[Federal Register Volume 81, Number 241 (Thursday, December 15, 2016)]
[Notices]
[Pages 90797-90808]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-30086]
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DEPARTMENT OF EDUCATION
Applications for New Awards; Education Innovation and Research
Program--Expansion Grants
AGENCY: Office of Innovation and Improvement, Department of Education.
ACTION: Notice.
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Overview Information
Education Innovation and Research Program--Expansion Grants.
Notice inviting applications for new awards for fiscal year (FY)
2017.
Catalog of Federal Domestic Assistance (CFDA) Number: 84.411A
(Expansion Grants).
Dates: Applications Available: December 19, 2016.
Deadline for Notice of Intent to Apply: February 13, 2017.
Deadline for Transmittal of Applications: April 13, 2017.
Deadline for Intergovernmental Review: June 13, 2017.
Full Text of Announcement
I. Funding Opportunity Description
Purpose of Program: The Education Innovation and Research (EIR)
Program, established under section 4611 of the Elementary and Secondary
Education Act (ESEA), as amended by Every Student Succeeds Act (ESSA),
provides funding to create, develop, implement, replicate, or take to
scale
[[Page 90798]]
entrepreneurial, evidence-based, field-initiated innovations to improve
student achievement (as defined in this notice) and attainment for
high-need students (as defined in this notice); and rigorously evaluate
such innovations. The EIR 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 EIR 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, with the expectation that projects that build this
evidence will advance through EIR's grant tiers. Applicants proposing
innovative practices (as defined in this notice) that are supported by
limited evidence can receive relatively small grants to support the
development, iteration and initial evaluation of the practices;
applicants proposing practices supported by evidence from rigorous
evaluations, such as large randomized controlled trials (as defined in
this notice), can receive larger grant awards to support expansion
across the country. This structure provides incentives for applicants
to: (1) Explore new ways of addressing persistent challenges that other
educators can build on and learn from; (2) build evidence of
effectiveness of their practices; and (3) replicate and scale
successful practices in new schools, districts, and states while
addressing the barriers to scale, such as cost structures and
implementation fidelity.
All EIR projects are expected to generate information regarding
their effectiveness in order to inform EIR grantees' efforts to learn
about and improve upon their efforts, and to help similar, non-EIR
efforts across the country benefit from EIR grantees' knowledge. By
requiring that all grantees conduct independent evaluations of their
EIR projects, EIR ensures that its funded projects make a significant
contribution to improving the quality and quantity of information
available to practitioners and policymakers about which practices
improve student achievement, for which types of students, and in what
contexts.
The Department of Education (Department) awards three types of
grants under this program: ``Early-phase'' grants, ``Mid-phase''
grants, and ``Expansion'' grants. These grants differ in terms of the
level of prior evidence of effectiveness required for consideration for
funding, the expectations regarding the kind of evidence and
information funded projects should produce, the level of scale that
funded projects should reach, and, consequently, the amount of funding
available to support each type of project.
Expansion grants provide funding for grantees to scale projects
that are supported by strong evidence (as defined in this notice) for
at least one population and setting and thus are ready to be
implemented at the national level (as defined in this notice). This
notice invites applications for Expansion grants only. The notices
inviting applications for Early-phase and Mid-phase grants are
published elsewhere in this issue of the Federal Register.
Background: EIR builds on seven years of investments--over $1.4
billion, matched by over $200 million in private sector resources--from
the Department's Investing in Innovation (i3). i3 has generated new
information regarding effective educational practices and increased
evaluators' capacity to conduct rigorous evaluations of student
learning outcomes that provide actionable information for educators.
EIR is designed expand on the successes of i3 to offer new
opportunities for States, districts, schools, and educators to develop
innovations and scale effective practices that address their most
pressing challenges.
EIR Expansion grants are expected to scale practices that have
prior evidence of effectiveness, in order to improve outcomes for high-
need students. They should also be expected to generate important
information about educational practices (e.g., in what contexts does
the practice work best? Where does it not work as well? What components
of the practice are most critical to its success?). Expansion grants
are uniquely positioned to help answer critical questions about the
process of scaling a practice across geographies (e.g., how does or
should the cost structure of a practice change as it scales? What are
ways to facilitate implementation fidelity without making scaling too
onerous?). Given that Expansion grants (as with all EIR grants) focus
on improving outcomes for high-need students, they are a critical
resource for practitioners and policymakers in addressing educational
disparities across the nation. Identifying and describing the core
elements of the EIR-supported practices is a basic expectation for all
Expansion grantees, in order to support adoption or replication by
other entities. Evaluations of Expansion grants must be conducted in a
variety of contexts and for a variety of students in order to determine
the context(s) and population(s) for which the EIR-supported practice
is most effective and how to effectively adapt the practice for these
contexts and populations. An Expansion grantee's EIR-supported
evaluation must examine the cost effectiveness of its practices and
identify potential obstacles and success factors to scaling that would
be relevant to other organizations. We expect that Expansion grantees
will work toward sustaining their projects and continuing to scale
successful practices after the EIR grant period ends; EIR grantees can
use their evaluations to assess how their EIR-funded practices could be
successfully reproduced and sustained.
The FY 2017 EIR Expansion competition includes two absolute
priorities that all applicants must address. Applicants must propose
practices with strong evidence of prior effectiveness that are designed
to improve student achievement and attainment in areas of critical
national need and, in doing so, to serve high-need students. Given the
recent increase in rigorous education research that is relevant to
education practitioners,\1\ and ESSA's focus on building and utilizing
evidence-based practices, the Department includes these broad
priorities to ensure that EIR takes to scale interventions supported by
rigorous evidence, and that these interventions target the most
pressing challenges and the students most at risk.
