Pay for Success

Preschool Development Grants - Preschool Pay for Success Feasibility Pilot (1894-0001)

NIA App Pkg 6 16 2016 - FAQs out

Pay for Success

OMB: 1810-0728

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U.S. Department of Education

Office of Elementary and Secondary Education

Office of Early Learning

Washington, D.C. 20202-6200

Fiscal Year 2016

Application for New Grants Under

the Pay for Success Feasibility Pilot Program

CFDA 84.419C

Dated Material - Open Immediately

Closing Date: Month Day, Year

Approved OMB Number: 1810-NEW

Expiration Date: MM/DD/YYYY

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 valid OMB control number. The valid OMB control number for this information collection is: 1810-NEW. Public reporting burden for this collection of information is estimated to average 200 hours per response, including the time for reviewing instructions, searching existing data resources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is voluntary. If you have comments or concerns regarding the status of your individual submission of this application, please contact the Office of Early Learning, 400 Maryland Avenue, SW, LBJ Building, Room 3EE342, Washington, DC, 20202-6200 directly. [Note: Please do not return the completed application this address.]

If you have comments or concerns regarding the status of your individual submission of this form, write directly to: Mary Moran, Pay For Success-Feasibility Pilot Grant program, U.S. Department of Education, 400 Maryland Avenue, SW, Room 3E342, Washington D.C. 20202-6200.

APPLICATION FOR FUNDING UNDER

PAY FOR SUCCESS FEASIBILITY PILOT

Dear Colleague Letter 1

Part I. Program Background Information 3

Frequently Asked Questions 3

Technical Assistance Workshops for Prospective Applicants 15

Application Submission Procedures 16

Application Transmittal Instructions 16

Submitting Applications with Adobe Reader Software 19

Grants.gov Submission Procedures and Tips for Applicants 20

Application Instructions 23

Electronic Application Format 23

Electronic Application Submission Checklist 24

Part 1: Preliminary Documents 25

Part 2: Budget Information 32

Part 3: ED Abstract Form 35

Part 4: Project Narrative Attachment Form 36

Part 5: Budget Narrative 40

Part 6: Other Attachment Form 43

Part 7: Assurances and Certifications 44

Part 8: Intergovernmental Review of Federal Programs (Executive Order 12372) 47

Reporting and Accountability 48

Legal and Regulatory Information 49

Notice Inviting Applications 49

Program Statute 89

United States Department of Education

O ffice of Elementary and Secondary Education

Office of Early Learning
Dear Colleague Letter

Dear Colleague:

Thank you for your interest in the Preschool Pay For Success Feasibility Pilot (Preschool PFS), administered by the Office of Elementary and Secondary Education of the U.S. Department of Education (Department). The program is authorized under Part D of Title V of the Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001 (ESEA), and Title III of Division H of The Consolidated Appropriations Act, 2016 (Pub. L. 114-113). The purpose of this Preschool PFS Feasibility Pilot grant is to leverage State and local Preschool PFS activity by providing grants for Feasibility Studies to catalyze future investment in and implementation of high-quality preschool programs. The Preschool PFS Feasibility Pilot aims ultimately to improve early learning outcomes through High Quality PFS Projects. These studies will test innovative preschool models that more effectively serve the Target Population, identify a broad range of potential Outcome Measures that demonstrate improved student outcomes and result in potential cost savings to school districts, local governments and States, as well as societal benefit, and contribute to the evidence base of what works in preschool education. An eligible applicant must be a State government, local government as defined in 2 CFR 200.64, or tribal government.

Please take the time to review the applicable priorities, selection criteria, and all of the 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 the application does not contain the information required under the program (EDGAR §75.216 (b) and (c)).

The application contains one Absolute Priority stating that an “applicant must propose a Feasibility Study that will determine the viability of using PFS approaches to expand or improve a preschool program, including a description of potential Outcome Measures to be explored. Any applicant that proposes the reduction in the need for special education as an Outcome Measure must include other measures of student achievement such as kindergarten readiness, reading and math achievement, and improved social and emotional skills.” The application also includes one Competitive Preference Priority where “the Department will award an additional 5 points for projects that examine social and emotional well-being or executive functioning Outcome Measures that may be predictive of future school success, cost savings, cost avoidance and other societal benefits. To meet the Competitive Preference Priority, an applicant must propose exploring social and emotional or executive functioning Outcome Measures, or both.

For this competition it is mandatory for applicants to use the government-wide website, Grants.gov (http://www.grants.gov), to apply. Please note that the Grants.gov site works differently than the U.S. Department of Education’s e-Application System. We strongly encourage you to familiarize yourself with Grants.gov and strongly recommend that you register and submit early.

Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms. Therefore, applicants will need to download a compatible version of Adobe reader. Please review the Submitting Applications with Adobe Reader Software and Education Submission Procedures and Tips for Applicants forms found within this package for further information and guidance related to this requirement.

Using FY 2016 funds, the Department expects to award $2,800,000 for new grants under this competition. We will award discretionary grants on a competitive basis for a project period of up to 30 months. Grants are expected to be awarded in December.

Please visit our program website at www.ed.gov/programs/payforsuccessgrant for further information. If you have any questions about the program after reviewing the application package, please contact Mary Moran by telephone at (202) 260-0940 or via e-mail at [email protected].

Libby Doggett

Deputy Assistant Secretary

Office of Early Learning

Office of Elementary and Seconday Education

U.S. Department of Education

Part I. Program Background Information

Technical Assistance Workshops for Prospective Applicants

TBD

Application Submission Procedures

The deadline for submission of Prschool Pay For Success Feasibility Pilot Program applications through Grants.gov is Month Day, Year.

Application Transmittal Instructions

Attention Electronic Applicants: This program requires the electronic submission of applications--specific requirements and instructions can be found in the Federal Register notice. Please note that you must follow the Application Procedures as described in the Federal Register notice announcing the grant competition.

We will reject your application if you submit it in paper format unless, as described in the Federal Register notice for this competition, you qualify for one of the exceptions to the electronic submission requirement and submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of these exceptions.

Applications Submitted Electronically

Applications for grants under this program must be submitted electronically using the Governmentwide Grants.gov Apply site at http://www.Grants.gov. Through this site, you will be able to download a copy of the application package, complete it offline, and then upload and submit your application. You may not e-mail an electronic copy of a grant application to us.

Your application must be fully uploaded and submitted and must be date and time stamped by the Grants.gov system no later than 4:30:00 p.m., Washington, DC time, on the application deadline date. Except as otherwise noted in Federal Register notice for this competition, we will not consider your application if it is date and time stamped by the Grants.gov system later than 4:30:00 p.m., Washington, DC time, on the application deadline date.

You should review and follow the Education Submission Procedures for submitting an application through Grants.gov that are included in this application package to ensure that you submit your application in a timely manner to the Grants.gov system.

Please note the following:

You must attach any narrative sections of your application as files in a .pdf (Portable Document) format. If you upload a file type other than a .pdf file, or submit a password-protected file, we will not review that material.

Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission.

When attaching files, applicants should limit the size of their file names. Lengthy file names could result in difficulties with opening and processing your application. We recommend your file names be less than 50 characters. The amount of time it can take to upload an application will vary depending on a variety of factors, including the size of the application and the speed of your Internet connection. Therefore, we strongly recommend that you do not wait until the application deadline date to begin the submission process through Grants.gov.

Your electronic application must comply with any page-limit requirements described in this application package.

If you are experiencing problems submitting your application through Grants.gov, please contact the Grants.gov Support Desk, toll free, at 1-800-518-4726. You must obtain a Grants.gov Support Desk Case Number and must keep a record of it.

According to the instructions found in the Federal Register notice, only those requesting and qualifying for an Exception to the electronic submission requirement may submit an application via mail, commercial carrier or by hand delivery.

Submission of Paper Applications by Mail:

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

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.419C)

LBJ Basement Level 1

400 Maryland Avenue, SW.

Washington, DC 20202-4260

You must show proof of mailing consisting of one of the following:

(1) A legibly dated U.S. Postal Service postmark.

(2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service.

(3) A dated shipping label, invoice, or receipt from a commercial carrier.

(4) Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education.

If you mail your application through the U.S. Postal Service, we do not accept either of the following as proof of mailing:

(1) A private metered postmark.

(2) A mail receipt that is not dated by the U.S. Postal Service.

If your application is postmarked after the application deadline date, we will not consider your application.

Note: The U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, you should check with your local post office.

Submission of Paper Applications by Hand Delivery:

If you qualify for an exception to the electronic submission requirement, you (or a courier service) may deliver your paper application to the Department by hand. You must deliver the original and two copies of your application by hand, on or before the application deadline date, to the Department at the following address:

U.S. Department of Education
Application Control Center
Attention: (CFDA Number 84.419C)
550 12th Street, SW.
Room 7039, Potomac Center Plaza
Washington, DC 20202-4260

The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except Saturdays, Sundays, and Federal holidays.

Note for Mail or Hand Delivery of Paper Applications:

If you mail or hand deliver your application to the Department--

(1) You must indicate on the envelope and--if not provided by the Department--in Item 11 of the SF 424 the CFDA number, including suffix letter, if any, of the competition under which you are submitting your application; and

(2) The Application Control Center will mail to you a notification of receipt of your grant application. If you do not receive this notification within 15 business days from the application deadline date, you should call the U.S. Department of Education Application Control Center at (202) 245-6288.

Submitting Applications with Adobe Reader Software

The Department of Education, working with Grants.gov, is currently using Adobe Reader software exclusively and applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms.

Please note: The compatible version of Adobe Reader is required for viewing, editing and submitting a complete grant application package for the Department of Education through Grants.gov. Applicants should confirm the compatibility of their Adobe Reader version before downloading the application. To ensure applicants have a version of Adobe Reader on their computer that is compatible with Grants.gov, applicants are encouraged to use the test package provided by Grants.gov that can be accessed at http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html.

Important issues to consider:

If the applicant opened or edited the application package with any software other than the compatible version of Adobe Reader, the application package may contain errors that will be transferred to the new package even if you later download the compatible Adobe Reader version.
Applicants cannot copy and paste data from a package initially opened or edited with an incompatible version of Adobe Reader and will need to download an entirely new package using the compatible version of Adobe Reader.
Some applicants using an incompatible version of Adobe Reader may have trouble opening and viewing the application package while others may find they can open, view and complete the application package but may not be able to submit the application package through Grants.gov.
Grants.gov does not guarantee to support versions of Adobe Reader that are not compatible with Grants.gov.
Any and all edits made to the Adobe Reader application package must be made with the compatible version of Adobe Reader.

For your convenience, a compatible version of Adobe Reader is available for free download at http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html.

We strongly recommend that you review the information on computer and operating system compatibility with Adobe available at http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html before downloading, completing or submitting your application.

Applicants are reminded that they should submit their application a day or two in advance of the closing date as detailed in the Federal Register Notice. If you have any questions regarding this matter please email the Grants.gov Contact Center at [email protected] or call 1-800-518-4726

Grants.gov Submission Procedures and Tips for Applicants

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.

ATTENTION – Adobe Forms and PDF Files Required

Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms. Therefore, applicants will need to download a compatible version of Adobe reader. Information on computer and operating system compatibility with Adobe and links to download an appropriate version are available on Grants.gov. We strongly recommend that you review these details on www.Grants.gov before completing and submitting your application. In addition, applicants should submit their application a day or two in advance of the closing date as detailed below. Also, applicants are required to upload their attachments in .pdf format only. (See details below under “Attaching Files – Additional Tips.”) If you have any questions regarding this matter please email the Grants.gov Contact Center at [email protected] or call 1-800-518-4726.

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

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. Washington, DC time on the deadline date.

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.

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. Washington, DC 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. Washington, D.C. 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/applicant-faqs.html. For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Error Messages document at http://www.grants.gov/web/grants/applicants/encountering-error-messages.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 http://www.grants.gov/web/grants/support.html, or access the Grants.gov Self-Service web portal at: https://grants-portal.psc.gov/Welcome.aspx?pt=Grants

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.

If electronic submission is required, you must submit an electronic application before 4:30:00 p.m., 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. (See the Federal Register notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to logon to Grants.gov to upload and submit the application. You must provide the DUNS number on your application that was used when you registered as an Authorized Organization Representative (AOR) on 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 Submit Application FAQs found on the Grants.gov site: http://www.grants.gov/web/grants/applicants/applicant-resources.html.

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 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.)

