PKG00248039-instructions.pdf

U.S. DEPARTMENT OF EDUCATION

OFFICE OF ELEMENTARY AND SECONDARY EDUCATION

WASHINGTON, D.C. 20202

http://innovation.ed.gov/what-we-do/innovation/education-innovation-and-research-eir/

FY 2019

APPLICATION FOR GRANTS

UNDER THE EDUCATION INNOVATION AND RESEARCH PROGRAM

MID-PHASE

CFDA Number: 84.411B

FORM APPROVED

OMB no. 1894-0006, Expiration Date: 1/31/2021

DATE MATERIAL – OPEN IMMEDIATELY

CLOSING DATE: 04/02/2019

Table of Contents

Program Background Information

PRO G RA M O V E RV I E W

AU T H OR I Z I N G LE G I S L A T I ON

Notice Inviting Applications (NIA)

Application Submission Procedures

SU B M I S S I O N PR OC E D U RE S

AP P L I C A T I ON T I P S

DUNS NU M BE R IN S T RU C T I O N S

Application Instructions

E L E C T RON I C AP P L I C A T I ON F ORM A T

CO M P L E T I N G A N D S U BM I T T I N G Y OU R AP P L I C A T I O N

FY 2019 AP P L I C A T I ON CH E C K L I S T

RE Q U I RE D FO RM S

ST A N D A RD FO RM S IN S T RU C T I ON S

AS S U RA N C E S A N D CE RT I F I C A T I ON S IN S T RU C T I ON S

AP P L I C A T I ON NA R RA T I V E I N S T RU C T I ON S

IN S T RU C T I O N S F OR A BS T RA C T NA RRA T I V E

IN S T RU C T I O N S F OR P RO JE C T N A RRA T I V E

FY 2019 M I D -P H A S E G RA N T AP P L I C A T I O N ABS OL U T E PRI ORI T I E S

FY 2019 M I D -P H A S E G RA N T AP P L I C A T I O N SE L E C T I ON CR I T E RI A

SU G G E S T E D P OI N T RA N G E S F OR RA T I N G AP P L I C A N T RE S P ON S E S T O T H E SE L E C T I ON C R I T E RI A 39

IN S T RU C T I O N S F OR BU D G E T N A RRA T I V E

IN S T RU C T I O N S F OR AP P E N D I X

Additional Information

E X E C U T I V E OR D E R 12372

PA P E RW ORK BU RD E N ST A T E M E N T

E L E C T RON I C NOT I F I C A T I ON OP T I ON F OR GRA N T AW A R D S

Program Background Information

PROGRAM OVERVIEW

Program Office: Office of Elementary and Secondary Education (OESE) Education Innovation and Research (EIR) Program

CFDA Number: 84.411B (Mid-phase Grants)

Program Type: Discretionary/Competitive Grants

Program Description: The Education Innovation and Research (EIR) Program, established under section 4611 of the Elementary and Secondary Education Act, as amended (ESEA), provides funding to create, develop, implement, replicate, or take to scale entrepreneurial, evidence-based, field-initiated innovations to improve student achievement and attainment for high-need students; 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.

Eligible Applicants:

(a) A local educational agency (LEA);

(b) A State educational agency (SEA);

(c) The Bureau of Indian Education (BIE);

(d) A consortium of State educational agencies or local educational agencies;

(e) A nonprofit organization; and

(f) A State educational agency, a local educational agency, 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 (IHE).

Note: An LEA includes a public charter school that operates as an LEA.

To qualify as a rural applicant under the EIR program, an applicant must meet both of the following requirements:

(a) The applicant is—

(1) a local educational agency with an urban-centric district locale code of 32, 33, 41, 42, or 43, as determined by the Secretary;

(2) a consortium of such local educational agencies;

(3) an educational service agency or a nonprofit organization in partnership with such a local educational agency; 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.

Note: The Secretary shall reduce the amount of funds made available for rural applicants if the Secretary does not receive a sufficient number of applications of sufficient quality.

AUTHORIZING LEGISLATION

Section 4611 of the Elementary and Secondary Education Act, as amended by P.L. 114-95, the Every Student Succeeds Act (ESSA).

SEC. 4611. GRANTS FOR EDUCATION INNOVATION AND RESEARCH.

(a) PROGRAM AUTHORIZED.—

(1) IN GENERA.—L From funds reserved under section 4601(b)(2)(A), the Secretary shall make grants to eligible entities to enable the eligible entities to—

(A) create, develop, implement, replicate, or take to scale entrepreneurial, evidence-based, field-initiated innovations to improve student achievement and attainment for high-need students; and

(B) rigorously evaluate such innovations, in accordance with subsection (e).

