[Federal Register Volume 86, Number 142 (Wednesday, July 28, 2021)]
[Notices]
[Pages 40510-40521]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-16099]


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DEPARTMENT OF EDUCATION


Applications for New Awards; Education Innovation and Research 
(EIR) Program--Early-Phase Grants

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

ACTION: Notice.

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SUMMARY: The Department of Education (Department) is issuing a notice 
inviting applications for fiscal year (FY) 2021 for the EIR program--
Early-phase Grants, Assistance Listing Number 84.411C (Early-phase 
Grants). This notice relates to the approved information collection 
under OMB control number 1894-0006.

DATES: 
    Applications Available: July 30, 2021.
    Deadline for Notice of Intent to Apply: August 17, 2021.
    Deadline for Transmittal of Applications: August 27, 2021.
    Deadline for Intergovernmental Review: October 26, 2021.
    Pre-Application Information: The Department will post additional 
competition information for prospective applicants on the EIR program 
website: https://oese.ed.gov/offices/office-of-discretionary-grants-support-services/innovation-early-learning/education-innovation-and-research-eir/fy-2021-competition/.

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

FOR FURTHER INFORMATION CONTACT: Yvonne Crockett, U.S. Department of 
Education, 400 Maryland Avenue SW, Room 3E344, Washington, DC 20202-
5900. Telephone: (202) 453-7122. Email: <a href="/cdn-cgi/l/email-protection#25404c576540410b424a53"><span class="__cf_email__" data-cfemail="75101c073510115b121a03">[email protected]</span></a>.
    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. Funding Opportunity Description

    Purpose of Program: The EIR program, established under section 4611 
of the Elementary and Secondary Education Act, as amended (ESEA), 
provides funding to create, develop, implement, replicate, or take to 
scale entrepreneurial, evidence-based (as defined in this notice), 
field-initiated innovations to improve student achievement and 
attainment for high-need students; and rigorously evaluate such 
innovations. The EIR program is designed to generate and validate 
solutions to persistent education challenges and to support the 
expansion of those solutions to serve substantially larger numbers of 
students.
    The central design element of the EIR program is its multi-tier 
structure that links the amount of funding an applicant may receive to 
the quality of the evidence supporting the efficacy of the proposed 
project, with the expectation that projects that build this evidence 
will advance through EIR's grant tiers: ``Early-phase,'' ``Mid-phase,'' 
and ``Expansion.''
    The Department awards three types of grants under this program: 
``Early-phase'' grants, ``Mid-phase'' grants, and ``Expansion'' grants. 
These grants differ in terms of the level of prior evidence of 
effectiveness required for consideration for funding, the expectations 
regarding the kind of evidence and information funded projects should 
produce, the level of scale funded projects should reach, and, 
consequently, the amount of funding available to support each type of 
project.
    Early-phase grants must demonstrate a rationale (as defined in this 
notice). The Department expects that Early-phase grants will be used to 
fund the development, implementation, and feasibility testing of a 
program, which prior research suggests has promise, for the purpose of 
determining whether the program can successfully improve student 
achievement and attainment for high need students. These Early-phase 
grants are not intended simply to implement established practices in 
additional locations or address needs that are unique to one particular

[[Page 40511]]

context. The goal is to determine whether and in what ways relatively 
newer practices can improve student achievement and attainment for 
high-need students.
    This notice invites applications for Early-phase grants only. The 
notices inviting applications for Mid-Phase and Expansion grants were 
published in the Federal Register on June 7, 2021 (86 FR 30292 and 86 
FR 30302, respectively).
    Background:
    While this notice is for the Early-phase tier only, the premise of 
the EIR program is that new and innovative programs and practices can 
help to solve the persistent problems in education that prevent 
students, particularly high-need students, from succeeding. These 
innovations need to be evaluated, and, if sufficient evidence of 
effectiveness can be demonstrated, the intent is for these innovations 
to be replicated and tested in new populations and settings. EIR is not 
intended to provide support for practices that are already commonly 
implemented by educators, unless significant adaptations of such 
practices warrant testing to determine if they can accelerate 
achievement, or greatly increase the efficiency and likelihood that 
they can be widely implemented in a variety of new populations and 
settings effectively.
    As an EIR project is implemented, grantees are encouraged to learn 
more about how the practices improve student achievement and 
attainment; and to develop increasingly rigorous evidence of 
effectiveness and new strategies to efficiently and cost-effectively 
scale to new school districts, regions, and States. We encourage 
applicants to develop a logic model (as defined in this notice), theory 
of action, or another conceptual framework that includes the goals, 
objectives, outcomes, and key project components (as defined in this 
notice) of the project.
    All EIR applicants and grantees should also consider how they need 
to develop their organizational capacity, project financing, or 
business plans to sustain their projects and continue implementation 
and adaptation after Federal funding ends. The Department intends to 
provide grantees with technical assistance in their dissemination, 
scaling, and sustainability efforts.
    EIR is designed to offer opportunities for States, districts, 
schools, and educators to develop innovations and scale effective 
practices that address their most pressing challenges.
    Early-phase grantees are encouraged to make continuous and 
iterative improvements in project design and implementation before 
conducting a full-scale evaluation of effectiveness. Grantees should 
consider how easily others could implement the proposed practice, and 
how its implementation could potentially be improved. Additionally, 
grantees should consider using data from early indicators to gauge 
initial impact and to consider possible changes in implementation that 
could increase student achievement and attainment.
    Early-phase applicants should develop, implement, and test the 
feasibility of their projects. The evaluation of an Early-phase project 
should be an experimental or quasi-experimental design study (as 
defined in this notice) that can determine whether the program can 
successfully improve student achievement and attainment for high-need 
students. Early-phase grantees' evaluation designs are encouraged to 
have the potential to demonstrate a statistically significant effect on 
improving student outcomes or other relevant outcomes based on moderate 
evidence (as defined in this notice) from at least one well-designed 
and well-implemented experimental or quasi-experimental design study. 
The Department intends to provide grantees and their independent 
evaluators with evaluation technical assistance. This evaluation 
technical assistance could include grantees and their independent 
evaluators providing to the Department or its contractor updated 
comprehensive evaluation plans in a format as requested by the 
technical assistance provider and using such tools as the Department 
may request. Grantees will be encouraged to update this evaluation plan 
at least annually to reflect any changes to the evaluation, with 
updates consistent with the scope and objectives of the approved 
application.
    The FY 2021 Early-phase competition includes four absolute 
priorities and three competitive preference priorities. All Early-phase 
applicants must address Absolute Priority 1. Early-phase applicants are 
also required to address one of the other three absolute priorities. 
Applicants addressing Absolute Priority 3 also have the option to 
address Competitive Preference Priority 1. Applicants have the option 
of addressing Competitive Preference Priority 2 and Competitive 
Preference Priority 3 and may opt to do so regardless of the absolute 
priority they select. Applicants may choose to address multiple 
competitive preference priorities.
    ``Absolute Priority 1--Demonstrates a Rationale'' establishes the 
evidence requirement for this tier of grants. All Early-phase 
applicants must submit prior evidence of effectiveness that meets the 
demonstrates a rationale evidence standard.
    ``Absolute Priority 2--Field-Initiated Innovations--General'' 
allows applicants to propose projects that align with the intent of the 
EIR program statute: To create and take to scale entrepreneurial, 
evidence-based, field-initiated innovations to improve student 
achievement and attainment.
    ``Absolute Priority 3--Field-Initiated Innovations--Science, 
Technology, Engineering, or Mathematics (STEM)'' is intended to support 
innovations to improve student achievement and attainment in the STEM 
field, consistent with efforts to ensure our Nation's economic 
competitiveness by improving and expanding STEM learning and 
engagement, including computer science (as defined in this notice).
    In Absolute Priority 3, the Department recognizes the importance of 
funding Pre-Kindergarten (Pre-K) through grade 12 STEM education and 
anticipates that projects would expand opportunities for high-need 
students. Within this absolute priority, the Department includes 
Competitive Preference Priority 1 that focuses on expanding 
opportunities in computer science for underserved populations such as 
minorities, girls, and youth from rural communities and low-income 
families, to help reduce achievement and attainment gaps in a manner 
consistent with nondiscrimination requirements contained in the U.S. 
Constitution and Federal civil rights laws.
    ``Absolute Priority 4--Field-Initiated Innovations--Fostering 
Knowledge and Promoting the Development of Skills That Prepare Students 
To Be Informed, Thoughtful, and Productive Individuals and Citizens'' 
is intended to advance innovation, build evidence, and address the 
learning and achievement of high-need students beginning in Pre-K 
through grade 12. The priority promotes social and emotional learning 
(SEL) skills that prepare students to be informed, thoughtful, and 
productive individuals.
    Competitive Preference Priorities 2 and 3 highlight the 
Administration's acknowledgment of the timely and urgent needs in Pre-
K-12 education related to addressing the impact of the novel 
coronavirus 2019 (COVID-19) and promoting equity.
    ``Competitive Preference Priority 2--Innovative Approaches to 
Addressing the Impact of COVID-19 on Underserved Students and 
Educators'' is intended to encourage applicants to propose projects 
that focus on the needs of underserved students (as defined in this 
notice) most impacted by COVID-

