Applications for New Awards; Investing in Innovation Fund-Scale-up Grants, 32229-32241 [2015-13673]
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Federal Register / Vol. 80, No. 108 / Friday, June 5, 2015 / Notices
DEPARTMENT OF EDUCATION
Applications for New Awards;
Investing in Innovation Fund—Scaleup Grants
Office of Innovation and
Improvement, Department of Education.
ACTION: Notice.
AGENCY:
SUMMARY:
Overview Information:
Investing in Innovation Fund—Scaleup grants.
Notice inviting applications for new
awards for fiscal year (FY) 2015.
Catalog of Federal Domestic
Assistance (CFDA) Number: 84.411A
(Scale-up 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
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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.
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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
Scale-up grants only. The notice
inviting applications for Validation
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.
Scale-up grants provide funding to
support expansion of projects supported
by strong evidence of effectiveness (as
defined in this notice) to the national
level (as defined in this notice). In
addition to improving outcomes for an
increasing number of high-need
students, Scale-up grants will generate
information about the students and
contexts for which a practice is most
effective. We expect that Scale-up grants
will increase practitioners’ and
policymakers’ understanding of
strategies that allow organizations or
practices to expand quickly and
efficiently while maintaining their
effectiveness.
All Scale-up grantees must evaluate
the effectiveness of the i3-supported
practice that the project implements and
expands. This is particularly important
in instances in which the proposed
project includes changing the i3supported practice in order to more
efficiently reach the proposed level of
scale (for example, by developing
technology-enabled training tools). The
evaluation of a Scale-up grant must
identify the core elements of, and
codify, the i3-supported practice that
the project implements in order to
support adoption or replication by other
entities. We also expect that evaluations
of Scale-up grants will be conducted in
a variety of contexts and for a variety of
students in order to determine the
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context(s) and population(s) for which
the i3-supported practice is most
effective.
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
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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.
All i3 grantees are expected to
improve academic outcomes for highneed students (as defined in this notice).
The FY 2015 Scale-up competition sets
out five 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 5) must also address one of the
other four absolute priorities, 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
for i3 applicants, as described below.
First, we include an absolute priority
for projects designed to improve the
effectiveness of teachers or principals.
Effective teachers and principals are
critical to improving student
achievement. To address this priority,
applicants may focus on any portion of
the teacher or principal career path,
including scaling effective methods for
recruiting, preparing, supporting,
evaluating, retaining or rewarding
effective teachers or principals. We are
particularly interested in efforts that
provide differentiated leadership
opportunities and roles for teachers or
principals, given the increased demands
on educators in the area of instructional
leadership. We note that LEAs and
nonprofits are implementing a wide
range of approaches to supporting
effective teachers and principals, and
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this competition seeks to scale the most
effective approaches to reach more
students and educators across a range of
contexts. Recent research, for example,
suggests that novice teachers trained
through alternative routes can be
recruited, and prepared to perform as
effectively as, or in some cases more
effectively than, traditional teacher
certification programs.1 As researchers
study various strategies for training and
supporting novice teachers and
principals, the Department seeks to
encourage innovative models that can
strengthen teaching and school
leadership in a cost effective manner.2
Second, we include an absolute
priority for projects designed to
implement and support the transition to
internationally benchmarked, collegeand 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 3 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, college1 Clark,
M.A., Chiang, H.S., Silva, T., McConnell,
S., Sonnenfeld, K., Erbe, A., & Puma, M. (2013). The
effectiveness of secondary math teachers from
Teach For America and the Teaching Fellows
programs. (NCEE 2013–4015). Washington, DC:
National Center for Education Evaluation and
Regional Assistance, Institute of Education
Sciences, U.S. Department of Education.
2 Branch, G.F., Hanushek, E.A., Rivkin, S.G.
(2013). School Leaders Matter. Education Next, Vol.
13, No. 1:62–69.
Allen, J., Pianta, R., Gregory, A., Mikami, A., &
Lun, J. (2011). An interaction-based approach to
enhancing secondary school instruction and
student achievement. Science, 333, 1034–1037.