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\1\ Kantrowitz, Barbara, (2014). ``Scientists Bring New Rigor to
Education Research.'' Scientific American, July 15, 2014,
www.scientificamerican.com/article/scientists-bring-new-rigor-to-education-research/.
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Priorities: This competition includes two absolute priorities.
Absolute Priority 1 is from the Department's notice of final
supplemental priorities and definitions for discretionary grant
programs, published in the Federal Register on December 10, 2014 (79 FR
73425) (Supplemental Priorities). We are establishing Absolute Priority
2 in accordance with section 437(d)(1) of the General Education
Provisions Act (GEPA), 20 U.S.C. 1232(d)(1). These absolute priorities
will apply to the FY 2017 EIR Expansion competition and any subsequent
year in which we make awards from the list of unfunded applicants from
this competition.
Absolute Priorities: These priorities are absolute priorities.
Under 34 CFR 75.105(c)(3) we consider only applications that meet both
of these priorities.
These priorities are:
Absolute Priority 1--Supporting High-Need Students.
Under this priority, we provide funding to projects that are
designed to
[[Page 90799]]
improve academic outcomes for high-need students.
Absolute Priority 2--Evidence-Driven Practices
Under the priority, we provide funding to projects that meet the
evidence standard established in Section III.3. for this competition
and are designed to improve student achievement and attainment in areas
of critical national need.
Definitions
The definitions of ``national level,'' and ``nonprofit,'' are from
34 CFR 77.1. The definitions for ``high-need students'' and ``regular
high school diploma'' are from the Supplemental Priorities. The
definitions of ``local educational agency'' and ``state educational
agency'' are from Section 8101 of the ESEA, as reauthorized by ESSA. We
are establishing the definitions for ``experimental study'' ``high-
minority school,'' ``independent evaluation,'' ``large sample,''
``logic model,'' ``meets What Works Clearinghouse Evidence Standards
without reservations,'' ``meets What Works Clearinghouse Standards with
reservations,'' ``multi-site sample,'' ``practice,'' ``randomized
controlled trial,'' ``regression discontinuity design study,''
``relevant finding,'' ``relevant outcome,'' ``rural local educational
agencies,'' ``single-case design study,'' ``strong evidence,'' and
``student achievement'' for the FY 2017 grant competition only, in
accordance with section 437(d)(1) of GEPA, 20 U.S.C. 1232(d)(1).
Experimental study means a study, such as a randomized controlled
trial (RCT) (as defined in this notice), that is designed to compare
outcomes between two groups of individuals that are otherwise
equivalent except for their assignment to either a treatment group
receiving a practice or a control group that does not. In some
circumstances, a finding from a regression discontinuity design study
(RDD) (as defined in this notice) or findings from a collection of
single-case design studies (SCDs) (as defined in this notice) may be
considered equivalent to a finding from an RCT. RCTs and RDDs, and
collections of SCDs, depending on design and implementation, can Meet
What Works Clearinghouse Evidence Standards without reservations (as
defined in this notice).
High-minority school means a school as that term is defined by a
local educational agency (LEA) (as defined in this notice), which must
define the term in a manner consistent with its State's Teacher Equity
Plan, as required by section 1111(g)(1)(B) of the Elementary and
Secondary Education Act (ESEA), as amended by Every Student Succeeds
Act (ESSA). The applicant must provide the definition(s) of high-
minority schools used in its application.
High-need students means students who are at risk for 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 (as defined
in this notice), 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.
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 practice and are implementing it.
Large sample means an analytic sample of 350 or more students (or
other single analysis units), or 50 or more groups (such as classrooms
or schools) that each contain, on average, 10 or more students (or
other single analysis units, regardless of whether these single
analysis units are disaggregated in the analysis of outcomes for the
groups). Multiple studies can cumulatively be used to meet the multi-
site sample (as defined in this notice) and large sample requirements
of strong evidence, as long as each study meets the other requirements
of the particular level of evidence (i.e., strong evidence).
Local educational agency means:
(a) A public board of education or other public authority legally
constituted within a State for either administrative control or
direction of, or to perform a service function for, public elementary
schools or secondary schools in a city, county, township, school
district, or other political subdivision of a State, or of or for a
combination of school districts or counties that is recognized in a
State as an administrative agency for its public elementary schools or
secondary schools.
(b) Administrative Control and Direction. The term includes any
other public institution or agency having administrative control and
direction of a public elementary school or secondary school.
(c) Bureau of Indian Education Schools. The term includes an
elementary school or secondary school funded by the Bureau of Indian
Education but only to the extent that including the school makes the
school eligible for programs for which specific eligibility is not
provided to the school in another provision of law and the school does
not have a student population that is smaller than the student
population of the local educational agency receiving assistance under
this Act with the smallest student population, except that the school
shall not be subject to the jurisdiction of any State educational
agency (as defined in this notice) other than the Bureau of Indian
Education.
(d) Educational Service Agencies. The term includes educational
service agencies and consortia of those agencies.
(e) State Educational Agency. The term includes the State
educational agency in a State in which the State educational agency is
the sole educational agency for all public schools.
Logic model (also known as a theory of action) means a reasonable
conceptual framework that identifies key components of the proposed
project (i.e., the active ``ingredients'' that are hypothesized to be
critical to achieving the relevant outcomes (as defined in this
notice)) and describes the theoretical and operational relationships
among the key components and outcomes.
