PKG00253700-instructions.pdf

U.S. DEPARTMENT OF EDUCATION

OFFICE OF SPECIAL EDUCATION & REHABILITATIVE SERVICES

OFFICE OF SPECIAL EDUCATION PROGRAMS

WASHINGTON, D.C. 20202

FISCAL YEAR 2019

APPLICATION FOR NEW GRANTS UNDER THE

INDIVIDUALS WITH DISABILITIES EDUCATION ACT (IDEA)

TECHNICAL ASSISTANCE AND DISSEMINATION TO IMPROVE

SERVICES AND RESULTS FOR CHILDREN WITH DISABILITIES

(CFDA 84.326)

APPLICATIONS FOR NEW AWARDS;

NATIONAL TECHNICAL ASSISTANCE CENTER

FOR SYSTEMIC IMPROVEMENT

(CFDA 84.326R)

DATED MATERIAL: OPEN IMMEDIATELY

CLOSING DATE: SEPTEMBER 9, 2019

FORM APPROVED—OMB NO. 1820-0028, EXP. DATE: 07/31/2022

http://www.ed.gov/

GRANT APPLICATION PACKAGE CFDA 84.326R

CONTENTS

Applicant Letter ...................................................................................................................... A1

Notice Inviting Applications .................................................................................................. B1

Federal Register Notice ...................................................................................................... B2

Grants.gov Submission Procedures and Tips for Applicants ............................................. B31

Priority Description and Selection Criteria........................................................................... C1

National Technical Assistance Center for Systemic Improvement (CFDA 84.326R) ............ C2

Selection Criteria and Format for the Applications for New Awards—National Technical Assistance Center for Systemic Improvement (CFDA 84.326R) Competition ...................................................................................................................... C20

General Information on Completing an Application ............................................................ D1

Application Transmittal Instructions and Requirements for Intergovernmental Review ..................................................................................................... E1

Application Transmittal Instructions .................................................................................... E2

Appendix ................................................................................................................................ F1

Intergovernmental Review of Federal Programs ................................................................. F2

State Single Points of Contact (SPOCs) ............................................................................. F3

Notice to All Applicants Ensuring Equitable Access and Application Forms and Instructions ......................................................................................................... G1

Part I: Application for Federal Assistance (SF-424) ............................................................ G6

Part II: Budget Information (Form 524) ............................................................................. G21

Part III: Application Narrative ............................................................................................ G27

Part IV: Assurances and Certifications .............................................................................. G28

Assurances—Non-Construction Programs ........................................................... G28

Certification Regarding Lobbying .......................................................................... G31

Disclosure of Lobbying Activities ........................................................................... G32

Part V: Additional Information ........................................................................................... G33

DUNS Number Instructions ................................................................................... G33

Grant Application Receipt Acknowledgement ........................................................ G33

Grant and Contract Funding Information ............................................................... G33

PAPERWORK BURDEN STATEMENT

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a currently valid OMB control number.

The valid OMB control number for this collection is 1820-0028. Public reporting burden for this collection of information is estimated to average 45 hours and 40 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain or retain a benefit (P.L. 108-446, Sec. 650 and 682). If you have comments or concerns regarding the status of your individual submission of this form, please contact the Office of Special Education Programs (OSEP) Discretionary Grant Programs, Office of Special Education and Rehabilitative Services, U.S.

Department of Education, 400 Maryland Avenue, SW, Potomac Center Plaza, room 5008C, Washington D.C. 20202-5076 or by phone at 202-245-7542.

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APPLICANT LETTER

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Dear Applicant:

This application packet contains information and the required forms for you to use in submitting a new application for funding under one program authorized by the Individuals with Disabilities Education Act (IDEA). This packet covers one competition under the Technical Assistance and Dissemination to Improve Services and Results for Children with Disabilities (CFDA 84.326) program—Applications for New Awards; Technical Assistance and Dissemination to Improve Services and Results for Children with Disabilities—National Technical Assistance Center for Systemic Improvement (CFDA No. 84.326R).

Please take the time to review all of the applicable requirements, definitions, selection criteria, and application instructions thoroughly. An application will not be evaluated for funding if the applicant does not comply with all of the procedural rules that govern the submission of the application or if the application does not contain the information required. (EDGAR §75.216 (b) and (c)).

Please note the following:

• GRANTS.GOV APPLICATION SUBMISSION AND SAM REGISTRATION.

Applications for grants under this competition must be submitted electronically using the Grants.gov Apply site (www.Grants.gov). Please read carefully the Grants.gov Submission Procedures and Tips for Applicants document included on page B-31, which includes helpful tips about submitting electronically using the Grants.gov Apply site. Grants.gov registration involves many steps including registration on SAM (www.sam.gov), which may take approximately one week to complete, but could take as many as several weeks to complete. 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. You cannot submit an application through Grants.gov until Grants.gov has received your SAM registration information. We strongly encourage you to familiarize yourself with SAM and Grants.gov and strongly recommend that you register and submit early.