MAC Users

If electronic submission is required and you are concerned about your ability to submit electronically as a non-windows user, please follow 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, non-modifiable .PDF files in their application:

Ensure that you attach .PDF files only for any attachments to your application. 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 not accept any 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 not be read.

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 files must be less than 50 characters in the file name, contain no spaces, no special characters (example: -, &, *, %, /, #, \) including periods (.), blank spaces and accent marks. 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 totals 1 to 2 MB. Therefore, you may want to check the total size of your package before submission.

05/2016

Application Instructions

Electronic Application Format

Applications for grants under this competition must be submitted electronically, unless you qualify for an exception to the electronic submission requirement in accordance with the instructions in this application package.

In accordance with EDGAR §75.216 (b) and (c), 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 the application does not contain the information required under the program.

Important note: Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms. Therefore, applicants will need to download a compatible version of Adobe reader (see Grants.gov for compatible versions).

Information on computer and operating system compatibility with Adobe and links to download the latest version is available on Grants.gov. Also, please review the Submitting Applications with Adobe Reader Software and Education Submission Procedures and Tips for Applicants forms found within this package for further information and guidance related to this requirement.

We strongly recommend that you review these details on www.Grants.gov before completing and submitting your application. In addition, applicants should submit their application a day or two in advance of the closing date as detailed below. If you have any questions regarding this matter please email the Grants.gov Contact Center at [email protected] or call 1-800-518-4726.

Note: Please do not attach any narratives, supporting files, or application components to any forms unless it is specifically required by the instructions for the individual section of the application. Although several forms accept attachments, the Department of Education will only review materials/files attached in accordance with the instructions provided within this application package.

Electronic Application Submission Checklist

It is recommended that your electronic application be organized in the following manner and include the following parts in order to expedite the review process. Instructions for all parts and forms of the application are found either on the following pages of the application package or individually for each form on Grants.gov.

Review your electronic application to ensure you have completed the following forms and sections:

Part 1: Preliminary Documents

Application for Federal Assistance (form SF 424)
ED Supplemental Information for SF 424

Part 2: Budget Information

ED Budget Information Non-Construction Programs (ED Form 524)

Part 3: ED Abstract Form

Project Abstract

Part 4: Project Narrative Attachment Form

Application Narrative

Part 5: Budget Narrative Attachment Form

Budget Narrative

Part 6: Other Attachments Form

Individual Resumes for Project Directors & Key Personnel

Part 7: Assurances and Certifications

Assurances for Non-Construction Programs (SF 424B Form)
Disclosure of Lobbying Activities (Standard Form LLL)
Grants.gov Lobbying Form
General Education Provisions Act (GEPA) Requirements – Section 427 (ED GEPA 427 form)

Part 8: Intergovernmental Review (Executive Order 12372)

State Single Point of Contact (SPOC) List

Part 1: Preliminary Documents

Application for Federal Assistance (Form SF 424)
ED Supplemental Information for SF 424

These forms require basic identifying information about the applicant and the application. Please provide all requested applicant information (including name, address, e-mail address and DUNS number).

When applying electronically via Grants.gov, you will need to ensure that the DUNS number you enter on your application is the same as the DUNS number your organization used when it registered with the System for Award Management.

Applicants are advised to complete the Application for Federal Assistance (Form SF 424) first. Grants.gov will automatically insert the correct CFDA and program name automatically wherever needed on other forms.

NOTE: Please do not attach any narratives, supporting files, or application components to the Standard Form (SF 424). Although this form accepts attachments, the Department of Education will only review materials/files attached in accordance with the instructions provided within this application.

INSTRUCTIONS FOR THE 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.
1.			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.		21.
9.	Type of Applicant: (Required) Select up to three applicant type(s) in accordance with agency instructions.
9.	A. State Government B. County Government C. City or Township Government D. Special District Government E. Regional Organization F. U.S. Territory or Possession G. Independent School District H. Public/State Controlled Institution of Higher Education I. Indian/Native American Tribal Government (Federally Recognized) J. Indian/Native American Tribal Government (Other than Federally Recognized) K. Indian/Native American Tribally Designated Organization L. Public/Indian Housing Authority	M. Nonprofit N. Private Institution of Higher Education O. Individual P. For-Profit Organization (Other than Small Business) Q. Small Business R. Hispanic-serving Institution S. Historically Black Colleges and Universities (HBCUs) T. Tribally Controlled Colleges and Universities (TCCUs) U. Alaska Native and Native Hawaiian Serving Institutions V. Non-US Entity W. Other (specify)

[U.S Department of Education note: As of spring, 2010, the FON discussed in Block 12 of the instructions can be found via the following URL: http://www.grants.gov/applicants/find_grant_opportunities.jsp.]

Instructions for U.S. Department of Education

Supplemental Information for the SF-424

1. Project Director. Name, address, telephone and fax numbers, and e-mail address of the person to be contacted on matters involving this application. Items marked with an asterisk (*) are mandatory.

2. Novice Applicant. Check “Yes” if you meet the definition for novice applicants specified in the regulations in 34 CFR 75.225 and included on the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF-424”). By checking “Yes” the applicant certifies that it meets these novice applicant requirements. Check “No” if you do not meet the definition for novice applicants.

This novice applicant information will be used by ED to: 1) determine the amount and type of technical assistance that a novice might need, if funded, and 2) determine novice applicant eligibility in discretionary grant competitions that give special consideration to novice applications. Certain ED discretionary grant programs give special consideration to novice applications, either by establishing a special competition for novice applicants or by giving competitive preference to novice applicants under the procedures in 34 CFR 75.105(c)(2). If special consideration is being given to novice applications under a particular discretionary grant competition, the application notice for the competition published in the Federal Register will specify this information

3. Human Subjects Research. (See I. A. “Definitions” in attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF-424.”)

3a. If Not Human Subjects Research. Check “No” if research activities involving human subjects are not planned at any time during the proposed project period. The remaining parts of Item 3 are then not applicable.

3a. If Human Subjects Research. Check “Yes” if research activities involving human subjects are planned at any time during the proposed project period, either at the applicant organization or at any other performance site or collaborating institution. Check “Yes” even if the research is exempt from the regulations for the protection of human subjects. (See I. B. “Exemptions” in attached page entitled “Definitions for U.S. Department of Education Supplemental Information for SF-424.”)

3b. If Human Subjects Research is Exempt from the Human Subjects Regulations. Check “Yes” if all the research activities proposed are designated to be exempt from the regulations. Check the exemption number(s) corresponding to one or more of the six exemption categories listed in I. B. “Exemptions.” In addition, follow the instructions in II. A. “Exempt Research Narrative” in the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF-424.”

3b. If Human Subjects Research is Not Exempt from Human Subjects Regulations. Check “No” if some or all of the planned research activities are covered (not exempt). In addition, follow the instructions in II. B. “Nonexempt Research Narrative” in the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF-424.”

3b. Human Subjects Assurance Number. If the applicant has an approved Federal Wide Assurance (FWA) on file with the Office for Human Research Protections (OHRP), U.S. Department of Health and Human Services, that covers the specific activity, insert the number in the space provided. (A list of current FWAs is available at: http://ohrp.cit.nih.gov/search/asearch.asp#ASUR) If the applicant does not have an approved assurance on file with OHRP, enter “None.” In this case, the applicant, by signature on the SF-424, is declaring that it will comply with 34 CFR 97 and proceed to obtain the human subjects assurance upon request by the designated ED official. If the application is recommended/selected for funding, the designated ED official will request that the applicant obtain the assurance within 30 days after the specific formal request.

3c. If applicable, please attach your “Exempt Research” or “Nonexempt Research” narrative to your submission of the U.S Department of Education Supplemental Information for the SF-424 form as instructed in item II, “Instructions for Exempt and Nonexempt Human Subjects Research Narratives” in the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF-424.”

Note about Institutional Review Board Approval. ED does not require certification of Institutional Review Board approval with the application. However, if an application that involves non-exempt human subjects research is recommended/selected for funding, the designated ED official will request that the applicant obtain and send the certification to ED within 30 days after the formal request.

No covered human subjects research can be conducted until the study has ED clearance for protection of human subjects in research.

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 valid OMB control number. The valid OMB control number for this information collection is 1894-0007. The time required to complete this information collection is estimated to average between 15 and 45 minutes per response, including the time to review instructions, search existing data resources, gather the data needed and complete and review the information collection. If you have any comments concerning the accuracy of the estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202-0170. If you have comments or concerns regarding the status of your individual submission of this form write directly to: (insert program office), U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202.

Definitions for U.S. Department of Education

Supplemental Information for the SF-424

Definitions:

Novice Applicant (See 34 CFR 75.225)

For discretionary grant programs, novice applicant means any applicant for a grant from ED that—

Has never received a grant or subgrant under the program from which it seeks funding;

Has never been a member of a group application, submitted in accordance with 34 CFR 75.127-75.129, that received a grant under the program from which it seeks funding; and

Has not had an active discretionary grant from the Federal government in the five years before the deadline date for applications under the program. For the purposes of this requirement, a grant is active until the end of the grant’s project or funding period, including any extensions of those periods that extend the grantee’s authority to obligate funds.

In the case of a group application submitted in accordance with 34 CFR 75.127-75.129, a group includes only parties that meet the requirements listed above.

PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I. Definitions and Exemptions

A. Definitions.

A research activity involves human subjects if the activity is research, as defined in the Department’s regulations, and the research activity will involve use of human subjects, as defined in the regulations.

—Research

The ED Regulations for the Protection of Human Subjects, Title 34, Code of Federal Regulations, Part 97, define research as “a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. Activities which meet this definition constitute research whether or not they are conducted or supported under a program that is considered research for other purposes. For example, some demonstration and service programs may include research activities.

—Human Subject

The regulations define human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information.” (1) If an activity involves obtaining information about a living person by manipulating that person or that person’s environment, as might occur when a new instructional technique is tested, or by communicating or interacting with the individual, as occurs with surveys and interviews, the definition of human subject is met. (2) If an activity involves obtaining private information about a living person in such a way that the information can be directly or indirectly linked to that individual, the definition of human subject is met [Private information includes information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place, and information which has been provided for specific purposes by an individual and which the individual can reasonably expect will not be made public (for example, a school health record).]

B. Exemptions.

Research activities in which the only involvement of human subjects will be in one or more of the following six categories of exemptions are not covered by the regulations:

(1) Research conducted in established or commonly accepted educational settings, involving normal educational practices, such as (a) research on regular and special education instructional strategies, or (b) research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods. If an educational practice is being introduced to the site and is not widely used for similar populations, it is not covered by this exemption.

(2) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behavior, unless: (a) information obtained is recorded in such a manner that human subjects can be identified, directly or through identifiers linked to the subjects; and (b) any disclosure of the human subjects’ responses outside the research could reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects’ financial standing, employability, or reputation. If the subjects are children, exemption 2 applies only to research involving educational tests and observations of public behavior when the investigator(s) do not participate in the activities being observed.

Exemption 2 does not apply if children are surveyed or interviewed or if the research involves observation of public behavior and the investigator(s) participate in the activities being observed. [Children are defined as persons who have not attained the legal age for consent to treatments or procedures involved in the research, under the applicable law or jurisdiction in which the research will be conducted.]

(3) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behavior that is not exempt under section (2) above, if the human subjects are elected or appointed public officials or candidates for public office; or federal statute(s) require(s) without exception that the confidentiality of the personally identifiable information will be maintained throughout the research and thereafter.

(4) Research involving the collection or study of existing data, documents, records, pathological specimens, or diagnostic specimens, if these sources are publicly available or if the information is recorded by the investigator in a manner that subjects cannot be identified, directly or through identifiers linked to the subjects. [This exemption applies only to retrospective studies using data collected before the initiation of the research.]

(5) Research and demonstration projects which are conducted by or subject to the approval of department or agency heads, and which are designed to study, evaluate, or otherwise examine: (a) public benefit or service programs; (b) procedures for obtaining benefits or services under those programs; (c) possible changes in or alternatives to those programs or procedures; or (d) possible changes in methods or levels of payment for benefits or services under those programs. [The standards of this exemption are rarely met because it was designed to apply only to specific research conducted by HHS at the time the regulations were established. We will strictly construe this exemption because it was not intended to apply to ED research.]

(6) Taste and food quality evaluation and consumer acceptance studies, (a) if wholesome foods without additives are consumed or (b) if a food is consumed that contains a food ingredient at or below the level and for a use found to be safe, or agricultural chemical or environmental contaminant at or below the level found to be safe, by the Food and Drug Administration or approved by the Environmental Protection Agency or the Food Safety and Inspection Service of the U.S. Department of Agriculture.

