Applications for New Awards; Providing High-Quality Career and Technical Education Programs for Underserved, High-Need Youth Through a Pay for Success Model, 48766-48779 [2016-17657]
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48766
Federal Register / Vol. 81, No. 143 / Tuesday, July 26, 2016 / Notices
Paula Schmitt of the Commission staff,
at paula.schmitt@drbc.nj.gov.
Addresses for Written Comment.
Written comment on items scheduled
for hearing may be delivered by hand at
the public hearing or: By hand, U.S.
Mail or private carrier to: Commission
Secretary, P.O. Box 7360, 25 State Police
Drive, West Trenton, NJ 08628; by fax to
Commission Secretary, DRBC at 609–
883–9522; or by email (preferred) to
paula.schmitt@drbc.nj.gov. If submitted
by email, written comments on a docket
should also be sent to Mr. David
Kovach, Manager, Project Review
Section at david.kovach@drbc.nj.gov.
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Additional Information, Contacts.
Additional public records relating to
hearing items may be examined at the
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concerning hearing items, please contact
Judith Scharite, Project Review Section
assistant at 609–883–9500, ext. 216.
Dated: July 20, 2016.
Pamela M. Bush,
Commission Secretary and Assistant General
Counsel.
[FR Doc. 2016–17697 Filed 7–25–16; 8:45 am]
BILLING CODE 6360–01–P
DEPARTMENT OF EDUCATION
[Docket No. ED–2016–ICCD–0087]
Agency Information Collection
Activities; Comment Request; National
Teacher and Principal Survey of 2017–
2018 (NTPS 2017–18) Preliminary Field
Activities
Department of Education (ED),
National Center for Education Statistics
(NCES).
ACTION: Notice.
AGENCY:
In accordance with the
Paperwork Reduction Act of 1995 (44
U.S.C. chapter 3501 et seq.), ED is
proposing a revision of an existing
information collection.
DATES: Interested persons are invited to
submit comments on or before
September 26, 2016.
ADDRESSES: To access and review all the
documents related to the information
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SUMMARY:
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collection listed in this notice, please
use https://www.regulations.gov by
searching the Docket ID number ED–
2016–ICCD–0087. Comments submitted
in response to this notice should be
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Please note that comments submitted by
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addressed to the Director of the
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400 Maryland Avenue SW., LBJ, Room
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For
specific questions related to collection
activities, please contact NCES
Information Collections at
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FOR FURTHER INFORMATION CONTACT:
The
Department of Education (ED), in
accordance with the Paperwork
Reduction Act of 1995 (PRA) (44 U.S.C.
3506(c)(2)(A)), provides the general
public and Federal agencies with an
opportunity to comment on proposed,
revised, and continuing collections of
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assess the impact of its information
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the public’s reporting burden. It also
helps the public understand the
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requirements and provide the requested
data in the desired format. ED is
soliciting comments on the proposed
information collection request (ICR) that
is described below. The Department of
Education is especially interested in
public comment addressing the
following issues: (1) Is this collection
necessary to the proper functions of the
Department; (2) will this information be
processed and used in a timely manner;
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information to be collected; and (5) how
might the Department minimize the
burden of this collection on the
respondents, including through the use
of information technology. Please note
that written comments received in
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considered public records.
Title of Collection: National Teacher
and Principal Survey of 2017–2018
(NTPS 2017–18) Preliminary Field
Activities.
OMB Control Number: 1850–0598.
SUPPLEMENTARY INFORMATION:
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Type of Review: A revision of an
existing information collection.
Respondents/Affected Public:
Individuals or Households.
Total Estimated Number of Annual
Responses: 13,015.
Total Estimated Number of Annual
Burden Hours: 3,537.
Abstract: The National Teacher and
Principal Survey (NTPS), conducted
biennially by the National Center for
Education Statistics (NCES), is a system
of related questionnaires that provides
descriptive data on the context of
elementary and secondary education.
Redesigned from the Schools and
Staffing Survey (SASS) with a focus on
flexibility, timeliness, and integration
with other ED data, the NTPS system
allows for school, principal, and teacher
characteristics to be analyzed in relation
to one another. NTPS is an in-depth,
nationally representative survey of first
through twelfth grade public school
teachers, principals, and schools.
Kindergarten teachers in schools with at
least a first grade are also surveyed.
NTPS utilizes core content and a series
of rotating modules to allow timely
collection of important education trends
as well as trend analysis. Topics
covered include characteristics of
teachers, principals, schools, teacher
training opportunities, retention,
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request is to contact districts and
schools in order to begin preliminary
activities for NTPS 2017–18, namely: (a)
Contacting and seeking research
approvals from special contact districts,
where applicable, (b) notifying districts
that their school(s) have been selected
for NTPS 2017–18, and (c) notifying
sampled schools of their selection for
the survey and verifying their mailing
addresses.
Kate Mullan,
Acting Director, Information Collection
Clearance Division, Office of the Chief Privacy
Officer, Office of Management.
[FR Doc. 2016–17629 Filed 7–25–16; 8:45 am]
BILLING CODE 4000–01–P
DEPARTMENT OF EDUCATION
Applications for New Awards;
Providing High-Quality Career and
Technical Education Programs for
Underserved, High-Need Youth
Through a Pay for Success Model
Office of Career, Technical, and
Adult Education (OCTAE), Department
of Education.
ACTION: Notice.
AGENCY:
Overview Information: Providing
High-Quality Career and Technical
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Education (CTE) Programs for
Underserved, High-Need Youth through
technical assistance on Pay For Success
Models (CTE PFS TA Program) Notice
inviting applications for a new award in
fiscal year (FY) 2016.
Catalog of Federal Domestic Assistance
(CFDA) Number: 84.051
DATES:
Applications Available: July 26, 2016.
Date of Pre-Application Meeting:
August 2, 2016.
Deadline for Transmittal of
Applications: August 25, 2016.
Full Text of Announcement
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I. Funding Opportunity Description
Purpose of the program: The purpose
of this program is to support the
development of a financing model,
High-Quality Pay for Success (PFS),1 to
implement new or scale up existing
high-quality career and technical
education (CTE) projects for
Underserved, High-Need Youth (CTE
PFS Project). To this end, the
Department will award a grant to an
Intermediary to provide technical
assistance for the first two of three
phases of a PFS financing model. In
phase one, the Intermediary will
complete Feasibility Studies in four
Local CTE Sites. In phase two, the
Intermediary will provide or support
transaction structuring, based on the
limited funding level, for up to three out
of the previously identified four local
sites to the extent that the local site’s
CTE PFS project is determined to be
feasible. While it is our intent that all of
the selected local CTE PFS projects will
result in a fully-structured PFS project
ready to launch, each program may have
different challenges that might result in
not all projects completing these first
two phases by the end of the grant
period. The ultimate aim of the CTE PFS
TA Program is to improve outcomes for
Underserved, High-Need Youth through
fully-structured High-Quality PFS
Projects ready to be implemented in the
Local CTE Sites using High-Quality CTE
programs.
Background: Section 114(c)(1) of the
Carl D. Perkins Career and Technical
Education Act of 2006 (Perkins IV)
authorizes the Office of Career,
Technical, and Adult Education
(OCTAE) to provide support directly or
through grants, contracts, or cooperative
agreements, for research, development,
demonstration, evaluation, assessment,
capacity-building, and technical
assistance activities aimed at improving
1 Defined terms are used throughout the notice
and are indicated by capitalization.
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the quality and effectiveness of CTE
programs authorized under Perkins IV.
PFS financing models offer a way for
the Federal government to support the
development and scaling up of effective,
evidence-based programs for
Underserved, High-Need Youth and to
test new, innovative programs. There is
a small but growing body of evidence
about CTE program models that have
been shown to produce positive
outcomes for Underserved, High-Need
Youth. The following program models,
including career academies and early
college high schools, are examples of
the kinds of strong CTE program models
that may be used by CTE sites that are
testing PFS financing models.
Career academies restructure large
high schools into smaller learning
communities. They offer courses and
activities connected to career or
occupational themes and typically
require all students to complete a workbased learning experience. A
randomized controlled trial, over a 12year period, found that career academies
result in positive effects on labor market
outcomes.2 Students in career
academies have been shown to have
earned, on average, 11 percent ($2,088)
more per year than did students in the
non-career academies group, an increase
of $16,704 (in 2006 dollars) in total
earning over the eight years following
high school.3
Early college high schools (ECHS)
provide students with exposure to
college and the opportunity to take
college courses while they are in high
school. ECHS partner with colleges and
universities to offer all students an
opportunity to earn an Associate’s
degree or up to two years of college
credit toward an Associate’s or
Bachelor’s degree during high school at
no or low cost to students. ECHS often
have a CTE focus, such as health, life
sciences, or information technology. A
randomized controlled trial conducted
over an eight-year period found that
ECHS students graduated from high
school at a higher rate than non-ECHS
students (86 percent versus 81
percent).4 Researchers also found that
2 Kemple, James and Cynthia Willner. 2008.
Career Academies: Long-Term Impacts on Labor
Market Outcomes, Educational Attainment, and
Transitions to Adulthood. New York, NY: MDRC.
p.42. Retrieved from https://www.mdrc.org/sites/
default/files/full_50.pdf.
3 Ibid. p. 12.
4 Berger, A., Turk-Bicakci, L., Garet, M., Song, M.,
Knudson, J., Haxton, C., Zeiser, K., Hoshen, G.,
Ford, J., Stephan, J., Keating, K., & Cassidy, L.
(2013). Early college, early success: Early College
High School Initiative Impact Study. Washington,
DC: American Institutes for Research. p. 31.
Retrieved from
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ECHS students had higher
postsecondary enrollment rates
compared to non-ECHS students (80
percent versus 71 percent).5
Additionally, 22 percent of ECHS
students earned a postsecondary degree
during the study period versus two
percent of comparison students.6
Other CTE models that have some
evidence of similar positive outcomes
for youth include: (1) CTE-focused high
schools in Philadelphia had higher ontime graduation rates compared to
traditional public high schools in the
district; 7 (2) Project Lead the Way, a
project/problem-based approach to
STEM 8 education that is aligned with
Common Core State Standards in math
and English, and Next Generation
Science Standards resulted in students
increasing their in-demand knowledge
and transferable job skills; 9 (3) Linked
Learning,—an educational approach
that not only integrates academic and
high-quality career and technical
education but is also sequenced to
support students transitioning from
middle school through high school and
postsecondary education,—resulted in
students earning more credits in the first
three years compared to their peers in
traditional high school programs (1.8
credits more at the end of 11th grade),
and being more likely to stay in their
school district through 12th grade
compared to similar students in
traditional programs (five percentage
points more); 10 11 12 and (4) CTE-focused
Smaller Learning Communities—a
school restructuring strategy that
https://www.air.org/resource/early-college-earlysuccess-early-college-high-school-initiative-impactstudy-2013.
5 Ibid. p. 29.
6 Ibid. p. 33.
7 Neild, Ruth Curran, Christopher Boccanfuso,
and Vaughan Byrnes. 2013. The Academic Impacts
of Career and Technical Schools: A Case Study of
a Large Urban School District. Baltimore, MD: Johns
Hopkins University, Center for Social Organization
of Schools. Retrieved from https://
new.every1graduates.org/wp-content/uploads/2013/
02/The-Academic-Impacts-of-Career-andTechnical-Schools.pdf.
8 STEM is the abbreviation for ‘‘Science,
Technology, Engineering and Mathematics.’’
9 Starobin, S.S., Schenk, T. Jr., Laanan, F.S.,
Retwisch, D., Kollasch, A., Chen, Y., & Baul, T.
(2013). Evaluation research of the Iowa Project Lead
the Way: Final project report, June 2013. Prepared
for the Kern Family Foundation. Retrieved from
https://www.cclp.hs.iastate.edu/research/rbriefs/
PLTWReport2013-Final.
10 Guha, R., K. Caspary, R. Stites, C. Padilla, N.
Arshan, C. Park, V. Tse, S. Astudillo, A. Black, &
N. Adelman. (2014). Taking Stock of the California
Linked Learning District Initiative. Fifth-Year
Evaluation Report. Menlo Park, CA: SRI
International. Retrieved from https://
www.connectedcalifornia.org/direct/files/resources/
year5linkedlearningevaluationreportdec2014.pdf.
11 Ibid p.A–26.
12 Ibid p.56.
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involves smaller, personalized learning
environments that are often focused on
a specific career theme—resulted in
increased four-year graduation rates for
participating students (70.4 percent for
smaller learning community enrollees
compared to 60.9 percent for their
control group counterparts.13 14
PFS includes innovative contracting
and financing models that test and
advance promising and proven
interventions while paying only for
successful outcomes for families,
individuals, and communities. Through
a PFS project, a government (or other)
entity enters into a contract to pay for
the achievement of concrete, measurable
outcomes for specific people or
communities. Service providers deliver
interventions to achieve these outcomes.
Payments, known as Outcomes
Payments, are made only if the
interventions achieve those outcomes
agreed upon in advance. In many cases,
these outcomes are expected to occur
over a period of years, meaning that the
service providers need outside funding
in order to cover their operating costs.
In these cases, PFS financing is used by
bringing in Investors, which are
recruited typically by an Intermediary
contracted by the government. The
government or other entity makes
Outcomes Payments that, where PFS
financing is used, repay Investors for
their capital that covered the costs of
services (and sometimes other projects
costs) and offer them a modest return.
Ideally, with or without PFS financing,
Outcomes Payments amount to a
fraction of the short- and long-term cost
savings to the government (or other)
entity resulting from the successful
outcomes. In other cases, these
payments may represent an overall
greater value to the government or other
payor based on the achievement of
better outcomes than would otherwise
have occurred.
PFS contracting and financing require
partnerships among multiple
stakeholders. Partners typically include:
• One or more outcomes ‘‘payors,’’
generally Federal, State, Local, or Tribal
government entities, or other public or
private entities that contract to pay for
outcomes when achieved;
• Service provider(s), which deliver
the intervention(s) intended to achieve
the outcomes;
• Investor(s), which cover the upfront
cost of implementing the intervention
13 Bloom, Howard and Rebecca Unterman. 2013.
Sustained Progress: New Findings about the
Effectiveness and Operation of Small Public High
Schools of Choice in New York City. New York:
MDRC. Retrieved from https://www.mdrc.org/sites/
default/files/sustained_progress_FR_0.pdf.
14 Ibid pp. 5–6.
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and at times other associated costs
through PFS financing and may receive
a return on investment if the outcomes
are achieved; and
• Independent Evaluator, which
determines, through a Rigorous
Evaluation, whether the intervention
achieved the Outcome Measure(s)
sought.
Many PFS projects in the United
States to date have also included a
project coordinator or intermediary, an
entity that facilitates and manages the
PFS project and contracting process
implementation.
The development, implementation,
and evaluation of PFS projects typically
involve three stages: Feasibility Study;
transaction structuring; and agreement
implementation.
The first stage, Feasibility Study,
includes the following activities:
• Identification of outcome(s) sought;
• Assessment of community needs,
assets, and capacity;
• Identification of a challenge(s) or
barrier(s) for serving a particular
population or addressing a social issue
and determination of the total costs
associated with the lack of intervention;
• Identification of interventions that
can achieve the desired outcome(s);
• Projection of the potential public
value, including any savings, to be
achieved through potential
interventions; and
• Determination of the willingness
and capacity of stakeholders to
implement a PFS project; and
• Development of Rigorous
Evaluation methodology to determine if
Outcome Measures have been achieved.