(2) DESCRIPTION OF GRANTS.—The grants described in paragraph (1) shall include—

(A) early-phase grants to fund the Early-phase, implementation, and feasibility testing of a program, which prior research suggests has promise, for the purpose of determining whether the program can successfully improve student achievement or attainment for high-need students;

(B) mid-phase grants to fund implementation and a rigorous evaluation of a program that has been successfully implemented under an early-phase grant described in subparagraph

(A) or other effort meeting similar criteria, for the purpose of measuring the program’s impact and cost effectiveness, if possible using existing administrative data; and

(C) expansion grants to fund implementation and a rigorous replication evaluation of a program that has been found to produce sizable, important impacts under a midphase grant described in subparagraph (B) or other effort meeting similar criteria, for the purposes of—

(i) determining whether such impacts can be successfully reproduced and sustained over time; and

(ii) identifying the conditions in which the program is most effective.

(b) ELIGIBLE ENTITY.—In this subpart, the term ‘‘eligible entity’’ means any of the following:

(1) A local educational agency.

(2) A State educational agency.

(3) The Bureau of Indian Education.

(4) A consortium of State educational agencies or local educational agencies.

(5) A nonprofit organization.

(6) A State educational agency, a local educational agency, a consortium described in paragraph

(4), or the Bureau of Indian Education, in partnership with—

(A) a nonprofit organization;

(B) a business;

(C) an educational service agency; or

(D) an institution of higher education.

(c) RURAL AREAS.—

(1) IN GENERAL.—In awarding grants under subsection (a), the Secretary shall ensure that not less than 25 percent of the funds made available for any fiscal year are awarded for programs that meet both of the following requirements:

(A) The grantee is—

(i) a local educational agency with an urban-centric district locale code of 32, 33, 41, 42, or 43, as determined by the Secretary;

(ii) a consortium of such local educational agencies;

(iii) an educational service agency or a nonprofit organization in partnership with such a local educational agency; or

(iv) a grantee described in clause (i) or (ii) in partnership with a State educational agency.

(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.

(2) EXCEPTION.—Notwithstanding paragraph (1), the Secretary shall reduce the amount of funds made available under such paragraph if the Secretary does not receive a sufficient number of applications of sufficient quality.

(d) MATCHING FUNDS.—In order to receive a grant under subsection (a), an eligible entity shall demonstrate that the eligible entity will provide matching funds, in cash or through in-kind contributions, from Federal, State, local, or private sources in an amount equal to 10 percent of the funds provided under such grant, except that the Secretary may waive the matching funds requirement, on a case-by-case basis, upon a showing of exceptional circumstances, such as—

(1) the difficulty of raising matching funds for a program to serve a rural area;

(2) the difficulty of raising matching funds in areas with a concentration of local educational agencies or schools with a high percentage of students aged 5 through 17—

(A) who are in poverty, as counted in the most recent census data approved by the

Secretary;

(B) 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.);

(C) 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

(D) who are eligible to receive medical assistance under the Medicaid program; and

(3) the difficulty of raising funds on tribal land.

(e) EVALUATION.—Each recipient of a grant under this section shall conduct an independent evaluation of the effectiveness of the program carried out under such grant.

(f) TECHNICAL ASSISTANCE.—The Secretary may reserve not more than 5 percent of the funds appropriated under section 4601(b)(2)(A) for each fiscal year to—

(1) provide technical assistance for eligibility entities, which may include pre-application workshops, web-based seminars, and evaluation support; and

(2) to disseminate best practices.

Notice Inviting Applications (NIA)

2019 EIR Mid-phase Notice Inviting Applications The full text of the Notice Inviting Applications (NIA) for the FY 2019 EIR Mid-phase competition including all relevant deadlines can be found on the EIR website at the following URL:

http://innovation.ed.gov/what-we-do/innovation/education-innovation-and-research-eir/

All EIR applications must be received on or before 4:30:00 pm Eastern Time on April 2, 2019. Please note that the U.S.

Department of Education grant application deadline is 4:30:00 P.M., Eastern Time. 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., Eastern Time, on the application deadline date. Late applications will not be accepted. The Department is required to enforce the established deadline to ensure fairness to all applicants. No changes or additions to an application will be accepted after the deadline date and time.

After successfully submitting a Workspace application, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the Confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

Applicants should be careful that they download the intended EIR application package and that they submit their application under the intended EIR competition. Your application will be reviewed under the competition it was submitted under, and only applications that are successfully submitted by the established deadline will be peer reviewed.

