Applications for New Awards; Investing in Innovation Fund-Validation Grants, 32216-32228 [2015-13672]

Agencies

• DEPARTMENT OF EDUCATION

[Federal Register Volume 80, Number 108 (Friday, June 5, 2015)]
[Notices]
[Pages 32216-32228]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-13672]



Federal Register / Vol. 80, No. 108 / Friday, June 5, 2015 / 
Notices

[[Page 32216]]


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DEPARTMENT OF EDUCATION


Applications for New Awards; Investing in Innovation Fund--
Validation Grants

AGENCY: Office of Innovation and Improvement, Department of Education.

ACTION: Notice.

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SUMMARY: 
    Overview Information:
    Investing in Innovation Fund--Validation grants.
    Notice inviting applications for new awards for fiscal year (FY) 
2015.
    Catalog of Federal Domestic Assistance (CFDA) Number: 84.411B 
(Validation grants).

DATES: 
    Applications Available: June 8, 2015.
    Deadline for Notice of Intent to Apply: June 25, 2015.
    Deadline for Transmittal of Applications: August 4, 2015.
    Deadline for Intergovernmental Review: October 5, 2015.

SUPPLEMENTARY INFORMATION: 

Full Text of Announcement

I. Funding Opportunity Description

    Purpose of Program: The Investing in Innovation Fund (i3), 
established under section 14007 of the American Recovery and 
Reinvestment Act of 2009 (ARRA), provides funding to support (1) local 
educational agencies (LEAs), and (2) nonprofit organizations in 
partnership with (a) one or more LEAs or (b) a consortium of schools. 
The i3 program is designed to generate and validate solutions to 
persistent educational challenges and to support the expansion of 
effective solutions to serve substantially larger numbers of students. 
The central design element of the i3 program is its multi-tier 
structure that links the amount of funding that an applicant may 
receive to the quality of the evidence supporting the efficacy of the 
proposed project. Applicants proposing practices supported by limited 
evidence can receive relatively small grants that support the 
development and initial evaluation of promising practices and help to 
identify new solutions to pressing challenges; applicants proposing 
practices supported by evidence from rigorous evaluations, such as 
large randomized controlled trials, can receive sizable grants to 
support expansion across the country. This structure provides 
incentives for applicants to build evidence of effectiveness of their 
proposed projects and to address the barriers to serving more students 
across schools, districts, and States.
    As importantly, all i3 projects are required to generate additional 
evidence of effectiveness. All i3 grantees must use part of their 
budgets to conduct independent evaluations (as defined in this notice) 
of their projects. This ensures that projects funded under the i3 
program contribute significantly to improving the information available 
to practitioners and policymakers about which practices work, for which 
types of students, and in what contexts.
    The Department awards three types of grants under this program: 
``Development'' grants, ``Validation'' grants, and ``Scale-up'' grants. 
These grants differ in terms of the level of prior evidence of 
effectiveness required for consideration of funding, the level of scale 
the funded project should reach, and, consequently, the amount of 
funding available to support the project.
    This notice invites applications for Validation grants only. The 
notice inviting applications for Scale-up grants is published elsewhere 
in this issue of the Federal Register. The notice inviting applications 
for Development grants was published in the Federal Register on March 
30, 2015 (80 FR 16648) and is available at https://www.gpo.gov/fdsys/pkg/FR-2015-03-30/pdf/2015-07213.pdf.
    Validation grants provide funding to support expansion of projects 
supported by moderate evidence of effectiveness (as defined in this 
notice) to the national level (as defined in this notice) or regional 
level (as defined in this notice). Validation grants must further 
assess the effectiveness of the i3-supported practice through a 
rigorous evaluation, with particular focus on the populations for, and 
the contexts in, which the practice is most effective. We expect and 
consider it appropriate that each applicant propose to use the 
Validation funding to build its capacity to deliver the i3-supported 
practice, particularly early in the funding period, to successfully 
reach the level of scale proposed in its application. Additionally, we 
expect each applicant to address any specific barriers to the growth or 
scaling of the organization or practice (including barriers related to 
cost-effectiveness) in order to deliver the i3-supported practice at 
the proposed level of scale and provide strategies to address these 
barriers as part of its proposed scaling plan.
    All Validation grantees must evaluate the effectiveness of the 
practice that the supported project implements and expands. We expect 
that these evaluations will be conducted in a variety of contexts and 
for a variety of students, will identify the core elements of the 
practice, and will codify the practices to support adoption or 
replication by the applicant and other entities.
    We remind LEAs of the continuing applicability of the provisions of 
the Individuals with Disabilities Education Act (IDEA) for students who 
may be served under i3 grants. Any grants in which LEAs participate 
must be consistent with the rights, protections, and processes 
established under IDEA for students who are receiving special education 
and related services or are in the process of being evaluated to 
determine their eligibility for such services.
    As described later in this notice, in connection with making 
competitive grant awards, an applicant is required, as a condition of 
receiving assistance under this program, to make civil rights 
assurances, including an assurance that its program or activity will 
comply with Section 504 of the Rehabilitation Act of 1973, as amended 
and the Department's section 504 implementing regulations, which 
prohibit discrimination on the basis of disability. Regardless of 
whether a student with disabilities is specifically targeted as a 
``high-need student'' (as defined in this notice) in a particular grant 
application, recipients are required to comply with all legal 
nondiscrimination requirements, including, but not limited to the 
obligation to ensure that students with disabilities are not denied 
access to the benefits of the recipient's program because of their 
disability. The Department also enforces Title II of the Americans with 
Disabilities Act (ADA), as well as the regulations implementing Title 
II of the ADA, which prohibit discrimination on the basis of disability 
by public entities.
    Title VI of the Civil Rights Act of 1964 prohibits discrimination 
on the basis of race, color, and national origin. Title IX of the 
Education Amendments of 1972 prohibits discrimination on the basis of 
sex. On December 2, 2011, the Departments of Education and Justice 
jointly issued guidance that explains how educational institutions can 
promote student diversity or avoid racial isolation within the 
framework of Title VI (e.g., through consideration of the racial 
demographics of neighborhoods when drawing assignment zones for schools 
or through targeted recruiting efforts). The ``Guidance on the 
Voluntary Use of Race to Achieve Diversity and Avoid Racial Isolation 
in Elementary and Secondary Schools'' is available on the Department's 
Web site at www.ed.gov/ocr/docs/guidance-ese-201111.pdf.
    Background: Through its competitions, the i3 program strives to

[[Page 32217]]