II. Instructions for Exempt and Nonexempt Human Subjects Research Narratives

If the applicant marked “Yes” for Item 3.b. of the U.S. Department of Education Supplemental Information for the SF 424, the applicant must attach a human subjects “exempt research” or “nonexempt research” narrative to the U.S. Department of Education Supplemental Information for the SF-424 form. If you have multiple projects and need to provide more than one narrative, be sure to label each set of responses as to the project they address.

A. Exempt Research Narrative.

If you marked “Yes” for item 3.b. and designated exemption numbers(s), attach the “exempt research” narrative to the U.S. Department of Education Supplemental Information for the SF-424. The narrative must contain sufficient information about the involvement of human subjects in the proposed research to allow a determination by ED that the designated exemption(s) are appropriate. The narrative must be succinct.

B. Nonexempt Research Narrative.

If you marked “No” for item 3.b. you must attach the “nonexempt research” narrative to the U.S. Department of Education Supplemental Information for the SF-424. The narrative must address the following seven points. Although no specific page limitation applies to this section of the application, be succinct.

(1) Human Subjects Involvement and Characteristics: Provide a detailed description of the proposed involvement of human subjects. Describe the characteristics of the subject population, including their anticipated number, age range, and health status. Identify the criteria for inclusion or exclusion of any subpopulation. Explain the rationale for the involvement of special classes of subjects, such as children, children with disabilities, adults with disabilities, persons with mental disabilities, pregnant women, prisoners, institutionalized individuals, or others who are likely to be vulnerable

(2) Sources of Materials: Identify the sources of research material obtained from individually identifiable living human subjects in the form of specimens, records, or data. Indicate whether the material or data will be obtained specifically for research purposes or whether use will be made of existing specimens, records, or data.

(3) Recruitment and Informed Consent: Describe plans for the recruitment of subjects and the consent procedures to be followed. Include the circumstances under which consent will be sought and obtained, who will seek it, the nature of the information to be provided to prospective subjects, and the method of documenting consent. State if the Institutional Review Board (IRB) has authorized a modification or waiver of the elements of consent or the requirement for documentation of consent.

(4) Potential Risks: Describe potential risks (physical, psychological, social, legal, or other) and assess their likelihood and seriousness. Where appropriate, describe alternative treatments and procedures that might be advantageous to the subjects.

(5) Protection Against Risk: Describe the procedures for protecting against or minimizing potential risks, including risks to confidentiality, and assess their likely effectiveness. Where appropriate, discuss provisions for ensuring necessary medical or professional intervention in the event of adverse effects to the subjects. Also, where appropriate, describe the provisions for monitoring the data collected to ensure the safety of the subjects.

(6) Importance of the Knowledge to be Gained: Discuss the importance of the knowledge gained or to be gained as a result of the proposed research. Discuss why the risks to subjects are reasonable in relation to the anticipated benefits to subjects and in relation to the importance of the knowledge that may reasonably be expected to result.

(7) Collaborating Site(s): If research involving human subjects will take place at collaborating site(s) or other performance site(s), name the sites and briefly describe their involvement or role in the research.

Copies of the Department of Education’s Regulations for the Protection of Human Subjects, 34 CFR Part 97 and other pertinent materials on the protection of human subjects in research are available from the Office of the Chief Financial Officer, U.S. Department of Education, Washington, D.C. 20202-4331, telephone: (202) 245-8090, and on the U.S. Department of Education’s Protection of Human Subjects in Research Web Site: http://www.ed.gov/about/offices/list/ocfo/humansub.html

NOTE: The State Applicant Identifier on the SF-424 is for State Use only. Please complete it on the SF-424 in the upper right corner of the form (if applicable).

Part 2: Budget Information

ED Budget Information Non-Construction Programs (ED Form 524)

This part of your application contains information about the Federal funding you are requesting. Remember that you must provide all requested budget information for each year of the project (up to 30 months) and the total column in order to be considered for Federal funding. Specific instructions for completing the budget forms are provided within this application package.

Instructions for completing ED Form 524 Section A:

Name of Institution/Organization: Enter the name of the applicant in the space provided.

Personnel (line 1): Enter project personnel salaries and wages only. Include fees and expenses for consultants on line 6.

Fringe Benefits (line 2): The institution’s normal fringe benefits contribution may be charged to the program. Leave this line blank if fringe benefits applicable to direct salaries and wages are treated as part of the indirect cost.

Travel (line 3): Indicate the travel costs of employees and participants only. Include travel of persons such as consultants on line 6.

Equipment (line 4): Indicate the cost of tangible, non-expendable personal property that has a usefulness greater than one year and acquisition costs that are the lesser of the capitalization level established by the applicant entity for financial statement purposes or $5,000 per article. Lower limits may be established to maintain consistency with the applicant’s policy.

Supplies (line 5): Show all tangible, expendable personal property. Direct supplies and materials differ from equipment in that they are consumable, expendable, and of a relatively low unit cost. Supplies purchased with grant funds should directly benefit the grant project and be necessary for achieving the goals of the project.

Contractual (line 6): The contractual category should include all costs specifically incurred with actions that the applicant takes in conjunction with an established internal procurement system. Include consultant fees, expenses, and travel costs in this category if the consultant’s services are obtained through a written binding agreement or contract.

Construction (line 7): Not applicable.

Other (line 8): Indicate all direct costs not covered on lines 1-6. For example, include costs such as space rental, required fees, honoraria and travel (where a contract is not in place for services), training, and communication and printing costs. Do not include costs that are included in the indirect cost rate.

Total Direct Costs (line 9): The sum of lines 1-8.

Indirect Costs (line 10): Indicate the applicant’s approved indirect cost rate, per sections 75.560 – 75.564 of EDGAR. If an applicant does not have an approved indirect cost rate agreement with a cognizant Federal agency, the applicant must apply to the Department for a temporary indirect cost rate if it wishes to charge indirect costs to the grant. For more information, go to the Department's website at: http://www.ed.gov/about/offices/list/ocfo/fipao/icgindex.html.

Training Stipends (line 11): This line item is not applicable to this program. The training stipend line item only pertains to costs associated with long term training programs and college or university coursework, not workshops or short-term training supported by this program.

Salary stipends paid to teachers and other school personnel for participating in short-term professional development should be reported in Personnel (line 1).

Total Cost (line 12): This should equal to sum of lines 9-11 (total direct costs + indirect + stipends). The sum for column one, labeled Project Year 1 (a), should also be equal to item 15a on the application cover sheet (SF Form 424).

Instructions for ED 524

General Instructions
This form is used to apply to individual U.S. Department of Education (ED) discretionary grant programs. Unless directed otherwise, provide the same budget information for each year of the multi-year funding request. Pay attention to applicable program specific instructions, if attached. You may access the Education Department General Administrative Regulations cited within these instructions at:

http://www.ed.gov/policy/fund/reg/edgarReg/edgar.html. You may access requirements from 2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards” cited within these instructions at: https://www.federalregister.gov/articles/2013/12/26/2013-30465/uniform-administrative-requirements-cost-principles-and-audit-requirements-for-federal-awards.

You must consult with your Business Office prior to submitting this form.
Section A - Budget Summary

U.S. Department of Education Funds

All applicants must complete Section A and provide a break-down by the applicable budget categories shown in lines 1-11.

Lines 1-11, columns (a)-(e): For each project year for which funding is requested, show the total amount requested for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each budget category. If funding is requested for only one project year, leave this column blank.

Line 12, columns (a)-(e): Show the total budget request for each project year for which funding is requested.

Line 12, column (f): Show the total amount requested for all project years. If funding is requested for only one year, leave this space blank.

Indirect Cost Information: If you are requesting reimbursement for indirect costs on line 10, this information is to be completed by your Business Office.

(1): Indicate whether or not your organization has an Indirect Cost Rate Agreement that was approved by the Federal government. If you checked “no,” ED generally will authorize grantees to use a temporary rate of 10 percent of budgeted salaries and wages (complete (4) of this section when using the temporary rate) subject to the following limitations:

(a) The grantee must submit an indirect cost proposal to its cognizant agency within 90 days after ED issues a grant award notification; and

(b) If after the 90-day period, the grantee has not submitted an indirect cost proposal to its cognizant agency, the grantee may not charge its grant for indirect costs until it has negotiated an indirect cost rate agreement with its cognizant agency.

(2): If you checked “yes” in (1), indicate in (2) the beginning and ending dates covered by the Indirect Cost Rate Agreement. In addition, indicate whether ED, another Federal agency (Other) or State agency issued the approved agreement. If you check “Other,” specify the name of the Federal or other agency that issued the approved agreement.

(3): If you check “no” in (1), indicate in (3) if you want to use the de minimis rate of 10 percent of MTDC (see 2CFR § 200.68). If you use the de minimis rate, you are subject to the provisions in 2 CFR § 200.414(f). Note, you may only use the 10 percent de minimis rate if you are a first-time Federal grant recipient, and you do not have an Approved Indirect Cost Rate Agreement. You may not use the de minimis rate if you are a State, Local government, or Indian Tribe, or if your grant is funded under a training rate or restricted rate program.

(3): If you are applying for a grant under a Restricted Rate Program (34 CFR 75.563 or 76.563), indicate whether you are using a restricted indirect cost rate that is included on your approved Indirect Cost Rate Agreement, or whether you are using a restricted indirect cost rate that complies with 34 CFR 76.564(c)(2). Note: State or Local government agencies may not use the provision for a restricted indirect cost rate specified in 34 CFR 76.564(c)(2). Check only one response. Leave blank, if this item is not applicable.

Section B - Budget Summary

Non-Federal Funds

If you are required to provide or volunteer to provide cost-sharing or matching funds or other non-Federal resources to the project, these should be shown for each applicable budget category on lines 1‑11 of Section B.

Lines 1-11, columns (a)-(e): For each project year, for which matching funds or other contributions are provided, show the total contribution for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each budget category. If non-Federal contributions are provided for only one year, leave this column blank.

Line 12, columns (a)-(e): Show the total matching or other contribution for each project year.

Line 12, column (f): Show the total amount to be contributed for all years of the multi-year project. If non-Federal contributions are provided for only one year, leave this space blank.

Section C - Budget Narrative [Attach separate sheet(s)]

Pay attention to applicable program specific instructions,
if attached.

Provide an itemized budget breakdown, and justification by project year, for each budget category listed in Sections A and B. For grant projects that will be divided into two or more separately budgeted major activities or sub-projects, show for each budget category of a project year the breakdown of the specific expenses attributable to each sub-project or activity.
For non-Federal funds or resources listed in Section B that are used to meet a cost-sharing or matching requirement or provided as a voluntary cost-sharing or matching commitment, you must include:

a. The specific costs or contributions by budget category;

b. The source of the costs or contributions; and

c. In the case of third-party in-kind contributions, a description of how the value was determined for the donated or contributed goods or services.

[Please review cost sharing and matching regulations found in 2 CFR 200.306.]

If applicable to this program, provide the rate and base on which fringe benefits are calculated.
If you are requesting reimbursement for indirect costs on line 10, this information is to be completed by your Business Office. Specify the estimated amount of the base to which the indirect cost rate is applied and the total indirect expense. Depending on the grant program to which you are applying and/or your approved Indirect Cost Rate Agreement, some direct cost budget categories in your grant application budget may not be included in the base and multiplied by your indirect cost rate. For example, you must multiply the indirect cost rates of “Training grants" (34 CFR 75.562) and grants under programs with “Supplement not Supplant” requirements ("Restricted Rate" programs) by a “modified total direct cost” (MTDC) base (34 CFR 75.563 or 76.563). Please indicate which costs are included and which costs are excluded from the base to which the indirect cost rate is applied.

When calculating indirect costs (line 10) for "Training grants" or grants under "Restricted Rate" programs, you must refer to the information and examples on ED’s website at: http://www.ed.gov/fund/grant/apply/appforms/appforms.html.

You may also contact (202) 377-3838 for additional information regarding calculating indirect cost rates or general indirect cost rate information.

Provide other explanations or comments you deem necessary.

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 valid OMB control number. The valid OMB control number for this information collection is 1894-0008. The time required to complete this information collection is estimated to vary from 13 to 22 hours per response, with an average of 17.5 hours per response, including the time to review instructions, search existing data sources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202-4537. If you have comments or concerns regarding the status of your individual submission of this form, write directly to (insert program office), U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202.