2019 EIR Mid-phase Application Package Please note that the EIR Mid-phase Application Package is for applicants to download and use as a guide only. All EIR grant applications must be submitted online using Workspace in Grants.gov unless electronic submission is not possible.

Intent to Apply The Secretary strongly encourages each potential applicant to notify the Department of its intent to submit an application for EIR funding by completing the FY 2019 Intent to Apply survey athttps://www.surveymonkey.com/r/GJ3XS96. Applicants that fail to complete the FY 2019 Intent to Apply survey may still apply for funding, but submission of the survey will help us plan for an efficient peer review.

Apply!

A Grants.gov applicant must apply online using Workspace. Instructions on getting started on your Workspace Application can be found on the Grants.gov website here: https://www.grants.gov/web/grants/applicants/workspace-overview.html. For access to complete instructions on how to apply, refer to:

www.grants.gov/web/grants/applicants/apply-for-grants.html.

Funding Opportunity Number: ED-GRANTS-020119-002

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.

https://www.federalregister.gov/articles/2014/08/18/2014-19426/applications-for-new-awards-preschool-development-grants-development-grants http://www.grants.gov/web/grants/applicants/download-application-package.html?p_p_id=grantsdownloadpackage_WAR_grantsdownloadpackageportlet&p_p_lifecycle=0&p_p_state=normal&p_p_mode=view&p_p_col_id=column-1&p_p_col_pos=1&p_p_col_count=2&_grantsdownloadpackage_WAR_grantsdownloadpackageportlet_mvcPath=%2Fdownload.jsp&id=203626 https://www.surveymonkey.com/r/GJ3XS96 https://www.grants.gov/ https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/web/grants/applicants/workspace-overview.html http://www.grants.gov/web/grants/applicants/apply-for-grants.html

Application Submission Procedures

SUBMISSION PROCEDURES

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

The deadline for submission of all EIR applications through Grants.gov is at 4:30:00 P.M., Eastern Time on April 2, 2019.

To facilitate your use of Grants.gov, this document includes important submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by the Department of Education.

Browser Support

The latest versions of Microsoft Internet Explorer (IE), Mozilla Firefox, Google Chrome, and Apple Safari are supported for use with Grants.gov. However, these web browsers undergo frequent changes and updates, so we recommend you have the latest version when using Grants.gov. Legacy versions of these web browsers may be functional, but you may experience issues.

For additional information or updates, please see the Grants.gov Browser information in the Applicant FAQs:

http://www.grants.gov/web/grants/applicants/applicant-faqs.html#browser

ATTENTION – Workspace, Adobe Forms and PDF Files Required

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each funding opportunity announcement (FOA), you can create individual instances of a Workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to: https://www.grants.gov/web/grants/applicants/workspace-overview.html.

1) Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2) Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission. The Workspace progress bar will display the state of your application process as you apply. As you apply using Workspace, you may click the blue question mark icon near the upper-right corner of each page to access context-sensitive help.

a. Adobe Reader: If you decide not to apply by filling out web forms you can download individual PDF forms in Workspace. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at: https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html.

http://www.grants.gov/web/grants/applicants/applicant-faqs.html#browser https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

c. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS Number. Once it is completed, the information will transfer to the other forms.

3) Submit a Workspace: An application may be submitted through Workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

4) Track a Workspace Submission: After successfully submitting a Workspace application, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the Confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

For additional training resources, including video tutorials, refer to https://www.grants.gov/web/grants/applicants/applicant-training.html.

Helpful Reminders

1) REGISTER EARLY – Grants.gov registration involves many steps including registration on SAM (www.sam.gov) which may take approximately one week to complete, but could take upwards of several weeks to complete, depending upon the completeness and accuracy of the data entered into the SAM database by an applicant. You may begin working on your application while completing the registration process, but you cannot submit an application until all of the Registration steps are complete. Please note that once your SAM registration is active, it will take 24-48 hours for the information to be available in Grants.gov, and before you can submit an application through Grants.gov. For detailed information on the Registration Steps, please go to:

http://www.grants.gov/web/grants/register.html. [Note: Your organization will need to update its SAM registration annually.]

