[Federal Register Volume 86, Number 11 (Tuesday, January 19, 2021)]
[Rules and Regulations]
[Pages 5009-5013]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-00902]


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DEPARTMENT OF EDUCATION

34 CFR Chapter II

[Docket ID ED-2020-OESE-0037]


Final Priorities, Requirements, Definitions, And Selection 
Criteria--Promise Neighborhoods (PN) Program

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

ACTION: Final priorities, requirements, definitions, and selection 
criteria.

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SUMMARY: The Assistant Secretary for the Office of Elementary and 
Secondary Education announces priorities, requirements, definitions, 
and selection criteria under the PN program, Assistance Listing Number 
84.215N. The Assistant Secretary may use one or more of these 
priorities, requirements, definitions, and selection criteria for 
competitions in fiscal year (FY) 2021 and later years. We take this 
action to make program improvements based on lessons learned over the 
last decade and to improve program outcomes.

DATES: These priorities, requirements, definitions, and selection 
criteria are effective February 18, 2021.

FOR FURTHER INFORMATION CONTACT: Adrienne Hawkins, U.S. Department of 
Education, 400 Maryland Avenue SW, Room 4W220, Washington, DC 20202. 
Telephone: (202) 453-5638. Email: [email protected].
    If you use a telecommunications device for the deaf (TDD) or a text 
telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1-
800-877-8339.

SUPPLEMENTARY INFORMATION: 
    Purpose of Program: The PN program is authorized under the 
Elementary and Secondary Education Act of 1965, as amended (ESEA). The 
purpose of the PN program is to significantly improve the academic and 
developmental outcomes of children living in the most distressed 
communities of the United States, including ensuring school readiness, 
high school graduation, and access to a community-based continuum of 
high-quality services. The program serves neighborhoods with high 
concentrations of low-income individuals; multiple signs of distress, 
which may include high rates of poverty, childhood obesity, academic 
failure, and juvenile delinquency, adjudication, or incarceration; and 
schools implementing comprehensive support and improvement activities 
or targeted support and improvement activities under section 1111(d) of 
the ESEA. All strategies in the continuum of solutions must be 
accessible to children with disabilities and English learners.
    Program Authority: 20 U.S.C. 7273-7274.
    We published a notice of proposed priorities, requirements, 
definitions, and selection criteria (NPP) for this program in the 
Federal Register on June 29, 2020 (85 FR 38801). The NPP contained 
background information and our reasons for proposing the particular 
priorities, requirements, definitions, and selection criteria.
    Except for minor editorial and technical revisions, there are no 
differences between the proposed priorities, requirements, definitions, 
and selection criteria and these final priorities, requirements, 
definitions, and selection criteria.
    Public Comment: In response to our invitation in the NPP, eight 
comments were received, two of which were relevant to the proposed 
priorities, requirements, definitions, and selection criteria.
    Generally, we do not address technical and other minor changes, or 
suggested changes the law does not authorize us to make under the 
applicable statutory authority. In addition, we do not address general 
comments that raised concerns not directly related to the NPP.
    Analysis of Comments and Changes: An analysis of the comments and 
of any changes in the proposed priorities, requirements, definitions, 
and selection criteria follows.
    Comment: One commenter noted the importance of child nutrition to 
successful outcomes and recommended that we include a focus on 
nutrition education.
    Discussion: While we agree with the commenter that there is a need 
to focus on nutrition education, we do not believe that it is necessary 
to revise the proposed priorities, requirements, definitions, or 
selection criteria to address this specific need. Under the program 
statute, applicants already have flexibility to propose interventions 
or strategies to address nutrition needs for children, their families, 
and community members.
    Changes: None.
    Comment: One commenter asserted that the application requirements 
are too burdensome for applicants that are small entities. The 
commenter also contended that, by allowing projects to focus on 
different issues impacting low-income children, it may be difficult to 
fairly compare applications in the selection process. The commenter 
stated that applications should be evaluated to determine whether the 
proposed project would significantly improve the academic outcomes of 
the children proposed to be served and whether the proposed project is 
supported by a needs analysis and evidence-based practices.
    Discussion: We appreciate the comment regarding the size of the 
applying entity and burden level. In recognition of this relationship 
we have established three priorities to level the playing field for all 
applicants. Two of the three priorities, Non-Rural and Non-Tribal 
Communities, and Tribal Communities, can be found elsewhere in this 
NFP. The Rural Communities priority can be found in the program 
statute.
    Regarding the commenter's concern that applications be fairly 
considered during the selection process, the peer review process is 
designed for applications to be evaluated against selection criteria 
alone; we instruct our peer reviewers not to compare applications. 
Additionally, applicants should design projects that meet the needs of 
their respective communities, a key element of a successful PN project. 
Our peer reviewers rely on the

