81_FR_91062 81 FR 90821 - Applications for New Awards; Education Innovation and Research Program-Mid-Phase Grants

81 FR 90821 - Applications for New Awards; Education Innovation and Research Program-Mid-Phase Grants

DEPARTMENT OF EDUCATION

Federal Register Volume 81, Issue 241 (December 15, 2016)

Page Range90821-90833
FR Document2016-30084

Federal Register, Volume 81 Issue 241 (Thursday, December 15, 2016)
[Federal Register Volume 81, Number 241 (Thursday, December 15, 2016)]
[Notices]
[Pages 90821-90833]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-30084]


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DEPARTMENT OF EDUCATION


Applications for New Awards; Education Innovation and Research 
Program--Mid-Phase Grants

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

ACTION: Notice.

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Overview Information

    Education Innovation and Research Program--Mid-phase Grants.
    Notice inviting applications for new awards for fiscal year (FY) 
2017.

    Catalog of Federal Domestic Assistance (CFDA) Number: 84.411B (Mid-
phase Grants).

DATES: 
    Applications Available: December 19, 2016.
    Deadline for Notice of Intent to Apply: February 13, 2017.
    Deadline for Transmittal of Applications: April 13, 2017.
    Deadline for Intergovernmental Review: June 13, 2017.

Full Text of Announcement

I. Funding Opportunity Description

    Purpose of Program: The Education Innovation and Research (EIR) 
Program, established under section 4611 of the Elementary and Secondary 
Education Act (ESEA), as amended by Every Student Succeeds Act (ESSA), 
provides funding to create, develop, implement, replicate, or take to 
scale entrepreneurial, evidence-based, field-initiated innovations to 
improve student achievement (as defined in this notice) and attainment 
for high-need students (as defined in this notice); and rigorously 
evaluate such innovations. The EIR program is designed to generate and 
validate solutions to persistent educational challenges and to support 
the expansion of effective 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 that 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. Applicants proposing 
innovative practices (as defined in this notice) that are supported by 
limited evidence can receive relatively small grants to support the 
development, iteration, and initial evaluation of the practices; 
applicants proposing practices supported by evidence from rigorous 
evaluations, such as large randomized controlled trials (as defined in 
this notice), can receive larger grant awards to support expansion 
across the country. This structure provides incentives for applicants 
to: (1) Explore new ways of addressing persistent challenges that other 
educators can build on and learn from; (2) build evidence of 
effectiveness of their practices; and (3) replicate and scale 
successful practices in new schools, districts, and states while 
addressing the barriers to scale, such as cost structures and 
implementation fidelity.
    All EIR projects are expected to generate information regarding 
their effectiveness in order to inform EIR grantees' efforts to learn 
about and improve upon their efforts, and to help similar, non-EIR 
efforts across the country benefit from EIR grantees' knowledge. By 
requiring that all grantees conduct independent evaluations (as defined 
in this notice) of their EIR projects, EIR ensures that its funded 
projects make a significant contribution to improving the quality and 
quantity of information available to practitioners and policymakers 
about which practices improve student achievement, for which types of 
students, and in what contexts.
    The Department of Education (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 provide funding to support scaling of projects 
supported by moderate evidence (as defined in this notice) for at least 
one population or setting to the regional level (as defined in this 
notice) or to the national level (as defined in this notice). This 
notice invites applications for Mid-phase grants only. The notices 
inviting applications for Early-phase and Expansion grants are 
published elsewhere in this issue of the Federal Register.
    Background: EIR builds on seven years of investments--over $1.4 
billion, matched by over $200 million in private sector resources--from 
the Department's Investing in Innovation (i3) program in a portfolio of 
practices that address critical challenges in education and that 
generate rigorous evaluations to determine the practices' 
effectiveness. i3 has generated new information regarding effective 
educational practices and increased evaluators' capacity to conduct 
rigorous evaluations of student learning outcomes that provide 
actionable information for educators. EIR is designed expand on the 
successes of i3 to offer new opportunities for States, districts, 
schools, and educators to develop innovations and scale effective 
practices that address their most pressing challenges.
    EIR 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.
    To the extent possible, we intend to fund multiple projects 
addressing similar challenges. By so doing, we aim to accelerate the 
building of a knowledge base of effective practices for addressing 
these challenges and increase the likelihood that grantees can learn 
from one another while still exploring different approaches. We

[[Page 90822]]

believe that improving outcomes across the education sector depends, in 
part, upon policymakers, practitioners and researchers continually 
building upon one another's efforts to have the greatest impact.
    Mid-phase grantees must evaluate the effectiveness of the EIR-
supported practice that the project implements and expands, and the 
application must include an evaluation designed to have the potential 
to meet the evidence requirement of strong evidence (as defined in this 
notice) under Expansion. Not only will such evaluation data build the 
knowledge base about effective practices for underserved students, but 
it will also encourage future Expansion applicants to leverage the 
findings from Mid-phase grantees' efforts. The evaluation of a Mid-
phase project must identify and codify the core elements of the EIR-
supported practice that the project implements in order to support 
adoption or replication by other entities; furthermore, the evaluation 
must examine effectiveness of the project for any new populations or 
settings that are included in the project. Mid-phase grantees should 
measure the cost-effectiveness of their practices using administrative 
or other readily available data, and test and validate alternatives to 
practices that are too costly or inefficient. 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.
    All EIR applicants are required to serve high-need students and are 
therefore required to address absolute priority one. EIR Mid-phase 
applicants are also required to address one of the other four absolute 
priorities that address persistent challenges in public education for 
which there are solutions that are supported by moderate evidence.
    First, the Department includes an absolute priority for improving 
early learning and development outcomes. Research continues to 
demonstrate that the quality of students' early learning (birth through 
third grade) experiences has a significant impact on subsequent 
academic and social competencies.\1\ Through historic investments in 
early learning, the number of students enrolled in high-quality 
preschool has expanded dramatically over the last eight years, but the 
gains realized during preschool often fail to persist through 
elementary school.\2\ This is particularly true for at-risk students. 
More should be done to ensure the gains from high-quality preschool 
experiences are sustained and built upon in early elementary school. 
Strategies to increase alignment across preschool through elementary 
school or to support students' transition into and through elementary 
school may lead to more lasting and significant academic outcomes.
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    \1\ Andrews, R.J., Jargowsky, P., & Kuhne, K. (2012). The 
effects of Texas's pre-kindergarten program on academic performance 
(CALDER Working Paper No. 84). Washington, DC: National Center for 
Analysis of Longitudinal Data on Educational Research; Barnett, W.S. 
(2008). Preschool education and its lasting effects: Research and 
policy implications. Boulder, CO, & Tempe, AZ: Education and the 
Public Interest Center & Education Policy Research Unit. Retrieved 
from http://nepc.colorado.edu/files/PB-Barnett-EARLY-ED_FINAL.pdf.
    \2\ Lipsey, M.W., Farran, D.C., Hofer, K.G. (2015). A randomized 
control trial of a statewide voluntary prekindergarten program on 
children's skills and behaviors through third grade. Nashville, TN: 
Vanderbilt University, Peabody Research Institute; U.S. Department 
of Health and Human Services, Administration for Children and 
Families. (2010, January). Head Start Impact Study: Final report. 
Washington, DC: Author.
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    Second, the Department includes an absolute priority to enhance 
students' social-behavioral competencies. These social-behavioral 
competencies may include social skills (e.g., skills needed to 
positively interact with peers, teachers, and other adults), behavior 
(i.e., promoting positive behaviors or reducing negative behaviors), or 
non-cognitive factors (e.g., academic mindset, perseverance, and self-
regulation).\3\ There is significant research that shows a strong 
connection between these social-behavioral competencies and student 
learning,\4\ but there is still a need to build the knowledge base of 
evidence-based practices that help students develop such skills and 
behaviors. These practices might include interventions that directly 
target students, support changes in educators' instructional practices 
(for example, preventative or responsive approaches to trauma), or 
redesign learning environments). Also needed are ways to measure such 
social emotional competencies in valid and reliable ways, and to 
demonstrate how improvement in such skills and behaviors affects 
overall student learning outcomes.\5\
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    \3\ The University of Chicago Consortium of Chicago School 
Research (June 2015). Foundations for Young Adult Success: A 
Developmental Framework. Retrieved from https://consortium.uchicago.edu/sites/default/files/publications/Wallace%20Report.pdf; Montroy, J.J., Bowles, R.P., Skibbe, L.E. and 
Foster, T.D. (2014). Social skills and problem behaviors as 
mediators of the relationship between behavioral self-regulation and 
academic achievement. Early Childhood Research Quarterly, 29 (2014): 
298-309.
    \4\ Casillas, A., Robbins, S., Allen, J., Kuo, Y.L., Ann Hanson, 
M., and Schmeiser, C. (2012). Predicting early academic failure in 
high school from prior academic achievement, psychosocial 
characteristics, and behavior. Journal of Educational Psychology, 
104(2), 407-420; Yeager, D.S., and Walton, G.M. (2011). Social-
psychological interventions in education: They're not magic. Review 
of Educational Research, 81(2), 267-301; Weissberg, R.P. and 
Cascarino, J. (2013). Academic learning + social-emotional learning 
= national priority. Phi Delta Kappan, 95 (2): 8-13.
    \5\ The Department's What Works Clearinghouse includes 
information on research on social-behavioral competencies (using 
``student behavior'' as a filer: http://ies.ed.gov/ncee/wwc/findwhatworks.aspx), as well as a Practice Guide on Reducing 
Behavior Problems in the Elementary School Classroom: http://ies.ed.gov/ncee/wwc/PracticeGuide.aspx?sid=4).
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    Third, the Department includes an absolute priority for projects to 
improve low-performing schools (e.g., schools selected for 
comprehensive support and improvement activities or targeted support 
and improvement activities or schools with the largest within-school 
performance gaps between student subgroups); and to ensure that more 
students receive a high-quality K-12 public education. Many of our 
historically underserved students are concentrated in schools that do 
not adequately meet their learning needs. By identifying the 
appropriate configuration of school improvement practices, educators 
can more readily and reliably improve student outcomes in the low-
performing schools (as defined in this notice), and as appropriate, 
their feeder schools. It can be especially powerful when a variety of 
practices, such as those that promote a positive school culture, 
utilize early warning indicators to intervene with students at risk of 
educational failure, or implement effective research-based pedagogical 
practices are planned and implemented in mutually reinforcing ways.
    Finally, the Department includes an absolute priority for projects 
supported by moderate evidence. Projects must demonstrate moderate 
evidence, for at least one population or setting, that are designed to 
improve student achievement and attainment in emerging areas of 
critical need. In recent years, there has been an increase in rigorous 
education research that is relevant to education practitioners.\6\ 
Where there is a match between compelling evidence and the most urgent 
challenges in K-12 education, expanding the knowledge base regarding 
these effective practices may be important.
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    \6\ Kantrowitz, Barbara, (2014). ``Scientists Bring New Rigor to 
Education Research.'' Scientific American, July 15, 2014, http://www.scientificamerican.com/article/scientists-bring-new-rigor-to-education-research/.
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    Priorities: This competition includes five absolute priorities. 
Absolute Priority 1 is from the Department's

[[Page 90823]]

notice of final supplemental priorities and definitions for 
discretionary grant programs, published in the Federal Register on 
December 10, 2014 (79 FR 73425) (Supplemental Priorities). We are 
establishing Absolute Priorities 2, 3, 4, and 5 in accordance with 
section 437(d)(1) of the General Education Provisions Act (GEPA), 20 
U.S.C. 1232(d)(1). These absolute priorities will apply to the FY 2017 
EIR Mid-phase competition and any subsequent year in which we make 
awards from the list of unfunded applicants from this competition.
    Absolute Priorities: These priorities are absolute priorities. 
Under 34 CFR 75.105(c)(3) we consider only applications that meet 
Absolute Priority 1, Supporting High-Need Students, and one additional 
priority. Applicants must clearly identify the specific absolute 
priority that the proposed project addresses.
    These priorities are:

Absolute Priority 1--Supporting High-Need Students

    Under this priority, we provide funding to projects that are 
designed to improve academic outcomes for high-need students.

Absolute Priority 2--Improving Early Learning and Development Outcomes

    Under this priority, we provide funding to projects that are 
designed to improve early learning and development outcomes across one 
or more of the essential domains of school readiness (as defined in 
this notice) by sustaining students' improved early learning and 
development outcomes from Pre-K programs throughout the early 
elementary school years.

Absolute Priority 3--Social-Behavioral Competencies

    Under this priority, we provide funding to projects that are 
designed to help students improve their social skills, behaviors, or 
underlying cognitive abilities that support social-behavioral 
competencies; improve students' mastery of non-cognitive skills and 
behaviors (such as academic behaviors, academic mindset, perseverance, 
self-regulation, social and emotional skills, and approaches toward 
learning strategies) and enhance student motivation and engagement in 
learning; and identify better ways of measuring the impact of students' 
social-behavioral competencies on student achievement.

Absolute Priority 4--Improving Low-Performing Schools

    Under this priority, we provide funding to support strategies, 
practices, or programs that are designed to improve outcomes for 
students in low-performing schools (as defined in this notice).

Absolute Priority 5--Evidence-Driven Practices

    Under the priority, we provide funding to projects that meet the 
evidence standard established in Section III.3. for this competition 
and are designed to improve student achievement and attainment in areas 
of critical national need.

Definitions

    The definitions of ``national level'' and ``nonprofit'' are from 34 
CFR 77.1. The definitions for ``essential domains of school 
readiness,'' ``high-need students,'' and ``regular high school diploma 
are from the Supplemental Priorities. The definitions of ``local 
educational agency'' and ``state educational agency'' are from Section 
8101 of the ESEA, as reauthorized by ESSA. We are establishing the 
definitions for ``experimental study,'' ``high-minority school,'' 
``independent evaluation,'' ``large sample,'' ``logic model,'' ``low-
performing schools,'' ``meets What Works Clearinghouse Standards 
without reservations,'' ``meets What Works Clearinghouse Evidence 
Standards with reservations,'' ``moderate evidence,'' ``multi-site 
sample,'' ``practice,'' ``quasi-experimental design study,'' 
``randomized controlled trial,'' ``regional level,'' ``regression 
discontinuity design study,'' ``relevant finding,'' ``relevant 
outcome,'' ``rural local educational agencies,'' ``single-case design 
study,'' ``strong evidence,'' and ``student achievement'' for the FY 
2017 grant competition only, in accordance with section 437(d)(1) of 
GEPA, 20 U.S.C. 1232(d)(1).
    Essential domains of school readiness means the domains of language 
and literacy development, cognition and general knowledge (including 
early mathematics and early scientific development), approaches toward 
learning (including the utilization of the arts), physical well-being 
and motor development (including adaptive skills), and social and 
emotional development.
    Experimental study means a study, such as a randomized controlled 
trial (RCT) (as defined in this notice), that is designed to compare 
outcomes between two groups of individuals that are otherwise 
equivalent except for their assignment to either a treatment group 
receiving a practice or a control group that does not. In some 
circumstances, a finding from a regression discontinuity design study 
(RDD) (as defined in this notice) or findings from a collection of 
single-case design studies (SCDs) (as defined in this notice) may be 
considered equivalent to a finding from an RCT. RCTs and RDDs, and 
collections of SCDs, depending on design and implementation, can Meet 
What Works Clearinghouse Evidence Standards without reservations (as 
defined in this notice).
    High-minority school means a school as that term is defined by a 
local educational agency (LEA) (as defined in this notice), which must 
define the term in a manner consistent with its State's Teacher Equity 
Plan, as required by section 1111(g)(1)(B) of the Elementary and 
Secondary Education Act (ESEA), as amended by Every Student Succeeds 
Act (ESSA). The applicant must provide the definition(s) of high-
minority schools used in its application.
    High-need students means students who are at risk for educational 
failure or otherwise in need of special assistance and support, such as 
students who are living in poverty, who attend high-minority schools 
(as defined in this notice), who are far below grade level, who have 
left school before receiving a regular high school diploma (as defined 
in this notice), who are at risk of not graduating with a diploma on 
time, who are homeless, who are in foster care, who have been 
incarcerated, who have disabilities, or who are English learners.
    Independent evaluation means that the evaluation is designed and 
carried out independent of, but in coordination with, any employees of 
the entities who develop a practice and are implementing it.
    Large sample means an analytic sample of 350 or more students (or 
other single analysis units), or 50 or more groups (such as classrooms 
or schools) that each contain, on average, 10 or more students (or 
other single analysis units, regardless of whether these single 
analysis units are disaggregated in the analysis of outcomes for the 
groups). Multiple studies can cumulatively be used to meet the multi-
site sample (as defined in this notice) and large sample requirements 
of moderate evidence or strong evidence, as long as each study meets 
the other requirements of the particular level of evidence (i.e., 
moderate evidence or strong evidence).
    Local educational agency means:
    (a) 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

[[Page 90824]]

