[Federal Register Volume 81, Number 241 (Thursday, December 15, 2016)]
[Notices]
[Pages 90809-90820]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-30085]


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DEPARTMENT OF EDUCATION


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

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

ACTION: Notice.

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Overview Information

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

    Catalog of Federal Domestic Assistance (CFDA) Number: 84.411C 
(Early-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 projects that are supported by limited evidence can receive 
relatively small grants to support the development, iteration, and 
initial evaluation of the practices (as defined in this notice); 
applicants proposing projects 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.
    EIR Early-phase grants provide funding to support the development, 
iteration, implementation, and feasibility testing of practices that 
are expected to be novel and significant relative to others that are 
underway nationally. These Early-phase grants are not intended simply 
to implement established practices in additional locations or address 
needs that are unique to one particular context. The goal is to 
determine whether and in what ways relatively newer practices can 
improve student achievement for high-need students.
    This notice invites applications for Early-phase grants only. The 
notices inviting applications for Mid-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. 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 to build upon 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.
    Early-phase EIR grantees are expected to continuously make 
improvements in project design and implementation before conducting a 
full-scale evaluation of effectiveness. Grantees should consider 
questions such as:
     How easy would it be for others to implement this 
practice, and how can its implementation be improved?
     How can I use data from early indicators to gauge impact, 
and what changes in implementation and student achievement do these 
early indicators suggest? By focusing on continuous improvement and 
iterative development, Early-stage grantees can make adaptations that 
are necessary to increase their practice's potential to be effective 
and ensure that its EIR-funded evaluation assesses the impact of a 
thoroughly conceived practice.
    In order to leverage existing information that can inform which 
kinds of practices could have a meaningful impact on underserved 
students, Early-phase applicants must demonstrate a rationale (as 
defined in this notice) for their project. In addition, like all EIR 
grantees, Early-stage grantees are expected to conduct an independent 
evaluation. Given EIR's goal of helping develop a collective body of 
evidence that can inform the future expansion and refinement of 
practices that effectively serve high-need students, Early-stage 
grantees' evaluation designs are expected to have the potential meet 
the moderate evidence (as defined in this notice) threshold. Not only 
will such evaluation data build the knowledge base about effective 
practices for underserved students, but it will also encourage 
prospective Mid-phase applicants to leverage the findings from Early-
phase

