[Federal Register Volume 86, Number 10 (Friday, January 15, 2021)]
[Notices]
[Pages 4033-4041]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-00882]


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DEPARTMENT OF EDUCATION


Applications for New Authorities; Innovative Assessment 
Demonstration Authority

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

ACTION: Notice.

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SUMMARY: The Department of Education is issuing a notice inviting 
applications for new authorities for fiscal year (FY) 2021 under the 
Innovative Assessment Demonstration Authority (IADA).

DATES: 
    Applications Available: January 15, 2021.
    Deadline for Notice of Intent to Apply: February 16, 2021.
    Deadline for Transmittal of Applications: March 16, 2021.

ADDRESSES: For the addresses for obtaining and submitting an 
application, please refer to the Application and Submission Information 
section of this notice.

[[Page 4034]]


FOR FURTHER INFORMATION CONTACT: Donald Peasley, U.S. Department of 
Education, 400 Maryland Avenue SW, room 3W106, Washington, DC 20202-
6132. Telephone: (202) 453-7982. Email: [email protected].
    If you use a telecommunications device for the deaf (TDD) or a text 
telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1-
800-877-8339.

SUPPLEMENTARY INFORMATION:

Full Text of Announcement

I. Opportunity Description

    Purpose of Program: The Secretary provides State educational 
agencies (SEAs), including consortia of SEAs, with the authority to 
establish and operate an innovative assessment system in their public 
schools under the IADA in section 1204 of the Elementary and Secondary 
Education Act of 1965, as amended (ESEA or the Act). An approved State, 
based on its response to this NIA, must be ready to administer and use 
the results from the innovative assessments in the 2021-2022 school 
year. During this initial demonstration period, no more than seven SEAs 
may participate, including those participating in consortia, which may 
include no more than four SEAs. Through previous competitions, the 
Department has awarded five States the authority. Two additional States 
may be approved for this authority during this competition. In FY 2020, 
the Department awarded grants under the Competitive Grants for State 
Assessments program (Assistance Listing Number 84.368A), including two 
grants to implement IADA for States already approved for flexibility 
and one grant to support preparation of an application for flexibility 
under IADA.
    Application Requirements: An SEA or consortium of SEAs seeking IADA 
must submit an application to the Secretary that demonstrates how the 
applicant meets all application requirements under 34 CFR 200.105 and 
that addresses all selection criteria under 34 CFR 200.106. The 
following requirements are from 34 CFR 200.105.
    An eligible application must include the following:
    (a) Consultation. Evidence that the SEA or a consortium has 
developed an innovative assessment system in collaboration with--
    (1) Experts in the planning, development, implementation, and 
evaluation of innovative assessment systems, which may include external 
partners; and
    (2) Affected stakeholders in the State, or in each State in the 
consortium, including--
    (i) Those representing the interests of children with disabilities, 
English learners, and other subgroups of students described in section 
1111(c)(2) of the ESEA;
    (ii) Teachers, principals, and other school leaders;
    (iii) Local educational agencies (LEAs);
    (iv) Representatives of Indian Tribes located in the State;
    (v) Students and parents, including parents of children described 
in paragraph (a)(2)(i) of this section; and
    (vi) Civil rights organizations.
    (b) Innovative assessment system. A demonstration that the 
innovative assessment system does or will--
    (1) Meet the requirements of section 1111(b)(2)(B) of the ESEA, 
except that an innovative assessment--
    (i) Need not be the same assessment administered to all public 
elementary and secondary school students in the State during the 
demonstration authority period described in 34 CFR 200.104(b)(2) or 
extension period described in 34 CFR 200.108 and prior to statewide use 
consistent with 34 CFR 200.107, if the innovative assessment system 
will be administered initially to all students in participating schools 
within a participating LEA, provided that the statewide academic 
assessments under 34 CFR 200.2(a)(1) and section 1111(b)(2) of the ESEA 
are administered to all students in any non-participating LEA or any 
non-participating school within a participating LEA; and
    (ii) Need not be administered annually in each of grades 3-8 and at 
least once in grades 9-12 in the case of reading/language arts and 
mathematics assessments, and at least once in grades 3-5, 6-9, and 10-
12 in the case of science assessments, so long as the statewide 
academic assessments under 34 CFR 200.2(a)(1) and section 1111(b)(2) of 
the ESEA are administered in any required grade and subject under 34 
CFR 200.5(a)(1) in which the SEA does not choose to implement an 
innovative assessment;
    (2)(i) Align with the challenging State academic content standards 
under section 1111(b)(1) of the ESEA, including the depth and breadth 
of such standards, for the grade in which a student is enrolled; and
    (ii) May measure a student's academic proficiency and growth using 
items above or below the student's grade level so long as, for purposes 
of meeting the requirements for reporting and school accountability 
under sections 1111(c) and 1111(h) of the ESEA and paragraphs (b)(3) 
and (b)(7)-(9) of this section, the State measures each student's 
academic proficiency based on the challenging State academic standards 
for the grade in which the student is enrolled;
    (3) Express student results or competencies consistent with the 
challenging State academic achievement standards under section 
1111(b)(1) of the ESEA and identify which students are not making 
sufficient progress toward, and attaining, grade-level proficiency on 
such standards;
    (4)(i) Generate results, including annual summative determinations 
as defined in paragraph (b)(7) of this section, that are valid, 
reliable, and comparable for all students and for each subgroup of 
students described in 34 CFR 200.2(b)(11)(i)(A)-(I) and sections 
1111(b)(2)(B)(xi) and 1111(h)(1)(C)(ii) of the ESEA, to the results 
generated by the State academic assessments described in 34 CFR 
200.2(a)(1) and section 1111(b)(2) of the ESEA for such students. 
Consistent with the SEA's or consortium's evaluation plan under 34 CFR 
200.106(e), the SEA must plan to annually determine comparability 
during each year of its demonstration authority period in one of the 
following ways:
    (A) Administer full assessments from both the innovative and 
statewide assessment systems to all students enrolled in participating 
schools, such that at least once in any grade span (i.e., 3-5, 6-8, or 
9-12) and subject for which there is an innovative assessment, a 
statewide assessment in the same subject would also be administered to 
all such students. As part of this determination, the innovative 
assessment and statewide assessment need not be administered to an 
individual student in the same school year.
    (B) Administer full assessments from both the innovative and 
statewide assessment systems to a demographically representative sample 
of all students and subgroups of students described in section 
1111(c)(2) of the ESEA, from among those students enrolled in 
participating schools, such that at least once in any grade span (i.e., 
3-5, 6-8, or 9-12) and subject for which there is an innovative 
assessment, a statewide assessment in the same subject would also be 
administered in the same school year to all students included in the 
sample.
    (C) Include, as a significant portion of the innovative assessment 
system in each required grade and subject in which both an innovative 
and statewide assessment are administered, items or performance tasks 
from the statewide assessment system that, at a minimum,