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 local educational agency receiving assistance under 
this Act with the smallest student population, except that the school 
shall not be subject to the jurisdiction of any State educational 
agency (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 State 
educational agency in a State in which the State educational agency is 
the sole educational agency for all public schools.
    Logic model (also known as a theory of action) means a reasonable 
conceptual framework that identifies key components of the proposed 
project (i.e., the active ``ingredients'' that are hypothesized to be 
critical to achieving the relevant outcomes (as defined in this 
notice)) and describes the theoretical and operational relationships 
among the key components and outcomes.
    Low-performing schools mean (1) elementary and secondary schools 
identified, at the time of submission of an application under this 
competition, as in need of corrective action or restructuring under the 
ESEA, as authorized amended by the NCLB; (2), elementary and secondary 
schools identified, at the time of submission of an application under 
this competition, as a priority or focus school by a State under ESEA 
flexibility; and, (3) secondary (both middle and high schools) in a 
State that are, at the time of submission of an application under this 
competition, equally as low-achieving as these Title I schools above 
and are eligible for, but do not receive, Title I funds.
    Meets What Works Clearinghouse Evidence Standards without 
reservations is the highest possible rating for a study finding 
reviewed by the What Works Clearinghouse (WWC). Studies receiving this 
rating provide the highest degree of confidence that an estimated 
effect was caused by the practice studied. Experimental studies (as 
defined in this notice) may receive this highest rating. These 
standards are described in the WWC Procedures and Standards Handbooks, 
Version 3.0, which can be accessed at http://ies.ed.gov/ncee/wwc/Handbooks.
    Meets What Works Clearinghouse Evidence Standards with reservations 
is the second-highest rating for a study finding reviewed by the What 
Works Clearinghouse (WWC). Studies receiving this rating provide a 
reasonable degree of confidence that an estimated effect was caused by 
the practice studied. Both experimental studies (as defined in this 
notice) (such as randomized controlled trials with high rates of sample 
attrition) and quasi-experimental design studies (as defined in this 
notice) may receive this rating if they establish the equivalence of 
the treatment and comparison groups in key baseline characteristics. 
These standards are described in the WWC Procedures and Standards 
Handbooks, Version 3.0, which can be accessed at http://ies.ed.gov/ncee/wwc/Handbooks.
    Moderate evidence means the following conditions are met: (a) There 
is at least one experimental or quasi-experimental design study of the 
effectiveness of the practice with a relevant finding (as defined in 
this notice) that Meets What Works Clearinghouse Evidence Standards 
with or without reservations (e.g., a quasi-experimental design study 
or high-attrition randomized controlled trial that establishes the 
equivalence of the treatment and comparison groups in student 
achievement at baseline); (b) the relevant finding in the study 
described in paragraph (a) is of a statistically significant and 
positive (i.e., favorable) effect on a student outcome or other 
relevant outcome, with no statistically significant and overriding 
negative (i.e., unfavorable) evidence on that practice from other 
findings on the intervention reviewed by and reported on the What Works 
Clearinghouse that Meet What Works Clearinghouse Evidence Standards 
with or without reservations; (c) the relevant finding in the study 
described in paragraph (a) is based on a sample that overlaps with the 
populations (e.g., the types of student served) or settings proposed to 
receive the practice (e.g., an after-school program studied in urban 
high schools and proposed for rural high schools); and (d) the relevant 
finding in the study described in paragraph (a) is based on a large 
sample (as defined in this notice) and a multi-site sample (as defined 
in this notice).
    Multi-site sample means more than one site, where site can be 
defined as an LEA, locality, or State. A sample could be multi-site if 
it includes campuses in two or more localities (e.g., cities or 
counties), even if the campuses all belong to the same LEA or the same 
postsecondary school system. Multiple studies can cumulatively meet the 
multi-site sample and large sample (as defined in this notice) 
requirements of moderate and strong evidence, as long as each study 
meets the other requirements of the particular level of evidence (i.e., 
moderate evidence and strong evidence).
    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, 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.
    Practice means an activity, strategy, or intervention included in a 
project. Evidence may pertain to an individual practice, or to a 
combination of practices (e.g., training teachers on instructional 
practices for English learners and follow-on coaching for these 
teachers).
    Quasi-experimental design study (QED) means a study using a design 
that attempts to approximate an experimental design by identifying a 
comparison group that is similar to the treatment group in important 
respects. This type of study, depending on design and implementation, 
can Meet What Works Clearinghouse Evidence Standards with reservations 
(as defined in this notice) (but not without reservations).
    Randomized controlled trial (RCT) means a study that employs random 
assignment of, for example, students, teachers, classrooms, or schools 
to receive the practice being evaluated (the treatment group) or not to 
receive the practice (the control group). The estimated effectiveness 
of the practice is the difference between the average

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outcomes for the treatment group and for the control group. These 
studies, depending on design and implementation, can Meet What Works 
Clearinghouse Evidence Standards without reservations.
    Regional level describes the level of scope or effectiveness of a 
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 practice must serve students 
in more than one LEA, unless the practice is implemented in a State in 
which the State educational agency is the sole educational agency for 
all schools.
    Regression discontinuity design study (RDD) means a study that 
assigns the practice 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. The effectiveness of the practice is estimated 
for individuals who barely qualify to receive that component. These 
studies, depending on design and implementation, can Meet What Works 
Clearinghouse Evidence Standards without reservations.
    Regular high school diploma means the standard high school diploma 
that is awarded to students in the State and that is fully aligned with 
the State's academic content standards or a higher diploma and does not 
include a General Education Development (GED) credential, certificate 
of attendance, or any alternative award.
    Relevant finding means a finding from a study regarding the 
relationship between (a) an activity, strategy, or intervention 
included as a practice of the logic model (as defined in this notice) 
for the proposed project, and (b) a student outcome or other relevant 
outcome included in the logic model for the proposed project.
    Relevant outcome means the student outcome(s) (or the ultimate 
outcome if not related to students) the proposed practice is designed 
to improve; consistent with the specific goals of a project.
    Rural local educational agencies means local educational agencies 
with an urban-centric district locale code of 32, 33, 41, 42, or 43, 
which can be found at the following link: https://nces.ed.gov/ccd/ccdLocaleCodeDistrict.asp.
    Single-case design study (SCD) means a study that use 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. According to the What Works 
Clearinghouse Single Case Design Pilot Standards, a collection of these 
studies, depending on design and implementation (e.g., including a 
sufficient number of cases and of data points per condition), can Meet 
What Works Clearinghouse Evidence Standards without reservations.
    State educational agency means the agency primarily responsible for 
the State supervision of public elementary schools and secondary 
schools.
    Strong evidence means the following conditions are met: (a) There 
is at least one experimental study (e.g., a randomized controlled 
trial) of the effectiveness of the practice that has a relevant finding 
that Meets the What Works Clearinghouse Evidence Standards without 
reservations (e.g., a randomized controlled trial with low rates of 
sample attrition overall and between the treatment and control groups); 
(b) the relevant finding in the study described in paragraph (a) is of 
a statistically significant and positive (i.e., favorable) effect on a 
student outcome or other relevant outcome, with no statistically 
significant and overriding negative (i.e., unfavorable) evidence on 
that practice from other findings that Meet What Works Clearinghouse 
Evidence Standards with or without reservations; (c) the relevant 
finding in the study described in paragraph (a) is based on a sample 
that overlaps with the populations (i.e., the types of student served) 
and settings proposed to receive the practice (e.g., an after-school 
program both studied in, and proposed for, urban high schools); and (d) 
the relevant finding in the study described in paragraph (a) is based 
on a large sample and a multi-site sample.
    Student achievement means--
    For grades and subjects in which assessments are required under 
section 1111(b)(2) of Elementary and Secondary Education Act (ESEA), as 
amended by Every Student Succeeds Act (ESSA): (1) A student's score on 
such assessments; and, as appropriate (2) other measures of student 
learning, such as those described in the subsequent paragraph, provided 
that they are rigorous and comparable across schools with a local 
educational agency (LEA).
    For grades and subjects in which assessments are not required under 
section 1111(b)(2) of ESEA, as amended by ESSA: (1) Alternative 
measures of student learning and performance, such as student results 
on pre-tests, end-of-course tests, and objective performance-based 
assessments; (2) students learning objectives; (3) student performance 
on English language proficiency assessments; and (4) other measures of 
student achievement that are rigorous and comparable across schools 
within an LEA.
    Waiver of Proposed Rulemaking: Under the Administrative Procedure 
Act (5 U.S.C. 553), the Department generally offers interested parties 
the opportunity to comment on proposed priorities, definitions, and 
other requirements. Section 437(d)(1) of GEPA, however, allows the 
Secretary to exempt from rulemaking requirements, regulations governing 
the first grant competition under a new or substantially revised 
program authority. This grant competition is the first for the EIR 
program under 20 U.S.C. 1138-1138d and therefore qualifies for this 
exemption. In order to ensure timely grant awards, the Secretary has 
decided to forego public comment on the priorities, definitions, and 
requirements under section 437(d)(1) of GEPA. These priorities, 
definitions, and requirements will apply to the FY 2017 grant 
competition only.
    Program Authority: Section 4611 of the ESEA, as amended by the 
ESSA.
    Applicable Regulations: (a) The Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 81, 82, 
84, 86, 97, 98, and 99. (b) The OMB 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 79 apply to all applicants 
except federally recognized Indian tribes.


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

II. Award Information

    Type of Award: Cooperative agreements.
    Estimated Available Funds: The Administration has requested 
$180,000,000 for the EIR program for FY 2017, of which approximately 
$141,000,000 would be used, in total,

[[Page 90826]]

for new awards under the Early-phase, Mid-phase, and Expansion 
competitions. The actual level of funding, if any, depends on final 
congressional action. However, we are inviting applications to allow 
enough time to complete the grant process if Congress appropriates 
funds for this program.
    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 Range of Awards:
    Early-phase grants: $700,000-$800,000 per year.
    Mid-phase grants: $1,400,000-$1,600,000 per year.
    Expansion grants: $2,750,000-$3,000,000 per year.
    Estimated Average Size of Awards:
    Early-phase grants: $3,750,000 for the entirety of the project 
period.
    Mid-phase grants: $7,750,000 for the entirety of the project 
period.
    Expansion grants: $14,500,000 for the entirety of the project 
period.
    Estimated Number of Awards:
    Early-phase grants: 24-38 awards.
    Mid-phase grants: 15-20 awards.
    Expansion grants: 3-5 awards.
    Maximum Awards:
    Early-phase grants: $4,000,000 for the entirety of the project 
period.
    Mid-phase grants: $8,000,000 for the entirety of the project 
period.
    Expansion grants: $15,000,000 for the entirety of the project 
period.
    Project Period: Up to 60 months.
    Under section 4611(c) of the ESEA, as amended by ESSA, 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, the Department may fund 
high-quality applications from rural applicants out of rank order in 
one or more of the EIR competitions.

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

III. Eligibility Information

    1. Eligible Applicants:
    (a) An LEA;
    (b) A State educational agency;
    (c) The Bureau of Indian Education;
    (d) A consortium of State educational agencies or LEAs;
    (e) A nonprofit (as defined in this notice) organization; and
    (f) A State educational agency, an LEA, a consortium described in 
(d), or the Bureau of Indian Education, in partnership with--
    (1) A nonprofit organization;
    (2) A business;
    (3) An educational service agency; or
    (4) An institution of higher education.
    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 a 
State educational agency; 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.
    More information on rural applicant eligibility is in the 
application package.
    2. a. Cost Sharing or Matching: Under section 4611 of the ESEA, as 
amended by ESSA, each grant recipient must provide, from Federal, 
State, local, or private sources, an amount equal to 10 percent of 
funds provided under the grant, which may be provided in cash or 
through in-kind contributions, to carry out activities supported by the 
grant. Grantees must include a budget showing their matching 
contributions on an annual basis relative to the annual 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 of the ESEA, as amended by ESSA 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 local educational agencies 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. Other: The Secretary establishes the following requirements for 
the EIR program.
     Innovations that Serve Kindergarten-through-Grade-12 (K-
12) Students: All grantees must implement practices that serve students 
who are in grades K-12 at some point during the funding period. To meet 
this requirement, projects that serve early learners (i.e., infants, 
toddlers, or preschoolers) must provide services or supports that 
extend into kindergarten or later years, and projects that serve 
postsecondary students must provide services or supports during the 
secondary grades or earlier.
     Evidence Standards: To be eligible for an award, an 
application for a Mid-phase grant must be supported by moderate 
evidence for at least one population or setting.

    Note: An applicant must identify up to two study citations to be 
reviewed against WWC Evidence Standards for the purposes of meeting 
the EIR evidence standard requirement. An applicant must clearly 
identify these citations in the Evidence form. The Department will 
not review a study citation that an applicant fails to clearly 
identify for review. In addition to the two study citations, 
applicants should include (1) the positive student outcomes they 
intend to replicate under their Mid-phase grant, (2) the 
intervention the applicant plans to implement, and (3) the intended 
student outcomes that the intervention(s) attempts to impact in the 
Evidence form.
    An applicant must ensure that all evidence is available to the 
Department from publicly available sources and provide links or 
other guidance indicating where it is available. If the Department 
determines that an applicant has provided insufficient information, 
the applicant will not have an opportunity to provide additional 
information at a later time. However, if the WWC determines that a 
study does not provide enough information on key aspects of the 
study design, such as

[[Page 90827]]

sample attrition or equivalence of intervention and comparison 
groups, the WWC will submit a query to the study author(s) to gather 
information for use in determining a study rating. Authors are 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 will be deemed ineligible under the grant 
competition. After the grant competition closes, the WWC will 
continue to include responses to author queries and will make 
updates to study reviews as necessary. However, the competition can 
only take into account information that is available at the time the 
competition is open.


    Note: The evidence standards apply to the prior research that 
supports the effectiveness of the proposed project. The EIR program 
does not restrict the source of prior research providing evidence 
for the proposed project. As such, an applicant could cite prior 
research in the Evidence form for studies that were conducted by 
another entity (i.e., an entity that is not the applicant) so long 
as the prior research studies cited in the application are relevant 
to the effectiveness of the proposed project.

     Funding Categories: An applicant will be considered for an 
award only for the type of EIR grant (i.e., Early-phase, Mid-phase, and 
Expansion grant) for which it applies. An applicant may not submit an 
application for the same proposed project under more than one type of 
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.

     Limit on Grant Awards: No grantee may receive in a single 
year new EIR grant awards that total an amount greater than the sum of 
the maximum amount of funds for an Expansion grant and the maximum 
amount of funds for an Early-phase grant for that year. For example, in 
a year when the maximum award value for an Expansion grant is $15 
million and the maximum award value for an Early-phase grant is $4 
million, no grantee may receive in a single year new grants totaling 
more than $19 million.
     Partnerships: An applicant must demonstrate sufficient 
partnerships with schools/LEA(s) by identifying in the application 
implementation schools/LEA(s) for years 1 and 2 of the grant project.
     Evaluation: The grantee must conduct an independent 
evaluation (as defined in this notice) of its project. This evaluation 
should be designed to meet What Works Clearinghouse Evidence Standards 
without reservations and must estimate the impact of the EIR-supported 
practice (as implemented at the proposed level of scale) on a relevant 
outcome. A Mid-phase grantee's evaluation must examine the cost 
effectiveness of its practices and identify potential obstacles and 
success factors to scaling that would be relevant to other 
organizations.
    In addition, the grantee and its independent evaluator must agree 
to cooperate with any technical assistance provided by the Department 
or its contractor and comply with the requirements of any evaluation of 
the program conducted by the Department. This includes providing to the 
Department or its contractor, an updated comprehensive evaluation plan 
in a format and using such tools as the Department may require, as 
outlined in the Cooperative Agreement. Grantees must update this 
evaluation plan at least annually to reflect any changes to the 
evaluation. All of these updates must be consistent with the scope and 
objectives of the approved application.
     Public Availability of Data and Results: Applications 
under Mid-phase grants must include a Data Management Plan (DMP); the 
DMP should be no more than five pages in Appendix C that describes the 
applicant's plans for making the final research data from the proposed 
project accessible to others. Resources that may be of interest to 
researchers in developing a data management plan can be found at http://ies.ed.gov/funding/researchaccess.asp. DMPs are expected to differ 
depending on the nature of the project and the data collected. By 
addressing the items identified below, your DMP describes how you will 
share data under the DMP you are required to include in your 
application. The DMP should include the following:
    (a) Type of data to be shared;
    (b) Procedures for managing and for maintaining the confidentiality 
of personally identifiable information;
    (c) Roles and responsibilities of project or institutional staff in 
the management and retention of research data, including a discussion 
of any changes to the roles and responsibilities that will occur should 
the Project Director/Principal Investigator and/or co-Project 
Directors/co-Principal Investigators leave the project or their 
institution;
    (d) Expected schedule for data access, including how long the data 
will remain accessible (at least 10 years unless a shorter period of 
time is required to comply with applicable Federal or State laws or 
agreements promulgated to ensure compliance with such laws in which the 
destruction of records or personal information is required within a 
shorter period of time) and acknowledgement that the timeframe of data 
accessibility will be reviewed at the annual progress reviews and 
revised as necessary;
    (e) Format of the final dataset;
    (f) Dataset documentation to be provided;
    (g) Method of data access (e.g., provided by the Project Director/
Principal Investigator, through a data archive) and how those 
interested in using the data can locate and access them;
    (h) Whether or not a data agreement that specifies conditions under 
which the data will be shared will be required; and
    (i) Any circumstances that prevent all or some of the data from 
being made accessible. This includes data that may fall under multiple 
statutes and, hence, must meet the confidentiality requirements for 
each applicable statute (e.g., data covered by Common Rule for 
Protection of Human Subjects, Family Educational Rights and Privacy Act 
(FERPA), and Health Insurance Portability and Accountability Act 
(HIPAA)).
    The costs of the DMP can be covered by the grant and should be 
included in the budget and explained in the budget narrative. The peer-
review process will not include the DMP in the scoring of the 
application. The EIR team will be responsible for reviewing the 
completeness of the proposed DMP and will work with EIR grantees to 
finalize the DMP once the grant is awarded.
    Recipients of awards are expected to publish or otherwise make 
publicly available the results of the work supported through EIR, 
including the evaluation report. EIR grantees must submit final studies 
resulting from research supported in whole or in part by EIR to the 
Educational Resources Information Center (ERIC), http://eric.ed.gov.
     Scaling: Mid-phase grants must scale the project to the 
regional or national level and include new contexts and populations for 
implementation. Scaling targets should be established for the number of 
students to be served for the total project period as well as the 
target number of students to be served each year of the project. Mid-
phase grants must also include their scaling strategy as a component of 
the evaluation plan for the grant. Given that all EIR grantees are 
required to report on the performance measure regarding the target 
number of students served by the

[[Page 90828]]

grant, applicants should propose scaling targets that represent 
reasonable costs per student for the grant.
     Management Plan: An EIR grantee must provide an updated 
comprehensive management plan for the approved project in a format and 
using such tools as the Department may require, as outlined in the 
Cooperative Agreement. This management plan must include detailed 
information about implementation of the first year of the grant, 
including key milestones, staffing details, and other information that 
the Department may require. It must also include a complete list of 
performance metrics, including baseline measures and annual targets. 
The grantee must update this management plan at least annually to 
reflect implementation of subsequent years of the project.

