Applications for New Awards; Education Innovation and Research (EIR) Program-Early-Phase Grants, 33126-33136 [2023-10998]

Agencies

• DEPARTMENT OF EDUCATION

[Federal Register Volume 88, Number 99 (Tuesday, May 23, 2023)]
[Notices]
[Pages 33126-33136]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-10998]


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DEPARTMENT OF EDUCATION


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

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

ACTION: Notice.

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SUMMARY: The Department of Education (Department) is issuing a notice 
inviting applications for fiscal year (FY) 2023 for the EIR program--
Early-phase Grants, Assistance Listing Number 84.411C (Early-phase 
Grants). This notice relates to the approved information collection 
under OMB control number 1894-0006.

DATES: 
    Applications Available: May 25, 2023.
    Deadline for Notice of Intent to Apply: June 22, 2023.
    Deadline for Transmittal of Applications: August 1, 2023.
    Deadline for Intergovernmental Review: October 2, 2023.
    Pre-Application Information: The Department will post additional 
competition information for prospective applicants on the EIR program 
website: https://oese.ed.gov/offices/office-of-discretionary-grants-support-services/innovation-early-learning/education-innovation-and-research-eir/fy-2023-competition/.

ADDRESSES: For the addresses for obtaining and submitting an 
application, please refer to our Common Instructions for Applicants to 
Department of Education Discretionary Grant Programs, published in the 
Federal Register on December 7, 2022 (7 FR 75045), and available at 
https://www.federalregister.gov/documents/2022/12/07/2022-26554/common-instructions-for-applicants-to-department-of-education-discretionary-grant-programs. Please note that these Common Instructions supersede 
the version published on December 27, 2021.

FOR FURTHER INFORMATION CONTACT: Yvonne Crockett, U.S. Department of 
Education, 400 Maryland Avenue SW, Washington, DC 20202-5900. 
Telephone: (202) 987-1753. Email: [email protected].
    If you are deaf, hard of hearing, or have a speech disability and 
wish to access telecommunications relay services, please dial 7-1-1.

SUPPLEMENTARY INFORMATION: 

Full Text of Announcement

I. Funding Opportunity Description

    Purpose of Program: The EIR program, established under section 4611 
of the Elementary and Secondary Education Act, as amended (ESEA), 
provides funding to create, develop, implement, replicate, or take to 
scale entrepreneurial, evidence-based (as defined in this notice), 
field-initiated innovations to improve student achievement and 
attainment for high-need students and to rigorously evaluate such 
innovations. The EIR program is designed to generate and validate 
solutions to persistent education challenges and to support the 
expansion of those solutions to serve substantially more students.
    The central design element of the EIR program is its multitier 
structure that links the amount of funding an applicant may receive to 
the quality of the evidence supporting the efficacy of the proposed 
project, with the expectation that projects that build this evidence 
will advance through EIR's grant tiers: ``Early-phase,'' ``Mid-phase,'' 
and ``Expansion.''
    ``Early-phase,'' ``Mid-phase,'' and ``Expansion'' 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.
    Early-phase grants must demonstrate a rationale (as defined in this 
notice). Early-phase grants provide funding for the development, 
implementation, and feasibility testing of a program, which prior 
research suggests has promise, for the purpose of determining whether 
the program can successfully improve student achievement and attainment 
for high-need students. Early-phase grants are not intended simply to 
expand established practices or address needs that are unique to one 
particular context. Rather, the goal is to determine whether and in 
what ways relatively new practices can improve student achievement and 
attainment 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:
    While this notice is for the Early-phase tier only, the premise of 
the EIR program is that new and innovative educational programs and 
practices can help to overcome the persistent and significant 
challenges to student success, particularly for underserved and high-
need students. Raise the Bar: Lead the World is the Department's call 
to action to transform prekindergarten (pre-k) through grade 12 
education and unite around what truly works by promoting academic 
excellence, boldly improving learning conditions, and preparing of our 
Nation's students for global competitiveness. Consistent with that call 
to action, the priorities used in this competition advance Raise the 
Bar's goals to promote academic excellence and boldly improve learning 
conditions.

