[Federal Register Volume 86, Number 107 (Monday, June 7, 2021)]
[Notices]
[Pages 30292-30302]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-11940]


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DEPARTMENT OF EDUCATION


Applications for New Awards; Education Innovation and Research 
(EIR) Program--Mid-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--
Mid-phase Grants, Assistance Listing Number 84.411B (Mid-phase Grants). 
This notice relates to the approved information collection under OMB 
control number 1894-0006.

DATES: 
    Applications Available: June 7, 2021.
    Deadline for Notice of Intent to Apply: June 28, 2021.
    Deadline for Transmittal of Applications: July 7, 2021.
    Deadline for Intergovernmental Review: September 7, 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#6e0b071c2e0b0a40090118"><span class="__cf_email__" data-cfemail="bcd9d5cefcd9d892dbd3ca">[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, 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.
    Mid-phase grants are supported by moderate evidence (as defined in 
this notice). The Department expects that Mid-phase grants will be used 
to fund implementation and a rigorous evaluation of a program that has 
been successfully implemented under an Early-phase grant or other 
effort meeting similar criteria, for the purpose of measuring the 
program's impact and cost-effectiveness, if possible using existing 
administrative data.
    This notice invites applications for Mid-phase grants only. The 
notice inviting applications for Expansion grants is published 
elsewhere in this issue of the Federal Register. The notice inviting 
applications for Early-phase grants will be published in the Federal 
Register at a later date.
    Background: While this notice is for the Mid-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

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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.
    Mid-phase projects are expected to refine and expand the use of 
practices with prior evidence of effectiveness in order to improve 
outcomes for high-need students. They are also expected to generate 
important information about an intervention's effectiveness, including 
for whom and in which contexts a practice is most effective, as well as 
cost-effectiveness. Mid-phase projects are uniquely positioned to help 
answer critical questions about the process of scaling a practice to 
the regional or national levels (as defined in this notice) across 
geographies. Mid-phase grantees are encouraged to consider how the cost 
structure of a practice can change as the intervention scales. 
Additionally, grantees may want to consider multiple ways to facilitate 
implementation fidelity without making scaling too onerous.
    Mid-phase applicants are encouraged to design an evaluation that 
has the potential to meet the strong evidence (as defined in this 
notice) threshold. Mid-phase grantees should measure the cost 
effectiveness of their practices using administrative or other readily 
available data. These types of efforts are critical to sustaining and 
scaling EIR-funded effective practices after the EIR grant period ends, 
assuming that the practice has positive effects on important student 
outcomes. In order to support adoption or replication by other 
entities, the evaluation of a Mid-phase project should identify and 
codify the core elements of the EIR-supported practice that the project 
implements, and examine the effectiveness of the project for any new 
populations or settings that are included in the project. 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 Mid-phase competition includes four absolute 
priorities, one competitive preference priority, and two invitational 
priorities. All Mid-phase applicants must address Absolute Priority 1. 
Mid-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 the competitive preference priority. 
Applicants have the option of addressing one or more of the 
invitational priorities and may opt to do so regardless of the absolute 
priority they select.
    Absolute Priority 1--Moderate Evidence establishes the evidence 
requirement for this tier of grants. All Mid-phase applicants must 
submit prior evidence of effectiveness that meets the moderate 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 a 
competitive preference priority 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.
    The two invitational priorities 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.
    Invitational Priority 1--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 most impacted by COVID-19. COVID-19 has caused 
unprecedented disruption in schools across the country and drawn 
renewed attention to the ongoing challenges for underserved students. 
In response to the pandemic, educators have mobilized and continue to 
address the needs of all students. Researchers and educators are now 
working to understand and address the impact of inconsistent access to 
instruction, services, and supports, and other challenges.
    State educational agencies (SEAs), local educational agencies 
(LEAs), and nonprofit organizations play essential roles in building 
capacity at the State and local level that both respond to current 
crises, and also create the systems and structures to support long-term 
change. The Department is interested in projects that develop and 
evaluate evidence-based, field-initiated innovations for addressing the 
impact of COVID-19 in ways that accelerate learning for students and 
address