[[Page 40512]]

19. The EIR program statute refers to ``high-needs students.'' In 
addressing the needs of underserved students, the statutory requirement 
for serving ``high-needs students'' can also be addressed.
    The Department seeks innovative strategies under this priority that 
support students' success in the classroom; are delivered by qualified 
individuals (based on requirements established by the applicant) who 
receive adequate training and support; and are aligned with students' 
learning experiences in their classrooms. This includes incorporating 
any innovations and technology practices from the last year that have 
improved student's learning experiences to supplementally support and 
enhance the return to in-person learning.
    ``Competitive Preference Priority 3--Promoting Equity and Adequacy 
in Student Access to Educational Resources and Opportunities'' is 
intended to offer applicants the option of proposing projects that 
promote equity. Improving educational equity and adequacy is a priority 
for the Nation's education system, with particular emphasis on 
supporting underserved students.
    The Department seeks projects that develop and evaluate evidence-
based, field-initiated innovations to remedy the inequities in our 
country's education system. This type of innovation will better enable 
students the access to the educational opportunities they need to 
succeed in school and reach their future goals.
    Through these priorities, the Department intends to advance 
innovation, build evidence, and address the learning and achievement of 
high-need students beginning in Pre-K through grade 12.
    Priorities: This notice includes four absolute priorities and three 
competitive preference priorities. In accordance with 34 CFR 
75.105(b)(2)(ii), Absolute Priority 1 is from the notice of final 
priorities published in the Federal Register on March 9, 2020 (85 FR 
13640) (Administrative Priorities). In accordance with 34 CFR 
75.105(b)(2)(iv), Absolute Priority 2 is from section 4611(a)(1)(A) of 
the ESEA. In accordance with 34 CFR 75.105(b)(2)(iv), Absolute 
Priorities 3 and 4 are from section 4611(a)(1)(A) of the ESEA and the 
Supplemental Priorities and Definitions for Discretionary Grant 
Programs, published in the Federal Register on March 2, 2018 (83 FR 
9096) (Supplemental Priorities). Competitive Preference Priority 1 is 
from the Supplemental Priorities. Competitive Preference Priorities 2 
and 3 are from the Department's notice of final priorities and 
definitions published elsewhere in this issue of the Federal Register 
(NFP).
    In the Early-phase grant competition, Absolute Priorities 2, 3, and 
4 constitute their own funding categories. The Secretary intends to 
award grants under each of these absolute priorities provided that 
applications of sufficient quality are submitted. To ensure that 
applicants are considered for the correct type of grant, applicants 
must clearly identify the specific absolute priority that the proposed 
project addresses. If an entity is interested in proposing separate 
projects (e.g., one that addresses Absolute Priority 2 and another that 
addresses Absolute Priority 3), separate applications must be 
submitted.
    Absolute Priorities: For FY 2021 and any subsequent year in which 
we make awards from the list of unfunded applications from this 
competition, these priorities are absolute priorities. Under 34 CFR 
75.105(c)(3), we consider only applications that meet Absolute Priority 
1 and one additional absolute priority (Absolute Priority 2, Absolute 
Priority 3, or Absolute Priority 4).
    These priorities are:
    Absolute Priority 1--Applications that Demonstrate a Rationale.
    Under this priority, an applicant proposes a project that 
demonstrates a rationale.
    Absolute Priority 2--Field-Initiated Innovations--General.
    Projects that are designed to create, develop, implement, 
replicate, or take to scale entrepreneurial, evidence-based, field-
initiated innovations to improve student achievement and attainment for 
high-need students.
    Absolute Priority 3--Field-Initiated Innovations--Promoting STEM 
Education, With a Particular Focus on Computer Science.
    Projects that are designed to--
    (1) Create, develop, implement, replicate, or take to scale 
entrepreneurial, evidence-based, field-initiated innovations to improve 
student achievement and attainment for high-need students; and
    (2) Improve student achievement or other educational outcomes in 
one or more of the following areas: Science, technology, engineering, 
math, or computer science.
    Absolute Priority 4--Field-Initiated Innovations--Fostering 
Knowledge and Promoting the Development of Skills That Prepare Students 
To Be Informed, Thoughtful, and Productive Individuals and Citizens.
    Projects that are designed to--
    (1) Create, develop, implement, replicate, or take to scale 
entrepreneurial, evidence-based, field-initiated innovations to improve 
student achievement and attainment for high-need students; and
    (2) Improve student academic performance and better prepare 
students for employment, responsible citizenship, and fulfilling lives, 
including by preparing children or students to do one or more of the 
following:
    (a) Develop positive personal relationships with others.
    (b) Develop determination, perseverance, and the ability to 
overcome obstacles.
    (c) Develop self-esteem through perseverance and earned success.
    (d) Develop problem-solving skills.
    (e) Develop self-regulation in order to work toward long-term 
goals.
    Competitive Preference Priorities: For FY 2021 and any subsequent 
year in which we make awards from the list of unfunded applications 
from this competition, these priorities are competitive preference 
priorities. Within Absolute Priority 3, we give competitive preference 
to applications that address Competitive Preference Priority 1. Within 
Absolute Priorities 2, 3, and 4, we give competitive preference to 
applications that address Competitive Preference Priorities 2 or 3.
    These priorities are:
    Competitive Preference Priority 1--Computer Science (up to 5 
points).
    Projects designed to improve student achievement or other 
educational outcomes in computer science. These projects must address 
expanding access to and participation in rigorous computer science 
coursework for traditionally underrepresented students such as racial 
or ethnic minorities, women, students in communities served by rural 
local educational agencies (LEAs) (as defined in this notice), children 
or students with disabilities (as defined in this notice), or low-
income individuals (as defined under section 312(g) of the Higher 
Education Act of 1965, as amended).
    Competitive Preference Priority 2--Innovative Approaches to 
Addressing the Impact of COVID-19 on Underserved Students and Educators 
(up to 5 points).
    Projects designed to address the needs of underserved students and 
educators most impacted by COVID-19 through--
    (a) Engaging in two-way, mutually respectful collaboration with key 
stakeholders, such as families, caretakers, students, educators 
(including teachers, school leaders and other school staff), and 
community