[[Page 4035]]

have been previously pilot-tested or field-tested for use in the 
statewide assessment system.
    (D) Include, as a significant portion of the statewide assessment 
system in each required grade and subject in which both an innovative 
and statewide assessment are administered, items or performance tasks 
from the innovative assessment system that, at a minimum, have been 
previously pilot-tested or field-tested for use in the innovative 
assessment system.
    (E) Use an alternative method for demonstrating comparability that 
an SEA can demonstrate will provide for an equally rigorous and 
statistically valid comparison between student performance on the 
innovative assessment and the statewide assessment, including for each 
subgroup of students described in 34 CFR 200.2(b)(11)(i)(A)-(I) and 
sections 1111(b)(2)(B)(xi) and 1111(h)(1)(C)(ii) of the ESEA; and
    (ii) Generate results, including annual summative determinations as 
defined in paragraph (b)(7) of this section, that are valid, reliable, 
and comparable, for all students and for each subgroup of students 
described in 34 CFR 200.2(b)(11)(i)(A)-(I) and sections 
1111(b)(2)(B)(xi) and 1111(h)(1)(C)(ii) of the ESEA, among 
participating schools and LEAs in the IADA. Consistent with the SEA's 
or consortium's evaluation plan under 34 CFR 200.106(e), the SEA must 
plan to annually determine comparability during each year of its 
demonstration authority period;
    (5)(i) Provide for the participation of all students, including 
children with disabilities and English learners;
    (ii) Be accessible to all students by incorporating the principles 
of universal design for learning, to the extent practicable, consistent 
with 34 CFR 200.2(b)(2)(ii); and
    (iii) Provide appropriate accommodations consistent with 34 CFR 
200.6(b) and (f)(1)(i) and section 1111(b)(2)(B)(vii) of the ESEA;
    (6) For purposes of the State accountability system consistent with 
section 1111(c)(4)(E) of the ESEA, annually measure in each 
participating school progress on the Academic Achievement indicator 
under section 1111(c)(4)(B) of the ESEA of at least 95 percent of all 
students, and 95 percent of students in each subgroup of students 
described in section 1111(c)(2) of the ESEA, who are required to take 
such assessments consistent with paragraph (b)(1)(ii) of this section;
    (7) Generate an annual summative determination of achievement, 
using the annual data from the innovative assessment, for each student 
in a participating school in the demonstration authority that 
describes--
    (i) The student's mastery of the challenging State academic 
standards under section 1111(b)(1) of the ESEA for the grade in which 
the student is enrolled; or
    (ii) In the case of a student with the most significant cognitive 
disabilities assessed with an alternate assessment aligned with 
alternate academic achievement standards under section 1111(b)(1)(E) of 
the ESEA, the student's mastery of those standards;
    (8) Provide disaggregated results by each subgroup of students 
described in 34 CFR 200.2(b)(11)(i)(A)-(I) and sections 
1111(b)(2)(B)(xi) and 1111(h)(1)(C)(ii) of the ESEA, including timely 
data for teachers, principals and other school leaders, students, and 
parents consistent with 34 CFR 200.8 and section 1111(b)(2)(B)(x) and 
(xii) and section 1111(h) of the ESEA, and provide results to parents 
in a manner consistent with paragraph (b)(4)(i) of this section and 34 
CFR 200.2(e); and
    (9) Provide an unbiased, rational, and consistent determination of 
progress toward the State's long-term goals for academic achievement 
under section 1111(c)(4)(A) of the ESEA for all students and each 
subgroup of students described in section 1111(c)(2) of the ESEA and a 
comparable measure of student performance on the Academic Achievement 
indicator under section 1111(c)(4)(B) of the ESEA for participating 
schools relative to non-participating schools so that the SEA may 
validly and reliably aggregate data from the system for purposes of 
meeting requirements for--
    (i) Accountability under sections 1003 and 1111(c) and (d) of the 
ESEA, including how the SEA will identify participating and non-
participating schools in a consistent manner for comprehensive and 
targeted support and improvement under section 1111(c)(4)(D) of the 
ESEA; and
    (ii) Reporting on State and LEA report cards under section 1111(h) 
of the ESEA.
    (c) Selection Criteria. Information that addresses each of the 
selection criteria under 34 CFR 200.106.
    (d) Assurances. Assurances that the SEA, or each SEA in a 
consortium, will--
    (1) Continue use of the statewide academic assessments in reading/
language arts, mathematics, and science required under 34 CFR 
200.2(a)(1) and section 1111(b)(2) of the ESEA--
    (i) In all non-participating schools; and
    (ii) In all participating schools for which such assessments will 
be used in addition to innovative assessments for accountability 
purposes under section 1111(c) of the ESEA consistent with paragraph 
(b)(1)(ii) of this section or for evaluation purposes consistent with 
34 CFR 200.106(e) during the demonstration authority period;
    (2) Ensure that all students and each subgroup of students 
described in section 1111(c)(2) of the ESEA in participating schools 
are held to the same challenging State academic standards under section 
1111(b)(1) of the ESEA as all other students, except that students with 
the most significant cognitive disabilities may be assessed with 
alternate assessments aligned with alternate academic achievement 
standards consistent with 34 CFR 200.6 and section 1111(b)(1)(E) and 
(b)(2)(D) of the ESEA, and receive the instructional support needed to 
meet such standards;
    (3) Report the following annually to the Secretary, at such time 
and in such manner as the Secretary may reasonably require:
    (i) An update on implementation of the IADA, including--
    (A) The SEA's progress against its timeline under 34 CFR 200.106(c) 
and any outcomes or results from its evaluation and continuous 
improvement process under 34 CFR 200.106(e); and
    (B) If the innovative assessment system is not yet implemented 
statewide consistent with 34 CFR 200.104(a)(2), a description of the 
SEA's progress in scaling up the system to additional LEAs or schools 
consistent with its strategies under 34 CFR 200.106(a)(3)(i), including 
updated assurances from participating LEAs consistent with paragraph 
(e)(2) of this section.
    (ii) The performance of students in participating schools at the 
State, LEA, and school level, for all students and disaggregated for 
each subgroup of students described in section 1111(c)(2) of the ESEA, 
on the innovative assessment, including academic achievement and 
participation data required to be reported consistent with section 
1111(h) of the ESEA, except that such data may not reveal any 
personally identifiable information.
    (iii) If the innovative assessment system is not yet implemented 
statewide, school demographic information, including enrollment and 
student achievement information, for the subgroups of students 
described in section 1111(c)(2) of the ESEA, among participating 
schools and LEAs and for any schools or LEAs that will