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students' social, emotional, physical and mental health, and academic 
needs, with a focus on targeting resources and supports to underserved 
students. 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.
    Projects that include collaboration with key stakeholders are 
particularly encouraged to understand and support students' needs by 
addressing historical educational inequities and the impact of the 
COVID-19 pandemic (namely, the interruption of traditional patterns of 
education due to school closures and the disproportionate social, 
emotional, physical and mental health, and academic impacts on 
particular student groups). Examples might include re-engaging students 
by implementing and continuously improving student-centered, 
technology-enabled learning models, utilizing multi-tier systems of 
support, providing trauma-informed practice, leveraging embedded 
diagnostic or formative assessments to personalize learning, and 
providing other evidence-based supports and educational opportunities 
to accelerate grade-level student learning.
    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 
those 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. As we work to transform the 
current crisis-driven response into a long-term, sustainable, and 
resilient learning ecosystem, technology will be an invaluable 
component to meet the needs of variable and diverse learners, support 
teachers, and provide school and district leaders with flexible models 
to support learning.
    Invitational Priority 2--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. For example, the Department's 2018 news release 
on STEM course-taking reported that of students enrolled in Calculus 
courses, 8 percent were Black, when Black students represent 16 percent 
of high school enrollment. A similar trend exists for physics courses 
in which 12 percent of Black students were enrolled. (U.S. Department 
of Education's 2015-16 Civil Rights Data Collect STEM Course Taking 
Report, 2018).
    Additionally, during the 2015-16 school year, African American male 
students comprised 8 percent of students enrolled and 25 percent of 
students who received an out-of-school suspension. National data show 
that African American girls are 5.5 times more likely and Native 
American girls are 3 times more likely to be suspended from school than 
White girls (U.S. Department of Education's 2015-16 Civil Rights Data 
Collection School Climate and Safety Report, 2018). Research shows, 
however, that these disparities are not the result of differences in 
behavior, but rather perceptions of student behavior. The Department is 
interested in projects that address these discipline disparities which 
contribute to missed learning opportunities.
    Although multiple factors influence teacher impact on student 
achievement, data suggests that teacher experience and certification 
impact educational equity. Schools with high enrollments of students of 
color were four times as likely to employ uncertified teachers as were 
schools with low enrollment of students of color. Students in schools 
with high enrollments of students of color also have less access to 
experienced teachers. In these schools, nearly one in every six 
teachers is just beginning his or her career, compared to one in every 
10 teachers in schools with low enrollment of students of color 
(Cardichon, et al., 2020). The Department is interested in projects 
that address disparities in teacher certification and experience given 
research indicating that fully certified and experienced teachers 
relate to student achievement (Boyd, et al., 2006; Clotfelter, et al., 
2007; Darling-Hammond, et al., 2005; Kini & Podolsky, 2016; Goe, 2007; 
Ladd & Sorenson, 2017; Podolsky, et al., 2019).
    The Department seeks to support projects that propose innovative 
ways to address the various inequities in this country's education 
system. This type of innovation will better enable educators to work 
toward closing achievement gaps and helping all students succeed in 
school and reach toward their future goals.
    Underserved students have less access to the educational 
opportunities they need to succeed, including access to well-rounded 
and rigorous coursework; the application of discipline policies; and 
access to certified, experienced, and effective teachers.
    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.
    We particularly welcome projects that focus on: Eliminating 
inequities in access to fully certified, experienced, and effective 
teachers; addressing inequities in access to and success in a rigorous, 
engaging, and culturally and linguistically responsive teaching and 
learning environment that prepares students for college and career; 
including diverse stakeholders in State and local education decisions; 
supporting resource and discipline equity; addressing 
disproportionality in special education or programs for English 
learners; and improving the quality of educational programs in juvenile 
justice facilities or supporting re-entry after release.
    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 one 
competitive preference priority. In accordance with 34 CFR 
75.105(b)(2)(ii), Absolute Priority 1 is from 34 CFR 75.226(d)(2). 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). The 
competitive preference priority is from the Supplemental Priorities. We 
also include two invitational priorities.
    In the Mid-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

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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--Moderate Evidence, and one additional absolute priority (Absolute 
Priority 2, Absolute Priority 3, or Absolute Priority 4).
    These priorities are:
    Absolute Priority 1--Moderate Evidence.
    Projects supported by evidence that meets the conditions in the 
definition of ``moderate evidence.''

    Note: An applicant must identify up to two study citations to be 
reviewed against the What Works Clearinghouse (WWC) Handbooks (as 
defined in this notice) for the purposes of meeting the definition 
of ``moderate evidence.'' The studies may have been conducted by the 
applicant or by a third party. An applicant should clearly identify 
these citations in the Evidence form. An applicant must ensure that 
all citations are available to the Department from publicly 
available sources and provide links or other guidance indicating 
where it is available. The Department may not review a study 
citation that an applicant fails to clearly identify for review.