Part 3: ED Abstract Form

This section should be attached as a single document to the ED Abstract Form in accordance with the instructions found on Grants.gov and should be organized in the following manner and include the following parts in order to expedite the review process.

Ensure that you only attach the Education approved file types detailed in the Federal Register application notice (read-only, non-modifiable .pdf files). Also, do not upload any password-protected files to your application.

Please note that Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission.

When attaching files, applicants should limit the size of their file names. Lengthy file names could result in difficulties with opening and processing your application. We recommend your file names be less than 50 characters.

Project Abstract

The project abstract should not exceed two double spaced pages and should include a concise description of the following information:

Project objectives and activities,
Applicable priorities
Proposed project outcomes
Number of participants to be served
Number and location of proposed sites

Note: Grants.gov may include a note that indicates that the project abstract may not exceed one page; however, an abstract of more than one page may be uploaded.

Part 4: Project Narrative Attachment Form

This section should be attached as a single document to the Project Narrative Attachment Form in accordance with the instructions found on Grants.gov and should be organized in the following manner and include the following parts in order to expedite the review process.

Table of Contents

The Table of Contents shows where and how the important sections of your proposal are organized and should not exceed one double spaced page.

Application Narrative

The application narrative responds to the selection criteria found in this application package and should follow the order of the selection criteria.

Selection Criteria for Program Narrative

The maximum score for all selection criteria is 100 points. The points or weights assigned to each criterion are indicated in parentheses. Non-Federal peer reviewers will review each application. They will be asked to evaluate and score each program narrative against the following selection criteria:

(a) Need for Project. (up to 10 points). The Secretary will consider the needs of the Target Population. In determining the need for the proposed project, the Secretary will consider the magnitude of the need of the Target Population for the services to be provided by a potential PFS project. Applicants must clearly state and demonstrate the extent of the problem facing the Target Population using data and other relevant information.

(b) Quality of the Preschool Program Design. (up to 25 points). The Secretary will consider the quality of the design of the proposed preschool program. In determining the quality of the design of the proposed preschool program, the Secretary will consider the following factors:

(1) (up to 15 points). The extent to which the intervention strategy is likely to improve student outcomes for the Target Population, based on quantitative, qualitative, or theoretical evidence, including the extent to which the goals, objectives, and outcomes to be achieved by the proposed project are clearly specified and measurable and will demonstrate student success. In responding to this criterion, applicants should identify clearly specified and measurable outcomes for the preschool program and explain how these outcomes can be achieved by the program. While these outcomes will inform the selection of Outcome Measures for the PFS project, it does not limit a grantee from evaluating additional Outcome Measures in the course of completing the Preschool PFS Feasibility Study.

(2) (up to 10 points). The extent to which the preschool program is appropriate for, and will successfully address, the needs of the Target Population. The preschool program must include, at a minimum:

(i) An evidence-based curriculum;

(ii) High-quality professional development for all staff;

(iii) High Qualifications for Staff;

(iv) A child-to-instructional staff ratio of no more than 10 to 1; and

(v) Inclusion of Children with Disabilities, children at risk, and children representing other high-needs populations, such as homeless children as defined under McKinney Vinto, and English Learners.

(c) Quality of the Preschool PFS Partnership. (up to 25 points). The Secretary will consider the quality of the Preschool PFS Partnership. In evaluating a Preschool PFS Partnership, the Secretary will consider the following:

(1) (up to 15 points). The quality of an existing Preschool PFS Partnership, including the history of the collaboration, or, if one does not exist, the quality of the plan to form a Preschool PFS Partnership.

(2) (up to 10 points). The extent to which the roles and responsibilities of members or proposed members of a Preschool PFS Partnership are clearly described, and are appropriate and sufficient to successfully implement PFS.

(d) Quality of the Work Plan. (up to 25 points). The Secretary will consider the quality of the work plan. In determining the quality of the work plan, the Secretary will consider the following factors:

(1) (up to 12 points). The adequacy of the work plan to achieve the objectives of the proposed Feasibility Study project on time and within budget, including clearly defined responsibilities, timelines, and milestones for accomplishing project tasks on time. Applicants should state whether a contractor will conduct the Feasibility Study, the extent to which the timeline for selecting and hiring the contractor is reasonable and sufficient for completing the project on time and within budget.

(2) (up to 10 points). The adequacy of procedures for ensuring stakeholder feedback in the operation of the proposed Preschool PFS Feasibility Pilot. If the Feasibility Study includes the reduction in special education placement as a Financial Benefit, the extent to which the work plan includes outreach to and involvement of the representatives from the State and local special education community or individuals with special education expertise, including groups representing families.

(3) (up to 3 points). The extent to which the time commitments of the project director and team and other key project personnel are appropriate and adequate to meet the objectives of the proposed project.

(e) Quality of the Project Leadership and Team. (up to 5 points). The Secretary will consider the quality of the project leadership and team. The Secretary will consider the extent to which the applicant has the project and financial management experience necessary to manage the Preschool PFS Feasibility Pilot, including:

(1) (up to 3 points). Managing and overseeing similar projects (e.g., PFS or non-PFS work) with specific examples of prior accomplishments and outcomes; and

(2) (up to 2 points). Managing Federal grants, including plans for ensuring compliance with Federal guidelines.

(f) Budget Narrative. (up to 10 points). The Secretary will consider the adequacy of resources necessary to complete the Feasibility Study, including any philanthropic or other resources that may be contributed toward the project. In determining the adequacy of resources, the Secretary will consider the extent to which the budget will adequately support program activities and achieve desired outputs and outcomes, including any philanthropic or other resources that may be contributed toward the project. Applicants must identify which costs will be funded by the Preschool PFS Feasibility Pilot grant and identify any other sources of funds to support project activities. If an applicant plans to have a contractor conduct the Feasibility Study, the applicant must identify the percentage of the Federal dollars from this grant competition the applicant would retain for administrative costs, and the percentage of funds the contractor would retain for its administrative costs.

Important note about the project evaluation: A strong evaluation plan should be included in the application narrative and should be used, as appropriate, to shape the development of the project from the beginning of the grant period. The plan should include benchmarks to monitor progress toward specific project objectives and also outcome measures to assess the impact on teaching and learning or other important outcomes for project participants. More specifically, the plan should identify the individual and/or organization that have agreed to serve as evaluator for the project and describe the qualifications of that evaluator.

The plan should describe the evaluation design, indicating: (1) what types of data will be collected; (2) when various types of data will be collected; (3) what methods will be used; (4) what instruments will be developed and when; (5) how the data will be analyzed; (6) when reports of results and outcomes will be available; and (7) how the applicant will use the information collected through the evaluation to monitor progress of the funded project and to provide accountability information both about success at the initial site and effective strategies for replication in other settings. Applicants are encouraged to devote an appropriate level of resources to project evaluation.

Part 5: Budget Narrative

This section should be attached as a single document to the Budget Narrative Attachment Form in accordance with the instructions found on Grants.gov. It should be organized in the following manner and include the following parts in order to expedite the review process.

Each application must also provide a Budget Narrative (which serves to meet the requirements of ED Form 524, Section C) for requested Federal funds. The Budget Narrative for requested Federal funds should provide a justification of how the money requested for each budget item will be spent.

This section requires an itemized budget breakdown for each project year and the basis for estimating the costs of personnel salaries, benefits, project staff travel, materials and supplies, consultants and subcontracts, indirect costs and any other projected expenditures. Be sure to complete an itemized budget breakdown and narrative for each year of the proposed project (up to 30 months).

The Budget Narrative provides an opportunity for the applicant to identify the nature and amount of the proposed expenditures. The applicant should provide sufficient detail to enable reviewers and project staff to understand how requested funds will be used, how much will be expended, and the relationship between the requested funds and project activities and outcomes.

Important Notes

Applicants are encouraged to review OMB Circular A-21, Cost Principles for Educational Institutions (codified at 2 CFR 220); OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal Governments (codified at 2 CFR 225); or OMB Circular A-122, Cost Principles for Nonprofit Organizations (codified at 2 CFR 230) in preparing their budget and budget narrative.
OMB Circular A-21 may be found at the following link:

http://www.whitehouse.gov/omb/circulars/a021/a21_2004.html

OMB Circular A-87 may be found at the following link:

http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html

OMB Circular A-122 may be found at the following link:

http://www.whitehouse.gov/omb/circulars/a122/a122_2004.html

Suggested Guidelines for the Budget Narrative

In accordance with 34 CFR 75.232, Department of Education staff perform a cost analysis of the each recommended project to ensure that costs relate to the activities and objectives of the project, are reasonable, allowable and allocable. We may delete or reduce costs from the budget during this review.

To facilitate the review of your Budget Narrative, we encourage each applicant to include the following information for each year of the project:

1. Personnel

Provide the title and duties of each position to be compensated under this project.
Provide the salary for each position under this project.
Provide the amounts of time, such as hours or percentage of time to be expended by each position under this project.
Explain the importance of each position to the success of the project.
Provide the basis for cost estimates or computations.

2. Fringe Benefits

Give the fringe benefit percentages of all personnel included under Personnel.

Provide the rate and base on which fringe benefits are calculated.

3. Travel

Explain the purpose of the travel, how it relates to project success, how it aligns with the project goals and objectives and which program participants or staff will participate.
Submit an estimate for the number of trips, points of origin and destination, and purpose of travel.

Submit an itemized estimate of transportation and/or subsistence costs for each trip.

Provide the basis for cost estimates or computations.

4. Equipment

Indicate the estimated unit cost for each item to be purchased.

Identify each type of equipment.

Provide adequate justification of the need for items of equipment to be purchased.

Explain the purpose of the equipment, and how it relates to project success.
Provide the basis for cost estimates or computations.

5. Supplies

Provide an itemized estimate of materials and supplies by nature of expense or general category (e.g., instructional materials, office supplies, etc.).

Explain the purpose of the supplies and how they relate to project success.
Provide the basis for cost estimates or computations.

6. Contractual

Provide the purpose and relation to project success.
Describe the products to be acquired, and/or the professional services to be provided.

Provide a brief justification for the use of the contractors selected.

Identify the name(s) of the contracting party, including consultants, if available.
Provide the cost per contractor.
Provide the amount of time that the project will be working with the contractor(s).

For professional services contracts, provide the amounts of time to be devoted to the project, including the costs to be charged to this proposed grant award.
Provide a brief statement that you have followed the procedures for procurement under 2 CFR 200.317-200.326.
Provide the basis for cost estimates or computations.

7. Construction

Not applicable.

8. Other

List and identify items by major type or category (e.g., communications, printing, postage, equipment rental, etc.).
Provide the cost per item (printing = $500, postage = $750).
Provide the purpose for the expenditures and relation to project success.
Provide the basis for cost estimates or computations.

9. Total Direct Costs

The amount that is the sum of expenditures, per budget category, of lines 1-8.

10. Indirect Costs

Identify indirect cost rate (if the applicant will charge indirect costs to the grant)
Note: remember to provide a copy of the most recent approved indirect cost agreement in the Other Attachments form section of the application.

11. Training Stipends

Not applicable.

12. Total Costs

Sum total of direct costs, indirect costs, and stipends.
Please provide total costs for each year of the project as well as grand total cost for the entire project (up to 30 months).

Part 6: Other Attachment Form

Attach one or more documents to the Other Attachments Form in accordance with the instructions found on Grants.gov. You may provide all of the required information in a single document, or in multiple documents.

Please note that Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission.

Individual Resumes for Project Directors and Key Personnel: Provide brief resumes or job descriptions that describe their qualifications for the responsibilities they will carry out under the project.

Part 7: Assurances and Certifications

Be certain to complete all required assurances and certifications in Grants.gov, and include all required information in the appropriate place on each form. The assurances and certifications required for this application are:

Assurances for Non-Construction Programs (SF 424B Form)
Disclosure of Lobbying Activities (SF LLL Form)
Certification Regarding Lobbying (ED 80-0013 Form)

General Education Provisions Act (GEPA) Requirements – Section 427

INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES

This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.

1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.

5. If the organization filing the report in item 4 checks “Subawardee,” then enter the full name, address, city, State and zip code of the prime Federal recipient. Include Congressional District, if known.

6. Enter the name of the federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department of Transportation, United States Coast Guard.

7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.

8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitations for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Included prefixes, e.g., “RFP-DE-90-001.”

9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5.

10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action.

(b) Enter the full names of the individual(s) performing services, and include full address if different from 10(a). Enter Last Name, First Name, and Middle Initial (MI).

11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.