[[Page 4036]]

participate for the first time in the following year, and a description 
of how the participation of any additional schools or LEAs in that year 
contributed to progress toward achieving high-quality and consistent 
implementation across demographically diverse LEAs in the State 
consistent with the SEA's benchmarks described in 34 CFR 
200.106(a)(3)(iii).
    (iv) Feedback from teachers, principals and other school leaders, 
and other stakeholders consulted under paragraph (a)(2) of this 
section, including parents and students, from participating schools and 
LEAs about their satisfaction with the innovative assessment system.
    (4) Ensure that each participating LEA informs parents of all 
students in participating schools about the innovative assessment, 
including the grades and subjects in which the innovative assessment 
will be administered, and, consistent with section 1112(e)(2)(B) of the 
ESEA, at the beginning of each school year during which an innovative 
assessment will be implemented. Such information must be--
    (i) In an understandable and uniform format;
    (ii) To the extent practicable, written in a language that parents 
can understand or, if it is not practicable to provide written 
translations to a parent with limited English proficiency, be orally 
translated for such parent; and
    (iii) Upon request by a parent who is an individual with a 
disability as defined by the Americans with Disabilities Act, provided 
in an alternative format accessible to that parent; and
    (5) Coordinate with and provide information to, as applicable, the 
Institute of Education Sciences for purposes of the progress report 
described in section 1204(c) of the ESEA and ongoing dissemination of 
information under section 1204(m) of the ESEA.
    (e) Initial implementation in a subset of LEAs or schools. If the 
innovative assessment system will initially be administered in a subset 
of LEAs or schools in a State--
    (1) A description of each LEA, and each of its participating 
schools, that will initially participate, including demographic 
information and its most recent LEA report card under section 
1111(h)(2) of the ESEA; and
    (2) An assurance from each participating LEA, for each year that 
the LEA is participating, that the LEA will comply with all 
requirements of this section.
    (f) Application from a consortium of SEAs. If an application for 
the IADA is submitted by a consortium of SEAs--
    (1) A description of the governance structure of the consortium, 
including--
    (i) The roles and responsibilities of each member SEA, which may 
include a description of affiliate members, if applicable, and must 
include a description of financial responsibilities of member SEAs;
    (ii) How the member SEAs will manage and, at their discretion, 
share intellectual property developed by the consortium as a group; and
    (iii) How the member SEAs will consider requests from SEAs to join 
or leave the consortium and ensure that changes in membership do not 
affect the consortium's ability to implement the IADA consistent with 
the requirements and selection criteria in this section and 34 CFR 
200.106.
    (2) While the terms of the association with affiliate members are 
defined by each consortium, consistent with 34 CFR 200.104(b)(1) and 
paragraph (f)(1)(i) of this section, for an affiliate member to become 
a full member of the consortium and to use the consortium's innovative 
assessment system under the demonstration authority, the consortium 
must submit a revised application to the Secretary for approval, 
consistent with the requirements of this section and 34 CFR 200.106 and 
subject to the limitation under 34 CFR 200.104(d).
    Definitions: For FY 2021 and any subsequent year in which we award 
the IADA, the following definitions will apply. These definitions are 
from 34 CFR 200.104(b).
    (1) Affiliate member of a consortium means an SEA that is formally 
associated with a consortium of SEAs that is implementing the IADA, but 
is not yet a full member of the consortium because it is not proposing 
to use the consortium's innovative assessment system under the 
demonstration authority, instead of, or in addition to, its statewide 
assessment under section 1111(b)(2) of the ESEA for purposes of 
accountability and reporting under sections 1111(c) and 1111(h) of the 
ESEA.
    (2) Demonstration authority period refers to the period of time 
over which an SEA, or consortium of SEAs, is authorized to implement 
the IADA, which may not exceed five years and does not include the 
extension or waiver period under 34 CFR 200.108. An SEA must use its 
innovative assessment system in all participating schools instead of, 
or in addition to, the statewide assessment under section 1111(b)(2) of 
the ESEA for purposes of accountability and reporting under section 
1111(c) and 1111(h) of the ESEA in each year of the demonstration 
authority period.
    (3) Innovative assessment system means a system of assessments, 
which may include any combination of general assessments or alternate 
assessments aligned with alternate academic achievement standards, in 
reading/language arts, mathematics, or science administered in at least 
one required grade under 34 CFR 200.5(a)(1) and section 
1111(b)(2)(B)(v) of the ESEA that--
    (i) Produces--
    (A) An annual summative determination of each student's mastery of 
grade-level content standards aligned to the challenging State academic 
standards under section 1111(b)(1) of the ESEA; or
    (B) In the case of a student with the most significant cognitive 
disabilities assessed with an alternate assessment aligned with 
alternate academic achievement standards under section 1111(b)(1)(E) of 
the ESEA and aligned with the State's academic content standards for 
the grade in which the student is enrolled, an annual summative 
determination relative to such alternate academic achievement standards 
for each such student; and
    (ii) May, in any required grade or subject, include one or more of 
the following types of assessments:
    (A) Cumulative year-end assessments.
    (B) Competency-based assessments.
    (C) Instructionally embedded assessments.
    (D) Interim assessments.
    (E) Performance-based assessments.
    (F) Another innovative assessment design that meets the 
requirements under 34 CFR 200.105(b).
    (4) Participating LEA means an LEA in the State with at least one 
school participating in the IADA.
    (5) Participating school means a public school in the State in 
which the innovative assessment system is administered under the IADA 
instead of, or in addition to, the statewide assessment under section 
1111(b)(2) of the ESEA and where the results of the school's students 
on the innovative assessment system are used by its State and LEA for 
purposes of accountability and reporting under section 1111(c) and 
1111(h) of the ESEA.
    Program Authority: Section 1204 of the ESEA (20 U.S.C. 6364); 34 
CFR 200.104 through 200.108.
    Note: Projects must be awarded and operated in a manner consistent 
with the nondiscrimination requirements contained in the U.S. 
Constitution and the Federal civil rights laws.

