Investing in Innovation (i3) Pre-Application Webinar

1. Investing in Innovation (i3) Pre-Application Webinar Development Competition Overview March 2014 UPDATED March 27, 2014 Note: These slides are intended as guidance only. Pleaserefer to the official documents published in the Federal Register.

2. General Information • AFrequently Asked Questions (FAQ) document is available on the i3 website: http://www2.ed.gov/programs/innovation/faq.html. • This document addresses many questions that applicants have asked previously. The Department may update it throughout the competition with questions that applicants submit that are of general applicability. • The Department is unable to address applicant-specific questions at any time during the competition. • The Department will hold a live webinar session on April 1, 2014 at 2PMEDT to address applicant questions related to the information presented today. If you have questions prior to that date, please send them to i3@ed.gov.

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4. Overview of the i3 Grant Program To generate and validate solutions to persistent educational challenges and to support the expansion of effective solutions across the country and to serve substantially larger numbers of students. Purpose Funding $134,800,000 (est.) to be obligated by December 31, 2014.

5. Overview of the i3 Grant Program • Eligible applicants are: • Local educational agencies (LEAs) • non-profit organizations in partnership with (a) one or more LEAs or (b) a consortium of schools • To provide competitive grants to applicants with a record of improving student achievement, attainment or retention in order to expand the implementation of, and investment in, innovative practices that are demonstrated to have an impact on: • Improving student achievement or student growth; • Closing achievement gaps; • Decreasing dropout rates; • Increasing high school graduation rates; or • Increasing college enrollment and completion rates Applicants Eligibility Requirements

6. What Makes i3 Different? • Builds portfolio of different solutions to address key challenges; • Aligns amount of funding with level of evidence; • Aims explicitly to scale effective programs by creating a pipeline of funding for effective programs; and • Provides funding for required independent evaluation in order to build a common understanding of “what works.”

7. Types of Awards Available Under i3 i3 Development Validation Scale-up *$134.8 M (est.) to be obligated by December 31, 2014

8. Cautions from Previous Competitions • SUBMIT EARLY – The deadline for pre-applications is Monday April 14th at 4:30:00pm (Washington, DC time). We will reject applications submitted after the deadline, and some applicants find it takes longer than anticipated to submit in Grants.gov. Please make sure that your System for Award Management (SAM) registration is active. • WRITE CLEARLY – Peer reviewers can only judge your application based on what you tell them, clearly and comprehensively, in your application. • UNDERSTAND ELIGIBILITY – We will declare applicants ineligible for funding if they do not meet all of the eligibility requirements. • READ THE NOTICES and FAQs, UNDERSTAND THE REQUIREMENTS, AND PLAN AHEAD

9. Full i3 Development Cycle Pre-AppPeriod • Department published pre-application package. • Applicants register early on SAM and Grants.gov. • Applicants develop pre-application (7 pages). • Applicants submit pre-application through Grants.gov. • Pre-application peer review • Department announces highly rated pre-applications Full AppPeriod • Department publishes full application package. • Highly-rated pre-applicants and other pre-applicants, if they choose, develop full application (25 pages), including project partners and evaluation plans. • Highly-rated pre-applicants and other pre-applicants that choose to apply reconfirm registration on SAM and grants.gov • Highly-rated pre-applicants submit full application through Grants.gov. • Full application peer review • Department eligibility review, incl. evidence and prior record of improvement • Department announces highest-rated full applications MatchingPeriod • Highest-rated full applicants secure evidence of at least 50% of required private-sector match. • Highest-rated full applicants submit evidence to the Department for approval and confirmation. • Department announces awardees.

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11. All Eligible Applicants Must Implement Practices, Strategies, or Programs for High-Need Students High-need studentmeans 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 the Notice of Final Priorities, Requirements, Definitions and Selection Criteria (NFP)), 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. Note: To be eligible for an i3 award, an applicant must identify how the proposed project serves high-need student populations. However, while the definition provides examples of high-need students, it does not attempt to define all possible populations. Applicants must identify how their project serves high-need students. MUST MUST

12. i3 Has Two Types of Eligible Applicants A local educational agency (LEA) and A non-profit organization in partnership with (a) one or more LEAs or (b) a consortium of schools There is no competitive advantage to applying as one type of applicant or the other, but an applicant must meet the relevant eligibility requirements.

13. Understanding Partnerships and Eligibility If you apply as…

14. Some Eligibility Requirements Differ Based on Type of Applicant An LEA must: A partnership must: Demonstrate that the non-profit organization has a record of significantly improving student achievement, attainment, or retention through its record of work with an LEA or schools. Demonstrate that it: • (1) Significantly closed achievement gaps between groups of students; or (2) demonstrated success in significantly increasing academic achievement for all groups of students; and • Made significant improvement in other areas; and • Establish partnerships with private sector.

