[Federal Register Volume 80, Number 60 (Monday, March 30, 2015)]
[Notices]
[Pages 16648-16660]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-07213]


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DEPARTMENT OF EDUCATION


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

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

ACTION: Notice.

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Overview Information

    Investing in Innovation Fund--Development grants Notice inviting 
applications for new awards for fiscal year (FY) 2015.

Catalog of Federal Domestic Assistance (CFDA) Number: 84.411P 
(Development grants Pre-Application) and 84.411C (Development grants 
Full Application).

    Note: In order to receive an Investing in Innovation Fund (i3) 
Development grant, an entity must submit a pre-application. The pre-
application is intended to reduce the burden of submitting a full 
application for an i3 Development grant. Pre-applications will be 
reviewed and scored by peer reviewers using the selection criteria 
designated in this notice. Entities that submit a highly rated pre-
application will be invited to submit a full application for a 
Development grant; however, any entity that successfully submits a 
pre-application may choose to submit a full application.


DATES: Pre-Applications Available: April 1, 2015.
    Deadline for Notice of Intent To Submit Pre-Application: April 20, 
2015.
    Deadline for Transmittal of Pre-applications: April 29, 2015.
    Full Applications Available: If you are invited to submit a full 
application for a Development grant, we will transmit the full 
application package and instructions using the contact information you 
provide to us in your pre-application. Other pre-applicants who choose 
to submit a full application may access these items on the i3 Web site 
at www2.ed.gov/programs/innovation/index.html.
    Deadline for Transmittal of Full Applications: Entities that submit 
a highly rated pre-application, as scored by peer reviewers and as 
identified by the Department, will be invited to submit a full 
application for a Development grant. Other pre-applicants may choose to 
submit a full application. The Department will announce on its Web site 
the deadline date for transmission of full applications and will also 
communicate this deadline to applicants in the full application package 
and instructions.
    Deadline for Intergovernmental Review: 60 calendar days after the 
deadline date for transmittal of full applications.

[[Page 16649]]

Full Text of Announcement

I. Funding Opportunity Description

    Purpose of Program: The Investing in Innovation Fund (i3), 
established under section 14007 of the American Recovery and 
Reinvestment Act of 2009 (ARRA), provides funding to support (1) local 
educational agencies (LEAs), and (2) nonprofit organizations in 
partnership with (a) one or more LEAs or (b) a consortium of schools. 
The i3 program is designed to generate and validate solutions to 
persistent educational challenges and to support the expansion of 
effective solutions to serve substantially larger numbers of students. 
The central design element of the i3 program is its multi-tier 
structure that links the amount of funding that an applicant may 
receive to the quality of the evidence supporting the efficacy of the 
proposed project. Applicants proposing practices supported by limited 
evidence can receive relatively small grants that support the 
development and initial evaluation of promising practices and help to 
identify new solutions to pressing challenges; applicants proposing 
practices supported by evidence from rigorous evaluations, such as 
large randomized controlled trials, can receive sizable grants to 
support expansion across the country. This structure provides 
incentives for applicants to build evidence of effectiveness of their 
proposed projects and to address the barriers to serving more students 
across schools, districts, and States.
    As importantly, all i3 projects are required to generate additional 
evidence of effectiveness. All i3 grantees must use part of their 
budgets to conduct independent evaluations (as defined in this notice) 
of their projects. This ensures that projects funded under the i3 
program contribute significantly to improving the information available 
to practitioners and policymakers about which practices work, for which 
types of students, and in what contexts.
    The Department awards three types of grants under this program: 
``Development'' grants, ``Validation'' grants, and ``Scale-Up'' grants. 
These grants differ in terms of the level of prior evidence of 
effectiveness required for consideration of funding, the level of scale 
the funded project should reach, and, consequently, the amount of 
funding available to support the project. Development grants provide 
funding to support the development or testing of practices that are 
supported by evidence of promise (as defined in this notice) or a 
strong theory (as defined in this notice) and whose efficacy should be 
systematically studied. Development grants will support new or 
substantially more effective practices for addressing widely shared 
challenges. Development projects are novel and significant nationally, 
not projects that simply implement existing practices in additional 
locations or support needs that are primarily local in nature. All 
Development grantees must evaluate the effectiveness of the project at 
the level of scale proposed in the application. This notice invites 
applications for Development grants only. The Department anticipates 
publishing notices inviting applications for the other types of i3 
grants (Validation and Scale-Up grants) in the spring of 2015.
    We remind LEAs of the continuing applicability of the provisions of 
the Individuals with Disabilities Education Act (IDEA) for students who 
may be served under i3 grants. Any grants in which LEAs participate 
must be consistent with the rights, protections, and processes 
established under IDEA for students who are receiving special education 
and related services or are in the process of being evaluated to 
determine their eligibility for such services.
    As described later in this notice, in connection with making 
competitive grant awards, an applicant is required, as a condition of 
receiving assistance under this program, to make civil rights 
assurances, including an assurance that its program or activity will 
comply with Section 504 of the Rehabilitation Act of 1973, as amended 
and the Department's section 504 implementing regulations, which 
prohibit discrimination on the basis of disability. Regardless of 
whether a student with disabilities is specifically targeted as a 
``high-need student'' (as defined in this notice) in a particular grant 
application, recipients are required to comply with all legal 
nondiscrimination requirements, including, but not limited to the 
obligation to ensure that students with disabilities are not denied 
access to the benefits of the recipient's program because of their 
disability. The Department also enforces Title II of the Americans with 
Disabilities Act (ADA), as well as the regulations implementing Title 
II of the ADA, which prohibit discrimination on the basis of disability 
by public entities.
    Furthermore, Title VI and Title IX of the Civil Rights Act of 1964 
prohibit discrimination on the basis of race, color, and national 
origin, and sex, respectively. On December 2, 2011, the Departments of 
Education and Justice jointly issued guidance that explains how 
educational institutions can promote student diversity or avoid racial 
isolation within the framework of Title VI (e.g., through consideration 
of the racial demographics of neighborhoods when drawing assignment 
zones for schools or through targeted recruiting efforts). The 
``Guidance on the Voluntary Use of Race to Achieve Diversity and Avoid 
Racial Isolation in Elementary and Secondary Schools'' is available on 
the Department's Web site at www.ed.gov/ocr/docs/guidance-ese-201111.pdf.
    Background: Through its competitions, the i3 program strives to 
improve the academic achievement of high-need students by accelerating 
the identification of promising solutions to pressing challenges in 
kindergarten through grade 12 (K-12) education, supporting the 
evaluation of the efficacy of such solutions, and developing new 
approaches to scaling effective practices to serve more students. The 
i3 program aims to build a portfolio of solutions and corresponding 
evidence regarding different approaches to addressing critical 
challenges in education. When selecting the priorities for a given 
competition, the Department considers several factors, including the 
Department's policy priorities, the need for new solutions in a 
particular priority area, the extent of the existing evidence in the 
field supporting effective practices in a particular priority area, 
whether other available funding exists for a particular priority area, 
and the results and lessons learned from funded projects from prior i3 
competitions. We note that in previous i3 Development competitions, the 
Department has included explicit priority areas for supporting students 
with disabilities and English learners. Most of the projects in i3's 
current portfolio are supporting these students in some way. Our 
approach for the FY 2015 competition, as further described below, is to 
focus on projects that are designed to test new or otherwise promising 
approaches that may impact a broad spectrum of students, including 
students with disabilities and English learners. Although the FY 2015 
i3 Development competition does not include specific priorities for 
supporting English learners or students with disabilities, we require 
applicants to serve high-need student populations, and we encourage 
them to consider ways in which their proposed projects could serve 
students with disabilities or English learners.
    We include five absolute priorities in the FY 2015 Development 
competition. We include absolute priorities that are intended to 
represent persistent challenges in education, new areas of policy focus 
in which research is scarce, and areas we would like to strengthen