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grantees' efforts, and thereby continue to evolve EIR-funded practices.
    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 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.
    All EIR applicants are required to serve high-need students and are 
therefore required to address absolute priority one. In addition, EIR 
Early-phase applicants are also required to address one of the other 
five absolute priorities. These are critical areas in which rigorous 
evidence is scarce, and schools, districts, and States can meaningfully 
contribute to the generation and use of evidence-based approaches.
    First, we include an absolute priority to improve school climate. 
Under this priority, the Department seeks to support innovative 
alternatives to exclusionary discipline policies and to support 
positive interventions that can address the negative and often 
disparate impact of classroom removals by promoting safe schools that 
have a positive culture for all students. Research has shown that 
implementing alternative disciplinary policies and behavioral supports 
can support both improved academic and non-academic outcomes for 
students.\1\ More efforts are needed to identify the root causes of 
discipline-related disparities, to demonstrate viable alternatives to 
removing students from classroom activities, and to contribute new 
research on how such practices can result in positive outcomes. Such 
efforts can help ensure a positive and inclusive school culture for 
students and educators alike.
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    \1\ Flay, B., Acock, A., Vuchinich, S., and Beets, M. (2006). 
Progress Report of the Randomized Trial of Positive Action in 
Hawaii: End of Third Year of Intervention. Twin Falls, ID: Positive 
Action, Inc.; Flay, B.R., and Allred, C.G. (2003). ``Long-term 
Effects of the Positive Action Program.'' American Journal of 
Healthy Behavior, 27(1), 6-21.
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    Second, we include an absolute priority focusing on student 
diversity. In parts of the country, America's schools are more 
segregated than they were in the late 1960s, including by students' 
race and socioeconomic status.\2\ One-quarter of our nation's public 
school students attend high-poverty schools where more than 75 percent 
of the student body is eligible for free and reduced-price lunch; in 
our cities, nearly half of all students attend schools where poverty is 
concentrated.\3\ In addition, almost half of all African-American and 
Latino public school students attend economically segregated schools. 
Children raised in segregated communities have significantly lower 
social and economic mobility than children growing up in integrated 
communities, and States with socioeconomically segregated schools tend 
to have larger achievement gaps between students from low- and higher-
income households.\4\ There is a growing body of evidence suggesting 
that socioeconomic diversity in schools can lead to improved outcomes 
for students from low-income households (compared to students from low-
income households who attend higher-poverty schools),\5\ and innovative 
strategies for increasing diversity within classroom or school 
environments could benefit all high-need students. These strategies may 
include new instructional approaches that impact socioeconomic 
integration and student achievement within schools (e.g., schools could 
improve participation of students from low-income households in 
advanced placement or ``honors'' coursework) or redesigned inter-
district recruitment and admissions strategies to support and foster 
such diversity in schools. It is particularly important to focus 
concurrently on increasing diversity and improving student outcomes 
(including closing gaps in academic performance between socioeconomic 
and racial groups) in areas where schools are acutely impacted by 
segregation.
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    \2\ Orfield, G., and Frankenberg, E., (May, 2014). Brown at 60: 
Great Progress, a Long Retreat and an Uncertain Future. Civil Rights 
Project/Proyecto Derechos Civiles, May 2014 (revised version 5-15-
14).
    \3\ U.S. Department of Education, National Center for Education 
Statistics, Common Core of Data (CCD), ``Public Elementary/Secondary 
School Universe Survey,'' 2012-13. See Digest of Education 
Statistics 2014. https://nces.ed.gov/ccd/pubschuniv.asp.
    \4\ Mantil, A., Perkins, A.G., and Aberger, S., (2012). ``The 
Challenge of High-Poverty Schools: How Feasible Is Socioeconomic 
School Integration?'' The Future of School Integration: 155-222.
    \5\ Stuart Wells, A., Fox, L., and Cordova-Cobo, D. (February 
2016). ``How Racially Diverse Schools and Classrooms Can Benefit All 
Students.'' The Century Foundation. Available at: https://tcf.org/content/report/how-racially-diverse-schools-and-classrooms-can-benefit-all-students/. Paper presented at the American Sociological 
Association, Chicago, IL; Mickelson, R.A. (2001). ``Subverting 
Swann: First and Second-Generation Segregation in Charlotte, North 
Carolina.'' American Educational Research Journal, 38, 215-252; 
Mickelson, R.A. (2006). How Middle School Segregation Contributes to 
the Race Gap in Academic Achievement. Paper presented at AERA 425; 
Tevis, (2007). African-American Students' College Transition 
Trajectory: An Examination of the Effects of High School Composition 
and Expectations on Degree Attainment. Dissertation in Educational 
Theory & Policy. The Pennsylvania State University.
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    Third, we include an absolute priority to increase the number and 
proportion of high-need students who are academically prepared for the 
transition to college, other postsecondary education, or other career 
and technical education. Postsecondary education is an increasingly 
critical requirement for succeeding in today's economy. By 2020, 
approximately 35 percent of job openings will require at least a 
bachelor's degree, and another 30 percent will require at least an 
associate's degree or some college.\6\ However, many high school 
students--especially those from low-income backgrounds--lack access to 
the rigorous coursework and support services that help prepare students 
for success in college or career education. New approaches are needed 
to address inequities in preparation for postsecondary education, and 
to help high-need students to transition successfully to college or to 
technical training that will lead to meaningful employment 
opportunities. Applicants under this priority must serve students in K-
12 settings at some point during the grant, but may also provide 
support to help these students enroll in and successfully transition 
into college or other career or technical education.
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    \6\ Anthony P. Carnevale, Nicole Smith and Jeff Strohl. (2014). 
``Recovery, Job Growth and Education Requirements Through 2020.'' 
Georgetown Public Policy Institute Center on Education and the 
Workforce. Available at: https://cew.georgetown.edu/wp-content/uploads/2014/11/Recovery2020.FR_.Web_.pdf.
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    Fourth, the Department includes an absolute priority to increase 
the number of effective principals who improve student outcomes in 
public schools. School leaders play an essential role in shaping school 
cultures, aligning parents and educators around shared goals, and, 
ultimately, influencing student achievement.\7\ Yet preparation 
programs and support for school leaders are often lacking. The best 
principal preparation programs, for example, may include rigorous 
screening and selection entry requirements, offer courses that are 
aligned with standards of practice, and provide sufficient clinical 
experiences for candidates. Current principals need support and 
development opportunities that will

[[Page 90811]]