Shape1

According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a valid OMB control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is estimated to average 10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, DC 20503

Instructions for Meeting the General Education Provisions Act (GEPA) Section 427 Requirements

All applicants for new awards must include information in their applications to address this new provision in order to receive funding under this program.

Section 427 requires each applicant for funds (other than an individual person) to include in its application a description of the steps the applicant proposes to take to ensure equitable access to, and participation in, its Federally-assisted program for students, teachers, and other program beneficiaries with special needs.

This provision allows applicants discretion in developing the required description. The statute highlights six types of barriers that can impede equitable access or participation: gender, race, national origin, color, disability, or age.

A general statement of an applicant’s nondiscriminatory hiring policy is not sufficient to meet this requirement. Applicants must identify potential barriers and explain steps they will take to overcome these barriers.

Please review the Notice to all Applicants (included in the electronic application package in Grants.gov) for further information on meeting the provisions in the Department of Education's General Education Provisions Act (GEPA).

Applicants are required to address this provision by attaching a statement (not to exceed three pages) to the ED GEPA 427 form that is included in the electronic application package in Grants.gov.

Part 8: Intergovernmental Review of Federal Programs (Executive Order 12372)

This program falls under the rubric of Executive Order 12372 (Intergovernmental Review of Federal Programs) and the regulations in 34 CFR Part 79. One of the objectives of the Executive order is to strengthen federalism--or the distribution of responsibility between localities, States, and the Federal government--by fostering intergovernmental partnerships. This idea includes supporting processes that State or local governments have devised for coordinating and reviewing proposed Federal financial grant applications.

The process for doing this requires grant applicants to contact State Single Points of Contact for information on how this works. Multi-state applicants should follow procedures specific to each state.

Further information about the State Single Point of Contact (SPOC) process and a list of names by State can be found at:

http://www.whitehouse.gov/omb/grants_spoc

Absent specific State review programs, applicants may submit comments directly to the Department. All recommendations and comments must be mailed or hand-delivered by the date indicated in the actual application notice to the following address: The Secretary, EO 12372--CFDA# 84.419C, U.S. Department of Education, room 7E200. 400 Maryland Avenue, SW., Washington, DC 20202.

Proof of mailing will be determined on the same basis as applications (see 34 CFR §75.102). Recommendations or comments may be hand-delivered until 4:30 p.m. (eastern time) on the closing date indicated in this notice.

Important note: The above address is not the same address as the one to which the applicant submits its completed applications. Do not send applications to the above address.

Not all states have chosen to participate in the intergovernmental review process, and therefore do not have a SPOC. If you are located in a State that does not have a SPOC, you may send application materials directly to the Department as described in the Federal Register notice.

Reporting and Accountability

Successful Applicants with multi-year grants must submit an annual performance report demonstrating their progress in meeting approved project objectives. Grantees must also provide the most current financial and performance measure data for each year of the project.

At the end of the project period, applicants will also be required to submit a final performance report.

Under the Government Performance and Results Act (GPRA), the following performance indicators have been established to evaluate the overall effectiveness of the Preschool Pay For Success Feasibility Pilot grant program:

1. Number/percentage of grantees that complete a Feasibility Study within the project period.

2. Number/percentage of feasibility studies that conclude that PFS approaches for Preschool expansion or improvement are viable.

3. Number/percentage of Feasibility Studies that identify feasible alternatives if PFS is not viable.

These measures constitute the Department’s indicators of success for this program. Consequently, we advise an applicant for a grant under this program to give careful consideration to these measures in conceptualizing the approach and evaluation for its proposed project. Each grantee will be required to provide, in its annual performance and final reports, data about its progress in meeting these measures.

For specific requirements on grantee reporting, please go to the ED Performance Report Form 524B at http://www.ed.gov/fund/grant/apply/appforms/appforms.html.

Legal and Regulatory Information

Notice Inviting Applications

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Preschool Development Grants--Preschool Pay For Success Feasibility Pilot

AGENCY: Office of Elementary and Secondary Education, Department of Education.

ACTION: Notice.

Overview Information:

Preschool Development Grants--Preschool Pay for Success Feasibility Pilot

Notice inviting applications for new awards for fiscal year (FY) 2016.

Catalog of Federal Domestic Assistance (CFDA) Number: 84.419C.

Dates:

Applications Available: [INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Notice of Intent to Apply: [INSERT DATE 20 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 60 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Intergovernmental Review: [INSERT DATE 120 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program:

The purpose of this Preschool PFS Feasibility Pilot is to leverage State and local PFS activity for preschool programs by providing grants for Feasibility Studies to encourage implementation of high-quality preschool programs through investments that yield meaningful results. This Preschool PFS Feasibility Pilot ultimately aims to improve early learning outcomes through high-quality programs, implemented through High-Quality Pay For Success (PFS) Projects. These studies will test preschool models that effectively serve the Target Population, contribute to the evidence base of what works in preschool education, and identify a broad range of potential Outcome Measures that demonstrate improved student outcomes and result in potential cost savings to school districts, Local Governments, and States, as well as provide more general benefits to society.

In awarding Preschool PFS Feasibility Pilot grants, the Department will only support Feasibility Studies that propose to identify rigorous safeguards to ensure that projects do not create perverse incentives. This includes not creating incentives for reducing special education referrals or placement when Children with Disabilities, in fact, need these services in order to be successful. Such safeguards should include: procedures to ensure that the determination of special education eligibility is completely separated from the financial structure of the project; evaluation methods that mitigate the risk of perverse incentives; stakeholder involvement in developing and evaluating the project; and other strategies. The Department seeks to contribute to the identification of the next generation of PFS Preschool Outcome Measures.

Background on Pay For Success Model:

Under this program, the Department will award grants to State, local, or Tribal Governments to conduct Preschool PFS Feasibility Pilots. PFS is an innovative contracting and financing model that is used to test and advance promising and proven interventions. Through a PFS project, typically a Government entity and an Investor^¹ enter into a contract under which the Investor agrees to fund services or interventions provided to specific people or communities and the Government entity agrees to make payments to the Investor. Payments to the Investor, typically from taxpayer dollars, are made by the Government entity only if the interventions achieve the outcomes agreed upon by the government (or other entity) and the investor in advance. Where PFS financing is used, the Government entity typically makes Outcomes Payments to the Investor that cover the cost of the intervention and also offer Investors a modest return, which typically amount to a fraction of the short- and long-term cost savings to the Government entity from the successful outcomes. If cost savings are not an outcome goal, Investors may still receive a modest return, if other key outcome goals are achieved.

The PFS contracting and financing model requires a partnership among multiple stakeholders. Partners typically include:

• One or more outcomes “payors,” generally Federal, State, local, or Tribal Government entities or other entities that contract to pay for outcomes when achieved;

• Service provider(s), which deliver the intervention intended to achieve the outcomes;

• Investor(s), which cover the up-front cost of implementing the intervention and may also cover other associated costs through PFS financing; and

• An independent evaluator, which determines, through a rigorous evaluation, whether the intervention achieved the outcome(s) sought.

Most PFS projects to date have also included a project coordinator or Intermediary, which facilitates and manages the contracting process and project.

Before deciding to support services through PFS financing, interested parties must conduct a feasibility study. A feasibility study establishes whether PFS is viable and appropriate for a specific intervention, in a specific jurisdiction and geographic area. It identifies potential outcome measures for the project and evaluates whether it will be possible to implement or scale a specific intervention for an identified target population. The feasibility study analyzes and quantifies the fiscal benefits to Government and the societal benefits that result if the outcome measures are achieved for the target population. It may also identify statutory and legal barriers, as well as potential partners for a PFS project. After the Feasibility Study has determined that a PFS project is viable, the next steps to implement the PFS project include structuring the financial deal, designing the evaluation, implementing services, and making outcomes payments (if appropriate).

PFS models offer many potential benefits; for example:

• People and communities in need are able to receive services as a result of the capital provided by investors;

• Governments can test the effectiveness of interventions--including long-standing models, promising innovations, or adaptations of existing models--or can scale proven interventions that might not otherwise be possible due to funding restrictions or other limitations;

• Service providers can assess the rigorous research measuring the impact of their interventions while also accessing a steady stream of funding for the life of the PFS project;

• Investors can create positive social impact and earn a modest return if outcomes are achieved;

• Multiple entities, including government, State agencies, service providers, and stakeholders, can benefit from the cross-sector collaboration and data sharing that PFS facilitates; and

• Rigorous evaluation of PFS projects strengthens the field’s knowledge about effective practices in order to drive better outcomes in the future.

Preschool as a Candidate for PFS Financing

Preschool is a strong candidate for PFS because there is a rigorous research base supporting preschool, measurable outcomes and proven interventions. Evidence demonstrates that participation in high-quality inclusive early learning programs can lead to both short- and long-term positive outcomes for children, especially those from low-income families and Children with Disabilities.^² Research has shown multiple benefits of participating in preschool programs, including increased school readiness, lower rates of grade retention and need for remediation, improved high school graduation rates, reduced interaction with law enforcement, and higher rates of college attendance and completion.^³ Longitudinal data show that increasing access to high-quality preschool programs, particularly for at-risk children from low-income families, can help close, or even prevent, achievement gaps prior to kindergarten entry.

Communities where it is difficult or not possible to secure new or additional government resources may choose to pursue a preschool PFS project as a short-term strategy to finance the immediate costs of providing preschool services or as one strategy to promote evidence-based policy through an outcomes-based financing model. The Department notes, however, that Preschool PFS is one potential financing strategy for early learning and not a substitute for local, State, and Federal support for full expansion of early education. Further, PFS offers Government entities a means through which to pilot innovative preschool programs, and program adaptations or enhancements that may inform greater public investment in future years. We hope to build on the substantial evidence base that exists regarding the value of public investment in preschool to identify innovative service models that produce greater and more diverse outcomes.

PFS Outcome Measures

Identifying specific Outcome Measures on which to base the success of a program is a critical component of PFS. A PFS Feasibility Study identifies and explores potential Outcome Measures for an intervention to determine whether a PFS project is financially viable. This Preschool PFS Feasibility Pilot is designed to build upon PFS preschool projects conducted to date by identifying Outcome Measures that can both support a PFS project while providing structural safeguards against undesirable incentives and yielding evidence of the effectiveness of the preschool program. At this early stage in the development of State and local PFS as a financing model for preschool, projects have focused on a limited number of Outcome Measures that are easily quantifiable, such as the reduction in special education placement. However, access to needed special education and related services is not only critical for Children with Disabilities but also required by the Individuals with Disabilities Education Act (IDEA). Preschool PFS projects should never result in reducing referrals for Children with Disabilities who need to be evaluated to determine eligibility for special education. It is important that PFS projects that use the reduction in special education placement as one of the Outcome Measures include proper safeguards to ensure that PFS never incentivizes reducing referrals for Children with Disabilities who may need of special education and related services to which they are entitled under IDEA.

Decades of research show that the expansion of high-quality preschool can lead to, in addition to a reduction in the need for special education and remediation, improved student achievement, improved social and emotional well-being, improved Executive Functioning, and earlier identification of Children with Disabilities.^⁴ As the research indicates investment in preschool results in a broad range of both short- and long-term outcomes that benefit children, government, and society, there are multiple savings and societal benefits worth exploring. Potential Outcome Measures may include kindergarten readiness, reading and math growth or achievement, improved social and emotional skills, improved Executive Functioning, reduction in grade retention, discipline referrals, and interactions with law enforcement, and increases in high school graduation. The Department is interested in finding ways to quantify these benefits, and in developing workable data-driven approaches that are supported by early childhood research to monetize such short-, medium- and long-term benefits. Additionally, the Department is interested in Feasibility Studies that include Outcome Measures that document the potential cost savings associated with, and societal benefits of, Children with Disabilities participating in inclusive preschool programs. We note, however, that savings are not the primary reason to invest in and expand preschool. There are significant non-monetary benefits for children, families, and society.

Priorities: We are establishing these priorities for the FY 2016 PFS Feasibility Pilot grant competition only, in accordance with section 437(d)(1) of the General Education Provisions Act (GEPA), 20 U.S.C. 1232(d)(1).

Absolute Priority: This priority is an absolute priority. Under 34 CFR 75.105(c)(3), we consider only applications that meet this priority.

This priority is:

Feasibility Study.

Under this priority, the applicant must propose a Feasibility Study that will determine the viability of using a PFS approach to expand or improve a preschool program for a Target Population, and describe the Outcome Measures the applicant proposes to explore. Any applicant that proposes the reduction in the need for special education as an Outcome Measure must include other measures of student achievement, such as kindergarten readiness, reading and math growth or achievement, and improved social and emotional skills.