[[Page 4037]]

II. Award Information

    Type of Award: Innovation authority.
    Estimated Available Funds: No funds are authorized to be 
appropriated for the IADA. However, an SEA may use funds it receives 
under Grants for State Assessments and Related Activities (see section 
1201 of the ESEA (20 U.S.C. 6361)) to implement its innovative 
assessment system.
    Estimated Number of Awards: Up to two States may be approved for 
this authority in this competition because five States have previously 
received the authority. For the initial demonstration period, no more 
than seven States, including States that are part of a consortium 
(which may include no more than four States), may participate.
    Project Period: Up to 60 months.

III. Eligibility Information

    1. Eligible Applicants: SEAs (as defined in section 8101(49) of the 
ESEA) and consortia of SEAs that include no more than four SEAs.
    2. Cost Sharing or Matching: This program does not require cost 
sharing or matching.
    3. Other: An application from a consortium of SEAs must designate 
one SEA as the lead State for project management.

IV. Application and Submission Information

    1. Address to Request Application Package: Donald Peasley, Office 
of Elementary and Secondary Education, U.S. Department of Education, 
400 Maryland Avenue SW, Room 3W106, Washington, DC 20202-6132. 
Telephone: (202) 453-7982. Email: [email protected].
    To obtain a copy via the internet, use the following address: 
https://oese.ed.gov/offices/office-of-formula-grants/school-support-and-accountability/iada/.
    If you use a TDD or a TTY, call the FRS, toll free, at 1-800-877-
8339.
    2. Content and Form of Application Submission: Requirements 
concerning the content and form of an application, together with the 
forms you must submit, are in the application package for this program, 
which can be found at https://oese.ed.gov/offices/office-of-formula-grants/school-support-and-accountability/iada/.
    3. Notice of Intent to Apply: We will be able to develop a more 
efficient process for reviewing applications if we have a better 
understanding of the number of applicants that intend to apply for 
selection under this program. Therefore, we strongly encourage each 
potential applicant to notify us of their intent to submit an 
application by February 16, 2021. This notification should be brief, 
and identify the SEA applicant, and, if part of a consortium, the SEA 
that is the fiscal agent for the consortium. Submit this notification 
by email to [email protected] with ``Intent to Apply'' in the 
email subject line or by mail to Donald Peasley, U.S. Department of 
Education, 400 Maryland Avenue SW, Room 3W106, Washington, DC 20202-
6132. Applicants that do not provide this notification may still apply 
for the authority.
    4. Submission of Proprietary Information: Given the types of 
projects that may be proposed in applications for the IADA, 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). Because we plan to make successful applications available to 
the public, you may wish to request confidentiality of business 
information.
    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).
    5. Intergovernmental Review: This competition is not subject to 
Executive Order 12372 and the regulations in 34 CFR part 79.
    6. Application Submission Instructions:
    Applications under this program must be submitted electronically 
using the Department's application portal at www.Max.gov. For 
directions on how to access and use the application portal, please 
contact Donald Peasley at [email protected]. For information 
(including dates and times) about how to submit your application 
electronically, 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. 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.
    7. Other Submission Requirements:
    a. Electronic Submission of Applications.
    Applications under this program must be submitted electronically 
using the Department's application portal at www.Max.gov by 5:00:00 
p.m. Eastern Time on March 16, 2021. For directions on how to access 
and use the application portal, please contact Donald Peasley at 
[email protected].
    You may access the electronic application for this program at 
https://oese.ed.gov/offices/office-of-formula-grants/school-support-and-accountability/iada/. You must submit all documents electronically.
     You must upload any narrative sections and all other 
attachments to your application as files in a read-only, flattened 
Portable Document Format (PDF), meaning any fillable PDF documents must 
be saved as flattened non-fillable files. Do not upload an interactive 
or fillable PDF file. If you upload a file type other than a read-only, 
flattened 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 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 application 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, flattened 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.
    b. Submission of Application in Case of Technical Issues.
    If you are prevented from electronically submitting your 
application on the application deadline date because of technical 
problems with