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In FY 2023, the Department is particularly interested in projects that 
propose services and activities that help to not only recover from the 
COVID-19 pandemic but reimagine schools and transform our education 
system. The priorities used in this competition are designed to create 
conditions under which students have equitable access to high-quality 
learning opportunities and experiences.\1\
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    \1\ U.S. Secretary of Education Miguel Cardona laid out his 
vision for the direction the Department will follow in 2023 to 
promote academic excellence, improve learning conditions, and 
prepare our students for a world where global engagement is critical 
to our Nation's standing. In his address Secretary Cardona remarked 
that ``Raise the Bar: Lead the World'' is not a list of new 
priorities, but a call to strengthen our will to transform education 
for the better, building on approaches that we know work in 
education. More information is available at https://www.ed.gov/raisethebar.
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    Note: The EIR program statute refers to ``high-need students'' but 
does not define the term, which allows applicants to define it for 
purposes of their proposed project, population, and setting. Note that, 
for the EIR program, addressing the needs of underserved students (as 
defined in this notice) is one way to address the statutory requirement 
for serving ``high-need students.''
    The EIR program is rooted in innovation; the program is not 
intended to provide support for practices that are already commonly 
implemented by educators, unless significant adaptations of such 
practices warrant testing to determine if they can accelerate 
achievement or increase the likelihood that the practices can be 
widely, efficiently, and effectively implemented in new populations and 
settings. In exchange, these innovations need to be evaluated, and, if 
they can demonstrate sufficient evidence of effectiveness, the intent 
is for these innovations to be replicated and tested in new populations 
and settings.
    As an EIR project is implemented, grantees are encouraged to learn 
more about how the practices improve student achievement and 
attainment, as well as to develop increasingly rigorous evidence of 
effectiveness and new strategies to efficiently and cost-effectively 
scale to new school districts, regions, and States. To meet the 
required evidence level, applicants must develop a logic model (as 
defined in this notice), theory of action, or another conceptual 
framework that includes the goals, objectives, outcomes, and key 
project components (as defined in this notice) of the project.
    All EIR applicants and grantees should also consider how they need 
to develop their organizational capacity, project financing, or 
business plans to sustain their projects and continue implementation 
and adaptation after Federal funding ends. The Department intends to 
provide grantees with technical assistance to support dissemination, 
scaling, and sustainability efforts.
    Early-phase grantees are encouraged to make continuous and 
iterative improvements in project design and implementation before 
conducting a full-scale evaluation of effectiveness. Grantees should 
consider how easily others could implement the proposed practice, and 
how its implementation could potentially be improved. Additionally, 
grantees should consider using data from early indicators to gauge 
initial impact and to consider possible changes in implementation that 
could increase student achievement and attainment.
    Early-phase applicants should develop, implement, and test the 
feasibility of their projects. The evaluation of an Early-phase project 
should be an experimental or quasi-experimental design study (both as 
defined in this notice) that can determine whether the program can 
successfully improve student achievement and attainment for high-need 
students. Early-phase grantees' evaluation designs should have the 
potential to demonstrate a statistically significant effect on 
improving student outcomes or other relevant outcomes (as defined in 
this notice) based on moderate evidence (as defined in this notice) 
from at least one well-designed and well-implemented experimental or 
quasi-experimental design study. The Department intends to provide 
grantees and their independent evaluators with evaluation technical 
assistance. This could include grantees and their independent 
evaluators providing to the Department or its contractor updated 
comprehensive evaluation plans in a format as requested by the 
technical assistance provider and using such tools as the Department 
may request. Grantees will be encouraged to update this evaluation plan 
at least annually to reflect any changes to the evaluation, with 
updates consistent with the scope and objectives of the approved 
application.
    The FY 2023 Early-phase competition includes five absolute 
priorities and one competitive preference priority. All Early-phase 
applicants must address Absolute Priority 1. Early-phase applicants are 
also required to address one of the other four absolute priorities 
(applicants may not submit under more than one of the other four 
absolute priorities). All applicants have the option of addressing 
Competitive Preference Priority 1 and may opt to do so regardless of 
the absolute priority they select. Applicants addressing Absolute 
Priority 5 also have the option to address Competitive Preference 
Priority 2.
    Absolute Priority 1--Demonstrates a Rationale establishes the 
evidence required for this tier of grants. All Early-phase applicants 
must submit prior evidence of effectiveness that demonstrates a 
rationale.
    Absolute Priority 2--Field-Initiated Innovations--General gives 
applicants the option to propose projects that are field-initiated 
innovations to improve student achievement and attainment.
    Absolute Priority 3--Field-Initiated Innovations--Promoting Equity 
in Student Access to Educational Resources and Opportunities: Science, 
Technology, Engineering, or Mathematics (STEM) is intended to support 
innovations to improve student achievement and attainment in the STEM 
education field, consistent with efforts to ensure our Nation's 
economic competitiveness by improving and expanding STEM learning and 
engagement.
    In Absolute Priority 3, the Department recognizes the importance of 
funding pre-K through grade 12 STEM education and anticipates that 
projects would expand opportunities for high-need students. Within this 
absolute priority, applicants may focus on expanding opportunities in 
STEM education, including computer science, for underrepresented 
students in STEM education, including students of color, girls, English 
learners, students with disabilities, youth from rural communities, and 
youth from families living at or below the poverty line, to help reduce 
the enrollment and achievement gaps in a manner consistent with 
nondiscrimination requirements contained in Federal civil rights laws.
    Absolute Priority 4--Field-Initiated Innovations--Meeting Student 
Social, Emotional, and Academic Needs is intended to promote high-
quality social and emotional learning projects. The disruption caused 
by the pandemic, along with the growth in youth mental health distress, 
continue to impact student well-being. It is critical to provide 
support for students' social and emotional needs, not only to benefit 
student well-being, but also to support their academic success as 
student social, emotional, and academic development are interconnected.
    Absolute Priority 5--Field-Initiated Innovations--Promoting Equity 
in Student Access to Educational