15. Some Eligibility Requirements Apply to Both Types of Applicants All applicants must: • Address one absolute priority and subpart. • Improve achievement for high-need students. • Serve students in grades K-12. • Meet the evidence requirement – for Development grantees: evidence of promise or strong theory. • Secure commitment for required private sector match – for Development grantees: 15% of the federal award.

16. Notes on Eligibility Requirements • Applicants do not need to address eligibility in the pre-application, but should keep it in mind if invited to submit a full application. • Applicants should fully address all eligibility requirements in the full application. IMPORTANT: Applicants that do not sufficiently address the eligibility requirements in the full application will not be able to supplement their original application with additional information to meet the requirements if they are deemed ineligible.

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18. i3 Evidence Requirements • All applications must meetthe evidence requirement for the type of grant they are seeking. • Applications that do not meet the evidence requirement will notbe eligible for a grant award, regardless of scores on the selection criteria. • If an application does not meet the “evidence standard” of the grant type under which it was submitted, it will notbe considered for a different type of i3 grant.

19. i3 Development Grant Evidence Standards Option 2 Option 3 Option 1 Strong Theory Evidence of Promise Note: Greyed-out/shaded cells indicate criteria on which the updated standards are silent. See What Works Clearinghouse (WWC) Procedures and Standards Handbook (Version 2.1, September 2011), which can currently be found at the following link:  http://ies.ed.gov/ncee/wwc/DocumentSum.aspx?sid=19. 

20. Development Grant Evidence Requirements • Applicants are not required to address the evidence eligibility requirement in their pre-applications. • However, applicants may find it valuable to discuss the evidence in support of their proposed projects in connection with or as justification of the claimed significance or impact. • Applicants should provide information addressing the evidence standards in their full applications. • Applicants submitting a full 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. • Applicants either should ensure that all supporting evidence is available from publicly available sources and provide links or other guidance indicating where it is available; or should include copies of evidence with the full application. • IMPORTANT: Applicants that do not sufficiently address the evidence requirements in their full applications will not be able to supplement their original applications with additional information to meet the requirements if they are deemed ineligible. Pre-Application FullApplication

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22. i3 Development Priorities Teacher and Principal Effectiveness English Learners Low Performing Schools Effective Use of Technology Improve Achievementfor High-Need Students Serving Rural Communities Students with Disabilities Must address oneabsolute priority Required forall applications

23. i3 2014 Priority Structure and Subparts • The i3 Development Notice Inviting Applications (the NIA) was published in the Federal Register on March 14, 2014. • An applicant for a Development grant must choose one of the six absolute priorities and one of the subparts under the chosen priority to address in their pre-application. • Applicants who choose to submit an application under the absolute priority for Serving Rural Communities must identify an additional absolute priority and subpart.

24. Absolute Priority 1: Improving the Effectiveness of Teachers or Principals Applicants must address one of the following subpart areas: • Developing and implementing models for principal preparation that deepen leadership skills which have been demonstrated to improve student achievement (as defined in the NIA). Or • Increasing the equitable access to effective teachers or principals for low income and high-need students (as defined in the NIA), which may include increasing the equitable distribution of effective teachers or principals for low-income and high-need students across schools. Addressing principal preparation that deepen leadership skills as well as equity while changing operating conditions and increasing efficiencies at the school and district level

25. Absolute Priority 2: Improving Low-Performing Schools Applicants must address one of the following subpart areas: • Changing elements of the school’s organizational design to improve instruction by differentiating staff roles and extending and enhancing instructional time. Or • Implementing programs, supports, or other strategies that improve students’ non-cognitive abilities(e.g., motivation, persistence, or resilience) and enhance student engagement in learning or mitigate the effects of poverty, on student engagement in learning or mitigate the effects of poverty, including physical, mental, or emotional health issues, on student engagement in learning. Addressing the need for activities that accelerate the improved performance of low-performing schools to ensure that all students receive a quality K-12 education To meet this priority, projects must serve schools among (1) the lowest-performing schools in the State on academic performance measures; (2) schools in the State with the largest within-school performance gaps between student subgroups described in section 1111(b)(2) of the ESEA; or (3) secondary schools in the State with the lowest graduation rate over a number of years or the largest within-school gaps in graduation rates between student subgroups described in section 1111(b)(2) of the ESEA. Additionally, projects funded under this priority must complement the broader turnaround efforts of the school(s), LEA(s), or State(s) where the projects will be implemented.