[[Page 5010]]

information provided in each application to determine whether an 
applicant's plan is appropriate for the context in which the project 
would operate.
    Finally, we appreciate and agree with the comment that funded 
projects should improve academic outcomes of the students served and 
this can be achieved, in part, by ensuring that the proposed project is 
supported by a needs analysis and proposed interventions that are 
evidence-based. We maintained the requirement included in the NPP that 
the proposed project be supported by a needs analysis and that proposed 
interventions, to the extent possible, be evidence-based. We believe 
this requirement in addition to the evidence-based priority addresses 
the commenter's concern.
    Changes: None.
    Comment: None.
    Discussion: In reviewing the proposed requirements further, we have 
decided to clarify that applicants must describe proposed activities to 
address needs and the extent to which activities are evidence-based. 
Additionally, an applicant must also describe its, or its partner 
organization's, if applicable, experience providing these activities, 
including any data demonstrating effectiveness. These two modifications 
are intended to strengthen projects and yield higher academic outcomes 
for students.
    Changes: We have clarified the language to require applicants to 
provide a description of the proposed activities and to ensure that the 
proposed activities are in alignment with the applicant's identified 
needs. Also, the applicant must include the extent to which the 
proposed activities are evidence-based. Furthermore, the applicant must 
also describe its, or its partner organization's, if applicable, 
experience providing the proposed activities and any data demonstrating 
effectiveness in the application.

Final Priorities

Priority 1--Non-Rural and Non-Tribal Communities

    To meet this priority, an applicant must propose to implement a PN 
strategy that serves one or more non-rural or non-Tribal communities.

Priority 2--Tribal Communities

    To meet this priority, an applicant must propose to implement a PN 
strategy that serves one or more Indian Tribes.

Priority 3--Community-Level Opioid Abuse Prevention Efforts

    To meet this priority, an applicant must: (1) Demonstrate how it 
will partner with an organization that conducts high-quality, 
community-level activities to prevent opioid abuse, such as an 
organization supported by an Office of National Drug Control Policy, 
Drug-Free Communities Support Program grant, in PN communities; (2) 
describe the partner organization's record of success in approaching 
opioid abuse prevention at the community level; and (3) provide, in its 
application, a memorandum of understanding between it and the partner 
organization responsible for managing the effort. The memorandum of 
understanding must indicate a commitment on the part of the applicant 
to coordinate implementation and align resources to the greatest extent 
practicable.

Priority 4--Evidence-Based Activities To Support Academic Achievement

    Projects that propose to use evidence-based (as defined in 34 CFR 
77.1(c)) activities, strategies, or interventions that support teaching 
practices that will lead to increased student achievement, graduation 
rates, and career readiness.

Priority 5--Community-Based Crime Reduction Efforts

    To meet this priority, an applicant must: (1) Demonstrate how it 
will partner with an organization that conducts high-quality activities 
focused on the re-entry of formerly incarcerated individuals or on 
community-based crime reduction activities, such as an organization 
supported by a U.S. Department of Justice (DOJ) Innovations in 
Community-Based Crime Reduction Program grant, a grant authorized under 
the Second Chance Act, as reauthorized under the Formerly Incarcerated 
Reenter Society Transformed Safely Transitioning Every Person (FIRST 
STEP) Act, or DOJ Office of Justice Programs competitive grants related 
to juvenile justice and delinquency prevention; (2) describe the 
partner organization's record of success with supporting the re-entry 
of formerly incarcerated individuals or community-based crime reduction 
and how their efforts will be coordinated with the PN activities of 
this grant; and (3) provide, in its application, a memorandum of 
understanding between it and a partner organization managing the 
effort. The memorandum of understanding must indicate a commitment on 
the part of the applicant to coordinate implementation and align 
resources to the greatest extent practicable.