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Resources and Opportunities: Educator Recruitment and Retention is 
intended to elevate and strengthen the educator workforce in ways that 
prioritize innovation in recruiting and retaining educators in 
supporting high-need students. Applicants are encouraged to address 
fundamental challenges schools face in recruiting and retaining 
qualified educators, including by addressing the additional 
responsibilities, burdens, and challenges educators have faced 
throughout the pandemic and may persist beyond it. For example, 
projects may address improving supports for educators that enhance the 
ability of schools to recruit and retain staff (e.g., strategies to 
support educator wellbeing or structuring staffing and schedules to 
ensure educators and students are appropriately supported) and 
increasing access to leadership opportunities that can lead to 
increased pay and improved retention for fully certified, experienced, 
and effective educators, while expanding the impact of great teachers 
within and beyond their classrooms. Projects may support the 
recruitment and retention of all school staff or specific staff with 
acute recruitment and retention challenges (e.g., personnel serving 
students with disabilities).
    Competitive Preference Priority 1 is intended to encourage 
applicants to propose projects that promote partnerships with entities 
underrepresented under this program. The Department is eager to 
increase the volume of projects and partners from entities, including 
community colleges (as defined in this notice), historically Black 
colleges and universities (as defined in this notice), Tribal Colleges 
and Universities (as defined in this notice), and minority-serving 
institutions (as defined in this notice). The Department expects 
applicants addressing this priority will raise the bar to reimagine 
schools through partnerships with underrepresented groups in ways that 
benefit underserved and high-need students.
    Competitive Preference Priority 2 is intended to encourage 
applicants to propose projects that promote an effective and diverse 
educator workforce by providing teachers a competitive wage and 
opportunities for advancement and leadership. In addition to a lack of 
investments in teaching supports and leadership opportunities, the fact 
that in many States teachers do not earn a livable and competitive wage 
is a significant contributor to a weak pipeline and high attrition. A 
tight labor market in many States and communities has also meant that 
teachers can often earn more working in non-education sectors, many of 
which have more robust career ladders. Increasing access to leadership 
opportunities can lead to increased pay while expanding the impact of 
great teachers within and beyond their classrooms. The Department 
expects applicants addressing this priority will raise the bar to 
improve learning conditions through the hiring and retention of 
qualified, experienced, effective, and diverse educators. Only 
applicants who apply for Absolute Priority 5 may apply for Competitive 
Priority 2.
    The Department seeks projects that develop and evaluate evidence-
based, field-initiated innovations to remedy the inequities in our 
country's education system. The proposed innovations should be designed 
to better enable students to access the educational opportunities they 
need to succeed in school and reach their full potential.
    Through these priorities, the Department intends to advance 
innovation, build evidence, and address the learning and achievement of 
underserved and high-need students in pre-K through grade 12.
    Priorities: This notice includes five absolute priorities and two 