    In addition to including up to two study citations, applicants 
should describe in the form information such as the following: (1) The 
positive student outcomes they intend to replicate under their Mid-
phase grant and how the characteristics of students and the positive 
student outcomes in the study citations correspond with the 
characteristics of the high-need students to be served under the Mid-
phase grant; (2) the correspondence of practice(s) the applicant plans 
to implement with the practice(s) cited in the studies; and (3) the 
intended student outcomes that the proposed practice(s) attempts to 
impact.
    If the Department determines that an applicant has provided 
insufficient information, the applicant will not have an opportunity to 
provide additional information. However, if the WWC determines that a 
study does not provide enough information on key aspects of the study 
design, such as sample attrition or equivalence of intervention and 
comparison groups, the WWC may submit a query to the study author(s) to 
gather information for use in determining a study rating. Authors would 
be asked to respond to queries within 10 business days. Should the 
author query remain incomplete within 14 days of the initial contact to 
the study author(s), the study may be deemed ineligible under the grant 
competition. After the grant competition closes, the WWC will, for 
purposes of its own curation of studies, continue to include responses 
to author queries and make updates to study reviews as necessary. 
However, no additional information will be considered after the 
competition closes and the initial timeline established for response to 
an author query passes.
    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 (as defined in this notice).
    Competitive Preference Priority: Within Absolute Priority 3, we 
give competitive preference to applications that address this 
competitive preference priority. Under 34 CFR 75.105(c)(2)(i) we award 
up to an additional five points to an application, depending on how 
well the application addresses the competitive preference priority.
    This priority is:
    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 (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).
    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.
    Invitational 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 invitational priorities. Under 34 
CFR.105(c)(1) we do not give an application that meets these 
invitational priorities a competitive or absolute preference over other 
applications.
    These priorities are:
    Invitational Priority 1--Innovative Approaches to Addressing the 
Impact of COVID-19 on Underserved Students and Educators.
    Projects that are designed to address the needs of underserved 
students most impacted by COVID-19.
    Invitational Priority 2--Promoting Equity and Adequacy in Student 
Access to Educational Resources and Opportunities.
    Projects that are designed to promote equity and adequacy in access 
to critical resources in Pre-K-12 for underserved students.
    Definitions: The definitions of ``baseline,'' ``experimental 
study,'' ``logic model,'' ``moderate evidence,'' ``national level,'' 
``nonprofit,'' ``performance measure,'' ``performance target,'' 
``project component,'' ``quasi-experimental design study,'' ``regional 
level,'' ``relevant outcome,'' ``strong evidence,'' 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 ``local educational

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agency'' and ``State educational agency'' are from section 8101 of the 
ESEA.
    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.
    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.
    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 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.
    (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.
    National level describes the level of scope or effectiveness of a 
process, product, strategy, or practice that is able to be effective in 
a wide variety of communities, including rural and urban areas, as well 
as with different groups (e.g., economically disadvantaged, racial and 
ethnic groups, migrant populations,

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individuals with disabilities, English learners, and individuals of 
each gender).
    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.
    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.
    Regional level describes the level of scope or effectiveness of a 
process, product, strategy, or practice that is able to serve a variety 
of communities within a State or multiple States, including rural and 
urban areas, as well as with different groups (e.g., economically 
disadvantaged, racial and ethnic groups, migrant populations, 
individuals with disabilities, English learners, and individuals of 
each gender). For an LEA-based project, to be considered a regional-
level project, a process, product, strategy, or practice must serve 
students in more than one LEA, unless the process, product, strategy, 
or practice is implemented in a State in which the SEA is the sole 
educational agency for all schools.
    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/2021/04/FY2021-Master-Eligibility-Spreadsheet-public-04052021.xlsx.
    State educational agency (SEA) means the agency primarily 
responsible for the State supervision of public elementary schools and 
secondary schools.
    Strong evidence means that there is evidence of the effectiveness 
of a key project component in improving a relevant outcome for a sample 
that overlaps with the populations and 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'' 
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'' 
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 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 Handbooks, as 
appropriate, and that--
    (A) Meets WWC standards 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 the 
requirement in this paragraph (iii)(D).
    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 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.