Primary information about SAM is available at www.sam.gov. However, to further assist you with obtaining and registering your DUNS number and TIN in SAM or updating your existing SAM account the Department of Education has prepared a SAM.gov Tip Sheet which you can find at: http://www2.ed.gov/fund/grant/apply/sam-faqs.html

SAM.gov ALERT: If you are registering a new entity in SAM.gov, you must provide an original, signed notarized letter stating that you are the authorized Entity Administrator before your registration will be activated. Read the FAQs to learn more about this process change. Entities creating or renewing their registration will be required to submit an original, signed notarized letter confirming the authorized Entity Administrator associated with the DUNS number. For more information on this requirement, please check the FAQs at the following link:

https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/sam-update-updated-july-11-2018.

2) SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application.

Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your Internet connection, and the time it takes Grants.gov to process the application will vary as well. If Grants.gov rejects your application (see step three below), you will need to resubmit successfully to Grants.gov before 4:30:00 p.m. Eastern Time on the deadline date.

https://www.grants.gov/web/grants/applicants/applicant-training.html http://www.sam.gov/ http://www.grants.gov/web/grants/register.html http://www.sam.gov/ http://www2.ed.gov/fund/grant/apply/sam-faqs.html https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=d2e67885db0d5f00b3257d321f96194b&sysparm_search=kb0013183 https://www.fsd.gov/fsd-gov/answer.do?sysparm_kbid=d2e67885db0d5f00b3257d321f96194b&sysparm_search=kb0013183 https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/sam-update https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/sam-update-updated-july-11-2018 https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/sam-update-updated-july-11-2018

Note: To submit successfully, you must provide the DUNS number on your application that was used when you registered as an Authorized Organization Representative (AOR) on Grants.gov. This DUNS number is typically the same number used when your organization registered with the SAM. If you do not enter the same DUNS number on your application as the DUNS you registered with, Grants.gov will reject your application.

3) VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov received your application submission on time and that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the Track My Application link. For a successful submission, the date/time received should be earlier than 4:30:00 p.m. Eastern Time, on the deadline date, AND the application status should be:

Validated, Received by Agency, or Agency Tracking Number Assigned. Once the Department of Education receives your application from Grants.gov, an Agency Tracking Number (PR/award number) will be assigned to your application and will be available for viewing on Grants.gov’s Track My Application link.

If the date/time received is later than 4:30:00 p.m. Eastern Time, on the deadline date, your application is late.

If your application has a status of “Received” it is still awaiting validation by Grants.gov. Once validation is complete, the status will either change to “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” your application has not been received successfully. Some of the reasons Grants.gov may reject an application can be found on the Grants.gov site: http://www.grants.gov/web/grants/applicants/encountering-error-messages.html. For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Software Tip Sheet at: http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html. If you discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via e-mail about the status of your application. Please do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully.

Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer Support at 1-800-518-4726 or email at: mailto:support@grants.gov or access the Grants.gov Self-Service Knowledge Base web portal at: https://grants-portal.psc.gov/Welcome.aspx?pt=Grants.

If electronic submission is required, you must submit an electronic application before 4:30:00 p.m. Eastern Time, unless you follow the procedures in the Federal Register notice and 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. If electronic submission is optional and you have problems that you are unable to resolve before the deadline date and time for electronic applications, please follow the transmittal instructions for hard copy applications in the Federal Register notice and get a hard copy application postmarked by midnight on the deadline date. (See the Federal Register notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

Please go to http://www.grants.gov/web/grants/support.html for help with Grants.gov. For additional tips related to submitting grant applications, please refer to the Grants.gov Applicant FAQs found at this Grants.gov link:

http://www.grants.gov/web/grants/applicants/applicant-faqs.html as well as additional information on Workspace at https://www.grants.gov/web/grants/applicants/applicant-faqs.html#workspace.

Dial-Up Internet Connections

When using a dial up connection to upload and submit your application, it can take significantly longer than when you are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary depending upon the size of your application, it can take a few minutes to a few hours to complete your grant submission using a dial up connection. If you do not have access to a high-speed connection and electronic submission is required, you http://www.grants.gov/web/grants/applicants/encountering-error-messages.html http://www.grants.gov/web/grants/applicants/encountering-error-messages.html http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html mailto:support@grants.gov https://grants-portal.psc.gov/Welcome.aspx?pt=Grants http://www.grants.gov/web/grants/support.html http://www.grants.gov/web/grants/applicants/applicant-faqs.html https://www.grants.gov/web/grants/applicants/applicant-faqs.html#workspace may want to consider following the instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register notice for detailed instructions.)