[[Page 40513]]

leaders (including individuals from diverse cultural, linguistic, and 
socioeconomic backgrounds), to assess and understand students' social, 
emotional, physical and mental health, and academic needs, in light of 
historical educational inequities and the impact of the COVID-19 
pandemic; and
    (b) Developing and implementing strategies to address those needs 
through one or more of the following:
    (1) Re-engaging students (and their families) and strengthening 
relationships between educators, students, and families.
    (2) Supporting district- and school-wide use of personalized 
learning (as defined in this notice).
    (3) Utilizing multi-tier system of supports (as defined in this 
notice) and universal design for learning (as defined in this notice).
    (4) Providing educators with professional development (as defined 
in this notice) and resources to use trauma-informed practices.
    (5) Creating or supporting equitable and inclusive learning 
environments in schools.
    (6) Ensuring students have access to additional specialized 
instructional support personnel (as defined in this notice) during 
their school day, at their school site.
    (7) Finding and supporting students experiencing homelessness, 
including those not attending school during the pandemic.
    (8) Providing additional supports to educators to address their 
mental health and well-being and instructional practice needs.
    (9) Providing evidence-based supports and educational opportunities 
to accelerate grade-level student learning (especially for underserved 
students) through in-class learning and additional instructional 
practice, including those supported by technology in ways that do not 
contribute to tracking or remediation, which may include one or both of 
the following:
    (i) High-quality tutoring (as defined in this notice), summer 
learning and enrichment, or opportunities for high-quality expanded 
learning time (as defined in this notice) as well as implementation of 
embedded, high-quality formative assessment to support personalization.
    (ii) Providing targeted supports for high school students to 
prepare for post-secondary education transition and success.
    Competitive Preference Priority 3--Promoting Equity and Adequacy in 
Student Access to Educational Resources and Opportunities (up to 5 
points).
    Projects designed to promote equity in access to critical resources 
for underserved students in prekindergarten through grade 12 through 
one or more of the following:
    (a) Addressing inequities in access to fully certified, 
experienced, and effective teachers through one or more of the 
following activities:
    (1) Improving the preparation, recruitment, early career support, 
and development of teachers in high-need or hard-to-staff schools, 
including strategies that improve teacher diversity.
    (2) Reforming hiring, compensation, and advancement systems.
    (3) Improving the retention of fully certified (including teachers 
certified in the area they are assigned to teach), experienced, and 
effective teachers in districts, schools, and classrooms serving high 
concentrations of underserved students through one or more of the 
following activities:
    (i) Providing comprehensive, high-retention pathways into the 
profession.
    (ii) Creating or enhancing opportunities for teachers' professional 
growth and leadership opportunities.
    (iii) Delivering collaborative, job-embedded, and sustained 
professional development.
    (iv) Improving workplace conditions to create opportunities for 
successful teaching and learning, including through inclusive and 
culturally affirming working environments.
    (b) Addressing inequities in access to and success in rigorous, 
engaging, and culturally and linguistically responsive teaching and 
learning environments that prepare students for college and career 
through one or both of the following activities:
    (1) Increasing access to and success in middle school courses that 
are foundational to advanced coursework in high school; advanced 
courses and programs, including Advanced Placement, International 
Baccalaureate, high-quality dual or concurrent enrollment (as defined 
in this notice), and high-quality early college high school (as defined 
in this notice), programs; high-quality STEM programs; or high-quality 
career and technical education pathways that are integrated into the 
curriculum.
    (2) Developing, and expanding access to, programs designed to 
provide a well-rounded education (as defined in this notice).
    (c) Addressing bias (e.g., implicit and explicit) and creating 
inclusive, supportive learning environments.
    (d) Involving diverse stakeholders to include students, families, 
caretakers, educators (including teachers, school leaders, and other 
staff), and community leaders in State and local education decisions.
    (e) Identifying and addressing, in collaboration with students, 
families, and educators, policies that result in the disproportionate 
use of exclusionary discipline through data collection and analysis 
(including school climate surveys) disaggregated by race, sex, English 
learner, disability status, gender-identity, and sexual orientation, in 
compliance with 20 U.S.C. 1232h and 34 CFR part 98, and other important 
variables.
    (f) Identifying and addressing issues of equity in access to and 
the use of innovative tools, rigorous content, and effective teaching 
and learning practices, including by providing job-embedded 
professional development to educators on strategies for equitably 
integrating educational technology in ways that elevate student 
engagement beyond passive use and over-reliance on drill-and-practice 
to a more robust, creative, and playful medium.
    (g) Addressing policies, practices, and procedures that contribute 
to significant disproportionality in special education or programs for 
English learners based on race or ethnicity.
    (h) Improving the quality of educational programs in juvenile 
justice facilities (such as detention facilities and secure and non-
secure placements) or supporting re-entry after release, by linking 
youth to education or job training programs.
    Definitions: The definitions of ``baseline,'' ``demonstrates a 
rationale,'' ``experimental study,'' ``logic model,'' ``moderate 
evidence,'' ``nonprofit,'' ``performance measure,'' ``performance 
target,'' ``project component,'' ``quasi-experimental design study,'' 
``relevant outcome,'' and ``What Works Clearinghouse Handbooks (WWC 
Handbooks)'' are from 34 CFR 77.1. The definitions of ``children or 
students with disabilities,'' ``computer science,'' and ``rural local 
educational agency'' are from the Supplemental Priorities. The 
definitions of ``dual or concurrent enrollment,'' ``early college high 
school,'' ``evidence-based,'' ``expanded learning time,'' ``local 
educational agency,'' ``multi-tier system of supports,'' ``professional 
development,'' ``specialized instructional support personnel,'' ``State 
educational agency,'' ``universal design for learning,'' and ``well-
rounded education'' are from section 8101 of the ESEA. The definitions 
of ``high-quality tutoring,'' ``personalized learning,'' and 
``underserved students'' are from the NFP.

[[Page 40514]]

