[Federal Register Volume 78, Number 89 (Wednesday, May 8, 2013)]
[Notices]
[Pages 26758-26765]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-10980]


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DEPARTMENT OF EDUCATION


Applications for New Awards; School Leadership Program

AGENCY: Office of Innovation and Improvement, Department of Education.

ACTION: Notice.

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    Overview Information:
    School Leadership Program.
    Notice inviting applications for new awards for fiscal year (FY) 
2013.

Catalog of Federal Domestic Assistance (CFDA) Number: 84.363A.


DATES: 
    Applications Available: May 8, 2013.
    Deadline for Notice of Intent to Apply: June 7, 2013.
    Date of Pre-Application Meeting: May 22, 2013. Further information 
will be available at: www2.ed.gov/programs/leadership/applicant.html.
    Deadline for Transmittal of Applications: July 8, 2013.
    Deadline for Intergovernmental Review: September 5, 2013.

Full Text of Announcement

I. Funding Opportunity Description

    Purpose of Program: The School Leadership Program (SLP) assists 
high-need local educational agencies (LEAs) in recruiting, training, 
and supporting principals (including assistant principals) by 
providing--
     Financial incentives to aspiring new principals (teachers 
or individuals from other fields who want to become principals);
     Stipends to principals who mentor new principals;
     Professional development programs that focus on 
instructional leadership and management; and
     Other incentives that are appropriate and effective in 
retaining new principals.
    Background:
    The goal of the SLP is to increase student achievement by investing 
in innovative projects that prepare aspiring principals and provide 
professional development to current principals (including current 
assistant principals) to foster mastery of core leadership skills. To 
this end, the Department encourages applicants under this competition 
to propose projects that will implement pre- and in-service programs 
that produce the most highly qualified school leaders.
    Studies show that there is no overall shortage of candidates with 
the credentials that States require for school principals. However, 
those same studies indicate that most of these candidates acquired 
their credentials in order to obtain salary increases or attain an 
advanced degree, not necessarily because of a commitment to become 
principals.\1\ And, when credentialed candidates do seek to become 
principals, some lack the readiness to meet the demands of the 
position. In fact, many district leaders and policy-makers are critical 
of preparation programs that lack rigorous screening and selection 
entry requirements, courses that are not aligned with standards of 
practice, and insufficient clinical experiences for candidates.\2\

[[Page 26759]]