Applicants are required to upload any narrative sections and all other attachments to your application as files in either Portable Document Format (PDF) or Microsoft Word.

However, it is recommended that applicants upload files as read-only flattened PDFs.

Information on computer and operating system compatibility with Adobe and links to download the latest version of Adobe are available on Grants.gov. Please note that you must follow the Application Procedures as described in the Federal Register notice announcing this grant competition. Information (including dates and times) about how to submit your application electronically can also be found in section E of this application package, Application Transmittal Instructions and Requirements for Intergovernmental Review.

http://www.grants.gov/ http://www.sam.gov/

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Additional instructions for sending applications electronically are provided on page E-2, Application Forms and Instructions for Grants.gov Applications.

• MAXIMUM AWARD AMOUNT.

The competition included in this package has a maximum award amount. Please refer to the specific information for the priority/competition to which you are submitting an application (i.e., Section B of this package) for detailed budget information for the total grant period requested.

Please be advised that for the priority in this package, the maximum award amount covers all project costs, including indirect costs.

• RECOMMENDED PAGE LIMITS AND LINE SPACING OF APPLICATION NARRATIVE.

The competition included in this package limits the Part III Application Narrative to a recommended number of double-spaced pages. This recommended page limit and double-line spacing applies to all material presented in the application narrative. This recommended double-line spacing applies to all titles, headings, footnotes, quotations, reference citations, and captions, as well as all text in charts, tables, figures, graphs, and screen shots included in the application narrative. (Please refer to the specific recommendations on page limits for the priority/competition to which you are submitting an application, Section B of this package).

• FORMAT FOR OTHER SECTIONS OF THE APPLICATION.

Additional information regarding formatting applications has been included on Pages D-3 and D-4 of the “General Information on Completing an Application” section of this package.

Appendix A: Reviewers will be instructed to review the content of Appendix A as they do the application narrative. Reviewers will not be required to review any other appendices.

Charts, tables, figures, graphs, screen shots and logic models that provide information directly relating to the application requirements for the narrative should be the only items included in Appendix A. Appendix A should not be used for supplementary information. Please note that charts, tables, figures, graphs, screen shots, and logic models can be single-spaced when placed in an Appendix A.

Abstract: For the application Abstract, applicants should use the template located at:

https://www2.ed.gov/fund/grant/apply/osep/new-osep-grants.html.

• ABSOLUTE PRIORITY.

This competition includes one absolute priority. The Department will use peer reviewers to review and score applications on the selection criteria.

https://www2.ed.gov/fund/grant/apply/osep/new-osep-grants.html

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Prior to the peer review, Department staff will determine if an application has met the absolute priority and is eligible for peer review. An application that has not met the absolute priority will not be considered for funding and may not be reviewed.

• PROTECTION OF HUMAN SUBJECTS IN RESEARCH.

The discretionary grant Application Form SF-424 requires applicants to indicate whether they plan to conduct research involving human subjects at any time during the proposed project period. The Protection of Human Subjects in Research Attachment is an integral part of the SF-424 form. It includes information that applicants need to complete the protection of human subjects item and, as appropriate, to provide additional information to the Department regarding human subjects research projects. Additional information on completing the protection of human subjects item is also available and can be accessed on the internet at:

www.ed.gov/about/offices/list/ocfo/gcsindex.html www.ed.gov/about/offices/list/ocfo/humansub.html

• RESPONSE TO GPRA.

As required by the Government Performance and Results Modernization Act (GPRA) of 2010 the Office of Special Education Programs (OSEP) has developed a strategic plan for measuring GPRA performance. The program included in this announcement is authorized under Part D - National Activities to Improve Education of Children with Disabilities of the Individuals with Disabilities Education Act. Projects funded under this competition are required to submit data on GPRA performance measures as directed by OSEP. See Performance Measures included in the Priority Description section of this application package. Applicants are encouraged to consider this information when preparing their applications.

• COPIES OF THE APPLICATION.

Unless you qualify for an exception in accordance with the instructions found in the notice inviting applications, you must submit your application electronically. Therefore, you do not need to submit paper copies of the application. If you are granted an exception, current Government-wide policy requires that an original and two paper copies need to be submitted. Please note: If an application is recommended for funding and a grant award is issued, we will contact the applicant to request an electronic copy of the application in MS Word or a PDF file. The Department is moving toward an electronic grant filing system and an electronic copy of all applications that are being funded will facilitate this effort.