    Baseline means the starting point from which performance is 
measured and targets are set.
    Children or students with disabilities means children with 
disabilities as defined in the Individuals with Disabilities Education 
Act (IDEA) or individuals defined as having a disability under Section 
504 of the Rehabilitation Act of 1973 (Section 504) (or children or 
students who are eligible under both laws).
    Computer science means the study of computers and algorithmic 
processes and includes the study of computing principles and theories, 
computational thinking, computer hardware, software design, coding, 
analytics, and computer applications.
    Computer science often includes computer programming or coding as a 
tool to create software, including applications, games, websites, and 
tools to manage or manipulate data; or development and management of 
computer hardware and the other electronics related to sharing, 
securing, and using digital information.
    In addition to coding, the expanding field of computer science 
emphasizes computational thinking and interdisciplinary problem-solving 
to equip students with the skills and abilities necessary to apply 
computation in our digital world.
    Computer science does not include using a computer for everyday 
activities, such as browsing the internet; use of tools like word 
processing, spreadsheets, or presentation software; or using computers 
in the study and exploration of unrelated subjects.
    Demonstrates a rationale means a key project component included in 
the project's logic model is informed by research or evaluation 
findings that suggest the project component is likely to improve 
relevant outcomes.
    Dual or concurrent enrollment means a program offered by a 
partnership between at least one institution of higher education and at 
least one local educational agency through which a secondary school 
student who has not graduated from high school with a regular high 
school diploma is able to enroll in one or more postsecondary courses 
and earn postsecondary credit that--
    (a) Is transferable to the institutions of higher education in the 
partnership; and
    (b) Applies toward completion of a degree or recognized educational 
credential as described in the Higher Education Act of 1965 (20 U.S.C. 
1001 et seq.).
    Early college high school means a partnership between at least one 
local educational agency and at least one institution of higher 
education that allows participants to simultaneously complete 
requirements toward earning a regular high school diploma and earn not 
less than 12 credits that are transferable to the institutions of 
higher education in the partnership as part of an organized course of 
study toward a postsecondary degree or credential at no cost to the 
participant or participant's family.
    Evidence-based means an activity, strategy, or intervention that 
demonstrates a rationale based on high quality research findings or 
positive evaluation that such activity, strategy, or intervention is 
likely to improve student outcomes or other relevant outcomes.
    Expanded learning time means using a longer school day, week, or 
year schedule to significantly increase the total number of school 
hours, in order to include additional time for--
    (a) Activities and instruction for enrichment as part of a well-
rounded education; and
    (b) Instructional and support staff to collaborate, plan, and 
engage in professional development (including professional development 
on family and community engagement) within and across grades and 
subjects.
    Experimental study means a study that is designed to compare 
outcomes between two groups of individuals (such as students) that are 
otherwise equivalent except for their assignment to either a treatment 
group receiving a project component or a control group that does not. 
Randomized controlled trials, regression discontinuity design studies, 
and single-case design studies are the specific types of experimental 
studies that, depending on their design and implementation (e.g., 
sample attrition in randomized controlled trials and regression 
discontinuity design studies), can meet What Works Clearinghouse (WWC) 
standards without reservations as described in the WWC Handbooks:
    (i) A randomized controlled trial employs random assignment of, for 
example, students, teachers, classrooms, or schools to receive the 
project component being evaluated (the treatment group) or not to 
receive the project component (the control group).
    (ii) A regression discontinuity design study assigns the project 
component being evaluated using a measured variable (e.g., assigning 
students reading below a cutoff score to tutoring or developmental 
education classes) and controls for that variable in the analysis of 
outcomes.
    (iii) A single-case design study uses observations of a single case 
(e.g., a student eligible for a behavioral intervention) over time in 
the absence and presence of a controlled treatment manipulation to 
determine whether the outcome is systematically related to the 
treatment.
    High-quality tutoring means tutoring that is based on evidence-
based strategies to support students' success in the classroom 
(provided in addition to, and not as a replacement for, classroom 
teaching); is delivered in individualized or small-group settings; 
reflects differentiated support based on student need; is aligned with 
the district's curriculum and rigorous academic standards; has 
established standards of intensity and dosage based on level of need; 
is delivered by tutors who are well-trained, who are supported with 
resources and personnel (such as a tutor coordinator), and who work 
closely with the student's teacher of record; and includes instruments 
to examine instructional quality and quantity.
    Local educational agency (LEA) means:
    (a) In General. A public board of education or other public 
authority legally constituted within a State for either administrative 
control or direction of, or to perform a service function for, public 
elementary schools or secondary schools in a city, county, township, 
school district, or other political subdivision of a State, or of or 
for a combination of school districts or counties that is recognized in 
a State as an administrative agency for its public elementary schools 
or secondary schools.
    (b) Administrative Control and Direction. The term includes any 
other public institution or agency having administrative control and 
direction of a public elementary school or secondary school.
    (c) Bureau of Indian Education Schools. The term includes an 
elementary school or secondary school funded by the Bureau of Indian 
Education but only to the extent that including the school makes the 
school eligible for programs for which specific eligibility is not 
provided to the school in another provision of law and the school does 
not have a student population that is smaller than the student 
population of the LEA receiving assistance under the ESEA with the 
smallest student population, except that the school shall not be 
subject to the jurisdiction of any State educational agency (SEA) (as 
defined in this notice) other than the Bureau of Indian Education.
    (d) Educational Service Agencies. The term includes educational 
service agencies and consortia of those agencies.

[[Page 40515]]

    (e) State Educational Agency. The term includes the SEA in a State 
in which the SEA is the sole educational agency for all public schools.
    Logic model (also referred to as a theory of action) means a 
framework that identifies key project components of the proposed 
project (i.e., the active ``ingredients'' that are hypothesized to be 
critical to achieving the relevant outcomes) and describes the 
theoretical and operational relationships among the key project 
components and relevant outcomes.
    Moderate evidence means that there is evidence of effectiveness of 
a key project component in improving a relevant outcome for a sample 
that overlaps with the populations or settings proposed to receive that 
component, based on a relevant finding from one of the following:
    (i) A practice guide prepared by the WWC using version 2.1, 3.0, 
4.0, or 4.1 of the WWC Handbooks reporting a ``strong evidence base'' 
or ``moderate evidence base'' for the corresponding practice guide 
recommendation;
    (ii) An intervention report prepared by the WWC using version 2.1, 
3.0, 4.0, or 4.1 of the WWC Handbooks reporting a ``positive effect'' 
or ``potentially positive effect'' on a relevant outcome based on a 
``medium to large'' extent of evidence, with no reporting of a 
``negative effect'' or ``potentially negative effect'' on a relevant 
outcome; or
    (iii) A single experimental study or quasi-experimental design 
study reviewed and reported by the WWC using version 2.1, 3.0, 4.0, or 
4.1 of the WWC Handbooks, or otherwise assessed by the Department using 
version 4.1 of the WWC Handbook, as appropriate, and that--
    (A) Meets WWC standards with or without reservations;
    (B) Includes at least one statistically significant and positive 
(i.e., favorable) effect on a relevant outcome;
    (C) Includes no overriding statistically significant and negative 
effects on relevant outcomes reported in the study or in a 
corresponding WWC intervention report prepared under version 2.1, 3.0, 
4.0, or 4.1 of the WWC Handbooks; and
    (D) Is based on a sample from more than one site (e.g., State, 
county, city, school district, or postsecondary campus) and includes at 
least 350 students or other individuals across sites. Multiple studies 
of the same project component that each meet requirements in paragraphs 
(iii)(A), (B), and (C) of this definition may together satisfy this 
requirement.
    Multi-tier system of supports means a comprehensive continuum of 
evidence-based, systemic practices to support a rapid response to 
students' needs, with regular observation to facilitate data-based 
instructional decision-making.
    Nonprofit, as applied to an agency, organization, or institution, 
means that it is owned and operated by one or more corporations or 
associations whose net earnings do not benefit, and cannot lawfully 
benefit, any private shareholder or entity.
    Performance measure means any quantitative indicator, statistic, or 
metric used to gauge program or project performance.
    Performance target means a level of performance that an applicant 
would seek to meet during the course of a project or as a result of a 
project.
    Personalized learning means instruction that is aligned with 
rigorous college- and career-ready standards so that the pace of 
learning and the instructional approach are tailored to the needs of 
individual learners. Learning objectives and content, as well as the 
pace, may all vary depending on a learner's needs. Personalized 
learning may also draw on a number of student-centered blended learning 
models (e.g., competency-based education, project-based learning, 
universal design for learning). In addition, learning activities are 
aligned with specific interests of each learner. Data from a variety of 
sources (including formative assessments, student feedback, and 
progress in digital learning activities), along with teacher 
recommendations, are often used to personalize learning.
    Professional development means activities that--
    (i) Are an integral part of school and local educational agency 
strategies for providing educators (including teachers, principals, 
other school leaders, specialized instructional support personnel, 
paraprofessionals, and, as applicable, early childhood educators) with 
the knowledge and skills necessary to enable students to succeed in a 
well-rounded education and to meet the challenging State academic 
standards; and
    (ii) Are sustained (not stand-alone, 1-day, or short term 
workshops), intensive, collaborative, job-embedded, data-driven, and 
classroom-focused, and may include activities that--
    (A) Improve and increase teachers' knowledge of the academic 
subjects the teachers teach; understanding of how students learn; and 
ability to analyze student work and achievement from multiple sources, 
including how to adjust instructional strategies, assessments, and 
materials based on such analysis;
    (B) Are an integral part of broad schoolwide and districtwide 
educational improvement plans;
    (C) Allow personalized plans for each educator to address the 
educator's specific needs identified in observation or other feedback;
    (D) Improve classroom management skills;
    (E) Support the recruitment, hiring, and training of effective 
teachers, including teachers who became certified through State and 
local alternative routes to certification;
    (F) Advance teacher understanding of effective instructional 
strategies that are evidence-based; and strategies for improving 
student academic achievement or substantially increasing the knowledge 
and teaching skills of teachers;
    (G) Are aligned with, and directly related to, academic goals of 
the school or local educational agency;
    (H) Are developed with extensive participation of teachers, 
principals, other school leaders, parents, representatives of Indian 
tribes (as applicable), and administrators of schools to be served 
under the ESEA;
    (I) Are designed to give teachers of English learners, and other 
teachers and instructional staff, the knowledge and skills to provide 
instruction and appropriate language and academic support services to 
those children, including the appropriate use of curricula and 
assessments;
    (J) To the extent appropriate, provide training for teachers, 
principals, and other school leaders in the use of technology 
(including education about the harms of copyright piracy), so that 
technology and technology applications are effectively used in the 
classroom to improve teaching and learning in the curricula and 
academic subjects in which the teachers teach;
    (K) As a whole, are regularly evaluated for their impact on 
increased teacher effectiveness and improved student academic 
achievement, with the findings of the evaluations used to improve the 
quality of professional development;
    (L) Are designed to give teachers of children with disabilities or 
children with developmental delays, and other teachers and 
instructional staff, the knowledge and skills to provide instruction 
and academic support services, to those children, including positive 
behavioral interventions and supports, multi-tier system of supports, 
and use of accommodations;