Clark, M.A., Chiang, H.S., Silva, T., McConnell,
S., Sonnenfeld, K., Erbe, A., & Puma, M. (2013). The
effectiveness of secondary math teachers from
Teach For America and the Teaching Fellows
programs (NCEE 2013–4015). Washington, DC:
National Center for Education Evaluation and
Regional Assistance, Institute of Education
Sciences, U.S. Department of Education.
3 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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and career-ready standards to inform
instruction and, ultimately, to support
and improve student achievement.
Third, we include an absolute priority
aimed at improving science, technology,
engineering, and mathematics (STEM)
education. Ensuring that all students
can access and excel in STEM fields is
essential to meeting the needs of our
Nation’s economy and encouraging our
future prosperity.4 Careers in STEM
fields are growing, as is the body of
knowledge required to compete for and
succeed in these specialized jobs.5
Recent Bureau of Labor Statistics data
show that, between 2010 and 2020,
employment in STEM occupations is
expected to expand faster than
employment in non-STEM occupations
(by 17 versus 14 percent).6 Moreover,
STEM-related skills, such as data
analysis, and computational and
technical literacy are relevant to a wide
array of post-secondary educational and
professional pursuits.
Fourth, 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
4 Langdon, D.; McKittrick, G.; Beede, D.; Khan, B.;
and Doms, M. Office of the Chief Economist, U.S.
Department of Commerce. STEM: Good Jobs Now
and for the Future (July 2011). Available at:
www.esa.doc.gov/sites/default/files/reports/
documents/stemfinaljuly14.pdf.
5 Chairman’s Staff of the Joint Economic
Committee. Calculations using data from the Bureau
of Labor Statistics. Employment Projections: 2010–
20. Table 1.7 Occupational Employment and Job
Openings Data, Projected 2010–20, and Worker
Characteristics, 2010. February 2012. Available at:
https://bls.gov/emp/. For the purposes of this
calculation, STEM occupations are defined as in the
U.S. Department of Commerce’s Economics and
Statistics Administration report, STEM: Good Jobs
Now and for the Future. ESA Issue Brief #03–11.
July 2011.
6 Chairman’s Staff of the Joint Economic
Committee. Calculations using data from the Bureau
of Labor Statistics. Employment Projections: 2010–
20. Table 1.7 Occupational Employment and Job
Openings Data, Projected 2010–20, and Worker
Characteristics, 2010. February 2012. Available at:
https://bls.gov/emp/. For the purposes of this
calculation, STEM occupations are defined as in the
U.S. Department of Commerce’s Economics and
Statistics Administration report, STEM: Good Jobs
Now and for the Future. ESA Issue Brief #03–11.
July 2011.
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students to earn credit toward a
postsecondary degree, including dual
enrollment programs and early-college
high schools strategies; implementing
early warning indicator systems to
identify and target supports for
struggling students; personalizing
learning for students; and strengthening
relationships with business and postsecondary partners to link student work
to real-world expectations and
experiences. There is also evidence
demonstrating that comprehensive
academic supports for high school
students can improve student outcomes,
increasing high school graduation and
college preparation,7 including for highneed students.8
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 four
absolute priorities established for the FY
2015 i3 Scale-up 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
Scale-up competition. The Department
encourages applicants to design projects
7 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.
8 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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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
Scale-up 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.
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Instructions on how to complete the
applicant information sheet are
included in the application package.
In summary, applications must
address one of the first four 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 four absolute priorities established
for the FY 2015 i3 Scale-up competition,
as described above, while serving
students enrolled in rural LEAs (as
defined in this notice). Additionally,
applicants must be able to show strong
evidence of effectiveness (as defined in
this notice) 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 strong 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 Scale-up grants,
an applicant must obtain matching
funds or in-kind donations from the
private sector equal to at least 5 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 privatesector 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 Scale-up 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 Scale-up grant must include the
following information in its application:
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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 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
Scale-up 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 Scale-up 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 Scaleup grant application is not supported by
strong 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 application will not be
considered for funding.
Priorities: This competition includes
five absolute priorities and three
competitive preference priorities.
Absolute Priorities 1, 3, and 5 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). Absolute Priority 4 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.
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An applicant for a Scale-up grant
must choose one of the five 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 addressing pressing
needs related to improving teacher or
principal effectiveness.