Meets What Works Clearinghouse Evidence Standards without
reservations is the highest possible rating for a study finding
reviewed by the What Works Clearinghouse (WWC). Studies receiving this
rating provide the highest degree of confidence that an estimated
effect was caused by the practice studied. Experimental studies (as
defined in this notice) may receive this highest rating. These
standards are described in the WWC Procedures and Standards Handbooks,
Version 3.0, which can be accessed at http://ies.ed.gov/ncee/wwc/Handbooks.
Meets What Works Clearinghouse Evidence Standards with reservations
is the second-highest rating for a study finding reviewed by the What
Works Clearinghouse (WWC). Studies receiving this rating provide a
reasonable degree of confidence that an estimated effect was caused by
the practice studied. Both experimental studies (as defined in this
notice) (such as randomized controlled trials with high rates of sample
attrition) and quasi-experimental design studies (as defined in this
notice) may receive this rating if they establish the equivalence of
the treatment and comparison groups in key baseline characteristics.
These standards are described in the WWC Procedures and Standards
Handbooks, Version 3.0, which can be accessed at http://ies.ed.gov/ncee/wwc/Handbooks.
[[Page 90800]]
Multi-site sample means more than one site, where site can be
defined as an LEA, locality, or State. A sample could be multi-site if
it includes campuses in two or more localities (e.g., cities or
counties), even if the campuses all belong to the same LEA or the same
postsecondary school system. Multiple studies can cumulatively be used
to meet the multi-site sample and the large sample (as defined in this
notice) requirements of strong evidence, as long as each study meets
the other requirements for strong evidence.
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, as applied to an agency, organization, or institution,
means that it is owned and operated by one or more corporations or
associations whose net earnings do not benefit, and cannot lawfully
benefit, any private shareholder or entity.
Practice means an activity, strategy, or intervention included in a
project. Evidence may pertain to an individual practice, or to a
combination of practices (e.g., training teachers on instructional
practices for English learners and follow-on coaching for these
teachers).
Randomized controlled trial (RCT) means a study that employs random
assignment of, for example, students, teachers, classrooms, or schools
to receive the practice being evaluated (the treatment group) or not to
receive the practice (the control group). The estimated effectiveness
of the practice 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.
Regression discontinuity design study (RDD) means a study that
assigns the practice being evaluated using a measured variable (e.g.,
assigning students reading below a cutoff score to tutoring or
developmental education classes) and controls for that variable in the
analysis of outcomes. The effectiveness of the practice is estimated
for individuals who barely qualify to receive that component. These
studies, depending on design and implementation, can Meet What Works
Clearinghouse Evidence Standards without reservations.
Regular high school diploma means the standard high school diploma
that is awarded to students in the State and that is fully aligned with
the State's academic content standards or a higher diploma and does not
include a General Education Development (GED) credential, certificate
of attendance, or any alternative award.
Relevant finding means a finding from a study regarding the
relationship between (a) an activity, strategy, or intervention
included as a practice of the logic model (as defined in this notice)
for the proposed project, and (b) a student outcome or other relevant
outcome included in the logic model for the proposed project.
Relevant outcome means the student outcome(s) (or the ultimate
outcome if not related to students) the proposed practice is designed
to improve; consistent with the specific goals of a program.
Rural local educational agencies means local educational agencies
with an urban-centric district locale code of 32, 33, 41, 42, or 43,
which can be found at the following link: https://nces.ed.gov/ccd/ccdLocaleCodeDistrict.asp.
Single-case design study (SCD) means a study that use observations
of a single case (e.g., a student eligible for a behavioral
intervention) over time in the absence and presence of a controlled
treatment manipulation to determine whether the outcome is
systematically related to the treatment. According to the What Works
Clearinghouse Single Case Design Pilot Standards, a collection of these
studies, depending on design and implementation (e.g., including a
sufficient number of cases and of data points per condition), can Meet
What Works Clearinghouse Evidence Standards without reservations.
State educational agency means the agency primarily responsible for
the State supervision of public elementary schools and secondary
schools.
Strong evidence means the following conditions are met: (a) There
is at least one experimental study (e.g., a randomized controlled
trial) of the effectiveness of the practice that has a relevant finding
(as defined in this notice) that Meets What Works Clearinghouse
Evidence Standards without reservations (as defined in this notice)
(e.g., a randomized controlled trial with low rates of sample attrition
overall and between the treatment and control groups); (b) the relevant
finding in the study described in paragraph (a) is of a statistically
significant and positive (i.e., favorable) effect on a student outcome
or other relevant outcome, with no statistically significant and
overriding negative (i.e., unfavorable) evidence on that practice from
other findings on the intervention reviewed by and reported on the What
Works Clearinghouse that Meet What Works Clearinghouse Evidence
Standards with or without reservations; (c) the relevant finding in the
study described in paragraph (a) is based on a sample that overlaps
with the populations (e.g., the types of student served) and settings
proposed to receive the practice (e.g., an after-school program both
studied in, and proposed for, urban high schools); and (d) the relevant
finding in the study described in paragraph (a) is based on a large
sample and a multi-site sample.
Student achievement means--
For grades and subjects in which assessments are required under
section 1111(b)(2) of Elementary and Secondary Education Act (ESEA), as
amended by Every Student Succeeds Act (ESSA): (1) A student's score on
such assessments; and, as appropriate (2) other measures of student
learning, such as those described in the subsequent paragraph, provided
that they are rigorous and comparable across schools with a local
educational agency (LEA).