The second stage, transaction
structuring, includes, but is not limited
to, the following activities:
• Providing overall PFS coordination
and support;
• Raising capital and developing
capital structure;
• Mediating and facilitating
agreements between each of the parties
to the project;
• Aligning project design and
evaluation;
• Tracking the impact of achieving
the Outcome Measures on government
funding streams in terms of cost savings
and avoidance.
• Finalizing the PFS project and
preparing for post-closing activities and
allowing for transition of critical
information to those implementing the
third stage; and
• Supporting ramp-up activities.
The third stage, contract
implementation, involves the
implementation of the PFS project,
whereby the intervention is delivered by
the service provider, an evaluation is
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conducted, and performance is
monitored. If the third-party evaluator
confirms that outcome milestones have
been reached, the outcomes payor
makes Outcomes Payments to PFS
Investors.
This CTE PFS TA program will focus
on the first two stages of a PFS Project,
Feasibility Study and transaction
structuring, and aims to:
• Provide selected Local CTE Sites
with the resources and expertise needed
to effectively determine their ability to
utilize a PFS financing model to
implement new, or scale up existing,
High-Quality CTE Programs for
Underserved, High-Need Youth and the
appropriateness of a PFS financing
approach;
• Increase the capacity of the Local
CTE Sites to identify, assess, support
and scale evidence-based solutions for
CTE programs;
• Increase the pipeline of CTE PFS
projects;
• Increase awareness in the CTE field
about how to successfully structure PFS
financing transactions; and
• Identify the appropriate Rigorous
Evaluation for evaluating a PFSfinanced CTE program, the metrics for
determining whether the program is
successful based on the evaluation, and
build understanding of how to align the
processes of designing the project and
the evaluation.
Purpose of the Competition: The
purpose of this competition is to award
a grant through a cooperative agreement
to an Intermediary to select four Local
CTE Sites and provide technical
assistance to the four Local CTE Sites to
implement new, or scale up existing,
High-Quality CTE Programs for
Underserved, High-Need Youth through
a PFS model during the Feasibility
Study phase and transaction structuring
phase, with the ultimate aim of
improving outcomes through a HighQuality PFS Project. This Intermediary
must:
(a) Select four Local CTE Sites based
on at least the selection criteria in
section (a)(1) of the Program
Requirements in this notice;
(b) Provide technical assistance:
(1) To the four selected Local CTE
Sites throughout the Feasibility Study
phase, including by completing four
Feasibility Studies;
(2) To up to three of the four Local
CTE Sites, as applicable, throughout the
transaction structuring phase; and
(3) Including to:
(i) Develop PFS financing models as
a basis for implementing new, or scaling
up existing, High-Quality CTE Programs
for Underserved, High-Need Youth;
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(ii) Develop CTE PFS Projects that
have the potential to improve the
subsequent education, credentialing,
employment, earnings, and other
outcomes for Underserved, High-Need
Youth;
(iii) Where feasible, develop fullystructured CTE PFS Agreements for the
Local CTE Sites that will ultimately
allow them to implement the CTE PFS
Project and related evaluations; and
(4) Document the lessons learned
from the CTE PFS Projects in a format
and manner that the Department and
four Local CTE Sites may disseminate to
the CTE field and other key stakeholders
to inform future CTE investments.
Program Requirements: We are
establishing these requirements for the
FY 2016 grant competition and any
subsequent year in which we make
awards from the list of unfunded
applications from this competition, in
accordance with section 437(d)(1) of the
General Education Provisions Act
(GEPA), 20 U.S.C. 1232(d)(1). The
Secretary intends to make a grant
through a cooperative agreement for the
CTE PFS TA Program that includes two
stages of work:
(a) Feasibility Study: The
Intermediary will identify and provide
technical assistance for up to four Local
CTE Sites, including a completed PFS
Feasibility Study for each Local CTE
Site to determine if PFS is feasible to
meet the needs of Underserved, HighNeed students at those sites.
Appropriate technical assistance may
include, but is not limited, to:
(1) Identifying local CTE programs
that could benefit from PFS technical
assistance. In coordination with
OCTAE, the Intermediary will design,
finalize and implement an Open and
Fair Competition to select the four Local
CTE Sites. In order to ensure an Open
and Fair Competition, the Intermediary
or their agents that develop or draft
specifications, requirements, statements
of work, and invitations for application
shall be excluded from competing.
Solicitations shall clearly establish all
requirements that the applicant shall
fulfill for their proposal to be evaluated.
The competition conducted by the
Intermediary must select four Local CTE
Sites based on at least the following
selection criteria:
(i) Geographic diversity (urban,
suburban, and rural) of Local CTE Sites
that have a significant population of
Underserved, High-Need Youth who
could benefit from High-Quality CTE
Programs;
(ii) The extent that the Local CTE Site
has the interest and capacity to
implement a High Quality PFS Project;
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(iii) The extent that the Local CTE Site
has the capacity to work with the
Intermediary to meet the requirements
of the Feasibility Study and Transaction
Structuring in the Requirements section
of this notice;
(iv) The extent that the Local CTE Site
has a high likelihood of proceeding to
the transaction structuring phase of the
CTE PFS Project;
(v) The extent that the Local CTE
Site’s work aligns or will align with
local workforce demands;
(vi) The extent that the Local CTE Site
is committed to or has experience using
Evidenced-based Interventions;
(vii) The extent that the Local CTE
Site has existing connections to local
payors; and
(viii) If the Local CTE Site is a
member of a consortia eligible to receive
assistance under section 131 of Perkins
IV or a consortium of eligible
institutions eligible to receive assistance
under section 132 of Perkins IV, the
Intermediary must provide preference.
(2) Providing selected Local CTE Sites
with technical assistance while
completing a Feasibility Study during
the Feasibility Study stage including the
following tasks:
(i) Organizational/Programmatic
Assessment:
(A) Ascertaining local needs and
priority areas for CTE strategies most
appropriate for a CTE PFS Project, for
example: identifying possible evidencebased CTE programs, such as those
described in the Background section of
this notice; assessing the evidence base
for different CTE interventions;
assessing the likelihood of success of
those CTE interventions in the local
context; and assisting in determining
the specific CTE intervention that will
be used for the CTE PFS Project in each
Local CTE Site;
(B) Assessing the strength, expertise,
and capacity of an educational program
to deliver the CTE intervention and
achieve desired outcomes, including
stakeholder and community support;
(C) Evaluating the willingness and
capacity of stakeholders to implement a
CTE PFS Agreement that would result
in high-quality career and technical
education projects for Underserved,
High-Need Youth;
(D) Assessing available local, State,
Federal, and administrative data, and
other available evidence, data, and
information relevant to carrying out
potential CTE PFS Projects, including
the Local CTE Sites’ capacity for data
matching and analysis; and
(E) Proposing a Rigorous Evaluation
design to assess a CTE PFS Project’s
success.
(ii) Budgetary/Financial Analysis:
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(A) Developing a framework and
conducting analyses for estimating
public sector savings and Benefits, and
potential costs and performance-based
payments for potential CTE PFS Projects
in order to inform decision-making;
(B) Identifying and estimating
potential costs and savings at each level
of government and for each program;
and
(C) Developing a budget estimating
the costs needed for the transaction
structuring phase, for ramp-up costs (if
applicable), and implementation.
(iii) Legal/Regulatory Review:
(A) Identifying statutory, regulatory,
fiscal, and programmatic barriers to
implementation of CTE PFS Projects
and recommending the necessary steps
to remove these barriers; and
(B) Assessing and addressing
appropriate risks (e.g., the risk that the
relevant entity may not be able to make
future Outcomes Payments).
(iv) Data Capacity:
(A) Assessing the capacity of the
Local CTE Sites to collect and analyze
data pertaining to implementation and
outcomes of the PFS Projects;
(B) Assisting sites to identify and gain
access to relevant administrative data
systems such as, but not limited to,
Unemployment Insurance records, State
Longitudinal Data Systems, Wage
Record Interchange System, Federal
Employment Data Exchange, and the
National Student Clearinghouse,
consistent with the Family Educational
Rights and Privacy Act (20 U.S.C. 1232g;
34 CFR part 99) and other applicable
Federal, State and local privacy laws;
and
(C) Increasing capacity of Local CTE
Sites to leverage administrative data to
monitor progress on short- and longterm outcomes.
(v) Procurement:
(A) Designing and implementing a
process for collecting relevant
information from the public or key
audiences to inform potential PFS
activities for the Local CTE Sites,
including priorities, service delivery,
transaction structuring, evaluation, or
other relevant issues, priorities,
concepts and strategies;
(B) Designing and publicizing
requests for proposals, notices of
funding availability, or other relevant
funding announcements/proposal
solicitations for release by government
entities or other payors to solicit the
services of coordinators, service
providers, or evaluators; and
(C) Assessing solicited proposals,
including respondents’ organizational
capacity, past performance, operating
model, strength of outcomes, efficiency,
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quality of management team, and
suitability for PFS financing.
(3) Submitting to the Department the
results of the Feasibility Study for each
of the four Local CTE Sites that include,
at a minimum:
(i) A description of the proposed
evidence-based CTE intervention that
includes, at a minimum, how the
intervention is likely to improve student
outcomes, based on quantitative,
qualitative, or theoretical evidence; the
goals, objectives, and outcomes to be
achieved by the proposed CTE program
which are clearly specified and
measurable and will demonstrate
student success; and how the
intervention is appropriate to, and will
successfully address, the needs of
Underserved, High-Need Youth;
(ii) Identification of one or more
clearly specified and measurable
Outcome Measures related to education
and employment;
(iii) A Cost-Benefit Analysis that
accounts for, among other things, costs,
savings and other benefits across
programs and levels of government;
(iv) Identification of any statutory or
legal barriers to implementing a CTE
PFS Project and how they will be
addressed.
(v) Identification of potential source(s)
of Outcomes Payments from public or
private entity(ies).
(b) Transaction Structuring: The
Intermediary must provide support for
structuring the CTE PFS agreement for
up to three Local CTE Sites with feasible
CTE PFS Projects. Activities may
include, but are not limited to:
(1) Providing overall PFS Project
coordination and support to—
(i) Design CTE PFS Project work plan,
timeline, and task list;
(ii) Coordinate planning and meetings
of relevant CTE PFS Project
stakeholders;
(iii) Manage all project elements to
meet shared timeline of CTE PFS Project
stakeholders;
(iv) Develop a plan to train and
provide technical assistance for selected
Local CTE Sites to provide services,
including engaging and educating
providers to ensure that expectations of
their role in the CTE PFS Project are
clear;
(v) Assess the strength, expertise, and
capacity of selected Local CTE Sites to
provide services, including quantitative
and qualitative assessment of
respondents’ track records, operating
models, strength of outcomes, and
compatibility with the CTE PFS Project;
(vi) Address Local CTE Site
performance concerns or capacity gaps;
(vii) Coordinate selection of qualified
Independent Evaluator(s);
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(viii) Coordinate or lead design of key
project components, including detailed
service provision, duration of services,
outcome measures and monitoring, and
PFS intervention evaluation design; and
(ix) Ensure that all data necessary to
identify the target population and
measure outcomes will be made
available by the government entity or
other entity, and shared among relevant
stakeholders, including the
Intermediary and Independent
Evaluator on a timely basis and in
accordance with all applicable
confidentiality and Federal, State and
local privacy laws and requirements.
(2) Raising capital and developing
capital structure by:
(i) Identifying sources of funding for
Outcomes Payments (including sources
beyond Federal funds);
(ii) Conducting Financial Modeling of
the transaction, including analysis of
possible payment terms and transaction
structures;
(iii) Developing an investment and
structure, regarding Outcomes
Payments, that mitigates relevant risks
and establishes appropriate incentives;
(iv) Developing relevant
documentation, such as a term sheet,
that includes Outcomes Payments,
pricing, payment schedules, and capital
structure; and
(v) Marketing the CTE PFS Project to
Investors in order to raise capital
commitments necessary to fund the CTE
PFS Project.
(3) Mediating and facilitating an
agreement between each of the CTE PFS
Partners to the transaction by:
(i) Coordinating the negotiation of all
parties around economic and contract
terms;
(ii) Developing and finalizing all
contracts and supplementary
documentation, including offering or
loan documents that may be relevant
and working with legal counsel as
appropriate; and
(iii) Closing the Intermediary’s CTE
PFS work/activities with Local CTE
Sites.
(4) Proposing additional or alternative
strategies under any of the above task
areas which further the purposes of the
CTE PFS TA Program.
(5) Documenting and disseminating
lessons learned from the transaction
structuring phase.
Public Use of Data and
Documentation: The Intermediary and
the four local CTE Sites must be willing
to make data and documentation
publicly available for the purposes of
transparency and knowledge sharing,
including making the CTE PFS
Agreements publicly available. To
facilitate knowledge sharing and enable
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other communities to learn from the
Local CTE Sites’ PFS experiences, the
Department intends to post publicly on
its Web site Feasibility Studies, lessons
learned, best practices, documents
created for transactions such as
contracts, and other tools created
throughout the PFS phases, while
adhering to the confidentiality needs of
program participants as well as local,
State, and Federal laws.
Participation in a DepartmentSponsored Program Evaluation: As a
condition of the cooperative agreement,
the Intermediary will be required to
cooperate with all Department staff,
contractors, or designated grantees
performing research or evaluation
studies funded by the Department. The
Intermediary must establish any
necessary agreements with the four
Local CTE Sites to ensure that the
Intermediary is able to completely
respond to and cooperate with
Department staff, contractors, or
designated grantees performing research
or evaluation studies funded by the
Department.
Cooperative Agreement: The Secretary
plans to make a grant award under the
terms of a cooperative agreement to a
Grantee (Intermediary) as defined in this
notice. The Secretary expects to have
substantial involvement with the
Grantee during the performance of the
funded project, including, but not
limited to:
(a) Direct involvement in the review
and approval of project activities;
(b) Substantial input into the final
selection and approval of the Local CTE
Sites;
(c) Continued and regular
participation in project activities;
(d) Halting a project activity if
detailed performance specifications or
requirements are not met;
(e) Substantial input into the final
selection and approval of the three
Local CTE Sites that will receive
transaction structuring TA; and
(f) Reviewing and approving one stage
of work before subsequent work may
begin, especially between the Feasibility
Analysis and transaction structuring
phases of the CTE PFS Projects.
Milestone Reporting and
Documentation: Under the cooperative
agreement, at a minimum, the
Intermediary must submit the following
reports and documents according to the
timelines noted below:
(a) Within two months of the grant
award, the Intermediary’s plan to
implement an Open and Fair
Competition to select four Local CTE
Sites (selection plan) to receive
Feasibility Study technical assistance
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for approval by the Department. This
selection plan must:
(1) Include the key eligibility criteria
for selecting the Local CTE Sites;
(2) Identify the acceptable level of
evidence for the potential CTE PFS
project’s proposed intervention, given
that all proposed CTE PFS projects must
include interventions that have at least
a preliminary level of evidence;
(3) Detail how the selection process
will:
(i) Comply with requirements for an
Open and Fair Competition, and
(ii) Ensure that appropriate conflict of
interest policies are in place for
selection of Local CTE Sites;
(4) Provide the timeline for
implementing the selection plan,
including milestones for releasing the
Intermediary’s request for proposals or
other competition document and
selecting local CTE Sites.
(b) At least one month in advance of
releasing a competition notice for Local
CTE Sites interested in implementing a
Feasibility Study, the Intermediary must
submit a finalized detailed plan to the
U.S. Department of Education for
approval containing the required
information in paragraph (a) of this
section.