Absolute Priority 2—Implementing
Internationally Benchmarked Collegeand 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—Improving
Science, Technology, Engineering, and
Mathematics (STEM) Education.
Under this priority, we provide
funding to projects addressing pressing
needs for improving STEM education.
Absolute Priority 4—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
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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 5—Serving Rural
Communities.
Under this priority, we provide
funding to projects that address one of
the absolute priorities established for
the 2015 Scale-up 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 three
additional points to applications that
meet the first competitive preference
priority, five additional points to
applications that meet the second
competitive preference priority, and five
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 3 points).
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.
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(b) Maintaining student outcomes
while substantially decreasing perstudent 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 costeffective approach; and
(5) A project evaluation that addresses
the cost-effectiveness of the proposed
practice.
Competitive Preference Priority 2—
Enabling Broad Adoption of Effective
Practices (zero or 5 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.
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(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 3—
Supporting Novice i3 Applicants (zero
or 5 points).
Eligible applicants that have never
directly received a grant under this
program.
Definitions:
The definitions of ‘‘large sample,’’
‘‘logic model,’’ ‘‘multi-site sample,’’
‘‘national level,’’ ‘‘quasi-experimental
design study,’’ ‘‘randomized controlled
trial,’’ ‘‘regional level,’’ ‘‘relevant
outcome,’’ ‘‘strong evidence of
effectiveness,’’ 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.
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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.
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
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
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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 LEAbased 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.
Strong evidence of effectiveness
means one of the following conditions
is met:
(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 (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 and
settings proposed to receive the process,
product, strategy, or practice, and
includes a large sample and a multi-site
sample. (Note: Multiple studies can
cumulatively meet the large and multisite sample requirements as long as each
study meets the other requirements in
this paragraph).
(ii) There are at least two studies of
the effectiveness of the process, product,
strategy, or practice being proposed,
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each of which: Meets the What Works
Clearinghouse Evidence Standards with
reservations, found a statistically
significant favorable impact on a
relevant outcome (with no statistically
significant and overriding unfavorable
impacts on that outcome for relevant
populations in the studies 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 and
settings proposed to receive the process,
product, strategy, or practice, and
includes a large sample and a multi-site
sample.
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
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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., $20,000,000 for Scale-up
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.
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).
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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
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
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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 privatesector matching.
4. Cost Sharing or Matching: To be
eligible for an award, an applicant must
demonstrate that one or more privatesector organizations, which may include
philanthropic organizations, will
provide matching funds in order to help
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bring project results to scale. An eligible
Scale-up applicant must obtain
matching funds, or in-kind donations,
equal to at least five 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 matchinglevel 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 Scaleup grant must be supported by strong
evidence of effectiveness (as defined in
this notice).
Note: An applicant should identify up
to four 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
four 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
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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 twoyear 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,
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., peerreviewed journals) or informal (e.g.,
newsletters) mechanisms, the results of
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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/
index.html. 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
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(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
84.411A.
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/VWFQPMD.
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 Scale-up grant application to no
more than 50 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).
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• 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
Apply: 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
regarding these meetings will be
provided on the i3 Web site at
www2.ed.gov/programs/innovation/
index.html.
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
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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
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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 84.411A (Scaleup 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
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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 84.411A).
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
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
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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—NonConstruction 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, nonmodifiable format. Do not upload an
interactive or fillable PDF file. If you
upload a file type other than a readonly, 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 EDspecified 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
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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.
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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 84.411A), 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,
Application Control Center, Attention:
(CFDA Number 84.411A), 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
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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 Scale-up 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 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 Scale-up
Grant Application:
A. Significance (Up to 10 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
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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 35 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,
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produce evidence about the project’s
effectiveness that would meet the What
Works Clearinghouse Evidence
Standards without reservations. (34 CFR
75.210)
(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 quasiexperimental 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 discusses strategies for
designing and executing studies that
meet WWC standards without
reservations. Applicants interested in
reviewing this Webinar may find more
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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-kindergartengrade 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 Scale-up 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.