Furthermore, once credentialed individuals become principals, they are 
often not provided the necessary support and development opportunities 
that will enable them to shape a strong professional community and 
collective responsibility for student learning. In terms of 
professional development, too often these programs are not aligned with 
principals' needs, fragmented, episodic and not sustained, lacking in 
rigor, and not designed to allow for any assessment of impact.
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    \1\ Roza, M., Celio, M.B., Harvey, J., & Wishon, S. (January 
2003). A Matter of Definition: Is There Truly a Shortage of School 
Principals? A Report to the Wallace--Reader's Digest Fund.
    \2\ Hale, E. L., & Moorman, H.N. (September 2003). Preparing 
School Principals: A National Perspective on Policy and Program 
Innovations. Washington, DC: Institute for Educational Leadership.
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    Consequently, both novice and experienced principals (including 
assistant principals) lack the necessary skills to respond to the 
growing demands of their positions, which include evaluating, 
supporting, and developing teachers and implementing effective 
organizational processes. Moreover, as the effect of leaders on student 
achievement becomes more evident, high-quality professional development 
programs are increasingly critical.
    Unfortunately, there is limited evidence that demonstrates the 
effect of principal preparation and professional development programs' 
impact on teaching and learning. Therefore, through this competition, 
we encourage applicants to address the challenges of preparing and 
supporting principals by creating or enhancing projects that contribute 
to the limited body of high-quality evidence on principal preparation, 
professional development for principals, or both.
    More specifically, under the selection criteria, applicants are 
encouraged to include an evaluation plan that is likely to produce 
valid, reliable, and rigorous evidence of the SLP-funded project's 
impact on producing effective principals, as measured, at least in 
part, using student outcome data, where data is available.
    Given the pre-service and in-service challenges that so many 
principals face, we are including two invitational priorities to 
promote high-quality professional development for principals and to 
identify evidence of effectiveness of principal preparation or 
professional development programs. Invitational priority one encourages 
applicants to design projects that will provide ongoing support and 
development of principals (including assistant principals) to increase 
principal effectiveness. Invitational priority two seeks to identify 
project designs that address principal preparation, professional 
development, or both and that are supported by moderate evidence of 
effectiveness (as defined in this notice). Through these invitational 
priorities we encourage applicants to identify practices, strategies, 
and program models that build and enhance school leader capacity to 
positively impact teaching and learning. Addressing the invitational 
priorities will not give an applicant an advantage over another 
applicant that does not choose to respond to the invitational 
priorities. However, we hope applicants will consider the invitational 
priorities in developing their applications.
    Priority: Under this competition we are particularly interested in 
applications that address the following priorities.
    Invitational Priorities: For FY 2013 and any subsequent year in 
which we make awards from the list of unfunded applicants from this 
competition, these priorities are invitational priorities. Under 34 CFR 
75.105(c)(1), we do not give an application that meets these 
invitational priorities a competitive or absolute preference over other 
applications.
    These priorities are:
    Invitational Priority 1--Building Leadership Capacity.
    Projects that implement professional development for current 
principals (including assistant principals), especially in schools that 
the State educational agency (SEA) has identified as persistently 
lowest-achieving schools, (as defined in this notice) or in schools 
that the SEA has identified in accordance with its approved ESEA 
flexibility request as priority schools or focus schools (as defined in 
this notice), to: (1) Help them master essential school leadership 
skills, such as evaluating and providing feedback to teachers, 
analyzing student data, developing school leadership teams, and 
creating a positive school environment; and (2) enable them to support 
instruction in their schools aligned to college- and career-ready 
standards.
    Invitational Priority 2--Supporting Practices and Strategies for 
Which There Is Moderate Evidence of Effectiveness.
    Projects that provide principal preparation, professional 
development, or both that are supported by moderate evidence of 
effectiveness (as defined in this notice).
    Definitions:
    Focus school means a Title I school in the State that, based on the 
most recent data available, is contributing to the achievement gap in 
the State. The total number of focus schools in a State must equal at 
least 10 percent of the Title I schools in the State. A focus school is 
a school that has the largest within-school gaps between the highest-
achieving subgroup or subgroups and the lowest-achieving subgroup or 
subgroups or, at the high school level, has the largest within-school 
gaps in graduation rates; or a school that has a subgroup or subgroups 
with low achievement or, at the high school level, low graduation 
rates.
    An SEA must also identify as a focus school a Title I high school 
with a graduation rate less than 60 percent over a number of years that 
is not identified as a priority school.
    These determinations must be based on the achievement and lack of 
progress over a number of years of one or more subgroups of students 
identified in section 1111(b)(2)(C)(v)(II) of the Elementary Secondary 
Education Act, as amended (ESEA), in terms of proficiency on the 
statewide assessments that are part of the SEA's differentiated 
recognition, accountability, and support system, combined, or, at the 
high school level, graduation rates for one or more subgroups.
    Large sample means a sample of 350 or more students (or other 
single analysis units) who were randomly assigned to a treatment or 
control group, or 50 or more groups (such as classrooms or schools) 
that contain 10 or more students (or other single analysis units) and 
that were randomly assigned to a treatment or control group.
    Moderate evidence of effectiveness means one of the following 
conditions is met:
    (1) There is at least one study of the effectiveness of the 
process, product, strategy, or practice being proposed that meets the 
What Works Clearinghouse (WWC) Evidence Standards without reservations; 
\3\ finds a statistically significant favorable impact on a relevant 
outcome (as defined in this notice) (with no statistically significant 
unfavorable impacts on that outcome for relevant populations in the 
study or in other studies of the intervention reviewed by and reported 
on by the WWC); and includes a sample that overlaps with the 
populations or settings proposed to receive the process, product, 
strategy, or practice.
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    \3\ See WWC Procedures and Standards Handbook (Version 2.1, 
September 2011), which can currently be found at: http://ies.ed.gov/ncee/wwc/DocumentSum.aspx?sid=19.
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    (2) There is at least one study of the effectiveness of the 
process, product, strategy, or practice being proposed that meets the 
WWC Evidence Standards with reservations; \4\ finds a statistically 
significant favorable impact on a relevant outcome (as defined in this