Competitive Preference Priority: This priority is a competitive preference priority. Under 34 CFR 75.105(c)(2)(i) we award up to an additional five points to an application, depending on how well the application meets this priority.

This priority is:

Outcome Measures Across Various Domains

To meet this priority, an applicant must propose evaluating social and emotional or Executive Functioning Outcome Measures, or both, that may be predictive of future school success, cost savings, cost avoidance, and other societal benefits.

Application Requirements: An application for a Preschool PFS Feasibility Pilot must provide:

(a) A project statement of need for the Target Population that includes--

(1) A definition of the Target Population to be served, based on data and analysis demonstrating the need for services within the relevant geographic area; and

(2) Data demonstrating how the Target Population lags behind other groups in either achieving key outcomes that the project will seek to achieve; or

(b) A description of the preschool program that includes, at a minimum--

(1) An evidence-based curriculum;

(2) High-quality professional development for all staff;

(3) High Qualifications for Staff;

(4) A child-to-instructional staff ratio of no more than 10 to 1; and

(5) Inclusion of Children with Disabilities, at risk children, and children representing other high-needs populations, such as homeless children as defined under the McKinney-Vento Act, and English Learners.

The description also must include: how the intervention is likely to improve student outcomes, based on quantitative, qualitative, or theoretical evidence; the goals, objectives, and outcomes to be achieved by the preschool program which are clearly specified and measurable and will demonstrate student success; how the intervention is appropriate to, and will successfully address, the needs of the Target Population;

(c) An explanation for how existing funding resources preclude serving this population or administering this program, and why PFS may be an appropriate financing strategy;

(d) A description of the Preschool PFS Partnership or, if a Preschool PFS Partnership does not already exist, a plan for developing a Preschool PFS Partnership, including--

(1) A government entity that will serve as the outcomes payor;

(2) An Intermediary; and

(3) An Independent Evaluator;

(e) A description of potential Outcome Measures to be evaluated in the proposed Feasibility Study. If one of the identified Outcome Measures is the reduction in special education placement, the applicant must include other measures of student achievement such as kindergarten readiness, reading and math growth or achievement, or improved social and emotional skills. Applicants may also propose to include the Benefits associated with longer-term measures such as reduced interactions with law enforcement and increased high school graduation rates.

Program Requirements:

Within the project period of the grant award, an eligible applicant awarded a Preschool PFS Feasibility Pilot Grant must--

(a) Submit a written Preschool PFS Feasibility Study which consists of the following, at a minimum:

(1) A description of the preschool program that includes, at a minimum--

(i) An evidence-based curriculum;

(ii) High-quality professional development for all staff;

(iii) High Qualifications for Staff;

(iv) A child-to-instructional staff ratio of no more than 10-to-1; and

(v) Inclusion of Children with Disabilities and other high-needs populations, such as homeless children, as defined under McKinney-Vinto, and English Learners.

The description also must include: how the intervention is likely to improve student outcomes, based on quantitative, qualitative, or theoretical evidence; the goals, objectives, and outcomes to be achieved by the preschool program which are clearly specified and measurable and will demonstrate student success; and how the intervention is appropriate to, and will successfully address, the needs of the Target Population.

(2) Identification of one or more clearly specified and measurable Outcome Measures. Any grantee that identifies the reduction in the need for special education as an Outcome Measure must include other measures of student achievement such as kindergarten readiness, reading and math growth or achievement, or improved social and emotional skills. If the grantee uses reduction in special education placement as a potential Financial Benefit in its Feasibility Study, the grantee must provide a detailed plan for safeguarding the rights of Children with Disabilities, to ensure these children are properly identified and receive appropriate special education services in compliance with IDEA and relevant State and local laws or guidelines. This plan must include, at a minimum--

(i) Processes to ensure that determination of special education eligibility is completely separate from the financial structure of the project;

(ii) A description of the elements of the evaluation methodology to measure the reduction in the need for special education that mitigate the risk of perverse incentives; and

(iii) A description of how local stakeholders were involved with developing the plan for safeguards.

Grantees may also include longer-term measures such as reduced interactions with law enforcement and increased high school graduation rate.

(3) A Cost-Benefit Analysis that evaluates whether the preschool program is viable for PFS, including a framework and analysis for estimating Benefits that result from implementing the preschool program for the Target Population.

(4) Identification of any statutory or legal barriers to implementing PFS.

(5) Identification of potential sources of Outcomes Payments from a government entity or other sources.

(b) If the Feasibility Study concludes that PFS is viable, the grantee must submit a written report that--

(1) Identifies partners for a Preschool PFS Partnership and includes a description of--

(i) The roles and responsibilities of each partner; and

(ii) An effective governance structure in which partners necessary to implement PFS successfully are represented and have the necessary authority, resources, expertise, and incentives to achieve the PFS project’s goals and resolve unforeseen issues;

(2) Describes a plan to rigorously evaluate a PFS project to implement preschool services for the Target Population and demonstrates that the Preschool PFS Partnership has the capacity to collect, analyze, and use data to determine if Outcome Measures have been achieved. Any data sharing agreements that are necessary should be identified.

(3) Describes a proposed plan to implement or scale the preschool program for the Target Population, a preliminary financing strategy, and a proposed timeline and milestones, including next steps to proceed to transaction structuring;

(c) If the Feasibility Study determines the PFS project is not viable, the grantee must provide either a written description and explanation of why such a project is not feasible and a discussion of potential alternatives to PFS that would contribute to the public good and enhance or expand preschool services or a description of the steps necessary to make a PFS approach feasible.

(d) Not include any Head Start-funded programs in its Preschool PFS Feasibility Pilot given that Head Start is primarily funded by the Federal government.

The Department plans to make publicly available the completed Feasibility Studies and related reports in order to make tools and models available to the public, facilitate knowledge-sharing, and lessen the burden of future feasibility assessments in communities.

Definitions: We are establishing the following definitions for the FY 2016 grant competition only in accordance with section 437(d)(1) of GEPA, 20 U.S.C. 1232(d)(1).

Benefits mean fiscal benefits and value to the public and society as a result of achieving the Outcome Measures through the implementation of the intervention for the Target Population. Benefits may include fiscal benefits, such as cost savings, cost avoidance, cost-effectiveness, and non-fiscal benefits, such as societal benefits.

Children with Disabilities has the same meaning as the definition of a child with a disability under IDEA (20 U.S.C. 1400 et seq.)

Cost-Benefit Analysis compares the costs of an intervention (for example) with the Benefits that will result from that intervention. Benefits can be both monetary and non-monetary.

English Learner means an individual--

(a) Who is aged 3-21;

(b) Who is enrolled or preparing to enroll in an elementary school or secondary school;

(c)(1) Who was not born in the United States or whose native language is a language other than English;

(2)(i) Who is a Native American or Alaska Native, or a native resident of the outlying areas; and

(ii) Who comes from an environment where a language other than English has had a significant impact on the individual’s level off English language proficiency; or

(3) Who is migratory, whose native language is a language other than English, and who comes from an environment where a language other than English is dominant; and

(d) Whose difficulties in speaking, reading, writing, or understanding the English language may be sufficient to deny the individual the--

(1) Ability to meet the challenging State academic standards;

(2) Ability to successfully achieve in classrooms where the language of instruction is English; or

(3) Opportunity to participate fully in society.

Executive Functioning means a set of skills that include sustained attention, impulse control, flexibility in thinking, working memory, the ability to hold information and manipulate it to perform tasks.

Feasibility Study means a written report assessing the suitability of an intervention for PFS. A Feasibility Study includes, at a minimum--

(a) A description of the intervention or services delivery model to be implemented through PFS;

(b) Identification of one or more clearly measurable and well-defined Outcome Measures;

(d) A description of the evaluation methodology and the Preschool PFS Partnership’s data and evaluation capacity;

(e) A Cost-Benefit Analysis;

(f) A description of the Preschool PFS Partnership:

(g) A budget narrative, demonstrating the adequacy of resources to implement preschool services for the Target Population through PFS:

(h) A description of and a statement of need for the Target Population:

(i) Any statutory or legal barriers to implementing PFS and,

(j) If the project is viable a preliminary financing strategy and potential sources of Outcomes Payments from government entity(s).

Financial Benefit means a fiscal benefit to a government entity or entities as a result of a measurable current monetary cost savings and future avoided costs achieved from meeting the designated Outcome Measure.

Financial Model means a quantitative model that links the costs of implementing preschool services that are covered, in whole or in part, by the Investors to the amount and timing of Outcomes Payments that are made by a government entity.

High-Quality Pay for Success (PFS) Project means a PFS Project that includes--

(a) A well-defined problem and associated Target Population;

(b) A preventative service delivery strategy that is managed, coordinated, and guided by the service provider, is flexible and adaptive to the target problem and population, and has a robust, rigorous evidence base or a compelling theory of change with pre- and post-intervention outcomes;

(c) One or more well-defined, achievable potential outcome target(s) that are a significant improvement on the current condition of the Target Population and have been agreed to by all required project partners;

(d) A plan for rigorous evaluation using a randomized controlled trial, quasi-experimental evaluation, or other scientific methodology to be executed by an Independent Evaluator;

(e) A financial model that shows public sector value, including cost savings, cost avoidance or efficiency, and societal benefit and tracks effects of the project on relevant Federal, State, and local funding sources;

(f) A commitment from an individual or entity to act as an outcomes payor (whose Outcomes Payments may be directed to Investors if they have covered, in part or in whole, costs associated with delivering the intervention);

(g) If needed, a binding commitment of funds from one or more independent Investors to cover all operating costs of the intervention, including administrative and overhead costs of the Intermediary; and

(h) A legal agreement and any associated necessary agreements that incorporate all elements above.

High Qualifications for Teachers means that a teacher must meet one of the following requirements:

(a) A bachelor's degree in early childhood education or a related field with coursework that demonstrates competence in early childhood education, or

(b) The teacher--

(1) Has a bachelor's degree in any field;

(2) Has demonstrated knowledge of early childhood education by passing a State-approved assessment in early childhood education;

(3) While employed as a teacher in the preschool program, is engaged in on-going professional development in early childhood education for not less than two years; and

(4) Not more than four years after starting employment as a teacher in the preschool program, enrolls in and completes a State-approved educator preparation program in which the teacher receives training and support in early childhood education.

(c) A bachelor’s degree with a credential, license, or endorsement that demonstrates competence in early childhood education.

Inclusion of Children with Disabilities means that Children with Disabilities should have access to the general education curriculum, along with learning activities and settings that are available to their peers without disabilities. The preschool program in a PFS Feasibility Project must:

(a) Include Children with Disabilities in classrooms and programs where the majority of children are typically developing. The Inclusion of Children with Disabilities in a classroom or program should be in proportion to their presence in the population. Self-contained or separate classrooms for Children with Disabilities or classrooms where the majority of children are Children with Disabilities are not acceptable;

(b) Provide access to and full participation of Children with Disabilities in a wide range of learning opportunities and activities. To the maximum extent possible, and in alignment with their individualized education programs, Children with Disabilities should be included in the preschool program throughout the entire day and across all learning opportunities;

(c) Provide modifications to the environment, multiple and varied formats for instruction, and individualized accommodations and supports along a continuum to meet the needs of children with various types of disabilities and levels of severity; and

(d) Ensure that special education and related services are coordinated and integrated within the preschool program as appropriate.

Independent Evaluator means an independent entity that rigorously evaluates whether the intervention achieved the Outcome Measure(s) sought at pre-set target levels.

Intermediary means an entity that serves as the project facilitator between the parties in a PFS project. Responsibilities may include but are not limited to: coordinating the development and execution of legal agreements, building a Financial Model to guide the terms of the legal agreements, and raising capital from Investors.

Investor means an individual, entity, or group thereof that provides upfront capital to cover the operating costs and other associated costs, in part or whole, of the intervention delivered by the service provider.

Local Government means any unit of government within a State, including a--

(a) County;

(b) Borough;

(d) City;

(e) Town;

(f) Township;

(g) Parish;

(h) Local public authority, including any public housing agency under the United States Housing Act of 1937;

(i) Special district;

(j) School district;

(k) Intrastate district;

(l) Council of governments, whether or not incorporated as a nonprofit corporation under State law; and

(m) Any other agency or instrumentality of a multi-, regional, or intra-State or local government. (See 2 CFR 200.64).