[[Page 16650]]

the current portfolio of i3 grantee projects. Applicants applying under 
the Serving Rural Communities priority (Absolute Priority 5) must also 
address one of the other four absolute priorities established for the 
FY 2015 i3 Development competition, as described below, while serving 
students enrolled in rural LEAs (as defined in this notice). We also 
include one competitive preference priority for novice i3 applicants.
    First, we include an absolute priority that asks applicants to 
increase the number and percentage of highly effective principals. 
School leaders play an essential role in shaping school cultures, 
aligning parents and educators around shared goals, and, ultimately, 
influencing student achievement. Yet preparation programs and support 
for school leaders are often lacking. Preparation programs, for 
example, sometimes lack rigorous screening and selection entry 
requirements, offer courses that are not aligned with standards of 
practice, and provide insufficient clinical experiences for candidates. 
Furthermore, current principals indicate that they are not reliably 
provided the necessary support and development opportunities that 
enable them to shape a strong professional community and collective 
responsibility for student learning. We encourage applicants addressing 
this priority to consider strategies that improve hiring, support, and 
retention efforts for principals with the ultimate outcome of improving 
outcomes for high-need students (as defined in this notice). We think 
these areas are important to explore further, as the research base on 
effective practices for training, supporting, and retaining strong 
leaders is limited.
    Second, we include an absolute priority on improving science, 
technology, engineering, and mathematics (STEM) education. Research 
shows that ensuring that all students can access and excel in STEM 
fields is essential to our Nation's economy and future prosperity.\1\ 
Careers in STEM fields are growing, as are the skills required to 
compete for and succeed in these specialized jobs.\2\ In addition, STEM 
literacy is beneficial even for those who are not directly involved in 
STEM professions. For this priority, we seek projects that reach 
students beyond the boundaries of the traditional school day (e.g., 
during out-of-school time or extended-day programs) and provide 
meaningful, real-world STEM learning experiences that will inspire 
students' interest in STEM and give them the tools they need to meet 
the demands of dynamic labor markets.
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    \1\ Langdon, D.; McKittrick, G.; Beede, D.; Khan, B.; and Doms, 
M., Office of the Chief Economist, U.S. Department of Commerce. 
STEM: Good Jobs Now and for the Future (July 2011). Available at: 
http://www.esa.doc.gov/sites/default/files/stemfinalyjuly14_1.pdf.
    \2\ Chairman's Staff of the Joint Economic Committee. 
Calculations using data from the Bureau of Labor Statistics. 
Employment Projections: 2010-20. Table 1.7 Occupational Employment 
and Job Openings Data, Projected 2010-20, and Worker 
Characteristics, 2010. February 2012. Available at: http://bls.gov/emp/. For the purposes of this calculation, STEM occupations are 
defined as in the U.S. Department of Commerce's Economics and 
Statistics Administration report, STEM: Good Jobs Now and for the 
Future. ESA Issue Brief #03-11. July 2011.
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    Third, we include an absolute priority that supports the use of 
technology in the classroom to support student learning and inform 
teacher professional development. In this priority, we seek projects 
that use technological tools that enable the development, 
visualization, and rapid analysis of data to inform instructional 
practices and improve learning outcomes. Incorporating real-time data 
into instructional practice provides students with the individualized 
support they need to be successful and can also be leveraged to provide 
educators with targeted support that helps them meet students' needs. 
We seek projects that will examine the effectiveness of various 
approaches to providing student and teacher support and build the 
research base.
    Fourth, we include an absolute priority on influencing the 
development of non-cognitive factors. Non-cognitive factors may 
encompass many skills and behaviors, including but not limited to 
academic behaviors, academic mindset, perseverance, self-regulation, 
social and emotional skills, and approaches toward learning strategies. 
A promising body of research suggests that non-cognitive factors play 
an important role in students' academic, career, and life outcomes.\3\ 
Notably, some initial interventions focused on enhancing these skills 
and behaviors are seemingly scalable and lower-cost as compared to more 
conventional education interventions--and have a disproportionately 
positive impact on students most in need.\4\ As interest in this area 
grows, we think it is important to identify solutions and build 
evidence to determine effective ways to help students develop such 
skills and behaviors (e.g., interventions that directly target 
students, support changes in educators' instructional practices, or 
redesign learning environments), as well as how to measure such skills 
and behaviors in valid and reliable ways, and to demonstrate how 
improvement in such skills and behaviors affects overall student 
outcomes.
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    \3\ The University of Chicago Consortium of Chicago School 
Research (June 2012). Teaching Adolescents to Become Learners: The 
Role of Noncognitive Factors in Shaping School Performance. 
Available at: https://ccsr.uchicago.edu/sites/default/files/publications/Noncognitive%20Report.pdf.
    \4\ Walton, GM; Cohen, GL. (2011) A Brief Social-Belonging 
Intervention Improves Academic and Health Outcomes of Minority 
Students. Science, 331 (6023): 1447-1451. and Cohen, G.L., Garcia, 
J., Purdie-Vaugns, V., Apfel, N., & Brzustoski, P. (2009). Recursive 
processes in self-affirmation: Intervening to close the minority 
achievement gap. Science, 324, 400-403.
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    Fifth, we include an absolute priority that focuses on serving 
rural communities. Students living in rural communities face unique 
challenges. Applicants applying under this priority must also address 
one of the other four absolute priorities established for the FY 2015 
i3 Development competition, as described above, while serving students 
enrolled in rural LEAs (as defined in this notice).
    Finally, in order to expand the reach of the i3 program and 
encourage entities that have not previously received an i3 grant to 
apply, the Department includes a competitive preference priority for 
novice i3 applicants. A novice i3 applicant is an applicant that has 
never received a grant under the i3 program. An applicant must identify 
whether it is a novice applicant when completing the applicant 
information sheet. Instructions on how to complete the applicant 
information sheet are included in the application package.
    In summary, applications must address one of the first four 
absolute priorities for this competition and propose projects designed 
to implement practices that serve students who are in grades K-12 at 
some point during the funding period. If an applicant chooses to also 
address the absolute priority regarding students in rural LEAs, that 
applicant must also address one of the other four absolute priorities 
established for the FY 2015 i3 Development competition, as described 
above, while serving students enrolled in rural LEAs (as defined in 
this notice). Applicants must be able to demonstrate that the proposed 
process, product, strategy, or practice included in their applications 
is supported by either evidence of promise (as defined in this notice) 
or a strong theory (as defined in this notice). Applicants should 
carefully review all of the requirements in the Eligibility Information 
section of this notice for instructions on how to demonstrate the 
proposed project is supported by evidence of promise (as defined in 
this notice) or a strong theory (as defined in