Attaching Files – Additional Tips

Please note the following tips related to attaching files to your application, especially the requirement that applicants only include read-only, flattened .PDF files in their application:

Ensure that you attach .PDF files only for any attachments to your application, and they must be in a read-only, flattened format. PDF files are the only Education approved file type accepted as detailed in the Federal Register application notice. Applicants must submit individual .PDF files only when attaching files to their application. Specifically, the Department will be unable to review attachments that contain files within a file, such as PDF Portfolio files, or an interactive or fillable .PDF file. Any attachments uploaded that are not .PDF files or are password protected files will be unable to be reviewed.

Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission. Therefore, each file uploaded to your application package should have a unique file name.

When attaching files, applicants should follow the guidelines established by Grants.gov on the size and content of file names. Uploaded file names must be fewer than 50 characters, and, in general, applicants should not use any special characters. However, Grants.gov does allow for the following UTF-8 characters when naming your attachments: A-Z, a-z, 0-9, underscore, hyphen, space, period, parenthesis, curly braces, square brackets, ampersand, tilde, exclamation point, comma, semi colon, apostrophe, at sign, number sign, dollar sign, percent sign, plus sign, and equal sign. Applications submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not forwarded to the Department.

Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned material often greatly increase the size of the file attachments and can result in difficulties opening the files. For reference, the average discretionary grant application package with all attachments is less than 5 MB. Therefore, you may want to check the total size of your package before submission.

APPLICATION T IPS

I. Register or maintain registration on SAM.gov. The SAM registration process can take approximately seven business days, but may take upwards of several weeks, depending on the completeness and accuracy of the data entered into the SAM database by an entity. Thus, if you think you might want to apply for Federal financial assistance under a program administered by the Department, please allow sufficient time to obtain and register your DUNS number and TIN. 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. Also note that you will need to update your registration annually. This may take three or more business days.

II. Register early on Grants.gov. The registration process may take up to two weeks to complete. For additional information on the registration and submission process please review the resources available on the Grants.gov Website.

III. Verify that the person assigned to submit the application has been designated as an Authorized Organization Representative (AOR). You must be “active” in order to submit an application on behalf of the organization.

IV. Carefully review the FY2019 NIA for eligibility requirements. Clearly state which absolute priority under which you are submitting an application. Applications will be reviewed by absolute priority, so it is important that you clearly indicate the absolute priority under which you intend the Department to review your application.

V. Review the submission for clarity. Applications will be read by multiple peer reviewers; therefore, it is important to ensure that the application can be understood by someone who is unfamiliar with your project.

VI. Submit all files in .PDF format. While Grants.gov may accept other format types, the Department’s system, which receives the files from Grants.gov, will only accept .PDF files. Files submitted in formats other than .PDF may not convert in a legible manner and, in these instances, cannot be reviewed. Ensure that you attach .PDF files only for any attachments to your application, and they must be in a read-only, flattened format. PDF files are the only Education approved file type accepted as detailed in the Federal Register application notice.

Applicants must submit individual .PDF files only when attaching files to their application. Specifically, the Department will be unable to review attachments that contain files within a file, such as PDF Portfolio files, or an interactive or fillable .PDF file. Any attachments uploaded that are not .PDF files or are password protected files will be unable to be reviewed.

VII. Submit early on Grants.gov. Applications must be finished uploading, and be validated by the Grants.gov system, by 4:30:00pm, Eastern Time on April 2, 2019. Validation indicates if the submission was successful and may take up to two days. If the submitted application is deemed invalid due to an error, applicants may correct the error and resubmit only if the 4:30:00pm Eastern Time deadline has not passed. Applicants are encouraged to review the submission to be sure that the files transmitted correctly. Grants.gov may not catch all errors.

Late submissions or modifications to the submitted application will not be accepted after the deadline.

VIII. 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 closing date will be peer reviewed.

Applicants should be careful that they download the intended EIR application package and that they submit their Workspace applications under the intended EIR competition.

IX. NOTE: Applicants will receive multiple emails to confirm submission in Grants.gov, validation, and transmission to the Department of Education. Once the application is transmitted to the Department, applicants will receive a final email with a unique identifier called a PR Award Number. Use this number when making inquiries about the submitted application. Please review the email carefully to ensure that you submitted the application under the intended competition.

DUNS NUMBER INSTRUCTIONS

All applicants must have a D-U-N-S number in order to apply for federal funds.

NOTE: Check with your fiscal office to see if your institution has an assigned D-U-N-S before contacting Dun & Bradstreet.