ADDITIONAL INFORMATION

OSEP also provides information on developing performance measures and logic models at https://www.osepideasthatwork.org/logicModel to assist you in preparing a quality application.

http://www.ed.gov/about/offices/list/ocfo/gcsindex.html http://www.ed.gov/about/offices/list/ocfo/humansub.html https://www.osepideasthatwork.org/logicModel

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For information about other U.S. Department of Education grant and contract opportunities, we encourage you to use the Department's grant information web page which can be accessed on the internet at http://www.ed.gov/about/offices/list/ocfo/grants/grants.html.

We appreciate your efforts to improve the provision of services for individuals with disabilities.

Sincerely, /s/ Lawrence J. Wexler, Ed.D.

Director Research to Practice Division Office of Special Education Programs http://www.ed.gov/about/offices/list/ocfo/grants/grants.html

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NOTICE INVITING APPLICATIONS

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FEDERAL REGISTER NOTICE

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Technical Assistance and Dissemination to Improve Services and Results for Children with Disabilities--National Technical Assistance Center for Systemic Improvement

AGENCY: Office of Special Education and Rehabilitative Services, Department of Education.

ACTION: Notice.

SUMMARY:

The mission of the Office of Special Education and Rehabilitative Services (OSERS) is to improve early childhood, educational, and employment outcomes and raise expectations for all people with disabilities, their families, their communities, and the Nation. As such, the Department of Education (Department) is issuing a notice inviting applications for new awards for fiscal year (FY) 2019 for a National Technical Assistance Center for Systemic Improvement, Catalog of Federal Domestic Assistance (CFDA) number 84.326R. This Center will provide differentiated support to States to help them best use their general supervision and professional development (PD) systems to establish and meet high expectations for each child with a disability. This notice relates to the approved information collection under OMB control number 1820-0028.

DATES:

Applications Available: August 8, 2019.

Deadline for Transmittal of Applications: September 9, 2019.

Pre-Application Webinar Information: No later than August 13, 2019, OSERS will post pre-recorded informational webinars designed to provide technical assistance (TA) to interested applicants. The webinars may be found at www2.ed.gov/fund/grant/apply/osep/new-osep-grants.html.

Pre-Application Q & A Blog: No later than August 13, 2019, OSERS will open a blog where interested applicants may post questions about the application requirements for this competition and where OSERS will post answers to the questions received. OSERS will not respond to questions unrelated to the application requirements for this competition. The blog may be found at www2.ed.gov/fund/grant/apply/osep/new-osep-grants.html and will remain open until August https://www2.ed.gov/fund/grant/apply/osep/new-osep-grants.html

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27, 2019. After the blog closes, applicants should direct questions to the person listed under

FOR FURTHER INFORMATION CONTACT.

ADDRESSES:

For the addresses for obtaining and submitting an application, please refer to our Common Instructions for Applicants to Department of Education Discretionary Grant Programs, published in the Federal Register on February 13, 2019 (84 FR 3768), and available at www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf.

FOR FURTHER INFORMATION CONTACT:

Perry Williams U.S. Department of Education 400 Maryland Avenue, SW Room 5131, Potomac Center Plaza Washington, DC 20202-5076

Telephone: (202) 245-7575

Email: Perry.Williams@ed.gov

If you use a telecommunications device for the deaf (TDD) or a text telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1-800-877-8339.

SUPPLEMENTARY INFORMATION

FULL TEXT OF ANNOUNCEMENT

https://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf mailto:Perry.Williams@ed.gov

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I. FUNDING OPPORTUNITY DESCRIPTION

Purpose of Program:

The purpose of the Technical Assistance and Dissemination to Improve Services and Results for Children with Disabilities program is to promote academic achievement and to improve results for children with disabilities by providing TA, supporting model demonstration projects, disseminating useful information, and implementing activities that are supported by scientifically based research.

Priority:

This competition includes one absolute priority. In accordance with 34 CFR 75.105(b)(2)(v), this priority is from allowable activities specified in the statue (see sections 663 and 681(d) of the Individuals with Disabilities Education Act (IDEA); 20 U.S.C. 1463 and 1481(d)).

Absolute Priority:

For FY 2019 and any subsequent year in which we make awards from the list of unfunded applications from this competition, this priority is an absolute priority. Under 34 CFR 75.105(c)(3), we consider only applications that meet this priority.

This priority is:

National Technical Assistance and Dissemination Center for Systemic Improvement (Center).

Background:

The Department has worked extensively with States to ensure meaningful access to special education and related services for children with disabilities (CWD) and has noted significant improvements in compliance with the IDEA requirements over the last decade. However, educational outcomes in reading and math, as well as graduation rates, for CWD continue to lag those of children without disabilities. Results of the 2017 National Assessment of Educational Progress (NAEP) in reading and mathematics show the performance of students with disabilities, excluding those with a 504 plan, to be significantly lower than the performance of students without disabilities. In fact, since 2009, performance of students with disabilities, excluding those with a 504 plan, has decreased in 4th and 8th grade mathematics and 4th grade reading. Even where performance improved on the 8th grade reading assessment, the gap between students with disabilities, excluding those with a 504 plan, and those without disabilities increased from 2009 to 2017. Recent data from 2016 to 2017 show that high school graduation rates for all children was 85 percent while the graduation rate for CWD was 66

B-5 percent (National Center for Education Statistics, 2019).