Types of Priorities

    When inviting applications for a competition using one or more 
priorities, we designate the type of each priority as absolute, 
competitive preference, or invitational through a notice in the Federal 
Register. The effect of each type of priority follows:
    Absolute priority: Under an absolute priority, we consider only 
applications that meet the priority (34 CFR 75.105(c)(3)).
    Competitive preference priority: Under a competitive preference 
priority, we give competitive preference to an application by (1) 
awarding additional points, depending on the extent to which the 
application meets the priority (34 CFR 75.105(c)(2)(i)); or (2) 
selecting an application that meets the priority over an application of 
comparable merit that does not meet the priority (34 CFR 
75.105(c)(2)(ii)).
    Invitational priority: Under an invitational priority, we are 
particularly interested in applications that meet the priority. 
However, we do not give an application that meets the priority a 
preference over other applications (34 CFR 75.105(c)(1)).

Final Requirements

    The Assistant Secretary establishes the following application 
requirements for this program. We may apply one or more of these 
requirements in any year in which this program is in effect.
    To be considered for an award under this competition, an applicant 
must provide the following--
    (1) In addressing the application requirements in sections 
4624(a)(4), (5), and (7) of the ESEA, an applicant must clearly 
demonstrate needs, including a segmentation analysis, gaps in services, 
and any available data from within the last 3 years to demonstrate 
needs. The applicant must also describe proposed activities that 
address these needs and the extent to which these activities are 
evidence-based (as defined in 34 CFR 77.1(c)). The applicant must also 
describe its, or its partner organization's, if applicable, experience 
providing these activities, including any data demonstrating 
effectiveness.
    (2) In addressing the requirement in section 4624(a)(6) of the 
ESEA, an applicant must provide a description of the process used to 
develop the application, which must include the involvement of an 
LEA(s) (including but not limited to the LEA's or LEAs' involvement in 
the creation and planning of the application and a signed Memorandum of 
Understanding) and at least one public elementary or secondary school 
that is located within

[[Page 5011]]

the identified geographic area that the grant will serve.
    (3) An applicant must demonstrate that its proposed project--
    (a) Is representative of the geographic area proposed to be served; 
and
    (b) Would provide a majority of the solutions from the applicant's 
proposed pipeline services in the geographic area proposed to be 
served.
    (4) In addressing the requirement in section 4624(a)(9) of the 
ESEA, an applicant must describe the process it will use to establish 
and maintain a family navigation system, including an explanation of 
the process the applicant will use to establish and maintain family and 
community engagement.