[[Page 40516]]

    (M) Include instruction in the use of data and assessments to 
inform and instruct classroom practice;
    (N) Include instruction in ways that teachers, principals, other 
school leaders, specialized instructional support personnel, and school 
administrators may work more effectively with parents and families;
    (O) Involve the forming of partnerships with institutions of higher 
education, including, as applicable, Tribal Colleges and Universities 
as defined in section 316(b) of the Higher Education Act of 1965 (20 
U.S.C. 1059c(b)), to establish school-based teacher, principal, and 
other school leader training programs that provide prospective 
teachers, novice teachers, principals, and other school leaders with an 
opportunity to work under the guidance of experienced teachers, 
principals, other school leaders, and faculty of such institutions;
    (P) Create programs to enable paraprofessionals (assisting teachers 
employed by a local educational agency receiving assistance under part 
A of title I) to obtain the education necessary for those 
paraprofessionals to become certified and licensed teachers;
    (Q) Provide follow-up training to teachers who have participated in 
activities described in this paragraph that are designed to ensure that 
the knowledge and skills learned by the teachers are implemented in the 
classroom; and
    (R) Where practicable, provide jointly for school staff and other 
early childhood education program providers, to address the transition 
to elementary school, including regular issues related to school 
readiness.
    Project component means an activity, strategy, intervention, 
process, product, practice, or policy included in a project. Evidence 
may pertain to an individual project component or to a combination of 
project components (e.g., training teachers on instructional practices 
for English learners and follow-on coaching for these teachers).
    Quasi-experimental design study means a study using a design that 
attempts to approximate an experimental study by identifying a 
comparison group that is similar to the treatment group in important 
respects. This type of study, depending on design and implementation 
(e.g., establishment of baseline equivalence of the groups being 
compared), can meet WWC standards with reservations, but cannot meet 
WWC standards without reservations, as described in the WWC Handbooks.
    Relevant outcome means the student outcome(s) or other outcome(s) 
the key project component is designed to improve, consistent with the 
specific goals of the program.
    Rural local educational agency means a local educational agency 
that is eligible under the Small Rural School Achievement (SRSA) 
program or the Rural and Low-Income School (RLIS) program authorized 
under Title V, Part B of the ESEA. Eligible applicants may determine 
whether a particular district is eligible for these programs by 
referring to information on the Department's website at https://oese.ed.gov/files/2021/05/FY2021_Master_Eligibility_Spreadsheet-public51221.xlsx.
    Specialized instructional support personnel means--
    (a) School counselors, school social workers, and school 
psychologists; and
    (b) Other qualified professional personnel, such as school nurses, 
speech language pathologists, and school librarians, involved in 
providing assessment, diagnosis, counseling, educational, therapeutic, 
and other necessary services (including related services as that term 
is defined in section 602 of the Individuals with Disabilities 
Education Act (20 U.S.C. 1401)) as part of a comprehensive program to 
meet student needs.
    State educational agency (SEA) means the agency primarily 
responsible for the State supervision of public elementary schools and 
secondary schools.
    Underserved students means high-need students as determined by the 
applicant, which may include one or more of the following:
    (a) Students who are living in poverty, especially those students 
who are also served by schools with high concentrations of students 
living in poverty.
    (b) Students of color.
    (c) Students who are members of federally recognized Indian Tribes.
    (d) English learners.
    (e) Students with disabilities, including students served under the 
Individuals with Disabilities Education Act and Section 504 of the 
Rehabilitation Act of 1973.
    (f) Disconnected youth, including but not limited to (1) students 
who lost significant amounts of in-person instruction as a result of 
the COVID-19 pandemic, and (2) students who did not consistently 
participate in remote instruction when offered during school building 
closures.
    (g) Migrant students.
    (h) Students experiencing homelessness.
    (i) Lesbian, gay, bisexual, transgender, and queer (LGBTQ+) 
students.
    (j) Students in foster care.
    (k) Students without documentation of immigration status.
    (l) Pregnant, parenting, or caregiving students.
    (m) Students impacted by the justice system including formerly 
incarcerated students.
    (n) Students who are the first in their family to attend 
postsecondary education.
    (o) Students enrolling in or seeking to enroll in postsecondary 
education for the first time at the age of 20 or older.
    (p) Students who are working full-time while enrolling in 
postsecondary education.
    (q) Students who are enrolling in or seeking to enroll in 
postsecondary education who are eligible for a Pell Grant.
    (r) Adult students with low skills, including those with limited 
English proficiency.
    Universal design for learning means a scientifically valid 
framework for guiding educational practice that--
    (a) Provides flexibility in the ways information is presented, in 
the ways students respond or demonstrate knowledge and skills, and in 
the ways students are engaged; and
    (b) Reduces barriers in instruction, provides appropriate 
accommodations, supports, and challenges, and maintains high 
achievement expectations for all students, including students with 
disabilities and students who are limited English proficient.
    Well-rounded education means courses, activities, and programming 
in subjects such as English, reading or language arts, writing, 
science, technology, engineering, mathematics, foreign languages, 
civics and government, economics, arts, history, geography, computer 
science, music, career and technical education, health, physical 
education, and any other subject, as determined by the State or local 
educational agency, with the purpose of providing all students access 
to an enriched curriculum and educational experience.
    What Works Clearinghouse Handbooks (WWC Handbooks) means the 
standards and procedures set forth in the WWC Standards Handbook, 
Versions 4.0 or 4.1, and WWC Procedures Handbook, Versions 4.0 or 4.1, 
or in the WWC Procedures and Standards Handbook, Version 3.0 or Version 
2.1 (all incorporated by reference, see Sec.  77.2). Study findings 
eligible for review under WWC standards can meet WWC standards without 
reservations, meet WWC standards with reservations, or not meet WWC 
standards. WWC practice guides

[[Page 40517]]

and intervention reports include findings from systematic reviews of 
evidence as described in the WWC Handbooks documentation.