States have an important role to play in increasing equal opportunity and improving educational outcomes for CWD, and in reducing the persistent gaps in performance between children with and without disabilities (Tomasello & Brand, 2018). The Elementary and Secondary Education Act of 1965 (ESEA), as amended by the Every Student Succeeds Act of 2015 (ESSA), and the IDEA, reauthorized in 2004, provide States the opportunity to align State plans, priorities, support to local educational agencies (LEAs), and multiple existing efforts across general and special education programs to help close achievement gaps and improve educational outcomes for all children, including CWD.

ESSA contains several key provisions that align with IDEA. States can align ESSA and IDEA implementation efforts to ensure that they--

(1) Effectively support children with the most significant cognitive disabilities to increase access to the general education curriculum;

(2) Maintain inclusion of all CWD in accountability systems;

(3) Promote the use of evidence-based1 practices (EBPs) to provide intervention and support to LEAs in need of improvement; and

(4) Include meaningful and authentic stakeholder engagement in all aspects of the planning and implementation process (National Council on Disability, 2018).

Additionally, ESSA and IDEA underscore the importance of a shared, integrated, and systemic approach to supporting LEAs and schools, and they provide States with a framework to design their accountability systems to improve outcomes for all children. In 2012, OSEP shifted its accountability framework from a predominant focus on compliance with Federal regulations toward an approach of monitoring and supporting States’ implementation of both the results and compliance provisions of IDEA, termed Results-Driven Accountability (RDA).2

RDA has provided States with an increased opportunity to rethink, reshape, and refocus the

1 For the purposes of this priority, “evidence-based” means, at a minimum, evidence that demonstrates a rationale (as defined in 34 CFR 77.1), where a key project component included in the project’s logic model is informed by research or evaluation findings that suggest the project component is likely to improve relevant outcomes.

2 Results-Driven Accountability includes three components: (1) the State Performance Plan (SPP)/Annual Performance Report (APR); (2) annual State determinations; and (3) differentiated monitoring and support.

B-6 components of their general supervision system3 by incorporating and using child-level results data to inform decisions related to monitoring, local determinations, and other accountability efforts. One of the major components of RDA within the State Performance Plan (SPP)/Annual Performance Report (APR) that has garnered support and interest from States is the State Systemic Improvement Plan (SSIP). Each State was required to submit an SSIP as part of its SPP/APR beginning in Federal Fiscal Year 2013. Each State identified a State Identified Measurable Result (SIMR) under Part B of IDEA. The SSIP contains three phases: (1) analysis of data and other information to provide a foundation for the SSIP; (2) development of the plan to improve results; and (3) implementation and evaluation of the plan. States are using the SSIP, a comprehensive, multiyear plan that is focused on improving a SIMR, to leverage resources and enhance their infrastructure and better implement IDEA with an emphasis on improving outcomes for CWD in State-selected areas such as reading, mathematics, or graduation. Each phase of the SSIP requires stakeholder engagement for decision-making and prioritizing outcomes.

All States have developed their SSIPs and are now heavily engaged in capacity-building efforts to implement and evaluate improvement efforts and report progress under four main elements of the SSIP Phase III report, which are: (1) data collection, analysis, and use to inform decision-making; (2) development of infrastructure improvement strategies necessary to support, sustain, and scale-up system improvement efforts; (3) selection and use of EBPs that are implemented with fidelity; and (4) engagement of diverse stakeholders to implement key improvement strategies and inform decision-making within the State system. These elements also align with key capacity-building components of ESSA implementation.

OSEP’s review of States’ submitted SSIPs in 2018 and a National Center for Learning Disabilities (NCLD) report, Assessing ESSA: Missed Opportunities for Children with Disabilities, indicate there are still multiple challenges that affect States’ abilities to successfully align and implement their ESSA State plans and establish strong comprehensive accountability systems to support schools that struggle to improve results for CWD (NCLD, 2018).

Specifically, those challenges include tracking implementation of EBPs and determining whether they have been implemented with fidelity, high turnover rates of staff at various levels across the State educational agency (SEA) and in LEAs, effective systems alignment with general education efforts, supporting LEAs in selecting and implementing EBPs to meet the needs of children with increasingly high intensity and complex needs (e.g., exposure to opioids), 3 “General supervision system” refers to a State’s system for ensuring compliance and improving results and includes the SPP; policies, procedures, and effective implementation; integrated monitoring activities;

fiscal management; data on processes and results; improvement, correction, incentives, and sanctions;

effective dispute resolution; and targeted TA and professional development.