improve the academic achievement of high-need students by accelerating 
the identification of promising solutions to pressing challenges in 
kindergarten through grade 12 (K-12) public education. The i3 program 
supports the evaluation of the efficacy of such solutions, and the 
development of new approaches to scaling effective practices to serve 
more students. Through five competitions, the i3 program has built a 
portfolio of grantees that are serving high-need students and building 
rigorous evidence regarding different approaches to addressing critical 
challenges in education. When selecting the priorities for a given 
competition, the Department considers several factors, including the 
Department's policy priorities, the need for new solutions in a 
particular priority area, the extent of the existing evidence in the 
field supporting effective practices in a particular priority area, 
whether other available funding exists for a particular priority area, 
and the results and lessons learned from projects funded through prior 
i3 competitions.
    In previous i3 Validation competitions, the Department has included 
priorities for supporting students with disabilities and English 
learners. As a result, various i3-supported projects are developing and 
implementing approaches to better serve those student groups. Although 
the FY 2015 i3 Validation competition does not include specific 
priorities for supporting English learners or students with 
disabilities, we require all grantees to serve high-need student 
populations, and we encourage applicants to consider ways in which 
their proposed projects could serve students with disabilities or 
English learners. We expect that the portfolio of i3-supported projects 
will contribute to schools' and educators' capacity to serve all 
students, including students with disabilities and English learners.
    All i3 grantees are expected to improve academic outcomes for high-
need students (as defined in this notice). The FY 2015 Validation 
competition sets out four absolute priorities and allows an applicant 
to choose which absolute priority it will address; however, applicants 
applying under the Serving Rural Communities priority (Absolute 
Priority 4) must also address one of the other three absolute 
priorities, as described below, while serving students enrolled in 
rural LEAs (as defined in this notice). These absolute priorities, as 
described below, represent persistent challenges in public education 
for which there are solutions that are supported by rigorous and 
generalizable evidence. We also include three competitive preference 
priorities.
    First, we include an absolute priority for projects designed to 
support novice teachers and novice principals. Effective teachers and 
principals are critical factors in improving student achievement, and 
emerging studies suggest that the first few years of a teacher's or 
principal's tenure are critical to their professional trajectory, 
including their levels of satisfaction, retention rates and 
effectiveness. For example, models aimed at doing multiple related 
teacher reforms at once--from recruiting and preparing to rewarding 
teachers for student achievement growth and taking on additional 
responsibilities--can have positive effects on student outcomes at the 
elementary school level.\1\ As researchers and practitioners explore 
various strategies for training and supporting novice teachers and 
principals, the Department seeks to validate and expand models that 
enhance teachers' and school leaders' skills and experiences in their 
first few years on the job.
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    \1\ Schleicher, A. (2012), Ed., Preparing Teachers and 
Developing School Leaders for the 21st Century: Lessons from around 
the World, OECD Publishing.
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    Second, we include an absolute priority for projects designed to 
implement and support the transition to internationally benchmarked, 
college- and career-ready academic content standards. Many states have 
recently raised the expectations for what their students should be able 
to learn and do across the K-12 grade span, so that all students will 
be adequately prepared for the rigorous demands of college and career. 
As the 2015 Brown Center Report on American Education \2\ points out, 
ongoing analysis of the effects of implementing high standards within 
and across States is crucial to ensuring their effectiveness in 
improving student achievement. Developing and implementing approaches 
that provide students and educators necessary information and support 
throughout this transition to higher standards is key to ensuring that 
this shift results in improvements in student learning and skills. 
Through this priority, we seek projects that leverage data from 
assessments that are aligned with internationally benchmarked, college- 
and career-ready standards to inform instruction and, ultimately, to 
support and improve student achievement.
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    \2\ Loveless, Tom. How Well are American Students Learning? 
(March 2015). The 2015 Brown Center Report on American Education. 
Volume III, Number 4. Available at: https://www.brookings.edu/~/
media/Research/Files/Reports/2015/03/BCR/2015-Brown-Center-
Report_FINAL.pdf?la=en.
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    Third, we include an absolute priority focused on implementing 
comprehensive high school reform strategies in high schools that are 
eligible to operate Title I schoolwide programs under Section 1114 of 
the Elementary and Secondary Education Act of 1965, as amended (ESEA), 
or in schools that can demonstrate that not less than 40 percent of 
students are from low-income families. These strategies encompass a 
broad spectrum of interventions, including, but not limited to: 
Implementing a rigorous college- and career-ready curriculum that links 
student work and real-world experiences; providing accelerated learning 
opportunities that allow students to earn credit toward a postsecondary 
degree, including dual enrollment programs and early-college high 
school strategies; implementing early warning indicator systems to 
identify and target supports for struggling students; personalizing 
learning for students; and strengthening relationships with business 
and post-secondary partners to link student work to real-world 
expectations and experiences. There is a particular need to improve 
readiness for college and careers in science, technology, engineering, 
and mathematics (STEM) fields, both because these are high-growth 
fields and because too many of our high schools fall short in these 
areas. There is also evidence demonstrating that comprehensive academic 
supports for high school students can improve student outcomes, 
increasing high school graduation and college preparation,\3\ including 
for high-need students.\4\
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    \3\ Fryer, Roland G. (April 2014). Injecting Charter School Best 
Practices into Traditional Public Schools: Evidence from Field 
Experiments. Available at: https://scholar.harvard.edu/files/fryer/files/2014_injecting_charter_school_best_practices_into_traditional_public_schools.pdf; Sinclair, M.F., Christenson, S.L., Lehr, C.A., & 
Anderson, A.R. (2003). Facilitating student engagement: Lessons 
learned from Check & Connect longitudinal studies. The California 
School Psychologist, 8(1), 29-42. IES Intervention Report Available 
at: https://ies.ed.gov/ncee/wwc/interventionreport.aspx?sid=78; and 
Constantine, J.M., Seftor, N.S., Martin, E.S., Silva, T., & Myers, 
D. (2006). A study of the effect of the Talent Search program on 
secondary and postsecondary outcomes in Florida, Indiana, and Texas: 
Final report from phase II of the national evaluation. Report 
prepared by Mathematica Policy Research for the U.S. Department of 
Education, Office of Planning, Evaluation, and Policy Development, 
Policy and Program Studies Service. Washington, DC: U.S. Department 
of Education. IES Intervention Report Available at: https://ies.ed.gov/ncee/wwc/interventionreport.aspx?sid=508.
    \4\ Bloom, D., Gardenhire-Crooks, A., & Mandsager, C. (2009). 
Reengaging high school dropouts: Early results of the National Guard 
Youth ChalleNGe Program evaluation. New York, NY: MDRC; Cave, G., 
Bos, H., Doolittle, F., & Toussaint, C. (1993). JOBSTART: Final 
report on a program for school dropouts. New York, NY: MDRC. IES 
Intervention Report Available at: https://ies.ed.gov/ncee/wwc/interventionreport.aspx?sid=248; and Larson, K.A., & Rumberger, R.W. 
(1995). ALAS: Achievement for Latinos through Academic Success. In 
H. Thornton (Ed.), Staying in school. A technical report of three 
dropout prevention projects for junior high school students with 
learning and emotional disabilities. Minneapolis, MN: University of 
Minnesota, Institute on Community Integration. IES Intervention 
Report Available at: https://ies.ed.gov/ncee/wwc/interventionreport.aspx?sid=22.

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    Finally, we include an absolute priority for serving rural 
communities. Students living in rural communities face unique 
challenges, such as lack of access to specialized courses. Applicants 
applying under this priority must also address one of the other three 
absolute priorities established for the FY 2015 i3 Validation 
competition, as described above, while serving students enrolled in 
rural local educational agencies (as defined in this notice).
    We also include three competitive preference priorities in the FY 
2015 Validation competition. The Department encourages applicants to 
design projects that address these competitive preference priorities in 
their applications.
    First, we include a competitive preference priority focused on 
improving cost-effectiveness and productivity. Improvements in 
operational, organizational, and instructional processes and structures 
will enable organizations to strengthen their results, and to do so in 
a more efficient manner. Applicants should provide detailed information 
about how they aim to modify their processes and structures to improve 
productivity, and how they will evaluate whether the proposed projects 
are cost-effective when implemented. This may include assessing the 
cost of comparable or alternative approaches. In order to receive 
competitive preference points, applicants addressing this priority must 
provide a detailed budget, an examination of different types of costs, 
and a plan to monitor and evaluate cost savings, all of which are 
essential to improving productivity.
    Second, we include a competitive preference priority for projects 
that enable the broad adoption of effective practices. This competitive 
preference priority rewards applicants that will implement systematic 
methods for identifying and supporting the expansion of these 
practices. While all Validation grantees must codify the core elements 
of their i3-supported practices, we are interested in projects that 
focus particularly on the documentation and replication of practices 
that have been demonstrated to be effective. In addition, practitioners 
and policymakers need access to strong, reliable data to make informed 
decisions about adopting effective practices, particularly to replace 
less effective alternatives. This competitive preference priority 
supports strategies that identify key elements of effective practices 
and that capture lessons learned about the implementation of these 
practices. In addition, an applicant addressing this priority must 
commit to implementing their approach in multiple settings and 
locations in order to ensure that the practice can be successfully 
replicated in different contexts.
    Third, in order to expand the reach of the i3 program and encourage 
entities that have not previously received an i3 grant to apply, the 
Department includes a competitive preference priority for novice i3 
applicants. A novice i3 applicant is an applicant that has never 
received a grant under the i3 program. An applicant must identify 
whether it is a novice applicant when completing the applicant 
information sheet. Instructions on how to complete the applicant 
information sheet are included in the application package.
    In summary, applications must address one of the first three 
absolute priorities for this competition and propose projects designed 
to implement practices that serve students who are in grades K-12 at 
some point during the funding period. If an applicant chooses to also 
address the absolute priority regarding students in rural LEAs, that 
applicant must also address one of the other three absolute priorities 
established for the FY 2015 i3 Validation competition, as described 
above, while serving students enrolled in rural LEAs (as defined in 
this notice). Additionally, applicants must be able to show moderate 
evidence of effectiveness for the proposed process, product, strategy, 
or practice included in their applications. Applicants should carefully 
review all of the requirements in the Eligibility Information section 
of this notice for instructions on how to demonstrate moderate evidence 
of effectiveness and for information on the other eligibility and 
program requirements.
    The i3 program includes a statutory requirement for a private-
sector match for all i3 grantees. For Validation grants, an applicant 
must obtain matching funds or in-kind donations from the private sector 
equal to at least 10 percent of its grant award. Each highest-rated 
application, as identified by the Department following peer review of 
the applications, must submit evidence of at least 50 percent of the 
required private-sector match prior to the awarding of an i3 grant. An 
applicant must provide evidence of the remaining 50 percent of the 
required private-sector match no later than three months after the 
project start date (i.e., for the FY 2015 competition, three months 
after January 1, 2016, or by April 1, 2016). The grant will be 
terminated if the grantee does not secure its private-sector match by 
the established deadline.
    This notice includes selection criteria for the FY 2015 Validation 
competition that are designed to ensure that applications selected for 
funding have the potential to generate substantial improvements in 
student achievement (and other key outcomes), and include well-
articulated plans for the implementation and evaluation of the proposed 
projects. Applicants should review the selection criteria and 
submission instructions carefully to ensure their applications address 
this year's criteria.
    An entity that submits an application for a Validation grant must 
include the following information in its application: An estimate of 
the number of students to be served by the project; evidence of the 
applicant's ability to implement and appropriately evaluate the 
proposed project; and information about its capacity (e.g., management 
capacity, financial resources, and qualified personnel) to implement 
the project at a national or regional level, working directly or 
through partners. We recognize that LEAs are not typically responsible 
for taking their practices, strategies, or programs to scale; however, 
all applicants can and should partner with others to disseminate their 
effective practices, strategies and programs and take them to scale.
    The Department will screen applications that are submitted for 
Validation grants in accordance with the requirements in this notice 
and determine which applications meet the eligibility and other 
requirements. Peer reviewers will review all applications for 
Validation grants that are submitted by the established deadline.
    Applicants should note, however, that we may screen for eligibility 
at multiple points during the competition process, including before and 
after peer review; applicants that are determined to be ineligible will 
not receive a grant award regardless of peer reviewer scores or 
comments. If we determine that a Validation grant application is not 
supported by moderate evidence of effectiveness, or that the applicant 
does not demonstrate the required prior record of improvement, or does 
not meet any other i3 requirement, the