competitive preference priorities. In accordance with 34 CFR 
75.105(b)(2)(ii), Absolute Priority 1 is from the Administrative 
Priorities for Discretionary Grant Programs published in the Federal 
Register on March 9, 2020 (85 FR 13640) (Administrative Priorities). In 
accordance with 34 CFR 75.105(b)(2)(iv), Absolute Priority 2 is from 
the program statute in section 4611(a)(1)(A) of the ESEA. In accordance 
with 34 CFR 75.105(b)(2)(iv), Absolute Priorities 3, 4, and 5 are from 
the program statute in section 4611(a)(1)(A) of the ESEA and the 
Supplemental Priorities and Definitions for Discretionary Grant 
Programs, published in the Federal Register on December 10, 2021 (86 FR 
70612) (Supplemental Priorities). The competitive preference priorities 
are from the Supplemental Priorities.
    In the Early-phase grant competition, Absolute Priorities 2, 3, 4, 
and 5 each constitute separate funding categories. The Secretary 
intends to award grants under each of these absolute priorities 
provided that applications submitted are of sufficient quality. To 
ensure that applicants are reviewed under the absolute priority most 
relevant to their proposed project, applicants must clearly identify 
the specific absolute priority that the proposed project addresses. If 
an applicant is interested in proposing separate projects (e.g., one 
that addresses Absolute Priority 2 and another that addresses Absolute 
Priority 3), it must submit separate applications.
    Absolute Priorities: For FY 2023 and any subsequent year in which 
we make awards from the list of unfunded applications from this 
competition, these priorities are absolute priorities. Under 34 CFR 
75.105(c)(3), we consider only applications that meet Absolute Priority 
1 and one additional absolute priority (Absolute Priority 2, Absolute 
Priority 3, Absolute Priority 4, or Absolute Priority 5).
    These priorities are:
    Absolute Priority 1--Applications that Demonstrate a Rationale.
    Projects that demonstrate a rationale.
    Absolute Priority 2--Field-Initiated Innovations--General.
    Projects that are designed to create, develop, implement, 
replicate, or take to scale entrepreneurial, evidence-based, field-
initiated innovations to improve student achievement and attainment for 
high-need students.
    Absolute Priority 3--Field-Initiated Innovations--Promoting Equity 
in Student Access to Educational Resources and Opportunities: STEM.
    Projects that are designed to--
    (a) Create, develop, implement, replicate, or take to scale 
entrepreneurial, evidence-based, field-initiated
    innovations to improve student achievement and attainment for high-
need students; and
    (b) Promote educational equity and adequacy in resources and 
opportunity for underserved students--
    (1) In one or more of the following educational settings:
    (i) Early learning programs.
    (ii) Elementary school.
    (iii) Middle school.
    (iv) High school.
    (v) Career and technical education programs.
    (vi) Out-of-school-time settings.
    (vii) Alternative schools and programs.
    (viii) Juvenile justice system or correctional facilities; and
    (2) That examine the sources of inequity and inadequacy and 
implement responses, including rigorous, engaging, and well-rounded 
(e.g., that include music and the arts) approaches to learning that are 
inclusive with regard to race, ethnicity, culture, language, and 
disability status and prepare students for college, career, and civic 
life, including science, technology, engineering, and mathematics 
(STEM), including computer science coursework.
    Absolute Priority 4--Field-Initiated Innovations--Meeting Student 
Social, Emotional, and Academic Needs.
    Projects that are designed to--