IV. Application and Submission Information

    1. Address to Request Application Package: You can obtain an 
application package via the Internet or from the Education Publications 
Center (ED Pubs). To obtain a copy via the Internet, use the following 
address: http://innovation.ed.gov/what-we-do/innovation/education-innovation-and-research-eir/. To obtain a copy from ED Pubs, write, 
fax, or call: ED Pubs, U.S. Department of Education, P.O. Box 22207, 
Alexandria, VA 22304. Telephone, toll free: 1-877-433-7827. FAX: (703) 
605-6794. If you use a telecommunications device for the deaf (TDD) or 
a text telephone (TTY), call, toll free: 1-877-576-7734.
    You can contact ED Pubs at its Web site, also: www.EDPubs.gov or at 
its email address: [email protected].
    If you request an application package from ED Pubs, be sure to 
identify this program or competition as follows: CFDA number 84.411B.
    Individuals with disabilities can obtain a copy of the application 
package in an accessible format (e.g., braille, large print, audiotape, 
or compact disc) by contacting the person or team listed under 
Accessible Format in section VIII of this notice.
    2. a. Content and Form of Application Submission: Requirements 
concerning the content and form of an application, together with the 
forms you must submit, are in the application package for this 
competition.
    Notice of Intent to Apply: February 13, 2017.
    We will be able to develop a more efficient process for reviewing 
grant applications if we know the approximate number of applicants that 
intend to apply for funding under this competition. Therefore, the 
Secretary strongly encourages each potential applicant to notify us of 
the applicant's intent to submit an application by completing a Web-
based form. When completing this form, applicants will provide (1) the 
applicant organization's name and address and (2) the absolute priority 
the applicant intends to address. Applicants may access this form 
online at https://www.surveymonkey.com/r/GRS32YH. Applicants that do 
not complete this form may still submit an application.
    Pre-Application: The EIR program intends to hold Webinars and/or 
meetings designed to provide technical assistance to interested 
applicants for all three types of grants. Detailed information 
regarding these Webinars and/or meetings will be provided on the EIR 
Web site at http://innovation.ed.gov/what-we-do/innovation/education-innovation-and-research-eir/.
    Page Limit: The application narrative (Part III of the application) 
is where you, the applicant, address the selection criteria that 
reviewers use to evaluate your application. Applicants should limit the 
application narrative for a Mid-phase grant application to no more than 
30 pages, using the following standards:
     A ``page'' is 8.5'' x 11'', on one side only, with 1'' 
margins at the top, bottom, and both sides.
     Double space (no more than three lines per vertical inch) 
all text in the application narrative, including titles, headings, 
footnotes, quotations, references, and captions.
     Use a font that is either 12 point or larger or no smaller 
than 10 pitch (characters per inch).
     Use one of the following fonts: Times New Roman, Courier, 
Courier New, or Arial.
    The page limit does not apply to Part I, the cover sheet; Part II, 
the budget section, including the narrative budget justification; Part 
IV, the assurances and certifications; or the one-page abstract, the 
resumes, the bibliography, or the letters of support. However, the page 
limit does apply to all of the application narrative.
    b. Submission of Proprietary Information: Given the types of 
projects that may be proposed in applications for the Mid-phase 
competition, 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).
    We plan on posting the project narrative section of funded EIR 
applications on the Department's Web site. Accordingly, you may wish to 
request confidentiality of business information. Identifying 
proprietary information in the submitted application will help 
facilitate this public disclosure process.
    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. Submission Dates and Times:
    Applications Available: December 19, 2016.
    Deadline for Notice of Intent to Apply: February 13, 2017.
    Pre-Application Webinars and/or Meetings: The EIR program intends 
to hold Webinars and/or meeting designed to provide technical 
assistance to interested applicants for all three types of grants. 
Detailed information regarding these Webinars and/or meetings will be 
provided on the EIR Web site at http://innovation.ed.gov/what-we-do/innovation/education-innovation-and-research-eir/.
    Deadline for Transmittal of Applications: April 13, 2017.
    Applications for grants under this competition must be submitted 
electronically using the Grants.gov Apply site (Grants.gov). For 
information (including dates and times) about how to submit your 
application electronically, or in paper format by mail or hand delivery 
if you qualify for an exception to the electronic submission 
requirement, please refer to Other Submission Requirements in section 
IV of this notice.
    We do not consider an application that does not comply with the 
deadline requirements.
    Individuals with disabilities who need an accommodation or 
auxiliary aid in connection with the application process should contact 
the person listed under FOR FURTHER INFORMATION CONTACT in section VII 
of this notice. If the Department provides an accommodation or 
auxiliary aid to an individual with a disability in connection with the 
application process, the individual's application remains subject to 
all other requirements and limitations in this notice.
    Deadline for Intergovernmental Review: June 13, 2017.

[[Page 90829]]

    4. 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.
    5. Funding Restrictions: We reference regulations outlining funding 
restrictions in the Applicable Regulations section of this notice.
    6. Data Universal Numbering System Number, Taxpayer Identification 
Number, and System for Award Management: To do business with the 
Department of Education, you must--
    a. Have a Data Universal Numbering System (DUNS) number and a 
Taxpayer Identification Number (TIN);
    b. Register both your DUNS number and TIN with the System for Award 
Management (SAM), the Government's primary registrant database;
    c. Provide your DUNS number and TIN on your application; and
    d. Maintain an active SAM registration with current information 
while your application is under review by the Department and, if you 
are awarded a grant, during the project period.
    You can obtain a DUNS number from Dun and Bradstreet at the 
following Web site: http://fedgov.dnb.com/webform. A DUNS number can be 
created within one to two business days.
    If you are a corporate entity, agency, institution, or 
organization, you can obtain a TIN from the Internal Revenue Service. 
If you are an individual, you can obtain a TIN from the Internal 
Revenue Service or the Social Security Administration. If you need a 
new TIN, please allow two to five weeks for your TIN to become active.
    The SAM registration process can take approximately seven business 
days, but may take upwards of several weeks, depending on the 
completeness and accuracy of the data you enter into the SAM database. 
Thus, if you think you might want to apply for Federal financial 
assistance under a program administered by the Department, please allow 
sufficient time to obtain and register your DUNS number and TIN. We 
strongly recommend that you register early.

    Note:  Once your SAM registration is active, it may be 24 to 48 
hours before you can access the information in, and submit an 
application through, Grants.gov.

    If you are currently registered with SAM, you may not need to make 
any changes. However, please make certain that the TIN associated with 
your DUNS number is correct. Also note that you will need to update 
your registration annually. This may take three or more business days.
    Information about SAM is available at www.SAM.gov. To further 
assist you with obtaining and registering your DUNS number and TIN in 
SAM or updating your existing SAM account, we have prepared a SAM.gov 
Tip Sheet, which you can find at: www2.ed.gov/fund/grant/apply/sam-faqs.html.
    In addition, if you are submitting your application via Grants.gov, 
you must (1) be designated by your organization as an Authorized 
Organization Representative (AOR); and (2) register yourself with 
Grants.gov as an AOR. Details on these steps are outlined at the 
following Grants.gov Web page: www.grants.gov/web/grants/register.html.
    7. Other Submission Requirements: Applications for grants under 
this program competition must be submitted electronically unless you 
qualify for an exception to this requirement in accordance with the 
instructions in this section.
    a. Electronic Submission of Applications.
    Applications for grants under the EIR Program, CFDA number 84.411B, 
must be submitted electronically using the Governmentwide Grants.gov 
Apply site at www.Grants.gov. Through this site, you will be able to 
download a copy of the application package, complete it offline, and 
then upload and submit your application. You may not email an 
electronic copy of a grant application to us.
    We will reject your application if you submit it in paper format 
unless, as described elsewhere in this section, you qualify for one of 
the exceptions to the electronic submission requirement and submit, no 
later than two weeks before the application deadline date, a written 
statement to the Department that you qualify for one of these 
exceptions. Further information regarding calculation of the date that 
is two weeks before the application deadline date is provided later in 
this section under Exception to Electronic Submission Requirement.
    You may access the electronic grant application for EIR Mid-phase 
at www.Grants.gov. You must search for the downloadable application 
package for this competition by the CFDA number. Do not include the 
CFDA number's alpha suffix in your search (e.g., search for 84.411, not 
84.411B).
    Please note the following:
     When you enter the Grants.gov site, you will find 
information about submitting an application electronically through the 
site, as well as the hours of operation.
     Applications received by Grants.gov are date and time 
stamped. Your application must be fully uploaded and submitted and must 
be date and time stamped by the Grants.gov system no later than 4:30:00 
p.m., Washington, DC time, on the application deadline date. Except as 
otherwise noted in this section, we will not accept your application if 
it is received--that is, date and time stamped by the Grants.gov 
system--after 4:30:00 p.m., Washington, DC time, on the application 
deadline date. We do not consider an application that does not comply 
with the deadline requirements. When we retrieve your application from 
Grants.gov, we will notify you if we are rejecting your application 
because it was date and time stamped by the Grants.gov system after 
4:30:00 p.m., Washington, DC time, on the application deadline date.
     The amount of time it can take to upload an application 
will vary depending on a variety of factors, including the size of the 
application and the speed of your Internet connection. Therefore, we 
strongly recommend that you do not wait until the application deadline 
date to begin the submission process through Grants.gov.
     You should review and follow the Education Submission 
Procedures for submitting an application through Grants.gov that are 
included in the application package for this competition to ensure that 
you submit your application in a timely manner to the Grants.gov 
system. You can also find the Education Submission Procedures 
pertaining to Grants.gov under News and Events on the Department's G5 
system home page at www.G5.gov. In addition, for specific guidance and 
procedures for submitting an application through Grants.gov, please 
refer to the Grants.gov Web site at: www.grants.gov/web/grants/applicants/apply-for-grants.html.
     You will not receive additional point value because you 
submit your application in electronic format, nor will we penalize you 
if you qualify for an exception to the electronic submission 
requirement, as described elsewhere in this section, and submit your 
application in paper format.
     You must submit all documents electronically, including 
all information you typically provide on the following forms: The 
Application for Federal Assistance (SF 424), the Department of 
Education Supplemental Information for SF 424, Budget Information--Non-
Construction Programs (ED 524), and all necessary assurances and 
certifications.
     You must upload any narrative sections and all other 
attachments to

[[Page 90830]]

your application as files in a read-only Portable Document Format 
(PDF). Do not upload an interactive or fillable PDF file. If you upload 
a file type other than a read-only PDF (e.g., Word, Excel, WordPerfect, 
etc.) or submit a password-protected file, we will not review that 
material. Please note that this could result in your application not 
being considered for funding because the material in question--for 
example, the application narrative--is critical to a meaningful review 
of your proposal. For that reason it is important to allow yourself 
adequate time to upload all material as PDF files. The Department will 
not convert material from other formats to PDF.
     Your electronic application must comply with any page-
limit requirements described in this notice.
     After you electronically submit your application, you will 
receive from Grants.gov an automatic notification of receipt that 
contains a Grants.gov tracking number. This notification indicates 
receipt by Grants.gov only, not receipt by the Department. Grants.gov 
will also notify you automatically by email if your application met all 
the Grants.gov validation requirements or if there were any errors 
(such as submission of your application by someone other than a 
registered Authorized Organization Representative, or inclusion of an 
attachment with a file name that contains special characters). You will 
be given an opportunity to correct any errors and resubmit, but you 
must still meet the deadline for submission of applications.
    Once your application is successfully validated by Grants.gov, the 
Department will retrieve your application from Grants.gov and send you 
an email with a unique PR/Award number for your application.
    These emails do not mean that your application is without any 
disqualifying errors. While your application may have been successfully 
validated by Grants.gov, it must also meet the Department's application 
requirements as specified in this notice and in the application 
instructions. Disqualifying errors could include, for instance, failure 
to upload attachments in a read-only, non-modifiable PDF; failure to 
submit a required part of the application; or failure to meet applicant 
eligibility requirements. It is your responsibility to ensure that your 
submitted application has met all of the Department's requirements.
     We may request that you provide us original signatures on 
forms at a later date.
    Application Deadline Date Extension in Case of Technical Issues 
with the Grants.gov System: If you are experiencing problems submitting 
your application through Grants.gov, please contact the Grants.gov 
Support Desk, toll free, at 1-800-518-4726. You must obtain a 
Grants.gov Support Desk Case Number and must keep a record of it.
    If you are prevented from electronically submitting your 
application on the application deadline date because of technical 
problems with the Grants.gov system, we will grant you an extension 
until 4:30:00 p.m., Washington, DC time, the following business day to 
enable you to transmit your application electronically or by hand 
delivery. You also may mail your application by following the mailing 
instructions described elsewhere in this notice.
    If you submit an application after 4:30:00 p.m., Washington, DC 
time, on the application deadline date, please contact the person 
listed under For Further Information Contact in section VII of this 
notice and provide an explanation of the technical problem you 
experienced with Grants.gov, along with the Grants.gov Support Desk 
Case Number. We will accept your application if we can confirm that a 
technical problem occurred with the Grants.gov system and that the 
problem affected your ability to submit your application by 4:30:00 
p.m., Washington, DC time, on the application deadline date. We will 
contact you after we determine whether your application will be 
accepted.

    Note: The extensions to which we refer in this section apply 
only to the unavailability of, or technical problems with, the 
Grants.gov system. We will not grant you an extension if you failed 
to fully register to submit your application to Grants.gov before 
the application deadline date and time or if the technical problem 
you experienced is unrelated to the Grants.gov system.

    Exception to Electronic Submission Requirement: You qualify for an 
exception to the electronic submission requirement, and may submit your 
application in paper format, if you are unable to submit an application 
through the Grants.gov system because--
     You do not have access to the Internet; or
     You do not have the capacity to upload large documents to 
the Grants.gov system;

and

     No later than two weeks before the application deadline 
date (14 calendar days or, if the fourteenth calendar day before the 
application deadline date falls on a Federal holiday, the next business 
day following the Federal holiday), you mail or fax a written statement 
to the Department, explaining which of the two grounds for an exception 
prevents you from using the Internet to submit your application.
    If you mail your written statement to the Department, it must be 
postmarked no later than two weeks before the application deadline 
date. If you fax your written statement to the Department, we must 
receive the faxed statement no later than two weeks before the 
application deadline date.
    Address and mail or fax your statement to: Kelly Terpak, U.S. 
Department of Education, 400 Maryland Avenue SW., Room 4W312, 
Washington, DC 20202-5900. FAX: (202) 401-4123.
    Your paper application must be submitted in accordance with the 
mail or hand-delivery instructions described in this notice.
    b. Submission of Paper Applications by Mail.
    If you qualify for an exception to the electronic submission 
requirement, you may mail (through the U.S. Postal Service or a 
commercial carrier) your application to the Department. You must mail 
the original and two copies of your application, on or before the 
application deadline date, to the Department at the following address: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA Number 84.411B), LBJ Basement Level 1, 400 Maryland Avenue SW., 
Washington, DC 20202-4260.
    You must show proof of mailing consisting of one of the following:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (4) Any other proof of mailing acceptable to the Secretary of the 
U.S. Department of Education.
    If you mail your application through the U.S. Postal Service, we do 
not accept either of the following as proof of mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.

    Note:  The U.S. Postal Service does not uniformly provide a 
dated postmark. Before relying on this method, you should check with 
your local post office.

    We will not consider applications postmarked after the application 
deadline date.
    c. Submission of Paper Applications by Hand Delivery.

[[Page 90831]]

    If you qualify for an exception to the electronic submission 
requirement, you (or a courier service) may deliver your paper 
application to the Department by hand. You must deliver the original 
and two copies of your application, by hand, on or before the 
application deadline date, to the Department at the following address: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA Number 84.411B), 550 12th Street SW., Room 7039, Potomac Center 
Plaza, Washington, DC 20202-4260.
    The Application Control Center accepts hand deliveries daily 
between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except 
Saturdays, Sundays, and Federal holidays.

    Note for Mail or Hand Delivery of Paper Applications:  If you 
mail or hand deliver your application to the Department--
    (1) You must indicate on the envelope and--if not provided by 
the Department--in Item 11 of the SF 424 the CFDA number, including 
suffix letter, if any, of the competition under which you are 
submitting your application; and
    (2) The Application Control Center will mail to you a 
notification of receipt of your grant application. If you do not 
receive this notification within 15 business days from the 
application deadline date, you should call the U.S. Department of 
Education Application Control Center at (202) 245-6288.

V. Application Review Information

    1. Selection Criteria: The selection criteria for 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)

    In determining the significance of the project, the Secretary 
considers the following factors:
    (1) The magnitude or severity of the problem to be addressed by the 
proposed project.
    (2) The national significance of the proposed project.
    (3) The extent to which the proposed project represents an 
exceptional approach to the priority or priorities established for the 
competition.

B. Strategy to Scale (Up to 30 Points)

    In determining the applicant's capacity to scale the proposed 
project, the Secretary considers the following factors:
    (1) The extent to which the applicant demonstrates there is unmet 
demand for the process, product, strategy, or practice that will enable 
the applicant to reach the level of scale that is proposed in the 
application.
    (2) 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.
    (3) The feasibility of successful replication of the proposed 
project, if favorable results are obtained, in a variety of settings 
and with a variety of populations.

C. Quality of the Project Design and Management Plan (Up to 35 Points)

    In determining the quality of the proposed project design, the 
Secretary considers the following factors:
    (1) The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable.
    (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.
    (3) The adequacy of procedures for ensuring feedback and continuous 
improvement in the operation of the proposed project.
    (4) The potential and planning for the incorporation of project 
purposes, activities, or benefits into the ongoing work of the 
applicant beyond the end of the grant.

D. Quality of the Project Evaluation (Up to 20 Points)

    In determining the quality of the project evaluation to be 
conducted, 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 Evidence Standards without 
reservations.
    (2) The extent to which the evaluation will provide guidance about 
effective strategies suitable for replication or testing in other 
settings.
    (3) The extent to which the methods of evaluation will provide 
valid and reliable performance data on relevant outcomes.
    (4) The extent to which the evaluation plan clearly articulates the 
key components, mediators, and outcomes of the grant-supported 
intervention, as well as a measurable threshold for acceptable 
implementation.

    Note:  Applicants may wish to review the following technical 
assistance resources on evaluation: (1) WWC Procedures and Standards 
Handbook: http://ies.ed.gov/ncee/wwc/references/idocviewer/doc.aspx?docid=19&tocid=1; and (2) ``Technical Assistance Materials 
for Conducting Rigorous Impact Evaluations'' to the list of 
evaluation resources: 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 two 
optional Webinar recordings that were hosted by the Institute of 
Education Sciences. The first Webinar discussed strategies for 
designing and executing well-designed quasi-experimental design 
studies and is available at: http://ies.ed.gov/ncee/wwc/Multimedia.aspx?sid=23. The second Webinar focused on more rigorous 
evaluation designs, discussing strategies for designing and 
executing studies that meet WWC evidence standards without 
reservations. This Webinar is available at: http://ies.ed.gov/ncee/wwc/Multimedia.aspx?sid=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.
    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. For Mid-phase grant applications we intend to conduct a 
single-tier review.
    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 
of Education (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).
    3. Risk Assessment and Special Conditions: Consistent with 2 CFR 
200.205, before awarding grants under this competition the Department 
conducts a review of the risks posed by applicants. Under 2 CFR 
3474.10, the

[[Page 90832]]

Secretary may impose special conditions and, 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 
$150,000), under 2 CFR 200.205(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 SAM. 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.