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application will not be considered for funding.
    Priorities: This competition includes four absolute priorities and 
three competitive preference priorities. Absolute Priorities 1 and 4 
and the three competitive preference priorities are from the notice of 
final priorities, requirements, definitions, and selection criteria for 
this program, published in the Federal Register on March 27, 2013 (78 
FR 18682) (2013 i3 NFP). Absolute Priority 2 is from the Department's 
notice of final supplemental priorities and definitions, published in 
the Federal Register on December 10, 2014 (79 FR 73425) (Supplemental 
Priorities). Absolute Priority 3 is from the notice of final priority 
for this program, published elsewhere in this issue of the Federal 
Register (2015 i3 NFP).
    Absolute Priorities: For FY 2015 and any subsequent year in which 
we make awards from the list of unfunded applicants from this 
competition, these priorities are absolute priorities. Under 34 CFR 
75.105(c)(3) we consider only applications that meet one of these 
priorities.
    Under the Validation grant competition, each of the four absolute 
priorities constitutes its own funding category. The Secretary intends 
to award grants under each absolute priority for which applications of 
sufficient quality are submitted.
    An applicant for a Validation grant must choose one of the four 
absolute priorities. Applications will be peer reviewed and scored; 
because scores will be rank ordered by absolute priority, it is 
essential that an applicant clearly identify the specific absolute 
priority that the proposed project addresses. It is also important to 
note that applicants that choose to submit an application under the 
absolute priority for Serving Rural Communities must identify an 
additional absolute priority. Regardless, the peer-reviewed scores for 
applications submitted under the Serving Rural Communities priority 
will be ranked with other applications under its priority, and not 
included in the ranking for the additional priority that the applicant 
identified. This design helps us ensure that applicants under the 
Serving Rural Communities priority receive an ``apples to apples'' 
comparison with other rural applicants.
    These priorities are:
    Absolute Priority 1--Improving the Effectiveness of Teachers and 
Principals.
    Under this priority, we provide funding to projects that focus on 
developing and implementing models of induction and support for 
improving the knowledge and skills of novice teachers or novice 
principals to accelerate student performance, including but not limited 
to strategies designed to increase teacher retention or improve teacher 
or principal effectiveness.
    Absolute Priority 2--Implementing Internationally Benchmarked 
College- and Career-Ready Standards and Assessments.
    Under this priority, we provide funding to projects that are 
designed to support the implementation of, and transition to, 
internationally benchmarked college- and career-ready standards and 
assessments, including developing and implementing strategies that use 
the standards and information from assessments to inform classroom 
practices that meet the needs of all students.
    Absolute Priority 3--Implementing Comprehensive High School Reform 
and Redesign.
    Under this priority, we provide funding to support comprehensive 
high school reform and redesign strategies in high schools eligible to 
operate Title I school-wide programs under section 1114 of the 
Elementary and Secondary Education Act of 1965, as amended, or in 
schools that can demonstrate that not less than 40 percent of students 
are from low-income families. These strategies must be designed to 
increase the number and percentage of students who graduate from high 
school college- and career-ready and enroll in college, other 
postsecondary education, or other career and technical education.
    These strategies could include elements such as implementing a 
rigorous college- and career-ready curriculum; providing accelerated 
learning opportunities; supporting personalized learning; developing 
robust links between student work and real-world experiences to better 
prepare students for their future; improving the readiness of students 
for post-secondary education in STEM fields; or reducing the need for 
remediation, among others.
    Absolute Priority 4--Serving Rural Communities.
    Under this priority, we provide funding to projects that address 
one of the absolute priorities established for the 2015 Validation i3 
competition and under which the majority of students to be served are 
enrolled in rural local educational agencies (as defined in this 
notice).
    Competitive Preference Priorities: For FY 2015 and any subsequent 
year in which we make awards from the list of unfunded applicants from 
this competition, these priorities are competitive preference 
priorities. Under 34 CFR 75.105(c)(2)(i) we award one additional point 
to applications that meet the first competitive preference priority, 
two additional points to applications that meet the second competitive 
preference priority, and three additional points to applications that 
meet the third competitive preference priority.
    Applicants may address more than one of the competitive preference 
priorities. An applicant must identify in the project narrative section 
of its application the priority or priorities it wishes the Department 
to consider for purposes of earning competitive preference priority 
points.

    Note: The Department will not review or award points under any 
competitive preference priority that the applicant fails to clearly 
identify as the competitive preference priority or priorities the 
applicant wishes the Department to consider for purposes of earning 
competitive preference priority points.

    These priorities are:
    Competitive Preference Priority 1--Improving Cost-Effectiveness and 
Productivity (zero or 1 point).
    Under this priority, we provide funding to projects that address 
one of the following areas:
    (a) Substantially improving student outcomes without commensurately 
increasing per-student costs.
    (b) Maintaining student outcomes while substantially decreasing 
per-student costs.
    (c) Substantially improving student outcomes while substantially 
decreasing per-student costs.
    Other requirements related to Competitive Preference Priority 1:
    An application addressing this priority must provide--
    (1) A clear and coherent budget that identifies expected student 
outcomes before and after the practice, the cost per student for the 
practice, and a clear calculation of the cost per student served;
    (2) A compelling discussion of the expected cost-effectiveness of 
the practice compared with alternative practices;
    (3) A clear delineation of one-time costs versus ongoing costs and 
a plan for sustaining the project, particularly ongoing costs, after 
the expiration of i3 funding;
    (4) Identification of specific activities designed to increase 
substantially the cost-effectiveness of the practice, such as re-
designing costly components of the practice (while maintaining 
efficacy) or testing multiple versions of the practice in order to 
identify the most cost-effective approach; and
    (5) A project evaluation that addresses the cost-effectiveness of 
the proposed practice.

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    Competitive Preference Priority 2--Enabling Broad Adoption of 
Effective Practices (zero or 2 points).
    Under this priority, we provide funding to projects that enable 
broad adoption of effective practices. An application proposing to 
address this priority must, as part of its application:
    (a) Identify the practice or practices that the application 
proposes to prepare for broad adoption, including formalizing the 
practice (i.e., establish and define key elements of the practice), 
codifying (i.e., develop a guide or tools to support the dissemination 
of information on key elements of the practice), and explaining why 
there is a need for formalization and codification.
    (b) Evaluate different forms of the practice to identify the 
critical components of the practice that are crucial to its success and 
sustainability, including the adaptability of critical components to 
different teaching and learning environments and to diverse learners.
    (c) Provide a coherent and comprehensive plan for developing 
materials, training, toolkits, or other supports that other entities 
would need in order to implement the practice effectively and with 
fidelity.
    (d) Commit to assessing the replicability and adaptability of the 
practice by supporting the implementation of the practice in a variety 
of locations during the project period using the materials, training, 
toolkits, or other supports that were developed for the i3-supported 
practice.
    Competitive Preference Priority--Supporting Novice i3 Applicants 
(zero or 3 points).
    Eligible applicants that have never directly received a grant under 
this program.
    Definitions: The definitions of ``large sample,'' ``logic model,'' 
``moderate evidence of effectiveness,'' ``multi-site sample,'' 
``national level,'' ``quasi-experimental design study,'' ``randomized 
controlled trial,'' ``regional level,'' ``relevant outcome,'' and 
``What Works Clearinghouse Evidence Standards'' are from 34 CFR 77.1. 
All other definitions are from the 2013 i3 NFP. We may apply these 
definitions in any year in which this program is in effect.
    Consortium of schools means two or more public elementary or 
secondary schools acting collaboratively for the purpose of applying 
for and implementing an i3 grant jointly with an eligible nonprofit 
organization.
    High-minority school is defined by a school's LEA in a manner 
consistent with the corresponding State's Teacher Equity Plan, as 
required by section 1111(b)(8)(C) of the ESEA. The applicant must 
provide, in its i3 application, the definition(s) used.
    High-need student means a student at risk of educational failure or 
otherwise in need of special assistance and support, such as students 
who are living in poverty, who attend high-minority schools (as defined 
in this notice), who are far below grade level, who have left school 
before receiving a regular high school diploma, who are at risk of not 
graduating with a diploma on time, who are homeless, who are in foster 
care, who have been incarcerated, who have disabilities, or who are 
English learners.
    High school graduation rate means a four-year adjusted cohort 
graduation rate consistent with 34 CFR 200.19(b)(1) and may also 
include an extended-year adjusted cohort graduation rate consistent 
with 34 CFR 200.19(b)(1)(v) if the State in which the proposed project 
is implemented has been approved by the Secretary to use such a rate 
under Title I of the ESEA.
    Independent evaluation means that the evaluation is designed and 
carried out independent of, but in coordination with, any employees of 
the entities who develop a process, product, strategy, or practice and 
are implementing it.
    Innovation means a process, product, strategy, or practice that 
improves (or is expected to improve) significantly upon the outcomes 
reached with status quo options and that can ultimately reach 
widespread effective usage.
    Large sample means an analytic sample of 350 or more students (or 
other single analysis units), or 50 or more groups (such as classrooms 
or schools) that contain 10 or more students (or other single analysis 
units).
    Logic model (also referred to as theory of action) means a well-
specified conceptual framework that identifies key components of the 
proposed process, product, strategy, or practice (i.e., the active 
``ingredients'' that are hypothesized to be critical to achieving the 
relevant outcomes) and describes the relationships among the key 
components and outcomes, theoretically and operationally.
    Moderate evidence of effectiveness means that (i) There is at least 
one study of the effectiveness of the process, product, strategy, or 
practice being proposed that meets the What Works Clearinghouse 
Evidence Standards without reservations, found a statistically 
significant favorable impact on a relevant outcome (as defined in this 
notice) (with no statistically significant and overriding unfavorable 
impacts on that outcome for relevant populations in the study or in 
other studies of the intervention reviewed by and reported on by the 
What Works Clearinghouse), and includes a sample that overlaps with the 
populations or settings proposed to receive the process, product, 
strategy, or practice. (ii) There is at least one study of the 
effectiveness of the process, product, strategy, or practice being 
proposed that meets the What Works Clearinghouse Evidence Standards 
with reservations, found a statistically significant favorable impact 
on a relevant outcome (as defined in this notice) (with no 
statistically significant and overriding unfavorable impacts on that 
outcome for relevant populations in the study or in other studies of 
the intervention reviewed by and reported on by the What Works 
Clearinghouse), includes a sample that overlaps with the populations or 
settings proposed to receive the process, product, strategy, or 
practice, and includes a large sample (as defined in this notice) and a 
multi-site sample (as defined in this notice). (Note: Multiple studies 
can cumulatively meet the large and multisite sample requirements as 
long as each study meets the other requirements in this paragraph).
    Multi-site sample means more than one site, where site can be 
defined as an LEA, locality, or State.
    National level describes the level of scope or effectiveness of a 
process, product, strategy, or practice that is able to be effective in 
a wide variety of communities, including rural and urban areas, as well 
as with different groups (e.g., economically disadvantaged, racial and 
ethnic groups, migrant populations, individuals with disabilities, 
English learners, and individuals of each gender).
    Nonprofit organization means an entity that meets the definition of 
``nonprofit'' under 34 CFR 77.1(c), or an institution of higher 
education as defined by section 101(a) of the Higher Education Act of 
1965, as amended.
    Quasi-experimental design study means a study using a design that 
attempts to approximate an experimental design by identifying a 
comparison group that is similar to the treatment group in important 
respects. These studies, depending on design and implementation, can 
meet What Works Clearinghouse Evidence Standards with reservations (but 
not What Works Clearinghouse Evidence Standards without reservations).
    Randomized controlled trial means a study that employs random 
assignment of, for example, students, teachers, classrooms, schools, or 
districts to receive the intervention being evaluated (the treatment 
group) or not to receive the intervention (the control group). The 
estimated effectiveness of the

