704 KAR 3:455. Instructional resource adoption process

Link to law: http://www.lrc.ky.gov/kar/704/003/455.htm
Published: 2015

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      704 KAR 3:455.

Instructional resource adoption process.



156.027, 156.400-156.476, 157.100-157.190, 160.345


KRS 156.027, 156.410, 156.433, 156.437, 156.439, 156.474, 156.476, 157.110,

157.140, 157.150, 157.160


AND CONFORMITY: KRS 156.433 and 156.439 require that administrative regulations

be promulgated to: define instructional resources; identify instructional

resources eligible for purchase with state instructional resource funds;

identify instructional resources which are subject to review before being

recommended for use; establish a procedure for the review of instructional

resources and a process for adding an instructional resource to the recommended

list; establish a method for calculating and distributing a school district's instructional

resource allocation; and design a planning instrument for each school to use in

documenting its instructional resource needs during each adoption period. This

administrative regulation establishes the standards and procedures which are

necessary to carry out the statutory requirements dealing with instructional



      Section 1.

Definitions. (1) "Alternate format" is defined by KRS 156.027.


"Instructional resource" means any print, nonprint, or electronic

medium of instruction designed to assist students.

      (3) "Level One" means full

compliance in that the electronic file submitted by the publisher can be

converted into any needed specialized format.

      (4) "Level Three" means

marginal compliance in that the electronic file submitted by the publisher has

a marginal level of accessibility and can be converted into some specialized

formats only with significant effort or expense, and is not useable by some

students with significant sensory disabilities.

      (5) "Level Two" means

provisional compliance in that the electronic file submitted by the publisher

can be converted into most specialized formats without substantial effort or



      Section 2. The

content areas included in each year of the instructional resource adoption

cycle shall be:

      (1) Grouped based on


      (a) Content areas in

the academic expectations, which are established in 703 KAR 4:060; and

      (b) Commonwealth

Accountability Testing System (CATS) testing groups; and

      (2) Arranged into six

(6) groups as follows:

      (a) Group I -

Language Arts and Reading P-12;

      (b) Group II -

Social Studies P-12;

      (c) Group III -

Science P-12;

      (d) Group IV -

Mathematics P-12;

      (e) Group V -

Vocational Studies, including Career and Technical Education, and Practical

Living P-12; and

      (f) Group VI - Arts

and Humanities P-12.


      Section 3. (1) Level One. All elements

of the print version shall be provided, including graphics with appropriate ALT

tags, the file format shall be compatible with commonly used Braille

translation and speech synthesis software, and shall be readable with both text

and screen readers. The files shall be provided in XML, XHTML, or HTML format.

The use of graphic image files and other non-text elements shall require:

      (a) A text equivalent for every nontext


      (b) Row and column headers be identified

for data tables;

      (c) Markup to be used to associate data

cells and header cells for data tables that have two (2) or more logical levels

of row or column headers; and

      (d) Frames to be titled with text that

facilitates frame identification and navigation.

      (2) Level Two. All elements of the print

version shall be provided including graphics, though graphic descriptions shall

not be required. The file format shall be compatible with commonly used Braille

translation and speech synthesis software, and shall be readable with both text

and screen readers. Electronic files shall be in MS Word or Rich Text Format.

      (3) Level Three. All elements of the

print version shall be provided including graphics, though graphic descriptions

may not be required. The file format shall be compatible with some text and

screen readers, but usability is only marginal, and the format may include

unlocked PDF. The file shall also have the following technical characteristics:

      (a) A single PDF file per book, that

allows all front matter, chapters, and back matter pages to be merged into a

single PDF that is in proper page order, from front to back;

      (b) All fonts shall be embedded using

Adobe Distiller;

      (c) All pages may be consistently

cropped; and

      (d) All images, line drawings, and other

nontext shall be included in either Web-ready resolutions or high resolution.


      Section 4. (1) A vendor submitting a bid shall ship adequate and

appropriate instructional resource samples or program specifications to the

Department of Education, individual State Textbook Commission members, and to

the state review site before the beginning of the review process. All other

pertinent bid information shall be provided by the bid opening.

      (2) When the review

process has been completed and the individual commission members have no

further need for samples in their possession, the samples shall be disposed of

in the following manner:

      (a) Reclaimed by the

publishers; or

      (b) Transferred to

local school districts, institutions of higher education, or other appropriate



      Section 5. The vendor

shall provide information about the availability of an alternative format and

the technical characteristic of the electronic file for each instructional

resource. The vendor shall identify the electronic file for the resource as

Level One, Level Two, or Level Three. Effective July 1, 2003, any publisher who

identifies the electronic file for a resource as Level Two or Level Three shall

provide the Department of Education information documenting why it is not

feasible to provide files meeting Level One compliance. The Commissioner of

Education shall determine whether the publisher has met the requirement of KRS



      Section 6. (1) Each adoption year before establishing the state list, the State

Textbook Commission shall conduct a hearing for the following purposes:

      (a) Interviewing

publisher agents, representatives, and vendors of instructional resources; and

      (b) Hearing any

person or organization that may have complaints or concerns about an

instructional resource being considered for listing.