[[Page 26760]]

notice) (with no statistically significant unfavorable impacts on that 
outcome for relevant populations in the study or in other studies of 
the intervention reviewed by and reported on by the WWC); includes a 
sample that overlaps with the populations or settings proposed to 
receive the process, product, strategy, or practice; and includes a 
large sample (as defined in this notice) and a multi-site sample (as 
defined in this notice). (Note: Multiple studies can cumulatively meet 
the large and multi-site sample requirements as long as each study 
meets the other requirements in this paragraph.)
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    \4\ See WWC Procedures and Standards Handbook (Version 2.1, 
September 2011), which can currently be found at: http://ies.ed.gov/ncee/wwc/DocumentSum.aspx?sid=19.
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    Multi-site sample means more than one site, where site can be 
defined as an LEA, locality, or State.
    Persistently lowest-achieving school means, as determined by the 
State: (1) Any Title I school in improvement, corrective action, or 
restructuring that is (a) among the lowest-achieving five percent of 
Title I schools in improvement, corrective action, or restructuring or 
the lowest-achieving five Title I schools in improvement, corrective 
action, or restructuring in the State, whichever number of schools is 
greater; or (b) a high school that has had a graduation rate as defined 
in 34 CFR 200.19(b) that is less than 60 percent over a number of 
years; and (2) any secondary school that is eligible for, but does not 
receive, Title I funds that is (a) among the lowest-achieving five 
percent of secondary schools or the lowest-achieving five secondary 
schools in the State that are eligible for, but do not receive, Title I 
funds, whichever number of schools is greater; or (b) a high school 
that has had a graduation rate as defined in 34 CFR 200.19(b) that is 
less than 60 percent over a number of years.

    Note:  For the purposes of this competition, the Department 
considers schools that are identified as Tier I or Tier II schools 
under the SIG Program (see 75 FR 66363) as part of a State's 
approved FY 2009, FY 2010, or FY 2011 application to be persistently 
lowest-achieving schools. A list of these Tier I and Tier II schools 
can be found on the Department's Web site at http://www2.ed.gov/programs/sif/index.html.

    Priority school means a school that, based on the most recent data 
available, has been identified as among the lowest-performing schools 
in the State. The total number of priority schools in a State must be 
at least five percent of the Title I schools in the State. A priority 
school is a--
     School among the lowest five percent of Title I schools in 
the State based on the achievement of the ``all students'' group in 
terms of proficiency on the statewide assessments that are part of the 
SEA's differentiated recognition, accountability, and support system, 
combined, and that has demonstrated a lack of progress on those 
assessments over a number of years in the ``all students'' group;
     Title I-participating or Title I-eligible high school with 
a graduation rate less than 60 percent over a number of years; or
     Tier I or Tier II school under the School Improvement 
Grant (SIG) Program that is using SIG funds to implement a school 
intervention model.
    Relevant outcome means the student outcome or outcomes (or the 
ultimate outcome if not related to students) that the proposed project 
is designed to improve, consistent with the specific goals of a 
program.
    Program Authority: 20 U.S.C. 6651(b).
    Applicable Regulations: (a) The Education Department General 
Administrative Regulations in 34 CFR parts 74, 75, 77, 79, 80, 81, 82, 
84, 86, 97, 98, and 99. (b) The Education Department suspension and 
debarment regulations in 2 CFR part 3485.

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


    Note: The regulations in 34 CFR part 86 apply to institutions of 
higher education only.

II. Award Information

    Type of Award: Discretionary grants.
    Estimated Available Funds: $14,800,000.
    Estimated Range of Awards: $750,000-$1,000,000.
    Estimated Average Size of Awards: $850,000.
    Estimated Number of Awards: 14-17.

    Note: The Department is not bound by any estimates in this 
notice and may elect to forward fund awards for a project period of 
up to 60 months, thereby decreasing the number of estimated awards.