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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
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asabaliauskas on DSK5VPTVN1PROD with NOTICES
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 Scaleup 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 Scale-up grant
with ongoing well-designed and
independent evaluations that will
provide evidence of their effectiveness
at improving student outcomes at scale;
(3) the percentage of programs,
practices, or strategies supported by a
Scale-up 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 Scale-up grant
that implement a completed welldesigned, well-implemented and
independent evaluation that provides
evidence of their effectiveness at
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19:15 Jun 04, 2015
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improving student outcomes at scale; (3)
the percentage of programs, practices, or
strategies supported by a Scale-up grant
with a completed well-designed, wellimplemented 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,
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).
If you use a TDD or a TTY, call the
Federal Relay Service, toll free, at
1–800–877–8339.
VII. Agency Contact
Dated: May 27, 2015.
Nadya Chinoy Dabby,
Assistant Deputy Secretary for Innovation and
Improvement.
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.
PO 00000
Frm 00013
Fmt 4701
Sfmt 9990
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.
[FR Doc. 2015–13673 Filed 6–4–15; 8:45 am]
BILLING CODE 4000–01–P
E:\FR\FM\05JNN3.SGM
05JNN3
Agencies
[Federal Register Volume 80, Number 108 (Friday, June 5, 2015)]
[Notices]
[Pages 32229-32241]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-13673]
Federal Register / Vol. 80, No. 108 / Friday, June 5, 2015 /
Notices
[[Page 32229]]
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DEPARTMENT OF EDUCATION
Applications for New Awards; Investing in Innovation Fund--Scale-
up Grants
AGENCY: Office of Innovation and Improvement, Department of Education.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY:
Overview Information:
Investing in Innovation Fund--Scale-up grants.
Notice inviting applications for new awards for fiscal year (FY)
2015.
Catalog of Federal Domestic Assistance (CFDA) Number: 84.411A
(Scale-up 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 Scale-up grants only. The
notice inviting applications for Validation 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.
Scale-up grants provide funding to support expansion of projects
supported by strong evidence of effectiveness (as defined in this
notice) to the national level (as defined in this notice). In addition
to improving outcomes for an increasing number of high-need students,
Scale-up grants will generate information about the students and
contexts for which a practice is most effective. We expect that Scale-
up grants will increase practitioners' and policymakers' understanding
of strategies that allow organizations or practices to expand quickly
and efficiently while maintaining their effectiveness.
All Scale-up grantees must evaluate the effectiveness of the i3-
supported practice that the project implements and expands. This is
particularly important in instances in which the proposed project
includes changing the i3-supported practice in order to more
efficiently reach the proposed level of scale (for example, by
developing technology-enabled training tools). The evaluation of a
Scale-up grant must identify the core elements of, and codify, the i3-
supported practice that the project implements in order to support
adoption or replication by other entities. We also expect that
evaluations of Scale-up grants will be conducted in a variety of
contexts and for a variety of students in order to determine the
context(s) and population(s) for which the i3-supported practice is
most effective.
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 32230]]
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.
All i3 grantees are expected to improve academic outcomes for high-
need students (as defined in this notice). The FY 2015 Scale-up
competition sets out five 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 5) must also address one of the other four absolute
priorities, 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 for i3 applicants,
as described below.
First, we include an absolute priority for projects designed to
improve the effectiveness of teachers or principals. Effective teachers
and principals are critical to improving student achievement. To
address this priority, applicants may focus on any portion of the
teacher or principal career path, including scaling effective methods
for recruiting, preparing, supporting, evaluating, retaining or
rewarding effective teachers or principals. We are particularly
interested in efforts that provide differentiated leadership
opportunities and roles for teachers or principals, given the increased
demands on educators in the area of instructional leadership. We note
that LEAs and nonprofits are implementing a wide range of approaches to
supporting effective teachers and principals, and this competition
seeks to scale the most effective approaches to reach more students and
educators across a range of contexts. Recent research, for example,
suggests that novice teachers trained through alternative routes can be
recruited, and prepared to perform as effectively as, or in some cases
more effectively than, traditional teacher certification programs.\1\
As researchers study various strategies for training and supporting
novice teachers and principals, the Department seeks to encourage
innovative models that can strengthen teaching and school leadership in
a cost effective manner.\2\
---------------------------------------------------------------------------
\1\ Clark, M.A., Chiang, H.S., Silva, T., McConnell, S.,
Sonnenfeld, K., Erbe, A., & Puma, M. (2013). The effectiveness of
secondary math teachers from Teach For America and the Teaching
Fellows programs. (NCEE 2013-4015). Washington, DC: National Center
for Education Evaluation and Regional Assistance, Institute of
Education Sciences, U.S. Department of Education.
