[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
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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