[[Page 32221]]

intervention is the difference between the average outcomes for the 
treatment group and for the control group. These studies, depending on 
design and implementation, can meet What Works Clearinghouse Evidence 
Standards without reservations.
    Regional level describes the level of scope or effectiveness of a 
process, product, strategy, or practice that is able to serve a variety 
of communities within a State or multiple States, including rural and 
urban areas, as well as with different groups (e.g., economically 
disadvantaged, racial and ethnic groups, migrant populations, 
individuals with disabilities, English learners, and individuals of 
each gender). For an LEA-based project to be considered a regional-
level project, a process, product, strategy, or practice must serve 
students in more than one LEA, unless the process, product, strategy, 
or practice is implemented in a State in which the State educational 
agency is the sole educational agency for all schools.
    Relevant outcome means the student outcome(s) (or the ultimate 
outcome if not related to students) the proposed process, product, 
strategy or practice is designed to improve; consistent with the 
specific goals of a program.
    Rural local educational agency means a local educational agency 
(LEA) that is eligible under the Small Rural School Achievement (SRSA) 
program or the Rural and Low-Income School (RLIS) program authorized 
under Title VI, Part B of the ESEA. Eligible applicants may determine 
whether a particular LEA is eligible for these programs by referring to 
information on the Department's Web site at www2.ed.gov/nclb/freedom/local/reap.html.
    Student achievement means--
    (a) For grades and subjects in which assessments are required under 
ESEA section 1111(b)(3): (1) A student's score on such assessments and 
may include (2) other measures of student learning, such as those 
described in paragraph (b), provided they are rigorous and comparable 
across schools within an LEA.
    (b) For grades and subjects in which assessments are not required 
under ESEA section 1111(b)(3): Alternative measures of student learning 
and performance such as student results on pre-tests, end-of-course 
tests, and objective performance-based assessments; student learning 
objectives; student performance on English language proficiency 
assessments; and other measures of student achievement that are 
rigorous and comparable across schools within an LEA.
    Student growth means the change in student achievement (as defined 
in this notice) for an individual student between two or more points in 
time. An applicant may also include other measures that are rigorous 
and comparable across classrooms.
    What Works Clearinghouse Evidence Standards means the standards set 
forth in the What Works Clearinghouse Procedures and Standards Handbook 
(Version 3.0, March 2014), which can be found at the following link: 
https://ies.ed.gov/ncee/wwc/DocumentSum.aspx?sid=19.
    Program Authority: American Recovery and Reinvestment Act of 2009, 
Division A, Section 14007, Pub. L. 111-5.
    Applicable Regulations: (a) EDGAR in 34 CFR parts 75, 77, 79, 81, 
82, 84, 86, 97, 98, and 99. (b) The Office of Management and Budget 
Guidelines to Agencies on Governmentwide Debarment and Suspension 
(Nonprocurement) in 2 CFR part 180, as adopted and amended as 
regulations of the Department in 2 CFR part 3485. (c) The Uniform 
Administrative Requirements, Cost Principles, and Audit Requirements 
for Federal Awards in 2 CFR part 200, as adopted and amended in 2 CFR 
part 3474. (d) 2013 i3 NFP (78 FR 18681). (e) 2015 i3 NFP, published 
elsewhere in this issue of the Federal Register. (f) The Supplemental 
Priorities (79 FR 73425).

    Note: The regulations in 34 CFR part 79 apply to all applicants 
except federally recognized Indian tribes.


    Note: The regulations in 34 CFR part 86 apply to institutions of 
higher education only.

II. Award Information

    Type of Award: Cooperative agreements or discretionary grants.
    Estimated Available Funds: $112,400,000.
    These estimated available funds are the total available for all 
three types of grants under the i3 program (Development, Validation, 
and Scale-up grants). Contingent upon the availability of funds and the 
quality of applications, we may make additional awards in FY 2016 or 
later years from the list of unfunded applicants from this competition.
    Estimated Range of Awards:
    Development grants: Up to $3,000,000.
    Validation grants: Up to $12,000,000.
    Scale-up grants: Up to $20,000,000.

    Note: The upper limit of the range of awards (e.g., $12,000,000 
for Validation grants) is referred to as the ``maximum amount of 
awards'' in section 5 of this notice.

    Estimated Average Size of Awards:
    Development grants: $3,000,000.
    Validation grants: $11,500,000.
    Scale-up grants: $19,000,000.
    Estimated Number of Awards:
    Development grants: 9-11 awards.
    Validation grants: 2-4 awards.
    Scale-up grants: 0-1 awards.

    Note: The Department is not bound by any estimates in this 
notice.

    Project Period: 36-60 months.

III. Eligibility Information

    1. Innovations that Improve Achievement for High-Need Students: All 
grantees must implement practices that are designed to improve student 
achievement (as defined in this notice) or student growth (as defined 
in this notice), close achievement gaps, decrease dropout rates, 
increase high school graduation rates (as defined in this notice), or 
increase college enrollment and completion rates for high-need students 
(as defined in this notice).
    2. Innovations that Serve Kindergarten-through-Grade-12 (K-12) 
Students: All grantees must implement practices that serve students who 
are in grades K-12 at some point during the funding period. To meet 
this requirement, projects that serve early learners (i.e., infants, 
toddlers, or preschoolers) must provide services or supports that 
extend into kindergarten or later years, and projects that serve 
postsecondary students must provide services or supports during the 
secondary grades or earlier.
    3. Eligible Applicants: Entities eligible to apply for i3 grants 
include either of the following:
    (a) An LEA.
    (b) A partnership between a nonprofit organization and--
    (1) One or more LEAs; or
    (2) A consortium of schools.
    Statutory Eligibility Requirements: Except as specifically set 
forth in the Note about Eligibility for an Eligible Applicant that 
Includes a Nonprofit Organization that follows, to be eligible for an 
award, an eligible applicant must--
    (a)(1) Have significantly closed the achievement gaps between 
groups of students described in section 1111(b)(2) of the ESEA 
(economically disadvantaged students, students from major racial and 
ethnic groups, students with limited English proficiency, students with 
disabilities); or
    (2) Have demonstrated success in significantly increasing student 
academic achievement for all groups of students described in that 
section;
    (b) Have made significant improvements in other areas, such as

[[Page 32222]]

high school graduation rates (as defined in this notice) or increased 
recruitment and placement of high-quality teachers and principals, as 
demonstrated with meaningful data;
    (c) Demonstrate that it has established one or more partnerships 
with the private sector, which may include philanthropic organizations, 
and that organizations in the private sector will provide matching 
funds in order to help bring results to scale; and
    (d) In the case of an eligible applicant that includes a nonprofit 
organization, provide in the application the names of the LEAs with 
which the nonprofit organization will partner, or the names of the 
schools in the consortium with which it will partner. If an eligible 
applicant that includes a nonprofit organization intends to partner 
with additional LEAs or schools that are not named in the application, 
it must describe in the application the demographic and other 
characteristics of these LEAs and schools and the process it will use 
to select them.