B-7 establishing multi-tiered systems of support (MTSS) to provide differentiated TA to LEAs, evaluation of their SSIPs’ infrastructure improvement strategies, leveraging fiscal systems to achieve desired outcomes, designing and implementing professional development that meets the individual needs of teachers, and revising general supervision systems to include results as an integral component.

The Center will engage in collaborative TA activities with other Department-funded TA centers, and it will broaden, deepen, and facilitate systems alignment within State programs and engagement with existing State TA and PD systems. In addition, the Center will assist SEAs with ensuring stakeholder engagement and support to meet shared goals and identify and remove barriers for improving results for CWD. The Center must be operated in a manner consistent with nondiscrimination requirements contained in the U.S. Constitution and Federal civil rights laws.

Further, we acknowledge that States are in the best position to determine implementation of their programs, and as such, the Center will be required to customize its TA to meet each State’s specific identified needs and leverage their resources to meet those needs.

Priority:

The purpose of this priority is to fund a cooperative agreement to establish and operate a National Technical Assistance Center for Systemic Improvement (Center). The Center must achieve, at a minimum, the following expected outcomes:

(a) Increased capacity of SEAs to align with broader general education initiatives to ensure ESSA and IDEA implementation best supports the needs of CWD;

(b) Increased capacity of SEAs to effectively implement their general supervision systems that serve to improve results for CWD, while maintaining compliance with the IDEA;

(c) Increased capacity of SEAs to effectively implement, evaluate, and revise (as necessary) their SSIPs and ensure progress toward meeting their SIMR;

(d) Increased effectiveness of SEAs in meaningfully and authentically engaging diverse State (including State-level partnerships)4 and local stakeholders in ways that will support the effective implementation of ESSA and IDEA;

4 For the purposes of this priority, “State-level partnerships” refers to State affiliates of nationally recognized professional and family networks that form an infrastructure for policy development, dissemination of information, interaction, and learning.

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(e) Increased capacity of SEAs to support LEAs in selecting and implementing EBPs within frameworks (e.g., MTSS such as positive behavioral interventions and supports (PBIS), response to intervention (RTI), and others);

(f) Increased capacity of SEAs to fully engage families, including partnerships with OSEP-funded parent centers and the Office of Elementary and Secondary Education (OESE) Statewide Family Engagement Centers in the implementation of systemic improvement efforts;

(g) Increased capacity of SEAs to deliver effective TA to LEAs using an aligned TA model grounded in implementation and improvement sciences through collaboration with OSEP-funded TA centers; and

(h) Improved access to objective information for families and youth with disabilities on the range of quality educational options5 and supports.

Note: The OSEP-funded TA related to young children (ages birth through five) with disabilities, and the IDEA Part C and Part B section 619 programs, will primarily be provided by the centers funded under CFDA numbers 84.325B, 84.326B, 84.326P, and 84.373Z. This Center will focus on providing TA to SEAs to implement Part B of the IDEA, which serves children ages 3 through 21, and will develop products or provide TA to SEAs on issues that impact the entire Part B system, such as general supervision or SSIP implementation. Consequently, this Center generally will respond to a State request for products or TA on issues solely associated with CWD ages birth through 5, such as preschool least restrictive environments, early childhood

5 For the purpose of this priority, “educational options” means the opportunity for a child or student (or a family member on their behalf) to create a high-quality personalized path for learning that is consistent with applicable Federal, State, and local laws; is in an educational setting that best meets the child’s or student’s needs; and, where possible, incorporates evidence-based activities, strategies, or interventions. Opportunities made available to a child or student through a grant program are those that supplement what is provided by a child’s or student’s geographically assigned school or the institution in which he or she is currently enrolled and may include one or more of the following options: (1) Public educational programs or courses, including those offered by traditional public schools, public charter schools, public magnet schools, public online education providers, or other public education providers; (2) Private or home-based educational programs or courses, including those offered by private schools, private online providers, private tutoring providers, community or faith-based organizations, or other private education providers; (3) Part-time coursework or career preparation, offered by a public or private provider in person or through the internet or another form of distance learning, that serves as a supplement to full-time enrollment at an educational institution, as a stand-alone program leading to a credential, or as a supplement to education received in a homeschool setting; and (4) Other educational services, including credit-recovery, accelerated learning, or tutoring.

B-9 outcomes, and early childhood transition, by referring the State to one or more other OSEP-funded centers that focus on such issues.