    Note: The What Works Clearinghouse Procedures and Standards 
Handbooks are available at https://ies.ed.gov/ncee/wwc/Handbooks.

    Program Authority: 20 U.S.C. 7261.

    Note: Projects will be awarded and must be operated in a manner 
consistent with the nondiscrimination requirements contained in 
Federal civil rights laws.

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

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

II. Award Information

    Type of Award: Discretionary grants.
    Estimated Available Funds: $180,000,000.
    These estimated available funds are the total available for all 
three types of grants under the EIR program (Early-phase, Mid-phase, 
and Expansion grants).
    Contingent upon the availability of funds and the quality of 
applications, we may make additional awards in subsequent years from 
the list of unfunded applications from this competition.
    Estimated Average Size of Awards: Up to $4,000,000.
    Maximum Award: We will not make an award exceeding $4,000,000 for a 
project period of 60 months. The Department intends to fund one or more 
projects under each of the EIR competitions, including Expansion 
(84.411A), Mid-phase (84.411B), and Early-phase (84.411C). Entities may 
submit applications for different projects for more than one 
competition (Early-phase, Mid-phase, and Expansion). The maximum award 
amount a grantee may receive under these three competitions, taken 
together, is $15,000,000. If an entity is within funding range for 
multiple applications, the Department will award the highest scoring 
applications up to $15,000,000.
    Estimated Number of Awards: 12-23.

    Note: The Department is not bound by any estimates in this 
notice.

    Project Period: Up to 60 months.

    Note: Under section 4611(c) of the ESEA, the Department must use 
at least 25 percent of EIR funds for a fiscal year to make awards to 
applicants serving rural areas, contingent on receipt of a 
sufficient number of applications of sufficient quality. For 
purposes of this competition, we will consider an applicant as rural 
if the applicant meets the qualifications for rural applicants as 
described in the Eligible Applicants section and the applicant 
certifies that it meets those qualifications through the 
application.

    In implementing this statutory provision and program requirement, 
the Department may fund high-quality applications from rural applicants 
out of rank order in the Early-phase competition.
    In addition, for the FY 2021 Early-phase competition, the 
Department intends to award an estimated $35 million in funds for STEM 
projects and $35 million in funds for SEL projects, contingent on 
receipt of a sufficient number of applications of sufficient quality.

III. Eligibility Information

    1. Eligible Applicants:
    (a) An LEA;
    (b) An SEA;
    (c) The Bureau of Indian Education (BIE);
    (d) A consortium of SEAs or LEAs;
    (e) A nonprofit (as defined in this notice) organization; and
    (f) An LEA, an SEA, the BIE, or a consortium described in clause 
(d), in partnership with--
    (1) A nonprofit organization;
    (2) A business;
    (3) An educational service agency; or
    (4) An IHE.
    To qualify as a rural applicant under the EIR program, an applicant 
must meet both of the following requirements:
    (a) The applicant is--
    (1) An LEA with an urban-centric district locale code of 32, 33, 
41, 42, or 43, as determined by the Secretary;
    (2) A consortium of such LEAs;
    (3) An educational service agency or a nonprofit organization in 
partnership with such an LEA; or
    (4) A grantee described in clause (1) or (2) in partnership with an 
SEA; and
    (b) A majority of the schools to be served by the program are 
designated with a locale code of 32, 33, 41, 42, or 43, or a 
combination of such codes, as determined by the Secretary.
    Applicants are encouraged to retrieve locale codes from the 
National Center for Education Statistics School District search tool 
(https://nces.ed.gov/ccd/districtsearch/), where districts can be 
looked up individually to retrieve locale codes, and Public School 
search tool (https://nces.ed.gov/ccd/schoolsearch/), where individual 
schools can be looked up to retrieve locale codes. More information on 
rural applicant eligibility is in the application package.

    Note: If you are a nonprofit organization, under 34 CFR 75.51, 
you may demonstrate your nonprofit status by providing: (1) Proof 
that the Internal Revenue Service currently recognizes the applicant 
as an organization to which contributions are tax deductible under 
section 501(c)(3) of the Internal Revenue Code, (2) a statement from 
a State taxing body or the State attorney general certifying that 
the organization is a nonprofit organization operating within the 
State and that no part of its net earnings may lawfully benefit any 
private shareholder or individual, (3) a certified copy of the 
applicant's certificate of incorporation or similar document if it 
clearly establishes the nonprofit status of the applicant, or (4) 
any item described above if that item applies to a State or national 
parent organization, together with a statement by the State or 
parent organization that the applicant is a local nonprofit 
affiliate.

    In addition, any IHE is eligible to be a partner in an application 
where an LEA, SEA, BIE, consortium of SEAs or LEAs, or a nonprofit 
organization is the lead applicant that submits the application. A 
private IHE that is a nonprofit organization can apply for an EIR 
grant. A nonprofit organization, such as a development foundation, that 
is affiliated with a public IHE can apply for a grant. A public IHE 
that has 501(c)(3) status would also qualify as a nonprofit 
organization and could be a lead applicant for an EIR grant. A public 
IHE without 501(c)(3) status (even if that entity is tax exempt under 
Section 115 of the Internal Revenue Code or any other State or Federal 
provision), or that could not provide any other documentation described 
in 34 CFR 75.51(b), however, would not qualify as a nonprofit 
organization, and therefore could not apply for and receive an EIR 
grant.
    2. Cost Sharing or Matching: Under section 4611(d) of the ESEA, 
each grant recipient must provide, from Federal, State, local, or 
private sources, an amount equal to 10 percent of funds provided under 
the grant, which may be provided in cash or through in-kind 
contributions, to carry out activities supported by the grant. Grantees 
must include a budget showing their matching contributions to the 
budget amount of EIR grant funds and must

[[Page 40518]]

provide evidence of their matching contributions for the first year of 
the grant in their grant applications. Section 4611(d) of the ESEA also 
authorizes the Secretary to waive this matching requirement on a case-
by-case basis, upon a showing of exceptional circumstances, such as:
    (a) The difficulty of raising matching funds for a program to serve 
a rural area;
    (b) The difficulty of raising matching funds in areas with a 
concentration of LEAs or schools with a high percentage of students 
aged 5 through 17--
    (1) Who are in poverty, as counted in the most recent census data 
approved by the Secretary;
    (2) Who are eligible for a free or reduced price lunch under the 
Richard B. Russell National School Lunch Act (42 U.S.C. 1751 et seq.);
    (3) Whose families receive assistance under the State program 
funded under part A of title IV of the Social Security Act (42 U.S.C. 
601 et seq.); or
    (4) Who are eligible to receive medical assistance under the 
Medicaid program; and
    (c) The difficulty of raising funds on Tribal land.
    Applicants that wish to apply for a waiver must include a request 
in their application that describes why the matching requirement would 
cause serious hardship or an inability to carry out project activities. 
Further information about applying for waivers can be found in the 
application package. However, given the importance of matching funds to 
the long-term success of the project, the Secretary expects eligible 
entities to identify appropriate matching funds.
    3. Subgrantees: A grantee under this competition may not award 
subgrants to entities to directly carry out project activities 
described in its application.
    4. Other: a. Funding Categories: An applicant will be considered 
for an award only for the type of EIR grant for which it applies (i.e., 
Early-phase: Absolute Priority 2, Early-phase: Absolute Priority 3, or 
Early-phase: Absolute Priority 4). An applicant may not submit an 
application for the same proposed project under more than one type of 
grant (e.g., both an Early-phase grant and Mid-phase grant).