Please provide the applicant's D-U-N-S Number. You can obtain your D-U-N-S Number at no charge by calling 1-800-333-0505 or by completing a D-U-N-S Number Request Form. The form can be obtained via the Internet at the following URL:

http://www.dnb.com/US/duns_update/index.html

The D-U-N-S Number is a unique nine digit number that does not convey any information about the recipient. A built-in check digit helps assure the accuracy of the D-U-N-S Number. The ninth digit of each number is the check digit, which is mathematically related to the other digits. It lets computer systems determine if a D-U-N-S Number has been entered correctly.

Dun & Bradstreet, a global information services provider, has assigned D-U-N-S numbers to over 43 million companies worldwide. Live help Monday-Friday 8am-6pm (EST) Dial 1-888-814-1435.

Note: Electronic submission via Grants.gov must use the D-U-N-S number your organization used when it registered in the System for Award Management.

http://www.dnb.com/US/duns_update/index.html

Application Instructions

ELECTRONIC APPLICATION FORMAT

All applicants interested in completing an EIR Mid-phase application should first thoroughly review the NIA published in the Federal Register on February 1, 2019. The NIA will orient applicants to the EIR program by providing the following information:

Purpose of the program and background information;

Eligibility requirements;

Absolute Priorities;

Selection Criteria and assigned points;

Key definitions; and

Procedural and substantive requirements of the application process.

Applicants should pay close attention to the selection criteria as applications will be evaluated and scored against these criteria.

COMPLETING AND SUBMITTING YOUR APPLICATION

A complete application consists of the following components:

Required Forms:

ED Standard Forms;

o Application for Federal Assistance (SF 424) o Department of Education Supplemental Information for SF 424 o Department of Education Budget Summary Form (ED 524) Sections A & B o Disclosure of Lobbying Activities (SF-LLL) o Evidence Form

To be eligible for an award, an application for a Mid-phase grant must be supported by moderate evidence (as defined in the NIA) for at least one population or setting.

An applicant must identify up to two study citations to be reviewed against What Works Clearinghouse Evidence Standards for the purposes of meeting moderate evidence. The studies may have been conducted by the applicant or by a third party. An applicant must clearly identify these citations in the Evidence form. The Department may not review a study citation that an applicant fails to clearly identify for review. In addition to the two study citations, applicants must include in the Evidence form: (1) the positive student outcomes they intend to replicate under their Mid-phase grant and how the characteristics of students in the study citations and the positive student outcomes correspond with the characteristics of the high-need students to be served under the Mid-phase grant; (2) the correspondence of practice(s) the applicant plans to implement with the practice(s) cited in the studies; and (3) the intended student outcomes that the practice(s) attempts to impact.

o Grant Application Form for Project Objectives and Performance Measures Information

Assurances and Certifications o GEPA Section 427 o Assurances – Non-Construction Programs (SF 424B) o Grants.gov Lobby form (formerly ED 80-0013 form)

Application Narrative:

The EIR application will use the following Grants.gov Narrative Forms.

ED Abstract Narrative Form;

o The ED Abstract Narrative Form is where you will attach your one-page project abstract. Specific instructions are included on page 35 of this application package.

Project Narrative Form;

o The Project Narrative Form is where you will attach the responses to the selection criteria, Absolute

Priority 1: Moderate Evidence and one of the other two absolute priorities as specified in the NIA.

Applicants should include a Table of Contents that includes all responses to the selection criteria.

Specific instructions are included on page 36 of this application package.

Applicants are recommended to limit the project narrative to 30 pages. The Table of Contents does not count towards this recommended limit.

Budget Narrative Form; and o The Budget Narrative Form is where you will attach a budget narrative. Do not include multiple budgets for you and your partner(s). Only one combined budget should be submitted to represent costs for all entities involved in the proposed project. Specific instructions are included on page 40 of this application package.

Other Attachments Form (upload appendices here) o The Other Attachments Form is where you will attach the application appendices. Specific Appendix instructions are included on page 43 of this application package. Applicants should not include substantive, project-related information that they wish peer reviewers to consider anywhere in the application other than in the Project Narrative Form and Budget Narrative Form sections.

o Other Attachments Form (appendices) Appendix A: Nonprofit 501(c)(3) status, if applicable Appendix B: Resumes of Key Personnel Appendix C: Letters of Support and Memoranda of Understanding, if applicable Appendix D: Waiver Request of 10% Match Requirement, if applicable Appendix E: Eligible Applicant’s list of proprietary information found in the application, if applicable Appendix F: Eligibility Checklist and list of rural locale codes, if applicable Appendix G: Demonstration of Match Contributions Appendix H: Other, if applicable

NOTE: If you have multiple documents to be attached to one of the above narrative sections (except for Other Attachments), it is recommended that you merge them into one .PDF file and upload them to the appropriate narrative.