In addition to these programmatic requirements, to be considered for funding under this priority, applicants must meet the application and administrative requirements in this priority, which are:

(a) Demonstrate, in the narrative section of the application under “Significance,” how the proposed project will--

(1) Address the current and emerging needs of SEAs to meet ESSA and IDEA requirements by aligning structures and improving processes within and across levels of the system to support the implementation and evaluation of their State plans; appropriately apply coherent improvement strategies, based on thorough data analyses, that are aligned to current efforts to improve outcomes for all CWD; provide effective TA on how to implement EBPs with fidelity; meaningfully and authentically engage diverse stakeholders (including State-level partnerships); assist States in evaluating their implementation efforts and their impact; and ensure the effective implementation of their results-based general supervision systems to support effective implementation of the IDEA.

To meet this requirement the applicant must--

(i) Demonstrate knowledge of current educational issues and policy initiatives relating to ongoing challenges with implementing ESSA and IDEA alignment efforts by SEAs to target and support LEA improvement efforts;

(ii) Present information and data about the current capacity of SEAs to support systemic change, and how the Center will address this challenge to enhance SEA capacity to support LEAs to implement, scale-up, and sustain EBPs with fidelity;

(iii) Demonstrate knowledge of current educational issues and policy initiatives and the range of quality educational options that may be available in States to families of CWD and how the Center will provide TA and information dissemination to SEAs that increase opportunities and outcomes for CWD and their families;

(iv) Describe how the Center will engage diverse stakeholders (including State-level partnerships), local stakeholders, and Department-funded parent and statewide family engagement centers in the SEAs’ decision-making processes to ensure effective implementation and evaluation of the SSIP and other State initiatives that establish high expectations and improved outcomes for CWD; and

(v) Identify and engage with existing State TA and dissemination systems to assist the Center with supporting statewide systemic improvement efforts.

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(2) Improve SEA infrastructure (e.g., governance, fiscal systems, quality standards, PD, data sharing and analysis, TA, and accountability/monitoring) so SEAs can effectively implement the IDEA and their SSIPs. Applicants must indicate the likely magnitude or importance of the improvements.

(3) Collaborate and engage with other Department and OSEP-funded TA Centers (e.g., PBIS Center; Collaboration for Effective Educator Development, Accountability, and Reform (CEEDAR) Center; and the State Implementation and Scaling-up of Evidence-based Practices (SISEP) Center) to incorporate a problem-solving logic and multi-tiered approach in the TA provided to SEAs to address equity issues and effectively and efficiently support the implementation of SSIPs and improve States’ general supervision systems.

(b) Demonstrate, in the narrative section of the application under “Quality of the project services,” how the proposed project will--

(1) Ensure equal access and treatment for members of groups that have traditionally been underrepresented based on race, color, national origin, gender, age, or disability. To meet this requirement, the applicant must describe how it will--

(i) Identify the needs of the intended recipients for TA and information; and

(ii) Ensure that services and products meet the needs of the intended recipients of the grant;

(2) Achieve its goals, objectives, and intended outcomes. To meet this requirement, the applicant must provide--

(i) Measurable intended project outcomes; and

(ii) In Appendix A, the logic model6 by which the proposed project will achieve its intended outcomes that depicts, at a minimum, the goals, activities, outputs, and intended outcomes of the proposed project;

(3) Use a conceptual framework (and provide a copy in Appendix A) to develop project plans and activities, describing any underlying concepts, assumptions, expectations, beliefs, or theories, as well as the presumed relationships or linkages among these variables, and any empirical support for this framework;

6 Logic model (as defined in 34 CFR 77.1) (also referred to as a theory of action) means a framework that identifies key project components of the proposed project (i.e., the active “ingredients” that are hypothesized to be critical to achieving the relevant outcomes) and describes the theoretical and operational relationships among the key project components and relevant outcomes.

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Note: The following websites provide more information on logic models and conceptual frameworks: www.osepideasthatwork.org/logicModel and www.osepideasthatwork.org/resources-grantees/program-areas/ta-ta/tad-project-logic-model-and-conceptual-framework.

(4) Be based on current research and make use of EBPs. To meet this requirement, the applicant must describe--

(i) The current research on the assessment of infrastructure development that builds capacity in SEAs and LEAs to implement, scale-up, and sustain the use of EBPs;

(ii) The current research about adult learning principles, as well as implementation and improvement science, that will inform the proposed TA; and

(iii) How the proposed project will incorporate current research and EBPs in the development and delivery of its products and services;

(5) Develop products and provide services that are of high quality and sufficient intensity and duration to achieve the intended outcomes of the proposed project. To address this requirement, the applicant must describe--

(i) How it proposes to identify or develop the knowledge base on how to implement components of a comprehensive SSIP and effective general supervision and PD systems;

(ii) Its proposed approach to universal, general TA,7 which must identify the intended recipients, including the type and number of recipients, that will receive the products and services, a description of the products and services that the Center proposes to make available, and the expected impact of those products and services under this approach;

(iii) Its proposed approach to targeted, specialized TA,8 which must identify--

7 “Universal, general TA” means TA and information provided to independent users through their own initiative, resulting in minimal interaction with TA center staff and including one-time, invited or offered conference presentations by TA center staff. This category of TA also includes information or products, such as newsletters, guidebooks, or research syntheses, downloaded from the TA center's website by independent users. Brief communications by TA center staff with recipients, either by telephone or email, are also considered universal, general TA.