      (2) A party desiring

to be heard shall file with the Secretary of the State Textbook Commission a

written request two (2) weeks prior to the hearing. The request shall clearly


      (a) Name and address

of the person or organization requesting the hearing;

      (b) Title, author,

International Standard Book Number, and copyright date of the instructional

resource in question;

      (c) Sections of the

instructional resource being questioned and nature of concern;

      (d) Anticipated

problems that would be created if the instructional resource is adopted; and

      (e) Suggested


      (3) One (1)

spokesperson shall represent a group or organization.

      (4) The commission's

position and action shall be forwarded to the concerned parties after the state

list has been established.


      Section 7. (1)(a)

The Kentucky State Textbook Commission may inquire into and ascertain if any

vendor has:

      1. Violated:

      a. Any provision of

Sections 3 through 16 or 19 of this administrative regulation; or

      b. Any provision of

KRS 156.400 through 156.476 or 157.100 through 157.190; or

      2. Used undue

influence or unethical tactics to secure bids or to assure local adoption.

      (b) Undue influence

or unethical tactics shall include:

      1. Unsolicited

contact by vendors or their representatives with members of the State Textbook

Commission; and

      2. The buying for or

giving to State Textbook Commission members, local district personnel, or

review committee members meals, gifts, trips, or entertainment to assure the

listing, adoption, or purchase of their instructional resources.

      (c) If there is

sufficient evidence that a vendor may be guilty, the vendor shall be called

before the State Textbook Commission to determine:

      1. If violations did

occur; and

      2. What course of

action shall be taken.

      (2) A vendor

proposing to give local districts free-of-charge items such as reproducible

masters, teachers editions, workbooks, and extra textbooks, if the districts

adopt and purchase its items, shall file a list of gratis items as an official

part of its bid.

      (3) In addition to

textbook sampling required under KRS 156.440, a vendor may sample gratis items

to local districts or schools for use in the adoption process. Gratis sampling

shall not be done in a manner to assure the adoption and purchase of a vendor's

instructional resources.

      (4) The State

Textbook Commission may refuse to execute or may cancel a vendor contract upon

discovery that the vendor:

      (a) Has violated

Sections 3 through 16 or 19 of this administrative regulation; or

      (b) Does not have

the ability to perform all the terms and conditions of the contract.

      (5) A bidder for

instructional resource contracts shall file with the Department of Education

the name and address of a Kentucky person, firm, or corporation upon whom

process may be served.


      Section 8. A school

administrator, school council chair, or teacher shall not receive directly or

indirectly any gift, reward, or promise of a reward for his influence in

reviewing and selecting instructional resources.


      Section 9. (1) An

instructional resource submitted for recommendation in Kentucky shall meet the

"Manufacturing Standards and Specifications for Textbooks", developed

and approved by the National Association of State Textbook Administrators, in

consultation with the Association of American Publishers and the Book

Manufacturer's Institute.

      (2)(a) A publisher

may submit an old copyright with the official bid. A revised edition shall be

submitted before the commission hearing.

      (b) A publisher may

submit a galley proof, incomplete book, or statement of intent with the

official bid. The book shall be complete and on file with the State Textbook

Commission before the date of the commission hearing.

      (c) Ancillary

materials, including workbooks, electronic versions, and teacher editions,

shall be completed on or before the July 1 contract date.


      Section 10.

Inaccurate information, defective workmanship, or defective material shall be

reported by school personnel to the vendor as soon as detected.

      (1) A vendor shall

be held responsible for all inaccurate or defective instructional resources.

      (2) Instructional

resources that show manufacturing defects in the first or second year of use

shall be replaced by the vendor on a one-for-one basis.

      (3) After the first

two (2) years of use, a replacement agreement shall be negotiated between the

local district and the vendors. School districts shall start the replacement

process as soon as it has been determined that instructional resources are

inaccurate or defective.


      Section 11. (1) A

request to substitute revised editions of textbooks, updated technology, or

other instructional resources under contract shall be considered at the first

regular meeting of the calendar year of the State Textbook Commission to be

held on or before May 1.

      (2) Substitutions

shall not be permitted for instructional resource to be used the last year of a


      (3) The vendor shall

agree to supply either the listed or the substituted item in accordance with

the local school district's request.