VI. Award Administration Information

    1. Award Notices: If your application is successful, we notify your 
U.S. Representative and U.S. Senators and send you a Grant Award 
Notification (GAN); or we may send you an email containing a link to 
access an electronic version of your GAN. We may notify you informally, 
also.
    If your application is not evaluated or not selected for funding, 
we notify you.
    2. Administrative and National Policy Requirements: We identify 
administrative and national policy requirements in the application 
package and reference these and other requirements in the Applicable 
Regulations section of this notice.
    We reference the regulations outlining the terms and conditions of 
an award in the Applicable Regulations section of this notice and 
include these and other specific conditions in the GAN. The GAN also 
incorporates your approved application as part of your binding 
commitments under the grant.
    3. Reporting: (a) If you apply for a grant under this competition, 
you must ensure that you have in place the necessary processes and 
systems to comply with the reporting requirements in 2 CFR part 170 
should you receive funding under the competition. This does not apply 
if you have an exception under 2 CFR 170.110(b).
    (b) At the end of your project period, you must submit a final 
performance report, including financial information, as directed by the 
Secretary. If you receive a 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.
    4. 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 or student growth for high-need students. We have 
established several performance measures for the EIR 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) and 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.
    5. 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, 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. Agency Contact

For Further Information Contact:  Kelly Terpak, U.S. Department of 
Education, 400 Maryland Avenue SW., Room 4W312, Washington, DC 20202-
5900. Telephone: (202) 453-7122. FAX: (202) 401-4123 or by email: 
[email protected].
    If you use a TDD or a TTY, call the Federal Relay Service, toll 
free, at 1-800-877-8339.

VIII. Other Information

    Accessible Format: Individuals with disabilities can obtain this 
document and a copy of the application package in an accessible format 
(e.g., Braille, large print, audiotape, or compact disc) on request to 
the program contact person listed under For Further Information Contact 
in section VII of this notice.

[[Page 90833]]

    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. Free 
Internet access to the official edition of the Federal Register and the 
Code of Federal Regulations is available via the Federal Digital System 
at: www.thefederalregister.org/fdsys. At this site you can view this document, as well 
as all other documents of this Department published in the Federal 
Register, in text or Portable Document Format (PDF). To use PDF you 
must have Adobe Acrobat Reader, which is available free at the site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at: 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.

    Dated: December 9, 2016.
Nadya Chinoy Dabby,
Assistant Deputy Secretary for Innovation and Improvement.
[FR Doc. 2016-30084 Filed 12-14-16; 8:45 am]
 BILLING CODE 4000-01-P



                                                                         Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices                                             90821

                                               63256) and were codified in 34 CFR                      Full Text of Announcement                             which practices improve student
                                               685.219. These regulations require a                    I. Funding Opportunity Description                    achievement, for which types of
                                               borrower to submit an application for                                                                         students, and in what contexts.
                                               loan forgiveness to the U.S. Department                    Purpose of Program: The Education                     The Department of Education
                                               of Education (the Department). To                       Innovation and Research (EIR) Program,                (Department) awards three types of
                                               determine whether a borrower is eligible                established under section 4611 of the                 grants under this program: ‘‘Early-
                                               for loan forgiveness, the Department                    Elementary and Secondary Education                    phase’’ grants, ‘‘Mid-phase’’ grants, and
                                               must confirm that the borrower was                      Act (ESEA), as amended by Every                       ‘‘Expansion’’ grants. These grants differ
                                               employed full-time by a qualifying                      Student Succeeds Act (ESSA), provides                 in terms of the level of prior evidence
                                               public service organization at the time                 funding to create, develop, implement,                of effectiveness required for
                                               each of the required 120 payments was                   replicate, or take to scale                           consideration for funding, the
                                               made. Because borrowers must make                       entrepreneurial, evidence-based, field-               expectations regarding the kind of
                                               120 payments on or after October 1,                     initiated innovations to improve student              evidence and information funded
                                               2007 before becoming eligible for                       achievement (as defined in this notice)               projects should produce, the level of
                                               forgiveness, the earliest that any                      and attainment for high-need students                 scale funded projects should reach, and,
                                               borrower could apply for forgiveness                    (as defined in this notice); and                      consequently, the amount of funding
                                               under PSLF would be October 1, 2017.                    rigorously evaluate such innovations.                 available to support each type of project.
                                                                                                       The EIR program is designed to generate                  Mid-phase grants provide funding to
                                                 The Department is creating an                         and validate solutions to persistent                  support scaling of projects supported by
                                               application for forgiveness and revising                educational challenges and to support                 moderate evidence (as defined in this
                                               the Employment Certification Form                       the expansion of effective solutions to               notice) for at least one population or
                                               which is already part of this collection.               serve substantially larger numbers of                 setting to the regional level (as defined
                                               Pages 2 through 6 of the current                        students.                                             in this notice) or to the national level (as
                                               Employment Certification Form will                         The central design element of the EIR              defined in this notice). This notice
                                               also be embedded in the application.                    program is its multi-tier structure that              invites applications for Mid-phase
                                               Slight changes have been made to the                    links the amount of funding that an                   grants only. The notices inviting
                                               language on the Employment                              applicant may receive to the quality of               applications for Early-phase and
                                               Certification Form to increase                          the evidence supporting the efficacy of               Expansion grants are published
                                               consistency and understanding.                          the proposed project, with the                        elsewhere in this issue of the Federal
                                                 Dated: December 13, 2016.                             expectation that projects that build this             Register.
                                               Kate Mullan,                                            evidence will advance through EIR’s                      Background: EIR builds on seven
                                                                                                       grant tiers. Applicants proposing                     years of investments—over $1.4 billion,
                                               Acting Director, Information Collection
                                               Clearance Division, Office of the Chief Privacy         innovative practices (as defined in this              matched by over $200 million in private
                                               Officer, Office of Management.                          notice) that are supported by limited                 sector resources—from the Department’s
                                               [FR Doc. 2016–30270 Filed 12–14–16; 8:45 am]
                                                                                                       evidence can receive relatively small                 Investing in Innovation (i3) program in
                                                                                                       grants to support the development,                    a portfolio of practices that address
                                               BILLING CODE 4000–01–P
                                                                                                       iteration, and initial evaluation of the              critical challenges in education and that
                                                                                                       practices; applicants proposing                       generate rigorous evaluations to
                                               DEPARTMENT OF EDUCATION                                 practices supported by evidence from                  determine the practices’ effectiveness. i3
                                                                                                       rigorous evaluations, such as large                   has generated new information
                                               Applications for New Awards;                            randomized controlled trials (as defined              regarding effective educational practices
                                               Education Innovation and Research                       in this notice), can receive larger grant             and increased evaluators’ capacity to
                                               Program—Mid-Phase Grants                                awards to support expansion across the                conduct rigorous evaluations of student
                                                                                                       country. This structure provides                      learning outcomes that provide
                                               AGENCY:Office of Innovation and                         incentives for applicants to: (1) Explore             actionable information for educators.
                                               Improvement, Department of Education.                   new ways of addressing persistent                     EIR is designed expand on the successes
                                                                                                       challenges that other educators can                   of i3 to offer new opportunities for
                                               ACTION:   Notice.                                       build on and learn from; (2) build                    States, districts, schools, and educators
                                                                                                       evidence of effectiveness of their                    to develop innovations and scale
                                               Overview Information                                    practices; and (3) replicate and scale                effective practices that address their
                                                 Education Innovation and Research                     successful practices in new schools,                  most pressing challenges.
                                               Program—Mid-phase Grants.                               districts, and states while addressing the               EIR Mid-phase projects are expected
                                                                                                       barriers to scale, such as cost structures            to refine and expand the use of practices
                                                 Notice inviting applications for new                  and implementation fidelity.                          with prior evidence of effectiveness, in
                                               awards for fiscal year (FY) 2017.                          All EIR projects are expected to                   order to improve outcomes for high-
                                                 Catalog of Federal Domestic                           generate information regarding their                  need students. They are also expected to
                                               Assistance (CFDA) Number: 84.411B                       effectiveness in order to inform EIR                  generate important information about an
                                               (Mid-phase Grants).                                     grantees’ efforts to learn about and                  intervention’s effectiveness, including
                                                                                                       improve upon their efforts, and to help               for whom and in which contexts a
                                               DATES:                                                  similar, non-EIR efforts across the                   practice is most effective.
                                                 Applications Available: December 19,                  country benefit from EIR grantees’                       To the extent possible, we intend to
                                               2016.                                                   knowledge. By requiring that all                      fund multiple projects addressing
rmajette on DSK2TPTVN1PROD with NOTICES




                                                 Deadline for Notice of Intent to Apply:               grantees conduct independent                          similar challenges. By so doing, we aim
                                               February 13, 2017.                                      evaluations (as defined in this notice) of            to accelerate the building of a
                                                                                                       their EIR projects, EIR ensures that its              knowledge base of effective practices for
                                                 Deadline for Transmittal of                           funded projects make a significant                    addressing these challenges and
                                               Applications: April 13, 2017.                           contribution to improving the quality                 increase the likelihood that grantees can
                                                 Deadline for Intergovernmental                        and quantity of information available to              learn from one another while still
                                               Review: June 13, 2017.                                  practitioners and policymakers about                  exploring different approaches. We


                                          VerDate Sep<11>2014   15:19 Dec 14, 2016   Jkt 241001   PO 00000   Frm 00050   Fmt 4703   Sfmt 4703   E:\FR\FM\15DEN1.SGM   15DEN1


                                               90822                     Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices

                                               believe that improving outcomes across                  Through historic investments in early                  redesign learning environments). Also
                                               the education sector depends, in part,                  learning, the number of students                       needed are ways to measure such social
                                               upon policymakers, practitioners and                    enrolled in high-quality preschool has                 emotional competencies in valid and
                                               researchers continually building upon                   expanded dramatically over the last                    reliable ways, and to demonstrate how
                                               one another’s efforts to have the greatest              eight years, but the gains realized during             improvement in such skills and
                                               impact.                                                 preschool often fail to persist through                behaviors affects overall student
                                                  Mid-phase grantees must evaluate the                 elementary school.2 This is particularly               learning outcomes.5
                                               effectiveness of the EIR-supported                      true for at-risk students. More should be                 Third, the Department includes an
                                               practice that the project implements and                done to ensure the gains from high-                    absolute priority for projects to improve
                                               expands, and the application must                       quality preschool experiences are                      low-performing schools (e.g., schools
                                               include an evaluation designed to have                  sustained and built upon in early                      selected for comprehensive support and
                                               the potential to meet the evidence                      elementary school. Strategies to increase              improvement activities or targeted
                                               requirement of strong evidence (as                      alignment across preschool through                     support and improvement activities or
                                               defined in this notice) under Expansion.                elementary school or to support                        schools with the largest within-school
                                               Not only will such evaluation data build                students’ transition into and through                  performance gaps between student
                                               the knowledge base about effective                      elementary school may lead to more                     subgroups); and to ensure that more
                                               practices for underserved students, but                 lasting and significant academic                       students receive a high-quality K–12
                                               it will also encourage future Expansion                 outcomes.                                              public education. Many of our
                                               applicants to leverage the findings from                   Second, the Department includes an                  historically underserved students are
                                               Mid-phase grantees’ efforts. The                        absolute priority to enhance students’                 concentrated in schools that do not
                                               evaluation of a Mid-phase project must                  social-behavioral competencies. These                  adequately meet their learning needs.
                                               identify and codify the core elements of                social-behavioral competencies may                     By identifying the appropriate
                                               the EIR-supported practice that the                     include social skills (e.g., skills needed             configuration of school improvement
                                               project implements in order to support                  to positively interact with peers,                     practices, educators can more readily
                                               adoption or replication by other entities;              teachers, and other adults), behavior                  and reliably improve student outcomes
                                               furthermore, the evaluation must                        (i.e., promoting positive behaviors or                 in the low-performing schools (as
                                               examine effectiveness of the project for                reducing negative behaviors), or non-                  defined in this notice), and as
                                               any new populations or settings that are                cognitive factors (e.g., academic                      appropriate, their feeder schools. It can
                                               included in the project. Mid-phase                      mindset, perseverance, and self-                       be especially powerful when a variety of
                                               grantees should measure the cost-                       regulation).3 There is significant                     practices, such as those that promote a
                                               effectiveness of their practices using                  research that shows a strong connection                positive school culture, utilize early
                                               administrative or other readily available               between these social-behavioral                        warning indicators to intervene with
                                               data, and test and validate alternatives                competencies and student learning,4 but                students at risk of educational failure, or
                                               to practices that are too costly or                     there is still a need to build the                     implement effective research-based
                                               inefficient. These types of efforts are                 knowledge base of evidence-based                       pedagogical practices are planned and
                                               critical to sustaining and scaling EIR-                 practices that help students develop                   implemented in mutually reinforcing
                                               funded effective practices after the EIR                such skills and behaviors. These                       ways.
                                               grant period ends, assuming that the                    practices might include interventions                     Finally, the Department includes an
                                               practice has positive effects on                        that directly target students, support                 absolute priority for projects supported
                                               important student outcomes.                             changes in educators’ instructional                    by moderate evidence. Projects must
                                                  All EIR applicants are required to                   practices (for example, preventative or                demonstrate moderate evidence, for at
                                               serve high-need students and are                        responsive approaches to trauma), or                   least one population or setting, that are
                                               therefore required to address absolute                                                                         designed to improve student
                                               priority one. EIR Mid-phase applicants                    2 Lipsey, M.W., Farran, D.C., Hofer, K.G. (2015).
                                                                                                                                                              achievement and attainment in
                                               are also required to address one of the                 A randomized control trial of a statewide voluntary
                                                                                                       prekindergarten program on children’s skills and
                                                                                                                                                              emerging areas of critical need. In recent
                                               other four absolute priorities that                     behaviors through third grade. Nashville, TN:          years, there has been an increase in
                                               address persistent challenges in public                 Vanderbilt University, Peabody Research Institute;     rigorous education research that is
                                               education for which there are solutions                 U.S. Department of Health and Human Services,          relevant to education practitioners.6
                                               that are supported by moderate                          Administration for Children and Families. (2010,
                                                                                                       January). Head Start Impact Study: Final report.
                                                                                                                                                              Where there is a match between
                                               evidence.                                               Washington, DC: Author.                                compelling evidence and the most
                                                  First, the Department includes an                      3 The University of Chicago Consortium of            urgent challenges in K–12 education,
                                               absolute priority for improving early                   Chicago School Research (June 2015). Foundations       expanding the knowledge base
                                               learning and development outcomes.                      for Young Adult Success: A Developmental
                                                                                                       Framework. Retrieved from https://
                                                                                                                                                              regarding these effective practices may
                                               Research continues to demonstrate that                  consortium.uchicago.edu/sites/default/files/           be important.
                                               the quality of students’ early learning                 publications/Wallace%20Report.pdf; Montroy, J.J.,         Priorities: This competition includes
                                               (birth through third grade) experiences                 Bowles, R.P., Skibbe, L.E. and Foster, T.D. (2014).    five absolute priorities. Absolute
                                               has a significant impact on subsequent                  Social skills and problem behaviors as mediators of    Priority 1 is from the Department’s
                                                                                                       the relationship between behavioral self-regulation
                                               academic and social competencies.1                      and academic achievement. Early Childhood
                                                                                                                                                                 5 The Department’s What Works Clearinghouse
                                                                                                       Research Quarterly, 29 (2014): 298–309.
                                                 1 Andrews,  R.J., Jargowsky, P., & Kuhne, K.            4 Casillas, A., Robbins, S., Allen, J., Kuo, Y.L.,   includes information on research on social-
                                               (2012). The effects of Texas’s pre-kindergarten         Ann Hanson, M., and Schmeiser, C. (2012).              behavioral competencies (using ‘‘student behavior’’
                                               program on academic performance (CALDER                 Predicting early academic failure in high school       as a filer: http://ies.ed.gov/ncee/wwc/
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                                               Working Paper No. 84). Washington, DC: National         from prior academic achievement, psychosocial          findwhatworks.aspx), as well as a Practice Guide on
                                               Center for Analysis of Longitudinal Data on             characteristics, and behavior. Journal of              Reducing Behavior Problems in the Elementary
                                               Educational Research; Barnett, W.S. (2008).             Educational Psychology, 104(2), 407–420; Yeager,       School Classroom: http://ies.ed.gov/ncee/wwc/
                                               Preschool education and its lasting effects:            D.S., and Walton, G.M. (2011). Social-psychological    PracticeGuide.aspx?sid=4).
                                               Research and policy implications. Boulder, CO, &        interventions in education: They’re not magic.            6 Kantrowitz, Barbara, (2014). ‘‘Scientists Bring

                                               Tempe, AZ: Education and the Public Interest            Review of Educational Research, 81(2), 267–301;        New Rigor to Education Research.’’ Scientific
                                               Center & Education Policy Research Unit. Retrieved      Weissberg, R.P. and Cascarino, J. (2013). Academic     American, July 15, 2014, http://
                                               from http://nepc.colorado.edu/files/PB-Barnett-         learning + social-emotional learning = national        www.scientificamerican.com/article/scientists-
                                               EARLY-ED_FINAL.pdf.                                     priority. Phi Delta Kappan, 95 (2): 8–13.              bring-new-rigor-to-education-research/.