Addressing Your Questions

The Department provides multiple avenues for interested applicants to ask questions and clarify their understanding of the EIR competition and process. Applicants should keep in mind that the Department cannot provide guidance on specific proposals.

Helpful informational PowerPoints on the Mid-phase competition are available on the EIR website at http://innovation.ed.gov/what-we-do/innovation/education-innovation-and-research-eir/.

FY 2019 APPLICATION CHECKLIST

Applicants may use this checklist once they have completed their EIR applications. The checklist contains all mandatory parts of the application.

ED Standard Forms

Application for Federal Assistance (SF 424) -Applicants may consider attaching their documentation for eligibility requirements to the SF 424 Form.

For more information, please visit the EIR website.

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) Evidence Form Grant Application Form for Project Objectives and Performance Measures Information

Assurances and Certifications

GEPA Section 427 Assurances – Non-Construction Programs (SF 424B) Grants.gov Lobby form (formerly ED 80-0013 form)

Application Narrative

Abstract Narrative Form Project Narrative Form Budget Narrative Form Other Attachments Form (Upload Appendices here)

Appendices:

Appendix A: Nonprofit 501(c)(3) status verification, if applicable

Appendix B: Resumes of Key Personnel

Appendix C: Letters of Support and Memoranda of Understanding, if applicable

Appendix D: Waiver Request of 10% Match Requirement, if applicable

Appendix E: Eligible Applicant’s list of proprietary information found in the application, if applicable

Appendix F: Eligibility Checklist and list of rural locale codes, if applicable

Appendix G: Demonstration of Match Contributions

Appendix H: Other, if applicable

NOTE: Eligible applicants should attach all appendices to the Other Attachments Form. The Grants.gov system will allow applicants to attach as many as ten separate appendices in this section; however, applicants are encouraged to limit the number of appendix entries to a reasonable number for a reviewer to read. The entire application package should be no larger than 8MB. Therefore, you may want to check the total size of your package before submission.

REQUIRED FORMS

STANDARD FORMS INSTRUCTIONS

Applicants must submit along with their project narratives the required standard forms, assurances, and certifications included in the list below.

• Application for Federal Assistance (SF 424);

NOTE: Applicants may consider attaching their documentation for eligibility requirements to the Standard Form

(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);

• General Education Provisions Act (GEPA) Requirements - Section 427;

• Assurances, Non-Construction Programs (SF 424B);

• Grants.gov Lobbying form (formerly ED 80-0013 form);

• Evidence Form; and

• Grant Application Form for Project Objectives and Performance Measures Information.

The following pages provide a copy of the instructions for completing these forms. Electronic copies of the required forms can be found at the following addresses: http://www2.ed.gov/fund/grant/apply/appforms/appforms.html , or on the Grants.gov website: https://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=0 and the Grants.gov submission package.

http://www2.ed.gov/fund/grant/apply/appforms/appforms.html https://www.grants.gov/web/grants/forms/sf-424-family.html#sortby=0

OMB Number: 4040-0004

INSTRUCTIONS FOR APPLICA TION FOR FE DE RA L ASSISTANCE (SF-424)

This is a standard form required for use as a cover sheet for submission of pre-applications and applications and related information under discretionary programs. Some of the items are required and some are optional at the discretion of the applicant or the federal agency (agency).

Required fields on the form are identified with an asterisk (*) and are also specified as “Required” in the instructions below. In addition to these instructions, applicants must consult agency instructions to determine other specific requirements.

Item Entry: Item: Entry:

1. Type of Submission: (Required) Select one type of submission in accordance with agency instructions.

• Pre-application

• Application

• Changed/Corrected Application – Check if this submission is to change or correct a previously submitted application. Unless requested by the agency, applicants may not use this form to submit changes after the closing date.

10. Name Of Federal Agency: (Required) Enter the name of the federal agency from which assistance is being requested with this application.

11. Catalog Of Federal Domestic Assistance Number/Title:

Enter the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested, as found in the program announcement, if applicable.

2. Type of Application: (Required) Select one type of application in accordance with agency instructions.

• New – An application that is being submitted to an agency for the first time.

• Continuation - An extension for an additional funding/budget period for a project with a projected completion date. This can include renewals.

• Revision - Any change in the federal government’s financial obligation or contingent liability from an existing obligation. If a revision, enter the appropriate letter(s). More than one may be selected. If "Other" is selected, please specify in text box provided.