(c) Prior to selecting the four Local
CTE Sites, the Intermediary must submit
a report on the Intermediary’s Open and
Fair Competition implementing the
approved selection plan recommending
four Local CTE Sites to receive
feasibility technical assistance for
approval by the Department. The report
should include:
(1) A description of the evidence
demonstrating that the Service Delivery
Model is likely to achieve the stated
outcomes; and
(2) A summary of the experience of
the Local CTE Site delivering the
proposed intervention or a similar
intervention, or other contracted
intervention initiated by the Local CTE
Site, or other evidence demonstrating
the service provider has the expertise
necessary to deliver the proposed
intervention.
(d) Provide a plan and timeline,
including milestones, for completing the
Feasibility Studies for the four Local
CTE Sites within 24 months of the grant
award identifying each of the critical
steps for approval by the Department.
(e) Provide quarterly reports to the
Department on the Intermediary’s
progress developing and completing
CTE PFS Feasibility Studies for the four
Local CTE Sites consistent with the
approved plan, timeline and critical
steps in paragraph (d).
(f) Complete, review, and disseminate
the four written CTE PFS Feasibility
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Studies within 24 months of the grant
award consistent with program
requirements.
(g) Where a Feasibility Study
concludes that a CTE PFS Project is not
viable or appropriate, an explanation of
why the project is not feasible and
suggested alternatives to the CTE PFS
Project or next steps to ready the Local
CTE Site for the CTE PFS Project to
become viable.
(h) Submit a plan to verify the results
of the Feasibility Studies and outline
the selection criteria that will be used to
determine which entities will receive
transaction structuring technical
assistance.
(i) Provide a plan and timeline,
including milestones, for the transaction
structuring phase, identifying each of
the critical steps for approval by the
Department.
(j) Provide quarterly reports to the
Department on the Intermediary’s
progress developing and completing the
transaction structuring Phase consistent
with the approved timeline and critical
steps in paragraph (h).
(k) A fully-structured PFS Agreement
that may be used for each Local CTE
Site selected to receive transaction
structuring technical assistance.
(l) If development of a fully-structured
PFS Agreement was not possible, a
report outlining what the barriers were,
what lessons were learned, and
recommendations to either prepare the
site for PFS implementation or viable
alternatives to PFS.
Priority: This notice includes one
absolute priority. We are establishing
this priority for the FY 2016 grant
competition, and any subsequent year in
which we make awards from the list of
unfunded applications from this
competition, in accordance with section
437(d)(1) of the General Education
Provisions Act (GEPA), 20 U.S.C.
1232(d)(1).
Absolute Priority: This priority is an
absolute priority. Under 34 CFR
75.105(c)(2)(i), we consider only
applications that meet this absolute
priority.
This priority is:
Cash or In-Kind Matching: To meet
this priority an applicant must provide
a 10 percent Cash or In-Kind Match of
the total amount of the grant. Cash or InKind matching will increase overall
resources and enhance broad-based
support for the CTE PFS TA Program.
Applicants must verify that they will
provide a 10 percent Cash or In-Kind
Match of the total amount of the grant
by submitting: (1) A letter of intent with
their application; and (2) a letter of
commitment that must be received no
later than 4:30:00 p.m., Washington, DC
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time September 15, 2106 in a PDF
(Portable Document) read-only, nonmodifiable format submitted by email
with the subject line ‘‘CTE PFS TA
Program Matching Cash or In-Kind
Contributions—Letter of Commitment’’,
addressed to Len.Lintner@ed.gov.
The applicant must demonstrate
matching by providing either or a
combination of both:
(a) Cash toward meeting their
matching costs of the total award of the
CTE PFS TA Program grant, by
providing the following:
(1) Documentation that the applicant’s
organization has either cash-on-hand or
commitments from organizations for the
matching funds; and
(2) A statement from the Chief
Financial Officer or other relevant
officer that the applicant’s organization
has established a reserve of committed
funds for the CTE PFS Project.
(b) In-kind, non-cash contributions
calculated consistent with 2 CFR
200.306 toward meeting their matching
costs of the total award of the CTE PFS
TA Program grant by providing one or
a combination of the following:
(1) Evidence of commitments in the
form of equipment, supplies, and other
expendable property, and the value of
goods and services directly benefiting
and specifically identifiable to benefit
the CTE PFS TA Program;
(2) Evidence of third-party
commitments for the monetary value of
time contributed by professional and
technical personnel and other skilled
labor directly benefiting and specifically
identifiable to benefit the CTE PFS TA
Program; and/or
(3) Evidence of other forms of noncash third-party commitments directly
benefiting and specifically identifiable
to benefit the CTE PFS TA Program.
Application Requirements: The
applicant must:
(a) Provide a Theory of Action for the
CTE PFS TA Program for Underserved,
High-Need Youth.
(b) Provide a statement of
organizational capacity to conduct PFS
Feasibility Studies and transaction
structuring, and to work with CTE,
including:
(1) A description of the project
leadership and team, including
qualifications and experience
coordinating PFS programs and working
with CTE; and
(2) A description of the project
leadership and team’s experience
selecting local sites that have a high
likelihood of completing the Feasibility
Analysis phase and moving to the
transaction structuring phase.
(c) Propose a preliminary plan for an
Open and Fair Competition to select
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Local CTE Sites to receive technical
assistance.
(d) Provide a preliminary work plan
for conducting technical assistance for
the Feasibility Analysis and transaction
structuring phases at the four Local CTE
Sites. While each Local CTE Site
selected will have different needs and
priorities, the applicant must describe
the overall tasks and processes that will
be undertaken in each of the Feasibility
Study and transaction structuring
phases.
(e) Provide a budget and budget
narrative for each of the two phases of
the CTE PFS Project—Feasibility Study
and transaction structuring, including
any planned cash or in-kind match
consistent with the absolute priority.
Definitions: We are establishing these
definitions for the FY 2016 grant
competition and any subsequent year in
which we make awards from the list of
unfunded applications from this
competition, in accordance with section
437(d)(1) of the General Education
Provisions Act (GEPA), 20 U.S.C.
1232(d)(1). The definition of ‘‘Local
Government’’ is from the Uniform
Administrative Requirements, Cost
Principles and Audit Requirements For
Federal Awards at 2 CFR 200.64; the
definitions of ‘‘Logic Model,’’ ‘‘Strong
Theory,’’ and ‘‘Theory of Action’’ are
from Education Department General
Administrative Regulations (EDGAR) at
34 CFR 77.1(c); the definition of ‘‘State’’
is from Sec. 3(30) of Perkins IV; and the
definition of ‘‘Tribal Government’’ is
from Sec. 3 of the Alaska Native Claims
Settlement Act, 43 U.S.C. 1602(c). This
competition uses the following
definitions for the key terms included in
this notice:
Benefits means fiscal and other value
to the public sector and society as a
result of achieving the Outcome
Measures through the implementation
of the intervention for Underserved,
High-Need Youth. Benefits may include
cost savings, cost avoidance, costeffectiveness, and positive societal
benefits.
Cost-Benefit Analysis means an
analysis that compares the costs of an
intervention (for example) with the
Benefits that will result from achieving
the Outcome Measures, including a
framework and description of the
process used for estimating Benefits that
would result from implementation of
the evidence-based CTE program for
Underserved, High-Need Youth.
CTE Pay for Success (CTE PFS)
Agreement means a multiparty
agreement: (1) Which, when executed,
delivers or scales an innovative and
Evidence-based Intervention intended to
improve one or more outcomes, and in
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which ultimate payment to the Local
CTE Site is made only if the outcome(s)
is achieved at predetermined target
levels, as documented by an
Independent Evaluator, and (2) to which
the following entities are signatories: (i)
Local CTE Site(s); (ii) Outcomes
Payor(s); and may include (iii)
Intermediary/project coordinator or
legal entity managing this Agreement
created by the Intermediary.
CTE Pay for Success (CTE PFS)
Partnership includes a public or private
entity that pays for outcomes; an
Intermediary; and an Independent
Evaluator. A CTE PFS Partnership may
also include one or more Local CTE
Sitesand Investor(s).
Evidence-based Interventions are
those which have objective levels of
research support consistent with the
guidelines established by the
Department’s What Works
Clearinghouse.
Feasibility Study means a written
report assessing the suitability of an
intervention for PFS. A Feasibility
Study includes, at a minimum—
(a) A description of the High-Quality
CTE program model to be implemented
through PFS that includes, at a
minimum, how the intervention is
likely to improve student outcomes,
based on quantitative, qualitative, or
theoretical evidence; the goals,
objectives, and outcomes to be achieved
by the proposed CTE program which are
clearly specified and measurable and
will demonstrate student success; and
how the intervention is appropriate to,
and will successfully address, the needs
of Underserved, High-Need Youth;
(b) Identification of one or more
clearly specified and measurable
Outcome Measures;
(c) A Cost-Benefit Analysis;
(d) Any statutory, legal or other
barriers to implementing PFS and how
they will be addressed; and
(e) Identification of potential sources
of Outcomes Payments from a
government entity or other sources.
Financial Model means a quantitative
model that shows public sector value (or
value to other non-governmental
outcomes payors), including cost
savings, cost avoidance or efficiency,
and societal benefit and links the costs
of implementation of the CTE PFS
Project that are covered, in whole or in
part, by the Investors to the amounts
and timing of Outcomes Payments that
are made by a government entity.
Fiscal Agent is the entity that will be
fiscally responsible for the grant award.
It may be the Intermediary or a partner.
Grantee refers to the Intermediary that
is awarded the grant for the CTE PFS TA
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Program, consistent with the definition
provided in this notice.
High-Quality Career and Technical
(CTE) Program means a program that—
(a) Supports career pathways in indemand industry sectors and
occupations and that provide
opportunities for students to prepare for
college and careers;
(b) Provides students with
information about occupations in indemand industry sectors or occupations
and may offer career exploration
activities as early as seventh grade;
(c) Offers a non-duplicative,
structured sequence of courses that
begin at the secondary level and lead, as
applicable, to an industry-recognized
credential (in sectors where those
credentials exist and are appropriate)
and to a postsecondary certificate or
degree that is needed for placement in
an in-demand occupation that leads to
economic self-sufficiency;
(d) Provides students with the
academic, employability, and technical,
skills that employers require for entry
into occupations in in-demand industry
sectors or occupations;
(e) Offers opportunities for students to
earn academic credit and postsecondary
credit for completing high school career
and technical education courses;
(f) Provides all participating students
with work-based learning;
(g) Provides supplemental services to
participating students who are members
of underserved populations and
provides support services to all
participating students to ensure that all
students have equitable access to career
and technical education programs, in
addition to equitable opportunities to
participate and succeed in these
programs; and
(h) Offers opportunities for
participating students to develop
leadership skills.
High-Quality Pay for Success (PFS)
Project means a PFS Project that
includes:
(a) A plan for addressing a welldefined problem and the needs of an
associated target population;
(b) A service delivery strategy that is
managed, coordinated, and guided by
the Local CTE Site, is flexible and
adaptive to the target problem and
population, and has a robust, rigorous
evidence base or a compelling theory of
change with pre- and post-intervention
outcomes;
(c) One or more well-defined,
achievable potential outcome target(s)
and associated payments that are a
significant improvement on the current
condition of the target population and
have been agreed to by all required
project partners;
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(d) A plan for Rigorous Evaluation;
(e) A financial model that shows
public sector value (or value to other
non-governmental outcomes payors),
including cost savings, cost avoidance
or efficiency, and societal benefit and
tracks effects of the project on relevant
Federal, State, and local funding
sources;
(f) A commitment from an individual
or entity to act as an outcomes payor
(whose Outcomes Payments may be
directed to Investors if they have
covered, in part or in whole, costs
associated with delivering the
intervention);
(g) If needed, a binding commitment
of funds from one or more independent
Investors to cover all operating costs of
the intervention, including
administrative and overhead costs of
any intermediary; and
(h) A legal agreement and any
associated necessary agreements that
incorporate all elements above.
Independent Evaluator means an
independent entity that rigorously
evaluates whether the intervention
achieved the outcome(s) sought.
Independent Investor means an
individual, entity, or group thereof that
provides upfront capital to cover the
operating costs and other associated
costs, in part or whole, of the
intervention delivered by the Local CTE
Site and is not involved in the design or
implementation of the PFS CTE project
or has a stake in the results from the
evaluation.
Intermediary is a technical assistance
entity that facilitates and manages the
PFS TA project and contracting process.
Under this program the Intermediary
serves as the project facilitator between
the parties in the first two phases of the
PFS project, Feasibility Study and
transaction structuring. Responsibilities
may include but are not limited to:
coordinating the development and
execution of legal agreements, building
a Financial Model to guide the terms of
the legal agreements, and raising capital
from Investors.
Investor means an individual, entity,
or group thereof that provides upfront
capital to cover the operating costs and
other associated costs, in part or whole,
of the CTE intervention delivered by the
Local CTE Sites.
Local CTE Site means an eligible
recipient under section 3(14) of Perkins
IV. Section 3(14) defines ‘‘eligible
recipient’’ as: ‘‘(A) a local educational
agency (including a public charter
school that operates as a local
educational agency), an area career and
technical education school, an
educational service agency, or a
consortium, eligible to receive
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assistance under section 131; or (B) an
eligible institution or consortium of
eligible institutions eligible to receive
assistance under section 132.’’ The
Local CTE Site is the service provider
which may include other contractor
interventions.
Local Government means any unit of
government within a State, including
a—
(a) County;
(b) Borough;
(c) Municipality;
(d) City;
(e) Town;
(f) Township;
(g) Parish;
(h) Local public authority, including
any public housing agency under the
United States Housing Act of 1937;
(i) Special district;
(j) School district;
(k) Intrastate district;
(l) Council of governments, whether
or not incorporated as a nonprofit
corporation under State law; and
(m) Any other agency or
instrumentality of a multi-, regional, or
intra-State or local government. (See 2
CFR 200.64).
Logic Model (also referred to as
Theory of Action) means a wellspecified 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. See
EDGAR at 34 CFR 77.1(c).
Open and Fair Competition means a
recruitment and selection process that is
free of organizational conflicts of
interest as well as noncompetitive
practices among applicants that may
restrict or eliminate competition or
otherwise restrain trade.
Outcome Measure means an indicator
of student success on which the
program’s impact will be calculated. It
is determined using relevant program
data and has defined units of
measurement by which the impact can
be tracked.
Outcomes Payments means, per the
terms of the CTE PFS Agreement,
payments that cover repayment of the
principal investment and a return in the
case that: (1) An Investor has covered
part or all of the costs of service delivery
and other associated costs, and (2)
outcomes have been achieved according
to an Independent Evaluator.
Payment Plan means a written plan
that describes the proposed payment
arrangement between the Investors, and
outcomes payor and must include the
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timelines and payment amounts for the
duration of the CTE PFS Project and the
corresponding Outcome Measure that
triggers the Outcomes Payment.
Rigorous Evaluation means an
evaluation that will, if wellimplemented, produce evidence about
the project’s effectiveness that would
meet the What Works Clearinghouse
Evidence Standards without
reservations or, when random
assignment is not feasible, would meet
What Works Clearinghouse Evidence
Standards with reservations.
Service Delivery Model means a CTE
program and model that is evidencebased with a track record of success or
supported by Strong Theory that will
serve Underserved, High-Need Youth in
the Local CTE Site, including the CTE
program models cited in the
Background section of this notice.
State The term ‘State,’ unless
otherwise specified, means each of the
several States of the United States, the
District of Columbia, the
Commonwealth of Puerto Rico, and
each outlying area. See Sec. 3(30) of
Perkins IV.
Strong Theory means a rationale for
the proposed process, product, strategy,
or practice that includes a Logic Model.
See EDGAR at 34 CFR 77.1(c).
Theory of Action (also referred to as
Logic Model) 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. See EDGAR at 34
CFR 77.1(c).