For grades and subjects in which assessments are not required under
section 1111(b)(2) of ESEA, as amended by ESSA: (1) Alternative
measures of student learning and performance, such as student results
on pre-tests, end-of-course tests, and objective performance-based
assessments; (2) students learning objectives; (3) student performance
on English language proficiency assessments; and (4) other measures of
student achievement that are rigorous and comparable across schools
within an LEA.
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 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 the EIR
program under 20 U.S.C. 1138-1138d and therefore qualifies for this
exemption. In order to ensure timely grant awards, the Secretary has
decided to forego public comment on the priorities, definitions, and
requirements under section 437(d)(1) of GEPA. These priorities,
[[Page 90801]]
definitions, and requirements will apply to the FY 2017 grant
competition only.
Program Authority: Section 4611 of the ESEA, as amended by P.L.
114-95 ESSA.
Applicable Regulations: (a) The Education Department General
Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 81, 82,
84, 86, 97, 98, and 99. (b) The OMB 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 as regulations of the Department in 2 CFR
part 3474. (d) The Supplemental Priorities.
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.
Estimated Available Funds: The Administration has requested
$180,000,000 for new awards for this program for FY 2017, of which
approximately $141,000,000 would be used, in total, for new awards
under the Early-phase, Mid-phase, and Expansion competitions. The
actual level of funding, if any, depends on final congressional action.
However, we are inviting applications to allow enough time to complete
the grant process if Congress appropriates funds for this program.
Contingent upon the availability of funds and the quality of
applications, we may make additional awards in subsequent years from
the list of unfunded applications from this competition.
Estimated Range of Awards:
Early-phase grants: $700,000-$800,000 per year.
Mid-phase grants: $1,400,000-$1,600,000 per year.
Expansion grants: $2,750,000-$3,000,000 per year.
Estimated Average Size of Awards:
Early-phase grants: $3,750,000 for the entirety of the project
period.
Mid-phase grants: $7,750,000 for the entirety of the project
period.
Expansion grants: $14,500,000 for the entirety of the project
period.
Estimated Number of Awards:
Early-phase grants: 24-38 awards.
Mid-phase grants: 15-20 awards.
Expansion grants: 3-5 awards.
Maximum Awards:
Early-phase grants: $4,000,000 for the entirety of the project
period.
Mid-phase grants: $8,000,000 for the entirety of the project
period.
Expansion grants: $15,000,000 for the entirety of the project
period.
Project Period: Up to 60 months.
Under section 4611(c) of the ESEA, as amended by ESSA, the
Department must use at least 25 percent of EIR funds for a fiscal year
to make awards to applicants serving rural areas, contingent on receipt
of a sufficient number of applications of sufficient quality. For
purposes of this competition, we will consider an applicant as rural if
the applicant meets the qualifications for rural applicants as
described in the eligible applicants section and the applicant
certifies that it meets those qualifications through the application.
In implementing this statutory provision, the Department may fund
high-quality applications from rural applicants out of rank order in
one or more of the EIR competitions.
Note: The Department is not bound by any estimates in this
notice.
III. Eligibility Information
1. Eligible Applicants:
(a) An LEA;
(b) A State educational agency;
(c) The Bureau of Indian Education;
(d) A consortium of State educational agencies or LEAs;
(e) A nonprofit (as defined in this notice) organization; and
(f) A State educational agency, an LEA, a consortium described in
(d), or the Bureau of Indian Education, in partnership with--
(1) A nonprofit organization;
(2) A business;
(3) An educational service agency; or
(4) An institution of higher education.
To qualify as a rural applicant under the EIR program, an applicant
must meet both of the following requirements:
(a) The applicant is--
(1) An LEA with an urban-centric district locale code of 32, 33,
41, 42, or 43, as determined by the Secretary;
(2) A consortium of such LEAs;
(3) An educational service agency or a nonprofit organization in
partnership with such an LEA; or
(4) A grantee described in clause (1) or (2) in partnership with a
State educational agency; and
(b) A majority of the schools to be served by the program are
designated with a locale code of 32, 33, 41, 42, or 43, or a
combination of such codes, as determined by the Secretary.
More information on rural applicant eligibility is in the
application package.
2. a. Cost Sharing or Matching: Under section 4611 of the ESEA, as
amended by ESSA, each grant recipient must provide, from Federal,
State, local, or private sources, an amount equal to 10 percent of
funds provided under the grant, which may be provided in cash or
through in-kind contributions, to carry out activities supported by the
grant. Grantees must include a budget showing their matching
contributions on an annual basis relative to the annual budget amount
of EIR grant funds and must provide evidence that they have secured
their matching contributions for the first year of the grant in their
grant applications. Section 4611 of the ESEA, as amended by ESSA also
authorizes the Secretary to waive this matching requirement on a case-
by-case basis, upon a showing of exceptional circumstances, such as:
(a) The difficulty of raising matching funds for a program to serve
a rural area;
(b) The difficulty of raising matching funds in areas with a
concentration of LEAs or schools with a high percentage of students
aged 5 through 17--
(1) Who are in poverty, as counted in the most recent census data
approved by the Secretary;
(2) Who are eligible for a free or reduced price lunch under the
Richard B. Russell National School Lunch Act (42 U.S.C. 1751 et seq.);
(3) Whose families receive assistance under the State program
funded under part A of title IV of the Social Security Act (42 U.S.C.
601 et seq.); or
(4) Who are eligible to receive medical assistance under the
Medicaid program; and
(c) The difficulty of raising funds on tribal land.