enable them to shape a strong professional community with collective 
responsibility for student learning. The evidence base of effective 
practices for training, supporting, and retaining high-impact school 
leaders is relatively underdeveloped, and new, aligned efforts from EIR 
grantees could make significant strides in better understanding how to 
ensure that our school leaders are best positioned to improve the 
achievement of high-need students.
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    \7\ Sebastian, J., & Allensworth, E. (2012). ``The influence of 
principal leadership on classroom instruction and student learning a 
study of mediated pathways to learning.'' Educational Administration 
Quarterly, 48(4), 626-663. Available at: http://eaq.sagepub.com/content/48/4/626.short.
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    Finally, we include an absolute priority to reconnect disconnected 
youth (as defined in this notice) to educational opportunities. Today, 
roughly 14 percent of youth ages 16 to 24 in America are neither 
enrolled in school nor working.\8\ This percentage equates to more than 
5.6 million young Americans (more youths than in the entire K-12 public 
school systems in Colorado, Georgia, Michigan, and Virginia 
combined).\9\ Consequently, we believe it is important to link 
disconnected youth with the appropriate supports and interventions they 
need to achieve academic success. One approach might include cross-
sector regional initiatives that create opportunities for disconnected 
youth to get a high school diploma (or equivalent) before pursuing 
postsecondary education or full-time employment. Another possibility is 
to build upon the experiences of ``re-engagement centers'' such as 
those in Boston, MA, Washington, DC, and St. Paul, MN, where 
communities have shown positive outcomes in re-connecting youth with 
the systems and supports needed for academic and career success.\10\ 
Additionally, States, districts, and schools might better utilize 
longitudinal data systems to provide timely information about students 
at risk of dropping out, those students who are chronically absent, or 
those who have already dropped out in order to better match them with 
targeted educational and related interventions.
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    \8\ Kena, G., Musu-Gillette, L., Robinson, J., Wang, X., 
Rathbun, A., Zhang, J., Wilkinson-Flicker, S., Barmer, A., and 
Dunlop Velez, E. (2015). The Condition of Education 2015 (NCES 2015-
144). U.S. Department of Education, National Center for Education 
Statistics. Washington, DC. Retrieved August 13, 2015 from http://nces.ed.gov/programs/coe/indicator_soa.asp.
    \9\ U.S. Department of Education, National Center for Education 
Statistics, Common Core of Data (CCD), ``State Nonfiscal Survey of 
Public Elementary/Secondary Education,'' 1990-91 through 2012-
13.Table 203.20. http://nces.ed.gov/programs/digest/d14/tables/dt14_203.20.asp.
    \10\ For additional information please see: http://www.bostonpic.org/programs/project-reconnect, http://osse.dc.gov/dcreengagementcenter, and http://www.ujamaaplace.org/about.html.
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    Priorities: This competition includes six absolute priorities. 
Absolute Priority 1 is from the Department's 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, 5, and 6 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 Early-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 School Climate

    Under this priority, we provide funding to projects that are 
designed to improve student outcomes through reducing or eliminating 
disparities in school disciplinary practices for particular groups of 
students, including students of color and students with disabilities, 
or reducing or eliminating the use of exclusionary discipline (such as 
suspensions, expulsions, and unnecessary placements in alternative 
education programs) by identifying and addressing the root causes of 
those disparities or uses and promoting alternative disciplinary 
practices that address the disparities or uses.

Absolute Priority 3--Promoting Diversity

    Under this priority, we provide funding to projects that are 
designed to help LEAs prepare students for success in an increasingly 
diverse society by increasing the diversity--including racial, ethnic, 
and socioeconomic diversity--of students enrolled in the individual 
schools in the LEAs.

Absolute Priority 4--Increasing Postsecondary Preparedness

    Under this priority, we provide funding to projects that are 
designed to increase the number and proportion of K-12 high-need 
students who are academically and socially prepared for and 
subsequently enroll in college, other postsecondary education, or other 
career and technical education.

Absolute Priority 5--Improving the Effectiveness of Principals

    Under this priority, we provide funding to projects that are 
designed to increase the number and percentage of highly effective 
principals by creating or expanding practices and strategies to 
recruit, select, prepare, and support individuals to significantly 
improve instruction in schools.

Absolute Priority 6--Re-Engagement of Disconnected Youth

    Under this priority, we provide funding to projects that are 
designed to improve student achievement through strategies that provide 
disconnected youth (as defined in this notice) with high-quality 
educational opportunities.

Definitions

    The definition of ``nonprofit'' is from 34 CFR 77.1. The 
definitions for ``disconnected youth,'' ``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 amended by ESSA. We are 
establishing the definitions for ``demonstrates a rationale,'' 
``experimental study,'' ``high-minority school,'' ``independent 
evaluation,'' ``large sample,'' ``logic model,'' ``meets What Works 
Clearinghouse Evidence Standards without reservations,'' ``meets What 
Works Clearinghouse Evidence Standards with reservations,'' ``moderate 
evidence,'' ``multi-site sample,'' ``practice,'' ``quasi-experimental 
design study,'' ``randomized controlled trial,'' ``regression 
discontinuity design study,'' ``relevant finding,'' ``relevant 
outcome,'' ``rural local educational agencies,'' ``single-case design 
study,'' and ``student achievement'' for the FY 2017 grant competition 
only, in accordance with section 437(d)(1) of the General Education 
Provisions Act (GEPA), 20 U.S.C. 1232(d)(1).
    Demonstrates a rationale means the practice is supported by a 
reasonable logic model (as defined in this notice) that that is 
informed by research or an evaluation that suggests how the