Final Definitions

    The Assistant Secretary establishes the following definitions for 
this program. We may apply one or more of these definitions in any year 
in which this program is in effect.
    Family navigation system means a service delivery model that 
includes coordinators who teach, mentor, and collaborate with students 
and their families, as well as community members, to choose 
interventions, treatments, or solutions provided by the grantee and 
that best meet the needs of students and their families. Students and 
their families can select services and supports based on available 
services and individual needs, as well as advocate for additional 
services.
    Graduation rate means the four-year adjusted cohort graduation rate 
or extended-year adjusted cohort graduation rate as defined in section 
8101(25) and (23) of the ESEA.
    Indian Tribe means an Indian Tribe or Tribal Organization as 
defined in section 4 of the Indian Self-determination Act (25 U.S.C. 
450b).
    Indicators of need means currently available data that describe--
    (a) Education need, which means--
    (1) All or a portion of the neighborhood includes or is within the 
attendance zone of a low-performing school that is a high school, 
especially one in which the graduation rate is less than 60 percent or 
a school that can be characterized as low-performing based on another 
proxy indicator, such as students' on-time progression from grade to 
grade; and
    (2) Other indicators, such as significant achievement gaps between 
subgroups of students (as identified in section 1111(b)(2)(B)(xi) of 
the ESEA), within a school or LEA, high teacher and principal turnover, 
or high student absenteeism; and
    (b) Family and community support need, which means--
    (1) Percentages of children with preventable chronic health 
conditions (e.g., asthma, poor nutrition, dental problems, obesity) or 
avoidable developmental delays;
    (2) Immunization rates;
    (3) Rates of crime, including violent crime;
    (4) Student mobility rates;
    (5) Teenage birth rates;
    (6) Percentage of children in single parent or no-parent families;
    (7) Rates of vacant or substandard homes, including distressed 
public and assisted housing; or
    (8) Percentage of the residents living at or below the Federal 
poverty threshold.
    Regular high school diploma has the meaning set out in section 
8101(43) of the ESEA.
    Representative of the geographic area proposed to be served means 
that residents of the geographic area proposed to be served have an 
active role in decision-making and that at least one-third of the 
applicant's governing board or advisory board is made up of--
    (a) Residents who live in the geographic area proposed to be 
served, which may include residents who are representative of the 
ethnic and racial composition of the neighborhood's residents and the 
languages they speak;
    (b) Residents of the city or county in which the neighborhood is 
located but who live outside the geographic area proposed to be served, 
and who earn less than 80 percent of the area's median income as 
published by the U.S. Department of Housing and Urban Development;
    (c) Public officials who serve the geographic area proposed to be 
served (although not more than one-half of the governing board or 
advisory board may be made up of public officials); or
    (d) Some combination of individuals from the three groups listed in 
paragraphs (a), (b), and (c) of this definition.
    Segmentation analysis means the process of grouping and analyzing 
data from children and families in the geographic area proposed to be 
served according to indicators of need or other relevant indicators to 
allow grantees to differentiate and more effectively target 
interventions based on the needs of different populations in the 
geographic area.
    Student achievement means--
    (a) For tested grades and subjects--
    (1) A student's score on the State's assessments under the ESEA; 
and
    (2) As appropriate, other measures of student learning, such as 
those described in paragraph (b) of this definition, provided they are 
rigorous and comparable across classrooms and programs; and
    (b) For non-tested grades and subjects, alternative measures of 
student learning and performance, such as student scores on pre-tests 
and end-of-course tests; student performance on English language 
proficiency assessments; and other measures of student achievement that 
are rigorous and comparable across classrooms.
    Student mobility rate is calculated by dividing the total number of 
new student entries and withdrawals at a school, from the day after the 
first official enrollment number is collected through the end of the 
academic year, by the first official enrollment number of the academic 
year.

Final Selection Criteria

    The Assistant Secretary establishes the following selection 
criteria for evaluating an application under this program. We may apply 
one or more of these criteria in any year in which this program is in 
effect.
    (a) Need for project. In determining the need for the proposed 
project, the Secretary considers one or more of the following factors--
    (1) The magnitude or severity of the problems to be addressed by 
the proposed project as described by indicators of need and other 
relevant indicators identified in part by the needs assessment and 
segmentation analysis; and
    (2) The extent to which specific gaps or weaknesses in services, 
infrastructure, or opportunities have been identified and will be 
addressed by the proposed project, including--
    (i) The nature and magnitude of those gaps or weaknesses; and
    (ii) A pipeline of solutions addressing the identified gaps and 
weaknesses, including solutions targeted to early childhood, K-12, 
family and community supports, and college and career.
    (b) Quality of project design. In determining the quality of 
project design for the proposed project, the Secretary considers one or 
more of the following factors--
    (1) The extent to which the applicant describes a plan to create a 
complete pipeline of services, without time and resource gaps, that is 
designed to prepare all children in the neighborhood to attain a high-
quality education and successfully transition to college and a career;
    (2) The extent to which the project will significantly increase the 
proportion of students in the neighborhood that are served by the

[[Page 5012]]

complete continuum of high-quality services; and
    (3) The extent to which the proposed family navigation system is 
high-quality and provides students and their families sufficient 
services and supports based on available services and individual needs.
    This document does not preclude us from proposing additional 
priorities, requirements, definitions, or selection criteria, subject 
to meeting applicable rulemaking requirements.
    Note: This document does not solicit applications. In any year in 
which we choose to use these priorities, requirements, definitions, and 
selection criteria, we invite applications through a notice in the 
Federal Register.