Applicants that wish to apply for a waiver must include a request
in their application that describes why the matching requirement would
cause serious hardship or an inability to carry out project activities.
Further information about applying for waivers can be found in the
application package. However, given the importance of matching funds to
the long-term success of the project, the Secretary expects eligible
entities to identify appropriate matching funds.
3. Other: The Secretary establishes the following requirements for
the EIR program.
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
[[Page 90802]]
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.
Evidence Standards: To be eligible for an award, an
application for an Expansion grant must be supported by strong evidence
(as defined in this notice) for at least one population and setting.
Note: An applicant must identify up to four study citations to
be reviewed against WWC Evidence Standards for the purposes of
meeting the EIR evidence standard requirement. An applicant should
clearly identify these citations in the Evidence form. The
Department will not review a study citation that an applicant fails
to clearly identify for review. In addition to including up to four
study citations, applicants must include a description of: (1) The
positive student outcomes they intend to replicate under their
Expansion grant and how the positive student outcomes correspond
with the high-need students to be served under the Expansion grant;
(2) the practice(s) the applicant plans to implement; and (3) the
intended student outcomes that the practices(s) attempts to impact
in the form.
An applicant must ensure that all evidence is available to the
Department from publicly available sources and provide links or other
guidance indicating where it is available. 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. However, if the WWC determines that a study does not
provide enough information on key aspects of the study design, such as
sample attrition or equivalence of intervention and comparison groups,
the WWC will submit a query to the study author(s) to gather
information for use in determining a study rating. Authors are asked to
respond to queries within 10 business days. Should the author query
remain incomplete within 14 days of the initial contact to the study
author(s), the study will be deemed ineligible under the grant
competition. After the grant competition closes, the WWC will continue
to include responses to author queries and will make updates to study
reviews as necessary. However, the competition can only take into
account information that is available at the time the competition is
open.
Note: The evidence standards apply to the prior research that
supports the effectiveness of the proposed project. The EIR program
does not restrict the source of prior research providing evidence
for the proposed project. As such, an applicant could cite prior
research in the Evidence form for studies that were conducted by
another entity (i.e., an entity that is not the applicant) so long
as the prior research studies cited in the application are relevant
to the effectiveness of the proposed project.
Funding Categories: An applicant will be considered for an
award only for the type of EIR grant (i.e., Early-phase, Mid-Phase, and
Expansion grant) for which it applies. An applicant may not submit an
application for the same proposed project under more than one type of
grant.
Note: Each application will be reviewed under the competition
it was submitted under in the Grants.gov system, and only
applications that are successfully submitted by the established
deadline will be peer reviewed. Applicants should be careful that
they download the intended EIR application package and that they
submit their applications under the intended EIR competition.
Limit on Grant Awards: No grantee may receive in a single
year new EIR grant awards that total an amount greater than the sum of
the maximum amount of funds for an Expansion grant and the maximum
amount of funds for an Early-phase grant for that year. For example, in
a year when the maximum award value for an Expansion grant is $15
million and the maximum award value for an Early-phase grant is $4
million, no grantee may receive in a single year new grants totaling
more than $19 million.
Partnerships: An applicant must demonstrate sufficient
partnerships with schools/LEA(s) by identifying in the application
implementation schools/LEA(s) for years 1 and 2 of the grant project.
Evaluation: The grantee must conduct an independent
evaluation (as defined in this notice) of its project. This evaluation
must estimate the impact of the EIR-supported practice (as implemented
at the proposed level of scale) on a relevant outcome. An Expansion
grantee's evaluation must examine the cost effectiveness of its
practices and identify potential obstacles and success factors to
scaling such practices, including those that would be relevant to other
organizations.
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 or its contractor, an updated comprehensive evaluation plan
in a format and using such tools as the Department may require, as
outlined in the Cooperative Agreement. Expansion grantees' evaluations
plans must include a description of how they intend to assess the
scaling strategy in addition to measuring impact of the practice.
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.
Public Availability of Data and Results: Applications
under Expansion grants must include a Data Management Plan (DMP); the
DMP should be no more than five pages in Appendix C that describes the
applicant's plans for making the final research data from the proposed
project accessible to others. Resources that may be of interest to
researchers in developing a data management plan can be found at http://ies.ed.gov/funding/researchaccess.asp. DMPs are expected to differ
depending on the nature of the project and the data collected. By
addressing the items identified below, your DMP describes how you will
share data under the DMP you are required to include in your
application. The DMP should include the following:
(a) Type of data to be shared;
(b) Procedures for managing and for maintaining the confidentiality
of personally identifiable information;
(c) Roles and responsibilities of project or institutional staff in
the management and retention of research data, including a discussion
of any changes to the roles and responsibilities that will occur should
the Project Director/Principal Investigator and/or co-Project
Directors/co-Principal Investigators leave the project or their
institution;
(d) Expected schedule for data access, including how long the data
will remain accessible (at least 10 years unless a shorter period of
time is required to comply with applicable Federal or State laws or
agreements promulgated to ensure compliance with such laws in which the
destruction of records or personal information is required within a
shorter period of time) and acknowledgement that the timeframe of data
accessibility will be reviewed at the annual progress reviews and
revised as necessary;
(e) Format of the final dataset;
(f) Dataset documentation to be provided;
(g) Method of data access (e.g., provided by the Project Director/
Principal Investigator, through a data archive) and how those
interested in
[[Page 90803]]
using the data can locate and access them;
(h) Whether or not a data agreement that specifies conditions under
which the data will be shared will be required; and
(i) Any circumstances that prevent all or some of the data from
being made accessible. This includes data that may fall under multiple
statutes and, hence, must meet the confidentiality requirements for
each applicable statute (e.g., data covered by Common Rule for
Protection of Human Subjects, Family Educational Rights and Privacy Act
(FERPA), and Health Insurance Portability and Accountability Act
(HIPAA)).