Tribal Government means the
governing body or a governmental
agency of any Indian tribe, band, nation,
or other organized group or community
(including any native village as defined
in Sec. 3 of the Alaska Native Claims
Settlement Act, 43 U.S.C. 1602(c))
certified by the Secretary of the Interior
as eligible for the special programs and
services provided through the Bureau of
Indian Affairs.
Underserved, High-Need Youth refers
to individuals who are at risk of
educational failure or otherwise in need
of special assistance and support. These
individuals may include students
described in section 3(29) (Special
Populations) of Perkins IV, as well as
students who are living in poverty,
attend high-minority schools, are far
below grade level, have left school
before receiving a regular high school
diploma, are at risk of not graduating
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with a diploma on time, are homeless,
or have been incarcerated.
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 URL address:
https://ies.ed.gov/ncee/wwc/
DocumentSum.aspx?sid=19.
Waiver of Proposed Rulemaking:
Under the Administrative Procedure
Act, 5 U.S.C. 553, the Department
generally offers interested parties the
opportunity to comment on proposed
priorities, definitions and other
requirements. Section 437(d)(1) of the
General Education Provisions Act
(GEPA), however, allows the Secretary
to exempt from rulemaking
requirements regulations governing the
first grant competition under a new or
substantially revised program authority.
This is the first grant competition for
this program under section 114(c)(1) of
Perkins IV (20 U.S.C. 2324(c)(1)) and
therefore qualifies for this exemption. In
order to ensure timely grant awards, the
Secretary has decided to forgo public
comment on the priority, definitions,
and other requirements under section
437(d)(1) of GEPA. The priority,
definitions, and other requirements will
apply to the FY 2016 grant competition
and any subsequent year in which we
make awards from the list of unfunded
applicants from this competition.
Program Authority: 20 U.S.C. 2324.
Applicable Regulations: (a) EDGAR in
34 CFR parts 75, 77, 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.
Note: The regulations in 34 CFR part 86
apply to institutions of higher education
only.
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II. Award Information
Type of Award: Discretionary grant
(cooperative agreement).
Estimated Available Funds:
$2,000,000 to support technical
assistance provided by an Intermediary
to four Local CTE Sites during the
Feasibility Analysis stage and three
Local CTE Sites during the transaction
structuring phase, if applicable.
Estimated Range of Awards:
$2,000,000.
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Estimated Average Size of Award:
$2,000,000.
Estimated Number of Awards: One.
Note: The Department is not bound by any
estimates in this notice.
Project Period: 48 months. Applicants
under this competition are required to
provide detailed budget information for
each of the years of this project and for
the total grant.
III. Eligibility Information
1. Eligible Applicants: Eligible
applicants are:
(a) Nonprofit organizations as defined
in 2 CFR 200.70;
(b) Public or private institutions of
higher education as defined in section
101 of the Higher Education Act of
1965;
(c) States, Local Governments, and
Tribal Governments;
(d) Consortia of the above entities; or
(e) Partnerships/consortia of the above
entities and a for-profit organization.
For-profit organizations may not serve
as the applicant or Fiscal Agent for the
grant.
2. Cost Sharing or Matching: The
program requires cost sharing or
matching.
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), or from the program office. To
obtain a copy via the Internet, use the
following address: www.ed.gov/fund/
grant/apply/grantapps/. 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 package
from ED Pubs, be sure to identify this
program or competition as follows:
CFDA number 84.051.
To obtain a copy from the program
office, contact the persons listed under
FOR FURTHER INFORMATION CONTACT in
section VII of this notice.
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.
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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.
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. You must limit the
application narrative to no more than 35
pages, using 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, as well as all
text in charts, tables, figures, and
graphs.
• Use a font that is either 12 point or
larger or no smaller than 10 pitch
(characters per inch).
• Use one of the following fonts:
Times New Roman, Courier, Courier
New, or Arial. An application submitted
in any other font (including Times
Roman or Arial Narrow) will not be
accepted.
The page limit 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; the one-page abstract, or
the resumes, bibliography, letters of
support, or other appendices.
Our reviewers will not read any pages
of your application that exceed the page
limit.
2.b. Submission of Proprietary
Information: Given the types of projects
that may be proposed, your application
may include business information that
the applicant considers proprietary. The
Department’s regulations define
‘‘business information’’ in 34 CFR 5.11.
Because we plan to make successful
applications available to the public
upon request, you may wish to request
confidentiality of business information.
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:
Applications Available: July 26, 2016.
Date of Pre-Application Meeting:
August 2, 2016.
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Deadline for Transmittal of
Applications: August 25, 2016.
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
Other Submission Requirements in
section IV 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 FOR FURTHER INFORMATION
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.
4. Intergovernmental Review: This
program 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
program. However, under 34 CFR
79.8(a), we waive Intergovernmental
Review in order to make an award by
September 30, 2016.
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.
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You can obtain a DUNS number from
Dun and Bradstreet at the following
Web site: https://fedgov.dnb.com/
webform. 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 to 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 under this
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
Providing High-Quality Career and
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Technical Education Programs for
Underserved, High-Need Youth through
a Pay For Success Model, CFDA number
84.051, must be submitted electronically
using the Governmentwide Grants.gov
Apply site at www.Grants.gov. Through
this site, you will be able to download
a copy of the application package,
complete it offline, and then upload and
submit your application. You may not
email an electronic copy of a grant
application to us.
We will reject your application if you
submit it in paper format unless, as
described elsewhere in this section, you
qualify for one of the exceptions to the
electronic submission requirement and
submit, no later than two weeks before
the application deadline date, a written
statement to the Department that you
qualify for one of these exceptions.
Further information regarding
calculation of the date that is two weeks
before the application deadline date is
provided later in this section under
Exception to Electronic Submission
Requirement.
You may access the electronic grant
application for the Providing HighQuality Career and Technical Education
Programs for Underserved, High-Need
Youth through a Pay For Success Model
at www.Grants.gov. You must search for
the downloadable application package
for this program by the CFDA number
84.051.
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
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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. In
addition, for specific guidance and
procedures for submitting an
application through Grants.gov, please
refer to the Grants.gov Web site at:
www.grants.gov/web/grants/applicants/
apply-for-grants.html.
• 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—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 read-only,
non-modifiable Portable Document
Format (PDF). Do not upload an
interactive or fillable PDF file. If you
upload a file type other than a readonly, non-modifiable PDF (e.g., Word,
Excel, WordPerfect, etc.) or submit a
password-protected file, we will not
review that material. Please note that
this could result in your application not
being considered for funding because
the material in question—for example,
the project narrative—is critical to a
meaningful review of your proposal. For
that reason it is important to allow
yourself adequate time to upload all
material as PDF files. The Department
will not convert material from other
formats to PDF.
• Your electronic application must
comply with any page-limit
requirements described in this notice.
• Prior to submitting your electronic
application, you may wish to print a
copy of it for your records.
After you electronically submit your
application, you will receive from
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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. Grants.gov
will also notify you automatically by
email if your application met all the
Grants.gov validation requirements or if
there were any errors (such as
submission of your application by
someone other than a registered
Authorized Organization
Representative, or inclusion of an
attachment with a file name that
contains special characters). You will be
given an opportunity to correct any
errors and resubmit, but you must still
meet the deadline for submission of
applications.
Once your application is successfully
validated by Grants.gov, the Department
will retrieve your application from
Grants.gov and send you an email with
a unique PR/Award number for your
application.
These emails do not mean that your
application is without any disqualifying
errors. While your application may have
been successfully validated by
Grants.gov, it must also meet the
Department’s application requirements
as specified in this notice and in the
application instructions. Disqualifying
errors could include, for instance,
failure to upload attachments in a readonly, non-modifiable PDF; failure to
submit a required part of the
application; or failure to meet applicant
eligibility requirements. It is your
responsibility to ensure that your
submitted application has met all of the
Department’s requirements.
• 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 FOR
FURTHER INFORMATION 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: Len Lintner, U.S.
Department of Education, 400 Maryland
Avenue SW., PCP, Room 11090,
Washington, DC 20202–7241. FAX:
(202) 245–7170.
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 84.051) 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.
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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 84.051)) 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,
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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 maximum
score for all the selection criteria is 160
points. In addressing the criteria,
applicants are encouraged to make
explicit connections to the absolute
priority and the program requirements
and application requirements listed
elsewhere in this notice. The selection
criteria are as follows:
(a) Need for project. (Up to a total of
20 points) The Secretary considers the
need for the proposed project. In
determining the need, the Secretary
considers—
(1) The magnitude of the need for the
services to be provided or the activities
to be carried out by the Intermediary to
ensure Underserved, High-Need Youth
are served by the Local CTE Sites (up to
10 points); and
(2) The likelihood that the proposed
project will result in system change or
improvement (up to 10 points);
(b) Quality of the Proposed Local CTE
Site Selection Process. (Up to a total of
30 points) The Secretary considers the
quality of the selection process for Local
CTE Sites that will receive technical
assistance from the Intermediary. In
determining the quality of the selection
process, the Secretary considers:
(1) The extent to which the selection
process is open and fair (up to 5 points);
(2) The extent to which the applicant
clearly defines the goals and objectives
of the competition and the subsequent
delivery of services (up to 5 points);
(3) The extent to which the selection
criteria for the competition is expected
to result in Local CTE Sites from a mix
of geographic locations—urban,
suburban, and rural (up to 5 points);
(4) The extent to which the selection
criteria for the competition is expected
to enhance the likelihood that the Local
CTE Sites will proceed from Feasibility
Study to transaction structuring (up to
5 points); and
(5) The extent to which the selection
criteria for the competition identifies
and prioritizes addressing specific gaps
or weaknesses in CTE services,
infrastructure, or opportunities that
have been identified and will be
addressed by the proposed project,
including the nature and magnitude of
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those gaps or weaknesses (up to 10
points).
(c) Quality of the Proposed Work Plan
for Feasibility Study and Transaction
Structuring. (Up to a total of 30 points)
The Secretary considers the quality of
the work plan for the proposed project.
In determining the quality of the work
plan for the proposed project, the
Secretary considers—
(1) The adequacy of the work plan to
achieve the purposes of the proposed
project on time and within budget,
including clearly defined
responsibilities, timelines, and
milestones for accomplishing project
tasks (up to 15 points); and
(2) The extent to which the time
commitments of the project director and
other key project personnel are
appropriate and adequate to meet the
objectives of the proposed project (up to
15 points).
(d) Adequacy of Resources. (Up to 10
points) The Secretary considers the
adequacy of resources for the proposed
project. In determining the adequacy of
resources for the proposed project, the
Secretary considers the extent to which
the costs are reasonable in relation to
the objectives, design, and potential
significance for the proposed project
including resources committed to the
Feasibility Study and transaction
structuring phases, and all project
deliverables;
(e) Organization Capacity and
Experience. (up to a total of 70 points)
The Secretary considers the
organizational capacity and experience
of the applicant. In determining the
organizational capacity and experience
of the applicant, the Secretary
considers:
(1) The extent to which the applicant
demonstrates recent and ongoing
experience in performing the same or
similar PFS activities as those required
in this competition (the applicant may
provide brief examples of PFS technical
assistance or negotiations facilitated by
the applicant) (up to 10 points);
(2) The extent to which the applicant
can demonstrate its technical ability
carrying out prior Feasibility Studies
and transaction structuring activities
(up to 5 points);
(3) The extent to which the applicant
demonstrates experience in holding
Open and Fair Competitions to select
local sites for technical assistance (up to
5 points);
(4) The extent to which the applicant
demonstrates experience in choosing
local sites for a Feasibility Study that
have subsequently progressed to
transaction structuring (up to 5 points);
(5) The extent to which the applicant
demonstrates its experience with
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coordinating and managing PFS
contracts, Financial Modeling and
estimation of return on investment and
Cost-Benefit Analysis, marketing PFS
contracts to potential Investors, raising
capital, and developing contracts and
related supplementary documentation
(up to 5 points);
(6) The extent to which the applicant
has experience with selecting,
coordinating, and managing a thirdparty evaluator of a PFS project,
including coordinating between an
evaluator and other project stakeholders
to ensure that the evaluation and service
delivery designs are compatible (up to 5
points);
(7) The extent to which the applicant
has knowledge about CTE programs,
and experience in providing technical
assistance on effective CTE programs
(up to 5 points);
(8) The extent to which the applicant
presents a qualified roster of staff
members, including management staff,
board members, and partners that have
demonstrated experience, capacity and
a track record to effectively implement
the proposed project, including at least
one staff member with experience in
developing and implementing evidencebased CTE programs (up to 5 points);
(9) The extent to which the applicant
describes the roles and responsibilities
of each team member, ensuring all key
facets of the project have clear owners
with appropriate experience (up to 5
points);
(10) The extent to which the applicant
identifies the proposed project lead(s)
and demonstrates their expertise, based
on past experience in PFS or similar
social financing projects (up to 5
points); and
(11) The extent to which the applicant
has experience with financial and
project management (up to 5 points).
(13) The extent to which the applicant
has experience evaluating evidence and
selecting evidence-based strategies (up
to 5 points).
(14) The extent to which the applicant
has experience providing TA for
carrying out quality data collection/
matching and developing relevant, highquality metrics for success (up to 5
points).
2. Review and Selection Process: 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
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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. Risk Assessment and Special
Conditions: Consistent with 2 CFR
200.205, before awarding grants under
this competition the Department
conducts a review of the risks posed by
applicants. 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
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Fmt 4703
Sfmt 4703
receive a multi-year award, you must
submit an annual performance report
that provides the most current
performance and financial expenditure
information as directed by the Secretary
under 34 CFR 75.118. The Secretary
may also require more frequent
performance reports under 34 CFR
75.720(c). For specific requirements on
reporting, please go to www.ed.gov/
fund/grant/apply/appforms/
appforms.html.
(c) Under 34 CFR 75.250(b), the
Secretary may provide a grantee with
additional funding for data collection
analysis and reporting. In this case the
Secretary establishes a data collection
period.
4. Performance Measures: The
Department has established the
following Government Performance and
Results Act of 1993 (GPRA) performance
for the CTE PFS Project. Under GPRA,
Federal departments and agencies must
clearly describe the goals and objectives
of their programs, identify resources and
actions needed to accomplish these
goals and objectives, develop a means of
measuring progress made, and regularly
report on their achievement. One
important source of program
information is the annual project
evaluation conducted under individual
grants. To determine the overall
effectiveness of projects funded under
this competition, the Grantee must be
prepared to measure and report on the
following measures of effectiveness:
(a) The number and percentage of
Local CTE Sites that have a complete
Feasibility Study within 24 months of
the project period.
(b) The number and percentage of
Feasibility Studies that conclude that
CTE PFS approaches are viable or that
identify feasible alternatives if PFS is
not viable.
(c) The number and percentage of
successfully completed structured
transactions within the project period
that are ready to move to project
implementation.
These measures constitute the
Department’s indicators of success for
this program. Consequently, we advise
an applicant for a grant under this
program to give careful consideration to
these measures in conceptualizing the
approach and evaluation for its
proposed project. The Grantee will be
required to provide, in its annual
performance and final reports, data
about its progress in meeting these
measures.
VII. Agency Contact
Len
Lintner, U.S. Department of Education,
400 Maryland Avenue SW., Room PCP–
FOR FURTHER INFORMATION CONTACT:
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Federal Register / Vol. 81, No. 143 / Tuesday, July 26, 2016 / Notices
11090, Washington, DC 20202.
Telephone: (202) 245–7741 or by email:
Len.Lintner@ed.gov.
If you use a TDD or TTY, call the FRS,
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 the program contact person
listed under FOR FURTHER INFORMATION
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.