[[Page 16651]]

this notice) and for information on the other eligibility and program 
requirements.
    The i3 program includes a statutory requirement for a private-
sector match for all i3 grantees. For Development grants, an applicant 
must obtain matching funds or in-kind donations from the private sector 
equal to at least 15 percent of its grant award. Each highest-rated 
applicant, as identified by the Department following peer review of the 
applications, must submit evidence of at least 50 percent of the 
required private-sector match prior to the awarding of an i3 grant. An 
applicant must provide evidence of the remaining 50 percent of the 
required private-sector match no later than three months after the 
project start date (i.e., for the FY 2015 competition, three months 
after January 1, 2016, or by April 1, 2016). The grant will be 
terminated if the grantee does not secure its private-sector match by 
the established deadline.
    This notice also includes selection criteria for the FY 2015 
Development competition that are designed to ensure that applications 
selected for funding have the best potential to generate substantial 
improvements in student achievement (and other key outcomes), and 
include well-articulated plans for the implementation and evaluation of 
the proposed projects. Applicants should review the selection criteria 
and submission instructions carefully to ensure their applications 
address this year's criteria.
    An entity that submits a full application for a Development grant 
must include the following information in its application: An estimate 
of the number of students to be served by the project; evidence of the 
applicant's ability to implement and appropriately evaluate the 
proposed project; and information about its capacity (e.g., management 
capacity, financial resources, qualified personnel) to implement the 
project at the proposed level of scale. We recognize that LEAs are not 
typically responsible for taking their processes, products, strategies, 
or practices to scale; however, all applicants can and should develop 
plans to potentially take them to scale, as well as partner with others 
to disseminate their effective processes, products, strategies, and 
practices.
    The Department will screen applications that are submitted for 
Development grants in accordance with the requirements in this notice 
and determine which applications meet eligibility and other 
requirements. Peer reviewers will review all applications for 
Development grants that are submitted by the established deadline.
    Applicants should note, however, that we may screen for eligibility 
at multiple points during the competition process, including before and 
after peer review; and applicants that are determined to be ineligible 
will not receive a grant award regardless of peer reviewer scores or 
comments. If we determine that a Development grant application is not 
supported by evidence of promise (as defined in this notice) or a 
strong theory (as defined in this notice), or that the applicant does 
not demonstrate the required prior record of improvement, or does not 
meet any other i3 requirement, the application will not be considered 
for funding.
    Priorities: This competition includes five absolute priorities and 
one competitive preference priority. Absolute Priorities 2 and 5 and 
the Competitive Preference Priority are from the notice of final 
priorities, requirements, definitions, and selection criteria for this 
program, published in the Federal Register on March 27, 2013 (78 FR 
18681) (the ``2013 i3 NFP''). Absolute Priorities 1, 3, and 4 are from 
the Department's notice of final supplemental priorities and 
definitions (Supplemental Priorities), published in the Federal 
Register on December 10, 2014 (79 FR 73425).
    Absolute Priorities: For FY 2015 and any subsequent year in which 
we make awards from the list of unfunded applicants from this 
competition, these priorities are absolute priorities. Under 34 CFR 
75.105(c)(3) we consider only applications that meet one of these 
priorities.
    Under the Development grant competition, each of the five absolute 
priorities constitutes its own funding category. The Secretary intends 
to award grants under each absolute priority for which applications of 
sufficient quality are submitted.
    An applicant for a Development grant must choose one of the five 
absolute priorities to address in its pre-application, and full 
application, if the applicant is invited to, or chooses to, submit a 
full application. Both pre-applications and full applications will be 
peer reviewed and scored; and because scores will be rank ordered by 
absolute priority, it is essential that an applicant clearly identify 
the specific absolute priority that the proposed project addresses. It 
is also important to note that applicants who choose to submit an 
application under the absolute priority for Serving Rural Communities 
must identify an additional absolute priority. Regardless, the peer-
reviewed scores for applications submitted under the Serving Rural 
Communities priority will be ranked with other applications under its 
priority, and not included in the ranking for the additional priority 
that the applicant identified. This design helps us ensure that 
applicants under the Serving Rural Communities priority receive an 
``apples to apples'' comparison with other rural applicants.
    These priorities are:

Absolute Priority 1-- Improving the Effectiveness of Principals

    Under this priority, we provide funding to projects that are 
designed to increase the number and percentage of highly effective 
principals by implementing practices or strategies that support 
districts in hiring, evaluating, supporting, and retaining effective 
principals.
    For the purposes of this priority, principal effectiveness must be 
measured using a high-quality principal evaluation and support system 
(as defined in this notice).

Absolute Priority 2--Improving Science, Technology, Engineering, and 
Mathematics (STEM) Education

    Under this priority, we provide funding to projects that address 
the following priority area:
    Expanding high-quality out-of-school and extended-day activities, 
including extending the day, week, or year, or before- or after- 
school, or summer learning programs, that provide students with 
opportunities for deliberate practice that increase STEM learning, 
engagement, and expertise.

Absolute Priority 3-- Leveraging Technology To Support Instructional 
Practice and Professional Development

    Under this priority, we provide funding to projects that are 
designed to leverage technology through using data platforms that 
enable the development, visualization, and rapid analysis of data to 
inform and improve learning outcomes, while also protecting privacy in 
accordance with applicable laws.

Absolute Priority 4--Influencing the Development of Non-Cognitive 
Factors

    Under this priority, we provide funding to projects that are 
designed to improve students' mastery of non-cognitive skills and 
behaviors (such as academic behaviors, academic mindset, perseverance, 
self-regulation, social and emotional skills, and approaches toward 
learning strategies) and enhance student motivation and engagement in 
learning.