References

Boyd, D., Grossman, P., Lankford, H., Loeb, S., & Wyckoff, J. 
(2006). How changes in entry requirements alter the teacher 
workforce and affect student achievement. Education Finance and 
Policy, 1(2), 176-216.
Cardichon, J., Darling-Hammond, L., Yang, M., Scott, C., Shields, 
P.M., & Burns, D. (2020). Inequitable opportunity to learn student 
access to certified and experienced teachers. Learning Policy 
Institute. https://learningpolicyinstitute.org/sites/default/files/product-files/CRDC_Teacher_Access_REPORT.pdf.
Clotfelter, C.T., Ladd, H.F., & Vigdor, J.L. (2007). How and why do 
teacher credentials matter for student achievement? (NBER Working 
Paper 12828). Cambridge, MA: National Bureau of Economic Research.
Darling-Hammond, L., Holtzman, D., Gatlin, S.J., & Vasquez Heilig, 
J. (2005). Does teacher preparation matter? Evidence about teacher 
certification, Teach for America, and teacher effectiveness. 
Education Policy Analysis Archives, 13(42). DOI: https://doi.org/10.14507/epaa.v13n42.2005.
Kini, T., & Podolsky, A. (2016). Does teaching experience increase 
teacher effectiveness? A review of the research. Palo Alto, CA: 
Learning Policy Institute. https://learningpolicyinstitute.org/product/does-teachingexperience-increase-teacher-effectiveness-review-research.
Goe, L. (2007). The link between teacher quality and student 
outcomes: A research synthesis. Washington, DC: National 
Comprehensive Center for Teacher Quality.
Ladd, H.F., & Sorensen, L.C. (2017). Returns to teacher experience: 
Student achievement and motivation in middle school. Education 
Finance and Policy, 12(2), 241-279.
Podolsky, A., Darling-Hammond, L., Doss, C.,

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& Reardon, S. (2019). California's positive outliers: Districts 
beating the odds. Palo Alto, CA: Learning Policy Institute. https://learningpolicyinstitute.org/product/positive-outliers-districts-beating-odds.
U.S. Department of Education's 2015-16 Civil Rights Data Collection 
School Climate and Safety Report (2018). www2.ed.gov/about/offices/list/ocr/docs/school-climate-and-safety.pdf.
U.S. Department of Education 2015-16 Civil Rights Data Collection 
STEM Course Taking Report. (2018). www2.ed.gov/about/offices/list/ocr/docs/stem-course-taking.pdf.

    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 Supplemental Priorities.

    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 $8,000,000.
    Maximum Award: We will not make an award exceeding $8,000,000 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: 10-15.

    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 Mid-phase competition.
    In addition, for the FY 2021 Mid-phase competition, the Department 
intends to award an estimated $32 million in funds for STEM projects 
and $32 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 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

[[Page 30299]]

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 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., 
Mid-phase: Absolute Priority 2, Mid-phase: Absolute Priority 3, or Mid-
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 Mid-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 a Mid-phase grant to no more than 30 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/fy-2021-competition/. 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 Mid-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 15 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 national significance of the proposed project. (5 points)

[[Page 30300]]

    (2) The potential contribution of the proposed project to increased 
knowledge or understanding of educational problems, issues, or 
effective strategies. (10 points)
    B. Strategy to Scale (up to 20 points).
    The Secretary considers the applicant's strategy to scale the 
proposed project. In determining the applicant's capacity to scale the 
proposed project, the Secretary considers the following factors:
    (1) The extent to which the applicant identifies a specific 
strategy or strategies that address a particular barrier or barriers 
that prevented the applicant, in the past, from reaching the level of 
scale that is proposed in the application. (15 points)
    (2) The mechanisms that applicant will use to broadly disseminate 
information on its project so as to support further development or 
replication. (5 points)
    C. Quality of the Project Design (up to 20 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. (5 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)
    D. Adequacy of Resources and Quality of the Management Plan (up to 
20 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 for the 
proposed project, the Secretary considers the following factors:
    (1) The applicant's capacity (e.g., in terms of qualified 
personnel, financial resources, or management capacity) to bring the 
proposed project to scale on a national or regional level (as defined 
in 34 CFR 77.1(c)) working directly, or through partners, during the 
grant period. (10 points)
    (2) 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. (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)
    E. 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 without reservations 
as described in the What Works Clearinghouse Handbook (as defined in 34 
CFR 77.1(c)). (15 points)
    (2) The extent to which the evaluation will provide guidance about 
effective strategies suitable for replication or testing in other 
settings. (5 points)
    (3) The extent to which the evaluation plan clearly articulates the 
key project components, mediators, and outcomes, as well as a 
measurable threshold for acceptable implementation. (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.

[[Page 30301]]

    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);
    (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 competitive 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 a 
Mid-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 Mid-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

[[Page 30302]]

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 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,
Delegated the authority to perform the functions and duties of the 
Assistant Secretary, Office of Elementary and Secondary Education.
[FR Doc. 2021-11940 Filed 6-4-21; 8:45 am]
BILLING CODE 4000-01-P


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