[[Page 4038]]

the Max.gov system, you may email your application to the person listed 
under FOR FURTHER INFORMATION CONTACT and provide an explanation of the 
technical problem you experienced. We will contact you after we 
determine whether your application will be accepted.

V. Application Review Information

    1. Selection Criteria: The selection criteria for this program are 
from 34 CFR 200.106. We will award a maximum of up to 120 points to an 
application under the selection criteria; the total possible points for 
addressing each selection criterion are noted in parentheses.
    (a) Project narrative. (Up to 40 points)
    The quality of the SEA's or consortium's plan for implementing the 
IADA. In determining the quality of the plan, the Secretary considers--
    (1) The rationale for developing or selecting the particular 
innovative assessment system to be implemented under the demonstration 
authority, including--
    (i) The distinct purpose of each assessment that is part of the 
innovative assessment system and how the system will advance the design 
and delivery of large-scale, statewide academic assessments in 
innovative ways; and
    (ii) The extent to which the innovative assessment system as a 
whole will promote high-quality instruction, mastery of challenging 
State academic standards, and improved student outcomes, including for 
each subgroup of students described in section 1111(c)(2) of the ESEA; 
(5 points if factor (3) is applicable; 10 points if factor (3) is 
inapplicable);
    (2) The plan the SEA or consortium, in consultation with any 
external partners, if applicable, has to--
    (i) Develop and use standardized and calibrated tools, rubrics, 
methods, or other strategies for scoring innovative assessments 
throughout the demonstration authority period, consistent with relevant 
nationally recognized professional and technical standards, to ensure 
inter-rater reliability and comparability of innovative assessment 
results consistent with 34 CFR 200.105(b)(4)(ii), which may include 
evidence of inter-rater reliability; and
    (ii) Train evaluators to use such strategies, if applicable; (25 
points if factor (3) is applicable; 30 points if factor (3) is 
inapplicable); and
    (3) If the system will initially be administered in a subset of 
schools or LEAs in a State--
    (i) The strategies the SEA, including each SEA in a consortium, 
will use to scale the innovative assessment to all schools statewide, 
with a rationale for selecting those strategies;
    (ii) The strength of the SEA's or consortium's criteria that will 
be used to determine LEAs and schools that will initially participate 
and when to approve additional LEAs and schools, if applicable, to 
participate during the requested demonstration authority period; and
    (iii) The SEA's plan, including each SEA in a consortium, for how 
it will ensure that, during the demonstration authority period, the 
inclusion of additional LEAs and schools continues to reflect high-
quality and consistent implementation across demographically diverse 
LEAs and schools, or contributes to progress toward achieving such 
implementation across demographically diverse LEAs and schools, 
including diversity based on enrollment of subgroups of students 
described in section 1111(c)(2) of the ESEA and student achievement. 
The plan must also include annual benchmarks toward achieving high-
quality and consistent implementation across participating schools that 
are, as a group, demographically similar to the State as a whole during 
the demonstration authority period, using the demographics of initially 
participating schools as a baseline. (10 points, if applicable)
    (b) Prior experience, capacity, and stakeholder support. (Up to 20 
points)
    (1) The extent and depth of prior experience that the SEA, 
including each SEA in a consortium, and its LEAs have in developing and 
implementing the components of the innovative assessment system. An SEA 
may also describe the prior experience of any external partners that 
will be participating in or supporting its demonstration authority in 
implementing those components. In evaluating the extent and depth of 
prior experience, the Secretary considers--
    (i) The success and track record of efforts to implement innovative 
assessments or innovative assessment items aligned to the challenging 
State academic standards under section 1111(b)(1) of the ESEA in LEAs 
planning to participate; and
    (ii) The SEA's or LEA's development or use of--
    (A) Effective supports and appropriate accommodations consistent 
with 34 CFR 200.6(b) and (f)(1)(i) and section 1111(b)(2)(B)(vii) of 
the ESEA for administering innovative assessments to all students, 
including English learners and children with disabilities, which must 
include professional development for school staff on providing such 
accommodations;
    (B) Effective and high-quality supports for school staff to 
implement innovative assessments and innovative assessment items, 
including professional development; and
    (C) Standardized and calibrated tools, rubrics, methods, or other 
strategies for scoring innovative assessments, with documented evidence 
of the validity, reliability, and comparability of annual summative 
determinations of achievement, consistent with 34 CFR 200.105(b)(4) and 
(7). (5 points)
    (2) The extent and depth of the SEA, including each SEA in a 
consortium, and LEA capacity to implement the innovative assessment 
system considering the availability of technological infrastructure; 
State and local laws; dedicated and sufficient staff, expertise, and 
resources; and other relevant factors. An SEA or consortium may also 
describe how it plans to enhance its capacity by collaborating with 
external partners that will be participating in or supporting its 
demonstration authority. In evaluating the extent and depth of 
capacity, the Secretary considers--
    (i) The SEA's analysis of how capacity influenced the success of 
prior efforts to develop and implement innovative assessments or 
innovative assessment items; and
    (ii) The strategies the SEA is using, or will use, to mitigate 
risks, including those identified in its analysis, and support 
successful implementation of the innovative assessment. (5 points)
    (3) The extent and depth of State and local support for the 
application for demonstration authority in each SEA, including each SEA 
in a consortium, as demonstrated by signatures from the following:
    (i) Superintendents (or equivalent) of LEAs, including 
participating LEAs in the first year of the demonstration authority 
period.
    (ii) Presidents of local school boards (or equivalent, where 
applicable), including within participating LEAs in the first year of 
the demonstration authority.
    (iii) Local teacher organizations (including labor organizations, 
where applicable), including within participating LEAs in the first 
year of the demonstration authority.
    (iv) Other affected stakeholders, such as parent organizations, 
civil rights organizations, and business organizations. (10 points)
    (c) Timeline and budget. (Up to 15 points)
    The quality of the SEA's or consortium's timeline and budget for 
implementing the IADA. In determining