Absolute Priority 5--Serving Rural Communities

    Under this priority, we provide funding to projects that address 
one of

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the absolute priorities established for the 2015 Development i3 
competition and under which the majority of students to be served are 
enrolled in rural local educational agencies (as defined in this 
notice).
    Competitive Preference Priority: For FY 2015 and any subsequent 
year in which we make awards from the list of unfunded applicants from 
this competition, this priority is a competitive preference priority. 
Under 34 CFR 75.105(c)(2)(i) we award an additional three points to an 
application that meets the competitive preference priority.
    The priority is:

Competitive Preference Priority--Supporting Novice i3 Applicants (Zero 
or 3 Points)

    Eligible applicants that have never directly received a grant under 
this program.
Definitions
    The definition for ``high-quality principal evaluation and support 
system'' is from the Supplemental Priorities. The definitions of 
``evidence of promise,'' ``logic model,'' ``national level,'' ``quasi-
experimental design study,'' ``randomized controlled trial,'' 
``regional level,'' ``relevant outcome,'' ``strong theory'' and ``What 
Works Clearinghouse Evidence Standards'' are from 34 CFR 77.1. All 
other definitions are from the 2013 i3 NFP. We may apply these 
definitions in any year in which this program is in effect.
    Consortium of schools means two or more public elementary or 
secondary schools acting collaboratively for the purpose of applying 
for and implementing an i3 grant jointly with an eligible nonprofit 
organization.
    Evidence of promise means there is empirical evidence to support 
the theoretical linkage(s) between at least one critical component and 
at least one relevant outcome presented in the logic model for the 
proposed process, product, strategy, or practice. Specifically, 
evidence of promise means the conditions in both paragraphs (i) and 
(ii) of this definition are met:
    (i) There is at least one study that is a--
    (A) Correlational study with statistical controls for selection 
bias;
    (B) Quasi-experimental design study that meets the What Works 
Clearinghouse Evidence Standards with reservations; or
    (C) Randomized controlled trial that meets the What Works 
Clearinghouse Evidence Standards with or without reservations.
    (ii) The study referenced in paragraph (i) of this definition found 
a statistically significant or substantively important (defined as a 
difference of 0.25 standard deviations or larger) favorable association 
between at least one critical component and one relevant outcome 
presented in the logic model for the proposed process, product, 
strategy, or practice.
    High-minority school is defined by a school's LEA in a manner 
consistent with the corresponding State's Teacher Equity Plan, as 
required by section 1111(b)(8)(C) of the Elementary and Secondary 
Education Act of 1965, as amended (ESEA). The applicant must provide, 
in its i3 application, the definition(s) used.
    High-need student means a student at risk of educational failure or 
otherwise in need of special assistance and support, such as students 
who are living in poverty, who attend high-minority schools (as defined 
in this notice), who are far below grade level, who have left school 
before receiving a regular high school diploma, who are at risk of not 
graduating with a diploma on time, who are homeless, who are in foster 
care, who have been incarcerated, who have disabilities, or who are 
English learners.
    High school graduation rate means a four-year adjusted cohort 
graduation rate consistent with 34 CFR 200.19(b)(1) and may also 
include an extended-year adjusted cohort graduation rate consistent 
with 34 CFR 200.19(b)(1)(v) if the State in which the proposed project 
is implemented has been approved by the Secretary to use such a rate 
under Title I of the ESEA.
    High-quality principal evaluation and support system means a system 
that provides for continuous improvement of instruction; differentiates 
performance using at least three performance levels; uses multiple 
valid measures to determine performance levels, including data on 
Student Growth as a significant factor and other measures of 
professional practice; evaluates principals on a regular basis; 
provides clear and timely feedback that identifies needs and guides 
professional development; is developed with teacher and principal 
involvement; and is used to inform personnel decisions.
    Independent evaluation means that the evaluation is designed and 
carried out independent of, but in coordination with, any employees of 
the entities who develop a process, product, strategy, or practice and 
are implementing it.
    Innovation means a process, product, strategy, or practice that 
improves (or is expected to improve) significantly upon the outcomes 
reached with status quo options and that can ultimately reach 
widespread effective usage.
    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.
    National level describes the level of scope or effectiveness of a 
process, product, strategy, or practice that is able to be effective in 
a wide variety of communities, including rural and urban areas, as well 
as with different groups (e.g., economically disadvantaged, racial and 
ethnic groups, migrant populations, individuals with disabilities, 
English learners, and individuals of each gender).
    Nonprofit organization means an entity that meets the definition of 
``nonprofit'' under 34 CFR 77.1(c), or an institution of higher 
education as defined by section 101(a) of the Higher Education Act of 
1965, as amended.
    Quasi-experimental design study means a study using a design that 
attempts to approximate an experimental design by identifying a 
comparison group that is similar to the treatment group in important 
respects. These studies, depending on design and implementation, can 
meet What Works Clearinghouse Evidence Standards with reservations (but 
not What Works Clearinghouse Evidence Standards without reservations).
    Randomized controlled trial means a study that employs random 
assignment of, for example, students, teachers, classrooms, schools, or 
districts to receive the intervention being evaluated (the treatment 
group) or not to receive the intervention (the control group). The 
estimated effectiveness of the intervention is the difference between 
the average outcomes for the treatment group and for the control group. 
These studies, depending on design and implementation, can meet What 
Works Clearinghouse Evidence Standards without reservations.
    Regional level describes the level of scope or effectiveness of a 
process, product, strategy, or practice that is able to serve a variety 
of communities within a State or multiple States, including rural and 
urban areas, as well as with different groups (e.g., economically 
disadvantaged, racial and ethnic groups, migrant populations, 
individuals with disabilities, English learners, and individuals of 
each gender). For an LEA-based project to be considered a

[[Page 16653]]

regional-level project, a process, product, strategy, or practice must 
serve students in more than one LEA, unless the process, product, 
strategy, or practice is implemented in a State in which the State 
educational agency is the sole educational agency for all schools.
    Relevant outcome means the student outcome(s) (or the ultimate 
outcome if not related to students) the proposed process, product, 
strategy or practice is designed to improve; consistent with the 
specific goals of a program.
    Rural local educational agency means a local educational agency 
(LEA) that is eligible under the Small Rural School Achievement (SRSA) 
program or the Rural and Low-Income School (RLIS) program authorized 
under Title VI, Part B of the ESEA. Eligible applicants may determine 
whether a particular LEA is eligible for these programs by referring to 
information on the Department's Web site at www2.ed.gov/nclb/freedom/local/reap.html.
    Strong theory means a rationale for the proposed process, product, 
strategy, or practice that includes a logic model (as defined in this 
notice).
    Student achievement means--
    (a) For grades and subjects in which assessments are required under 
ESEA section 1111(b)(3): (1) A student's score on such assessments and 
may include (2) other measures of student learning, such as those 
described in paragraph (b), provided they are rigorous and comparable 
across schools within an LEA.
    (b) For grades and subjects in which assessments are not required 
under ESEA section 1111(b)(3): Alternative measures of student learning 
and performance such as student results on pre-tests, end-of-course 
tests, and objective performance-based assessments; student learning 
objectives; student performance on English language proficiency 
assessments; and other measures of student achievement that are 
rigorous and comparable across schools within an LEA.
    Student growth means the change in student achievement (as defined 
in this notice) for an individual student between two or more points in 
time. An applicant may also include other measures that are rigorous 
and comparable across classrooms.
    What Works Clearinghouse Evidence Standards means the standards set 
forth in the What Works Clearinghouse Procedures and Standards Handbook 
(Version 3.0, March 2014), which can be found at the following link: 
http://ies.ed.gov/ncee/wwc/DocumentSum.aspx?sid=19.

    Program Authority: American Recovery and Reinvestment Act of 
2009, Division A, Section 14007, Pub. L. 111-5.