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                                                                         Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices                                           90823

                                               notice of final supplemental priorities                 or programs that are designed to                      notice) or findings from a collection of
                                               and definitions for discretionary grant                 improve outcomes for students in low-                 single-case design studies (SCDs) (as
                                               programs, published in the Federal                      performing schools (as defined in this                defined in this notice) may be
                                               Register on December 10, 2014 (79 FR                    notice).                                              considered equivalent to a finding from
                                               73425) (Supplemental Priorities). We                                                                          an RCT. RCTs and RDDs, and
                                                                                                       Absolute Priority 5—Evidence-Driven
                                               are establishing Absolute Priorities 2, 3,                                                                    collections of SCDs, depending on
                                                                                                       Practices
                                               4, and 5 in accordance with section                                                                           design and implementation, can Meet
                                               437(d)(1) of the General Education                        Under the priority, we provide                      What Works Clearinghouse Evidence
                                               Provisions Act (GEPA), 20 U.S.C.                        funding to projects that meet the                     Standards without reservations (as
                                               1232(d)(1). These absolute priorities                   evidence standard established in                      defined in this notice).
                                               will apply to the FY 2017 EIR Mid-                      Section III.3. for this competition and                  High-minority school means a school
                                               phase competition and any subsequent                    are designed to improve student                       as that term is defined by a local
                                               year in which we make awards from the                   achievement and attainment in areas of                educational agency (LEA) (as defined in
                                               list of unfunded applicants from this                   critical national need.                               this notice), which must define the term
                                               competition.                                            Definitions                                           in a manner consistent with its State’s
                                                  Absolute Priorities: These priorities                                                                      Teacher Equity Plan, as required by
                                               are absolute priorities. Under 34 CFR                      The definitions of ‘‘national level’’              section 1111(g)(1)(B) of the Elementary
                                               75.105(c)(3) we consider only                           and ‘‘nonprofit’’ are from 34 CFR 77.1.               and Secondary Education Act (ESEA),
                                                                                                       The definitions for ‘‘essential domains               as amended by Every Student Succeeds
                                               applications that meet Absolute Priority
                                                                                                       of school readiness,’’ ‘‘high-need                    Act (ESSA). The applicant must provide
                                               1, Supporting High-Need Students, and
                                                                                                       students,’’ and ‘‘regular high school                 the definition(s) of high-minority
                                               one additional priority. Applicants must
                                                                                                       diploma are from the Supplemental                     schools used in its application.
                                               clearly identify the specific absolute
                                                                                                       Priorities. The definitions of ‘‘local                   High-need students means students
                                               priority that the proposed project
                                                                                                       educational agency’’ and ‘‘state                      who are at risk for educational failure or
                                               addresses.
                                                  These priorities are:                                educational agency’’ are from Section                 otherwise in need of special assistance
                                                                                                       8101 of the ESEA, as reauthorized by                  and support, such as students who are
                                               Absolute Priority 1—Supporting High-                    ESSA. We are establishing the                         living in poverty, who attend high-
                                               Need Students                                           definitions for ‘‘experimental study,’’               minority schools (as defined in this
                                                 Under this priority, we provide                       ‘‘high-minority school,’’ ‘‘independent               notice), who are far below grade level,
                                               funding to projects that are designed to                evaluation,’’ ‘‘large sample,’’ ‘‘logic               who have left school before receiving a
                                               improve academic outcomes for high-                     model,’’ ‘‘low-performing schools,’’                  regular high school diploma (as defined
                                               need students.                                          ‘‘meets What Works Clearinghouse                      in this notice), who are at risk of not
                                                                                                       Standards without reservations,’’ ‘‘meets             graduating with a diploma on time, who
                                               Absolute Priority 2—Improving Early                     What Works Clearinghouse Evidence                     are homeless, who are in foster care,
                                               Learning and Development Outcomes                       Standards with reservations,’’                        who have been incarcerated, who have
                                                  Under this priority, we provide                      ‘‘moderate evidence,’’ ‘‘multi-site                   disabilities, or who are English learners.
                                               funding to projects that are designed to                sample,’’ ‘‘practice,’’ ‘‘quasi-                         Independent evaluation means that
                                               improve early learning and                              experimental design study,’’                          the evaluation is designed and carried
                                               development outcomes across one or                      ‘‘randomized controlled trial,’’ ‘‘regional           out independent of, but in coordination
                                               more of the essential domains of school                 level,’’ ‘‘regression discontinuity design            with, any employees of the entities who
                                               readiness (as defined in this notice) by                study,’’ ‘‘relevant finding,’’ ‘‘relevant             develop a practice and are
                                               sustaining students’ improved early                     outcome,’’ ‘‘rural local educational                  implementing it.
                                               learning and development outcomes                       agencies,’’ ‘‘single-case design study,’’                Large sample means an analytic
                                               from Pre-K programs throughout the                      ‘‘strong evidence,’’ and ‘‘student                    sample of 350 or more students (or other
                                               early elementary school years.                          achievement’’ for the FY 2017 grant                   single analysis units), or 50 or more
                                                                                                       competition only, in accordance with                  groups (such as classrooms or schools)
                                               Absolute Priority 3—Social-Behavioral                   section 437(d)(1) of GEPA, 20 U.S.C.                  that each contain, on average, 10 or
                                               Competencies                                            1232(d)(1).                                           more students (or other single analysis
                                                 Under this priority, we provide                          Essential domains of school readiness              units, regardless of whether these single
                                               funding to projects that are designed to                means the domains of language and                     analysis units are disaggregated in the
                                               help students improve their social                      literacy development, cognition and                   analysis of outcomes for the groups).
                                               skills, behaviors, or underlying                        general knowledge (including early                    Multiple studies can cumulatively be
                                               cognitive abilities that support social-                mathematics and early scientific                      used to meet the multi-site sample (as
                                               behavioral competencies; improve                        development), approaches toward                       defined in this notice) and large sample
                                               students’ mastery of non-cognitive skills               learning (including the utilization of the            requirements of moderate evidence or
                                               and behaviors (such as academic                         arts), physical well-being and motor                  strong evidence, as long as each study
                                               behaviors, academic mindset,                            development (including adaptive skills),              meets the other requirements of the
                                               perseverance, self-regulation, social and               and social and emotional development.                 particular level of evidence (i.e.,
                                               emotional skills, and approaches toward                    Experimental study means a study,                  moderate evidence or strong evidence).
                                               learning strategies) and enhance student                such as a randomized controlled trial                    Local educational agency means:
                                               motivation and engagement in learning;                  (RCT) (as defined in this notice), that is               (a) A public board of education or
                                               and identify better ways of measuring                   designed to compare outcomes between                  other public authority legally
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                                               the impact of students’ social-behavioral               two groups of individuals that are                    constituted within a State for either
                                               competencies on student achievement.                    otherwise equivalent except for their                 administrative control or direction of, or
                                                                                                       assignment to either a treatment group                to perform a service function for, public
                                               Absolute Priority 4—Improving Low-                      receiving a practice or a control group               elementary schools or secondary
                                               Performing Schools                                      that does not. In some circumstances, a               schools in a city, county, township,
                                                 Under this priority, we provide                       finding from a regression discontinuity               school district, or other political
                                               funding to support strategies, practices,               design study (RDD) (as defined in this                subdivision of a State, or of or for a


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                                               90824                     Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices

                                               combination of school districts or                         Meets What Works Clearinghouse                     and proposed for rural high schools);
                                               counties that is recognized in a State as               Evidence Standards without                            and (d) the relevant finding in the study
                                               an administrative agency for its public                 reservations is the highest possible                  described in paragraph (a) is based on
                                               elementary schools or secondary                         rating for a study finding reviewed by                a large sample (as defined in this notice)
                                               schools.                                                the What Works Clearinghouse (WWC).                   and a multi-site sample (as defined in
                                                  (b) Administrative Control and                       Studies receiving this rating provide the             this notice).
                                               Direction. The term includes any other                  highest degree of confidence that an                     Multi-site sample means more than
                                               public institution or agency having                     estimated effect was caused by the                    one site, where site can be defined as an
                                               administrative control and direction of                 practice studied. Experimental studies                LEA, locality, or State. A sample could
                                               a public elementary school or secondary                 (as defined in this notice) may receive               be multi-site if it includes campuses in
                                               school.                                                 this highest rating. These standards are              two or more localities (e.g., cities or
                                                  (c) Bureau of Indian Education                       described in the WWC Procedures and                   counties), even if the campuses all
                                               Schools. The term includes an                           Standards Handbooks, Version 3.0,                     belong to the same LEA or the same
                                               elementary school or secondary school                   which can be accessed at http://                      postsecondary school system. Multiple
                                               funded by the Bureau of Indian                          ies.ed.gov/ncee/wwc/Handbooks.                        studies can cumulatively meet the
                                               Education but only to the extent that                      Meets What Works Clearinghouse                     multi-site sample and large sample (as
                                               including the school makes the school                   Evidence Standards with reservations is               defined in this notice) requirements of
                                               eligible for programs for which specific                the second-highest rating for a study                 moderate and strong evidence, as long
                                               eligibility is not provided to the school               finding reviewed by the What Works                    as each study meets the other
                                               in another provision of law and the                     Clearinghouse (WWC). Studies receiving                requirements of the particular level of
                                               school does not have a student                          this rating provide a reasonable degree               evidence (i.e., moderate evidence and
                                               population that is smaller than the                     of confidence that an estimated effect                strong evidence).
                                               student population of the local                         was caused by the practice studied.                      National level describes the level of
                                               educational agency receiving assistance                 Both experimental studies (as defined in              scope or effectiveness of a process,
                                               under this Act with the smallest student                this notice) (such as randomized                      product, strategy, or practice that is able
                                               population, except that the school shall                controlled trials with high rates of                  to be effective in a wide variety of
                                               not be subject to the jurisdiction of any               sample attrition) and quasi-                          communities, including rural and urban
                                               State educational agency (as defined in                 experimental design studies (as defined               areas, as well as with different groups
                                               this notice) other than the Bureau of                   in this notice) may receive this rating if            (e.g., economically disadvantaged, racial
                                               Indian Education.                                       they establish the equivalence of the                 and ethnic groups, migrant populations,
                                                  (d) Educational Service Agencies. The                treatment and comparison groups in key                individuals with disabilities, English
                                               term includes educational service                       baseline characteristics. These standards             learners, and individuals of each
                                               agencies and consortia of those                         are described in the WWC Procedures                   gender).
                                               agencies.                                               and Standards Handbooks, Version 3.0,                    Nonprofit, as applied to an agency,
                                                  (e) State Educational Agency. The                    which can be accessed at http://                      organization, or institution, means that
                                               term includes the State educational                     ies.ed.gov/ncee/wwc/Handbooks.                        it is owned and operated by one or more
                                               agency in a State in which the State                       Moderate evidence means the                        corporations or associations whose net
                                               educational agency is the sole                          following conditions are met: (a) There               earnings do not benefit, and cannot
                                               educational agency for all public                       is at least one experimental or quasi-                lawfully benefit, any private
                                               schools.                                                experimental design study of the                      shareholder or entity.
                                                  Logic model (also known as a theory                  effectiveness of the practice with a                     Practice means an activity, strategy, or
                                               of action) means a reasonable                           relevant finding (as defined in this                  intervention included in a project.
                                               conceptual framework that identifies                    notice) that Meets What Works                         Evidence may pertain to an individual
                                               key components of the proposed project                  Clearinghouse Evidence Standards with                 practice, or to a combination of
                                               (i.e., the active ‘‘ingredients’’ that are              or without reservations (e.g., a quasi-               practices (e.g., training teachers on
                                               hypothesized to be critical to achieving                experimental design study or high-                    instructional practices for English
                                               the relevant outcomes (as defined in this               attrition randomized controlled trial                 learners and follow-on coaching for
                                               notice)) and describes the theoretical                  that establishes the equivalence of the               these teachers).
                                               and operational relationships among the                 treatment and comparison groups in                       Quasi-experimental design study
                                               key components and outcomes.                            student achievement at baseline); (b) the             (QED) means a study using a design that
                                                  Low-performing schools mean (1)                      relevant finding in the study described               attempts to approximate an
                                               elementary and secondary schools                        in paragraph (a) is of a statistically                experimental design by identifying a
                                               identified, at the time of submission of                significant and positive (i.e., favorable)            comparison group that is similar to the
                                               an application under this competition,                  effect on a student outcome or other                  treatment group in important respects.
                                               as in need of corrective action or                      relevant outcome, with no statistically               This type of study, depending on design
                                               restructuring under the ESEA, as                        significant and overriding negative (i.e.,            and implementation, can Meet What
                                               authorized amended by the NCLB; (2),                    unfavorable) evidence on that practice                Works Clearinghouse Evidence
                                               elementary and secondary schools                        from other findings on the intervention               Standards with reservations (as defined
                                               identified, at the time of submission of                reviewed by and reported on the What                  in this notice) (but not without
                                               an application under this competition,                  Works Clearinghouse that Meet What                    reservations).
                                               as a priority or focus school by a State                Works Clearinghouse Evidence                             Randomized controlled trial (RCT)
                                               under ESEA flexibility; and, (3)                        Standards with or without reservations;               means a study that employs random
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                                               secondary (both middle and high                         (c) the relevant finding in the study                 assignment of, for example, students,
                                               schools) in a State that are, at the time               described in paragraph (a) is based on                teachers, classrooms, or schools to
                                               of submission of an application under                   a sample that overlaps with the                       receive the practice being evaluated (the
                                               this competition, equally as low-                       populations (e.g., the types of student               treatment group) or not to receive the
                                               achieving as these Title I schools above                served) or settings proposed to receive               practice (the control group). The
                                               and are eligible for, but do not receive,               the practice (e.g., an after-school                   estimated effectiveness of the practice is
                                               Title I funds.                                          program studied in urban high schools                 the difference between the average


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                                                                         Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices                                             90825

                                               outcomes for the treatment group and                       Single-case design study (SCD) means               by ESSA: (1) Alternative measures of
                                               for the control group. These studies,                   a study that use observations of a single             student learning and performance, such
                                               depending on design and                                 case (e.g., a student eligible for a                  as student results on pre-tests, end-of-
                                               implementation, can Meet What Works                     behavioral intervention) over time in the             course tests, and objective performance-
                                               Clearinghouse Evidence Standards                        absence and presence of a controlled                  based assessments; (2) students learning
                                               without reservations.                                   treatment manipulation to determine                   objectives; (3) student performance on
                                                  Regional level describes the level of                whether the outcome is systematically                 English language proficiency
                                               scope or effectiveness of a practice that               related to the treatment. According to                assessments; and (4) other measures of
                                               is able to serve a variety of communities               the What Works Clearinghouse Single                   student achievement that are rigorous
                                               within a State or multiple States,                      Case Design Pilot Standards, a                        and comparable across schools within
                                               including rural and urban areas, as well                collection of these studies, depending                an LEA.
                                               as with different groups (e.g.,                         on design and implementation (e.g.,                      Waiver of Proposed Rulemaking:
                                               economically disadvantaged, racial and                  including a sufficient number of cases                Under the Administrative Procedure Act
                                               ethnic groups, migrant populations,                     and of data points per condition), can                (5 U.S.C. 553), the Department generally
                                               individuals with disabilities, English                  Meet What Works Clearinghouse                         offers interested parties the opportunity
                                               learners, and individuals of each                       Evidence Standards without                            to comment on proposed priorities,
                                               gender). For an LEA-based project to be                 reservations.                                         definitions, and other requirements.
                                               considered a regional-level project, a                     State educational agency means the                 Section 437(d)(1) of GEPA, however,
                                               practice must serve students in more                    agency primarily responsible for the                  allows the Secretary to exempt from
                                               than one LEA, unless the practice is                    State supervision of public elementary                rulemaking requirements, regulations
                                               implemented in a State in which the                     schools and secondary schools.                        governing the first grant competition
                                               State educational agency is the sole                       Strong evidence means the following                under a new or substantially revised
                                               educational agency for all schools.                     conditions are met: (a) There is at least             program authority. This grant
                                                  Regression discontinuity design study                one experimental study (e.g., a                       competition is the first for the EIR
                                               (RDD) means a study that assigns the                    randomized controlled trial) of the                   program under 20 U.S.C. 1138–1138d
                                               practice being evaluated using a                        effectiveness of the practice that has a              and therefore qualifies for this
                                               measured variable (e.g., assigning                      relevant finding that Meets the What                  exemption. In order to ensure timely
                                               students reading below a cutoff score to                Works Clearinghouse Evidence                          grant awards, the Secretary has decided
                                               tutoring or developmental education                     Standards without reservations (e.g., a               to forego public comment on the
                                               classes) and controls for that variable in              randomized controlled trial with low                  priorities, definitions, and requirements
                                               the analysis of outcomes. The                           rates of sample attrition overall and                 under section 437(d)(1) of GEPA. These
                                               effectiveness of the practice is estimated              between the treatment and control                     priorities, definitions, and requirements
                                               for individuals who barely qualify to                   groups); (b) the relevant finding in the              will apply to the FY 2017 grant
                                               receive that component. These studies,                  study described in paragraph (a) is of a              competition only.
                                               depending on design and                                 statistically significant and positive (i.e.,            Program Authority: Section 4611 of
                                               implementation, can Meet What Works                     favorable) effect on a student outcome                the ESEA, as amended by the ESSA.
                                               Clearinghouse Evidence Standards                        or other relevant outcome, with no                       Applicable Regulations: (a) The
                                               without reservations.                                   statistically significant and overriding              Education Department General
                                                  Regular high school diploma means                    negative (i.e., unfavorable) evidence on              Administrative Regulations (EDGAR) in
                                               the standard high school diploma that is                that practice from other findings that                34 CFR parts 75, 77, 79, 81, 82, 84, 86,
                                               awarded to students in the State and                    Meet What Works Clearinghouse                         97, 98, and 99. (b) The OMB Guidelines
                                               that is fully aligned with the State’s                  Evidence Standards with or without                    to Agencies on Governmentwide
                                               academic content standards or a higher                  reservations; (c) the relevant finding in             Debarment and Suspension
                                               diploma and does not include a General                  the study described in paragraph (a) is               (Nonprocurement) in 2 CFR part 180, as
                                               Education Development (GED)                             based on a sample that overlaps with                  adopted and amended as regulations of
                                               credential, certificate of attendance, or               the populations (i.e., the types of                   the Department in 2 CFR part 3485.
                                               any alternative award.                                  student served) and settings proposed to              (c) The Uniform Administrative
                                                  Relevant finding means a finding from                receive the practice (e.g., an after-school           Requirements, Cost Principles, and
                                               a study regarding the relationship                      program both studied in, and proposed                 Audit Requirements for Federal Awards
                                               between (a) an activity, strategy, or                   for, urban high schools); and (d) the                 in 2 CFR part 200, as adopted and
                                               intervention included as a practice of                  relevant finding in the study described               amended as regulations of the
                                               the logic model (as defined in this                     in paragraph (a) is based on a large                  Department in 2 CFR part 3474. (d) The
                                               notice) for the proposed project, and (b)               sample and a multi-site sample.                       Supplemental Priorities.
                                               a student outcome or other relevant                        Student achievement means—
                                                                                                          For grades and subjects in which                     Note: The regulations in 34 CFR part 79
                                               outcome included in the logic model for                                                                       apply to all applicants except federally
                                               the proposed project.                                   assessments are required under section                recognized Indian tribes.
                                                  Relevant outcome means the student                   1111(b)(2) of Elementary and Secondary
                                               outcome(s) (or the ultimate outcome if                  Education Act (ESEA), as amended by                     Note: The regulations in 34 CFR part 86
                                               not related to students) the proposed                   Every Student Succeeds Act (ESSA): (1)                apply to institutions of higher education
                                               practice is designed to improve;                        A student’s score on such assessments;                only.
                                               consistent with the specific goals of a                 and, as appropriate (2) other measures
                                               project.                                                of student learning, such as those                    II. Award Information
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                                                  Rural local educational agencies                     described in the subsequent paragraph,                   Type of Award: Cooperative
                                               means local educational agencies with                   provided that they are rigorous and                   agreements.
                                               an urban-centric district locale code of                comparable across schools with a local                   Estimated Available Funds: The
                                               32, 33, 41, 42, or 43, which can be found               educational agency (LEA).                             Administration has requested
                                               at the following link: https://                            For grades and subjects in which                   $180,000,000 for the EIR program for FY
                                               nces.ed.gov/ccd/                                        assessments are not required under                    2017, of which approximately
                                               ccdLocaleCodeDistrict.asp.                              section 1111(b)(2) of ESEA, as amended                $141,000,000 would be used, in total,


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                                               90826                     Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices

                                               for new awards under the Early-phase,                      (c) The Bureau of Indian Education;                   (3) Whose families receive assistance
                                               Mid-phase, and Expansion                                   (d) A consortium of State educational              under the State program funded under
                                               competitions. The actual level of                       agencies or LEAs;                                     part A of title IV of the Social Security
                                               funding, if any, depends on final                          (e) A nonprofit (as defined in this                Act (42 U.S.C. 601 et seq.); or
                                               congressional action. However, we are                   notice) organization; and                                (4) Who are eligible to receive medical
                                               inviting applications to allow enough                      (f) A State educational agency, an                 assistance under the Medicaid program;
                                               time to complete the grant process if                   LEA, a consortium described in (d), or                and
                                               Congress appropriates funds for this                    the Bureau of Indian Education, in                       (c) The difficulty of raising funds on
                                               program.                                                partnership with—                                     tribal land.
                                                  Contingent upon the availability of                     (1) A nonprofit organization;                         Applicants that wish to apply for a
                                               funds and the quality of applications,                     (2) A business;                                    waiver must include a request in their
                                                                                                          (3) An educational service agency; or              application that describes why the
                                               we may make additional awards in                           (4) An institution of higher education.
                                               subsequent years from the list of                                                                             matching requirement would cause
                                                                                                          To qualify as a rural applicant under              serious hardship or an inability to carry
                                               unfunded applications from this                         the EIR program, an applicant must
                                               competition.                                                                                                  out project activities. Further
                                                                                                       meet both of the following
                                                  Estimated Range of Awards:                                                                                 information about applying for waivers
                                                                                                       requirements:
                                                  Early-phase grants: $700,000–                           (a) The applicant is—                              can be found in the application package.
                                               $800,000 per year.                                         (1) An LEA with an urban-centric                   However, given the importance of
                                                  Mid-phase grants: $1,400,000–                        district locale code of 32, 33, 41, 42, or            matching funds to the long-term success
                                               $1,600,000 per year.                                    43, as determined by the Secretary;                   of the project, the Secretary expects
                                                  Expansion grants: $2,750,000–                           (2) A consortium of such LEAs;                     eligible entities to identify appropriate
                                               $3,000,000 per year.                                       (3) An educational service agency or               matching funds.
                                                  Estimated Average Size of Awards:                    a nonprofit organization in partnership                  3. Other: The Secretary establishes the
                                                  Early-phase grants: $3,750,000 for the               with such an LEA; or                                  following requirements for the EIR
                                               entirety of the project period.                            (4) A grantee described in clause (1)              program.
                                                  Mid-phase grants: $7,750,000 for the                 or (2) in partnership with a State                       • Innovations that Serve
                                               entirety of the project period.                         educational agency; and                               Kindergarten-through-Grade-12 (K–12)
                                                  Expansion grants: $14,500,000 for the                   (b) A majority of the schools to be                Students: All grantees must implement
                                               entirety of the project period.                         served by the program are designated                  practices that serve students who are in
                                                  Estimated Number of Awards:                          with a locale code of 32, 33, 41, 42, or              grades K–12 at some point during the
                                                  Early-phase grants: 24–38 awards.                    43, or a combination of such codes, as                funding period. To meet this
                                                  Mid-phase grants: 15–20 awards.                      determined by the Secretary.                          requirement, projects that serve early
                                                  Expansion grants: 3–5 awards.                           More information on rural applicant                learners (i.e., infants, toddlers, or
                                                  Maximum Awards:                                      eligibility is in the application package.            preschoolers) must provide services or
                                                  Early-phase grants: $4,000,000 for the                  2. a. Cost Sharing or Matching: Under              supports that extend into kindergarten
                                               entirety of the project period.                         section 4611 of the ESEA, as amended                  or later years, and projects that serve
                                                  Mid-phase grants: $8,000,000 for the                 by ESSA, each grant recipient must                    postsecondary students must provide
                                               entirety of the project period.                         provide, from Federal, State, local, or               services or supports during the
                                                  Expansion grants: $15,000,000 for the                private sources, an amount equal to 10                secondary grades or earlier.
                                               entirety of the project period.                         percent of funds provided under the                      • Evidence Standards: To be eligible
                                                  Project Period: Up to 60 months.                     grant, which may be provided in cash or               for an award, an application for a Mid-
                                                  Under section 4611(c) of the ESEA, as                through in-kind contributions, to carry               phase grant must be supported by
                                               amended by ESSA, the Department                         out activities supported by the grant.                moderate evidence for at least one
                                               must use at least 25 percent of EIR funds               Grantees must include a budget showing                population or setting.
                                               for a fiscal year to make awards to                     their matching contributions on an                       Note: An applicant must identify up to two
                                               applicants serving rural areas,                         annual basis relative to the annual                   study citations to be reviewed against WWC
                                               contingent on receipt of a sufficient                   budget amount of EIR grant funds and                  Evidence Standards for the purposes of
                                               number of applications of sufficient                    must provide evidence of their matching               meeting the EIR evidence standard
                                               quality. For purposes of this                           contributions for the first year of the               requirement. An applicant must clearly
                                                                                                       grant in their grant applications. Section            identify these citations in the Evidence form.
                                               competition, we will consider an
                                                                                                       4611 of the ESEA, as amended by ESSA                  The Department will not review a study
                                               applicant as rural if the applicant meets                                                                     citation that an applicant fails to clearly
                                               the qualifications for rural applicants as              also authorizes the Secretary to waive
                                                                                                                                                             identify for review. In addition to the two
                                               described in the eligible applicants                    this matching requirement on a case-by-               study citations, applicants should include (1)
                                               section and the applicant certifies that                case basis, upon a showing of                         the positive student outcomes they intend to
                                               it meets those qualifications through the               exceptional circumstances, such as:                   replicate under their Mid-phase grant, (2) the
                                               application.                                               (a) The difficulty of raising matching             intervention the applicant plans to
                                                  In implementing this statutory                       funds for a program to serve a rural area;            implement, and (3) the intended student
                                               provision, the Department may fund                         (b) The difficulty of raising matching             outcomes that the intervention(s) attempts to
                                               high-quality applications from rural                    funds in areas with a concentration of                impact in the Evidence form.
                                                                                                       local educational agencies or schools                    An applicant must ensure that all evidence
                                               applicants out of rank order in one or                                                                        is available to the Department from publicly
                                               more of the EIR competitions.                           with a high percentage of students aged
                                                                                                       5 through 17—                                         available sources and provide links or other
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                                                 Note: The Department is not bound by any                 (1) Who are in poverty, as counted in              guidance indicating where it is available. If
                                               estimates in this notice.                                                                                     the Department determines that an applicant
                                                                                                       the most recent census data approved by               has provided insufficient information, the
                                                                                                       the Secretary;                                        applicant will not have an opportunity to
                                               III. Eligibility Information                               (2) Who are eligible for a free or                 provide additional information at a later
                                                  1. Eligible Applicants:                              reduced price lunch under the Richard                 time. However, if the WWC determines that
                                                  (a) An LEA;                                          B. Russell National School Lunch Act                  a study does not provide enough information
                                                  (b) A State educational agency;                      (42 U.S.C. 1751 et seq.);                             on key aspects of the study design, such as



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                                                                         Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices                                           90827

                                               sample attrition or equivalence of                      meet What Works Clearinghouse                         laws or agreements promulgated to
                                               intervention and comparison groups, the                 Evidence Standards without                            ensure compliance with such laws in
                                               WWC will submit a query to the study                    reservations and must estimate the                    which the destruction of records or
                                               author(s) to gather information for use in
                                                                                                       impact of the EIR-supported practice (as              personal information is required within
                                               determining a study rating. Authors are asked
                                               to respond to queries within 10 business                implemented at the proposed level of                  a shorter period of time) and
                                               days. Should the author query remain                    scale) on a relevant outcome. A Mid-                  acknowledgement that the timeframe of
                                               incomplete within 14 days of the initial                phase grantee’s evaluation must                       data accessibility will be reviewed at the
                                               contact to the study author(s), the study will          examine the cost effectiveness of its                 annual progress reviews and revised as
                                               be deemed ineligible under the grant                    practices and identify potential                      necessary;
                                               competition. After the grant competition                obstacles and success factors to scaling                 (e) Format of the final dataset;
                                               closes, the WWC will continue to include                that would be relevant to other                          (f) Dataset documentation to be
                                               responses to author queries and will make                                                                     provided;
                                                                                                       organizations.
                                               updates to study reviews as necessary.                                                                           (g) Method of data access (e.g.,
                                               However, the competition can only take into
                                                                                                         In addition, the grantee and its
                                               account information that is available at the            independent evaluator must agree to                   provided by the Project Director/
                                               time the competition is open.                           cooperate with any technical assistance               Principal Investigator, through a data
                                                                                                       provided by the Department or its                     archive) and how those interested in
                                                 Note: The evidence standards apply to the             contractor and comply with the                        using the data can locate and access
                                               prior research that supports the effectiveness          requirements of any evaluation of the                 them;
                                               of the proposed project. The EIR program                program conducted by the Department.                     (h) Whether or not a data agreement
                                               does not restrict the source of prior research                                                                that specifies conditions under which
                                                                                                       This includes providing to the
                                               providing evidence for the proposed project.                                                                  the data will be shared will be required;
                                               As such, an applicant could cite prior                  Department or its contractor, an updated
                                                                                                       comprehensive evaluation plan in a                    and
                                               research in the Evidence form for studies that
                                               were conducted by another entity (i.e., an              format and using such tools as the                       (i) Any circumstances that prevent all
                                               entity that is not the applicant) so long as the        Department may require, as outlined in                or some of the data from being made
                                               prior research studies cited in the application         the Cooperative Agreement. Grantees                   accessible. This includes data that may
                                               are relevant to the effectiveness of the                must update this evaluation plan at least             fall under multiple statutes and, hence,
                                               proposed project.                                       annually to reflect any changes to the                must meet the confidentiality
                                                 • Funding Categories: An applicant                    evaluation. All of these updates must be              requirements for each applicable statute
                                               will be considered for an award only for                consistent with the scope and objectives              (e.g., data covered by Common Rule for
                                               the type of EIR grant (i.e., Early-phase,               of the approved application.                          Protection of Human Subjects, Family
                                               Mid-phase, and Expansion grant) for                       • Public Availability of Data and                   Educational Rights and Privacy Act
                                               which it applies. An applicant may not                  Results: Applications under Mid-phase                 (FERPA), and Health Insurance
                                               submit an application for the same                      grants must include a Data Management                 Portability and Accountability Act
                                               proposed project under more than one                    Plan (DMP); the DMP should be no more                 (HIPAA)).
                                               type of grant.                                          than five pages in Appendix C that                       The costs of the DMP can be covered
                                                                                                       describes the applicant’s plans for                   by the grant and should be included in
                                                 Note: Each application will be reviewed                                                                     the budget and explained in the budget
                                               under the competition it was submitted
                                                                                                       making the final research data from the
                                                                                                       proposed project accessible to others.                narrative. The peer-review process will
                                               under in the Grants.gov system, and only
                                               applications that are successfully submitted            Resources that may be of interest to                  not include the DMP in the scoring of
                                               by the established deadline will be peer                researchers in developing a data                      the application. The EIR team will be
                                               reviewed. Applicants should be careful that             management plan can be found at                       responsible for reviewing the
                                               they download the intended EIR application              http://ies.ed.gov/funding/                            completeness of the proposed DMP and
                                               package and that they submit their                      researchaccess.asp. DMPs are expected                 will work with EIR grantees to finalize
                                               applications under the intended EIR                     to differ depending on the nature of the              the DMP once the grant is awarded.
                                               competition.                                                                                                     Recipients of awards are expected to
                                                                                                       project and the data collected. By
                                                 • Limit on Grant Awards: No grantee                   addressing the items identified below,                publish or otherwise make publicly
                                               may receive in a single year new EIR                    your DMP describes how you will share                 available the results of the work
                                               grant awards that total an amount                       data under the DMP you are required to                supported through EIR, including the
                                               greater than the sum of the maximum                     include in your application. The DMP                  evaluation report. EIR grantees must
                                               amount of funds for an Expansion grant                  should include the following:                         submit final studies resulting from
                                               and the maximum amount of funds for                       (a) Type of data to be shared;                      research supported in whole or in part
                                               an Early-phase grant for that year. For                   (b) Procedures for managing and for                 by EIR to the Educational Resources
                                               example, in a year when the maximum                     maintaining the confidentiality of                    Information Center (ERIC), http://
                                               award value for an Expansion grant is                   personally identifiable information;                  eric.ed.gov.
                                               $15 million and the maximum award                         (c) Roles and responsibilities of                      • Scaling: Mid-phase grants must
                                               value for an Early-phase grant is $4                    project or institutional staff in the                 scale the project to the regional or
                                               million, no grantee may receive in a                    management and retention of research                  national level and include new contexts
                                               single year new grants totaling more                    data, including a discussion of any                   and populations for implementation.
                                               than $19 million.                                       changes to the roles and responsibilities             Scaling targets should be established for
                                                 • Partnerships: An applicant must                     that will occur should the Project                    the number of students to be served for
                                               demonstrate sufficient partnerships                     Director/Principal Investigator and/or                the total project period as well as the
                                               with schools/LEA(s) by identifying in                   co-Project Directors/co-Principal                     target number of students to be served
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                                               the application implementation schools/                 Investigators leave the project or their              each year of the project. Mid-phase
                                               LEA(s) for years 1 and 2 of the grant                   institution;                                          grants must also include their scaling
                                               project.                                                  (d) Expected schedule for data access,              strategy as a component of the
                                                 • Evaluation: The grantee must                        including how long the data will remain               evaluation plan for the grant. Given that
                                               conduct an independent evaluation (as                   accessible (at least 10 years unless a                all EIR grantees are required to report on
                                               defined in this notice) of its project.                 shorter period of time is required to                 the performance measure regarding the
                                               This evaluation should be designed to                   comply with applicable Federal or State               target number of students served by the


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                                               90828                     Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices

                                               grant, applicants should propose scaling                strongly encourages each potential                       We plan on posting the project
                                               targets that represent reasonable costs                 applicant to notify us of the applicant’s             narrative section of funded EIR
                                               per student for the grant.                              intent to submit an application by                    applications on the Department’s Web
                                                 • Management Plan: An EIR grantee                     completing a Web-based form. When                     site. Accordingly, you may wish to
                                               must provide an updated                                 completing this form, applicants will                 request confidentiality of business
                                               comprehensive management plan for                       provide (1) the applicant organization’s              information. Identifying proprietary
                                               the approved project in a format and                    name and address and (2) the absolute                 information in the submitted
                                               using such tools as the Department may                  priority the applicant intends to                     application will help facilitate this
                                               require, as outlined in the Cooperative                 address. Applicants may access this                   public disclosure process.
                                               Agreement. This management plan must                    form online at https://                                  Consistent with Executive Order
                                               include detailed information about                      www.surveymonkey.com/r/GRS32YH.                       12600, please designate in your
                                               implementation of the first year of the                 Applicants that do not complete this                  application any information that you
                                               grant, including key milestones, staffing               form may still submit an application.                 believe is exempt from disclosure under
                                               details, and other information that the                    Pre-Application: The EIR program                   Exemption 4. In the appropriate
                                               Department may require. It must also                    intends to hold Webinars and/or                       Appendix section of your application,
                                               include a complete list of performance                  meetings designed to provide technical                under ‘‘Other Attachments Form,’’
                                               metrics, including baseline measures                    assistance to interested applicants for all           please list the page number or numbers
                                               and annual targets. The grantee must                    three types of grants. Detailed                       on which we can find this information.
                                               update this management plan at least                    information regarding these Webinars                  For additional information please see 34
                                               annually to reflect implementation of                   and/or meetings will be provided on the               CFR 5.11(c).
                                               subsequent years of the project.                        EIR Web site at http://                                  3. Submission Dates and Times:
                                                                                                       innovation.ed.gov/what-we-do/                            Applications Available: December 19,
                                               IV. Application and Submission                          innovation/education-innovation-and-                  2016.
                                               Information                                             research-eir/.                                           Deadline for Notice of Intent to Apply:
                                                  1. Address to Request Application                       Page Limit: The application narrative              February 13, 2017.
                                               Package: You can obtain an application                  (Part III of the application) is where you,              Pre-Application Webinars and/or
                                               package via the Internet or from the                    the applicant, address the selection                  Meetings: The EIR program intends to
                                               Education Publications Center (ED                       criteria that reviewers use to evaluate               hold Webinars and/or meeting designed
                                               Pubs). To obtain a copy via the Internet,               your application. Applicants should                   to provide technical assistance to
                                               use the following address: http://                      limit the application narrative for a Mid-            interested applicants for all three types
                                               innovation.ed.gov/what-we-do/                           phase grant application to no more than               of grants. Detailed information regarding
                                               innovation/education-innovation-and-                    30 pages, using the following standards:              these Webinars and/or meetings will be
                                               research-eir/. To obtain a copy from ED                    • A ‘‘page’’ is 8.5″ x 11″, on one side            provided on the EIR Web site at http://
                                               Pubs, write, fax, or call: ED Pubs, U.S.                only, with 1″ margins at the top, bottom,             innovation.ed.gov/what-we-do/
                                               Department of Education, P.O. Box                       and both sides.                                       innovation/education-innovation-and-
                                               22207, Alexandria, VA 22304.                               • Double space (no more than three                 research-eir/.
                                               Telephone, toll free: 1–877–433–7827.                   lines per vertical inch) all text in the                 Deadline for Transmittal of
                                               FAX: (703) 605–6794. If you use a                       application narrative, including titles,              Applications: April 13, 2017.
                                               telecommunications device for the deaf                  headings, footnotes, quotations,                         Applications for grants under this
                                               (TDD) or a text telephone (TTY), call,                  references, and captions.                             competition must be submitted
                                               toll free: 1–877–576–7734.                                 • Use a font that is either 12 point or            electronically using the Grants.gov
                                                  You can contact ED Pubs at its Web                   larger or no smaller than 10 pitch                    Apply site (Grants.gov). For information
                                               site, also: www.EDPubs.gov or at its                    (characters per inch).                                (including dates and times) about how
                                               email address: edpubs@inet.ed.gov.                         • Use one of the following fonts:                  to submit your application
                                                  If you request an application package                Times New Roman, Courier, Courier                     electronically, or in paper format by
                                               from ED Pubs, be sure to identify this                  New, or Arial.                                        mail or hand delivery if you qualify for
                                               program or competition as follows:                         The page limit does not apply to Part              an exception to the electronic
                                               CFDA number 84.411B.                                    I, the cover sheet; Part II, the budget               submission requirement, please refer to
                                                  Individuals with disabilities can                    section, including the narrative budget               Other Submission Requirements in
                                               obtain a copy of the application package                justification; Part IV, the assurances and            section IV of this notice.
                                               in an accessible format (e.g., braille,                 certifications; or the one-page abstract,                We do not consider an application
                                               large print, audiotape, or compact disc)                the resumes, the bibliography, or the                 that does not comply with the deadline
                                               by contacting the person or team listed                 letters of support. However, the page                 requirements.
                                               under Accessible Format in section VIII                 limit does apply to all of the application               Individuals with disabilities who
                                               of this notice.                                         narrative.                                            need an accommodation or auxiliary aid
                                                  2. a. Content and Form of Application                   b. Submission of Proprietary                       in connection with the application
                                               Submission: Requirements concerning                     Information: Given the types of projects              process should contact the person listed
                                               the content and form of an application,                 that may be proposed in applications for              under FOR FURTHER INFORMATION
                                               together with the forms you must                        the Mid-phase competition, your                       CONTACT in section VII of this notice. If
                                               submit, are in the application package                  application may include business                      the Department provides an
                                               for this competition.                                   information that you consider                         accommodation or auxiliary aid to an
                                                  Notice of Intent to Apply: February                  proprietary. In 34 CFR 5.11 we define                 individual with a disability in
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                                               13, 2017.                                               ‘‘business information’’ and describe the             connection with the application
                                                  We will be able to develop a more                    process we use in determining whether                 process, the individual’s application
                                               efficient process for reviewing grant                   any of that information is proprietary                remains subject to all other
                                               applications if we know the                             and, thus, protected from disclosure                  requirements and limitations in this
                                               approximate number of applicants that                   under Exemption 4 of the Freedom of                   notice.
                                               intend to apply for funding under this                  Information Act (5 U.S.C. 552, as                        Deadline for Intergovernmental
                                               competition. Therefore, the Secretary                   amended).                                             Review: June 13, 2017.


