30292 Federal Register / Vol. 86, No. 107 / Monday, June 7, 2021 / Notices 

collection and additional follow-up data 

collections beyond high school are also 

planned. 

In preparation for the HS&B:22 BaseYear Full-Scale study (BYFS), 

scheduled to take place in the fall of 

2022, the Office of Management and 

Budget (OMB) approved (OMB# 1850– 

0944 v.1–5) a request to conduct the 

HS&B:22 Base-Year Field Test (BYFT) 

and the BYFS sampling and state, 

school district, school, and parent 

recruitment activities, both of which 

began in the fall of 2019. These 

activities include collecting student 

rosters and selecting the BYFS sample. 

BYFT activities ended in December 

2019. 

The study initially planned to 

conduct its BYFS data collection in the 

fall of 2020. Due to the COVID–19 

pandemic, it was decided to postpone 

this collection by two years. OMB 

provided approval to adjust the 

schedule in June 2020, October 2020, 

and January 2021 (OMB# 1850–0944 

v.6–8). The base year full-scale data 

collection will now take place in fall 

2022. This submission requests 

approval to (1) freshen the school 

sample to account for the two-year delay 

after the sample was drawn; (2) add 

survey items related to the COVID–19 

pandemic to the surveys; (3) track the 

field test sample; and (4) begin sampling 

and recruitment activities for the first 

follow-up field test. For the field test 

follow-up, students who participated in 

the base year field test will be tracked 

to inform the main study, but the field 

test follow-up data collection will occur 

one year later with a new sample of 

twelfth grade students. 

Part A of this submission presents 

information on the basic design of 

HS&B:22. Part B discusses the statistical 

methods employed. Part C presents 

justification for the questionnaire 

content. Appendix A provides the 

communication materials to be used 

during state, school district, school, and 

parent BYFS recruitment and data 

collection activities. Appendix B 

provides the full-scale data collection 

instruments. 

Dated: June 2, 2021. 

Juliana Pearson, 

PRA Coordinator, Strategic Collections and 

Clearance, Governance and Strategy Division, 

Office of Chief Data Officer, Office of 

Planning, Evaluation and Policy 

Development. 

[FR Doc. 2021–11860 Filed 6–4–21; 8:45 am] 

BILLING CODE 4000–01–P 

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. 

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-ofdiscretionary-grants-support-services/ 

innovation-early-learning/educationinnovation-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: eir@ed.gov. 

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, fieldinitiated innovations to improve student 

achievement and attainment for highneed 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: ‘‘Earlyphase’’ 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 costeffectively 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 highneed 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. Midphase 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 highneed 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 longterm 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 ‘‘highneeds students.’’ In addressing the 

needs of underserved students, the 

statutory requirement for serving ‘‘highneeds 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 reengaging students by implementing and 

continuously improving studentcentered, 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 crisisdriven 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; DarlingHammond, 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 highneed 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, fieldinitiated innovations to improve student 

achievement and attainment for highneed 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, fieldinitiated innovations to improve student 

achievement and attainment for highneed 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,’’ ‘‘quasiexperimental 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 LEAbased 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-public04052021.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 § 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-teachingexperienceincrease-teacher-effectiveness-reviewresearch. 

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., 


khammond on DSKJM1Z7X2PROD with NOTICES
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& Reardon, S. (2019). California’s 

positive outliers: Districts beating the 

odds. Palo Alto, CA: Learning Policy 

Institute. https://learningpolicy

institute.org/product/positive-outliersdistricts-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-coursetaking.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 (Earlyphase, 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 Midphase 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 


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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 Midphase grant to no more than 30 pages 

and (2) use the following standards: 

• A ‘‘page’’ is 8.5′′ x 11′′, on one side 

only, with 1′′ margins at the top, bottom, 

and both sides. 

• Double space (no more than three 

lines per vertical inch) all text in the 

application narrative, including titles, 

headings, footnotes, quotations, 

references, and captions, as well as all 

text in charts, tables, figures, and 

graphs. 

• Use a font that is either 12 point or 

larger or no smaller than 10 pitch 

(characters per inch). 

• Use one of the following fonts: 

Times New Roman, Courier, Courier 

New, or Arial. 

The 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-ofdiscretionary-grants-support-services/ 

innovation-early-learning/educationinnovation-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) 


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(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. 


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Federal Register / Vol. 86, No. 107 / Monday, June 7, 2021 / Notices 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, wellimplemented and independent 

evaluation that provides evidence of 

their effectiveness at improving student 

outcomes at scale; (4) the percentage of 

grantees with a completed welldesigned, 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 costeffectiveness 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 


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30302 Federal Register / Vol. 86, No. 107 / Monday, June 7, 2021 / Notices 

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 highquality 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 

DEPARTMENT OF EDUCATION 

Applications for New Awards; 

Education Innovation and Research 

(EIR) Program—Expansion-Phase 

Grants 

AGENCY: Office of Elementary and 

Secondary Education, Department of 

Education. 

ACTION: Notice. 

SUMMARY: The Department of Education 

(Department) is issuing a notice inviting 

applications for fiscal year (FY) 2021 for 

the EIR program—Expansion-phase 

Grants, Assistance Listing Number 

84.411A (Expansion-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-ofdiscretionary-grants-support-services/ 

innovation-early-learning/educationinnovation-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: eir@ed.gov. 

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, fieldinitiated innovations to improve student 

achievement and attainment for highneed 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: ‘‘Earlyphase’’ 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. 

Expansion grants are supported by 

strong evidence (as defined in this 

notice) for at least one population and 

setting, and grantees are encouraged to 

implement at the national level (as 

defined in this notice). The Department 

expects that Expansion grants will 

provide funding for implementation and 

a rigorous evaluation of a program that 


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