    Applicable Regulations: (a) EDGAR in 34 CFR parts 75, 77, 79, 81, 
82, 84, 86, 97, 98, and 99. (b) The Office of Management and Budget 
Guidelines to Agencies on Governmentwide Debarment and Suspension 
(Nonprocurement) in 2 CFR part 180, as adopted and amended as 
regulations of the Department in 2 CFR part 3485. (c) The Uniform 
Administrative Requirements, Cost Principles, and Audit Requirements 
for Federal Awards in 2 CFR part 200, as adopted and amended in 2 CFR 
part 3474. (d) 2013 i3 NFP (78 FR 18681). (e) The Supplemental 
Priorities (79 FR 73425).

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


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

II. Award Information

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

Estimated Range of Awards

    Development grants: Up to $3,000,000.
    Validation grants: Up to $12,000,000.
    Scale-up grants: Up to $20,000,000.

    Note:  The upper limit of the range of awards (e.g., $3,000,000 
for development grants) is referred to as the ``maximum amount of 
awards'' in section 5 of this notice.

Estimated Average Size of Awards

    Development grants: $3,000,000.
    Validation grants: $11,500,000.
    Scale-up grants: $19,000,000.

Estimated Number of Awards

    Development grants: 9-11 awards.
    Validation grants: 2-4 awards.
    Scale-up grants: 0-1 awards.

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

    Project Period: 36-60 months.

III. Eligibility Information

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

[[Page 16654]]

the LEAs with which the nonprofit organization will partner, or the 
names of the schools in the consortium with which it will partner. If 
an eligible applicant that includes a nonprofit organization intends to 
partner with additional LEAs or schools that are not named in the 
application, it must describe in the application the demographic and 
other characteristics of these LEAs and schools and the process it will 
use to select them.

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


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


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

    In addition, the authorizing statute specifies that an eligible 
applicant that includes a nonprofit organization meets the requirements 
of paragraph (c) of the eligibility requirements in this notice if the 
eligible applicant demonstrates that it will meet the requirement for 
private-sector matching.
    4. Cost Sharing or Matching: To be eligible for an award, an 
applicant must demonstrate that one or more private-sector 
organizations, which may include philanthropic organizations, will 
provide matching funds in order to help bring project results to scale. 
An eligible Development applicant must obtain matching funds, or in-
kind donations, equal to at least 15 percent of its Federal grant 
award. The highest-rated eligible applicants must submit evidence of 50 
percent of the required private-sector matching funds following the 
peer review of applications. A Federal i3 award will not be made unless 
the applicant provides adequate evidence that the 50 percent of the 
required private-sector match has been committed or the Secretary 
approves the eligible applicant's request to reduce the matching-level 
requirement. An applicant must provide evidence of the remaining 50 
percent of required private-sector match three months after the project 
start date.
    The Secretary may consider decreasing the matching requirement on a 
case-by-case basis, and only in the most exceptional circumstances. An 
eligible applicant that anticipates being unable to meet the full 
amount of the private-sector matching requirement must include in its 
application a request that the Secretary reduce the matching-level 
requirement, along with a statement of the basis for the request.

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

    5. Other: The Secretary establishes the following requirements for 
the i3 program. These requirements are from the 2013 i3 NFP. We may 
apply these requirements in any year in which this program is in 
effect.
    <bullet> Evidence Standards: To be eligible for an award, an 
application for a Development grant must be supported by evidence of 
promise (as defined in this notice) or a strong theory (as defined in 
this notice). Applicants must identify in Appendix D and the Applicant 
Information Sheet if their evidence is supported by evidence of promise 
or a strong theory.

    Note:  In Appendix D, under the ``Other Attachments Form,'' an 
entity that submits a full application should provide information 
addressing one of the required evidence standards for Development 
grants. This information should include a description of the 
intervention(s) the applicant plans to implement and the intended 
student outcomes that the intervention(s) attempts to impact.

    Applicants must identify in Appendix D and the Applicant 
Information Sheet if their evidence is supported by evidence of promise 
or a strong theory. An applicant submitting its Development grant 
application under the evidence of promise standard should identify up 
to two study citations to be reviewed for the purposes of meeting the 
i3 evidence standard requirement and include those citations in 
Appendix D. In addition, the applicant should specify the intervention 
that they plan to implement, the findings within the citations that the 
applicant is requesting be considered as evidence of promise, including 
page number(s) of specific tables if applicable. The Department will 
not consider a study citation that an applicant fails to clearly 
identify for review.
    An applicant must either ensure that all evidence is available to 
the Department from publicly available sources and provide links or 
other guidance indicating where it is available; or, in the full 
application, include copies of evidence in Appendix D. If the 
Department determines that an applicant has provided insufficient 
information, the applicant will not have an opportunity to provide 
additional information at a later time.

    Note: The evidence standards apply to the prior research that 
supports the effectiveness of the proposed project. The i3 program 
does not restrict the source of prior research providing evidence 
for the proposed project. As such, an applicant could cite prior 
research in Appendix D for studies that were conducted by another 
entity (i.e., an entity that is not the applicant) so long as the 
prior research studies cited in the application are relevant to the 
effectiveness of the proposed project. If an applicant applies under 
the evidence of promise standard but does not meet it, their 
application will not be reviewed under the strong theory standard.

    <bullet> Funding Categories: An applicant will be considered for an 
award only for the type of i3 grant (i.e., Development, Validation, and 
Scale-up grants) for which it applies. An applicant may not submit an 
application for the same proposed project under more than one type of 
grant.
    <bullet> Limit on Grant Awards: (a) No grantee may receive more 
than two new grant awards of any type under the i3 program in a single 
year; (b) in any two-year period, no grantee may receive more than one 
new Scale-up or Validation grant; and (c) no grantee may receive in a 
single year new i3 grant awards that total an amount greater than the 
sum of the maximum amount of funds for a Scale-up grant and the maximum 
amount of funds for a Development grant for that year. For example, in 
a year when the maximum award value for a Scale-up grant is $20 million 
and the maximum award value