    Project Period: Up to 60 months (subject to availability of funds).

III. Eligibility Information

    1. Eligible Applicants: High-need LEAs; consortia of high-need 
LEAs; and partnerships of high-need LEAs, nonprofit organizations 
(which may be community- or faith-based organizations), and 
institutions of higher education.
    ``High-need LEA'' (as defined in section 2102(3) of the ESEA) means 
an LEA--
    (a)(1) That serves not fewer than 10,000 children from families 
with incomes below the poverty line, or (2) for which not less than 20 
percent of the children served by the LEA are from families with 
incomes below the poverty line; and
    (b) For which there is (1) a high percentage of teachers not 
teaching in the academic subjects or grade levels the teachers were 
trained to teach, or (2) a high percentage of teachers with emergency, 
provisional, or temporary certification or licensing.
    So that the Department can confirm the eligibility of the LEAs that 
applicants propose to serve, applicants must include information in 
their applications that demonstrates that each participating LEA in the 
project is a high-need LEA. This information must be based on the most 
recent available data on the number of children that the LEA serves 
from families with incomes below the poverty line. When presenting 
evidence to support that each participating LEA is a high-need LEA, an 
applicant must consider the following:
    The Department is not aware of any reliable data that are available 
to LEAs--other than data periodically gathered by the U.S. Census 
Bureau--that would show that an LEA serves the required number or 
percentage of children (individuals ages 5 through 17) from families 
below the poverty line (as defined in section 9101(33) of the ESEA).

    Note: The data that many LEAs collect on the number or 
percentage of children eligible for free- and reduced-priced meal 
subsidies may not be used to satisfy the requirements under 
component (a) of the ESEA definition of ``high-need LEA.'' Those 
data do not reflect children from families with incomes below the 
poverty line, as that term is defined in section 9101(33) of the 
ESEA.

    Therefore, absent a showing of alternative LEA data that reliably 
show the number of children from families with incomes below the 
poverty line that are served by the LEA, the eligibility of an LEA as a 
high-need LEA under component (a) would be determined on the basis of 
the most recent U.S. Census Bureau data. U.S. Census Bureau data are 
available for all school districts with geographic boundaries that 
existed when the U.S. Census Bureau collected its information. The link 
to the Census Bureau data is: www.census.gov/hhes/www/saipe/data/index.html. The Department also makes these data available on its Web 
site at: www.ed.gov/programs/lsl/eligibility.html. (Although the 
Department has posted this listing specifically for the Improving 
Literacy through School Libraries program, these same data apply to the 
ESEA definition of a ``high-need LEA'' used for purposes of determining 
eligibility under the SLP.)

[[Page 26761]]