Executive Orders 12866, 13563, and 13771

Regulatory Impact Analysis

    Under Executive Order 12866, the Office of Management and Budget 
(OMB) must determine whether this regulatory action is ``significant'' 
and, therefore, subject to the requirements of the Executive order and 
subject to review by OMB. Section 3(f) of Executive Order 12866 defines 
a ``significant regulatory action'' as an action likely to result in a 
rule that may--
    (1) Have an annual effect on the economy of $100 million or more, 
or adversely affect a sector of the economy, productivity, competition, 
jobs, the environment, public health or safety, or State, local, or 
Tribal governments or communities in a material way (also referred to 
as an ``economically significant'' rule);
    (2) Create serious inconsistency or otherwise interfere with an 
action taken or planned by another agency;
    (3) Materially alter the budgetary impacts of entitlement grants, 
user fees, or loan programs or the rights and obligations of recipients 
thereof; or
    (4) Raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles stated in the 
Executive order.
    This final regulatory action is not a significant regulatory action 
subject to review by OMB under section 3(f) of Executive Order 12866.
    Under Executive Order 13771, for each new regulation that the 
Department proposes for notice and comment or otherwise promulgates 
that is a significant regulatory action under Executive Order 12866, 
and that imposes total costs greater than zero, it must identify two 
deregulatory actions. For FY 2021, any new incremental costs associated 
with a new regulation must be fully offset by the elimination of 
existing costs through deregulatory actions. Because these regulations 
are not a significant regulatory action, the requirements of Executive 
Order 13771 do not apply.
    We have also reviewed this final regulatory action under Executive 
Order 13563, which supplements and explicitly reaffirms the principles, 
structures, and definitions governing regulatory review established in 
Executive Order 12866. To the extent permitted by law, Executive Order 
13563 requires that an agency--
    (1) Propose or adopt regulations only upon a reasoned determination 
that their benefits justify their costs (recognizing that some benefits 
and costs are difficult to quantify);
    (2) Tailor its regulations to impose the least burden on society, 
consistent with obtaining regulatory objectives and taking into 
account--among other things and to the extent practicable--the costs of 
cumulative regulations;
    (3) In choosing among alternative regulatory approaches, select 
those approaches that maximize net benefits (including potential 
economic, environmental, public health and safety, and other 
advantages; distributive impacts; and equity);
    (4) To the extent feasible, specify performance objectives, rather 
than the behavior or manner of compliance a regulated entity must 
adopt; and
    (5) Identify and assess available alternatives to direct 
regulation, including economic incentives--such as user fees or 
marketable permits--to encourage the desired behavior, or provide 
information that enables the public to make choices.
    Executive Order 13563 also requires an agency ``to use the best 
available techniques to quantify anticipated present and future 
benefits and costs as accurately as possible.'' The Office of 
Information and Regulatory Affairs of OMB has emphasized that these 
techniques may include ``identifying changing future compliance costs 
that might result from technological innovation or anticipated 
behavioral changes.''
    We are issuing these final priorities, requirements, definitions, 
and selection criteria only on a reasoned determination that their 
benefits justify their costs. In choosing among alternative regulatory 
approaches, we selected those approaches that maximize net benefits. 
Based on the analysis that follows, the Department believes that this 
regulatory action is consistent with the principles in Executive Order 
13563.
    We also have determined that this regulatory action does not unduly 
interfere with State, local, and Tribal governments in the exercise of 
their governmental functions.
    In accordance with these Executive orders, the Department has 
assessed the potential costs and benefits, both quantitative and 
qualitative, of this regulatory action. We have determined that these 
regulations will impose minimal costs on eligible applicants. Program 
participation is voluntary, and the costs imposed on applicants by 
these regulations will be limited to paperwork burden related to 
preparing an application. The potential benefits of implementing the 
programs--for example, expanding the choices available to parents and 
students, improving the academic and developmental outcomes of children 
living in the most distressed communities of the United States--will 
outweigh any costs incurred by applicants, and the costs of carrying 
out activities associated with the application will be paid for with 
program funds. For these reasons, we have determined that the costs of 
implementation will be minimal for eligible applicants.