[[Page 16655]]

for a Development grant is $3 million, no grantee may receive in a 
single year new grants totaling more than $23 million.
    <bullet> Subgrants: In the case of an eligible applicant that is a 
partnership between a nonprofit organization and (1) one or more LEAs 
or (2) a consortium of schools, the partner serving as the applicant 
and, if funded, as the grantee, may make subgrants to one or more 
entities in the partnership.
    <bullet> Evaluation: The grantee must conduct an independent 
evaluation (as defined in this notice) of its project. This evaluation 
must estimate the impact of the i3-supported practice (as implemented 
at the proposed level of scale) on a relevant outcome (as defined in 
this notice). The grantee must make broadly available digitally and 
free of charge, through formal (e.g., peer-reviewed journals) or 
informal (e.g., newsletters) mechanisms, the results of any evaluations 
it conducts of its funded activities.
    In addition, the grantee and its independent evaluator must agree 
to cooperate with any technical assistance provided by the Department 
or its contractor and comply with the requirements of any evaluation of 
the program conducted by the Department. This includes providing to the 
Department, within 100 days of a grant award, an updated comprehensive 
evaluation plan in a format and using such tools as the Department may 
require. Grantees must update this evaluation plan at least annually to 
reflect any changes to the evaluation. All of these updates must be 
consistent with the scope and objectives of the approved application.
    <bullet> Communities of Practice: Grantees must participate in, 
organize, or facilitate, as appropriate, communities of practice for 
the i3 program. A community of practice is a group of grantees that 
agrees to interact regularly to solve a persistent problem or improve 
practice in an area that is important to them.
    <bullet> Management Plan: Within 100 days of a grant award, the 
grantee must provide an updated comprehensive management plan for the 
approved project in a format and using such tools as the Department may 
require. This management plan must include detailed information about 
implementation of the first year of the grant, including key 
milestones, staffing details, and other information that the Department 
may require. It must also include a complete list of performance 
metrics, including baseline measures and annual targets. The grantee 
must update this management plan at least annually to reflect 
implementation of subsequent years of the project.

IV. Application and Submission Information

    1. Address to Request Application Package: You can obtain an 
application package via the Internet or from the Education Publications 
Center (ED Pubs). To obtain a copy via the Internet, use the following 
address: www2.ed.gov/programs/innovation/index.html. To obtain a copy 
from ED Pubs, write, fax, or call the following: ED Pubs, U.S. 
Department of Education, P.O. Box 22207, Alexandria, VA 22304. 
Telephone, toll free: 1-877-433-7827. FAX: (703) 605-6794.
    If you use a telecommunications device for the deaf (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: <a href="/cdn-cgi/l/email-protection#690c0d191c0b1a2900070c1d470c0d470e061f"><span class="__cf_email__" data-cfemail="7015140005120330191e15045e15145e171f06">[email protected]</span></a>.
    If you request an application package from ED Pubs, be sure to 
identify this program or competition as follows: CFDA number 84.411P 
(for pre-applications) or 84.411C (for full applications).
    Individuals with disabilities can obtain a copy of the application 
package in an accessible format (e.g., Braille, large print, audiotape, 
or compact disc) by contacting the person or team listed under 
Accessible Format in section VIII of this notice.
    2.a. Content and Form of Application Submission: Requirements 
concerning the content of an application, together with the forms you 
must submit, are in the application package for this competition.
    Deadline for Notice of Intent to Submit Application: April 20, 
2015.
    We will be able to develop a more efficient process for reviewing 
grant applications if we know the approximate number of applicants that 
intend to apply for funding under this competition. Therefore, the 
Secretary strongly encourages each potential applicant to notify us of 
the applicant's intent to submit an application by completing a Web-
based form. When completing this form, applicants will provide (1) the 
applicant organization's name and address and (2) the one absolute 
priority the applicant intends to address. Applicants may access this 
form online at https://www.surveymonkey.com/s/9QXGZS7. Applicants that 
do not complete this form may still submit a pre-application. Page 
Limit: For the pre-application, the project narrative is where you, the 
applicant, address the selection criteria that reviewers use to 
evaluate your pre-application. For the full application, the project 
narrative (Part III of the application) is where you, the applicant, 
address the selection criteria that reviewers use to evaluate your full 
applications.
    Pre-Application page limit: Applicants should limit the pre-
application narrative to no more than seven pages.
    Full-Application page limit: Applicants submitting a full 
application should limit the application narrative [Part III] for a 
Development grant application to no more than 25 pages. Applicants are 
also strongly encouraged not to include lengthy appendices for the full 
application that contain information that they were unable to include 
in the narrative. Aside from the required forms, applicants should not 
include appendices in their pre-applications. Applicants for both pre- 
and full applications should use the following standards:
    <bullet> A ``page'' is 8.5'' x 11'', on one side only, with 1'' 
margins at the top, bottom, and both sides.
    <bullet> Double space (no more than three lines per vertical inch) 
all text in the application narrative, including titles, headings, 
footnotes, quotations, references, and captions.
    <bullet> Use a font that is either 12 point or larger or no smaller 
than 10 pitch (characters per inch).
    <bullet> Use one of the following fonts: Times New Roman, Courier, 
Courier New, or Arial.
    The page limit for the full application does not apply to Part I, 
the cover sheet; Part II, the budget section, including the narrative 
budget justification; Part IV, the assurances and certifications; or 
the one-page abstract, the resumes, the bibliography, or the letters of 
support for the full application. However, the page limit does apply to 
all of the application narrative section [Part III] of the full 
application.
    b. Submission of Proprietary Information:
    Given the types of projects that may be proposed in applications 
for the i3 program, some applications may include business information 
that applicants consider proprietary. The Department's regulations 
define ``business information'' in 34 CFR 5.11.
    Consistent with the process followed in the prior i3 competitions, 
we plan on posting the project narrative section of funded i3 
applications on the Department's Web site so you may wish to request 
confidentiality of business information. Identifying proprietary 
information in the submitted application will help facilitate this 
public disclosure process.

[[Page 16656]]

    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:
    Pre-Applications Available: April 1, 2015.
    Deadline for Notice of Intent to Submit Pre-Application: April 20, 
2015.
    Informational Meetings: The i3 program intends to hold Webinars 
designed to provide technical assistance to interested applicants for 
all three types of grants. Detailed information regarding these 
meetings will be provided on the i3 Web site at www2.ed.gov/programs/innovation/index.html.
    Deadline for Transmittal of Pre-Applications: April 29, 2015.
    Deadline for Transmittal of Full Applications: The Department will 
announce on its Web site the deadline date for transmission of full 
applications for Development grants. Under the pre-application process, 
peer reviewers will read and score the shorter pre-application against 
an abbreviated set of selection criteria, and entities that submit 
highly rated pre-applications will be invited to submit full 
applications for a Development grant. Other pre-applicants may choose 
to submit a full application.
    Pre- and full applications for Development grants under this 
competition must be submitted electronically using the Grants.gov Apply 
site (Grants.gov). For information (including dates and times) about 
how to submit your application electronically, or in paper format by 
mail or hand delivery if you qualify for an exception to the electronic 
submission requirement, please refer to section IV. 7. Other Submission 
Requirements of this notice.
    We do not consider an application that does not comply with the 
deadline requirements.
    Individuals with disabilities who need an accommodation or 
auxiliary aid in connection with the application process should contact 
the person listed under 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.
    Deadline for Intergovernmental Review of Full Applications: 60 
calendar days after the deadline date for transmittal of full 
applications.
    4. Intergovernmental Review: This competition is subject to 
Executive Order 12372 and the regulations in 34 CFR part 79. 
Information about Intergovernmental Review of Federal Programs under 
Executive Order 12372 is in the application package for this 
competition.
    5. Funding Restrictions: We reference regulations outlining funding 
restrictions in the Applicable Regulations section of this notice.
    6. Data Universal Numbering System Number, Taxpayer Identification 
Number, and System for Award Management: To do business with the 
Department of Education, you must--
    a. Have a Data Universal Numbering System (DUNS) number and a 
Taxpayer Identification Number (TIN);
    b. Register both your DUNS number and TIN with the System for Award 
Management (SAM) (formerly the Central Contractor Registry (CCR)), the 
Government's primary registrant database;
    c. Provide your DUNS number and TIN on your application; and
    d. Maintain an active SAM registration with current information 
while your application is under review by the Department and, if you 
are awarded a grant, during the project period.
    You can obtain a DUNS number from Dun and Bradstreet. A DUNS number 
can be created within one to two business days.
    If you are a corporate entity, agency, institution, or 
organization, you can obtain a TIN from the Internal Revenue Service. 
If you are an individual, you can obtain a TIN from the Internal 
Revenue Service or the Social Security Administration. If you need a 
new TIN, please allow two 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 for the 
i3 program must be submitted electronically unless you qualify for an 
exception to this requirement in accordance with the instructions in 
this section.

