notarized nondisclosure affidavits by all contractor and subcontractor personnel and field workers who will have access to individual identifiers. Also included in the plan is personnel training regarding the meaning of confidentiality, particularly as it relates to handling requests for information and providing assurance to respondents about the protection of their responses; controlled and protected access to computer files under the control of a single data base manager; built

in safeguards concerning status monitoring and receipt control systems; and a secured and operator

-manned in

house computing facility. Data files, accompanying software, and documentation will be delivered to NCES at the end of the project. Neither names nor addresses will be included on any data file. NCES understands the legal and ethical need to protect the privacy of the PIRLS respondents and has extensive experience in developing data files for release that me et the government’s requirements to protect individually identifiable data from disclosure. The contractor will conduct a thorough disclosure analysis of the PIRLS 2016 data when preparing the data files for use by researchers, in compliance with 20 U.S.C. , § 9573. Schools with high disclosure risk will be identified and, to ensure that individuals may not be identified from the data files, a variety of masking strategies will be used, including swapping data and omitting key identification variables (i.e., school name and address) from both the public

- and restricted

-use files (though the restricted

-use file will include an NCES school ID that can be linked to other NCES databases to identify a school); omitting key identification variables such as state or ZIP Code from the public

-use file; and collapsing or developing categories for continuous variables to retain information for analytic purposes while preserving conf identiality in public

-use files

. **A.11 Sensitive Questions**  The questionnaire s do not have items consi dered to be of sensitive nature

. **A.12 Estimates of Burden**  This package shows estimated burden to respondents for all PIRLS 2016 activities, and requests approval for burden to respondents for the field test and for recruitment for the main study

. Burden estimates are shown in Table A. 1

. The minimum sample size for the field study is 25 schools and 800 students and for the main study 150 schools and 4,000 students. The burden table assumes exceeding the minimum requirements and is based on a sample of 1,000 students in the field test and 5,000 students in the main study. The time required for students to respond to the assessment (cognitive items) portion of the study and associated directions are shown in gray font and are not included in the total s because they are not subject to the PRA. Student, parent, administrator, and teacher questionnaires are included in the requested burden totals. Recruitment and pre

- assessment activities include the time to review study requirements by the districts that require approval before contacting the ir school s , and the time involved in a school deciding to participate, completing teacher and student listing forms, distributing parent consent materials, managing completion of grade 4 parent questionnaires, and arranging assessment space. Burden estimates for the main study data collection are also provided for information purposes in table A. 1

. In 2011 , one state provided its own funding to participate in PIRLS . The main study burden estimates reflect burden for the inclusion of a state
. The main study burden estimates will be updated following the field test as final design decisions are made. For the field test, the total student as well as parent response burden of 465 hours each from 930 students and 930 parents is based on a 30

-mi nute background questionnaire. At $7.25 per hour (the 2014 Federal minimum wage),9

the total burden cost of the field test study for students and parents is estimated at $ 3 , 371 each (or $6,742 total)

. For the field test school administrator 40

-minute questionnaire and all of the field test and main study recruitment and pre

- assessment activities for the national and state collections, burden cost is calculated at an estimated $50.00 per hour cost to school and district administrators (for 912 hours), and an estimated $35.00 per hour cost for teachers and school coordinators ( for 3 , 852 hours ), so the total burden cost to school and district staff for these activities is estimated at $ 180,420

. **Table A.**  **1. Burden estimates for PIRLS 2016**  **Field Test and Main Study .**  **Data collection instrument** Sample size Expected response rate Number of respondents Number

of responses Minutes

Per respondent Total

burden Hours **Field Test** Student Directions (sample of 1000) 1 , 000 0.93 930 930 10 155 Student Assessment 1 , 000 0.93 930 930 80 1 , 240 **Student Questionnaire (sample of 1000) 1**  **, 000**  **0.93 930**  **930 30**  **465 Parent Questionnaire (sample of 1000)**  **1 ,**  **000 0.93**  **930 930**  **30 465**  **School Administrator Questionnaire (1 per**  **participating school) 25**  **0.99 25**  **25 40**  **17 Teacher Questionnaire**  **(2 per participating school) 5**  **0 0.97**  **49 49**  **40 3**  **3 School Administrator Recruitment**  **50 0.88**  **44 44**  **90 66**  **School Coordinator (1 per participating school)**  **25 1.00**  **2 5**  **2 5**  **1,140 4**  **75 Total Burden Field Test**  **2, 0** **03 2,**  **0 03**  **1 ,**  **521 Main Study**  **National sample** Student Directions (sample of 5,000) 5,000 0.93 4 , 650 4 , 650 10 775 Student Assessment 5,000 0.93 4 , 650 4 , 650 80 6 , 200 Student Questionnaire (sample of 5,000) 5,000 0.93 4 , 650 4 , 650 30 2 , 325 Parent Questionnaire (sample of 5,000) 5,000 0.93 4 , 650 4 , 650 30 2 , 325 School Administrator Questionnaire 150 0.99 149 149 40 99 Teacher Questionnaire 225 0.97 218 218 40 145 **School Administrator Recruitment 250**  **0.88 220**  **220 90**  **3 30**  **School Coordinator 150**  **0.88 132**  **132 1,140**  **2 ,**  **508 District IRB Staff Study Approval**  **40 1**  **40 40**  **120 80**  **District IRB Panel Study Approval 240**  **1 240**  **160 60**  **240**