\2\ Branch, G.F., Hanushek, E.A., Rivkin, S.G. (2013). School
Leaders Matter. Education Next, Vol. 13, No. 1:62-69.
Allen, J., Pianta, R., Gregory, A., Mikami, A., & Lun, J.
(2011). An interaction-based approach to enhancing secondary school
instruction and student achievement. Science, 333, 1034-1037.
Clark, M.A., Chiang, H.S., Silva, T., McConnell, S., Sonnenfeld,
K., Erbe, A., & Puma, M. (2013). The effectiveness of secondary math
teachers from Teach For America and the Teaching Fellows programs
(NCEE 2013-4015). Washington, DC: National Center for Education
Evaluation and Regional Assistance, Institute of Education Sciences,
U.S. Department of Education.
---------------------------------------------------------------------------
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 \3\ 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.
---------------------------------------------------------------------------
\3\ 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.
---------------------------------------------------------------------------
Third, we include an absolute priority aimed at improving science,
technology, engineering, and mathematics (STEM) education. Ensuring
that all students can access and excel in STEM fields is essential to
meeting the needs of our Nation's economy and encouraging our future
prosperity.\4\ Careers in STEM fields are growing, as is the body of
knowledge required to compete for and succeed in these specialized
jobs.\5\ Recent Bureau of Labor Statistics data show that, between 2010
and 2020, employment in STEM occupations is expected to expand faster
than employment in non-STEM occupations (by 17 versus 14 percent).\6\
Moreover, STEM-related skills, such as data analysis, and computational
and technical literacy are relevant to a wide array of post-secondary
educational and professional pursuits.
---------------------------------------------------------------------------
\4\ Langdon, D.; McKittrick, G.; Beede, D.; Khan, B.; and Doms,
M. Office of the Chief Economist, U.S. Department of Commerce. STEM:
Good Jobs Now and for the Future (July 2011). Available at:
www.esa.doc.gov/sites/default/files/reports/documents/stemfinaljuly14.pdf.
\5\ Chairman's Staff of the Joint Economic Committee.
Calculations using data from the Bureau of Labor Statistics.
Employment Projections: 2010-20. Table 1.7 Occupational Employment
and Job Openings Data, Projected 2010-20, and Worker
Characteristics, 2010. February 2012. Available at: https://bls.gov/emp/. For the purposes of this calculation, STEM occupations are
defined as in the U.S. Department of Commerce's Economics and
Statistics Administration report, STEM: Good Jobs Now and for the
Future. ESA Issue Brief #03-11. July 2011.
\6\ Chairman's Staff of the Joint Economic Committee.
Calculations using data from the Bureau of Labor Statistics.
Employment Projections: 2010-20. Table 1.7 Occupational Employment
and Job Openings Data, Projected 2010-20, and Worker
Characteristics, 2010. February 2012. Available at: https://bls.gov/emp/. For the purposes of this calculation, STEM occupations are
defined as in the U.S. Department of Commerce's Economics and
Statistics Administration report, STEM: Good Jobs Now and for the
Future. ESA Issue Brief #03-11. July 2011.
---------------------------------------------------------------------------
Fourth, 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
[[Page 32231]]
students to earn credit toward a postsecondary degree, including dual
enrollment programs and early-college high schools 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 also evidence demonstrating that comprehensive
academic supports for high school students can improve student
outcomes, increasing high school graduation and college preparation,\7\
including for high-need students.\8\
---------------------------------------------------------------------------
\7\ 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.
\8\ 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.