26. Absolute Priority 3: Improving Academic Outcomes for Students with Disabilities Applicants must address the following subpart area: Implementing coherent systems of support that appropriately coordinate and integrate programs to address the needs of children and youth with disabilities and improve the quality of service for those children and their families. Addressing the need to implement coherent systems of support to address needs of children and youth with disabilities and improve the quality of service for both children and their families

27. Absolute Priority 4: Improving Academic Outcomes for English Learners (ELs) Applicants must address the following subpart area: • Increasing the number and proportion of ELs successfully completing courses in core academic subjects by developing, implementing, and evaluating new instructional approaches and tools that are sensitive to the language demands necessary to access challenging content, including technology-based tools. OR • Preparing ELs to be on track to be college- and career-ready when they graduate from high school by developing comprehensive, developmentally appropriate, early learning programs (birth-grade 3) that are aligned with the State’s high-quality early learning standards, designed to improve readiness for kindergarten, and support development of literacy and academic skills in English or in English and another language. Ensuring that students who cannot speak, read, or write English well enough to participate meaningfully in educational programs to achieve the academic outcomes of which they are capable

28. Absolute Priority 5: Effective Use of Technology Applicants must address one of the following subpart areas: • Providing access to learning experiences that are personalized, adaptive, and self-improving in order to optimize the delivery of instruction to learners with a variety of learning needs. Or • Integrating technology with the implementation of rigorous college- and career-ready standards to increase student achievement (as defined in the NIA), student engagement, and teacher efficacy, such as by providing embedded, real-time assessment and feedback to students and teachers. Supporting projects that use technology to meet students’ diverse learning needs and for teaching and learning concepts that are difficult to teach using traditional approaches

29. Absolute Priority 6: Serving Rural Communities Applicants must address the following: Under this priority, we provide funding to projects addressing one of the absolute priorities established for the 2014 Development i3 competition and under which the majority of students to be served are enrolled in rural local educational agencies (as defined in the NIA). Addressing the plethora of challenges that rural communities face as they work to provide a high-quality education for all students

30. Notes on Absolute Priority 6: Serving Rural Communities • Please note that applicants that choose to submit an application under the absolute priority for Serving Rural Communities must identify an additional absolute priority and subpart. • The peer-reviewed scores for applications submitted under the Serving Rural Communities priority will be ranked with other applications under this priority, and not included in the ranking for the additional priority that they identified. • This design helps to ensure that applicants under the Serving Rural Communities priority receive an “apples to apples” comparison with other rural applicants.

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32. Notes on i3 Selection Criteria and Points • The selection criteria are the criteria against which the peer reviewers score each application. • The Department selects grantees based on peer reviewer scores, so clearly addressing the selection criteria is critical. • There are different selection criteria for the pre-application and the full application. • This presentation includes just the pre-application selection criteria. • Detailed wording for each selection criterion may be found in the Notice Inviting Applications at the i3 website: http://www.ed.gov/programs/innovation/index.html.

33. i3 Selection Criteria and Points Selection Criteria Development Pre-Application Development Full Application

34. Pre-App Selection Criterion:A. Significance • The extent to which the proposed project addresses the absolute priority the applicant is seeking to meet. • The extent to which the proposed project would implement a novel approach as compared with what has been previously attempted nationally. Addressing the Absolute Priority Novel Approach to Addressing Selected Priority

35. Notes on Pre-App Selection Criterion:A. Significance • Applicants should make sure that a peer reviewer, after reading the pre-application narrative, would understand: • How the applicant will address the absolute priority and subpart under which it submits an application; • How the proposed project is unique.

36. Pre-App Selection Criterion: B. Quality of the Project Design • The clarity and coherenceof the project goals, including the extent to which the proposed project articulates an explicit plan or actions to achieve its goals (e.g., a fully developed logic model of the proposed project). Clarity of Project Goals and Strategy to Achieve Them

37. Notes on Pre-App Selection Criterion: B. Quality of the Project Design • Applicants should make sure that a peer reviewer, after reading the pre-application narrative, would understand: • What the applicant proposes to do in the project (i.e., goals and strategy); and • How proposed activities relate to goals and strategy.

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39. Key Requirements That Must Be Met Before an Award Is Made The Department, before awarding i3 grants, will confirm that all eligibility requirements have been met by potential grantees, including that applicants: • Address one absolute priority and one of the subparts; • Implement practices that serve high-need students; • Implement practices that serve students in grades K-12; • Be supported by evidence of promise or strong theory; • Demonstrate evidence of prior improvement (different requirements for LEA vs. non-profit (partnership) applicants); and • Provide evidence of at least 50% of the private-sector match. Note: Applicants do not need to address eligibility in their pre-applications, but applicants should be aware that they must meet ALL eligibility requirements if they are invited to submit full applications.