A. Increase Award D. Decrease Duration B. Decrease Award E. Other (specify) C. Increase Duration

12. Funding Opportunity Number/Title: (Required) Enter the Funding Opportunity Number (FON) and title of the opportunity under which assistance is requested, as found in the program announcement.

13. Competition Identification Number/Title: Enter the competition identification number and title of the competition under which assistance is requested, if applicable.

14. Areas Affected By Project: This data element is intended for use only by programs for which the area(s) affected are likely to be different than the place(s) of performance reported on the SF- 424 Project/Performance Site Location(s) Form. Add attachment to enter additional areas, if needed.

3. Date Received: Leave this field blank. This date will be assigned by the Federal agency.

15. Descriptive Title of Applicant’s Project: (Required) Enter a brief descriptive title of the project. If appropriate, attach a map showing project location (e.g., construction or real property projects). For pre-applications, attach a summary description of the project.

4. Applicant Identifier: Enter the entity identifier assigned buy the Federal agency, if any, or the applicant’s control number if applicable.

5a. Federal Entity Identifier: Enter the number assigned to your organization by the federal agency, if any.

16. Congressional Districts Of: 16a. (Required) Enter the applicant’s congressional district. 16b. Enter all district(s) affected by the program or project. Enter in the format: 2 characters state abbreviation – 3 characters district number, e.g., CA-005 for California 5th district, CA-012 for California 12 district, NC-103 for North Carolina’s 103 district. If all congressional districts in a state are affected, enter “all” for the district number, e.g., MD-all for all congressional districts in Maryland. If nationwide, i.e. all districts within all states are affected, enter US-all. If the program/project is outside the US, enter 00-000. This optional data element is intended for use only by programs for which the area(s) affected are likely to be different than place(s) of performance reported on the SF-424 Project/Performance Site Location(s) Form. Attach an additional list of program/project congressional districts, if needed.

5b. Federal Award Identifier: For new applications, enter NA. For a continuation or revision to an existing award, enter the previously assigned federal award identifier number. If a changed/corrected application, enter the federal identifier in accordance with agency instructions.

6. Date Received by State: Leave this field blank. This date will be assigned by the state, if applicable.

7. State Application Identifier: Leave this field blank. This identifier will be assigned by the state, if applicable.

8. Applicant Information: Enter the following in accordance with agency instructions:

a. Legal Name: (Required) Enter the legal name of applicant that will undertake the assistance activity. This is the organization that has registered with the Central Contractor Registry (CCR). Information on registering with CCR may be obtained by visiting www.Grants.gov.

17. Proposed Project Start and End Dates: (Required) Enter the proposed start date and end date of the project.

b. Employer/Taxpayer Number (EIN/TIN): (Required) Enter the employer or taxpayer identification number (EIN or TIN) as assigned by the Internal Revenue Service. If your organization is not in the US, enter 44-4444444.

18. Estimated Funding: (Required) Enter the amount requested, or to be contributed during the first funding/budget period by each contributor. Value of in-kind contributions should be included on appropriate lines, as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses.

c. Organizational DUNS: (Required) Enter the organization’s DUNS or DUNS+4 number received from Dun and Bradstreet.

Information on obtaining a DUNS number may be obtained by visiting www.Grants.gov.

19. Is Application Subject to Review by State Under Executive Order 12372 Process? (Required) Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process. Select the appropriate box. If “a.” is selected, enter the date the application was submitted to the State.

d. Address: Enter address: Street 1 (Required); city (Required);

County/Parish, State (Required if country is US), Province, Country (Required), 9-digit zip/postal code (Required if country

US).

20. Is the Applicant Delinquent on any Federal Debt?

(Required) Select the appropriate box. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of federal debt include;

but, may not be limited to: delinquent audit disallowances, loans and taxes. If yes, include an explanation in an attachment.

e. Organizational Unit: Enter the name of the primary organizational unit, department or division that will undertake the assistance activity.

21. Authorized Representative: To be signed and dated by the authorized representative of the applicant organization. Enter the first and last name (Required); prefix, middle name, suffix.

Enter title, telephone number, email (Required); and fax number.

A copy of the governing body’s authorization for you to sign this application as the official representative must be on file in the applicant’s office. (Certain federal agencies may require that this authorization be submitted as part of the application.)

f. Name and contact information of person to be contacted on matters involving this application: Enter the first and last name (Required); prefix, middle name, suffix, title. Enter organizational affiliation if affiliated with an organization other than that in 7.a. Telephone number and email (Required); fax number.

9. Type of Applicant: (Required) Select up to three applicant…