    Note: Each application will be reviewed under the competition it 
was submitted under in the Grants.gov system, and only applications 
that are successfully submitted by the established deadline will be 
peer reviewed. Applicants should be careful that they download the 
intended EIR application package and that they submit their 
applications under the intended EIR competition.

    b. Evaluation: The grantee must conduct an independent evaluation 
of the effectiveness of its project.
    c. High-need students: The grantee must serve high-need students.

IV. Application and Submission Information

    1. Application Submission Instructions: Applicants are required to 
follow the Common Instructions for Applicants to Department of 
Education Discretionary Grant Programs, published in the Federal 
Register on February 13, 2019 (84 FR 3768) and available at 
www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf, which 
contain requirements and information on how to submit an application.
    2. Submission of Proprietary Information: Given the types of 
projects that may be proposed in applications for Early-phase grants, 
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).
    3. Intergovernmental Review: This competition is subject to 
Executive Order 12372 and the regulations in 34 CFR part 79. 
Information about Intergovernmental Review of Federal Programs under 
Executive Order 12372 is in the application package for this 
competition.
    4. Funding Restrictions: We reference regulations outlining funding 
restrictions in the Applicable Regulations section of this notice.
    5. Recommended Page Limit: The application narrative is where you, 
the applicant, address the selection criteria that reviewers use to 
evaluate your application. We recommend that you (1) limit the 
application narrative for an Early-phase grant to no more than 25 pages 
and (2) use the following standards:
    <bullet> A ``page'' is 8.5'' x 11'', on one side only, with 1'' 
margins at the top, bottom, and both sides.
    <bullet> 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.
    <bullet> Use a font that is either 12 point or larger or no smaller 
than 10 pitch (characters per inch).
    <bullet> Use one of the following fonts: Times New Roman, Courier, 
Courier New, or Arial.
    The recommended page limit does not apply to the cover sheet; the 
budget section, including the narrative budget justification; the 
assurances and certifications; or the one-page abstract, the resumes, 
the bibliography, or the letters of support. However, the recommended 
page limit does apply to all of the application narrative.
    6. Notice of Intent to Apply: The Department will be able to review 
grant applications more efficiently if we know the approximate number 
of applicants that intend to apply. Therefore, we strongly encourage 
each potential applicant to notify us of their intent to submit an 
application. Applicants may access this form using the link available 
on the Notice of Intent to Apply section of the competition website: 
https://oese.ed.gov/offices/office-of-discretionary-grants-support-services/innovation-early-learning/education-innovation-and-research-eir. Applicants that do not submit a notice of intent to apply may 
still apply for funding; applicants that do submit a notice of intent 
to apply are not bound to apply or bound by the information provided.

V. Application Review Information

    1. Selection Criteria: The selection criteria for the Early-phase 
competition are from 34 CFR 75.210. The points assigned to each 
criterion are indicated in the parentheses next to the criterion. An 
applicant may earn up to a total of 100 points based on the selection 
criteria for the application.
    A. Significance (up to 20 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 extent to which the proposed project involves the 
development or demonstration of promising new strategies that build on, 
or are alternatives to, existing strategies. (15 points)

[[Page 40519]]

    (2) The extent to which the results of the proposed project are to 
be disseminated in ways that will enable others to use the information 
or strategies. (5 points)
    B. Quality of the Project Design (up to 30 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:
    (1) The extent to which there is a conceptual framework underlying 
the proposed research or demonstration activities and the quality of 
that framework. (15 points)
    (2) The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable. 
(5 points)
    (3) 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. (10 points)
    C. Adequacy of Resources and Quality of the Management Plan (up to 
25 points).
    The Secretary considers the adequacy of resources and the quality 
of the management plan for the proposed project. In determining the 
adequacy of resources and quality of the management plan, 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. (10 points)
    (2) The qualifications, including relevant training and experience, 
of key project personnel. (5 points)
    (3) The extent to which the costs are reasonable in relation to the 
objectives, design, and potential significance of the proposed project. 
(5 points)
    (4) The adequacy of procedures for ensuring feedback and continuous 
improvement in the operation of the proposed project. (5 points)
    D. Quality of the Project Evaluation (up to 25 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 will, if well 
implemented, produce evidence about the project's effectiveness that 
would meet the What Works Clearinghouse standards with or without 
reservations as described in the What Works Clearinghouse Handbook (as 
defined in this notice). (15 points)
    (2) The extent to which the methods of evaluation will provide 
performance feedback and permit periodic assessment of progress toward 
achieving intended outcomes. (5 points)
    (3) The potential contribution of the proposed project to increased 
knowledge or understanding of educational problems, issues, or 
effective strategies. (5 points)

    Note: Applicants may wish to review the following technical 
assistance resources on evaluation: (1) WWC Procedures and Standards 
Handbooks: https://ies.ed.gov/ncee/wwc/Handbooks; (2) ``Technical 
Assistance Materials for Conducting Rigorous Impact Evaluations'': 
http://ies.ed.gov/ncee/projects/evaluationTA.asp; and (3) IES/NCEE 
Technical Methods papers: http://ies.ed.gov/ncee/tech_methods/. In 
addition, applicants may view an optional webinar recording that was 
hosted by the Institute of Education Sciences. The webinar focused 
on more rigorous evaluation designs, discussing strategies for 
designing and executing experimental studies that meet WWC evidence 
standards without reservations. This webinar is available at: http://ies.ed.gov/ncee/wwc/Multimedia/18.