Johan E. Uvin,
Deputy Assistant Secretary Delegated the
Duties of the Assistant Secretary for Career,
Technical, and Adult Education.
[FR Doc. 2016–17657 Filed 7–25–16; 8:45 am]
BILLING CODE 4000–01–P
DEPARTMENT OF EDUCATION
[Docket No. ED–2016–ICCD–0086]
Agency Information Collection
Activities; Comment Request; Middle
Grades Longitudinal Study of 2017–18
(MGLS:2017) Operational Field Test
(OFT) and Recruitment for Main Study
Base-year
National Center for Education
Statistics (NCES), Department of
Education (ED),
ACTION: Notice.
srobinson on DSK5SPTVN1PROD with NOTICES
AGENCY:
In accordance with the
Paperwork Reduction Act of 1995 (44
U.S.C. chapter 3501 et seq.), ED is
proposing a revision of an existing
information collection.
DATES: Interested persons are invited to
submit comments on or before
September 26, 2016.
SUMMARY:
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Jkt 238001
To access and review all the
documents related to the information
collection listed in this notice, please
use https://www.regulations.gov by
searching the Docket ID number ED–
2016–ICCD–0086. Comments submitted
in response to this notice should be
submitted electronically through the
Federal eRulemaking Portal at https://
www.regulations.gov by selecting the
Docket ID number or via postal mail,
commercial delivery, or hand delivery.
Please note that comments submitted by
fax or email and those submitted after
the comment period will not be
accepted. Written requests for
information or comments submitted by
postal mail or delivery should be
addressed to the Director of the
Information Collection Clearance
Division, U.S. Department of Education,
400 Maryland Avenue SW., LBJ, Room
2E–347, Washington, DC 20202–4537.
FOR FURTHER INFORMATION CONTACT: For
specific questions related to collection
activities, please contact NCES
Information Collections at
NCES.Information.Collections@ed.gov.
SUPPLEMENTARY INFORMATION: The
Department of Education (ED), in
accordance with the Paperwork
Reduction Act of 1995 (PRA) (44 U.S.C.
3506(c)(2)(A)), provides the general
public and Federal agencies with an
opportunity to comment on proposed,
revised, and continuing collections of
information. This helps the Department
assess the impact of its information
collection requirements and minimize
the public’s reporting burden. It also
helps the public understand the
Department’s information collection
requirements and provide the requested
data in the desired format. ED is
soliciting comments on the proposed
information collection request (ICR) that
is described below. The Department of
Education is especially interested in
public comment addressing the
following issues: (1) Is this collection
necessary to the proper functions of the
Department; (2) will this information be
processed and used in a timely manner;
(3) is the estimate of burden accurate;
(4) how might the Department enhance
the quality, utility, and clarity of the
information to be collected; and (5) how
might the Department minimize the
burden of this collection on the
respondents, including through the use
of information technology. Please note
that written comments received in
response to this notice will be
considered public records.
Title of Collection: Middle Grades
Longitudinal Study of 2017–18 (MGLS:
2017) Operational Field Test (OFT) and
Recruitment for Main Study Base-year.
ADDRESSES:
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48779
OMB Control Number: 1850–0911.
Type of Review: A revision of an
existing information collection.
Respondents/Affected Public:
Individuals or Households.
Total Estimated Number of Annual
Responses: 33,374.
Total Estimated Number of Annual
Burden Hours: 14,235.
Abstract: The Middle Grades
Longitudinal Study of 2017–18
(MGLS:2017) is the first study
conducted by the National Center for
Education Statistics (NCES) to follow a
nationally-representative sample of
students as they enter and move through
the middle grades (grades 6–8). The data
collected through repeated measures of
key constructs will provide a rich
descriptive picture of the academic
experiences and development of
students during these critical years and
will allow researchers to examine
associations between contextual factors
and student outcomes. The study will
focus on student achievement in
mathematics and literacy along with
measures of student socioemotional
wellbeing and other outcomes. The
study will also include a special sample
of students with different types of
disabilities that will provide descriptive
information on their outcomes,
educational experiences, and special
education services. Main Study Baseyear data for the MGLS:2017 will be
collected from a nationallyrepresentative sample of 6th grade
students beginning in January 2018,
with annual follow-ups beginning in
January 2019 and in January 2020 when
most of the students in the sample will
be in grades 7 and 8, respectively. In
preparation for the national data
collection, referred to as the Main
Study, the data collection instruments
and procedures must be field tested.
This request is to conduct three
components of the study: (1) The
MGLS:2017 Operational Field Test
(OFT) data collection from January to
June 2017; (2) the recruitment of schools
for the Main Study Base-year beginning
in January 2017; and (3) the tracking of
OFT students and associated
recruitment of schools beginning in
summer 2017 in preparation for the first
follow-up OFT data collection. An Item
Validation Field Test (IVFT) was
conducted in the winter/spring of 2016
to determine the psychometric
properties of assessment and survey
items and the predictive potential of
items so that valid, reliable, and useful
assessment and survey instruments can
be composed for the Main Study. The
primary purpose of the OFT is to:
Obtain information on recruiting,
particularly for students in three focal
E:\FR\FM\26JYN1.SGM
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Agencies
[Federal Register Volume 81, Number 143 (Tuesday, July 26, 2016)]
[Notices]
[Pages 48766-48779]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-17657]
-----------------------------------------------------------------------
DEPARTMENT OF EDUCATION
Applications for New Awards; Providing High-Quality Career and
Technical Education Programs for Underserved, High-Need Youth Through a
Pay for Success Model
AGENCY: Office of Career, Technical, and Adult Education (OCTAE),
Department of Education.
ACTION: Notice.
-----------------------------------------------------------------------
Overview Information: Providing High-Quality Career and Technical
[[Page 48767]]
Education (CTE) Programs for Underserved, High-Need Youth through
technical assistance on Pay For Success Models (CTE PFS TA Program)
Notice inviting applications for a new award in fiscal year (FY) 2016.
Catalog of Federal Domestic Assistance (CFDA) Number: 84.051
DATES:
Applications Available: July 26, 2016.
Date of Pre-Application Meeting: August 2, 2016.
Deadline for Transmittal of Applications: August 25, 2016.
Full Text of Announcement
I. Funding Opportunity Description
Purpose of the program: The purpose of this program is to support
the development of a financing model, High-Quality Pay for Success
(PFS),\1\ to implement new or scale up existing high-quality career and
technical education (CTE) projects for Underserved, High-Need Youth
(CTE PFS Project). To this end, the Department will award a grant to an
Intermediary to provide technical assistance for the first two of three
phases of a PFS financing model. In phase one, the Intermediary will
complete Feasibility Studies in four Local CTE Sites. In phase two, the
Intermediary will provide or support transaction structuring, based on
the limited funding level, for up to three out of the previously
identified four local sites to the extent that the local site's CTE PFS
project is determined to be feasible. While it is our intent that all
of the selected local CTE PFS projects will result in a fully-
structured PFS project ready to launch, each program may have different
challenges that might result in not all projects completing these first
two phases by the end of the grant period. The ultimate aim of the CTE
PFS TA Program is to improve outcomes for Underserved, High-Need Youth
through fully-structured High-Quality PFS Projects ready to be
implemented in the Local CTE Sites using High-Quality CTE programs.
---------------------------------------------------------------------------
\1\ Defined terms are used throughout the notice and are
indicated by capitalization.
---------------------------------------------------------------------------
Background: Section 114(c)(1) of the Carl D. Perkins Career and
Technical Education Act of 2006 (Perkins IV) authorizes the Office of
Career, Technical, and Adult Education (OCTAE) to provide support
directly or through grants, contracts, or cooperative agreements, for
research, development, demonstration, evaluation, assessment, capacity-
building, and technical assistance activities aimed at improving the
quality and effectiveness of CTE programs authorized under Perkins IV.
PFS financing models offer a way for the Federal government to
support the development and scaling up of effective, evidence-based
programs for Underserved, High-Need Youth and to test new, innovative
programs. There is a small but growing body of evidence about CTE
program models that have been shown to produce positive outcomes for
Underserved, High-Need Youth. The following program models, including
career academies and early college high schools, are examples of the
kinds of strong CTE program models that may be used by CTE sites that
are testing PFS financing models.
Career academies restructure large high schools into smaller
learning communities. They offer courses and activities connected to
career or occupational themes and typically require all students to
complete a work-based learning experience. A randomized controlled
trial, over a 12-year period, found that career academies result in
positive effects on labor market outcomes.\2\ Students in career
academies have been shown to have earned, on average, 11 percent
($2,088) more per year than did students in the non-career academies
group, an increase of $16,704 (in 2006 dollars) in total earning over
the eight years following high school.\3\
---------------------------------------------------------------------------
\2\ Kemple, James and Cynthia Willner. 2008. Career Academies:
Long-Term Impacts on Labor Market Outcomes, Educational Attainment,
and Transitions to Adulthood. New York, NY: MDRC. p.42. Retrieved
from https://www.mdrc.org/sites/default/files/full_50.pdf.
\3\ Ibid. p. 12.
---------------------------------------------------------------------------
Early college high schools (ECHS) provide students with exposure to
college and the opportunity to take college courses while they are in
high school. ECHS partner with colleges and universities to offer all
students an opportunity to earn an Associate's degree or up to two
years of college credit toward an Associate's or Bachelor's degree
during high school at no or low cost to students. ECHS often have a CTE
focus, such as health, life sciences, or information technology. A
randomized controlled trial conducted over an eight-year period found
that ECHS students graduated from high school at a higher rate than
non-ECHS students (86 percent versus 81 percent).\4\ Researchers also
found that ECHS students had higher postsecondary enrollment rates
compared to non-ECHS students (80 percent versus 71 percent).\5\
Additionally, 22 percent of ECHS students earned a postsecondary degree
during the study period versus two percent of comparison students.\6\
---------------------------------------------------------------------------
\4\ Berger, A., Turk-Bicakci, L., Garet, M., Song, M., Knudson,
J., Haxton, C., Zeiser, K., Hoshen, G., Ford, J., Stephan, J.,
Keating, K., & Cassidy, L. (2013). Early college, early success:
Early College High School Initiative Impact Study. Washington, DC:
American Institutes for Research. p. 31. Retrieved from
https://www.air.org/resource/early-college-early-success-early-college-high-school-initiative-impact-study-2013.
\5\ Ibid. p. 29.
\6\ Ibid. p. 33.
---------------------------------------------------------------------------
Other CTE models that have some evidence of similar positive
outcomes for youth include: (1) CTE-focused high schools in
Philadelphia had higher on-time graduation rates compared to
traditional public high schools in the district; \7\ (2) Project Lead
the Way, a project/problem-based approach to STEM \8\ education that is
aligned with Common Core State Standards in math and English, and Next
Generation Science Standards resulted in students increasing their in-
demand knowledge and transferable job skills; \9\ (3) Linked
Learning,--an educational approach that not only integrates academic
and high-quality career and technical education but is also sequenced
to support students transitioning from middle school through high
school and postsecondary education,--resulted in students earning more
credits in the first three years compared to their peers in traditional
high school programs (1.8 credits more at the end of 11th grade), and
being more likely to stay in their school district through 12th grade
compared to similar students in traditional programs (five percentage
points more); 10 11 12 and (4) CTE-focused Smaller Learning
Communities--a school restructuring strategy that
[[Page 48768]]
involves smaller, personalized learning environments that are often
focused on a specific career theme--resulted in increased four-year
graduation rates for participating students (70.4 percent for smaller
learning community enrollees compared to 60.9 percent for their control
group counterparts.\13\ \14\
---------------------------------------------------------------------------
\7\ Neild, Ruth Curran, Christopher Boccanfuso, and Vaughan
Byrnes. 2013. The Academic Impacts of Career and Technical Schools:
A Case Study of a Large Urban School District. Baltimore, MD: Johns
Hopkins University, Center for Social Organization of Schools.
Retrieved from https://new.every1graduates.org/wp-content/uploads/2013/02/The-Academic-Impacts-of-Career-and-Technical-Schools.pdf.
\8\ STEM is the abbreviation for ``Science, Technology,
Engineering and Mathematics.''
\9\ Starobin, S.S., Schenk, T. Jr., Laanan, F.S., Retwisch, D.,
Kollasch, A., Chen, Y., & Baul, T. (2013). Evaluation research of
the Iowa Project Lead the Way: Final project report, June 2013.
Prepared for the Kern Family Foundation. Retrieved from https://www.cclp.hs.iastate.edu/research/rbriefs/PLTWReport2013-Final.
\10\ Guha, R., K. Caspary, R. Stites, C. Padilla, N. Arshan, C.
Park, V. Tse, S. Astudillo, A. Black, & N. Adelman. (2014). Taking
Stock of the California Linked Learning District Initiative. Fifth-
Year Evaluation Report. Menlo Park, CA: SRI International. Retrieved
from https://www.connectedcalifornia.org/direct/files/resources/year5linkedlearningevaluationreportdec2014.pdf.
\11\ Ibid p.A-26.
\12\ Ibid p.56.
\13\ Bloom, Howard and Rebecca Unterman. 2013. Sustained
Progress: New Findings about the Effectiveness and Operation of
Small Public High Schools of Choice in New York City. New York:
MDRC. Retrieved from https://www.mdrc.org/sites/default/files/sustained_progress_FR_0.pdf.
\14\ Ibid pp. 5-6.
---------------------------------------------------------------------------
PFS includes innovative contracting and financing models that test
and advance promising and proven interventions while paying only for
successful outcomes for families, individuals, and communities. Through
a PFS project, a government (or other) entity enters into a contract to
pay for the achievement of concrete, measurable outcomes for specific
people or communities. Service providers deliver interventions to
achieve these outcomes. Payments, known as Outcomes Payments, are made
only if the interventions achieve those outcomes agreed upon in
advance. In many cases, these outcomes are expected to occur over a
period of years, meaning that the service providers need outside
funding in order to cover their operating costs. In these cases, PFS
financing is used by bringing in Investors, which are recruited
typically by an Intermediary contracted by the government. The
government or other entity makes Outcomes Payments that, where PFS
financing is used, repay Investors for their capital that covered the
costs of services (and sometimes other projects costs) and offer them a
modest return. Ideally, with or without PFS financing, Outcomes
Payments amount to a fraction of the short- and long-term cost savings
to the government (or other) entity resulting from the successful
outcomes. In other cases, these payments may represent an overall
greater value to the government or other payor based on the achievement
of better outcomes than would otherwise have occurred.
PFS contracting and financing require partnerships among multiple
stakeholders. Partners typically include:
One or more outcomes ``payors,'' generally Federal, State,
Local, or Tribal government entities, or other public or private
entities that contract to pay for outcomes when achieved;
Service provider(s), which deliver the intervention(s)
intended to achieve the outcomes;
Investor(s), which cover the upfront cost of implementing
the intervention and at times other associated costs through PFS
financing and may receive a return on investment if the outcomes are
achieved; and
Independent Evaluator, which determines, through a
Rigorous Evaluation, whether the intervention achieved the Outcome
Measure(s) sought.
Many PFS projects in the United States to date have also included a
project coordinator or intermediary, an entity that facilitates and
manages the PFS project and contracting process implementation.
The development, implementation, and evaluation of PFS projects
typically involve three stages: Feasibility Study; transaction
structuring; and agreement implementation.
The first stage, Feasibility Study, includes the following
activities:
Identification of outcome(s) sought;
Assessment of community needs, assets, and capacity;
Identification of a challenge(s) or barrier(s) for serving
a particular population or addressing a social issue and determination
of the total costs associated with the lack of intervention;
Identification of interventions that can achieve the
desired outcome(s);
Projection of the potential public value, including any
savings, to be achieved through potential interventions; and
Determination of the willingness and capacity of
stakeholders to implement a PFS project; and
Development of Rigorous Evaluation methodology to
determine if Outcome Measures have been achieved.