[[Page 90812]]

practice is likely to improve relevant outcomes (as defined in this 
notice).
    Disconnected youth means low-income individuals, ages 14-24, who 
are homeless, are in foster care, are involved in the justice system, 
or are not working or not enrolled in (or at risk of dropping out of) 
an educational institution.
    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 (as defined in this notice) 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 meet the large sample and 
multi-site (as defined in this notice) requirements of moderate 
evidence, as long as each study meets the other requirements of the 
particular level of evidence (i.e., moderate 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 
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) and describes the 
theoretical and operational relationships among the key components and 
outcomes.
    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 (as defined in this notice) (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

[[Page 90813]]

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 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 evidence, as long as each study meets the 
other requirements of the particular level of evidence (i.e., moderate 
evidence).
    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 
(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 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.
    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 practices is estimated 
for individuals who barely qualify to receive that practice. 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 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.
    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 reauthorized 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 grant 
competition 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 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.


[[Page 90814]]



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, 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 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 (as defined in this notice) 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 an Early-phase grant must demonstrate a rationale by 
including a reasonable logic model that is informed by research or an 
evaluation that suggests how the intervention is likely to improve 
relevant outcomes, and includes an effort to study the effects of the 
intervention that will happen as part 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

[[Page 90815]]

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 
must estimate the impact of the EIR-supported practice (as implemented 
at the proposed level of scale) on a relevant outcome, with an 
evaluation design with the potential to meet moderate evidence (as 
defined in this notice).
    The first years of an Early-phase grant are expected to focus on 
developing and iterating the practice in a few schools (or a limited 
version of the practice in a greater number of schools), and the 
independent evaluation is expected to generate information to inform 
the practice's development and iteration; the remaining years of an 
Early-phase grant are expected to entail full-scale implementation 
across the project's full set of schools, and the independent 
evaluation is expected to be an efficacy study of the practice, 
designed to have the potential meet the moderate evidence (as defined 
in this notice) threshold.
    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 Results:
    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: Early-phase grants must scale to multiple schools 
over the life of the project. 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. Early-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 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 84.411C.
    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/GSPSYXQ. 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 an Early-phase grant application to no more 
than 25 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.

[[Page 90816]]

     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 Early-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 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/.
    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.
    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 84.411C, 
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.

[[Page 90817]]

    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 Early-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 
84.411C).
    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 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.


[[Page 90818]]


    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 84.411C), 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.
    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 84.411C), 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 Early-phase 
competition are from 34 CFR 75.210.
    The points assigned to each criterion are indicated in the 
parentheses next to the criterion. An applicant may earn up to a total 
of 100 points based on the selection criteria for the application.
A. Significance (Up to 30 Points)
    In determining the significance of the project, the Secretary 
considers the following factors:
    (1) The national significance of the proposed project.
    (2) The extent to which the proposed project involves the 
development or demonstration of promising new strategies that build on, 
or are alternatives to, existing strategies.
    (3) The extent to which the proposed project represents an 
exceptional approach to the priority or priorities established for the 
competition.
B. Quality of the Project Design and Management Plan (Up to 50 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 extent to which performance feedback and continuous 
improvement are integral to the design of the proposed project.
    (4) The mechanisms the applicant will use to broadly disseminate 
information on its project so as to support further development or 
replication.
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 with 
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.


[[Page 90819]]


    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; (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 Early-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 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 for high-need students. We have established several 
performance measures for the EIR Early-phase grants. By reporting on 
these performance measures in Annual and Final Performance reports, 
grantees will satisfy the requirement in Section 8101(21)(A)(ii)(II) of 
the ESEA, as amended by ESSA, for projects relying on the 
``demonstrates a rationale'' evidence level, to have ``ongoing efforts 
to examine the effects'' of the funded activity, strategy, or 
intervention.
    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 evaluations designed to provide 
performance feedback to inform project design; (4) the percentage of 
grantees with ongoing well-designed and independent evaluations that 
will provide evidence of their effectiveness

[[Page 90820]]

at improving student outcomes; (5) the percentage of grantees that 
implement an evaluation that provides information about the key 
elements and the approach of the project so as to facilitate testing, 
development, or replication in other settings; 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 reached the target 
number of high-need students specified in the application; (3) the 
percentage of grantees that use evaluation data to make changes to 
their practice(s); (4) 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; (5) the percentage of grantees with a completed evaluation 
that provides information about the key elements and the approach of 
the project so as to facilitate testing, development or replication in 
other settings; 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.
    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.gpo.gov/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. 2016-30085 Filed 12-14-16; 8:45 am]
 BILLING CODE 4000-01-P