Overview Slides April 17, 2012 Q&A Webinar i3 Scale-up and Validation Applications Note: These slides are intended as guidance only. Please refer to the official Notices published in the Federal Register.

Two Parts of Today’s Webinar 1) An overview of the 2012 i3 Scale-up and Validation Competitions. 2) A Q&A period conducted through the chat function in the webinar. 2 These slides are intended as guidance only. Keep in mind that the overview covers only part of the information that prospective applicants should review from the Federal Register and the i3 website.

A Few Notes on Q&A We have budgeted substantial time at the end of the webinar for Q&A o Webinar participants should submit their questions via the webinar chat function – please submit to the i3 host only, not to all webinar participants. We cannot answer questions that are applicant-specific o “Am I eligible to apply?” o “Does this sound like a good idea?” o “Does this idea address the absolute priority?” We may not be able to answer all questions received If you have additional questions, please send them to the i3 mailbox: 3

A Few Notes on Q&A, cont. We plan to publish updates to the Frequently Asked Question document if the Department receives new, general interest questions. We will hold a webinar on Wednesday, April 25, 2012 focused on Evidence and Evaluation, in collaboration with the Institute of Education Sciences (details will be posted on the i3 website). For this reason, we likely will hold questions about evidence and evaluation for that discussion. 4

Investing in Innovation (i3) Fund Summary Purpose To provide competitive grants to applicants with a record of improving student achievement, attainment or retention in order to expand the implementation of, and investment in, innovative practices that are demonstrated to have an impact on: Improving student achievement or student growth, closing achievement gaps, decreasing dropout rates, increasing high school graduation rates Increasing college enrollment and completion rates Funding $140.5 million (est.) to be obligated by December 31, 2012 Applicants Eligible applicants are: (1)Local educational agencies (LEAs) (2)Nonprofit organizations in partnership with (a) one or more LEAs or (b) a consortium of schools 5

i3 Development Validation Scale-up Types of Awards Available Under i3 Funding Available Up to $3M/awardUp to $15M/awardUp to $25M/award Estimated Awards Evidence Required Reasonable – research findings or hypotheses, including related research or theories in education and other sectors Moderate – either high internal validity and moderate external validity, or vice versa Strong – both high internal validity and high external validity Scaling Required Able to further develop and scale Able to be scaled to the regional or state level Able to be scaled to the national, regional, or state level 6

Two Types of Eligible Applicants 1)A local educational agency (LEA) 2)A non-profit organization in partnership with (a) one or more LEAs or (b) a consortium of schools There is no competitive advantage to applying as one type of applicant or the other, but an applicant must meet the relevant eligibility requirements as detailed on the following slides and in the Notice Inviting Applications. 7

Some Eligibility Requirements Differ Based on Type of Applicant 1.Demonstrate that it: (a) significantly closed achievement gaps between groups of students or demonstrated success in significantly increasing academic achievement for all groups of students, and (b) made significant improvement in other areas 2.Establish private sector partnerships 1.Demonstrate that the non-profit organization has a record of significantly improving student achievement, attainment, or retention through its record of work with an LEA or schools An LEA applicant must:A partnership must: 8

Some Eligibility Requirements Apply to Both Types of Applicants 1.Address one absolute priority* 2.Meet the evidence requirement 3.Secure commitment for required private sector match All applicants must: 9

Scale-Up and Validation Priorities Required for all applications Improve Achievement for High-Need Students Teacher and Principal Effectiveness Promoting STEM Education College- and Career-ready Standards and Assessments Improving Rural Achievement Must address one Absolute Priority Improving Achievement in Persistently Low-Performing Schools College Access and Success Serving Students with Disabilities and Limited English Proficient Students Productivity May address up to two Competitive Preferences (0 or 1 point each) Technology Early Learning 10

Some Eligibility Requirements Apply to Both Types of Applicants 1.Address one absolute priority 2.Meet the evidence requirement 3.Secure commitment for required private sector match All applicants must: 11

Strong Evidence: Scale-up Internal Validity and External Validity Evidence from previous studies whose designs can support causal conclusions (i.e., studies with high internal validity), and studies that in total include enough of the range of participants and settings to support scaling up to the State, regional, or national level (i.e., studies with high external validity) Practice, Strategy, or Program in Prior Research The same as that proposed for support under the Scale-up grant Participants and Settings in Prior Research Included the kinds of participants and settings proposed to receive the treatment under the Scale-up grant Significance of EffectEffect in prior research was statistically significant, and would be likely to be statistically significant in a sample of the size proposed for the Scale-up grant Magnitude of EffectBased on prior research, substantial and important for the target population for the Scale-up project 12

Strong Evidence: Scale-up (cont’d) Examples of Strong Evidence 1) More than one well-designed and well- implemented experimental study OR More than one well-designed and well- implemented quasi-experimental study; OR 2) One large, well-designed and well-implemented randomized controlled, multisite trial 13