a. Electronic Submission of Applications

    Applications (both pre- and full applications) for Development 
grants under the i3 program, CFDA Number 84.411P (pre-applications) and 
CFDA Number 84.411C (full applications), must be submitted 
electronically using the Governmentwide Grants.gov Apply site at 
www.Grants.gov. Through this site, you will be able to download a copy 
of the application package, complete it offline, and then upload and 
submit your application. You may not email an electronic copy of a 
grant application to us.
    We will reject your application if you submit it in paper format 
unless, as described elsewhere in this section, you qualify for one of 
the exceptions to the electronic submission requirement and submit, no 
later than two weeks before the application deadline date, a written 
statement to the Department that you qualify for one of these 
exceptions. Further information regarding calculation of the date that 
is two weeks before the application deadline date is provided later in 
this section under Exception to Electronic Submission Requirement.
    You may access the electronic grant application for the i3 program 
at

[[Page 16657]]

www.Grants.gov. You must search for the downloadable application 
package for this competition by the CFDA number. Do not include the 
CFDA number's alpha suffix in your search (e.g., search for 84.411, not 
84.411P or 84.411C).
    Please note the following:
    <bullet> 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.
    <bullet> 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.
    <bullet> The amount of time it can take to upload an application 
will vary depending on a variety of factors, including the size of the 
application and the speed of your Internet connection. Therefore, we 
strongly recommend that you do not wait until the application deadline 
date to begin the submission process through Grants.gov.
    <bullet> 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.
    <bullet> 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.
    <bullet> 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.
    <bullet> You must upload any narrative sections and all other 
attachments to your application as files in a PDF (Portable Document) 
read-only, non-modifiable format. Do not upload an interactive or 
fillable PDF file. If you upload a file type other than a read-only, 
non-modifiable PDF or submit a password-protected file, we will not 
review that material.
    <bullet> Your electronic application must comply with any page-
limit requirements described in this notice.
    <bullet> After you electronically submit your application, you will 
receive from Grants.gov an automatic notification of receipt that 
contains a Grants.gov tracking number. (This notification indicates 
receipt by Grants.gov only, not receipt by the Department.) The 
Department then will retrieve your application from Grants.gov and send 
a second notification to you by email. This second notification 
indicates that the Department has received your application and has 
assigned your application a PR/Award number (an ED-specified 
identifying number unique to your application).
    <bullet> 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--
    <bullet> You do not have access to the Internet; or
    <bullet> You do not have the capacity to upload large documents to 
the Grants.gov system; and
    <bullet> No later than two weeks before the application deadline 
date (14 calendar days or, if the fourteenth calendar day before the 
application deadline date falls on a Federal holiday, the next business 
day following the Federal holiday), you mail or fax a written statement 
to the Department, explaining which of the two grounds for an exception 
prevents you from using the Internet to submit your application.
    If you mail your written statement to the Department, it must be 
postmarked no later than two weeks before the application deadline 
date. If you fax your written statement to the Department, we must 
receive the faxed statement no later than two weeks before the 
application deadline date.
    Address and mail or fax your statement to: Kelly Terpak, U.S. 
Department of Education, 400 Maryland Avenue SW., Room 4C107, 
Washington, DC 20202-5930. FAX: (202) 205-5631.
    Your paper application must be submitted in accordance with the 
mail or hand delivery instructions described in this notice.

 b. Submission of Paper Applications by Mail

    If you qualify for an exception to the electronic submission 
requirement, you may mail (through the U.S. Postal Service or a 
commercial carrier) your application to the Department. You must mail 
the original and two copies of your application, on or before the 
application deadline date, to the

[[Page 16658]]

Department at the following address: U.S. Department of Education, 
Application Control Center, Attention: (CFDA Number 84.411C or 
84.411P), LBJ Basement Level 1, 400 Maryland Avenue SW., Washington, DC 
20202-4260.

    Note: Entities submitting pre-applications for Development 
grants will use CFDA Number 84.411P, and entities submitting full 
applications for Development grants will use CFDA Number 84.411C.

    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 84.411C or 84.411P), 550 12th Street SW., Room 7039, 
Potomac Center Plaza, Washington, DC 20202-4260.

    Note: Entities submitting pre-applications for Development 
grants will use 84.411P, and entities submitting full applications 
for Development grants will use 84.411C.

    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: This competition has separate selection 
criteria for pre-applications and full applications. The selection 
criteria for the Development competition are from the 2013 i3 NFP and 
34 CFR 75.210, and are listed below.
    The points assigned to each criterion are indicated in the 
parentheses next to the criterion. An applicant may earn up to a total 
of 20 points based on the selection criteria for the pre-application. 
An applicant may earn up to a total of 100 points based on the 
selection criteria for the full application.

    Note: An applicant must provide information on how its proposed 
project addresses the selection criteria in the project narrative 
section of its application. In responding to the selection criteria, 
applicants submitting both pre- and full applications should keep in 
mind that peer reviewers may consider only the information provided 
in the written application when scoring and commenting on the 
application. Therefore, applicants should draft their responses with 
the goal of helping peer reviewers understand the following:
    <bullet> What the applicant is proposing to do, including the 
absolute priority under which the applicant intends the application 
to be reviewed;
    <bullet> How the proposed project will improve upon existing 
processes, products, strategies, or practices for addressing similar 
needs;
    <bullet> What the outcomes of the project will be if it is 
successful; and
    <bullet> What procedures are in place for ensuring feedback and 
continuous improvement in the operation of the proposed project.