Outcome Measure means a measure that provides an assessment of a program’s impact and is applied to both target and comparison groups. It is determined using relevant program data and has defined units of measurement by which the impact can be tracked. Examples of Outcome Measures include, but are not limited to, improvement in knowledge and skills at kindergarten entry, reduction in the need for remedial services, reduction in the need for grade retention, improvement in third grade reading and math proficiency, and improvement in language development.

Outcomes Payments means payments, as agreed to in PFS legal agreements, to cover repayment of the principal investment and a return in the case that: (a) an Investor has covered part or all of the costs of service delivery and other associated costs, and (b) Outcome Measures have been achieved according to an Independent Evaluator.

Preschool Pay for Success (Preschool PFS) Partnership includes a government entity that makes Outcomes Payments and an Independent Evaluator and typically includes an Intermediary. A Preschool PFS Partnership may also include one or more preschool service providers and Investor(s).

State means each of the 50 States, the District of Columbia, and the Commonwealth of Puerto Rico.

Target Population means low-income and disadvantaged preschoolers who are three or four years of age at the time of enrollment, such as those at risk of failing to meet the State’s academic content standards.

Tribal Government means a federally recognized Indian tribal government - - the governing body or a governmental agency of any Indian tribe, band, nation, or other organized group or community (including any native village as defined in Section 3 of the Alaska Native Claims Settlement Act, 43 U.S.C. 1602(c). certified by the Secretary of the Interior as eligible for the special programs and services provided through the Bureau of Indian Affairs.

Waiver of Proposed Rulemaking: Under the Administrative Procedure Act (5 U.S.C. 553) the Department generally offers interested parties the opportunity to comment on proposed priorities, requirements, definitions, and selection criteria. Section 437(d)(1) of GEPA, however, allows the Secretary to exempt from rulemaking requirements, regulations governing the first grant competition under a new or substantially revised program authority. This is the first grant competition for this program under the national activities authorized by the Consolidated Appropriations Act, 2016, Title III, Division H (P.L. 114-113) and therefore qualifies for this exemption. In order to ensure timely grant awards, the Secretary has decided to forego public comment on the priorities, requirements, definitions, and selection criteria under section 437(d)(1) of GEPA. These priorities, requirements, definitions, and selection criteria will apply to the FY 2016 grant competition only.

Program Authority: Part D of Title V of the Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001 (ESEA), and Title III of Division H of The Consolidated Appropriations Act, 2016 (Pub. L. 114-113).

Applicable Regulations: (a) The Education Department General Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 81, 82, 84, 86, 97, 98, and 99. (b) The OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement) in 2 CFR part 180, as adopted and amended as regulations of the Department of Education in 2 CFR part 3485. (c) The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards in 2 CFR part 200, as adopted and amended as regulations of the Department of Education in 2 CFR part 3474.

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

II. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: $2,800,000.

Estimated Range of Awards: $200,000-$400,000.

Maximum Award: We will reject any application that proposes a budget exceeding $400,000 for a single budget period of up to 30 months.

Estimated Number of Awards: 7-14.

Note: The Department is not bound by any estimates in this notice. The Department will determine the number of awards to be made based on the quality of applications received consistent with the selection criteria. The Department will also determine the size of an award made to an eligible applicant based on a review of the eligible applicant’s budget.

Project Period: Up to 30 months.

III. Eligibility Information

1. Eligible Applicants: An applicant must be a State government, Local Government, or Tribal Government.

2. Cost Sharing or Matching: This competition does not require cost sharing or matching.

IV. Application and Submission Information

1. Address to Request Application Package: You can obtain an application package via the Internet or from the Education Publications Center (ED Pubs).

To obtain a copy via the Internet, use the following address: http://www2.ed.gov/programs/preschooldevelopmentgrants/index.html.

To obtain a copy from ED Pubs, write, fax, or call: ED Pubs, U.S. Department of Education, P.O. Box 22207, Alexandria, VA 22304. Telephone, toll free: 1-877-433-7827. FAX: (703) 605-6794. If you use a telecommunications device for the deaf (TDD) or a text telephone (TTY), call, toll free: 1-877-576-7734.

You can contact ED Pubs at its Web site, also: www.EDPubs.gov or at its email address: [email protected].

If you request an application package from ED Pubs, be sure to identify this program or competition as follows: CFDA number 84.419C.

Individuals with disabilities can obtain a copy of the application package in an accessible format (e.g., braille, large print, audiotape, or compact disc) by contacting the person listed under Accessible Format in section VIII of this notice.

2. a. Content and Form of Application Submission: Requirements concerning the content of an application, together with the forms you must submit, are in the application package for this program.

b. Submission of Proprietary Information: Given the types of projects that may be proposed in applications for the Preschool PFS Feasibility Pilot, your application may include business information that you consider proprietary. In 34 CFR 5.11 we define “business information” and describe the process we use in determining whether any of that information is proprietary and, thus, protected from disclosure under Exemption 4 of the Freedom of Information Act (5 U.S.C. §552, as amended). Applicants may wish to request confidentiality of business information as we plan to make successful applications available to the public on our Preschool PFS Feasibility Pilot Web site.

Consistent with Executive Order 12600, please designate in your application any information that you believe is exempt from disclosure under Exemption 4. In the appropriate Appendix section of your application, under “Other Attachments Form,” please list the page number or numbers on which we can find this information. For additional information please see 34 CFR 5.11(c).

3. Submission Dates and Times:

Applications Available: [INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Notice of Intent to Apply: [INSERT DATE 20 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 60 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Applications for grants under this program must be submitted electronically using the Grants.gov site (Grants.gov). For information (including dates and times) about how to submit your application electronically, or in paper format by mail or hand delivery if you qualify for an exception to the electronic submission requirement, please refer to Other Submission Requirements in section IV of this notice.

We do not consider an application that does not comply with the deadline requirements.

Individuals with disabilities who need an accommodation or auxiliary aid in connection with the application process should contact the person listed under For Further Information Contact in section VII of this notice. If the Department provides an accommodation or auxiliary aid to an individual with a disability in connection with the application process, the individual's application remains subject to all other requirements and limitations in this notice.

Deadline for Intergovernmental Review: [INSERT DATE 120 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

4. Intergovernmental Review: This program is subject to Executive Order 12372 and the regulations in 34 CFR part 79. Information about Intergovernmental Review of Federal Programs under Executive Order 12372 is in the application package for this program.

5. Funding Restrictions: We reference regulations outlining funding restrictions in the Applicable Regulations section of this notice.

6. Data Universal Numbering System Number, Taxpayer Identification Number, and System for Award Management: To do business with the Department of Education, you must--

a. Have a Data Universal Numbering System (DUNS) number and a Taxpayer Identification Number (TIN);

b. Register both your DUNS number and TIN with the System for Award Management (SAM) (formerly the Central Contractor Registry), the Government’s primary registrant database;

c. Provide your DUNS number and TIN on your application; and

d. Maintain an active SAM registration with current information while your application is under review by the Department and, if you are awarded a grant, during the project period.

You can obtain a DUNS number from Dun and Bradstreet at the following Web site: http://fedgov.dnb.com/webform. A DUNS number can be created within one to two business days.

If you are a corporate entity, agency, institution, or organization, you can obtain a TIN from the Internal Revenue Service. If you are an individual, you can obtain a TIN from the Internal Revenue Service or the Social Security Administration. If you need a new TIN, please allow two to five weeks for your TIN to become active.

The SAM registration process can take approximately seven business days, but may take upwards of several weeks, depending on the completeness and accuracy of the data you enter into the SAM database. Thus, if you think you might want to apply for Federal financial assistance under a program administered by the Department, please allow sufficient time to obtain and register your DUNS number and TIN. We strongly recommend that you register early.

Note: Once your SAM registration is active, it may be 24 to 48 hours before you can access the information in, and submit an application through, Grants.gov.

If you are currently registered with SAM, you may not need to make any changes. However, please make certain that the TIN associated with your DUNS number is correct. Also note that you will need to update your registration annually. This may take three or more business days.

Information about SAM is available at www.SAM.gov. To further assist you with obtaining and registering your DUNS number and TIN in SAM or updating your existing SAM account, we have prepared a SAM.gov Tip Sheet, which you can find at: http://www2.ed.gov/fund/grant/apply/sam-faqs.html.

In addition, if you are submitting your application via Grants.gov, you must (1) be designated by your organization as an Authorized Organization Representative (AOR); and (2) register yourself with Grants.gov as an AOR. Details on these steps are outlined at the following Grants.gov Web page: www.grants.gov/web/grants/register.html.

7. Other Submission Requirements: Applications for grants under this program must be submitted electronically unless you qualify for an exception to this requirement in accordance with the instructions in this section.

a. Electronic Submission of Applications.

Applications for grants under the Preschool PFS Feasibility Pilot, CFDA number 84.419C, must be submitted electronically using the Governmentwide Grants.gov Apply site at www.Grants.gov. Through this site, you will be able to download a copy of the application package, complete it offline, and then upload and submit your application. You may not email an electronic copy of a grant application to us.

We will reject your application if you submit it in paper format unless, as described elsewhere in this section, you qualify for one of the exceptions to the electronic submission requirement and submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of these exceptions. Further information regarding calculation of the date that is two weeks before the application deadline date is provided later in this section under Exception to Electronic Submission Requirement.

You may access the electronic grant application for Preschool PFS Feasibility Pilot at www.Grants.gov. You must search for the downloadable application package for this program by the CFDA number. Do not include the CFDA number’s alpha suffix in your search (e.g., search for 84.419, not 84.419C).

Please note the following:

• When you enter the Grants.gov site, you will find information about submitting an application electronically through the site, as well as the hours of operation.

• Applications received by Grants.gov are date and time stamped. Your application must be fully uploaded and submitted and must be date and time stamped by the Grants.gov system no later than 4:30:00 p.m., Washington, DC time, on the application deadline date. Except as otherwise noted in this section, we will not accept your application if it is received--that is, date and time stamped by the Grants.gov system--after 4:30:00 p.m., Washington, DC time, on the application deadline date. We do not consider an application that does not comply with the deadline requirements. When we retrieve your application from Grants.gov, we will notify you if we are rejecting your application because it was date and time stamped by the Grants.gov system after 4:30:00 p.m., Washington, DC time, on the application deadline date.

• The amount of time it can take to upload an application will vary depending on a variety of factors, including the size of the application and the speed of your Internet connection. Therefore, we strongly recommend that you do not wait until the application deadline date to begin the submission process through Grants.gov.

• You should review and follow the Education Submission Procedures for submitting an application through Grants.gov that are included in the application package for this program to ensure that you submit your application in a timely manner to the Grants.gov system. You can also find the Education Submission Procedures pertaining to Grants.gov under News and Events on the Department of Education’s G5 system home page at www.G5.gov. In addition, for specific guidance and procedures for submitting an application through Grants.gov, please refer to the Grants.gov Web site at: www.grants.gov/web/grants/applicants/apply-for-grants.html.

• You will not receive additional point value because you submit your application in electronic format, nor will we penalize you if you qualify for an exception to the electronic submission requirement, as described elsewhere in this section, and submit your application in paper format.

• You must submit all documents electronically, including all information you typically provide on the following forms: the Application for Federal Assistance (SF 424), the Department of Education Supplemental Information for SF 424, Budget Information--Non-Construction Programs (ED 524), and all necessary assurances and certifications.

• You must upload any narrative sections and all other attachments to your application as files in a read-only, non-modifiable Portable Document Format (PDF). Do not upload an interactive or fillable PDF file. If you upload a file type other than a read-only, non-modifiable PDF (e.g., Word, Excel, WordPerfect, etc.) or submit a password-protected file, we will not review that material. Please note that this could result in your application not being considered for funding because the material in question--for example, the project narrative--is critical to a meaningful review of your proposal. For that reason it is important to allow yourself adequate time to upload all material as PDF files. The Department will not convert material from other formats to PDF.

• Your electronic application must comply with any page-limit requirements described in this notice.

• After you electronically submit your application, you will receive from Grants.gov an automatic notification of receipt that contains a Grants.gov tracking number. This notification indicates receipt by Grants.gov only, not receipt by the Department. Grants.gov will also notify you automatically by email if your application met all the Grants.gov validation requirements or if there were any errors (such as submission of your application by someone other than a registered Authorized Organization Representative, or inclusion of an attachment with a file name that contains special characters). You will be given an opportunity to correct any errors and resubmit, but you must still meet the deadline for submission of applications.

Once your application is successfully validated by Grants.gov, the Department will retrieve your application from Grants.gov and send you an email with a unique PR/Award number for your application.