      (4) The updated

resources shall be at the same price at which the instructional resource was

bid and the content shall be compatible for use with the previous resource.

      (5) The physical

materials and workmanship of the updated resource shall be of equal or better

quality than the previous resource.

      (6) Ancillary

materials for a substituted instructional resource shall be available when the

publisher submits the substitution request.

      (7) Thirty (30) days

prior to the date of the commission meeting publishers shall provide a sample

of the substituted instructional resource and a list of the changes with page

numbers of the updated material or other reference data that compares it with

the instructional resource presently listed.


      Section 12. The cost

for instructional resources to be used in Kentucky shall not be more than

twenty (20) percent in excess of the publisher or provider wholesale price.


      Section 13. (1) The

State Textbook Commission shall direct the process for including instructional

resources used as basal programs on the state list. The commission shall

receive assistance in the review and selection of instructional resources from

professional educators and lay citizens who may serve on a contractual basis.

      (2) The Commissioner

of Education shall recommend to the State Textbook Commission names of

instructional resource reviewers with knowledge about the area or areas being

considered for recommendation.

      (3) The State

Textbook Commission shall:

      (a) Appoint, from

the list of qualified applicants prepared by the Commissioner of Education,

twelve (12) instructional resource reviewers;

      (b) Approve the

evaluative criteria and instruments of evaluation developed by the

instructional resource reviewers; and

      (c) Select, approve,

and publish a list of high quality instructional resources using the

information submitted by the reviewers.

      (4) The

instructional resource reviewers shall:

      (a) Be comprised of

twelve (12) individuals, including classroom teachers, other educators, and

parents of children currently enrolled in school who represent a balance of

gender, grade levels, geographic, and ethnic diversity.

      (b) Attend meetings

and training sessions as requested by the Department of Education;

      (c) Develop and

submit to the State Textbook Commission an instrument of evaluation to be used

in reviewing instructional resources;

      (d) Review

instructional resources except those that are ancillary to basal textbook programs

to determine those of high quality; and

      (e) Submit to the

State Textbook Commission their recommendations for instructional resources to

be placed on the state's recommended list and shall submit the instruments used

in the evaluation process.


      Section 14. (1) A

school may use state instructional resource funds for the purchase of

recommended instructional resources in any combination based on identified

pupil needs. Purchases may include the following:

      (2) Instructional

resources not subject to state review but eligible for purchase shall include

the following:

      (a) Reference books,

trade books, pamphlets, periodicals, and other supplemental print material for

student use;

      (b) Supplementary

videotapes, slides, and recordings;

      (c) Graphic

materials, transparencies, globes, maps, music material, math and science

manipulatives, calculators, and similar material;

      (d) Supplementary

electronic instructional materials; and

      (e) Individualized

learning programs.

      (3) The following

materials and services shall not be eligible to be purchased with state

instructional resource funds:

      (a) Furniture,

testing programs, supplementary supplies and workbooks, raw and blank materials

with exception of materials which are integral to the success of the original

approved program as adopted by a school or district but not to include

ancillary and gratis materials;

      (b) Audio visual

equipment, major audio-visual installations such as public address systems,

sound laboratories, computers, televisions (including receiving sets and

related equipment), and other equipment; and

      (c) Reproducible

master books.


      Section 15. A school

with grades primary through eight (8) shall complete an annual plan identifying

purchases, including necessary replacements, to be made with instructional

resource funds according to the adoption cycle. The plan shall assure that an

instructional resource is available in a format designed to provide any reading

accommodation required for a student with an individual education program or a

student identified as needing an accommodation in a Section 504 plan. Use of an

electronic version of a text shall be limited to a student who has an

individual education program or Section 504 plan and the electronic version

shall not be used as a substitute for purchasing a hard copy. The school shall

maintain the original purchase pattern prior to access to the electronic file.

The plan may be revised.


      Section 16. (1) A

pupil in grades primary through twelve (12) with impaired vision shall be

considered eligible for the use of instructional resources in clear type of

eighteen (18) to twenty-four (24) points upon certification by an eye


      (2) Certification of

pupils' visual impairment shall be made by local school districts to the

Department of Education.

      (3) Request for

large print textbooks and material shall be directed to the Kentucky School for

the Blind.

      (4) A local board of

education shall assume responsibility for the care of large print textbooks and

return them to the Kentucky School for the Blind when no longer needed.

      (5) Large print

textbooks and instructional resources provided by the Kentucky School for the

Blind shall not be charged to the instructional resource account of the local



      Section 17. (1) The

Department of Education shall prepare instructional resource budgets annually

and allocate funds to local school districts, based upon the Kentucky General

Assembly biennial appropriation, for the purpose of purchasing instructional

resources during each adoption or funding cycle. The funds shall be used for

students in primary through grade eight (8), exclusively.