The second stage, transaction structuring, includes, but is not
limited to, the following activities:
Providing overall PFS coordination and support;
Raising capital and developing capital structure;
Mediating and facilitating agreements between each of the
parties to the project;
Aligning project design and evaluation;
Tracking the impact of achieving the Outcome Measures on
government funding streams in terms of cost savings and avoidance.
Finalizing the PFS project and preparing for post-closing
activities and allowing for transition of critical information to those
implementing the third stage; and
Supporting ramp-up activities.
The third stage, contract implementation, involves the
implementation of the PFS project, whereby the intervention is
delivered by the service provider, an evaluation is conducted, and
performance is monitored. If the third-party evaluator confirms that
outcome milestones have been reached, the outcomes payor makes Outcomes
Payments to PFS Investors.
This CTE PFS TA program will focus on the first two stages of a PFS
Project, Feasibility Study and transaction structuring, and aims to:
Provide selected Local CTE Sites with the resources and
expertise needed to effectively determine their ability to utilize a
PFS financing model to implement new, or scale up existing, High-
Quality CTE Programs for Underserved, High-Need Youth and the
appropriateness of a PFS financing approach;
Increase the capacity of the Local CTE Sites to identify,
assess, support and scale evidence-based solutions for CTE programs;
Increase the pipeline of CTE PFS projects;
Increase awareness in the CTE field about how to
successfully structure PFS financing transactions; and
Identify the appropriate Rigorous Evaluation for
evaluating a PFS-financed CTE program, the metrics for determining
whether the program is successful based on the evaluation, and build
understanding of how to align the processes of designing the project
and the evaluation.
Purpose of the Competition: The purpose of this competition is to
award a grant through a cooperative agreement to an Intermediary to
select four Local CTE Sites and provide technical assistance to the
four Local CTE Sites to implement new, or scale up existing, High-
Quality CTE Programs for Underserved, High-Need Youth through a PFS
model during the Feasibility Study phase and transaction structuring
phase, with the ultimate aim of improving outcomes through a High-
Quality PFS Project. This Intermediary must:
(a) Select four Local CTE Sites based on at least the selection
criteria in section (a)(1) of the Program Requirements in this notice;
(b) Provide technical assistance:
(1) To the four selected Local CTE Sites throughout the Feasibility
Study phase, including by completing four Feasibility Studies;
(2) To up to three of the four Local CTE Sites, as applicable,
throughout the transaction structuring phase; and
(3) Including to:
(i) Develop PFS financing models as a basis for implementing new,
or scaling up existing, High-Quality CTE Programs for Underserved,
High-Need Youth;
[[Page 48769]]
(ii) Develop CTE PFS Projects that have the potential to improve
the subsequent education, credentialing, employment, earnings, and
other outcomes for Underserved, High-Need Youth;
(iii) Where feasible, develop fully-structured CTE PFS Agreements
for the Local CTE Sites that will ultimately allow them to implement
the CTE PFS Project and related evaluations; and
(4) Document the lessons learned from the CTE PFS Projects in a
format and manner that the Department and four Local CTE Sites may
disseminate to the CTE field and other key stakeholders to inform
future CTE investments.
Program Requirements: We are establishing these requirements for
the FY 2016 grant competition and any subsequent year in which we make
awards from the list of unfunded applications from this competition, in
accordance with section 437(d)(1) of the General Education Provisions
Act (GEPA), 20 U.S.C. 1232(d)(1). The Secretary intends to make a grant
through a cooperative agreement for the CTE PFS TA Program that
includes two stages of work:
(a) Feasibility Study: The Intermediary will identify and provide
technical assistance for up to four Local CTE Sites, including a
completed PFS Feasibility Study for each Local CTE Site to determine if
PFS is feasible to meet the needs of Underserved, High-Need students at
those sites. Appropriate technical assistance may include, but is not
limited, to:
(1) Identifying local CTE programs that could benefit from PFS
technical assistance. In coordination with OCTAE, the Intermediary will
design, finalize and implement an Open and Fair Competition to select
the four Local CTE Sites. In order to ensure an Open and Fair
Competition, the Intermediary or their agents that develop or draft
specifications, requirements, statements of work, and invitations for
application shall be excluded from competing. Solicitations shall
clearly establish all requirements that the applicant shall fulfill for
their proposal to be evaluated.
The competition conducted by the Intermediary must select four
Local CTE Sites based on at least the following selection criteria:
(i) Geographic diversity (urban, suburban, and rural) of Local CTE
Sites that have a significant population of Underserved, High-Need
Youth who could benefit from High-Quality CTE Programs;
(ii) The extent that the Local CTE Site has the interest and
capacity to implement a High Quality PFS Project;
(iii) The extent that the Local CTE Site has the capacity to work
with the Intermediary to meet the requirements of the Feasibility Study
and Transaction Structuring in the Requirements section of this notice;
(iv) The extent that the Local CTE Site has a high likelihood of
proceeding to the transaction structuring phase of the CTE PFS Project;
(v) The extent that the Local CTE Site's work aligns or will align
with local workforce demands;
(vi) The extent that the Local CTE Site is committed to or has
experience using Evidenced-based Interventions;
(vii) The extent that the Local CTE Site has existing connections
to local payors; and
(viii) If the Local CTE Site is a member of a consortia eligible to
receive assistance under section 131 of Perkins IV or a consortium of
eligible institutions eligible to receive assistance under section 132
of Perkins IV, the Intermediary must provide preference.
(2) Providing selected Local CTE Sites with technical assistance
while completing a Feasibility Study during the Feasibility Study stage
including the following tasks:
(i) Organizational/Programmatic Assessment:
(A) Ascertaining local needs and priority areas for CTE strategies
most appropriate for a CTE PFS Project, for example: identifying
possible evidence-based CTE programs, such as those described in the
Background section of this notice; assessing the evidence base for
different CTE interventions; assessing the likelihood of success of
those CTE interventions in the local context; and assisting in
determining the specific CTE intervention that will be used for the CTE
PFS Project in each Local CTE Site;
(B) Assessing the strength, expertise, and capacity of an
educational program to deliver the CTE intervention and achieve desired
outcomes, including stakeholder and community support;
(C) Evaluating the willingness and capacity of stakeholders to
implement a CTE PFS Agreement that would result in high-quality career
and technical education projects for Underserved, High-Need Youth;
(D) Assessing available local, State, Federal, and administrative
data, and other available evidence, data, and information relevant to
carrying out potential CTE PFS Projects, including the Local CTE Sites'
capacity for data matching and analysis; and
(E) Proposing a Rigorous Evaluation design to assess a CTE PFS
Project's success.
(ii) Budgetary/Financial Analysis:
(A) Developing a framework and conducting analyses for estimating
public sector savings and Benefits, and potential costs and
performance-based payments for potential CTE PFS Projects in order to
inform decision-making;
(B) Identifying and estimating potential costs and savings at each
level of government and for each program; and
(C) Developing a budget estimating the costs needed for the
transaction structuring phase, for ramp-up costs (if applicable), and
implementation.
(iii) Legal/Regulatory Review:
(A) Identifying statutory, regulatory, fiscal, and programmatic
barriers to implementation of CTE PFS Projects and recommending the
necessary steps to remove these barriers; and
(B) Assessing and addressing appropriate risks (e.g., the risk that
the relevant entity may not be able to make future Outcomes Payments).
(iv) Data Capacity:
(A) Assessing the capacity of the Local CTE Sites to collect and
analyze data pertaining to implementation and outcomes of the PFS
Projects;
(B) Assisting sites to identify and gain access to relevant
administrative data systems such as, but not limited to, Unemployment
Insurance records, State Longitudinal Data Systems, Wage Record
Interchange System, Federal Employment Data Exchange, and the National
Student Clearinghouse, consistent with the Family Educational Rights
and Privacy Act (20 U.S.C. 1232g; 34 CFR part 99) and other applicable
Federal, State and local privacy laws; and
(C) Increasing capacity of Local CTE Sites to leverage
administrative data to monitor progress on short- and long-term
outcomes.
(v) Procurement:
(A) Designing and implementing a process for collecting relevant
information from the public or key audiences to inform potential PFS
activities for the Local CTE Sites, including priorities, service
delivery, transaction structuring, evaluation, or other relevant
issues, priorities, concepts and strategies;
(B) Designing and publicizing requests for proposals, notices of
funding availability, or other relevant funding announcements/proposal
solicitations for release by government entities or other payors to
solicit the services of coordinators, service providers, or evaluators;
and
(C) Assessing solicited proposals, including respondents'
organizational capacity, past performance, operating model, strength of
outcomes, efficiency,
[[Page 48770]]
quality of management team, and suitability for PFS financing.
(3) Submitting to the Department the results of the Feasibility
Study for each of the four Local CTE Sites that include, at a minimum:
(i) A description of the proposed evidence-based CTE intervention
that includes, at a minimum, how the intervention is likely to improve
student outcomes, based on quantitative, qualitative, or theoretical
evidence; the goals, objectives, and outcomes to be achieved by the
proposed CTE program which are clearly specified and measurable and
will demonstrate student success; and how the intervention is
appropriate to, and will successfully address, the needs of
Underserved, High-Need Youth;
(ii) Identification of one or more clearly specified and measurable
Outcome Measures related to education and employment;
(iii) A Cost-Benefit Analysis that accounts for, among other
things, costs, savings and other benefits across programs and levels of
government;
(iv) Identification of any statutory or legal barriers to
implementing a CTE PFS Project and how they will be addressed.
(v) Identification of potential source(s) of Outcomes Payments from
public or private entity(ies).
(b) Transaction Structuring: The Intermediary must provide support
for structuring the CTE PFS agreement for up to three Local CTE Sites
with feasible CTE PFS Projects. Activities may include, but are not
limited to:
(1) Providing overall PFS Project coordination and support to--
(i) Design CTE PFS Project work plan, timeline, and task list;
(ii) Coordinate planning and meetings of relevant CTE PFS Project
stakeholders;
(iii) Manage all project elements to meet shared timeline of CTE
PFS Project stakeholders;
(iv) Develop a plan to train and provide technical assistance for
selected Local CTE Sites to provide services, including engaging and
educating providers to ensure that expectations of their role in the
CTE PFS Project are clear;
(v) Assess the strength, expertise, and capacity of selected Local
CTE Sites to provide services, including quantitative and qualitative
assessment of respondents' track records, operating models, strength of
outcomes, and compatibility with the CTE PFS Project;
(vi) Address Local CTE Site performance concerns or capacity gaps;
(vii) Coordinate selection of qualified Independent Evaluator(s);
(viii) Coordinate or lead design of key project components,
including detailed service provision, duration of services, outcome
measures and monitoring, and PFS intervention evaluation design; and
(ix) Ensure that all data necessary to identify the target
population and measure outcomes will be made available by the
government entity or other entity, and shared among relevant
stakeholders, including the Intermediary and Independent Evaluator on a
timely basis and in accordance with all applicable confidentiality and
Federal, State and local privacy laws and requirements.
(2) Raising capital and developing capital structure by:
(i) Identifying sources of funding for Outcomes Payments (including
sources beyond Federal funds);
(ii) Conducting Financial Modeling of the transaction, including
analysis of possible payment terms and transaction structures;
(iii) Developing an investment and structure, regarding Outcomes
Payments, that mitigates relevant risks and establishes appropriate
incentives;
(iv) Developing relevant documentation, such as a term sheet, that
includes Outcomes Payments, pricing, payment schedules, and capital
structure; and
(v) Marketing the CTE PFS Project to Investors in order to raise
capital commitments necessary to fund the CTE PFS Project.
(3) Mediating and facilitating an agreement between each of the CTE
PFS Partners to the transaction by:
(i) Coordinating the negotiation of all parties around economic and
contract terms;
(ii) Developing and finalizing all contracts and supplementary
documentation, including offering or loan documents that may be
relevant and working with legal counsel as appropriate; and
(iii) Closing the Intermediary's CTE PFS work/activities with Local
CTE Sites.
(4) Proposing additional or alternative strategies under any of the
above task areas which further the purposes of the CTE PFS TA Program.
(5) Documenting and disseminating lessons learned from the
transaction structuring phase.
Public Use of Data and Documentation: The Intermediary and the four
local CTE Sites must be willing to make data and documentation publicly
available for the purposes of transparency and knowledge sharing,
including making the CTE PFS Agreements publicly available. To
facilitate knowledge sharing and enable other communities to learn from
the Local CTE Sites' PFS experiences, the Department intends to post
publicly on its Web site Feasibility Studies, lessons learned, best
practices, documents created for transactions such as contracts, and
other tools created throughout the PFS phases, while adhering to the
confidentiality needs of program participants as well as local, State,
and Federal laws.
Participation in a Department-Sponsored Program Evaluation: As a
condition of the cooperative agreement, the Intermediary will be
required to cooperate with all Department staff, contractors, or
designated grantees performing research or evaluation studies funded by
the Department. The Intermediary must establish any necessary
agreements with the four Local CTE Sites to ensure that the
Intermediary is able to completely respond to and cooperate with
Department staff, contractors, or designated grantees performing
research or evaluation studies funded by the Department.
Cooperative Agreement: The Secretary plans to make a grant award
under the terms of a cooperative agreement to a Grantee (Intermediary)
as defined in this notice. The Secretary expects to have substantial
involvement with the Grantee during the performance of the funded
project, including, but not limited to:
(a) Direct involvement in the review and approval of project
activities;
(b) Substantial input into the final selection and approval of the
Local CTE Sites;
(c) Continued and regular participation in project activities;
(d) Halting a project activity if detailed performance
specifications or requirements are not met;
(e) Substantial input into the final selection and approval of the
three Local CTE Sites that will receive transaction structuring TA; and
(f) Reviewing and approving one stage of work before subsequent
work may begin, especially between the Feasibility Analysis and
transaction structuring phases of the CTE PFS Projects.
Milestone Reporting and Documentation: Under the cooperative
agreement, at a minimum, the Intermediary must submit the following
reports and documents according to the timelines noted below:
(a) Within two months of the grant award, the Intermediary's plan
to implement an Open and Fair Competition to select four Local CTE
Sites (selection plan) to receive Feasibility Study technical
assistance
[[Page 48771]]
for approval by the Department. This selection plan must:
(1) Include the key eligibility criteria for selecting the Local
CTE Sites;
(2) Identify the acceptable level of evidence for the potential CTE
PFS project's proposed intervention, given that all proposed CTE PFS
projects must include interventions that have at least a preliminary
level of evidence;
(3) Detail how the selection process will:
(i) Comply with requirements for an Open and Fair Competition, and
(ii) Ensure that appropriate conflict of interest policies are in
place for selection of Local CTE Sites;
(4) Provide the timeline for implementing the selection plan,
including milestones for releasing the Intermediary's request for
proposals or other competition document and selecting local CTE Sites.
(b) At least one month in advance of releasing a competition notice
for Local CTE Sites interested in implementing a Feasibility Study, the
Intermediary must submit a finalized detailed plan to the U.S.
Department of Education for approval containing the required
information in paragraph (a) of this section.
(c) Prior to selecting the four Local CTE Sites, the Intermediary
must submit a report on the Intermediary's Open and Fair Competition
implementing the approved selection plan recommending four Local CTE
Sites to receive feasibility technical assistance for approval by the
Department. The report should include:
(1) A description of the evidence demonstrating that the Service
Delivery Model is likely to achieve the stated outcomes; and
(2) A summary of the experience of the Local CTE Site delivering
the proposed intervention or a similar intervention, or other
contracted intervention initiated by the Local CTE Site, or other
evidence demonstrating the service provider has the expertise necessary
to deliver the proposed intervention.