[[Page 4039]]

the quality of the timeline and budget, the Secretary considers--
    (1) The extent to which the timeline reasonably demonstrates that 
each SEA will implement the system statewide by the end of the 
requested demonstration authority period, including a description of--
    (i) The activities to occur in each year of the requested 
demonstration authority period;
    (ii) The parties responsible for each activity; and
    (iii) If applicable, how a consortium's member SEAs will implement 
activities at different paces and how the consortium will implement 
interdependent activities, so long as each non-affiliate member SEA 
begins using the innovative assessment in the same school year 
consistent with 34 CFR part 200.104(b)(2); (5 points) and
    (2) The adequacy of the project budget for the duration of the 
requested demonstration authority period, including Federal, State, 
local, and non-public sources of funds to support and sustain, as 
applicable, the activities in the timeline under paragraph (c)(1) of 
this section, including--
    (i) How the budget will be sufficient to meet the expected costs at 
each phase of the SEA's planned expansion of its innovative assessment 
system; and
    (ii) The degree to which funding in the project budget is 
contingent upon future appropriations at the State or local level or 
additional commitments from non-public sources of funds. (10 points)
    (d) Supports for educators, students, and parents. (Up to 25 
points)
    The quality of the SEA or consortium's plan to provide supports 
that can be delivered consistently at scale to educators, students, and 
parents to enable successful implementation of the innovative 
assessment system and improve instruction and student outcomes. In 
determining the quality of supports, the Secretary considers--
    (1) The extent to which the SEA or consortium has developed, 
provided, and will continue to provide training to LEA and school 
staff, including teachers, principals, and other school leaders, that 
will familiarize them with the innovative assessment system and develop 
teacher capacity to implement instruction that is informed by the 
innovative assessment system and its results; (5 points if factor (4) 
is applicable; 9 points if factor (4) is inapplicable)
    (2) The strategies the SEA or consortium has developed and will use 
to familiarize students and parents with the innovative assessment 
system; (5 points if factor (4) is applicable; 8 points if factor (4) 
is inapplicable)
    (3) The strategies the SEA will use to ensure that all students and 
each subgroup of students under section 1111(c)(2) of the Act in 
participating schools receive the support, including appropriate 
accommodations consistent with 34 CFR 200.6(b) and (f)(1)(i) and 
section 1111(b)(2)(B)(vii) of the ESEA, needed to meet the challenging 
State academic standards under section 1111(b)(1) of the ESEA; (5 
points if factor (4) is applicable; 8 points if factor (4) is 
inapplicable) and
    (4) If the system includes assessment items that are locally 
developed or locally scored, the strategies and safeguards (e.g., test 
blueprints, item and task specifications, rubrics, scoring tools, 
documentation of quality control procedures, inter-rater reliability 
checks, audit plans) the SEA or consortium has developed, or plans to 
develop, to validly and reliably score such items, including how the 
strategies engage and support teachers and other staff in designing, 
developing, implementing, and validly and reliably scoring high-quality 
assessments; how the safeguards are sufficient to ensure unbiased, 
objective scoring of assessment items; and how the SEA will use 
effective professional development to aid in these efforts. (10 points 
if applicable)
    (e) Evaluation and continuous improvement. (Up to 20 points)
    The quality of the SEA's or consortium's plan to annually evaluate 
its implementation of IADA. In determining the quality of the 
evaluation, the Secretary considers--
    (1) The strength of the proposed evaluation of the innovative 
assessment system included in the application, including whether the 
evaluation will be conducted by an independent, experienced third 
party, and the likelihood that the evaluation will sufficiently 
determine the system's validity, reliability, and comparability to the 
statewide assessment system consistent with the requirements of 34 CFR 
200.105(b)(4) and (9); (12 points) and
    (2) The SEA's or consortium's plan for continuous improvement of 
the innovative assessment system, including its process for--
    (i) Using data, feedback, evaluation results, and other information 
from participating LEAs and schools to make changes to improve the 
quality of the innovative assessment; and
    (ii) Evaluating and monitoring implementation of the innovative 
assessment system in participating LEAs and schools annually. (8 
points)
    2. Risk Assessment and Specific Conditions: Consistent with 2 CFR 
200.205(c) and 200.207, before approving a project under this 
authority, the Department may conduct a review of the risks posed by 
the applicant and impose specific conditions as needed.
    3. Additional Review and Selection Process Factors:
    (a) The Secretary uses a peer review process, including a review of 
the SEA's application to determine that it meets or will meet each of 
the requirements under 34 CFR 200.105 and sufficiently addresses each 
of the selection criteria under 34 CFR 200.106, to inform the 
Secretary's decision of whether to award the IADA to an SEA or 
consortium of SEAs. Peer review teams consist of experts and State and 
local practitioners who are knowledgeable about innovative assessment 
systems, including--
    (i) Individuals with past experience developing innovative 
assessment and accountability systems that support all students and 
subgroups of students described in section 1111(c)(2) of the ESEA 
(e.g., psychometricians, measurement experts, researchers); and
    (ii) Individuals with experience implementing such innovative 
assessment and accountability systems (e.g., State and local assessment 
directors, educators).