      (2) If allocating

funds for the purchase of instructional resources, the Department of Education

shall use the pupil membership at the close of the second month of the current

school year.

      (3) After receiving

a statement of funds allocated, the superintendent shall notify within thirty

(30) days the school council, or if none exists, the principal, of the

per-pupil allotment to be expended by each school.

      (4) Money appropriated

in the current fiscal year shall be spent on instructional resources in that

year's adoption cycle. Money carried over to the next fiscal year may be spent

by each school on instructional resources in accordance with its plan.


      Section 18. (1) A

local school district shall:

      (a) Establish and

maintain an instructional resource rental program for grades nine (9) through

twelve (12); or

      (b) Use local funds

to provide a free instructional resource program.

      (c) Instructional

resource rental fees for pupils enrolled for less than a full school year shall

be prorated based on the number of days of membership.

      (3) A local school

district shall establish and maintain accounts for the instructional resource

rental program subject to audit. The school council, or if none exists, the

principal, shall be notified regarding the school's balance.


      Section 19. (1)

Instructional resources for high schools shall be labeled as property of the

Commonwealth of Kentucky. For economy in administration, the uniform label

shall be affixed by the publishers in accordance with the "Manufacturing

Standards and Specifications for Textbooks." The purchase date and the

issue date shall be recorded on the uniform label.

      (2) Instructional

resource uniform labels shall not be completed until an examination of the

shipment shows that it agrees in detail with the purchase order. An

instructional resource with label completed shall be classified as used.

      (3) A complete

record shall be kept by the school for all state-provided instructional

resources for grades primary through eight (8) and all instructional resources

purchased with pupil rental fees for grades nine (9) through twelve (12).


      Section 20. (1)

Pupils or parents shall compensate schools for instructional resources lost,

damaged, or destroyed while in their possession.

      (2) The method and

rate of compensation shall be prorated based on the number of years the

instructional resources have been in use. The total compensation charged to a

pupil or parent shall not exceed the lowest wholesale price of the initial


      (3) Funds collected

shall be credited to the school's instructional resource account.


      Section 21. (1) A

local superintendent shall assume responsibility for the disposal of

instructional resources no longer suitable for classroom instruction.

      (2) Funds from the

sale of the instructional resources shall be credited to the school's

instructional resource account.


      Section 22. (1) A

child shall not be denied full participation in any educational program due to

an inability to purchase necessary instructional resources. A local school

district shall make available free instructional resources to all children in

grades nine (9) through twelve (12) who are unable to rent or purchase

instructional resources, using the eligibility guidelines for the free and

reduced price lunch program.

      (2) A local school

district shall adopt policies and procedures so that, at the beginning of the

school year, pupils or their parents are given written notice of how to obtain

free and reduced rental instructional resources. The policies and procedures

shall also insure that any written communication regarding payment of fees for

instructional resources shall include a form that parents may use to request

waiver or partial waiver of instructional resource fees.

      (3) A local district

shall keep records that include:

      (a) The numbers of

pupils in grades nine (9) through twelve (12) receiving free lunches and

reduced price lunches;

      (b) The number of

pupils in grades nine (9) through twelve (12) who request or apply for, or

whose parents request or apply for, free or reduced rental instructional

resources and the number of pupils receiving free or reduced rental

instructional resources; and

      (c) Copies of any

forms, notices, or instructions used by schools in the collection of

instructional resource fees or the provision of free or reduced rental

instructional resources.

      (4) In the provision

of instructional resources to indigent children, a child shall not be

discriminated against because of race, sex, color, national origin, age, or

disability and there shall not be an overt identification of any indigent



      Section 23. (1) A

public school student shall have access to necessary instructional resources

which shall be furnished free of charge in grades primary through eight (8),

and, except for students otherwise partially or wholly exempted from the rental

fee, shall have the instructional resources available for the reasonable rental

fee set forth in Section 17 of this administrative regulation for each subject

studied in grades nine (9) through twelve (12).

      (2) Quantities of

instructional resources needed for each student and each classroom shall be

determined at the school level.


      Section 24.

Incorporation by Reference. (1) The "Manufacturing Standards and

Specifications for Textbooks", dated August 15, 2002, is incorporated by


      (2) This document

may be inspected, copied or obtained, subject to applicable copyright law, at

the Division of Extended Learning, Department of Education, 17th Floor, Capital

Plaza Tower, Frankfort, Kentucky, 40601, Monday-Friday, 8 a.m. through 4:30

p.m. (21 Ky.R. 785; eff. 1-9-95; Am. 24 Ky.R. 760; 1093; eff. 11-6-97; 29 Ky.R.

1889, 2285; eff. 3-19-03.)