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                                                                         Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices                                          90829

                                                  4. Intergovernmental Review: This                    will need to update your registration                   • Applications received by
                                               competition is subject to Executive                     annually. This may take three or more                 Grants.gov are date and time stamped.
                                               Order 12372 and the regulations in 34                   business days.                                        Your application must be fully
                                               CFR part 79. Information about                             Information about SAM is available at              uploaded and submitted and must be
                                               Intergovernmental Review of Federal                     www.SAM.gov. To further assist you                    date and time stamped by the
                                               Programs under Executive Order 12372                    with obtaining and registering your                   Grants.gov system no later than 4:30:00
                                               is in the application package for this                  DUNS number and TIN in SAM or                         p.m., Washington, DC time, on the
                                               competition.                                            updating your existing SAM account,                   application deadline date. Except as
                                                  5. Funding Restrictions: We reference                we have prepared a SAM.gov Tip Sheet,                 otherwise noted in this section, we will
                                               regulations outlining funding                           which you can find at: www2.ed.gov/                   not accept your application if it is
                                               restrictions in the Applicable                          fund/grant/apply/sam-faqs.html.                       received—that is, date and time
                                               Regulations section of this notice.                        In addition, if you are submitting your            stamped by the Grants.gov system—after
                                                  6. Data Universal Numbering System                   application via Grants.gov, you must (1)              4:30:00 p.m., Washington, DC time, on
                                               Number, Taxpayer Identification                         be designated by your organization as an              the application deadline date. We do
                                               Number, and System for Award                            Authorized Organization Representative                not consider an application that does
                                               Management: To do business with the                     (AOR); and (2) register yourself with                 not comply with the deadline
                                               Department of Education, you must—                      Grants.gov as an AOR. Details on these                requirements. When we retrieve your
                                                  a. Have a Data Universal Numbering                   steps are outlined at the following                   application from Grants.gov, we will
                                               System (DUNS) number and a Taxpayer                     Grants.gov Web page: www.grants.gov/                  notify you if we are rejecting your
                                               Identification Number (TIN);                            web/grants/register.html.                             application because it was date and time
                                                  b. Register both your DUNS number                       7. Other Submission Requirements:                  stamped by the Grants.gov system after
                                               and TIN with the System for Award                       Applications for grants under this                    4:30:00 p.m., Washington, DC time, on
                                               Management (SAM), the Government’s                      program competition must be submitted                 the application deadline date.
                                               primary registrant database;                            electronically unless you qualify for an                • The amount of time it can take to
                                                  c. Provide your DUNS number and                      exception to this requirement in                      upload an application will vary
                                               TIN on your application; and                            accordance with the instructions in this              depending on a variety of factors,
                                                  d. Maintain an active SAM                            section.                                              including the size of the application and
                                               registration with current information                      a. Electronic Submission of                        the speed of your Internet connection.
                                               while your application is under review                  Applications.                                         Therefore, we strongly recommend that
                                               by the Department and, if you are                          Applications for grants under the EIR              you do not wait until the application
                                               awarded a grant, during the project                     Program, CFDA number 84.411B, must                    deadline date to begin the submission
                                               period.                                                 be submitted electronically using the                 process through Grants.gov.
                                                  You can obtain a DUNS number from                    Governmentwide Grants.gov Apply site                    • You should review and follow the
                                               Dun and Bradstreet at the following                     at www.Grants.gov. Through this site,                 Education Submission Procedures for
                                               Web site: http://fedgov.dnb.com/                        you will be able to download a copy of                submitting an application through
                                               webform. A DUNS number can be                           the application package, complete it                  Grants.gov that are included in the
                                               created within one to two business days.                offline, and then upload and submit                   application package for this competition
                                                  If you are a corporate entity, agency,               your application. You may not email an                to ensure that you submit your
                                               institution, or organization, you can                   electronic copy of a grant application to             application in a timely manner to the
                                               obtain a TIN from the Internal Revenue                  us.                                                   Grants.gov system. You can also find the
                                               Service. If you are an individual, you                     We will reject your application if you             Education Submission Procedures
                                               can obtain a TIN from the Internal                      submit it in paper format unless, as                  pertaining to Grants.gov under News
                                               Revenue Service or the Social Security                  described elsewhere in this section, you              and Events on the Department’s G5
                                               Administration. If you need a new TIN,                  qualify for one of the exceptions to the              system home page at www.G5.gov. In
                                               please allow two to five weeks for your                 electronic submission requirement and                 addition, for specific guidance and
                                               TIN to become active.                                   submit, no later than two weeks before                procedures for submitting an
                                                  The SAM registration process can take                the application deadline date, a written              application through Grants.gov, please
                                               approximately seven business days, but                  statement to the Department that you                  refer to the Grants.gov Web site at:
                                               may take upwards of several weeks,                      qualify for one of these exceptions.                  www.grants.gov/web/grants/applicants/
                                               depending on the completeness and                       Further information regarding                         apply-for-grants.html.
                                                                                                       calculation of the date that is two weeks               • You will not receive additional
                                               accuracy of the data you enter into the
                                                                                                       before the application deadline date is               point value because you submit your
                                               SAM database. Thus, if you think you
                                                                                                       provided later in this section under                  application in electronic format, nor
                                               might want to apply for Federal
                                                                                                       Exception to Electronic Submission                    will we penalize you if you qualify for
                                               financial assistance under a program
                                                                                                       Requirement.                                          an exception to the electronic
                                               administered by the Department, please
                                                                                                          You may access the electronic grant                submission requirement, as described
                                               allow sufficient time to obtain and
                                                                                                       application for EIR Mid-phase at                      elsewhere in this section, and submit
                                               register your DUNS number and TIN.
                                                                                                       www.Grants.gov. You must search for                   your application in paper format.
                                               We strongly recommend that you
                                                                                                       the downloadable application package                    • You must submit all documents
                                               register early.
                                                                                                       for this competition by the CFDA                      electronically, including all information
                                                  Note: Once your SAM registration is active,          number. Do not include the CFDA                       you typically provide on the following
                                               it may be 24 to 48 hours before you can                 number’s alpha suffix in your search                  forms: The Application for Federal
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                                               access the information in, and submit an                                                                      Assistance (SF 424), the Department of
                                                                                                       (e.g., search for 84.411, not 84.411B).
                                               application through, Grants.gov.
                                                                                                          Please note the following:                         Education Supplemental Information for
                                                 If you are currently registered with                     • When you enter the Grants.gov site,              SF 424, Budget Information—Non-
                                               SAM, you may not need to make any                       you will find information about                       Construction Programs (ED 524), and all
                                               changes. However, please make certain                   submitting an application electronically              necessary assurances and certifications.
                                               that the TIN associated with your DUNS                  through the site, as well as the hours of               • You must upload any narrative
                                               number is correct. Also note that you                   operation.                                            sections and all other attachments to


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                                               90830                     Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices

                                               your application as files in a read-only                   Application Deadline Date Extension         business day following the Federal
                                               Portable Document Format (PDF). Do                      in Case of Technical Issues with the           holiday), you mail or fax a written
                                               not upload an interactive or fillable PDF               Grants.gov System: If you are                  statement to the Department, explaining
                                               file. If you upload a file type other than              experiencing problems submitting your          which of the two grounds for an
                                               a read-only PDF (e.g., Word, Excel,                     application through Grants.gov, please         exception prevents you from using the
                                               WordPerfect, etc.) or submit a password-                contact the Grants.gov Support Desk,           Internet to submit your application.
                                               protected file, we will not review that                 toll free, at 1–800–518–4726. You must            If you mail your written statement to
                                               material. Please note that this could                   obtain a Grants.gov Support Desk Case          the Department, it must be postmarked
                                               result in your application not being                    Number and must keep a record of it.           no later than two weeks before the
                                               considered for funding because the                         If you are prevented from                   application deadline date. If you fax
                                               material in question—for example, the                   electronically submitting your                 your written statement to the
                                               application narrative—is critical to a                  application on the application deadline        Department, we must receive the faxed
                                               meaningful review of your proposal. For                 date because of technical problems with        statement no later than two weeks
                                               that reason it is important to allow                    the Grants.gov system, we will grant you       before the application deadline date.
                                               yourself adequate time to upload all                    an extension until 4:30:00 p.m.,                  Address and mail or fax your
                                               material as PDF files. The Department                   Washington, DC time, the following             statement to: Kelly Terpak, U.S.
                                               will not convert material from other                    business day to enable you to transmit         Department of Education, 400 Maryland
                                               formats to PDF.                                         your application electronically or by          Avenue SW., Room 4W312,
                                                  • Your electronic application must                   hand delivery. You also may mail your          Washington, DC 20202–5900. FAX:
                                               comply with any page-limit                              application by following the mailing           (202) 401–4123.
                                               requirements described in this notice.                  instructions described elsewhere in this          Your paper application must be
                                                  • After you electronically submit                    notice.                                        submitted in accordance with the mail
                                               your application, you will receive from                    If you submit an application after          or hand-delivery instructions described
                                               Grants.gov an automatic notification of                 4:30:00 p.m., Washington, DC time, on          in this notice.
                                               receipt that contains a Grants.gov                      the application deadline date, please             b. Submission of Paper Applications
                                               tracking number. This notification                      contact the person listed under FOR            by Mail.
                                               indicates receipt by Grants.gov only, not               FURTHER INFORMATION CONTACT in                    If you qualify for an exception to the
                                               receipt by the Department. Grants.gov                   section VII of this notice and provide an      electronic submission requirement, you
                                               will also notify you automatically by                   explanation of the technical problem           may mail (through the U.S. Postal
                                               email if your application met all the                   you experienced with Grants.gov, along         Service or a commercial carrier) your
                                               Grants.gov validation requirements or if                with the Grants.gov Support Desk Case          application to the Department. You
                                               there were any errors (such as                          Number. We will accept your                    must mail the original and two copies
                                               submission of your application by                       application if we can confirm that a           of your application, on or before the
                                               someone other than a registered                         technical problem occurred with the            application deadline date, to the
                                               Authorized Organization                                 Grants.gov system and that the problem         Department at the following address:
                                               Representative, or inclusion of an                      affected your ability to submit your           U.S. Department of Education,
                                               attachment with a file name that                        application by 4:30:00 p.m.,                   Application Control Center, Attention:
                                               contains special characters). You will be               Washington, DC time, on the                    (CFDA Number 84.411B), LBJ Basement
                                               given an opportunity to correct any                     application deadline date. We will             Level 1, 400 Maryland Avenue SW.,
                                               errors and resubmit, but you must still                 contact you after we determine whether         Washington, DC 20202–4260.
                                               meet the deadline for submission of                     your application will be accepted.                You must show proof of mailing
                                               applications.                                              Note: The extensions to which we refer in   consisting of one of the following:
                                                  Once your application is successfully                this section apply only to the unavailability     (1) A legibly dated U.S. Postal Service
                                               validated by Grants.gov, the Department                 of, or technical problems with, the Grants.gov postmark.
                                               will retrieve your application from                     system. We will not grant you an extension        (2) A legible mail receipt with the
                                               Grants.gov and send you an email with                   if you failed to fully register to submit your date of mailing stamped by the U.S.
                                               a unique PR/Award number for your                       application to Grants.gov before the           Postal Service.
                                                                                                       application deadline date and time or if the      (3) A dated shipping label, invoice, or
                                               application.                                            technical problem you experienced is
                                                  These emails do not mean that your                                                                  receipt from a commercial carrier.
                                                                                                       unrelated to the Grants.gov system.               (4) Any other proof of mailing
                                               application is without any disqualifying
                                               errors. While your application may have                    Exception to Electronic Submission          acceptable to the Secretary of the U.S.
                                               been successfully validated by                          Requirement: You qualify for an                Department of Education.
                                               Grants.gov, it must also meet the                       exception to the electronic submission            If you mail your application through
                                               Department’s application requirements                   requirement, and may submit your               the U.S. Postal Service, we do not
                                               as specified in this notice and in the                  application in paper format, if you are        accept either of the following as proof
                                               application instructions. Disqualifying                 unable to submit an application through of mailing:
                                               errors could include, for instance,                     the Grants.gov system because––                   (1) A private metered postmark.
                                               failure to upload attachments in a read-                   • You do not have access to the                (2) A mail receipt that is not dated by
                                               only, non-modifiable PDF; failure to                    Internet; or                                   the U.S. Postal Service.
                                               submit a required part of the                              • You do not have the capacity to             Note: The U.S. Postal Service does not
                                               application; or failure to meet applicant               upload large documents to the                  uniformly provide a dated postmark. Before
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                                               eligibility requirements. It is your                    Grants.gov system;                             relying on this method, you should check
                                               responsibility to ensure that your                      and                                            with your local post office.
                                               submitted application has met all of the                   • No later than two weeks before the           We will not consider applications
                                               Department’s requirements.                              application deadline date (14 calendar         postmarked after the application
                                                  • We may request that you provide us                 days or, if the fourteenth calendar day        deadline date.
                                               original signatures on forms at a later                 before the application deadline date              c. Submission of Paper Applications
                                               date.                                                   falls on a Federal holiday, the next           by Hand Delivery.


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                                                                         Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices                                             90831

                                                 If you qualify for an exception to the                reach the level of scale that is proposed             Standards Handbook: http://ies.ed.gov/ncee/
                                               electronic submission requirement, you                  in the application.                                   wwc/references/idocviewer/
                                               (or a courier service) may deliver your                   (2) The extent to which the applicant               doc.aspx?docid=19&tocid=1; and (2)
                                                                                                       identifies a specific strategy or strategies          ‘‘Technical Assistance Materials for
                                               paper application to the Department by                                                                        Conducting Rigorous Impact Evaluations’’ to
                                               hand. You must deliver the original and                 that address a particular barrier or                  the list of evaluation resources: http://
                                               two copies of your application, by hand,                barriers that prevented the applicant, in             ies.ed.gov/ncee/projects/evaluationTA.asp;
                                               on or before the application deadline                   the past, from reaching the level of scale            and (3) IES/NCEE Technical Methods papers:
                                               date, to the Department at the following                that is proposed in the application.                  http://ies.ed.gov/ncee/tech_methods/. In
                                               address: U.S. Department of Education,                    (3) The feasibility of successful                   addition, applicants may view two optional
                                               Application Control Center, Attention:                  replication of the proposed project, if               Webinar recordings that were hosted by the
                                                                                                       favorable results are obtained, in a                  Institute of Education Sciences. The first
                                               (CFDA Number 84.411B), 550 12th
                                                                                                                                                             Webinar discussed strategies for designing
                                               Street SW., Room 7039, Potomac Center                   variety of settings and with a variety of
                                                                                                                                                             and executing well-designed quasi-
                                               Plaza, Washington, DC 20202–4260.                       populations.                                          experimental design studies and is available
                                                 The Application Control Center                        C. Quality of the Project Design and                  at: http://ies.ed.gov/ncee/wwc/
                                               accepts hand deliveries daily between                   Management Plan (Up to 35 Points)                     Multimedia.aspx?sid=23. The second
                                               8:00 a.m. and 4:30:00 p.m., Washington,                                                                       Webinar focused on more rigorous evaluation
                                               DC time, except Saturdays, Sundays,                       In determining the quality of the                   designs, discussing strategies for designing
                                                                                                       proposed project design, the Secretary                and executing studies that meet WWC
                                               and Federal holidays.
                                                                                                       considers the following factors:                      evidence standards without reservations.
                                                  Note for Mail or Hand Delivery of Paper                (1) The extent to which the goals,                  This Webinar is available at: http://
                                               Applications: If you mail or hand deliver                                                                     ies.ed.gov/ncee/wwc/
                                                                                                       objectives, and outcomes to be achieved
                                               your application to the Department—                                                                           Multimedia.aspx?sid=18.
                                                  (1) You must indicate on the envelope                by the proposed project are clearly
                                               and—if not provided by the Department—in                specified and measurable.                               2. Review and Selection Process: We
                                               Item 11 of the SF 424 the CFDA number,                    (2) The adequacy of the management                  remind potential applicants that in
                                               including suffix letter, if any, of the                 plan to achieve the objectives of the                 reviewing applications in any
                                               competition under which you are submitting              proposed project on time and within                   discretionary grant competition, the
                                               your application; and                                   budget, including clearly defined                     Secretary may consider, under 34 CFR
                                                  (2) The Application Control Center will              responsibilities, timelines, and                      75.217(d)(3), the past performance of the
                                               mail to you a notification of receipt of your           milestones for accomplishing project                  applicant in carrying out a previous
                                               grant application. If you do not receive this           tasks.                                                award, such as the applicant’s use of
                                               notification within 15 business days from the             (3) The adequacy of procedures for                  funds, achievement of project
                                               application deadline date, you should call
                                               the U.S. Department of Education
                                                                                                       ensuring feedback and continuous                      objectives, and compliance with grant
                                               Application Control Center at (202) 245–                improvement in the operation of the                   conditions. The Secretary may also
                                               6288.                                                   proposed project.                                     consider whether the applicant failed to
                                                                                                         (4) The potential and planning for the              submit a timely performance report or
                                               V. Application Review Information                       incorporation of project purposes,                    submitted a report of unacceptable
                                                                                                       activities, or benefits into the ongoing              quality.
                                                 1. Selection Criteria: The selection                  work of the applicant beyond the end of                 Before making awards, we will screen
                                               criteria for the Mid-phase competition                  the grant.                                            applications submitted in accordance
                                               are from 34 CFR 75.210.                                                                                       with the requirements in this notice to
                                                 The points assigned to each criterion                 D. Quality of the Project Evaluation (Up
                                                                                                                                                             determine whether applications have
                                               are indicated in the parentheses next to                to 20 Points)
                                                                                                                                                             met eligibility and other requirements.
                                               the criterion. An applicant may earn up                    In determining the quality of the                  This screening process may occur at
                                               to a total of 100 points based on the                   project evaluation to be conducted, the               various stages of the process; applicants
                                               selection criteria for the application.                 Secretary considers the following                     that are determined to be ineligible will
                                               A. Significance (Up to 15 Points)                       factors:                                              not receive a grant, regardless of peer
                                                                                                          (1) The extent to which the methods                reviewer scores or comments.
                                                 In determining the significance of the                of evaluation will, if well implemented,                Peer reviewers will read, prepare a
                                               project, the Secretary considers the                    produce evidence about the project’s                  written evaluation of, and score the
                                               following factors:                                      effectiveness that would meet the What                assigned applications, using the
                                                 (1) The magnitude or severity of the                  Works Clearinghouse Evidence                          selection criteria provided in this
                                               problem to be addressed by the                          Standards without reservations.                       notice. For Mid-phase grant applications
                                               proposed project.                                          (2) The extent to which the evaluation             we intend to conduct a single-tier
                                                 (2) The national significance of the                  will provide guidance about effective                 review.
                                               proposed project.                                       strategies suitable for replication or                  In addition, in making a competitive
                                                 (3) The extent to which the proposed                  testing in other settings.                            grant award, the Secretary requires
                                               project represents an exceptional                          (3) The extent to which the methods                various assurances, including those
                                               approach to the priority or priorities                  of evaluation will provide valid and                  applicable to Federal civil rights laws
                                               established for the competition.                        reliable performance data on relevant                 that prohibit discrimination in programs
                                                                                                       outcomes.                                             or activities receiving Federal financial
                                               B. Strategy to Scale (Up to 30 Points)                     (4) The extent to which the evaluation             assistance from the Department of
                                                 In determining the applicant’s                        plan clearly articulates the key                      Education (34 CFR 100.4, 104.5, 106.4,
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                                               capacity to scale the proposed project,                 components, mediators, and outcomes                   108.8, and 110.23).
                                               the Secretary considers the following                   of the grant-supported intervention, as                 3. Risk Assessment and Special
                                               factors:                                                well as a measurable threshold for                    Conditions: Consistent with 2 CFR
                                                 (1) The extent to which the applicant                 acceptable implementation.                            200.205, before awarding grants under
                                               demonstrates there is unmet demand for                    Note: Applicants may wish to review the             this competition the Department
                                               the process, product, strategy, or                      following technical assistance resources on           conducts a review of the risks posed by
                                               practice that will enable the applicant to              evaluation: (1) WWC Procedures and                    applicants. Under 2 CFR 3474.10, the