---------------------------------------------------------------------------
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 four
absolute priorities established for the FY 2015 i3 Scale-up
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 Scale-up 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 Scale-up 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 four
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 four absolute priorities
established for the FY 2015 i3 Scale-up competition, as described
above, while serving students enrolled in rural LEAs (as defined in
this notice). Additionally, applicants must be able to show strong
evidence of effectiveness (as defined in this notice) 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 strong 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 Scale-up grants, an applicant
must obtain matching funds or in-kind donations from the private sector
equal to at least 5 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 Scale-up
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 Scale-up grant must
include the following information in its application:
[[Page 32232]]
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 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
Scale-up 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 Scale-up
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 Scale-up grant application is not
supported by strong 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 application will not be
considered for funding.
Priorities: This competition includes five absolute priorities and
three competitive preference priorities. Absolute Priorities 1, 3, and
5 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).
Absolute Priority 4 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.
An applicant for a Scale-up grant must choose one of the five
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 addressing
pressing needs related to improving 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--Improving Science, Technology, Engineering,
and Mathematics (STEM) Education.
Under this priority, we provide funding to projects addressing
pressing needs for improving STEM education.
Absolute Priority 4--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 5--Serving Rural Communities.
Under this priority, we provide funding to projects that address
one of the absolute priorities established for the 2015 Scale-up 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 three additional
points to applications that meet the first competitive preference
priority, five additional points to applications that meet the second
competitive preference priority, and five 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 3 points).
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.
[[Page 32233]]
(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.
Competitive Preference Priority 2--Enabling Broad Adoption of
Effective Practices (zero or 5 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 3--Supporting Novice i3 Applicants
(zero or 5 points).
Eligible applicants that have never directly received a grant under
this program.
Definitions:
The definitions of ``large sample,'' ``logic model,'' ``multi-site
sample,'' ``national level,'' ``quasi-experimental design study,''
``randomized controlled trial,'' ``regional level,'' ``relevant
outcome,'' ``strong evidence of effectiveness,'' 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.
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 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
[[Page 32234]]
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.
Strong evidence of effectiveness means one of the following
conditions is met:
(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
(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 and settings proposed to receive the process, product,
strategy, or practice, and includes a large sample and a multi-site
sample. (Note: Multiple studies can cumulatively meet the large and
multi-site sample requirements as long as each study meets the other
requirements in this paragraph).
(ii) There are at least two studies of the effectiveness of the
process, product, strategy, or practice being proposed, each of which:
Meets the What Works Clearinghouse Evidence Standards with
reservations, found a statistically significant favorable impact on a
relevant outcome (with no statistically significant and overriding
unfavorable impacts on that outcome for relevant populations in the
studies 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 and settings proposed to receive the
process, product, strategy, or practice, and includes a large sample
and a multi-site sample.
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., $20,000,000 for
Scale-up 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.
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).
[[Page 32235]]
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 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 Scale-up applicant must obtain matching funds, or in-kind
donations, equal to at least five 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 Scale-up grant must be supported by strong evidence
of effectiveness (as defined in this notice).
Note: An applicant should identify up to four 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 four 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
[[Page 32236]]
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, 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 84.411A.
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/VWFQPMD. 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 Scale-up grant application to no more than
50 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).
[[Page 32237]]
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 Apply: 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 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 84.411A
(Scale-up 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
[[Page 32238]]
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
84.411A).
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 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.
[[Page 32239]]
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 84.411A), 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, Application Control Center, Attention:
(CFDA Number 84.411A), 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 Scale-up
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 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 Scale-up Grant Application:
A. Significance (Up to 10 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 35 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,
[[Page 32240]]
produce evidence about the project's effectiveness that would meet the
What Works Clearinghouse Evidence Standards without reservations. (34
CFR 75.210)
(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 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 Scale-up 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
[[Page 32241]]
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 Scale-up 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 Scale-up grant with ongoing well-designed and
independent evaluations that will provide evidence of their
effectiveness at improving student outcomes at scale; (3) the
percentage of programs, practices, or strategies supported by a Scale-
up 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
Scale-up grant that implement a completed well-designed, well-
implemented and independent evaluation that provides evidence of their
effectiveness at improving student outcomes at scale; (3) the
percentage of programs, practices, or strategies supported by a Scale-
up 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, 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. 2015-13673 Filed 6-4-15; 8:45 am]
BILLING CODE 4000-01-P