    With regard to component (b)(1) of the ESEA definition of ``high-
need LEA,'' the Department interprets the phrase ``a high percentage of 
teachers not teaching in the academic subjects or grade levels that the 
teachers were trained to teach'' as being equivalent to ``a high 
percentage of teachers teaching out of field.'' We expect that LEAs 
that rely on component (b)(1) of the ESEA definition of ``high-need 
LEA'' will choose to address why they believe that they have a high 
percentage of teachers teaching out of field rather than try to provide 
the data needed to show the percentage of teachers not teaching in the 
academic subjects or grade levels they were trained to teach. The 
Department is not aware of any specific data that would demonstrate a 
``high percentage'' of teachers teaching out of field (or a high 
percentage of teachers not teaching in the academic subjects or grade 
levels they were trained to teach). Accordingly, the Department will 
review this aspect of an LEA's proposed eligibility on a case-by-case 
basis.
    To decrease the level of uncertainty, an applicant may choose 
instead to demonstrate that each participating LEA meets the 
eligibility test for a high-need LEA under component (b)(2) of the ESEA 
definition. For component (b)(2), to demonstrate a ``high percentage'' 
of teachers with emergency, provisional, or temporary certification or 
licensing, an applicant would provide the percentage of teachers on 
waivers of State certification or licensure requirements. The 
Department would expect that an LEA with over 1.1 percent of its 
teachers having emergency, provisional, or temporary certification or 
licensing (i.e., teachers on waivers) has a ``high percentage.'' This 
percentage comes from data that States reported to the Secretary under 
section 207 of the Higher Education Act of 1965, as amended by the 
previous reauthorization, Higher Education Amendments of 1998. The most 
recent report available that contains this information is the 
Secretary's 2010 report, which is available at: http://www2.ed.gov/about/reports/annual/teachprep/2011-title2report.pdf.
    The eligibility of LEAs for which data needed to implement section 
2103(2) of the ESEA may not exist, such as newly formed LEAs or schools 
funded by the Bureau of Indian Education, will be determined on a case-
by-case basis based on the best available data the applicant includes 
with its application.
    2. Cost Sharing or Matching: This program 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: www.ed.gov/fund/grant/apply/grantapps/index.html. To obtain a 
copy from ED Pubs, write, fax, or call the following: 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 from ED Pubs, be sure to identify 
this program or competition as follows: CFDA number 84.363A.
    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 or team listed under 
Accessible Format in section VIII of this notice.
    2. 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.
    Notice of Intent to Apply: The Department will be able to develop a 
more efficient process for reviewing grant applications if it has a 
better understanding of the number of entities that intend to apply for 
funding under this program. Therefore, the Secretary strongly 
encourages each potential applicant to notify the Department by sending 
a short email message indicating the applicant's intent to submit an 
application for funding. The email need not include information 
regarding the content of the proposed application, only the applicant's 
intent to submit it. This email notification should be sent to Tyra 
Stewart at: [email protected].
    Applicants that fail to provide this email notification may still 
apply for funding.
    Page Limit: The application narrative (Part III of the application) 
is where you, the applicant, address the selection criteria that 
reviewers use to evaluate your application. Applicants are strongly 
encouraged to limit the application narrative to the equivalent of no 
more than 50 single-sided pages, using the following standards:
     A ``page'' is 8.5'' x 11'', on one side only, with 1'' 
margins at the top, bottom, and both sides.
     Double space (no more than three lines per vertical inch) 
all text in the application narrative, including titles, headings, 
footnotes, quotations, references, and captions, as well as all text in 
charts, tables, figures, and graphs.
     Use a font that is either 12 point or larger or no smaller 
than 10 pitch (characters per inch).
     Use one of the following fonts: Times New Roman, Courier, 
Courier New, or Arial.
    The page limit does not apply to Part I, the cover sheet; Part II, 
the budget section, including the narrative budget justification; Part 
IV, the assurances and certifications; or the one-page abstract, the 
resumes, the bibliography, or the letters of support. However, the page 
limit does apply to all of the application narrative section (Part 
III).
    3. Submission Dates and Times: Applications Available: May 8, 2013. 
Deadline for Notice of Intent to Apply: June 7, 2013. Date of Pre-
Application Meeting: May 22, 2013. Further information will be 
available at: www2.ed.gov/programs/leadership/applicant.html. Deadline 
for Transmittal of Applications: July 8, 2013.
    Applications for grants under this program must be submitted 
electronically using the Grants.gov Apply 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 section IV. 7. Other Submission 
Requirements 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: Sept. 5, 2013.
    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

[[Page 26762]]

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, Central Contractor Registry, 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 Central 
Contractor Registry (CCR)--and, after July 24, 2012, with the System 
for Award Management (SAM), the Government's primary registrant 
database;
    c. Provide your DUNS number and TIN on your application; and
    d. Maintain an active CCR or 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. A DUNS number 
can be created within one business day.
    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 2-5 weeks for your TIN to become active.
    The CCR or SAM registration process may take five or more business 
days to complete. If you are currently registered with the CCR, 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 to complete. Information about SAM is available at 
SAM.gov.
    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/applicants/get_registered.jsp.
    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 School Leadership Program, CFDA number 84.363A, 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 the School 
Leadership Program 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 84.363, not 84.363A).
    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's G5 system home 
page at www.G5.gov.
     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 PDF (Portable Document) 
read-only, non-modifiable format. Do not upload an interactive or 
fillable PDF file. If you upload a file type other than a read-only, 
non-modifiable PDF or submit a password-protected file, we will not 
review that material.
     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.) The 
Department then will retrieve your application from Grants.gov and send 
a second notification to you by email. This second notification 
indicates that the Department has received your application and has 
assigned your application a PR/Award number (a Department-specified 
identifying number unique to your application).
     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