**State sample** Student Directions (sample size 1,700) 1,700 0.93 1,581 1,581 10 264 Student Assessment 1,700 0.93 1,581 1,581 80 2,108 Student Questionnaire (sample size 1,700) 1,700 0.93 1,581 1,581 30 131 8 Parent Questionnaire (sample size 1,700) 1,700 0.93 1,581 1,581 30 131 8 School Administrator Questionnaire 50 0.99 50 50 4 0 33 Teacher Questionnaire 100 0.97 97 97 4 0 65 **School Administrator Recruitment 75**  **0.88 66**  **66 90**  **99 School Coordinator**  **50 0.88**  **44 44**  **1,140 836**  **District IRB Staff Study Approval 10**  **1 10**  **10 120**  **20 District IRB Panel Study Approval**  **60 1**  **60 60**  **60 60**  **Total Burden District/School Recruitment and Pre**  **** **Assessment Activities Main Study 812**  **812 4**  **, 173**  **Total Burden Requested in this Submission 2,8**  **15 2,8**  **15 5,**  **694** Note : OMB Clearance Requested: Total Burden includes burden associated with conducting the PIRLS 2016 Field Test and the recruitment and pre

assessment activities for the PIRLS 2016 Main Study (items in bold). The PIRLS 2016 Main Study burden is conservatively high because the PIRLS 2016 Main Study may include a benchmarking state; however the burden is held consistent with national sample schools because of potential variability between states. Total student burden does not include the time for the cognitive assessment and its associated instructions (in gray font).10

**A.13 Total Annual Cost Burden**  N o cost to respondents is anticipated beyond the estimated burden cost described in Section A.12. **A.14 Annualized Cost to Federal Government**  The total cost to the federal government for conducting PIRLS 2016 full scale is estimated to be $10,658,124 over a 5
-year period. The cost for the field test is estimated to be $1,673,731

. These figures include all direct and indirect costs, and are based on the national data collection contract, valued at $ 5 , 371 , 232 over five years, from July 201 4 to June 2019

. **A.15 Program**  **Changes or Adjustments** This is a reinstatement of a previously approved collection, and as such shows all burden as new. With regards to content, PIRLS 2016 differs from PIRLS 2011 in that PIRLS 2016 will not involve the IEA’s bilateral coordination of PIRLS with the IEA’s Trends in International Mathematics and Science Study ( TIMSS ) assessment. **A.16 Plans for Tabulation and Publication**  The PIRLS field test is designed to provide a statistical review of the performance of items on the co gnitive assessment and questionnaires in preparation for the main study data collection. Based on the data collected in the main study, the TIMSS & PIRLS International Study Center will prepare a report to be released in December 2017

. As has been customary, NCES will also release a report at the same time as the international reports are released, interpreting the results for the U.S. audience. NCES reports on initial data releases are generally limited to simple bivariate statistics. There are currently no plans to conduct complex statistical analyses of either dataset. An e xample of the past PIRLS report can be found at http://nces.ed.gov/pubsearch/pubsinfo.asp?pubid=2013010rev

. In the spring o f 2018 , the International Study Center will also prepare a technical report , describing the design and development of the assessment as well as the scaling procedures, weighting procedures, missing value imputation, and analyses. After the release of the international data, NCES plans to release the national data and an accompanying User’s Guide for the study. Electronic versions of each publication are made available on the NCES website. Schedules for tabulation and publication of PIRLS 2016 results in the United States are dependent upon receiving data files from the international sponsoring organization. With this in mind, the expected data collection dates and a tentative reporting schedule are as follows: **Dates Activity**  April

—December 2014 Prepare data collection manuals, forms, asses sment materials, questionnaires October 201 4

—February 201 5 Contact and gain cooperation of states, districts, and schools for field test February 201 5

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March 2015 Select student samples March 201 5

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April 201 5 Collect field test data May 15, 201 5 Deliver raw data to international sponsoring organization July 201 5

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August 201 5 Review field test results March 201 5

—February 2016 Prepare for the main study/recruit schools February 201 6

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May 201 6 Collect main study data Ju ne 201 7 Receive final data files from international sponsors Ju ne 201 7

—December 201 7 Produce report **A.17 Display OMB Expiration Date**  The OMB expiration date will be displayed on all data collection materials.11

**A.18 Exceptions to Certification Statement**  No exceptions to the certifications are requested.