    2. Review and Selection Process: 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 
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 
(34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).
    Before making awards, we will screen applications submitted in 
accordance with the requirements in this notice to determine whether 
applications have met eligibility and other requirements. This 
screening process may occur at various stages of the process; 
applicants that are determined to be ineligible will not receive a 
grant, regardless of peer reviewer scores or comments.
    Peer reviewers will read, prepare a written evaluation of, and 
score the assigned applications, using the selection criteria provided 
in this notice.
    3. Risk Assessment and Specific Conditions: Consistent with 2 CFR 
200.206, before awarding grants under this competition the Department 
conducts a review of the risks posed by applicants. Under 2 CFR 
200.208, the Secretary may impose specific conditions and, under 2 CFR 
3474.10, in appropriate circumstances, high-risk conditions on a grant 
if the applicant or grantee is not financially stable; has a history of 
unsatisfactory performance; has a financial or other management system 
that does not meet the standards in 2 CFR part 200, subpart D; has not 
fulfilled the conditions of a prior grant; or is otherwise not 
responsible.
    4. Integrity and Performance System: If you are selected under this 
competition to receive an award that over the course of the project 
period may exceed the simplified acquisition threshold (currently 
$250,000), under 2 CFR 200.206(a)(2), we must make a judgment about 
your integrity, business ethics, and record of performance under 
Federal awards--that is, the risk posed by you as an applicant--before 
we make an award. In doing so, we must consider any information about 
you that is in the integrity and performance system (currently referred 
to as the Federal Awardee Performance and Integrity Information System 
(FAPIIS)), accessible through the System for Award Management. You may 
review and comment on any information about yourself that a Federal 
agency previously entered and that is currently in FAPIIS.
    Please note that, if the total value of your currently active 
grants, cooperative agreements, and procurement contracts from the 
Federal Government exceeds $10,000,000, the reporting requirements in 2 
CFR part 200, Appendix XII, require you to report certain integrity 
information to FAPIIS semiannually. Please review the requirements in 2 
CFR part 200, Appendix XII, if this grant plus all the other Federal 
funds you receive exceed $10,000,000.
    5. In General: In accordance with the Office of Management and 
Budget's guidance located at 2 CFR part 200, all applicable Federal 
laws, and relevant Executive guidance, the Department will review and 
consider applications for funding pursuant to this notice inviting 
applications in accordance with:
    (a) Selecting recipients most likely to be successful in delivering 
results based on the program objectives through an objective process of 
evaluating Federal award applications (2 CFR 200.205);
    (b) Prohibiting the purchase of certain telecommunication and video 
surveillance services or equipment in alignment with section 889 of the 
National Defense Authorization Act of 2019 (Pub. L. 115-232) (2 CFR 
200.216);

[[Page 40520]]

    (c) Providing a preference, to the extent permitted by law, to 
maximize use of goods, products, and materials produced in the United 
States (2 CFR 200.322); and
    (d) Terminating agreements in whole or in part to the greatest 
extent authorized by law if an award no longer effectuates the program 
goals or agency priorities (2 CFR 200.340).

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. Open Licensing Requirements: Unless an exception applies, if you 
are awarded a grant under this competition, you will be required to 
openly license to the public grant deliverables created in whole, or in 
part, with Department grant funds. When the deliverable consists of 
modifications to pre-existing works, the license extends only to those 
modifications that can be separately identified and only to the extent 
that open licensing is permitted under the terms of any licenses or 
other legal restrictions on the use of pre-existing works. 
Additionally, a grantee or subgrantee that is awarded Early-phase grant 
funds must have a plan to disseminate these public grant deliverables. 
This dissemination plan can be developed and submitted after your 
application has been reviewed and selected for funding. For additional 
information on the open licensing requirements please refer to 2 CFR 
3474.20.

    Note:  The evaluation report is a specific deliverable under an 
Early-phase grant that grantees must make available to the public. 
Additionally, EIR grantees are encouraged to submit final studies 
resulting from research supported in whole or in part by EIR to the 
Educational Resources Information Center (http://eric.ed.gov).

    4. Reporting: (a) If you apply for a grant under this competition, 
you must ensure that you have in place the necessary processes and 
systems to comply with the reporting requirements in 2 CFR part 170 
should you receive funding under the competition. This does not apply 
if you have an exception under 2 CFR 170.110(b).
    (b) At the end of your project period, you must submit a final 
performance report, including financial information, as directed by the 
Secretary. If you receive a multiyear award, you must submit 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 reporting, 
please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.
    (c) Under 34 CFR 75.250(b), the Secretary may provide a grantee 
with additional funding for data collection analysis and reporting. In 
this case the Secretary establishes a data collection period.
    5. Performance Measures: The overall purpose of the EIR program is 
to expand the implementation of, and investment in, innovative 
practices that are demonstrated to have an impact on improving student 
achievement and attainment for high-need students. We have established, 
for the purpose of the Government Performance and Results Act of 1993 
(GPRA), several performance measures (as defined in this notice) for 
the Early-phase grants.
    Annual performance measures: (1) The percentage of grantees that 
reach their annual target number of students as specified in the 
application; (2) the percentage of grantees that reach their annual 
target number of high-need students as specified in the application; 
(3) the percentage of grantees with ongoing well-designed and 
independent evaluations that will provide evidence of their 
effectiveness at improving student outcomes in multiple contexts; (4) 
the percentage of grantees that implement an evaluation that provides 
information about the key practices and the approach of the project so 
as to facilitate replication; (5) the percentage of grantees that 
implement an evaluation that provides information on the cost-
effectiveness of the key practices to identify potential obstacles and 
success factors to scaling; and (6) the cost per student served by the 
grant.
    Cumulative performance measures: (1) The percentage of grantees 
that reach the targeted number of students specified in the 
application; (2) the percentage of grantees that reach the targeted 
number of high-need students specified in the application; (3) the 
percentage of grantees that implement a completed, well-designed, well-
implemented and independent evaluation that provides evidence of their 
effectiveness at improving student outcomes at scale; (4) the 
percentage of grantees with a completed well-designed, well-
implemented, and independent evaluation that provides information about 
the key elements and the approach of the project so as to facilitate 
replication or testing in other settings; (5) the percentage of 
grantees with a completed evaluation that provided information on the 
cost-effectiveness of the key practices to identify potential obstacles 
and success factors to scaling; and (6) the cost per student served by 
the grant.
    Project-Specific Performance Measures: Applicants must propose 
project-specific performance measures and performance targets (as 
defined in this notice) consistent with the objectives of the proposed 
project. Applications must provide the following information as 
directed under 34 CFR 75.110(b) and (c):
    (1) Performance measures. How each proposed performance measure 
would accurately measure the performance of the project and how the 
proposed performance measure would be consistent with the performance 
measures established for the program funding the competition.
    (2) Baseline (as defined in this notice) data. (i) Why each 
proposed baseline is valid; or (ii) if the applicant has determined 
that there are no established baseline data for a particular 
performance measure, an explanation of why there is no established 
baseline and of how and when, during the project period, the applicant 
would establish a valid baseline for the performance measure.
    (3) Performance targets. Why each proposed performance target is 
ambitious yet achievable compared to the baseline for the performance 
measure and when, during the project period, the applicant would meet 
the performance target(s).
    (4) Data collection and reporting. (i) The data collection and 
reporting methods the applicant would use and why those methods are 
likely to yield reliable, valid, and meaningful performance data; and 
(ii) the applicant's capacity to collect and report reliable, valid, 
and meaningful

[[Page 40521]]

performance data, as evidenced by high-quality data collection, 
analysis, and reporting in other projects or research.
    All grantees must submit an annual performance report with 
information that is responsive to these performance measures.
    6. Continuation Awards: In making a continuation award under 34 CFR 
75.253, the Secretary considers, among other things: Whether a grantee 
has made substantial progress in achieving the goals and objectives of 
the project; whether the grantee has expended funds in a manner that is 
consistent with its approved application and budget; and, if the 
Secretary has established performance measurement requirements, whether 
the grantee has made substantial progress in achieving the performance 
targets in the grantee's approved application.
    In making a continuation award, 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. 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 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.

Ian Rosenblum,
Deputy Assistant Secretary for Policy and Programs Delegated the 
Authority to Perform the Functions and Duties of the Assistant 
Secretary, Office of Elementary and Secondary Education.
[FR Doc. 2021-16099 Filed 7-27-21; 8:45 am]
BILLING CODE 4000-01-P


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