8 “Targeted, specialized TA” means TA services based on needs common to multiple recipients and not extensively individualized. A relationship is established between the TA recipient and one or more TA center staff. This category of TA includes one-time, labor-intensive events, such as facilitating strategic planning or hosting regional or national conferences. It can also include episodic, less labor-intensive

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(A) The intended recipients, including the type and number of recipients, that will receive the products and services, a description of the products and services that the Center proposes to make available, and the expected impact of those products and services under this approach; and

(B) Its proposed approach to measure the readiness of potential TA recipients to work with the project, assessing, at a minimum, their current infrastructure, available resources, and ability to build capacity at the local level; and

(iv) Its proposed approach to intensive, sustained TA,9 which must identify--

(A) The intended recipients, including the type and number of recipients, that will receive the products and services, a description of the products and services that the Center proposes to make available, and the expected impact of those products and services under this approach;

(B) Its proposed approach to measure the readiness of SEAs to work with the project, including their commitment to the initiative, alignment of the initiative to their needs, current infrastructure, available resources, and ability of the SEAs to build capacity at the local level;

(C) Its proposed plan to prioritize TA recipients whose most recent annual determination by the Secretary was that the State needs intervention under section 616(d)(2)(A)(iii) of IDEA or needs substantial intervention under section 616(d)(2)(A)(iv) of IDEA in implementing the requirements of Part B of IDEA.

(C) Its proposed plan for assisting SEAs to build or enhance PD systems based on adult learning principles and that include sustained coaching; and

(D) Its proposed plan for working with appropriate levels of the education system (e.g., SEAs, educational service agencies (ESAs), LEAs, other TA providers, parents and families) to ensure that there is communication between each level and that there are systems in place to support implementation of EBPs;

events that extend over a period of time, such as facilitating a series of conference calls on single or multiple topics that are designed around the needs of the recipients. Facilitating communities of practice can also be considered targeted, specialized TA.

9 “Intensive, sustained TA” means TA services often provided on-site and requiring a stable, ongoing relationship between the TA center staff and the TA recipient. “TA services” are defined as negotiated series of activities designed to reach a valued outcome. This category of TA should result in changes to policy, program, practice, or operations that support increased recipient capacity or improved outcomes at one or more systems levels.

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(6) Develop products and implement services that maximize efficiency. To address this requirement, the applicant must describe--

(i) How the proposed project will use technology to achieve the intended project outcomes;

(ii) With whom the proposed project will collaborate and the intended outcomes of this collaboration, which must include--

(A) How the proposed project will collaborate with other Department and OSEP-funded TA centers working with SEAs to effectively support the implementation of SSIPs and improve States’ general supervision; and

(B) How the proposed project will collaborate with OSEP-funded TA centers working in early childhood systems to align TA on infrastructure development and system improvement efforts between early childhood agencies and the SEA; and

(iii) How the proposed project will use non-project resources to achieve the intended project outcomes.

In the narrative section of the application under “Quality of the evaluation plan,” include an evaluation plan for the project as described in the following paragraphs.

The evaluation plan must describe: measures of progress in implementation, including the criteria for determining the extent to which the project’s products and services have met the goals for reaching its target population; measures of intended outcomes or results of the project’s activities in order to evaluate those activities; and how well the goals or objectives of the proposed project, as described in its logic model, have been met.

The applicant must provide an assurance that, in designing the evaluation plan, it will--

(1) Designate, with the approval of the OSEP project officer, a project liaison staff person with sufficient dedicated time, experience in evaluation, and knowledge of the project to work in collaboration with the Center to Improve Program and Project Performance (CIP3),10 the project director, and the OSEP project officer on the following tasks:

10 The major tasks of CIP3 are to guide, coordinate, and oversee the design of formative evaluations for every large discretionary investment (i.e., those awarded $500,000 or more per year and required to participate in the 3+2 process) in OSEP’s Technical Assistance and Dissemination; Personnel Development; Parent Training and Information Centers; and Educational Technology, Media, and Materials programs. The efforts of CIP3 are expected to enhance individual project evaluation plans by providing expert and unbiased TA in designing the evaluations with due consideration of the project’s budget. CIP3 does not function as a third-party evaluator.