[[Page 26763]]

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 that 
problem affected your ability to submit your application by 4:30:00 
p.m., Washington, DC time, on the application deadline date. The 
Department will contact you after a determination is made on 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: Tyra Stewart, U.S. 
Department of Education, 400 Maryland Avenue SW., Room 4C111, 
Washington, DC 20202-5950. FAX: (202) 401-8466.
    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. 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 84.363A), 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.

    c. 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 84.363A), 550 12th Street SW., Room 7041, 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.

V. Application Review Information

    1. Selection Criteria: The selection criteria for this program are 
from 34 CFR 75.210. The maximum score for all of the selection criteria 
is 100 points. The maximum score for each criterion is indicated in 
parentheses. Each criterion also includes the factors that the 
reviewers will consider in determining how well an application meets 
the criterion. Any notes following a selection criterion are intended 
to provide guidance to help applicants in preparing their applications 
only, and are not statutory or regulatory requirements for this 
competition.

    Note: In responding to the selection criteria, applicants should 
keep in mind that peer reviewers may consider only the information 
provided in the written application when scoring and commenting on 
the application. Therefore, applicants should draft their response 
with the goal of helping peer reviewers understand the purpose of 
the proposed project, as well as the expected outcomes of the 
project if it is successful.

    The criteria are as follows:
    A. Quality of the project design (up to 45 points). The Secretary 
considers the quality of the design of the proposed project. In 
determining the quality of the design of the proposed project, the 
Secretary considers the following factors:

[[Page 26764]]

    1. The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable.
    2. The extent to which the design of the proposed project is 
appropriate to, and will successfully address, the needs of the target 
population or other identified needs.
    3. The extent to which the proposed project is part of a 
comprehensive effort to improve teaching and learning and support 
rigorous academic standards for students.
    4. The extent to which the design for implementing and evaluating 
the proposed project will result in information to guide possible 
replication of project activities or strategies, including information 
about the effectiveness of the approach or strategies employed by the 
project.

    Note: The Secretary encourages applicants to clearly articulate 
how the proposed project will support principals and assistant 
principals in fostering school conditions that support effective 
teaching and learning that lead to improved student outcomes.

    B. Quality of the project evaluation (up to 15 points). The 
Secretary considers the quality of the evaluation to be conducted of 
the proposed project. In determining the quality of the evaluation, the 
Secretary considers the following factors:
    1. The extent to which the methods of evaluation include the use of 
objective performance measures that are clearly related to the intended 
outcomes of the project and will produce quantitative and qualitative 
data to the extent possible.
    2. The extent to which the methods of evaluation provide for 
examining the effectiveness of project implementation strategies.
    3. The extent to which the methods of evaluation will provide 
performance feedback and permit periodic assessment of progress toward 
achieving intended outcomes.

    Note: Applicants are encouraged to develop a logic model, that 
is, a well-conceptualized framework that identifies key components 
of the proposed intervention and describes the relationship among 
the key components and outcomes. Applicants are also encouraged to 
ensure that they have devoted sufficient resources to support the 
implementation of their evaluation plan.