    Note: An entity submitting an application should provide, in 
Appendix C, under ``Other Attachments Form,'' of its application, 
information addressing the eligibility requirements described in 
this section. An applicant must provide, in its application, 
sufficient supporting data or other information to allow the 
Department to determine whether the applicant has met the 
eligibility requirements. Note that in order to address the 
statutory eligibility requirement above, applicants must provide 
data that demonstrate a change. In other words, applicants must 
provide data for at least two points in time when addressing this 
requirement in Appendix C of their applications. If the Department 
determines that an applicant has provided insufficient information 
in its application, the applicant will not have an opportunity to 
provide additional information.


    Note about LEA Eligibility: For purposes of this program, an LEA 
is an LEA located within one of the 50 States, the District of 
Columbia, or the Commonwealth of Puerto Rico.


    Note about Eligibility for an Eligible Applicant that Includes a 
Nonprofit Organization: The authorizing statute specifies that an 
eligible applicant that includes a nonprofit organization meets the 
requirements in paragraphs (a) and (b) of the eligibility 
requirements for this program if the nonprofit organization has a 
record of significantly improving student achievement, attainment, 
or retention. For an eligible applicant that includes a nonprofit 
organization, the nonprofit organization must demonstrate that it 
has a record of significantly improving student achievement, 
attainment, or retention through its record of work with an LEA or 
schools. Therefore, an eligible applicant that includes a nonprofit 
organization does not necessarily need to include as a partner for 
its i3 grant an LEA or a consortium of schools that meets the 
requirements in paragraphs (a) and (b) of the eligibility 
requirements in this notice.

    In addition, the authorizing statute specifies that an eligible 
applicant that includes a nonprofit organization meets the requirements 
of paragraph (c) of the eligibility requirements in this notice if the 
eligible applicant demonstrates that it will meet the requirement for 
private-sector matching.
    4. Cost Sharing or Matching: To be eligible for an award, an 
applicant must demonstrate that one or more private-sector 
organizations, which may include philanthropic organizations, will 
provide matching funds in order to help bring project results to scale. 
An eligible Validation applicant must obtain matching funds, or in-kind 
donations, equal to at least 10 percent of its Federal grant award. The 
highest-rated eligible applicants must submit evidence of 50 percent of 
the required private-sector matching funds following the peer review of 
applications. A Federal i3 award will not be made unless the applicant 
provides adequate evidence that the 50 percent of the required private-
sector match has been committed or the Secretary approves the eligible 
applicant's request to reduce the matching-level requirement. An 
applicant must provide evidence of the remaining 50 percent of required 
private-sector match three months after the project start date.
    The Secretary may consider decreasing the matching requirement on a 
case-by-case basis, and only in the most exceptional circumstances. An 
eligible applicant that anticipates being unable to meet the full 
amount of the private-sector matching requirement must include in its 
application a request that the Secretary reduce the matching-level 
requirement, along with a statement of the basis for the request.

    Note: An applicant that does not provide a request for a 
reduction of the matching-level requirement in its application may 
not submit that request at a later time.

    5. Other: The Secretary establishes the following requirements for 
the i3 program. These requirements are from the 2013 i3 NFP. We may 
apply these requirements in any year in which this program is in 
effect.
     Evidence Standards: To be eligible for an award, an 
application for a Validation grant must be supported by moderate 
evidence of effectiveness (as defined in this notice).

    Note: An applicant should identify up to two study citations to 
be reviewed against What Works Clearinghouse Evidence Standards for 
the purposes of meeting the i3 evidence standard requirement. An 
applicant should clearly identify these citations in Appendix D, 
under the ``Other Attachments Form,'' of its application. The 
Department will not review a study citation that an applicant fails 
to clearly identify for review. In addition to the two study 
citations, applicants should include a description of the 
intervention(s) the applicant plans to implement and the intended 
student outcomes that the intervention(s) attempts to impact in 
Appendix D.

    An applicant must either ensure that all evidence is available to 
the Department from publicly available sources and provide links or 
other guidance indicating where it is available; or, in the 
application, include copies of evidence in Appendix D. If the 
Department determines that an applicant has provided insufficient 
information, the applicant will not have an opportunity to provide 
additional information at a later time.

    Note: The evidence standards apply to the prior research that 
supports the effectiveness of the proposed project. The i3 program 
does not restrict the source of prior research providing evidence 
for the proposed project. As such, an applicant could cite prior 
research in Appendix D for studies that were conducted by another 
entity (i.e., an entity that is not the applicant) so long as the 
prior research studies cited in the application are relevant to the 
effectiveness of the proposed project.

     Funding Categories: An applicant will be considered for an 
award only for the type of i3 grant (i.e., Development, Validation, and 
Scale-up grants) for which it applies. An applicant may not submit an 
application for the same proposed project under more than one type of 
grant.
     Limit on Grant Awards: (a) No grantee may receive more 
than two new grant awards of any type under the i3 program in a single 
year; (b) in any two-year period, no grantee may receive more than one 
new Scale-up or Validation grant; and (c) no grantee may receive in a 
single year new i3 grant awards that total an amount greater than the 
sum of the maximum amount of funds for a Scale-up grant and the maximum 
amount of funds for a Development grant for that year. For example, in 
a year when the maximum award value for a Scale-up grant is $20 million 
and the maximum award value for a Development grant is $3 million, no 
grantee may receive in a single year new grants totaling more than $23 
million.
     Subgrants: In the case of an eligible applicant that is a 
partnership between a nonprofit organization and (1) one or more LEAs 
or (2) a consortium of schools, the partner serving as the applicant 
and, if funded, as the grantee,

[[Page 32223]]

may make subgrants to one or more entities in the partnership.
     Evaluation: The grantee must conduct an independent 
evaluation (as defined in this notice) of its project. This evaluation 
must estimate the impact of the i3-supported practice (as implemented 
at the proposed level of scale) on a relevant outcome (as defined in 
this notice). The grantee must make broadly available digitally and 
free of charge, through formal (e.g., peer-reviewed journals) or 
informal (e.g., newsletters) mechanisms, the results of any evaluations 
it conducts of its funded activities. For Scale-up and Validation 
grants, the grantee must also ensure that the data from its evaluation 
are made available to third-party researchers consistent with 
applicable privacy requirements.
    In addition, the grantee and its independent evaluator must agree 
to cooperate with any technical assistance provided by the Department 
or its contractor and comply with the requirements of any evaluation of 
the program conducted by the Department. This includes providing to the 
Department, within 100 days of a grant award, an updated comprehensive 
evaluation plan in a format and using such tools as the Department may 
require. Grantees must update this evaluation plan at least annually to 
reflect any changes to the evaluation. All of these updates must be 
consistent with the scope and objectives of the approved application.
     Communities of Practice: Grantees must participate in, 
organize, or facilitate, as appropriate, communities of practice for 
the i3 program. A community of practice is a group of grantees that 
agrees to interact regularly to solve a persistent problem or improve 
practice in an area that is important to them.
     Management Plan: Within 100 days of a grant award, the 
grantee must provide an updated comprehensive management plan for the 
approved project in a format and using such tools as the Department may 
require. This management plan must include detailed information about 
implementation of the first year of the grant, including key 
milestones, staffing details, and other information that the Department 
may require. It must also include a complete list of performance 
metrics, including baseline measures and annual targets. The grantee 
must update this management plan at least annually to reflect 
implementation of subsequent years of the project.