The costs of the DMP can be covered by the grant and should be
included in the budget and explained in the budget narrative. The peer-
review process will not include the DMP in the scoring of the
application. The EIR team will be responsible for reviewing the
completeness of the proposed DMP and will work with EIR grantees to
finalize the DMP once the grant is awarded.
Recipients of awards are expected to publish or otherwise make
publicly available the results of the work supported through EIR,
including the evaluation report. EIR grantees must submit final studies
resulting from research supported in whole or in part by EIR to the
Educational Resources Information Center (ERIC), http://eric.ed.gov.
Scaling: Expansion grants must scale the project to a
national level and include new contexts and populations for
implementation. Scaling targets should be established for the number of
students to be served for the total project period as well as the
target number of students to be served each year of the project.
Expansion grants must also include their scaling strategy as a
component of the evaluation plan for the grant. Given that all EIR
grantees are required to report on the performance measure regarding
the target number of students served by the grant, applicants should
propose scaling targets that represent reasonable costs per student for
the grant.
Management Plan: An EIR grantee must provide an updated
comprehensive management plan for the approved project in a format and
using such tools as the Department may require, as outlined in the
Cooperative Agreement. 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: http://innovation.ed.gov/what-we-do/innovation/education-innovation-and-research-eir/. To obtain a copy from ED Pubs, write,
fax, or call: 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: [email protected].
If you request an application package from ED Pubs, be sure to
identify this program or competition as follows: CFDA number 84.411A.
Individuals with disabilities can obtain a copy of the application
package in an accessible format (e.g., braille, large print, audiotape,
or compact disc) by contacting the person or team listed under
Accessible Format in section VIII of this notice.
2.a. Content and Form of Application Submission: Requirements
concerning the content and form of an application, together with the
forms you must submit, are in the application package for this
competition. Notice of Intent to Apply: February 13, 2017.
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 absolute priority
the applicant intends to address. Applicants may access this form
online at https://www.surveymonkey.com/r/GRZ5RDW. Applicants that do
not complete this form may still submit an application. Pre-
Application: The EIR program intends to hold Webinars and/or meetings
designed to provide technical assistance to interested applicants for
all three types of grants. Detailed information regarding these
Webinars and/or meetings will be provided on the EIR Web site at http://innovation.ed.gov/what-we-do/innovation/education-innovation-and-research-eir/.
Page Limit: The application narrative (Part III of the application)
is where you, the applicant, address the selection criteria that
reviewers use to evaluate your application. Applicants should limit the
application narrative for an Expansion grant application to no more
than 50 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.
Use a font that is either 12 point or larger or no smaller
than 10 pitch (characters per inch).
Use one of the following fonts: Times New Roman, Courier,
Courier New, or Arial.
The page limit 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. However, the page
limit does apply to all of the application narrative.
b. Submission of Proprietary Information: Given the types of
projects that may be proposed in applications for the Expansion
competition, your application may include business information that you
consider proprietary. In 34 CFR 5.11 we define ``business information''
and describe the process we use in determining whether any of that
information is proprietary and, thus, protected from disclosure under
Exemption 4 of the Freedom of Information Act (5 U.S.C. 552, as
amended).
We plan on posting the project narrative section of funded EIR
applications on the Department's Web site. Accordingly, you may wish to
request confidentiality of business information. Identifying
proprietary information in the submitted application will help
facilitate this public disclosure process.
Consistent with Executive Order 12600, please designate in your
application any information that you believe is exempt from disclosure
under Exemption 4. In the appropriate Appendix section of your
application, under ``Other Attachments Form,''
[[Page 90804]]
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: December 19, 2016.
Deadline for Notice of Intent to Apply: February 13, 2017.
Pre-Application Webinars and/or Meetings: The EIR program intends
to hold Webinars and/or meetings designed to provide technical
assistance to interested applicants for all three types of grants.
Detailed information regarding these Webinars and/or meetings will be
provided on the EIR Web site at http://innovation.ed.gov/what-we-do/innovation/education-innovation-and-research-eir/.
Deadline for Transmittal of Applications: April 13, 2017.
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.
Deadline for Intergovernmental Review: June 13, 2017.
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), 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: http://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 you enter into the SAM database.
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, it may be 24 to 48
hours before you can access the information in, and 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 competition 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 EIR Program, CFDA number 84.411A,
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 EIR Expansion at
www.Grants.gov. You must search for the downloadable application
package for this competition by the CFDA number. Do not include the
CFDA number's alpha suffix in your search (e.g., search for 84.411, not
84.411A).
Please note the following:
When you enter the Grants.gov site, you will find
information about submitting an application electronically through the
site, as well as the hours of operation.
Applications received by Grants.gov are date and time
stamped. Your application must be fully uploaded and submitted and must
be date and time stamped by the Grants.gov system no later than 4:30:00
p.m., Washington, DC time, on the application deadline date. Except as
otherwise noted in this section, we will not accept your application if
it is received--that is, date and time stamped by the Grants.gov
system--after 4:30:00 p.m., Washington, DC time, on the application
deadline date. We do
[[Page 90805]]
not consider an application that does not comply with the deadline
requirements. When we retrieve your application from Grants.gov, we
will notify you if we are rejecting your application because it was
date and time stamped by the Grants.gov system after 4:30:00 p.m.,
Washington, DC time, on the application deadline date.