    C. Significance (up to 25 points). The Secretary considers the 
significance of the proposed project. In determining the significance 
of the proposed project, the Secretary considers the following factors:
    1. The potential contribution of the proposed project to increased 
knowledge or understanding of educational problems, issues, or 
effective strategies.
    2. The likelihood that the proposed project will result in system 
change or improvement.
    3. The importance or magnitude of the results or outcomes likely to 
be attained by the proposed project, especially improvements in 
teaching and student achievement.
    D. Quality of the management plan (up to 15 points). The Secretary 
considers the quality of the management plan for the proposed project. 
In determining the quality of the management plan for the proposed 
project, the Secretary considers the following factors:
    1. The adequacy of the management plan to achieve the objectives of 
the proposed project on time and within budget, including clearly 
defined responsibilities, timelines, and milestones for accomplishing 
project tasks.
    2. The adequacy of procedures for ensuring feedback and continuous 
improvement in the operation of the proposed project.
    2. Review and Selection Process: The Department will screen 
applications submitted in accordance with the requirements in this 
notice, and will determine which applications have met eligibility and 
other statutory requirements. Applications that do not meet the 
eligibility criteria will not be reviewed.
    The Department will use independent peer reviewers with various 
backgrounds and professions, including teachers and principals, college 
and university educators, researchers and evaluators, grant makers and 
managers, and others with education expertise. The Department will 
thoroughly screen all reviewers for conflicts of interest to ensure a 
fair and competitive review process.
    Reviewers will read, prepare a written evaluation of, and score the 
applications assigned to their panel, using the selection criteria 
provided in this notice.
    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. Special Conditions: Under 34 CFR 74.14 and 80.12, the Secretary 
may impose special 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 34 CFR part 74 or 80, as applicable; 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 multi-year award, you must submit an annual 
performance report that provides 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

[[Page 26765]]

reporting, please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.
    4. Performance Measures: The Secretary has established five 
performance measures for assessing the effectiveness of the SLP. The 
SLP performance measures are:
    (1) The percentage of program graduates who are certified to become 
a principal or assistant principal.
    (2) The percentage of program graduates who are certified and hired 
as a principal or assistant principal in a high-need LEA.
    (3) The percentage of program graduates certified through the 
program who are hired as a principal or assistant principal in a high-
need LEA and who remain in that position for at least two years.
    (4) The percentage of principals and assistant principals who 
complete the SLP-funded professional development program and whose 
schools demonstrate positive change, no change, or negative change 
based on pre- and post-school site measures, of which one measure must 
include, if available, student growth (e.g., at least one grade level 
in an academic year).
    (5) The percentage of program graduates who are rated ``effective'' 
or ``highly effective'' as measured by a U.S. Department of Education 
program approved principal evaluation system, if available.

    Note: Applicants that receive funding under this program will be 
required to collect and submit data on the measures that are aligned 
to the project design in the annual performance report for each 
performance period. Specifically, for performance measure 4, 
grantees may include school site measures such as: Student 
disciplinary actions, teacher attendance, parent engagement, 
teachers rated ``effective'' or ``highly effective,'' or other 
school climate measures. For performance measure 5, where available, 
we are interested in collecting the percentage of SLP graduates who 
are rated ``effective'' or ``highly effective'' after completing the 
SLP funded professional development program for current principals 
or after one year in the position as principals for participants 
that became certified through the SLP funded project using a 
principal evaluation that has met the requirements and has been 
approved by programs such as: Race to the Top, ESEA Flexibility, 
School Improvement Grants, or the FY 2012 Teacher Incentive Fund 
principal evaluation system requirements. If a system is not yet 
approved by one of these programs we will determine appropriate data 
collection on a case-by-case basis.

    5. Continuation Awards: In making a continuation award, the 
Secretary may consider, under 34 CFR 75.253, the extent to which a 
grantee has made ``substantial progress toward meeting the objectives 
in its approved application.'' This consideration includes the review 
of a grantee's progress in meeting the targets and projected outcomes 
in its approved application, and whether the grantee has expended funds 
in a manner that is consistent with its approved application and 
budget. In making a continuation grant, the Secretary also considers 
whether the grantee is operating in compliance with the assurances in 
its approved application, including those applicable to Federal civil 
rights laws that prohibit discrimination in programs or activities 
receiving Federal financial assistance from the Department (34 CFR 
100.4, 104.5, 106.4, 108.8, and 110.23).

VII. Agency Contact

FOR FURTHER INFORMATION CONTACT: Tyra Stewart, U.S. Department of 
Education, 400 Maryland Avenue SW., Room 4C111, Washington, DC 20202-
5960. Telephone: (202) 260-1847, or by email: 
[email protected].
    If you use a TDD or TTY, call the Federal Relay Service, 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 Adobe Portable Document Format (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: May 3, 2013.
James H. Shelton, III,
Assistant Deputy Secretary for Innovation and Improvement.
[FR Doc. 2013-10980 Filed 5-7-13; 8:45 am]
BILLING CODE 4000-01-P