IV. Application and Submission Information

    1. Address to Request Application Package: You can obtain an 
application package via the Internet or from the Education Publications 
Center (ED Pubs). To obtain a copy via the Internet, use the following 
address: https://www2.ed.gov/programs/innovation/. To obtain a 
copy from ED Pubs, write, fax, or call the following: ED Pubs, U.S. 
Department of Education, P.O. Box 22207, Alexandria, VA 22304. 
Telephone, toll free: 1-877-433-7827. FAX: (703) 605-6794. If you use a 
telecommunications device for the deaf (TDD) or a text telephone (TTY), 
call, toll free: 1-877-576-7734.
    You can contact ED Pubs at its Web site, also: www.EDPubs.gov or at 
its email address: edpubs@inet.ed.gov.
    If you request an application from ED Pubs, be sure to identify 
this program or competition as follows: CFDA number 84.411B.
    Individuals with disabilities can obtain a copy of the application 
package in an accessible format (e.g., braille, large print, audiotape, 
or compact disc) by contacting the person or team listed under 
Accessible Format in section VIII of this notice.
    2.a. Content and Form of Application Submission: Requirements 
concerning the content of an application, together with the forms you 
must submit, are in the application package for this competition.
    Deadline for Notice of Intent to Submit Application: June 25, 2015.
    We will be able to develop a more efficient process for reviewing 
grant applications if we know the approximate number of applicants that 
intend to apply for funding under this competition. Therefore, the 
Secretary strongly encourages each potential applicant to notify us of 
the applicant's intent to submit an application by completing a Web-
based form. When completing this form, applicants will provide (1) the 
applicant organization's name and address and (2) the one absolute 
priority the applicant intends to address. Applicants may access this 
form online at https://www.surveymonkey.com/r/VX6M7SF . Applicants that 
do not complete this form may still submit an application. Page Limit: 
The application narrative (Part III of the application) is where you, 
the applicant, address the selection criteria that reviewers use to 
evaluate your application. Applicants should limit the application 
narrative [Part III] for a Validation grant application to no more than 
35 pages. Applicants are also strongly encouraged not to include 
lengthy appendices that contain information that they were unable to 
include within the page limits for the narrative. Applicants should use 
the following standards:
     A ``page'' is 8.5'' x 11'' , on one side only, with 1'' 
margins at the top, bottom, and both sides.
     Double space (no more than three lines per vertical inch) 
all text in the application narrative, including titles, headings, 
footnotes, quotations, references, and captions.
     Use a font that is either 12 point or larger or no smaller 
than 10 pitch (characters per inch).
     Use one of the following fonts: Times New Roman, Courier, 
Courier New, or Arial.
    The page limit for the application does not apply to Part I, the 
cover sheet; Part II, the budget section, including the narrative 
budget justification; Part IV, the assurances and certifications; or 
the one-page abstract, the resumes, the bibliography, or the letters of 
support of the application. However, the page limit does apply to all 
of the application narrative section [Part III] of the application.
    b. Submission of Proprietary Information:
    Given the types of projects that may be proposed in applications 
for the i3 program, some applications may include business information 
that applicants consider proprietary. The Department's regulations 
define ``business information'' in 34 CFR 5.11.
    Consistent with the process followed in the prior i3 competitions, 
we plan on posting the project narrative section of funded i3 
applications on the Department's Web site so you may wish to request 
confidentiality of business information. Identifying proprietary 
information in the submitted application will help facilitate this 
public disclosure process.
    Consistent with Executive Order 12600, please designate in your 
application any information that you feel is exempt from disclosure 
under Exemption 4 of the Freedom of Information Act. In the appropriate 
Appendix section of your application, under ``Other Attachments Form,'' 
please list the page number or numbers on which we can find this 
information. For additional information please see 34 CFR 5.11(c).
    3. Submission Dates and Times:
    Deadline for Notice of Intent to Submit Application: June 25, 2015.
    Informational Meetings: The i3 program intends to hold Webinars 
designed to provide technical assistance to interested applicants for 
all three types of grants. Detailed information

[[Page 32224]]

regarding these meetings will be provided on the i3 Web site at 
www2.ed.gov/programs/innovation/.
    Deadline for Transmittal of Applications: August 4, 2015.
    Applications for grants under this competition must be submitted 
electronically using the Grants.gov Apply site (Grants.gov). For 
information (including dates and times) about how to submit your 
application electronically, or in paper format by mail or hand delivery 
if you qualify for an exception to the electronic submission 
requirement, please refer to section IV. 7. Other Submission 
Requirements of this notice.
    We do not consider an application that does not comply with the 
deadline requirements.
    Individuals with disabilities who need an accommodation or 
auxiliary aid in connection with the application process should contact 
the person listed under Agency Contact in section VII of this notice. 
If the Department provides an accommodation or auxiliary aid to an 
individual with a disability in connection with the application 
process, the individual's application remains subject to all other 
requirements and limitations in this notice.
    Deadline for Intergovernmental Review: October 5, 2015.
    4. Intergovernmental Review: This competition is subject to 
Executive Order 12372 and the regulations in 34 CFR part 79. 
Information about Intergovernmental Review of Federal Programs under 
Executive Order 12372 is in the application package for this 
competition.
    5. Funding Restrictions: We reference regulations outlining funding 
restrictions in the Applicable Regulations section of this notice.
    6. Data Universal Numbering System Number, Taxpayer Identification 
Number, and System for Award Management: To do business with the 
Department of Education, you must--
    a. Have a Data Universal Numbering System (DUNS) number and a 
Taxpayer Identification Number (TIN);
    b. Register both your DUNS number and TIN with the System for Award 
Management (SAM) (formerly the Central Contractor Registry (CCR)), the 
Government's primary registrant database;
    c. Provide your DUNS number and TIN on your application; and
    d. Maintain an active SAM registration with current information 
while your application is under review by the Department and, if you 
are awarded a grant, during the project period.
    You can obtain a DUNS number from Dun and Bradstreet. A DUNS number 
can be created within one-to-two business days.
    If you are a corporate entity, agency, institution, or 
organization, you can obtain a TIN from the Internal Revenue Service. 
If you are an individual, you can obtain a TIN from the Internal 
Revenue Service or the Social Security Administration. If you need a 
new TIN, please allow two-five weeks for your TIN to become active.
    The SAM registration process can take approximately seven business 
days, but may take upwards of several weeks, depending on the 
completeness and accuracy of the data entered into the SAM database by 
an entity. Thus, if you think you might want to apply for Federal 
financial assistance under a program administered by the Department, 
please allow sufficient time to obtain and register your DUNS number 
and TIN. We strongly recommend that you register early.

    Note: Once your SAM registration is active, you will need to 
allow 24 to 48 hours for the information to be available in 
Grants.gov and before you can submit an application through 
Grants.gov.

    If you are currently registered with SAM, you may not need to make 
any changes. However, please make certain that the TIN associated with 
your DUNS number is correct. Also note that you will need to update 
your registration annually. This may take three or more business days.
    Information about SAM is available at www.SAM.gov. To further 
assist you with obtaining and registering your DUNS number and TIN in 
SAM or updating your existing SAM account, we have prepared a SAM.gov 
Tip Sheet, which you can find at: www2.ed.gov/fund/grant/apply/sam-faqs.html.
    In addition, if you are submitting your application via Grants.gov, 
you must (1) be designated by your organization as an Authorized 
Organization Representative (AOR); and (2) register yourself with 
Grants.gov as an AOR. Details on these steps are outlined at the 
following Grants.gov Web page: www.grants.gov/web/grants/register.html.
    7. Other Submission Requirements:
    Applications for grants for the i3 program must be submitted 
electronically unless you qualify for an exception to this requirement 
in accordance with the instructions in this section.
    a. Electronic Submission of Applications.
    Applications for grants under the i3 program, CFDA number 84.411B 
(Validation grants), must be submitted electronically using the 
Governmentwide Grants.gov Apply site at www.Grants.gov. Through this 
site, you will be able to download a copy of the application package, 
complete it offline, and then upload and submit your application. You 
may not email an electronic copy of a grant application to us.
    We will reject your application if you submit it in paper format 
unless, as described elsewhere in this section, you qualify for one of 
the exceptions to the electronic submission requirement and submit, no 
later than two weeks before the application deadline date, a written 
statement to the Department that you qualify for one of these 
exceptions. Further information regarding calculation of the date that 
is two weeks before the application deadline date is provided later in 
this section under Exception to Electronic Submission Requirement.
    You may access the electronic grant application for the i3 program 
at www.Grants.gov. You must search for the downloadable application 
package for this competition by the CFDA number. Do not include the 
CFDA number's alpha suffix in your search (e.g., search for 84.411, not 
84.411B).
    Please note the following:
     When you enter the Grants.gov site, you will find 
information about submitting an application electronically through the 
site, as well as the hours of operation.
     Applications received by Grants.gov are date and time 
stamped. Your application must be fully uploaded and submitted and must 
be date and time stamped by the Grants.gov system no later than 4:30:00 
p.m., Washington, DC time, on the application deadline date. Except as 
otherwise noted in this section, we will not accept your application if 
it is received--that is, date and time stamped by the Grants.gov 
system--after 4:30:00 p.m., Washington, DC time, on the application 
deadline date. We do not consider an application that does not comply 
with the deadline requirements. When we retrieve your application from 
Grants.gov, we will notify you if we are rejecting your application 
because it was date and time stamped by the Grants.gov system after 
4:30:00 p.m., Washington, DC time, on the application deadline date.
     The amount of time it can take to upload an application 
will vary depending on a variety of factors, including the size of the 
application and the speed of your Internet connection. Therefore, we 
strongly recommend that you do not wait until the application