Strong Evidence: Scale-up Internal Validity and External Validity Evidence from previous studies whose designs can support causal conclusions (i.e., studies with high internal validity), and studies that in total include enough of the range of participants and settings to support scaling up to the State, regional, or national level (i.e., studies with high external validity) Practice, Strategy, or Program in Prior Research The same as that proposed for support under the Scale-up grant Participants and Settings in Prior Research Included the kinds of participants and settings proposed to receive the treatment under the Scale-up grant Significance of EffectEffect in prior research was statistically significant, and would be likely to be statistically significant in a sample of the size proposed for the Scale-up grant Magnitude of EffectBased on prior research, substantial and important for the target population for the Scale-up project 14

Moderate Evidence: Validation (cont’d) Examples of Moderate Evidence (1)At least one well-designed and well-implemented experimental or quasi-experimental study, with small sample sizes or other conditions of implementation or analysis that limit generalizability; (2)At least one well-designed and well-implemented experimental or quasi-experimental study that does not demonstrate equivalence between the intervention and comparison groups at program entry but that has no other major flaws related to internal validity; or (3)Correlational research with strong statistical controls for selection bias and for discerning the influence of internal factors 15

Some Eligibility Requirements Apply to Both Types of Applicants 1.Address one absolute priority 2.Meet the evidence requirement 3.Secure commitment for required private sector match All applicants must: 16

Part A Part B ED Standard Forms  Application for Federal Assistance (SF 424)  Department of Education Supplemental Information for SF 424  Department of Education Budget Summary Form (ED 524) Sections A & B  Disclosure of Lobbying Activities (SF-LLL) Assurances/Certifications  GEPA Section 427  Survey on Ensuring Equal Opportunity for Applicants  Assurances – Non- Construction Programs (SF 424B)  Grants.gov Lobby Form (formerly ED form)  i3 Applicant Information Sheet ms/innovation/applicant.html  ED Abstract Form  Project Narrative Form  Budget Narrative Form ED 524 Section C Eligible applicants must also provide a detailed budget narrative that describes their proposed multi-year project activities and the costs associated with those activities as well as all costs associated with carrying out the project.  Other Attachments Form Upload appendices here Parts of a Complete Application 17

What Should Go in Each Appendix 18 Applicants must provide all information necessary to meet eligibility and other requirements in the application. Applicants will not have an opportunity to supplement their applications with additional information. Appendix A: Eligibility Requirement Checklist (LEA or Nonprofit Partnership) Appendix B: Nonprofit 501C3 status verification or Charter School status verification Appendix C: Response to Statutory Eligibility Requirements Appendix D: Response to Evidence Standards Appendix E: Waiver Request for Private Sector Match Requirement (if applicable) Appendix F: Resumes of Key Personnel Appendix G: Letters of Support and Memoranda of Understanding (if applicable) Appendix H: i3 Applicant Information Sheet Appendix I: Eligible Applicant’s list of proprietary information found in the application (if applicable) Appendix J: Other (if applicable)

Completing the Applicant Information Sheet Applicants must download this form, which provides information that is crucial for the peer review process, from the i3 website and submit it with their application. In previous years, applicants have failed to submit this form or have submitted it in an unusable format, which impedes peer review. To complete this form: 1. Download it from the i3 website: Complete the form in Adobe Acrobat 3. Save the form in Adobe Acrobat as a PDF 4. Upload the PDF to the Other Attachments Form of the application DO NOT: Print the form, complete it, and scan it as a PDF; Save the form in any format other than PDF; Forget to include this form. 19

i3 Selection Criteria and Points Selection Criteria Scale-Up Application Validation Application A.Quality of the Project Design 3025 B.Significance25 C.Quality of the Management Plan and Personnel 25 D.Quality of the Project Evaluation 2025 Total Points100 20

Other Important Resources Investing in Innovation Fund Website: (  Notice of Final Priorities & Notice of Final Revisions to Priorities, Requirements, and Selection Criteria  Notice Inviting Applications  Application Packages (includes the Notice Inviting Applications)  Pre-recorded i3 Overview webinar  i3 At-A-Glance (Quick Reference)  Frequently Asked Questions All questions about i3 may be sent to 21

Q & A 22

Closing Thoughts In choosing to apply to Validation and Scale-up, be sure you understand the evidence requirements or work with someone who does Write clearly to the selection criteria: they are what the peer reviewers will use to judge your application, so consider explaining what you’re going to do and what the impact will be if you are successful Consider discussing how you will do what you claim you will do – do not just state that you will do it Register for grants.gov early, make sure you understand how to use it, and leave yourself plenty of time to submit your application on time (the deadline of 4:30:00PM DC Time on May 30 applies to the completion of the submission, not the beginning) 23