The amount of time it can take to upload an application
will vary depending on a variety of factors, including the size of the
application and the speed of your Internet connection. Therefore, we
strongly recommend that you do not wait until the application deadline
date to begin the submission process through Grants.gov.
You should review and follow the Education Submission
Procedures for submitting an application through Grants.gov that are
included in the application package for this competition to ensure that
you submit your application in a timely manner to the Grants.gov
system. You can also find the Education Submission Procedures
pertaining to Grants.gov under News and Events on the Department's G5
system home page at www.G5.gov. 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 Portable
Document Format (PDF). Do not upload an interactive or fillable PDF
file. If you upload a file type other than a read-only 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 application 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.
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 the
problem affected your ability to submit your application by 4:30:00
p.m., Washington, DC time, on the application deadline date. We will
contact you after we determine whether your application will be
accepted.
Note: The extensions to which we refer in this section apply
only to the unavailability of, or technical problems with, the
Grants.gov system. We will not grant you an extension if you failed
to fully register to submit your application to Grants.gov before
the application deadline date and time or if the technical problem
you experienced is unrelated to the Grants.gov system.
Exception to Electronic Submission Requirement: You qualify for an
exception to the electronic submission requirement, and may submit your
application in paper format, if you are unable to submit an application
through the Grants.gov system because--
You do not have access to the Internet; or
You do not have the capacity to upload large documents to
the Grants.gov system;
and
No later than two weeks before the application deadline
date (14 calendar days or, if the fourteenth calendar day before the
application deadline date falls on a Federal holiday, the next business
day following the Federal holiday), you mail or fax a written statement
to the Department, explaining which of the two grounds for an exception
prevents you from using the Internet to submit your application.
If you mail your written statement to the Department, it must be
postmarked no later than two weeks before the application deadline
date. If you fax your written statement to the Department, we must
receive the faxed statement no later than two weeks before the
application deadline date.
Address and mail or fax your statement to: Kelly Terpak, U.S.
[[Page 90806]]
Department of Education, 400 Maryland Avenue SW., Room 4W312,
Washington, DC 20202-5900. FAX: (202) 401-4123.
Your paper application must be submitted in accordance with the
mail or hand-delivery instructions described in this notice.
b. Submission of Paper Applications by Mail.
If you qualify for an exception to the electronic submission
requirement, you may mail (through the U.S. Postal Service or a
commercial carrier) your application to the Department. You must mail
the original and two copies of your application, on or before the
application deadline date, to the Department at the following address:
U.S. Department of Education, Application Control Center, Attention:
(CFDA Number 84.411A), LBJ Basement Level 1, 400 Maryland Avenue SW.,
Washington, DC 20202-4260.
You must show proof of mailing consisting of one of the following:
(1) A legibly dated U.S. Postal Service postmark.
(2) A legible mail receipt with the date of mailing stamped by the
U.S. Postal Service.
(3) A dated shipping label, invoice, or receipt from a commercial
carrier.
(4) Any other proof of mailing acceptable to the Secretary of the
U.S. Department of Education.
If you mail your application through the U.S. Postal Service, we do
not accept either of the following as proof of mailing:
(1) A private metered postmark.
(2) A mail receipt that is not dated by the U.S. Postal Service.
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.
We will not consider applications postmarked after the application
deadline date.
c. Submission of Paper Applications by Hand Delivery.
If you qualify for an exception to the electronic submission
requirement, you (or a courier service) may deliver your paper
application to the Department by hand. You must deliver the original
and two copies of your application, by hand, on or before the
application deadline date, to the Department at the following address:
U.S. Department of Education, Application Control Center,Attention:
(CFDA Number 84.411A),550 12th Street SW., Room 7039, Potomac Center
Plaza, Washington, DC 20202-4260.
The Application Control Center accepts hand deliveries daily
between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except
Saturdays, Sundays, and Federal holidays.
Note for Mail or Hand Delivery of Paper Applications: If you
mail or hand deliver your application to the Department--
(1) You must indicate on the envelope and--if not provided by
the Department--in Item 11 of the SF 424 the CFDA number, including
suffix letter, if any, of the competition under which you are
submitting your application; and
(2) The Application Control Center will mail to you a
notification of receipt of your grant application. If you do not
receive this notification within 15 business days from the
application deadline date, you should call the U.S. Department of
Education Application Control Center at (202) 245-6288.
V. Application Review Information
1. Selection Criteria: The selection criteria for the Expansion
competition are from 34 CFR 75.210.
The points assigned to each criterion are indicated in the
parentheses next to the criterion. An applicant may earn up to a total
of 100 points based on the selection criteria for the application.
A. Significance (Up to 10 Points)
In determining the significance of the project, the Secretary
considers the following factors:
(1) The magnitude or severity of the problem to be addressed by the
proposed project.
(2) The national significance of the proposed project.
(3) The extent to which the proposed project represents an
exceptional approach to the priority or priorities established for the
competition.
B. Strategy to Scale (Up to 35 Points)
In determining the applicant's capacity to scale the proposed
project, the Secretary considers the following factors:
(1) The extent to which the applicant demonstrates there is unmet
demand for the process, product, strategy, or practice that will enable
the applicant to reach the level of scale that is proposed in the
application.
(2) The extent to which the applicant identifies a specific
strategy or strategies that address a particular barrier or barriers
that prevented the applicant, in the past, from reaching the level of
scale that is proposed in the application.