(d) Provide a plan and timeline, including milestones, for
completing the Feasibility Studies for the four Local CTE Sites within
24 months of the grant award identifying each of the critical steps for
approval by the Department.
(e) Provide quarterly reports to the Department on the
Intermediary's progress developing and completing CTE PFS Feasibility
Studies for the four Local CTE Sites consistent with the approved plan,
timeline and critical steps in paragraph (d).
(f) Complete, review, and disseminate the four written CTE PFS
Feasibility Studies within 24 months of the grant award consistent with
program requirements.
(g) Where a Feasibility Study concludes that a CTE PFS Project is
not viable or appropriate, an explanation of why the project is not
feasible and suggested alternatives to the CTE PFS Project or next
steps to ready the Local CTE Site for the CTE PFS Project to become
viable.
(h) Submit a plan to verify the results of the Feasibility Studies
and outline the selection criteria that will be used to determine which
entities will receive transaction structuring technical assistance.
(i) Provide a plan and timeline, including milestones, for the
transaction structuring phase, identifying each of the critical steps
for approval by the Department.
(j) Provide quarterly reports to the Department on the
Intermediary's progress developing and completing the transaction
structuring Phase consistent with the approved timeline and critical
steps in paragraph (h).
(k) A fully-structured PFS Agreement that may be used for each
Local CTE Site selected to receive transaction structuring technical
assistance.
(l) If development of a fully-structured PFS Agreement was not
possible, a report outlining what the barriers were, what lessons were
learned, and recommendations to either prepare the site for PFS
implementation or viable alternatives to PFS.
Priority: This notice includes one absolute priority. We are
establishing this priority for the FY 2016 grant competition, and any
subsequent year in which we make awards from the list of unfunded
applications from this competition, in accordance with section
437(d)(1) of the General Education Provisions Act (GEPA), 20 U.S.C.
1232(d)(1).
Absolute Priority: This priority is an absolute priority. Under 34
CFR 75.105(c)(2)(i), we consider only applications that meet this
absolute priority.
This priority is:
Cash or In-Kind Matching: To meet this priority an applicant must
provide a 10 percent Cash or In-Kind Match of the total amount of the
grant. Cash or In-Kind matching will increase overall resources and
enhance broad-based support for the CTE PFS TA Program. Applicants must
verify that they will provide a 10 percent Cash or In-Kind Match of the
total amount of the grant by submitting: (1) A letter of intent with
their application; and (2) a letter of commitment that must be received
no later than 4:30:00 p.m., Washington, DC time September 15, 2106 in a
PDF (Portable Document) read-only, non-modifiable format submitted by
email with the subject line ``CTE PFS TA Program Matching Cash or In-
Kind Contributions--Letter of Commitment'', addressed to
Len.Lintner@ed.gov.
The applicant must demonstrate matching by providing either or a
combination of both:
(a) Cash toward meeting their matching costs of the total award of
the CTE PFS TA Program grant, by providing the following:
(1) Documentation that the applicant's organization has either
cash-on-hand or commitments from organizations for the matching funds;
and
(2) A statement from the Chief Financial Officer or other relevant
officer that the applicant's organization has established a reserve of
committed funds for the CTE PFS Project.
(b) In-kind, non-cash contributions calculated consistent with 2
CFR 200.306 toward meeting their matching costs of the total award of
the CTE PFS TA Program grant by providing one or a combination of the
following:
(1) Evidence of commitments in the form of equipment, supplies, and
other expendable property, and the value of goods and services directly
benefiting and specifically identifiable to benefit the CTE PFS TA
Program;
(2) Evidence of third-party commitments for the monetary value of
time contributed by professional and technical personnel and other
skilled labor directly benefiting and specifically identifiable to
benefit the CTE PFS TA Program; and/or
(3) Evidence of other forms of non-cash third-party commitments
directly benefiting and specifically identifiable to benefit the CTE
PFS TA Program.
Application Requirements: The applicant must:
(a) Provide a Theory of Action for the CTE PFS TA Program for
Underserved, High-Need Youth.
(b) Provide a statement of organizational capacity to conduct PFS
Feasibility Studies and transaction structuring, and to work with CTE,
including:
(1) A description of the project leadership and team, including
qualifications and experience coordinating PFS programs and working
with CTE; and
(2) A description of the project leadership and team's experience
selecting local sites that have a high likelihood of completing the
Feasibility Analysis phase and moving to the transaction structuring
phase.
(c) Propose a preliminary plan for an Open and Fair Competition to
select
[[Page 48772]]
Local CTE Sites to receive technical assistance.
(d) Provide a preliminary work plan for conducting technical
assistance for the Feasibility Analysis and transaction structuring
phases at the four Local CTE Sites. While each Local CTE Site selected
will have different needs and priorities, the applicant must describe
the overall tasks and processes that will be undertaken in each of the
Feasibility Study and transaction structuring phases.
(e) Provide a budget and budget narrative for each of the two
phases of the CTE PFS Project--Feasibility Study and transaction
structuring, including any planned cash or in-kind match consistent
with the absolute priority.
Definitions: We are establishing these definitions for the FY 2016
grant competition and any subsequent year in which we make awards from
the list of unfunded applications from this competition, in accordance
with section 437(d)(1) of the General Education Provisions Act (GEPA),
20 U.S.C. 1232(d)(1). The definition of ``Local Government'' is from
the Uniform Administrative Requirements, Cost Principles and Audit
Requirements For Federal Awards at 2 CFR 200.64; the definitions of
``Logic Model,'' ``Strong Theory,'' and ``Theory of Action'' are from
Education Department General Administrative Regulations (EDGAR) at 34
CFR 77.1(c); the definition of ``State'' is from Sec. 3(30) of Perkins
IV; and the definition of ``Tribal Government'' is from Sec. 3 of the
Alaska Native Claims Settlement Act, 43 U.S.C. 1602(c). This
competition uses the following definitions for the key terms included
in this notice:
Benefits means fiscal and other value to the public sector and
society as a result of achieving the Outcome Measures through the
implementation of the intervention for Underserved, High-Need Youth.
Benefits may include cost savings, cost avoidance, cost-effectiveness,
and positive societal benefits.
Cost-Benefit Analysis means an analysis that compares the costs of
an intervention (for example) with the Benefits that will result from
achieving the Outcome Measures, including a framework and description
of the process used for estimating Benefits that would result from
implementation of the evidence-based CTE program for Underserved, High-
Need Youth.
CTE Pay for Success (CTE PFS) Agreement means a multiparty
agreement: (1) Which, when executed, delivers or scales an innovative
and Evidence-based Intervention intended to improve one or more
outcomes, and in which ultimate payment to the Local CTE Site is made
only if the outcome(s) is achieved at predetermined target levels, as
documented by an Independent Evaluator, and (2) to which the following
entities are signatories: (i) Local CTE Site(s); (ii) Outcomes
Payor(s); and may include (iii) Intermediary/project coordinator or
legal entity managing this Agreement created by the Intermediary.
CTE Pay for Success (CTE PFS) Partnership includes a public or
private entity that pays for outcomes; an Intermediary; and an
Independent Evaluator. A CTE PFS Partnership may also include one or
more Local CTE Sitesand Investor(s).
Evidence-based Interventions are those which have objective levels
of research support consistent with the guidelines established by the
Department's What Works Clearinghouse.
Feasibility Study means a written report assessing the suitability
of an intervention for PFS. A Feasibility Study includes, at a
minimum--
(a) A description of the High-Quality CTE program model to be
implemented through PFS that includes, at a minimum, how the
intervention is likely to improve student outcomes, based on
quantitative, qualitative, or theoretical evidence; the goals,
objectives, and outcomes to be achieved by the proposed CTE program
which are clearly specified and measurable and will demonstrate student
success; and how the intervention is appropriate to, and will
successfully address, the needs of Underserved, High-Need Youth;
(b) Identification of one or more clearly specified and measurable
Outcome Measures;
(c) A Cost-Benefit Analysis;
(d) Any statutory, legal or other barriers to implementing PFS and
how they will be addressed; and
(e) Identification of potential sources of Outcomes Payments from a
government entity or other sources.
Financial Model means a quantitative model that shows public sector
value (or value to other non-governmental outcomes payors), including
cost savings, cost avoidance or efficiency, and societal benefit and
links the costs of implementation of the CTE PFS Project that are
covered, in whole or in part, by the Investors to the amounts and
timing of Outcomes Payments that are made by a government entity.
Fiscal Agent is the entity that will be fiscally responsible for
the grant award. It may be the Intermediary or a partner.
Grantee refers to the Intermediary that is awarded the grant for
the CTE PFS TA Program, consistent with the definition provided in this
notice.
High-Quality Career and Technical (CTE) Program means a program
that--
(a) Supports career pathways in in-demand industry sectors and
occupations and that provide opportunities for students to prepare for
college and careers;
(b) Provides students with information about occupations in in-
demand industry sectors or occupations and may offer career exploration
activities as early as seventh grade;
(c) Offers a non-duplicative, structured sequence of courses that
begin at the secondary level and lead, as applicable, to an industry-
recognized credential (in sectors where those credentials exist and are
appropriate) and to a postsecondary certificate or degree that is
needed for placement in an in-demand occupation that leads to economic
self-sufficiency;
(d) Provides students with the academic, employability, and
technical, skills that employers require for entry into occupations in
in-demand industry sectors or occupations;
(e) Offers opportunities for students to earn academic credit and
postsecondary credit for completing high school career and technical
education courses;
(f) Provides all participating students with work-based learning;
(g) Provides supplemental services to participating students who
are members of underserved populations and provides support services to
all participating students to ensure that all students have equitable
access to career and technical education programs, in addition to
equitable opportunities to participate and succeed in these programs;
and
(h) Offers opportunities for participating students to develop
leadership skills.
High-Quality Pay for Success (PFS) Project means a PFS Project that
includes:
(a) A plan for addressing a well-defined problem and the needs of
an associated target population;
(b) A service delivery strategy that is managed, coordinated, and
guided by the Local CTE Site, is flexible and adaptive to the target
problem and population, and has a robust, rigorous evidence base or a
compelling theory of change with pre- and post-intervention outcomes;
(c) One or more well-defined, achievable potential outcome
target(s) and associated payments that are a significant improvement on
the current condition of the target population and have been agreed to
by all required project partners;
[[Page 48773]]
(d) A plan for Rigorous Evaluation;
(e) A financial model that shows public sector value (or value to
other non-governmental outcomes payors), including cost savings, cost
avoidance or efficiency, and societal benefit and tracks effects of the
project on relevant Federal, State, and local funding sources;
(f) A commitment from an individual or entity to act as an outcomes
payor (whose Outcomes Payments may be directed to Investors if they
have covered, in part or in whole, costs associated with delivering the
intervention);
(g) If needed, a binding commitment of funds from one or more
independent Investors to cover all operating costs of the intervention,
including administrative and overhead costs of any intermediary; and
(h) A legal agreement and any associated necessary agreements that
incorporate all elements above.
Independent Evaluator means an independent entity that rigorously
evaluates whether the intervention achieved the outcome(s) sought.
Independent Investor means an individual, entity, or group thereof
that provides upfront capital to cover the operating costs and other
associated costs, in part or whole, of the intervention delivered by
the Local CTE Site and is not involved in the design or implementation
of the PFS CTE project or has a stake in the results from the
evaluation.
Intermediary is a technical assistance entity that facilitates and
manages the PFS TA project and contracting process. Under this program
the Intermediary serves as the project facilitator between the parties
in the first two phases of the PFS project, Feasibility Study and
transaction structuring. Responsibilities may include but are not
limited to: coordinating the development and execution of legal
agreements, building a Financial Model to guide the terms of the legal
agreements, and raising capital from Investors.
Investor means an individual, entity, or group thereof that
provides upfront capital to cover the operating costs and other
associated costs, in part or whole, of the CTE intervention delivered
by the Local CTE Sites.
Local CTE Site means an eligible recipient under section 3(14) of
Perkins IV. Section 3(14) defines ``eligible recipient'' as: ``(A) a
local educational agency (including a public charter school that
operates as a local educational agency), an area career and technical
education school, an educational service agency, or a consortium,
eligible to receive assistance under section 131; or (B) an eligible
institution or consortium of eligible institutions eligible to receive
assistance under section 132.'' The Local CTE Site is the service
provider which may include other contractor interventions.
Local Government means any unit of government within a State,
including a--
(a) County;
(b) Borough;
(c) Municipality;
(d) City;
(e) Town;
(f) Township;
(g) Parish;
(h) Local public authority, including any public housing agency
under the United States Housing Act of 1937;
(i) Special district;
(j) School district;
(k) Intrastate district;
(l) Council of governments, whether or not incorporated as a
nonprofit corporation under State law; and
(m) Any other agency or instrumentality of a multi-, regional, or
intra-State or local government. (See 2 CFR 200.64).
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. See EDGAR at
34 CFR 77.1(c).
Open and Fair Competition means a recruitment and selection process
that is free of organizational conflicts of interest as well as
noncompetitive practices among applicants that may restrict or
eliminate competition or otherwise restrain trade.
Outcome Measure means an indicator of student success on which the
program's impact will be calculated. It is determined using relevant
program data and has defined units of measurement by which the impact
can be tracked.
Outcomes Payments means, per the terms of the CTE PFS Agreement,
payments that cover repayment of the principal investment and a return
in the case that: (1) An Investor has covered part or all of the costs
of service delivery and other associated costs, and (2) outcomes have
been achieved according to an Independent Evaluator.
Payment Plan means a written plan that describes the proposed
payment arrangement between the Investors, and outcomes payor and must
include the timelines and payment amounts for the duration of the CTE
PFS Project and the corresponding Outcome Measure that triggers the
Outcomes Payment.
Rigorous Evaluation means an evaluation that will, if well-
implemented, produce evidence about the project's effectiveness that
would meet the What Works Clearinghouse Evidence Standards without
reservations or, when random assignment is not feasible, would meet
What Works Clearinghouse Evidence Standards with reservations.
Service Delivery Model means a CTE program and model that is
evidence-based with a track record of success or supported by Strong
Theory that will serve Underserved, High-Need Youth in the Local CTE
Site, including the CTE program models cited in the Background section
of this notice.
State The term `State,' unless otherwise specified, means each of
the several States of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, and each outlying area. See Sec. 3(30) of
Perkins IV.
Strong Theory means a rationale for the proposed process, product,
strategy, or practice that includes a Logic Model. See EDGAR at 34 CFR
77.1(c).
Theory of Action (also referred to as Logic Model) 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. See EDGAR at
34 CFR 77.1(c).
Tribal Government means the governing body or a governmental agency
of any Indian tribe, band, nation, or other organized group or
community (including any native village as defined in Sec. 3 of the
Alaska Native Claims Settlement Act, 43 U.S.C. 1602(c)) certified by
the Secretary of the Interior as eligible for the special programs and
services provided through the Bureau of Indian Affairs.
Underserved, High-Need Youth refers to individuals who are at risk
of educational failure or otherwise in need of special assistance and
support. These individuals may include students described in section
3(29) (Special Populations) of Perkins IV, as well as students who are
living in poverty, attend high-minority schools, are far below grade
level, have left school before receiving a regular high school diploma,
are at risk of not graduating
[[Page 48774]]
with a diploma on time, are homeless, or have been incarcerated.
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 URL
address: https://ies.ed.gov/ncee/wwc/DocumentSum.aspx?sid=19.