40. Explanation of Limits on Grant Awards Award Cap No grantee may receive more than two grant awards or more than $23 million in grant awards under this program in FY2014. Additionally, no grantee may receive more than one Scale-up or Validation grant in any two-year period. • Allowable Examples • Scale-up ($20M) + Development ($3M) • Validation ($12M) + Development ($3M) • 2 Development ($3M each) • Validation in 2013 + Development in 2014 • Unallowable Examples • 2 Scale-up or Validation • Scale-up + Validation • Scale-up in 2013 + Validation in 2014 • 3 Development ($3M each) • Notes: • Applicants with more than 2 highest-rated applications may select which 2 applications receive awards • The i3 award cap applies to the applicant; official partners and other partners may participate in more than 2 successful applications • 2013 Validation grantees may receive up to 2 Development grants in 2014

41. Post Award Requirements All Grantees Must: • Conduct an independent project evaluation.* • Cooperate with technical assistance provided by the Department or its contractors. • Share broadly the results of any evaluation. • Participate in, organize, or facilitate, as appropriate, communities of practice for the i3 program. • Provide the Department, within 100 days of grant award, an updated evaluation plan and management plan. MUST * Note: The quality of an applicant’s project evaluation is also a selection criterion in the full application review.

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43. Parts of a Complete Application Part A Part B • Project Narrative Form • Responses to the Selection Criteria • Significance • Quality of the Project Design • Budget Narrative Form • ED 524 Section C • Eligible applicants must also provide a detailed budget narrative that describes their proposed multi-year project activities and the costs associated with those activities as well as all costs associated with carrying out the project. • Other Attachments Form • Upload appendices here • i3 Applicant Information Sheet (http://www2.ed.gov/programs/innovation/applicant.html) • ED Standard Forms • Application for Federal Assistance (SF 424) • Department of Education Supplemental Information for SF 424 • Department of Education Budget Summary Form (ED 524) Sections A & B • Disclosure of Lobbying Activities (SF-LLL) • Assurances/Certifications • GEPA Section 427 • Assurances – Non-Construction Programs (SF 424B) • Grants.gov Lobby Form (formerly ED 80-0013 form)

44. Completing the Applicant Information Sheet (Updated) Applicants must download this form, which provides information that is crucial for the peer review process, from the i3 website and submit it with their pre-application. In previous years, applicants have failed to submit this form or have submitted it in an unusable format, which impedes peer review. To complete this form: • Download it from the i3 website:http://www2.ed.gov/programs/innovation/applicant.html • Complete the form in Adobe Acrobat • Save the form in Adobe Acrobat as a PDF • Upload the PDF to the Other Attachments Form of the application DO NOT:Print the form, complete it, and scan it as a PDF; Save the form in any format other than PDF; Forget to include this form; Merge it with other appendices.

45. Registering for Grants.gov • Pre- and full applications for grants under this competition must be submitted electronically using the Grants.gov site (www.Grants.gov). • In order to apply for an i3 grant, you must complete the Grants.gov registration process. Go to the “Get Registered” link on the left hand side of the Grants.gov homepage. There will be a tutorial on this page that instructs applicants on how to complete the registration process. • The registration process can take between three to five business days (or as long as four weeks if all steps are not completed in a timely manner). Please register early!

46. Applying Through Grants.gov To apply for an i3 grant, go to the “Apply for Grants” link on the left hand side of the Grants.gov homepage. Next, follow the step-by-step application instructions. The CFDA number you will enter for Step 1 is 84.411. 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 keep a record of it. You can also contact them via email at support@grants.gov.

47. Registering for Sam.gov • In order to submit an application through Grants.gov, applicants must be active in the System for Award Management (SAM). • 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 are submitting an application under the i3 Pre-Application competition, please allow sufficient time to obtain and register your DUNS number and TIN. We strongly recommend that you register early. • 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. • 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, the U.S. Department of Education prepared a SAM.gov Tip Sheet, which you can find at: http://www2.ed.gov/fund/grant/apply/sam-faqs.html.

48. Other Important Resources Investing in Innovation Fund Website: (http://www2.ed.gov/programs/innovation/index.html) • Notice of Final Priorities, Requirements, Definitions, and Selection Criteria (http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07016.pdf) • Notice Inviting Applications • Application Package (includes the Notice Inviting Applications) – posted shortly after NIA publication • i3 Applicant Information Sheet • Frequently Asked Questions Note: These slides are intended as guidance only. Please refer to the official Notice in the Federal Register. All questions about i3 should be sent to i3@ed.gov