(3) The extent to which the results of the proposed project are to
be disseminated in ways that will enable others to use the information
or strategies.
C. Quality of the Project Design and Management Plan (Up to 35 Points)
In determining the quality of the proposed project design, the
Secretary considers the following factors:
(1) The extent to which the goals, objectives, and outcomes to be
achieved by the proposed project are clearly specified and measurable.
(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 extent to which the applicant demonstrates that it has the
resources to operate the project beyond the length of the grant,
including a multi-year financial and operating model and accompanying
plan; the demonstrated commitment of any partners; evidence of broad
support from stakeholders (e.g., State educational agencies, teachers'
unions) critical to the project's long-term success; or more than one
of these types of evidence.
D. Quality of the Project Evaluation (Up to 20 Points)
In determining the quality of the project evaluation to be
conducted, the Secretary considers the following factors:
(1) The extent to which the methods of evaluation will, if well
implemented, produce evidence about the project's effectiveness that
would meet the What Works Clearinghouse Evidence Standards without
reservations.
(2) The extent to which the evaluation will provide guidance about
effective strategies suitable for replication or testing in other
settings.
(3) The extent to which the methods of evaluation will provide
valid and reliable performance data on relevant outcomes.
(4) The extent to which the evaluation plan clearly articulates the
key components, mediators, and outcomes of the grant-supported
intervention, as well as a measurable threshold for acceptable
implementation.
Note: 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) ``Technical Assistance Materials
for Conducting Rigorous Impact Evaluations'' to the list of
evaluation resources: http://ies.ed.gov/ncee/projects/evaluationTA.asp;
[[Page 90807]]
and (3) IES/NCEE Technical Methods papers: http://ies.ed.gov/ncee/tech_methods/. In addition, applicants may view two optional Webinar
recordings that were hosted by the Institute of Education Sciences.
One Webinar focused on more rigorous evaluation designs, discussing
strategies for designing and executing studies that meet WWC
evidence standards without reservations. This Webinar is available
at: http://ies.ed.gov/ncee/wwc/Multimedia.aspx?sid=18.
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.
Before making awards, we will screen applications submitted in
accordance with the requirements in this notice to determine whether
applications have met eligibility and other requirements. This
screening process may occur at various stages of the process;
applicants that are determined to be ineligible will not receive a
grant, regardless of peer reviewer scores or comments.
Peer reviewers will read, prepare a written evaluation of, and
score the assigned applications, using the selection criteria provided
in this notice. For Expansion grant applications we intend to conduct a
single-tier review.
In addition, in making a competitive grant award, the Secretary
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.
4. Integrity and Performance System: If you are selected under this
competition to receive an award that over the course of the project
period may exceed the simplified acquisition threshold (currently
$150,000), under 2 CFR 200.205(a)(2) we must make a judgment about your
integrity, business ethics, and record of performance under Federal
awards--that is, the risk posed by you as an applicant--before we make
an award. In doing so, we must consider any information about you that
is in the integrity and performance system (currently referred to as
the Federal Awardee Performance and Integrity Information System
(FAPIIS)), accessible through SAM. You may review and comment on any
information about yourself that a Federal agency previously entered and
that is currently in FAPIIS.
Please note that, if the total value of your currently active
grants, cooperative agreements, and procurement contracts from the
Federal Government exceeds $10,000,000, the reporting requirements in 2
CFR part 200, Appendix XII, require you to report certain integrity
information to FAPIIS semiannually. Please review the requirements in 2
CFR part 200, Appendix XII, if this grant plus all the other Federal
funds you receive exceed $10,000,000.
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 multiyear 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 overall purpose of the EIR program is
to expand the implementation of, and investment in, innovative
practices that are demonstrated to have an impact on improving student
achievement for high-need students. We have established several
performance measures for the EIR Expansion grants.
Annual performance measures: (1) The percentage of grantees that
reach their annual target number of students as specified in the
application; (2) the percentage of grantees that reach their annual
target number of high-need students as specified in the application;
(3) the percentage of grantees with ongoing well-designed and
independent evaluations that will provide evidence of their
effectiveness at improving student outcomes in multiple contexts; (4)
the percentage of grantees that implement a well-designed, well-
implemented, and independent evaluation that provides information about
the key practices and the approach of the project so as to facilitate
replication; (5) the percentage of grantees that implement an
evaluation that provides information on the cost effectiveness of the
key practices to identify potential obstacles and success factors to
scaling; and (6) the cost per student served by the grant.
Cumulative performance measures: (1) The percentage of grantees
that reach the targeted number of students specified in the
application; (2) the percentage of grantees that reached the targeted
number of high-need students specified in the application; (3) the
percentage of grantees that implement a completed well-designed, well-
implemented, and independent evaluation that provides evidence of
[[Page 90808]]
their effectiveness at improving student outcomes in multiple contexts;
(4) the percentage of grantees with a completed well-designed, well-
implemented, and independent evaluation that provides information about
the key elements and the approach of the project so as to facilitate
replication or testing in other settings; (5) the percentage of
grantees with an evaluation that provided information on the cost
effectiveness of the key practices, and obstacles and success factors
to scaling; and (6) the cost per student served by the grant.
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 award, 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 4W312, Washington, DC 20202-
5900. Telephone: (202) 453-7122. FAX: (202) 401-4123 or by email:
[email protected].
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
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 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: December 9, 2016.
Nadya Chinoy Dabby,
Assistant Deputy Secretary for Innovation and Improvement.
[FR Doc. 2016-30086 Filed 12-14-16; 8:45 am]
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