Selection Criteria for the Development Grant Pre-Application

A. Significance (Up to 10 Points)
    In determining the significance of the project, the Secretary 
considers the extent to which the proposed project involves the 
development or demonstration of promising new strategies that build on, 
or are alternatives to, existing strategies. (34 CFR 75.210)
B. Quality of Project Design (Up to 10 Points)
    In determining the quality of the proposed project design, the 
Secretary considers the extent to which the goals, objectives, and 
outcomes to be achieved by the project are clearly specified and 
measured. (34 CFR 75.210)

Selection Criteria for the Development Grant Full Application

A. Significance (Up to 35 Points)
    In determining the significance of the project, the Secretary 
considers the following factors:
    (1) The extent to which the proposed project involves the 
development or demonstration of promising new strategies that build on, 
or are alternatives to, existing strategies.
    (2) The national significance of the proposed project.
    (3) The potential replicability of the proposed project or 
strategies, including, as appropriate, the potential for implementation 
in a variety of settings. (34 CFR 75.210)
 B. Quality of the Project Design and Management Plan (Up to 45 Points)
    In determining the quality of the proposed project design, the 
Secretary considers the following factors:
    (1) The extent to which the goals, objectives, and outcomes to be 
achieved by the project are clearly specified and measurable.
    (2) The adequacy of the management plan to achieve the objectives 
of the proposed project on time and within budget, including clearly 
defined responsibilities, timelines, and milestones for accomplishing 
project tasks.
    (3) The adequacy of procedures for ensuring feedback and continuous 
improvement in the operation of the proposed project.
    (4) The mechanisms the applicant will use to broadly disseminate 
information on its project so as to support further development or 
replication. (34 CFR 75.210)
 C. Quality of Project Evaluation (Up to 20 Points)
    In determining the quality of the project evaluation to be 
conducted, the Secretary considers the following factors:
    (1) The clarity and importance of the key questions to be addressed 
by the project evaluation, and the appropriateness of the methods for 
how each question will be addressed. (2013 i3 NFP)
    (2) The extent to which the methods of evaluation will, if well-
implemented,

[[Page 16659]]

produce evidence about the project's effectiveness that would meet the 
What Works Clearinghouse Evidence Standards with reservations. (34 CFR 
75.210)
    (3) The extent to which the proposed project plan includes 
sufficient resources to carry out the project evaluation effectively. 
(2013 i3 NFP)

    Note: Applicants are encouraged to design an evaluation that 
will report findings on English Learners, students with 
disabilities, and other subgroups. Additionally, applicants may wish 
to review the following technical assistance resources on 
evaluation: (1) WWC Procedures and Standards Handbook: http://ies.ed.gov/ncee/wwc/references/idocviewer/doc.aspx?docid=19&tocid=1; 
and (2) IES/NCEE Technical Methods papers: http://ies.ed.gov/ncee/tech_methods/. In addition, we invite applicants to view an optional 
Webinar recording that was hosted by the Institute of Education 
Sciences on March 3, 2015. This Webinar discussed strategies for 
designing and executing well-designed quasi-experimental design 
studies. Applicants interested in viewing this Webinar may find more 
information at the following Web site: http://ies.ed.gov/ncee/wwc/news.aspx?sid=23.

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

VI. Award Administration Information

    1. Award Notices: If your application is successful, we notify your 
U.S. Representative and U.S. Senators and send you a Grant Award 
Notification (GAN); or we may send you an email containing a link to 
access an electronic version of your GAN. We may notify you informally, 
also.
    If your application is not evaluated or not selected for funding, 
we notify you.
    2. Administrative and National Policy Requirements: We identify 
administrative and national policy requirements in the application 
package and reference these and other requirements in the Applicable 
Regulations section of this notice.
    We reference the regulations outlining the terms and conditions of 
an award in the Applicable Regulations section of this notice and 
include these and other specific conditions in the GAN. The GAN also 
incorporates your approved application as part of your binding 
commitments under the grant.
    3. Reporting: (a) If you apply for a grant under this competition, 
you must ensure that you have in place the necessary processes and 
systems to comply with the reporting requirements in 2 CFR part 170 
should you receive funding under the competition. This does not apply 
if you have an exception under 2 CFR 170.110(b).
    (b) At the end of your project period, you must submit a final 
performance report, including financial information, as directed by the 
Secretary. If you receive a multi-year award, you must submit an annual 
performance report that provides the most current performance and 
financial expenditure information as directed by the Secretary under 34 
CFR 75.118. The Secretary may also require more frequent performance 
reports under 34 CFR 75.720(c). For specific requirements on reporting, 
please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.
    4. Performance Measures: The overall purpose of the i3 program is 
to expand the implementation of, and investment in, innovative 
practices that are demonstrated to have an impact on improving student 
achievement or student growth for high-need students. We have 
established several performance measures for the i3 Development grants.
    Short-term performance measures: (1) The percentage of grantees 
whose projects are being implemented with fidelity to the approved 
design; (2) the percentage of programs, practices, or strategies 
supported by a Development grant with ongoing evaluations that provide 
evidence of their promise for improving student outcomes; (3) the 
percentage of programs, practices, or strategies supported by a 
Development grant with ongoing evaluations that are

[[Page 16660]]

providing high-quality implementation data and performance feedback 
that allow for periodic assessment of progress toward achieving 
intended outcomes; and (4) the cost per student actually served by the 
grant.
    Long-term performance measures: (1) The percentage of programs, 
practices, or strategies supported by a Development grant with a 
completed evaluation that provides evidence of their promise for 
improving student outcomes; (2) the percentage of programs, practices, 
or strategies supported by a Development grant with a completed 
evaluation that provides information about the key elements and 
approach of the project so as to facilitate further development, 
replication, or testing in other settings; and (3) the cost per student 
for programs, practices, or strategies that were proven promising at 
improving educational outcomes for students.
    5. Continuation Awards: In making a continuation award under 34 CFR 
75.253, the Secretary considers, among other things: Whether a grantee 
has made substantial progress in achieving the goals and objectives of 
the project; whether the grantee has expended funds in a manner that is 
consistent with its approved application and budget; and, if the 
Secretary has established performance measurement requirements, the 
performance targets in the grantee's approved application. In making a 
continuation grant, the Secretary also considers whether the grantee is 
operating in compliance with the assurances in its approved 
application, including those applicable to Federal civil rights laws 
that prohibit discrimination in programs or activities receiving 
Federal financial assistance from the Department (34 CFR 100.4, 104.5, 
106.4, 108.8, and 110.23).

VII. Agency Contact

FOR FURTHER INFORMATION CONTACT: Kelly Terpak, U.S. Department of 
Education, 400 Maryland Avenue SW., Room 4C107, Washington, DC 20202-
5930. Telephone: (202) 453-7122. FAX: (202) 205-5631 or by email: 
<a href="/cdn-cgi/l/email-protection#365f0576535218515940"><span class="__cf_email__" data-cfemail="3a53097a5f5e145d554c">[email protected]</span></a>.
    If you use a TDD or a TTY, call the Federal Relay Service, toll 
free, at 1-800-877-8339.

VIII. Other Information

    Accessible Format: Individuals with disabilities can obtain this 
document and a copy of the application package in an accessible format 
(e.g., Braille, large print, audiotape, or compact disc) on request to 
either program contact person listed under 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.

    Dated: March 25, 2015.
Nadya Chinoy Dabby,
Associate Assistant Deputy Secretary for Innovation and Improvement.
[FR Doc. 2015-07213 Filed 3-27-15; 8:45 am]
 BILLING CODE 4000-01-P


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