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                                               90832                     Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices

                                               Secretary may impose special                            GAN also incorporates your approved                   the targeted number of students
                                               conditions and, in appropriate                          application as part of your binding                   specified in the application; (2) the
                                               circumstances, high-risk conditions on a                commitments under the grant.                          percentage of grantees that reach the
                                               grant if the applicant or grantee is not                  3. Reporting: (a) If you apply for a                targeted number of high-need students
                                               financially stable; has a history of                    grant under this competition, you must                specified in the application; (3) the
                                               unsatisfactory performance; has a                       ensure that you have in place the                     percentage of grantees that implement a
                                               financial or other management system                    necessary processes and systems to                    completed well-designed, well-
                                               that does not meet the standards in 2                   comply with the reporting requirements                implemented and independent
                                               CFR part 200, subpart D; has not                        in 2 CFR part 170 should you receive                  evaluation that provides evidence of
                                               fulfilled the conditions of a prior grant;              funding under the competition. This                   their effectiveness at improving student
                                               or is otherwise not responsible.                        does not apply if you have an exception               outcomes at scale; (4) the percentage of
                                                  4. Integrity and Performance System:                 under 2 CFR 170.110(b).                               grantees with a completed well-
                                               If you are selected under this                            (b) At the end of your project period,              designed, well-implemented and
                                               competition to receive an award that                    you must submit a final performance                   independent evaluation that provides
                                               over the course of the project period                   report, including financial information,              information about the key elements and
                                               may exceed the simplified acquisition                   as directed by the Secretary. If you                  the approach of the project so as to
                                               threshold (currently $150,000), under 2                 receive a multiyear award, you must                   facilitate replication or testing in other
                                               CFR 200.205(a)(2) we must make a                        submit an annual performance report                   settings; (5) and the percentage of
                                               judgment about your integrity, business                 that provides the most current                        grantees with a completed evaluation
                                               ethics, and record of performance under                 performance and financial expenditure                 that provided information on the cost
                                               Federal awards—that is, the risk posed                  information as directed by the Secretary              effectiveness of the key practices to
                                               by you as an applicant—before we make                   under 34 CFR 75.118. The Secretary                    identify potential obstacles and success
                                               an award. In doing so, we must consider                 may also require more frequent                        factors to scaling; and (6) the cost per
                                               any information about you that is in the                performance reports under 34 CFR                      student served by the grant.
                                               integrity and performance system                        75.720(c). For specific requirements on                  5. Continuation Awards: In making a
                                               (currently referred to as the Federal                   reporting, please go to www.ed.gov/                   continuation award under 34 CFR
                                               Awardee Performance and Integrity                       fund/grant/apply/appforms/                            75.253, the Secretary considers, among
                                               Information System (FAPIIS)),                           appforms.html.                                        other things: whether a grantee has
                                               accessible through SAM. You may                           (c) Under 34 CFR 75.250(b), the
                                                                                                                                                             made substantial progress in achieving
                                               review and comment on any                               Secretary may provide a grantee with
                                                                                                                                                             the goals and objectives of the project;
                                               information about yourself that a                       additional funding for data collection
                                                                                                       analysis and reporting. In this case the              whether the grantee has expended funds
                                               Federal agency previously entered and                                                                         in a manner that is consistent with its
                                               that is currently in FAPIIS.                            Secretary establishes a data collection
                                                                                                       period.                                               approved application and budget; and,
                                                  Please note that, if the total value of                                                                    if the Secretary has established
                                               your currently active grants, cooperative                 4. Performance Measures: The overall
                                                                                                       purpose of the EIR program is to expand               performance measurement
                                               agreements, and procurement contracts                                                                         requirements, the performance targets in
                                               from the Federal Government exceeds                     the implementation of, and investment
                                                                                                       in, innovative practices that are                     the grantee’s approved application.
                                               $10,000,000, the reporting requirements                                                                          In making a continuation award, the
                                               in 2 CFR part 200, Appendix XII,                        demonstrated to have an impact on
                                                                                                       improving student achievement or                      Secretary also considers whether the
                                               require you to report certain integrity                                                                       grantee is operating in compliance with
                                               information to FAPIIS semiannually.                     student growth for high-need students.
                                                                                                       We have established several                           the assurances in its approved
                                               Please review the requirements in 2 CFR                                                                       application, including those applicable
                                               part 200, Appendix XII, if this grant                   performance measures for the EIR Mid-
                                                                                                       phase grants.                                         to Federal civil rights laws that prohibit
                                               plus all the other Federal funds you                                                                          discrimination in programs or activities
                                               receive exceed $10,000,000.                               Annual performance measures: (1)
                                                                                                       The percentage of grantees that reach                 receiving Federal financial assistance
                                               VI. Award Administration Information                    their annual target number of students                from the Department (34 CFR 100.4,
                                                  1. Award Notices: If your application                as specified in the application; (2) the              104.5, 106.4, 108.8, and 110.23).
                                               is successful, we notify your U.S.                      percentage of grantees that reach their               VII. Agency Contact
                                               Representative and U.S. Senators and                    annual target number of high-need
                                               send you a Grant Award Notification                     students as specified in the application;             FOR FURTHER INFORMATION CONTACT:
                                               (GAN); or we may send you an email                      (3) the percentage of grantees with                   Kelly Terpak, U.S. Department of
                                               containing a link to access an electronic               ongoing well-designed and independent                 Education, 400 Maryland Avenue SW.,
                                               version of your GAN. We may notify                      evaluations that will provide evidence                Room 4W312, Washington, DC 20202–
                                               you informally, also.                                   of their effectiveness at improving                   5900. Telephone: (202) 453–7122. FAX:
                                                  If your application is not evaluated or              student outcomes in multiple contexts;                (202) 401–4123 or by email: eir@ed.gov.
                                               not selected for funding, we notify you.                (4) the percentage of grantees that                     If you use a TDD or a TTY, call the
                                                  2. Administrative and National Policy                implement an evaluation that provides                 Federal Relay Service, toll free, at 1–
                                               Requirements: We identify                               information about the key practices and               800–877–8339.
                                               administrative and national policy                      the approach of the project so as to
                                                                                                                                                             VIII. Other Information
                                               requirements in the application package                 facilitate replication; (5) the percentage
                                               and reference these and other                           of grantees that implement an                            Accessible Format: Individuals with
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                                               requirements in the Applicable                          evaluation that provides information on               disabilities can obtain this document
                                               Regulations section of this notice.                     the cost effectiveness of the key                     and a copy of the application package in
                                                  We reference the regulations outlining               practices to identify potential obstacles             an accessible format (e.g., Braille, large
                                               the terms and conditions of an award in                 and success factors to scaling; and (6)               print, audiotape, or compact disc) on
                                               the Applicable Regulations section of                   the cost per student served by the grant.             request to the program contact person
                                               this notice and include these and other                   Cumulative performance measures:                    listed under FOR FURTHER INFORMATION
                                               specific conditions in the GAN. The                     (1) The percentage of grantees that reach             CONTACT in section VII of this notice.



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                                                                         Federal Register / Vol. 81, No. 241 / Thursday, December 15, 2016 / Notices                                          90833

                                                  Electronic Access to This Document:                     Applicants: CED Ducor Solar 3, LLC.                   Filed Date: 12/9/16.
                                               The official version of this document is                   Description: Report Filing:                           Accession Number: 20161209–5104.
                                               the document published in the Federal                   Supplement to Market-Based Rate                          Comments Due: 5 p.m. ET 12/30/16.
                                               Register. Free Internet access to the                   Application to be effective N/A.                         Docket Numbers: ER17–516–000.
                                               official edition of the Federal Register                   Filed Date: 12/9/16.                                  Applicants: Pacific Gas and Electric
                                               and the Code of Federal Regulations is                     Accession Number: 20161209–5089.                   Company.
                                               available via the Federal Digital System                   Comments Due: 5 p.m. ET 12/30/16.                     Description: 205(d) Rate Filing:
                                               at: www.gpo.gov/fdsys. At this site you                    Docket Numbers: ER17–505–000.                      Transmission Access Charge Balancing
                                               can view this document, as well as all                     Applicants: Hydro-Quebec Energy                    Account Adjustment (TACBAA) 2017 to
                                               other documents of this Department                      Services (U.S.) Inc.                                  be effective 3/1/2017.
                                               published in the Federal Register, in                      Description: Request for Limited                      Filed Date: 12/9/16.
                                               text or Portable Document Format                        Waiver of H.Q. Energy Services (U.S.)                    Accession Number: 20161209–5121.
                                               (PDF). To use PDF you must have                         Inc.                                                     Comments Due: 5 p.m. ET 12/30/16.
                                               Adobe Acrobat Reader, which is                             Filed Date: 12/7/16.                                  Docket Numbers: ER17–517–000.
                                               available free at the site.                                Accession Number: 20161207–5207.                      Applicants: Midcontinent
                                                  You may also access documents of the                    Comments Due: 5 p.m. ET 12/21/16.                  Independent System Operator, Inc.,
                                               Department published in the Federal                        Docket Numbers: ER17–510–000.                      Great River Energy, Northern States
                                               Register by using the article search                       Applicants: PJM Interconnection,                   Power Company, a Minnesota
                                               feature at: www.federalregister.gov.                    L.L.C.                                                corporation.
                                               Specifically, through the advanced                         Description: 205(d) Rate Filing: Queue                Description: 205(d) Rate Filing: 2016–
                                               search feature at this site, you can limit              Position NQ127, Original Service                      12–09_SA 2980 Northern States Power-
                                               your search to documents published by                   Agreement No. 4586 to be effective 2/8/               Great River Energy TIA (Quarry) to be
                                               the Department.                                         2017.                                                 effective 12/10/2016.
                                                 Dated: December 9, 2016.                                 Filed Date: 12/8/16.                                  Filed Date: 12/9/16.
                                               Nadya Chinoy Dabby,
                                                                                                          Accession Number: 20161208–5138.                      Accession Number: 20161209–5183.
                                                                                                          Comments Due: 5 p.m. ET 12/29/16.                     Comments Due: 5 p.m. ET 12/30/16.
                                               Assistant Deputy Secretary for Innovation and
                                               Improvement.                                               Docket Numbers: ER17–511–000.                         Docket Numbers: ER17–518–000.
                                               [FR Doc. 2016–30084 Filed 12–14–16; 8:45 am]
                                                                                                          Applicants: Weyerhaeuser NR                           Applicants: Midcontinent
                                                                                                       Company.                                              Independent System Operator, Inc.,
                                               BILLING CODE 4000–01–P
                                                                                                          Description: Notice of Cancellation of             Northern States Power Company, a
                                                                                                       market-based rate tariff, et al. of                   Minnesota corporation, Great River
                                                                                                       Weyerhaeuser NR Company.                              Energy.
                                               DEPARTMENT OF ENERGY                                       Filed Date: 12/8/16.                                  Description: 205(d) Rate Filing: 2016–
                                                                                                          Accession Number: 20161208–5151.                   12–09_SA 2981 Northern States Power-
                                               Federal Energy Regulatory
                                                                                                          Comments Due: 5 p.m. ET 12/29/16.                  Great River Energy TIA (St. Bonifacius)
                                               Commission
                                                                                                          Docket Numbers: ER17–512–000.                      to be effective 12/10/2016.
                                               Combined Notice of Filings #1                              Applicants: Virginia Electric and                     Filed Date: 12/9/16.
                                                                                                       Power Company.                                           Accession Number: 20161209–5185.
                                                  Take notice that the Commission                         Description: Compliance filing:                       Comments Due: 5 p.m. ET 12/30/16.
                                               received the following electric rate                    Baseline—Rate Schedule FERC No. 134
                                               filings:                                                                                                         Take notice that the Commission
                                                                                                       to be effective 9/1/2006.                             received the following public utility
                                                  Docket Numbers: ER16–1758–002.                          Filed Date: 12/9/16.                               holding company filings:
                                                  Applicants: Midcontinent                                Accession Number: 20161209–5001.
                                               Independent System Operator, Inc.                          Comments Due: 5 p.m. ET 12/30/16.                     Docket Numbers: PH17–4–001.
                                                  Description: Compliance filing: 2016–                                                                         Applicants: Starwood Energy Group
                                                                                                          Docket Numbers: ER17–513–000.                      Global, L.L.C.
                                               12–09_Addtl compliance re revisions to                     Applicants: Alabama Power
                                               SSR tariff provisions to be effective 8/                                                                         Description: Starwood Energy Group
                                                                                                       Company.                                              Global, L.L.C. submits FERC 65–B
                                               22/2016.                                                   Description: 205(d) Rate Filing:
                                                  Filed Date: 12/9/16.                                                                                       Material Change in Facts of Waiver
                                                                                                       PowerSouth NITSA Amendment Filing                     Notification.
                                                  Accession Number: 20161209–5084.                     (Add Burkville Delivery Point) to be
                                                  Comments Due: 5 p.m. ET 12/30/16.                                                                             Filed Date: 12/9/16.
                                                                                                       effective 11/9/2016.                                     Accession Number: 20161209–5082.
                                                  Docket Numbers: ER17–382–000.                           Filed Date: 12/9/16.                                  Comments Due: 5 p.m. ET 12/30/16.
                                                  Applicants: CED Ducor Solar 1, LLC.                     Accession Number: 20161209–5086.
                                                  Description: Report Filing:                             Comments Due: 5 p.m. ET 12/30/16.                     Take notice that the Commission
                                               Supplement to Market-Based Rate                                                                               received the following qualifying
                                                                                                          Docket Numbers: ER17–514–000.
                                               Application to be effective N/A.                                                                              facility filings:
                                                                                                          Applicants: Alabama Power
                                                  Filed Date: 12/9/16.                                 Company.                                                 Docket Numbers: QF16–1069–000.
                                                  Accession Number: 20161209–5087.                        Description: 205(d) Rate Filing:                      Applicants: AEP OnSite Partners,
                                                  Comments Due: 5 p.m. ET 12/30/16.                    Amendment of Southern’s Tariff                        LLC.
                                                  Docket Numbers: ER17–383–000.                        Volume No. 4 to be effective 2/8/2017.                   Description: Refund Report of AEP
                                                  Applicants: CED Ducor Solar 2, LLC.                     Filed Date: 12/9/16.                               OnSite Partners, LLC [Clyde].
rmajette on DSK2TPTVN1PROD with NOTICES




                                                  Description: Report Filing:                             Accession Number: 20161209–5103.                      Filed Date: 12/8/16.
                                               Supplement to Market-Based Rate                            Comments Due: 5 p.m. ET 12/30/16.                     Accession Number: 20161208–5178.
                                               Application to be effective N/A.                           Docket Numbers: ER17–515–000.                         Comments Due: 5 p.m. ET 12/29/16.
                                                  Filed Date: 12/9/16.                                    Applicants: PacifiCorp.                               Take notice that the Commission
                                                  Accession Number: 20161209–5088.                        Description: 205(d) Rate Filing: BPA               received the following electric
                                                  Comments Due: 5 p.m. ET 12/30/16.                    NITSA (SE Idaho Area) Rev 2 to be                     reliability filings:
                                                  Docket Numbers: ER17–384–000.                        effective 12/1/2016.                                     Docket Numbers: RR17–2–000.


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Document Created: 2016-12-15 01:10:58
Document Modified: 2016-12-15 01:10:58
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice.
DatesApplications Available: December 19, 2016.
ContactKelly Terpak, U.S. Department of Education, 400 Maryland Avenue SW., Room 4W312, Washington, DC 20202- 5900. Telephone: (202) 453-7122. FAX: (202) 401-4123 or by email: [email protected]
FR Citation81 FR 90821 

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