Regulatory Flexibility Act Certification

    The Secretary certifies that this regulatory action will not have a 
significant economic impact on a substantial number of small entities. 
The U.S. Small Business Administration Size Standards define ``small 
entities'' as for-profit or nonprofit institutions with total annual 
revenue below $7,000,000 or, if they are institutions controlled by 
small governmental jurisdictions (that are comprised of cities, 
counties, towns, townships, villages, school districts, or special 
districts), with a population of less than 50,000.
    The small entities that this regulatory action will affect are 
State educational agencies; LEAs, including charter schools that 
operate as LEAs under State law; institutions of higher education; 
other public agencies; private nonprofit organizations; freely 
associated States and outlying areas; Indian Tribes or Tribal 
organizations; and for-profit organizations. We believe that the costs 
imposed on an applicant by the priorities, requirements, definitions, 
and selection criteria will be limited to paperwork burden related to 
preparing an application and that the benefits of the priorities, 
requirements, definitions, and selection criteria will outweigh any 
costs incurred by the applicant.
    Participation in the PN program is voluntary. For this reason, the 
priorities,

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requirements, definitions, and selection criteria will impose no burden 
on small entities unless they applied for funding under the program. We 
expect that in determining whether to apply for PN program funds, an 
applicant will evaluate the requirements of preparing an application 
and any associated costs, and weigh them against the benefits likely to 
be achieved by receiving a PN program grant. An applicant will probably 
apply only if it determines that the likely benefits exceed the costs 
of preparing an application.
    We believe that the priorities, requirements, definitions, and 
selection criteria will not impose any additional burden on a small 
entity applying for a grant than the entity would face in the absence 
of this regulatory action. That is, the length of the applications 
those entities would submit in the absence of this regulatory action 
and the time needed to prepare an application would likely be the same.
    This regulatory action will not have a significant economic impact 
on a small entity once it receives a grant because it will be able to 
meet the costs of compliance using the funds provided under this 
program.
    Paperwork Reduction Act of 1995: The proposed priorities, 
requirements, definitions, and selection criteria contain information 
collection requirements that are approved by OMB under OMB control 
number 1894-0006; the proposed priorities, requirements, definitions, 
and selection criteria do not affect the currently approved data 
collection.
    Intergovernmental Review: This program is subject to Executive 
Order 12372 and the regulations in 34 CFR part 79. One of the 
objectives of the Executive order is to foster an intergovernmental 
partnership and a strengthened federalism. The Executive order relies 
on processes developed by State and local governments for coordination 
and review of proposed Federal financial assistance. This document 
provides early notification of our specific plans and actions for this 
program.
    Accessible Format: On request to the program contact person listed 
under FOR FURTHER INFORMATION CONTACT, individuals with disabilities 
can obtain this document and a copy of the application package in an 
accessible format. The Department will provide the requestor with an 
accessible format that may include Rich Text Format (RTF) or text 
format (txt), a thumb drive, an MP3 file, braille, large print, 
audiotape, or compact disc, or other accessible format.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. You may 
access the official edition of the Federal Register and the Code of 
Federal Regulations at: www.govinfo.gov. At this site you can view this 
document, as well as all other documents of this Department published 
in the Federal Register, in text or Portable Document Format (PDF). To 
use PDF you must have Adobe Acrobat Reader, which is available free at 
the site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at: 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.

Frank T. Brogan,
Assistant Secretary for Elementary and Secondary Education.
[FR Doc. 2021-00902 Filed 1-15-21; 8:45 am]
BILLING CODE 4000-01-P