[[Page 32225]]

deadline date to begin the submission process through Grants.gov.
     You should review and follow the Education Submission 
Procedures for submitting an application through Grants.gov that are 
included in the application package for this competition to ensure that 
you submit your application in a timely manner to the Grants.gov 
system. You can also find the Education Submission Procedures 
pertaining to Grants.gov under News and Events on the Department's G5 
system home page at www.G5.gov.
     You will not receive additional point value because you 
submit your application in electronic format, nor will we penalize you 
if you qualify for an exception to the electronic submission 
requirement, as described elsewhere in this section, and submit your 
application in paper format.
     You must submit all documents electronically, including 
all information you typically provide on the following forms: The 
Application for Federal Assistance (SF 424), the Department of 
Education Supplemental Information for SF 424, Budget Information--Non-
Construction Programs (ED 524), and all necessary assurances and 
certifications.
     You must upload any narrative sections and all other 
attachments to your application as files in a PDF (Portable Document) 
read-only, non-modifiable format. Do not upload an interactive or 
fillable PDF file. If you upload a file type other than a read-only, 
non-modifiable PDF or submit a password-protected file, we will not 
review that material.
     Your electronic application must comply with any page-
limit requirements described in this notice.
     After you electronically submit your application, you will 
receive from Grants.gov an automatic notification of receipt that 
contains a Grants.gov tracking number. (This notification indicates 
receipt by Grants.gov only, not receipt by the Department.) The 
Department then will retrieve your application from Grants.gov and send 
a second notification to you by email. This second notification 
indicates that the Department has received your application and has 
assigned your application a PR/Award number (an ED-specified 
identifying number unique to your application).
     We may request that you provide us original signatures on 
forms at a later date.
    Application Deadline Date Extension in Case of Technical Issues 
with the Grants.gov System: If you are experiencing problems submitting 
your application through Grants.gov, please contact the Grants.gov 
Support Desk, toll free, at 1-800-518-4726. You must obtain a 
Grants.gov Support Desk Case Number and must keep a record of it.
    If you are prevented from electronically submitting your 
application on the application deadline date because of technical 
problems with the Grants.gov system, we will grant you an extension 
until 4:30:00 p.m., Washington, DC time, the following business day to 
enable you to transmit your application electronically or by hand 
delivery. You also may mail your application by following the mailing 
instructions described elsewhere in this notice.
    If you submit an application after 4:30:00 p.m., Washington, DC 
time, on the application deadline date, please contact the person 
listed under Agency Contact in section VII of this notice and provide 
an explanation of the technical problem you experienced with 
Grants.gov, along with the Grants.gov Support Desk Case Number. We will 
accept your application if we can confirm that a technical problem 
occurred with the Grants.gov system and that that problem affected your 
ability to submit your application by 4:30:00 p.m., Washington, DC 
time, on the application deadline date. The Department will contact you 
after a determination is made on whether your application will be 
accepted.

    Note: The extensions to which we refer in this section apply 
only to the unavailability of, or technical problems with, the 
Grants.gov system. We will not grant you an extension if you failed 
to fully register to submit your application to Grants.gov before 
the application deadline date and time or if the technical problem 
you experienced is unrelated to the Grants.gov system.

    Exception to Electronic Submission Requirement: You qualify for an 
exception to the electronic submission requirement, and may submit your 
application in paper format, if you are unable to submit an application 
through the Grants.gov system because--
     You do not have access to the Internet; or
     You do not have the capacity to upload large documents to 
the Grants.gov system; and
     No later than two weeks before the application deadline 
date (14 calendar days or, if the fourteenth calendar day before the 
application deadline date falls on a Federal holiday, the next business 
day following the Federal holiday), you mail or fax a written statement 
to the Department, explaining which of the two grounds for an exception 
prevents you from using the Internet to submit your application.
    If you mail your written statement to the Department, it must be 
postmarked no later than two weeks before the application deadline 
date. If you fax your written statement to the Department, we must 
receive the faxed statement no later than two weeks before the 
application deadline date.
    Address and mail or fax your statement to: Kelly Terpak, U.S. 
Department of Education, 400 Maryland Avenue SW., Room 4C107, 
Washington, DC 20202-5930. FAX: (202) 205-5631.
    Your paper application must be submitted in accordance with the 
mail or hand delivery instructions described in this notice.
    b. Submission of Paper Applications by Mail.
    If you qualify for an exception to the electronic submission 
requirement, you may mail (through the U.S. Postal Service or a 
commercial carrier) your application to the Department. You must mail 
the original and two copies of your application, on or before the 
application deadline date, to the Department at the following address: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA Number 84.411B), LBJ Basement Level 1, 400 Maryland Avenue SW., 
Washington, DC 20202-4260.
    You must show proof of mailing consisting of one of the following:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (4) Any other proof of mailing acceptable to the Secretary of the 
U.S. Department of Education.
    If you mail your application through the U.S. Postal Service, we do 
not accept either of the following as proof of mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.
    If your application is postmarked after the application deadline 
date, we will not consider your application.

    Note: The U.S. Postal Service does not uniformly provide a dated 
postmark. Before relying on this method, you should check with your 
local post office.

    c. Submission of Paper Applications by Hand Delivery.
    If you qualify for an exception to the electronic submission 
requirement, you (or a courier service) may deliver your paper 
application to the Department by hand. You must deliver the original 
and two copies of your application by hand, on or before the 
application deadline date, to the Department at the following address: 
U.S. Department of Education,

[[Page 32226]]

Application Control Center, Attention: (CFDA Number 84.411B), 550 12th 
Street SW., Room 7039, Potomac Center Plaza, Washington, DC 20202-4260.
    The Application Control Center accepts hand deliveries daily 
between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except 
Saturdays, Sundays, and Federal holidays.

    Note for Mail or Hand Delivery of Paper Applications:  If you 
mail or hand deliver your application to the Department--
    (1) You must indicate on the envelope and--if not provided by 
the Department--in Item 11 of the SF 424 the CFDA number, including 
suffix letter, if any, of the competition under which you are 
submitting your application; and
    (2) The Application Control Center will mail to you a 
notification of receipt of your grant application. If you do not 
receive this notification within 15 business days from the 
application deadline date, you should call the U.S. Department of 
Education Application Control Center at (202) 245-6288.

V. Application Review Information

    1. Selection Criteria: The selection criteria for the Validation 
competition are from the 2013 i3 NFP and 34 CFR 75.210, and are listed 
below.
    The points assigned to each criterion are indicated in the 
parentheses next to the criterion. An applicant may earn up to a total 
of 100 points based on the selection criteria for the application.

    Note:  An applicant must provide information on how its proposed 
project addresses the selection criteria in the project narrative 
section of its application. In responding to the selection criteria, 
applicants should keep in mind that peer reviewers may consider only 
the information provided in the written application when scoring and 
commenting on the application. Therefore, applicants should 
structure their applications with the goal of helping peer reviewers 
understand the following:
     What the applicant is proposing to do, including the 
absolute priority (or, if the applicant has selected the absolute 
priority for Serving Rural Communities, the absolute priorities) 
under which the applicant intends the application to be reviewed;
     How the proposed project will reach a national or 
regional level of scale that the applicant was previously unable to 
reach; and
     What the outcomes of the project will be if it is 
successful, including how those outcomes will be evaluated.

    Selection Criteria for the Validation Grant Application:
    A. Significance (up to 15 points).
    In determining the significance of the project, the Secretary 
considers the following factors:
    (1) The extent to which the proposed project involves the 
development or demonstration of promising new strategies that build on, 
or are alternatives to, existing strategies. (34 CFR 75.210)
    (2) The potential replicability of the proposed project or 
strategies, including, as appropriate, the potential for implementation 
in a variety of settings. (34 CFR 75.210)
    (3) The extent to which the proposed project addresses a challenge 
for which there is a national need for solutions that are better than 
the solutions currently available. (2013 i3 NFP)
    B. Strategy to Scale (up to 30 points).
    In determining the applicant's capacity to scale the proposed 
project, the Secretary considers the following factors:
    (1) The extent to which the applicant demonstrates there is unmet 
demand for the process, product, strategy or practice that will enable 
the applicant to reach the level of scale that is proposed in the 
application. (34 CFR 75.210)
    (2) The extent to which the applicant will use grant funds to 
address a particular barrier or barriers that prevented the applicant, 
in the past, from reaching the level of scale proposed in the 
application. (2013 i3 NFP)
    (3) The mechanisms the applicant will use to broadly disseminate 
information on its project so as to support further development or 
replication. (34 CFR 75.210)
    C. Quality of the Project Design and Management Plan (up to 35 
points).
    In determining the quality of the proposed project design, the 
Secretary considers the following factors:
    (1) The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable. 
(34 CFR 75.210)
    (2) The adequacy of the management plan to achieve the objectives 
of the proposed project on time and within budget, including clearly 
defined responsibilities, timelines, and milestones for accomplishing 
project tasks. (34 CFR 75.210)
    (3) The clarity and coherence of the applicant's multi-year 
financial and operating model and accompanying plan to operate the 
project at a national or regional level (as defined in this notice) 
during the project period. (2013 i3 NFP)
    (4) The adequacy of procedures for ensuring feedback and continuous 
improvement in the operation of the proposed project. (34 CFR 75.210)
    D. Quality of the Project Evaluation (up to 20 points).
    In determining the quality of the project evaluation to be 
conducted, the Secretary considers the following factors:
    (1) The extent to which the methods of evaluation will, if well 
implemented, produce evidence about the project's effectiveness that 
would meet the What Works Clearinghouse Evidence Standards without 
reservations.\5\ (2013 i3 NFP)
---------------------------------------------------------------------------

    \5\ See What Works Clearinghouse Procedures and Standards 
Handbook. (Version 2.1, September 2011), which can currently be 
found at the following link: https://ies.ed.gov/ncee/wwc/DocumentSum.aspx?sid=19.
---------------------------------------------------------------------------