Waiver of Proposed Rulemaking: Under the Administrative Procedure
Act, 5 U.S.C. 553, the Department generally offers interested parties
the opportunity to comment on proposed priorities, definitions and
other requirements. Section 437(d)(1) of the General Education
Provisions Act (GEPA), however, allows the Secretary to exempt from
rulemaking requirements regulations governing the first grant
competition under a new or substantially revised program authority.
This is the first grant competition for this program under section
114(c)(1) of Perkins IV (20 U.S.C. 2324(c)(1)) and therefore qualifies
for this exemption. In order to ensure timely grant awards, the
Secretary has decided to forgo public comment on the priority,
definitions, and other requirements under section 437(d)(1) of GEPA.
The priority, definitions, and other requirements will apply to the FY
2016 grant competition and any subsequent year in which we make awards
from the list of unfunded applicants from this competition.
Program Authority: 20 U.S.C. 2324.
Applicable Regulations: (a) EDGAR in 34 CFR parts 75, 77, 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.
Note: The regulations in 34 CFR part 86 apply to institutions of
higher education only.
II. Award Information
Type of Award: Discretionary grant (cooperative agreement).
Estimated Available Funds: $2,000,000 to support technical
assistance provided by an Intermediary to four Local CTE Sites during
the Feasibility Analysis stage and three Local CTE Sites during the
transaction structuring phase, if applicable.
Estimated Range of Awards: $2,000,000.
Estimated Average Size of Award: $2,000,000.
Estimated Number of Awards: One.
Note: The Department is not bound by any estimates in this
notice.
Project Period: 48 months. Applicants under this competition are
required to provide detailed budget information for each of the years
of this project and for the total grant.
III. Eligibility Information
1. Eligible Applicants: Eligible applicants are:
(a) Nonprofit organizations as defined in 2 CFR 200.70;
(b) Public or private institutions of higher education as defined
in section 101 of the Higher Education Act of 1965;
(c) States, Local Governments, and Tribal Governments;
(d) Consortia of the above entities; or
(e) Partnerships/consortia of the above entities and a for-profit
organization.
For-profit organizations may not serve as the applicant or Fiscal
Agent for the grant.
2. Cost Sharing or Matching: The program requires cost sharing or
matching.
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), or from the program office. To obtain a copy via the
Internet, use the following address: www.ed.gov/fund/grant/apply/grantapps/. 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 package from ED Pubs, be sure to
identify this program or competition as follows: CFDA number 84.051.
To obtain a copy from the program office, contact the persons
listed under FOR FURTHER INFORMATION CONTACT in section VII of this
notice.
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.
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. You must limit the
application narrative to no more than 35 pages, using 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, as well as all text in
charts, tables, figures, and graphs.
Use a font that is either 12 point or larger or no smaller
than 10 pitch (characters per inch).
Use one of the following fonts: Times New Roman, Courier,
Courier New, or Arial. An application submitted in any other font
(including Times Roman or Arial Narrow) will not be accepted.
The page limit 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; the one-page abstract, or the
resumes, bibliography, letters of support, or other appendices.
Our reviewers will not read any pages of your application that
exceed the page limit.
2.b. Submission of Proprietary Information: Given the types of
projects that may be proposed, your application may include business
information that the applicant considers proprietary. The Department's
regulations define ``business information'' in 34 CFR 5.11.
Because we plan to make successful applications available to the
public upon request, you may wish to request confidentiality of
business information. 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:
Applications Available: July 26, 2016.
Date of Pre-Application Meeting: August 2, 2016.
[[Page 48775]]
Deadline for Transmittal of Applications: August 25, 2016.
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 Other Submission Requirements in section
IV 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 FOR FURTHER INFORMATION 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.
4. Intergovernmental Review: This program 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 program. However, under 34
CFR 79.8(a), we waive Intergovernmental Review in order to make an
award by September 30, 2016.
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 at the
following Web site: https://fedgov.dnb.com/webform. 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 to 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 under
this 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 Providing High-Quality Career and
Technical Education Programs for Underserved, High-Need Youth through a
Pay For Success Model, CFDA number 84.051, must be submitted
electronically using the Governmentwide Grants.gov Apply site at
www.Grants.gov. Through this site, you will be able to download a copy
of the application package, complete it offline, and then upload and
submit your application. You may not email an electronic copy of a
grant application to us.
We will reject your application if you submit it in paper format
unless, as described elsewhere in this section, you qualify for one of
the exceptions to the electronic submission requirement and submit, no
later than two weeks before the application deadline date, a written
statement to the Department that you qualify for one of these
exceptions. Further information regarding calculation of the date that
is two weeks before the application deadline date is provided later in
this section under Exception to Electronic Submission Requirement.
You may access the electronic grant application for the Providing
High-Quality Career and Technical Education Programs for Underserved,
High-Need Youth through a Pay For Success Model at www.Grants.gov. You
must search for the downloadable application package for this program
by the CFDA number 84.051.
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
[[Page 48776]]
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. In addition, for specific guidance and
procedures for submitting an application through Grants.gov, please
refer to the Grants.gov Web site at: www.grants.gov/web/grants/applicants/apply-for-grants.html.
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 read-only, non-modifiable
Portable Document Format (PDF). Do not upload an interactive or
fillable PDF file. If you upload a file type other than a read-only,
non-modifiable PDF (e.g., Word, Excel, WordPerfect, etc.) or submit a
password-protected file, we will not review that material. Please note
that this could result in your application not being considered for
funding because the material in question--for example, the project
narrative--is critical to a meaningful review of your proposal. For
that reason it is important to allow yourself adequate time to upload
all material as PDF files. The Department will not convert material
from other formats to PDF.
Your electronic application must comply with any page-
limit requirements described in this notice.
Prior to submitting your electronic application, you may
wish to print a copy of it for your records.
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. Grants.gov will also
notify you automatically by email if your application met all the
Grants.gov validation requirements or if there were any errors (such as
submission of your application by someone other than a registered
Authorized Organization Representative, or inclusion of an attachment
with a file name that contains special characters). You will be given
an opportunity to correct any errors and resubmit, but you must still
meet the deadline for submission of applications.
Once your application is successfully validated by Grants.gov, the
Department will retrieve your application from Grants.gov and send you
an email with a unique PR/Award number for your application.
These emails do not mean that your application is without any
disqualifying errors. While your application may have been successfully
validated by Grants.gov, it must also meet the Department's application
requirements as specified in this notice and in the application
instructions. Disqualifying errors could include, for instance, failure
to upload attachments in a read-only, non-modifiable PDF; failure to
submit a required part of the application; or failure to meet applicant
eligibility requirements. It is your responsibility to ensure that your
submitted application has met all of the Department's requirements.
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 FOR FURTHER INFORMATION 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: Len Lintner, U.S.
Department of Education, 400 Maryland Avenue SW., PCP, Room 11090,
Washington, DC 20202-7241. FAX: (202) 245-7170.
Your paper application must be submitted in accordance with the
mail or hand delivery instructions described in this notice.
[[Page 48777]]
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 84.051) 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 84.051)) 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 maximum score for all the selection
criteria is 160 points. In addressing the criteria, applicants are
encouraged to make explicit connections to the absolute priority and
the program requirements and application requirements listed elsewhere
in this notice. The selection criteria are as follows:
(a) Need for project. (Up to a total of 20 points) The Secretary
considers the need for the proposed project. In determining the need,
the Secretary considers--
(1) The magnitude of the need for the services to be provided or
the activities to be carried out by the Intermediary to ensure
Underserved, High-Need Youth are served by the Local CTE Sites (up to
10 points); and
(2) The likelihood that the proposed project will result in system
change or improvement (up to 10 points);
(b) Quality of the Proposed Local CTE Site Selection Process. (Up
to a total of 30 points) The Secretary considers the quality of the
selection process for Local CTE Sites that will receive technical
assistance from the Intermediary. In determining the quality of the
selection process, the Secretary considers:
(1) The extent to which the selection process is open and fair (up
to 5 points);
(2) The extent to which the applicant clearly defines the goals and
objectives of the competition and the subsequent delivery of services
(up to 5 points);
(3) The extent to which the selection criteria for the competition
is expected to result in Local CTE Sites from a mix of geographic
locations--urban, suburban, and rural (up to 5 points);
(4) The extent to which the selection criteria for the competition
is expected to enhance the likelihood that the Local CTE Sites will
proceed from Feasibility Study to transaction structuring (up to 5
points); and
(5) The extent to which the selection criteria for the competition
identifies and prioritizes addressing specific gaps or weaknesses in
CTE services, infrastructure, or opportunities that have been
identified and will be addressed by the proposed project, including the
nature and magnitude of those gaps or weaknesses (up to 10 points).
(c) Quality of the Proposed Work Plan for Feasibility Study and
Transaction Structuring. (Up to a total of 30 points) The Secretary
considers the quality of the work plan for the proposed project. In
determining the quality of the work plan for the proposed project, the
Secretary considers--
(1) The adequacy of the work plan to achieve the purposes of the
proposed project on time and within budget, including clearly defined
responsibilities, timelines, and milestones for accomplishing project
tasks (up to 15 points); and
(2) The extent to which the time commitments of the project
director and other key project personnel are appropriate and adequate
to meet the objectives of the proposed project (up to 15 points).
(d) Adequacy of Resources. (Up to 10 points) The Secretary
considers the adequacy of resources for the proposed project. In
determining the adequacy of resources for the proposed project, the
Secretary considers the extent to which the costs are reasonable in
relation to the objectives, design, and potential significance for the
proposed project including resources committed to the Feasibility Study
and transaction structuring phases, and all project deliverables;
(e) Organization Capacity and Experience. (up to a total of 70
points) The Secretary considers the organizational capacity and
experience of the applicant. In determining the organizational capacity
and experience of the applicant, the Secretary considers:
(1) The extent to which the applicant demonstrates recent and
ongoing experience in performing the same or similar PFS activities as
those required in this competition (the applicant may provide brief
examples of PFS technical assistance or negotiations facilitated by the
applicant) (up to 10 points);
(2) The extent to which the applicant can demonstrate its technical
ability carrying out prior Feasibility Studies and transaction
structuring activities (up to 5 points);
(3) The extent to which the applicant demonstrates experience in
holding Open and Fair Competitions to select local sites for technical
assistance (up to 5 points);
(4) The extent to which the applicant demonstrates experience in
choosing local sites for a Feasibility Study that have subsequently
progressed to transaction structuring (up to 5 points);
(5) The extent to which the applicant demonstrates its experience
with
[[Page 48778]]
coordinating and managing PFS contracts, Financial Modeling and
estimation of return on investment and Cost-Benefit Analysis, marketing
PFS contracts to potential Investors, raising capital, and developing
contracts and related supplementary documentation (up to 5 points);
(6) The extent to which the applicant has experience with
selecting, coordinating, and managing a third-party evaluator of a PFS
project, including coordinating between an evaluator and other project
stakeholders to ensure that the evaluation and service delivery designs
are compatible (up to 5 points);
(7) The extent to which the applicant has knowledge about CTE
programs, and experience in providing technical assistance on effective
CTE programs (up to 5 points);
(8) The extent to which the applicant presents a qualified roster
of staff members, including management staff, board members, and
partners that have demonstrated experience, capacity and a track record
to effectively implement the proposed project, including at least one
staff member with experience in developing and implementing evidence-
based CTE programs (up to 5 points);
(9) The extent to which the applicant describes the roles and
responsibilities of each team member, ensuring all key facets of the
project have clear owners with appropriate experience (up to 5 points);
(10) The extent to which the applicant identifies the proposed
project lead(s) and demonstrates their expertise, based on past
experience in PFS or similar social financing projects (up to 5
points); and
(11) The extent to which the applicant has experience with
financial and project management (up to 5 points).
(13) The extent to which the applicant has experience evaluating
evidence and selecting evidence-based strategies (up to 5 points).
(14) The extent to which the applicant has experience providing TA
for carrying out quality data collection/matching and developing
relevant, high-quality metrics for success (up to 5 points).
2. Review and Selection Process: 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. Risk Assessment and Special Conditions: Consistent with 2 CFR
200.205, before awarding grants under this competition the Department
conducts a review of the risks posed by applicants. Under 2 CFR
3474.10, the Secretary may impose special conditions and, in
appropriate circumstances, high-risk conditions on a grant if the
applicant or Grantee is not financially stable; has a history of
unsatisfactory performance; has a financial or other management system
that does not meet the standards in 2 CFR part 200, subpart D; has not
fulfilled the conditions of a prior grant; or is otherwise not
responsible.
VI. Award Administration Information
1. Award Notices: If your application is successful, we notify your
U.S. Representative and U.S. Senators and send you a Grant Award
Notification (GAN); or we may send you an email containing a link to
access an electronic version of your GAN. We may notify you informally,
also.
If your application is not evaluated or not selected for funding,
we notify you.
2. Administrative and National Policy Requirements: We identify
administrative and national policy requirements in the application
package and reference these and other requirements in the Applicable
Regulations section of this notice.
We reference the regulations outlining the terms and conditions of
an award in the Applicable Regulations section of this notice and
include these and other specific conditions in the GAN. The GAN also
incorporates your approved application as part of your binding
commitments under the grant.
3. Reporting: (a) If you apply for a grant under this competition,
you must ensure that you have in place the necessary processes and
systems to comply with the reporting requirements in 2 CFR part 170
should you receive funding under the competition. This does not apply
if you have an exception under 2 CFR 170.110(b).
(b) At the end of your project period, you must submit a final
performance report, including financial information, as directed by the
Secretary. If you receive a multi-year award, you must submit an annual
performance report that provides the most current performance and
financial expenditure information as directed by the Secretary under 34
CFR 75.118. The Secretary may also require more frequent performance
reports under 34 CFR 75.720(c). For specific requirements on reporting,
please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.
(c) Under 34 CFR 75.250(b), the Secretary may provide a grantee
with additional funding for data collection analysis and reporting. In
this case the Secretary establishes a data collection period.
4. Performance Measures: The Department has established the
following Government Performance and Results Act of 1993 (GPRA)
performance for the CTE PFS Project. Under GPRA, Federal departments
and agencies must clearly describe the goals and objectives of their
programs, identify resources and actions needed to accomplish these
goals and objectives, develop a means of measuring progress made, and
regularly report on their achievement. One important source of program
information is the annual project evaluation conducted under individual
grants. To determine the overall effectiveness of projects funded under
this competition, the Grantee must be prepared to measure and report on
the following measures of effectiveness:
(a) The number and percentage of Local CTE Sites that have a
complete Feasibility Study within 24 months of the project period.
(b) The number and percentage of Feasibility Studies that conclude
that CTE PFS approaches are viable or that identify feasible
alternatives if PFS is not viable.
(c) The number and percentage of successfully completed structured
transactions within the project period that are ready to move to
project implementation.
These measures constitute the Department's indicators of success
for this program. Consequently, we advise an applicant for a grant
under this program to give careful consideration to these measures in
conceptualizing the approach and evaluation for its proposed project.
The Grantee will be required to provide, in its annual performance and
final reports, data about its progress in meeting these measures.
VII. Agency Contact
FOR FURTHER INFORMATION CONTACT: Len Lintner, U.S. Department of
Education, 400 Maryland Avenue SW., Room PCP-
[[Page 48779]]
11090, Washington, DC 20202. Telephone: (202) 245-7741 or by email:
Len.Lintner@ed.gov.
If you use a TDD or TTY, call the FRS, 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
the program contact person listed under FOR FURTHER INFORMATION 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.
Johan E. Uvin,
Deputy Assistant Secretary Delegated the Duties of the Assistant
Secretary for Career, Technical, and Adult Education.
[FR Doc. 2016-17657 Filed 7-25-16; 8:45 am]
BILLING CODE 4000-01-P