VI. Administration Information

    1. Approval Notices: If your application is approved, we notify 
your U.S. Representative and U.S. Senators and send you a letter or 
email approving your project.
    If your application is not selected, we notify you.
    2. Programmatic Requirements: Your application must address the 
programmatic requirements in section 1204 of the ESEA and 34 CFR 
200.104 through 200.108.
    3. Reporting: (a) If you apply under this program, you must ensure 
that you have in place the necessary processes and systems to comply 
with the reporting requirements should your application be approved.
    (b) You must submit, at the end of each year of your project 
period, an annual update on program activity according to the 
requirements of 34 CFR 200.105(d)(3).
    4. Transition to Statewide Use: Pursuant to 34 CFR 200.107--
    (a)(1) After an SEA has scaled its innovative assessment system to 
operate statewide in all schools and LEAs in the State, the SEA must 
submit evidence for peer review under section 1111(a)(4) of the ESEA 
and 34 CFR 200.2(d) to determine whether the system may be

[[Page 4040]]

used for purposes of both academic assessments and the State 
accountability system under sections 1111(b)(2), (c), and (d) and 1003 
of the ESEA.
    (2) An SEA may only use the innovative assessment system for the 
purposes described in paragraph (a)(1) of this section if the Secretary 
determines that the system is of high quality consistent with paragraph 
(b) of this section.
    (b) Through the peer review process of State assessments and 
accountability systems under section 1111(a)(4) of the ESEA and 34 CFR 
200.2(d), the Secretary determines that the innovative assessment 
system is of high quality if--
    (1) An innovative assessment developed in any grade or subject 
under 34 CFR 200.5(a)(1) and section 1111(b)(2)(B)(v) of the ESEA--
    (i) Meets all of the requirements under section 1111(b)(2) of the 
ESEA and 34 CFR 200.105(b) and (c);
    (ii) Provides coherent and timely information about student 
achievement based on the challenging State academic standards under 
section 1111(b)(1) of the ESEA;
    (iii) Includes objective measurements of academic achievement, 
knowledge, and skills; and
    (iv) Is valid, reliable, and consistent with relevant, nationally 
recognized professional and technical standards;
    (2) The SEA provides satisfactory evidence that it has examined the 
statistical relationship between student performance on the innovative 
assessment in each subject area and student performance on other 
measures of success, including the measures used for each relevant 
grade-span within the remaining indicators (i.e., indicators besides 
Academic Achievement) in the statewide accountability system under 
section 1111(c)(4)(B)(ii)-(v) of the ESEA, and how the inclusion of the 
innovative assessment in its Academic Achievement indicator under 
section 1111(c)(4)(B)(i) of the ESEA affects the annual meaningful 
differentiation of schools under section 1111(c)(4)(C) of the ESEA;
    (3) The SEA has solicited information, consistent with the 
requirements under 34 CFR 200.105(d)(3)(iv), and taken into account 
feedback from teachers, principals, other school leaders, parents, and 
other stakeholders under 34 CFR 200.105(a)(2) about their satisfaction 
with the innovative assessment system; and
    (4) The SEA has demonstrated that the same innovative assessment 
system was used to measure--
    (i) The achievement of all students and each subgroup of students 
described in section 1111(c)(2) of the ESEA, and that appropriate 
accommodations were provided consistent with 34 CFR 200.6(b) and 
(f)(1)(i) under section 1111(b)(2)(B)(vii) of the ESEA; and
    (ii) For purposes of the State accountability system consistent 
with section 1111(c)(4)(E) of the ESEA, progress on the Academic 
Achievement indicator under section 1111(c)(4)(B)(i) of the ESEA of at 
least 95 percent of all students, and 95 percent of students in each 
subgroup of students described in section 1111(c)(2) of the ESEA.
    (c) With respect to the evidence submitted to the Secretary to make 
the determination described in paragraph (b)(2) of this section, the 
baseline year for any evaluation is the first year that a participating 
LEA in the State administered the innovative assessment system under 
the demonstration authority.
    (d) In the case of a consortium of SEAs, evidence may be submitted 
for the consortium as a whole so long as the evidence demonstrates how 
each member SEA meets each requirement of paragraph (b) of this section 
applicable to an SEA.
    5. Continuation of Authority: Pursuant to 34 CFR 200.108--
    (a) The Secretary may extend an SEA's demonstration authority 
period for no more than two years if the SEA submits to the Secretary--
    (1) Evidence that its innovative assessment system continues to 
meet the requirements under 34 CFR 200.105 and the SEA continues to 
implement the plan described in its application in response to the 
selection criteria in 34 CFR 200.106 in all participating schools and 
LEAs;
    (2) A high-quality plan, including input from stakeholders under 34 
CFR 200.105(a)(2), for transitioning to statewide use of the innovative 
assessment system by the end of the extension period; and
    (3) A demonstration that the SEA and all LEAs that are not yet 
fully implementing the innovative assessment system have sufficient 
capacity to support use of the system statewide by the end of the 
extension period.
    (b) In the case of a consortium of SEAs, the Secretary may extend 
the demonstration authority period for the consortium as a whole or for 
an individual member SEA.
    6. Withdrawal of Demonstration Authority. (a) The Secretary may 
withdraw the IADA provided to an SEA, including an individual SEA 
member of a consortium, if at any time during the approved 
demonstration authority period or extension period, the Secretary 
requests, and the SEA does not present in a timely manner--
    (1) A high-quality plan, including input from stakeholders under 34 
CFR 200.105(a)(2), to transition to full statewide use of the 
innovative assessment system by the end of its approved demonstration 
authority period or extension period, as applicable; or
    (2) Evidence that--
    (i) The innovative assessment system meets all requirements under 
34 CFR 200.105, including a demonstration that the innovative 
assessment system has met the requirements under 34 CFR 200.105(b);
    (ii) The SEA continues to implement the plan described in its 
application in response to the selection criteria in 34 CFR 200.106;
    (iii) The innovative assessment system includes and is used to 
assess all students attending participating schools in the 
demonstration authority, consistent with the requirements under section 
1111(b)(2) of the ESEA to provide for participation in State 
assessments, including among each subgroup of students described in 
section 1111(c)(2) of the ESEA, and for appropriate accommodations 
consistent with 34 CFR 200.6(b) and (f)(1)(i) and section 
1111(b)(2)(B)(vii) of the ESEA;
    (iv) The innovative assessment system provides an unbiased, 
rational, and consistent determination of progress toward the State's 
long-term goals and measurements of interim progress for academic 
achievement under section 1111(c)(4)(A) of the ESEA for all students 
and subgroups of students described in section 1111(c)(2) of the ESEA 
and a comparable measure of student performance on the Academic 
Achievement indicator under section 1111(c)(4)(B)(i) of the ESEA for 
participating schools relative to non-participating schools; or
    (v) The innovative assessment system demonstrates comparability to 
the statewide assessments under section 1111(b)(2) of the ESEA in 
content coverage, difficulty, and quality.
    (b)(1) In the case of a consortium of SEAs, the Secretary may 
withdraw IADA for the consortium as a whole at any time during its 
demonstration authority period or extension period if the Secretary 
requests, and no member of the consortium provides, the information 
under paragraph (a)(1) or (2) of this section.
    (2) If IADA for one or more SEAs in a consortium is withdrawn, the 
consortium may continue to implement the authority if it can 
demonstrate, in an amended application to the Secretary that, as a 
group, the remaining SEAs