    (2) The clarity and importance of the key questions to be addressed 
by the project evaluation, and the appropriateness of the methods for 
how each question will be addressed. (2013 i3 NFP)
    (3) The extent to which the evaluation will study the project at 
the proposed level of scale, including, where appropriate, generating 
information about potential differential effectiveness of the project 
in diverse settings and for diverse student population groups. (2013 i3 
NFP)
    (4) The extent to which the evaluation plan includes a clear and 
credible analysis plan, including a proposed sample size and minimum 
detectable effect size that aligns with the expected project impact, 
and an analytic approach for addressing the research questions. (2013 
i3 NFP)
    (5) The extent to which the evaluation plan clearly articulates the 
key components and outcomes of the project, as well as a measurable 
threshold for acceptable implementation. (2013 i3 NFP)
    (6) The extent to which the proposed project plan includes 
sufficient resources to carry out the project evaluation effectively. 
(2013 i3 NFP)

    Note: Applicants are encouraged to design an evaluation that 
will report findings on English Learners, students with 
disabilities, and other subgroups. Additionally, applicants may wish 
to review the following technical assistance resources on 
evaluation: (1) WWC Procedures and Standards Handbook: https://ies.ed.gov/ncee/wwc/references/idocviewer/doc.aspx?docid=19&tocid=1; 
and (2) IES/NCEE Technical Methods papers: https://ies.ed.gov/ncee/tech_methods/. In addition, we invite applicants to view two 
optional Webinar recordings that were hosted by the Institute of 
Education Sciences. The first Webinar discussed strategies for 
designing and executing well-designed quasi-experimental design 
studies. Applicants interested in viewing this Webinar may find more 
information at the following Web site: https://ies.ed.gov/ncee/wwc/news.aspx?sid=23. We also encourage applicants to review a second 
Webinar recorded by the IES that focused on more rigorous evaluation 
designs. This Webinar

[[Page 32227]]

discusses strategies for designing and executing studies that meet 
WWC standards without reservations. Applicants interested in 
reviewing this Webinar may find more information at the following 
Web site: https://ies.ed.gov/ncee/wwc/News.aspx?sid=18.

    2. Review and Selection Process: As described earlier in this 
notice, before making awards, we will screen applications submitted in 
accordance with the requirements in this notice to determine whether 
applications have met eligibility and other requirements. This 
screening process may occur at various stages of the process; 
applicants that are determined to be ineligible will not receive a 
grant, regardless of peer reviewer scores or comments.
    For the application review processes, we will use independent peer 
reviewers with varied backgrounds and professions including pre-
kindergarten-grade 12 teachers and principals, college and university 
educators, researchers and evaluators, social entrepreneurs, strategy 
consultants, grant makers and managers, and others with education 
expertise. All reviewers will be thoroughly screened for conflicts of 
interest to ensure a fair and competitive review process.
    Peer reviewers will read, prepare a written evaluation, and score 
the assigned applications, using the selection criteria provided in 
this notice. For Validation grant applications, the Department intends 
to conduct a single tier review. If an eligible applicant has chosen to 
address either of the first two competitive preference priorities 
(Improving Cost-Effectiveness and Productivity or Enabling Broad 
Adoption of Effective Practices) in order to earn competitive 
preference priority points, reviewers will review and score these 
competitive preference priorities. If competitive preference priority 
points are awarded, those points will be included in the eligible 
applicant's overall score. If an eligible applicant chooses to address 
the last competitive preference priority (Supporting Novice i3 
Applicants) in order to earn competitive preference priority points, 
the Department will review its list of previous i3 grantees in scoring 
this competitive preference priority.
    We remind potential applicants that, in reviewing applications in 
any discretionary grant competition, the Secretary may consider, under 
34 CFR 75.217(d)(3), the past performance of the applicant in carrying 
out a previous award, such as the applicant's use of funds, achievement 
of project objectives, and compliance with grant conditions. The 
Secretary may also consider whether the applicant failed to submit a 
timely performance report or submitted a report of unacceptable 
quality.
    In addition, in making a competitive grant award, the Secretary 
also requires various assurances including those applicable to Federal 
civil rights laws that prohibit discrimination in programs or 
activities receiving Federal financial assistance from the Department 
of Education (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).
    3. Special Conditions: Under 2 CFR 3474.10, the Secretary may 
impose special conditions and, in appropriate circumstances, high-risk 
conditions on a grant if the applicant or grantee is not financially 
stable; has a history of unsatisfactory performance; has a financial or 
other management system that does not meet the standards in 2 CFR part 
200, subpart D; has not fulfilled the conditions of a prior grant; or 
is otherwise not responsible.

VI. Award Administration Information

    1. Award Notices: If your application is successful, we notify your 
U.S. Representative and U.S. Senators and send you a Grant Award 
Notification (GAN); or we may send you an email containing a link to 
access an electronic version of your GAN. We may notify you informally, 
also.
    If your application is not evaluated or not selected for funding, 
we notify you.
    2. Administrative and National Policy Requirements: We identify 
administrative and national policy requirements in the application 
package and reference these and other requirements in the Applicable 
Regulations section of this notice.
    We reference the regulations outlining the terms and conditions of 
an award in the Applicable Regulations section of this notice and 
include these and other specific conditions in the GAN. The GAN also 
incorporates your approved application as part of your binding 
commitments under the grant.
    3. Reporting: (a) If you apply for a grant under this competition, 
you must ensure that you have in place the necessary processes and 
systems to comply with the reporting requirements in 2 CFR part 170 
should you receive funding under the competition. This does not apply 
if you have an exception under 2 CFR 170.110(b).
    (b) At the end of your project period, you must submit a final 
performance report, including financial information, as directed by the 
Secretary. If you receive a multi-year award, you must submit an annual 
performance report that provides the most current performance and 
financial expenditure information as directed by the Secretary under 34 
CFR 75.118. The Secretary may also require more frequent performance 
reports under 34 CFR 75.720(c). For specific requirements on reporting, 
please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.
    4. Performance Measures: The overall purpose of the i3 program is 
to expand the implementation of, and investment in, innovative 
practices that are demonstrated to have an impact on improving student 
achievement or student growth for high-need students. We have 
established several performance measures for the i3 Validation grants.
    Short-term performance measures: (1) The percentage of grantees 
that reach their annual target number of students as specified in the 
application; (2) the percentage of programs, practices, or strategies 
supported by a Validation grant with ongoing well-designed and 
independent evaluations that will provide evidence of their 
effectiveness at improving student outcomes; (3) the percentage of 
programs, practices, or strategies supported by a Validation grant with 
ongoing evaluations that are providing high-quality implementation data 
and performance feedback that allow for periodic assessment of progress 
toward achieving intended outcomes; and (4) the cost per student 
actually served by the grant.
    Long-term performance measures: (1) The percentage of grantees that 
reach the targeted number of students specified in the application; (2) 
the percentage of programs, practices, or strategies supported by a 
Validation grant that implement a completed well-designed, well-
implemented and independent evaluation that provides evidence of their 
effectiveness at improving student outcomes; (3) the percentage of 
programs, practices, or strategies supported by a Validation grant with 
a completed well-designed, well-implemented and independent evaluation 
that provides information about the key elements and the approach of 
the project so as to facilitate replication or testing in other 
settings; and (4) the cost per student for programs, practices, or 
strategies that were proven to be effective at improving educational 
outcomes for students.
    5. Continuation Awards: In making a continuation award under 34 CFR 
75.253, the Secretary considers, among other things: Whether a grantee 
has made substantial progress in achieving the goals and objectives of 
the project; whether the grantee has expended funds in a manner that is 
consistent with its approved application and budget; and,

[[Page 32228]]

if the Secretary has established performance measurement requirements, 
the performance targets in the grantee's approved application. In 
making a continuation grant, the Secretary also considers whether the 
grantee is operating in compliance with the assurances in its approved 
application, including those applicable to Federal civil rights laws 
that prohibit discrimination in programs or activities receiving 
Federal financial assistance from the Department (34 CFR 100.4, 104.5, 
106.4, 108.8, and 110.23).

VII. Agency Contact

    Kelly Terpak, U.S. Department of Education, 400 Maryland Avenue 
SW., Room 4C107, Washington, DC 20202-5930. Telephone: (202) 453-7122. 
FAX: (202) 205-5631 or by email: i3@ed.gov.
    If you use a TDD or a TTY, call the Federal Relay Service, toll 
free, at 1-800-877-8339.

VIII. Other Information

    Accessible Format: Individuals with disabilities can obtain this 
document and a copy of the application package in an accessible format 
(e.g., braille, large print, audiotape, or compact disc) on request to 
either program contact person listed under Agency Contact in section 
VII of this notice.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. Free 
Internet access to the official edition of the Federal Register and the 
Code of Federal Regulations is available via the Federal Digital System 
at: www.gpo.gov/fdsys. At this site you can view this document, as well 
as all other documents of this Department published in the Federal 
Register, in text or Adobe Portable Document Format (PDF). To use PDF 
you must have Adobe Acrobat Reader, which is available free at the 
site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at: 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.

    Dated: May 27, 2015.
Nadya Chinoy Dabby,
Assistant Deputy Secretary for Innovation and Improvement.
[FR Doc. 2015-13672 Filed 6-4-15; 8:45 am]
 BILLING CODE 4000-01-P