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(i) Revise, as needed, the logic model submitted in the application to provide for a more comprehensive measurement of implementation and outcomes and to reflect any changes or clarifications to the model discussed at the kick-off meeting;

(ii) Refine the evaluation design and instrumentation proposed in the application consistent with the logic model (e.g., prepare evaluation questions about significant program processes and outcomes; develop quantitative or qualitative data collections that permit both the collection of progress data, including fidelity of implementation, as appropriate, and the assessment of project outcomes; and identify analytic strategies); and

(iii) Revise, as needed, the evaluation plan submitted in the application such that it clearly--

(A) Specifies the measures and associated instruments or sources for data appropriate to the evaluation questions, suggests analytic strategies for those data, provides a timeline for conducting the evaluation, and includes staff assignments for completing the plan;

(B) Delineates the data expected to be available by the end of the second project year for use during the project’s evaluation (3+2 review) for continued funding described under the heading Fourth and Fifth Years of the Project; and

(C) Can be used to assist the project director and the OSEP project officer, with the assistance of CIP3, as needed, to specify the performance measures to be addressed in the project’s Annual Performance Report;

(2) Cooperate with CIP3 staff in order to accomplish the tasks described in paragraph (1) of this section; and

(3) Dedicate sufficient funds in each budget year to cover the costs of carrying out the tasks described in paragraphs (1) and (2) of this section and implementing the evaluation plan.

(d) Demonstrate, in the narrative section of the application under “Adequacy of resources and quality of project personnel,” how--

(1) The proposed project will encourage applications for employment from persons who are members of groups that have traditionally been underrepresented based on race, color, national origin, gender, age, or disability, as appropriate;

(2) The proposed key project personnel, consultants, and subcontractors have the qualifications and experience to carry out the proposed activities and achieve the project’s intended outcomes;

(3) The applicant and any key partners have adequate resources to carry out the proposed activities; and

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(4) The proposed costs are reasonable in relation to the anticipated results and benefits.

(e) Demonstrate, in the narrative section of the application under “Quality of the management plan,” how--

(1) The proposed management plan will ensure that the project’s intended outcomes will be achieved on time and within budget. To address this requirement, the applicant must describe--

(i) Clearly defined responsibilities for key project personnel, consultants, and subcontractors, as applicable; and

(ii) Timelines and milestones for accomplishing the project tasks;

(2) Key project personnel and any consultants and subcontractors will be allocated and how these allocations are appropriate and adequate to achieve the project’s intended outcomes;

(3) The proposed management plan will ensure that the products and services provided are of high quality, relevant, and useful to recipients; and

(4) The proposed project will benefit from a diversity of perspectives, including those of families, educators, TA providers, researchers, and policy makers, among others, in its development and operation.

(f) Address the following application requirements. The applicant must--

(1) Include, in Appendix A, personnel-loading charts and timelines, as applicable, to illustrate the management plan described in the narrative;

(2) Include, in the budget, attendance at the following:

(i) A one and one-half day kick-off meeting in Washington, DC, after receipt of the award, and an annual planning meeting, with the OSEP project officer and other relevant staff during each subsequent year of the project period.

Note: Within 30 days of receipt of the award, a post-award teleconference must be held between the OSEP project officer and the grantee’s project director or other authorized representative;

(ii) A two and one-half day project directors’ conference in Washington, DC, during each year of the project period;

(iii) Two annual trips to attend Department briefings, Department-sponsored conferences, and other meetings, as requested by OSEP; and

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(iv) A one-day intensive 3+2 review meeting during the last half of the second year of the project period;

(3) Include, in the budget, a line item for an annual set-aside of five percent of the grant amount to support emerging needs that are consistent with the proposed project’s intended outcomes, as those needs are identified in consultation with, and approved by, the OSEP project officer. With approval from the OSEP project officer, the project must reallocate any remaining funds from this annual set-aside no later than the end of the third quarter of each budget period;

(4) Maintain a high-quality website, with an easy-to-navigate design, that meets government or industry-recognized standards for accessibility;

(5) Ensure that annual progress toward meeting project goals is posted on the project website;

and

(6) Include, in Appendix A, an assurance to assist OSEP with the transfer of pertinent resources and products and to maintain the continuity of services to TA recipients during the transition to this new award period and at the end of this award period, as appropriate.

Fourth and Fifth Years of the Project:

In deciding whether to continue funding the project for the fourth and fifth years, the Secretary will consider the requirements of 34 CFR 75.253(a), as well as--

(a) The recommendation of a 3+2 review team consisting of experts selected by the Secretary.

This review will be conducted during a one-day intensive meeting that will be held during the last half of the second year of the project period;

(b) The timeliness with which, and how well, the requirements of the negotiated cooperative agreement have been or are being met by the project; and

(c) The quality, relevance, and usefulness of the project’s products and services and the extent to which the project’s products and services are aligned with the project’s objectives and likely to result in the project achieving its intended outcomes.

Under 34 CFR 75.253, the Secretary may reduce continuation awards or discontinue awards in any year of the project period for excessive carryover balances or a failure to make substantial progress.