[[Page 4041]]

continue to meet all requirements and selection criteria in 34 CFR 
200.105 and 200.106.
    7. Waiver authority. (a) At the end of the extension period, an SEA 
that is not yet approved consistent with 34 CFR 200.107 to implement 
its innovative assessment system statewide may request a waiver from 
the Secretary consistent with section 8401 of the ESEA to delay the 
withdrawal of authority under paragraph (6) of this section for the 
purpose of providing the SEA with the time necessary to receive 
approval to transition to use of the innovative assessment system 
statewide under 34 CFR 200.107(b).
    (b) The Secretary may grant an SEA a one-year waiver to continue 
the IADA, if the SEA submits, in its request under paragraph (7)(a) of 
this section, evidence satisfactory to the Secretary that it--
    (1) Has met all of the requirements under paragraph (6)(a) of this 
section and of 34 CFR 200.105 and 200.106; and
    (2) Has a high-quality plan, including input from stakeholders 
under 34 CFR 200.105(a)(2), for transition to statewide use of the 
innovative assessment system, including peer review consistent with 34 
CFR 200.107, in a reasonable period of time.
    (c) In the case of a consortium of SEAs, the Secretary may grant a 
one-year waiver consistent with paragraph (7)(a) of this section for 
the consortium as a whole or for individual member SEAs, as necessary.
    8. Return to the Statewide Assessment System. If the Secretary 
withdraws IADA consistent with paragraph (6) of this section, or if an 
SEA voluntarily terminates use of its innovative assessment system 
prior to the end of its demonstration authority, extension, or waiver 
period under paragraph (7) of this section, as applicable, the SEA 
must--
    (a) Return to using, in all LEAs and schools in the State, a 
statewide assessment that meets the requirements of section 1111(b)(2) 
of the Act; and
    (b) Provide timely notice to all participating LEAs and schools of 
the withdrawal of authority and the SEA's plan for transition back to 
use of a statewide assessment.

VII. Other Information

    Accessible Format: On request to the program contact person listed 
under FOR FURTHER INFORMATION CONTACT, individuals with disabilities 
can obtain this document and a copy of the application package in an 
accessible format. The Department will provide the requestor with an 
accessible format that may include Rich Text Format (RTF) or text 
format (txt), a thumb drive, an MP3 file, braille, large print, 
audiotape, or compact disc, or other accessible format.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. You may 
access the official edition of the Federal Register and the Code of 
Federal Regulations at www.govinfo.gov. 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.

Frank T. Brogan,
Assistant Secretary for Elementary and Secondary Education.
[FR Doc. 2021-00882 Filed 1-14-21; 8:45 am]
BILLING CODE 4000-01-P