These emails do not mean that your application is without any disqualifying errors. While your application may have been successfully validated by Grants.gov, it must also meet the Department’s application requirements as specified in this notice and in the application instructions. Disqualifying errors could include, for instance, failure to upload attachments in a read-only, non-modifiable PDF; failure to submit a required part of the application; or failure to meet applicant eligibility requirements. It is your responsibility to ensure that your submitted application has met all of the Department’s requirements.

• We may request that you provide us original signatures on forms at a later date.

Application Deadline Date Extension in Case of Technical Issues with the Grants.gov System: If you are experiencing problems submitting your application through Grants.gov, please contact the Grants.gov Support Desk, toll free, at 1-800-518-4726. You must obtain a Grants.gov Support Desk Case Number and must keep a record of it.

If you are prevented from electronically submitting your application on the application deadline date because of technical problems with the Grants.gov system, we will grant you an extension until 4:30:00 p.m., Washington, DC time, the following business day to enable you to transmit your application electronically or by hand delivery. You also may mail your application by following the mailing instructions described elsewhere in this notice.

If you submit an application after 4:30:00 p.m., Washington, DC time, on the application deadline date, please contact the person listed under For Further Information Contact in section VII of this notice and provide an explanation of the technical problem you experienced with Grants.gov, along with the Grants.gov Support Desk Case Number. We will accept your application if we can confirm that a technical problem occurred with the Grants.gov system and that the problem affected your ability to submit your application by 4:30:00 p.m., Washington, DC time, on the application deadline date. We will contact you after we determine whether your application will be accepted.

Note: The extensions to which we refer in this section apply only to the unavailability of, or technical problems with, the Grants.gov system. We will not grant you an extension if you failed to fully register to submit your application to Grants.gov before the application deadline date and time or if the technical problem you experienced is unrelated to the Grants.gov system.

Exception to Electronic Submission Requirement: You qualify for an exception to the electronic submission requirement, and may submit your application in paper format, if you are unable to submit an application through the Grants.gov system because--

• You do not have access to the Internet; or

• You do not have the capacity to upload large documents to the Grants.gov system;

and

• No later than two weeks before the application deadline date (14 calendar days or, if the fourteenth calendar day before the application deadline date falls on a Federal holiday, the next business day following the Federal holiday), you mail or fax a written statement to the Department, explaining which of the two grounds for an exception prevents you from using the Internet to submit your application.

If you mail your written statement to the Department, it must be postmarked no later than two weeks before the application deadline date. If you fax your written statement to the Department, we must receive the faxed statement no later than two weeks before the application deadline date.

Address and mail or fax your statement to: Mary Moran, U.S. Department of Education, 400 Maryland Avenue, SW., room 3E342, Washington, 20202-6200.

FAX: (202) 260-8969

Your paper application must be submitted in accordance with the mail or hand-delivery instructions described in this notice.

b. Submission of Paper Applications by Mail.

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.419C)

LBJ Basement Level 1

400 Maryland Avenue, SW.

Washington, DC 20202-4260

You must show proof of mailing consisting of one of the following:

(1) A legibly dated U.S. Postal Service postmark.

(2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service.

(3) A dated shipping label, invoice, or receipt from a commercial carrier.

(4) Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education.

If you mail your application through the U.S. Postal Service, we do not accept either of the following as proof of mailing:

(1) A private metered postmark.

(2) A mail receipt that is not dated by the U.S. Postal Service.

Note: The U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, you should check with your local post office.

We will not consider applications postmarked after the application deadline date.

c. Submission of Paper Applications by Hand Delivery.

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.419C)

550 12th Street, SW.

Room 7039, Potomac Center Plaza

Washington, DC 20202-4260

The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except Saturdays, Sundays, and Federal holidays.

Note for Mail or Hand Delivery of Paper Applications: If you mail or hand deliver your application to the Department--

V. Application Review Information

1. Selection Criteria: We are establishing the following selection criteria for the FY 2016 grant competition only, in accordance with section 437(d)(1) of GEPA, 20 U.S.C.1232(d)(1). Eligible applicants may receive up to 100 points based on the extent to which their applications address the selection criteria. The number of points that may be awarded for each criterion is indicated in parentheses next to the criterion.

(i) An evidence-based curriculum;

(ii) High-quality professional development for all staff;

(iii) High Qualifications for Staff;

(iv) A child-to-instructional staff ratio of no more than 10 to 1; and

(v) Inclusion of Children with Disabilities, children at risk, and children representing other high-needs populations, such as homeless children as defined under McKinney Vinto, and English Learners.

(1) (up to 3 points). Managing and overseeing similar projects (e.g., PFS or non-PFS work) with specific examples of prior accomplishments and outcomes; and

(2) (up to 2 points). Managing Federal grants, including plans for ensuring compliance with Federal guidelines.

2. Review and Selection Process: Each application will be separately screened to determine whether each application meets requirements, and will be separately reviewed and scored.

We remind potential applicants that in reviewing applications in any discretionary grant competition, the Secretary may consider, under 34 CFR 75.217(d)(3), the past performance of the applicant in carrying out a previous award, such as the applicant’s use of funds, achievement of project objectives, and compliance with grant conditions. The Secretary may also consider whether the applicant failed to submit a timely performance report or submitted a report of unacceptable quality.

In addition, in making a competitive grant award, the Secretary also requires various assurances, including those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving Federal financial assistance from the Department of Education (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).

3. Risk Assessment and Special Conditions: Consistent with 2 CFR 200.205, before awarding grants under this program the Department will conduct a review of the risks posed by applicants. Under 2 CFR 3474.10, the Secretary may impose special conditions and, in appropriate circumstances, high-risk conditions on a grant if the applicant or grantee is not financially stable; has a history of unsatisfactory performance; has a financial or other management system that does not meet the standards in 2 CFR part 200, subpart D; has not fulfilled the conditions of a prior grant; or is otherwise not responsible.

VI. Award Administration Information

1. Award Notices: If your application is successful, we notify your U.S. Representative and U.S. Senators and send you a Grant Award Notification (GAN); or we may send you an email containing a link to access an electronic version of your GAN. We may notify you informally, also.

If your application is not evaluated or not selected for funding, we notify you.

2. Administrative and National Policy Requirements: We identify administrative and national policy requirements in the application package and reference these and other requirements in the Applicable Regulations section of this notice.

We reference the regulations outlining the terms and conditions of an award in the Applicable Regulations section of this notice and include these and other specific conditions in the GAN. The GAN also incorporates your approved application as part of your binding commitments under the grant.

3. Reporting: (a) If you apply for a grant under this competition, you must ensure that you have in place the necessary processes and systems to comply with the reporting requirements in 2 CFR part 170 should you receive funding under the competition. This does not apply if you have an exception under 2 CFR 170.110(b).

(b) At the end of your project period, you must submit a final performance report, including financial information, as directed by the Secretary. If you receive a multiyear award, you must submit annual performance reports that provide the most current performance and financial expenditure information as directed by the Secretary under 34 CFR 75.118. The Secretary may also require more frequent performance reports under 34 CFR 75.720(c). For specific requirements on reporting, please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.

4. Performance Measures: The Department has established the following Government Performance and Results Act of 1993 (GPRA) performance measures for the Preschool PFS Feasibility Pilot:

1. Number and percentage of grantees that complete a Feasibility Study within the project period.

2. Number and percentage of Feasibility Studies that conclude that PFS approaches for Preschool expansion or improvement are viable.

3. Number and percentage of Feasibility Studies that identify feasible alternatives if PFS is not viable.

VII. Agency Contacts

For Further Information Contact: Miriam Lund, U.S. Department of Education, 400 Maryland Avenue, SW., room 3E334, Washington, DC 20202-6200. Telephone: (202) 401-2871 or by email: [email protected]; or Mary Moran, U.S. Department of Education, 400 Maryland Avenue, SW., room 3E342, Washington, DC 20202-6200. Telephone: (202) 260-0940 or by email: [email protected].

If you use a TDD or a TTY, call the FRS, toll free, at 1-800-877-8339.

VIII. Other Information

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

Electronic Access to This Document: The official version of this document is the document published in the Federal Register. Free Internet access to the official edition of the Federal Register and the Code of Federal Regulations is available via the Federal Digital System at: www.gpo.gov/fdsys. At this site you can view this document, as well as all other documents of this Department published in the Federal Register, in text or PDF. To use PDF you must have Adobe Acrobat Reader, which is available free at the site.

You may also access documents of the Department published in the Federal Register by using the article search feature at: www.federalregister.gov. Specifically, through the advanced search feature at this site, you can limit your search to documents published by the Department.

Dated:

____________________________________

Ann Whalen,

Senior Advisor to the Secretary Delegated the Duties of

Assistant Secretary for Elementary and Secondary Education.

Program Statute

Part D of Title V of the Elementary and Secondary education act of 1965, as amended by the No Child Left Behind act of 2001 (ESEA), and Title III of Division H of the Consolidated Appropriations Act, 2016 (Pub. L. 114-113).

TITLE III—Department of Education

Education For The Disadvantaged

Innovation And Improvement

“… $250,000,000 of the funds for part D of title V of the ESEA shall be available through December 31, 2016 for carrying out, in accordance with the applicable requirements of part D of title V of the ESEA, a preschool development grants program: Provided further, That the Secretary, jointly with the Secretary of HHS, shall make competitive awards to States for activities that build the capacity within the State to develop, enhance, or expand high-quality preschool programs, including comprehensive services and family engagement, for preschool-aged children from families at or below 200 percent of the Federal poverty line: Provided further, That each State may subgrant a portion of such grant funds to local educational agencies and other early learning providers (including, but not limited to, Head Start programs and licensed child care providers), or consortia thereof, for the implementation of high-quality preschool programs for children from families at or below 200 percent of the Federal poverty line: Provided further, That subgrantees that are local educational agencies shall form strong partnerships with early learning providers and that subgrantees that are early learning providers shall form strong partnerships with local educational agencies, in order to carry out the requirements of the subgrant: Provided further, That up to 3 percent of such funds for preschool development grants shall be available for technical assistance, evaluation, and other national activities related to such grants”.

This title may be cited as the “Department of Education Appropriations Act, 2016”.

1 Defined terms are used throughout the notice and are indicated by capitalization.

2 Odom, S. L., et al. (2004). Preschool inclusion in the United States: A review of research from an ecological systems perspective. Journal of Research in Special Educational Needs, 4(1), 17-49.

3 Yoshikawa, H., Weiland, C., Brooks-Gunn, J., Burchinal, M., Espinosa, L., Gormley, W., & Zaslow, M. J. (2013). Investing in Our Future: The Evidence Base for Preschool Education. Policy brief, Society for Research in Child Development and the Foundation for Child Development. Retrieved from the Foundation for Child Development website: fcd-us.org/sites/default/files/Evidence Base on Preschool Education FINAL.pdf

4 Yoshikawa, H., Weiland, C., Brooks-Gunn, J., Burchinal, M., Espinosa, L., Gormley, W., & Zaslow, M. J. (2013). Investing in Our Future: The Evidence Base for Preschool Education. Policy brief, Society for Research in Child Development and the Foundation for Child Development. Retrieved from the Foundation for Child Development website: fcd-us.org/sites/default/files/Evidence Base on Preschool Education FINAL.pdf.

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Pay for Success

Preschool Development Grants - Preschool Pay for Success Feasibility Pilot (1894-0001)

NIA App Pkg 6 16 2016 - FAQs out

Pay for Success

OMB: 1810-0728

Paperwork Burden Statement

APPLICATION FOR FUNDING UNDER

PAY FOR SUCCESS FEASIBILITY PILOT

Table of Contents

United States Department of Education O ffice of Elementary and Secondary Education Office of Early Learning Dear Colleague Letter

Part I. Program Background Information

Technical Assistance Workshops for Prospective Applicants

Application Submission Procedures

Application Transmittal Instructions

Submitting Applications with Adobe Reader Software

Application Instructions

Electronic Application Format

Electronic Application Submission Checklist

Part 1: Preliminary Documents

Part 2: Budget Information

Part 3: ED Abstract Form

Part 4: Project Narrative Attachment Form

Part 5: Budget Narrative

Part 6: Other Attachment Form

Part 7: Assurances and Certifications

Part 8: Intergovernmental Review of Federal Programs (Executive Order 12372)

Reporting and Accountability

Legal and Regulatory Information

Notice Inviting Applications

Program Statute

United States Department of Education

O ffice of Elementary and Secondary Education

Office of Early Learning
Dear Colleague Letter