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    (a) Create, develop, implement, replicate, or take to scale 
entrepreneurial, evidence-based, field-initiated
    innovations to improve student achievement and attainment for high-
need students; and
    (b) Improve students' social, emotional, academic, and career 
development, with a focus on underserved students, through one or more 
of the following priority areas:
    (1) Developing and supporting educator and school capacity to 
support social and emotional learning and development that--
    (i) Fosters skills and behaviors that enable academic progress;
    (ii) Identifies and addresses conditions in the learning 
environment, that may negatively impact social and emotional well-being 
for underserved students, including conditions that affect physical 
safety; and
    (iii) Is trauma-informed, such as addressing exposure to community-
based violence and trauma specific to military- or veteran-connected 
students (as defined in this notice).
    (2) Creating education or work-based settings that are supportive, 
positive, identity-safe and inclusive with regard to race, ethnicity, 
culture, language, and disability status, through one or more of the 
following activities:
    (i) Developing trusting relationships between students (including 
underserved students), educators, families, and community partners.
    (ii) Providing high-quality professional development opportunities 
designed to increase engagement and belonging and build asset-based 
mindsets for educators working in and throughout schools.
    (iii) Engaging students (including underserved students), 
educators, families, and community partners from diverse backgrounds 
and representative of the community as partners in school climate 
review and improvement efforts.
    (iv) Developing and implementing inclusive and culturally informed 
discipline policies and addressing disparities in school discipline 
policy by identifying and addressing the root causes of those 
disparities, including by involving educators, students, and families 
in decision-making about discipline procedures and providing training 
and resources to educators.
    (3) Providing multi-tiered systems of supports that address 
learning barriers both in and out of the classroom, that enable healthy 
development and respond to students' needs and which may include 
evidence-based trauma-informed practices and professional development 
for educators on avoiding deficit-based approaches.
    (4) Developing or implementing policies and practices, consistent 
with applicable Federal law, that prevent or reduce significant 
disproportionality on the basis of race or ethnicity with respect to 
the identification, placement, and disciplining of children or students 
with disabilities (as defined in this notice).
    (5) Providing students equitable access that is inclusive, with 
regard to race, LGBTQI+, ethnicity, culture, language, and disability 
status, to social workers, psychologists, counselors, nurses, or mental 
health professionals and other integrated services and supports, which 
may include in early learning environments.
    (6) Preparing educators to implement project-based or experiential 
learning opportunities for students to strengthen their metacognitive 
skills, self-direction, self-efficacy, competency, or motivation, 
including through instruction that: Connects to students' prior 
knowledge and experience; provides rich, engaging, complex, and 
motivating tasks; and offers opportunities for collaborative learning.
    (7) Creating and implementing comprehensive schoolwide frameworks 
(such as small schools or learning communities, advisory systems, or 
looping educators) that support strong and consistent student and 
educator relationships.
    (8) Fostering partnerships, including across government agencies 
(e.g., housing, human services, employment agencies), local educational 
agencies, community-based organizations, adult learning providers, and 
postsecondary education intuitions, to provide comprehensive services 
to students and families that support students' social, emotional, 
mental health, and academic needs, and that are inclusive with regard 
to race, ethnicity, culture, language, and disability status.
    Absolute Priority 5--Field-Initiated Innovations--Promoting Equity 
in Student Access to Educational Resources and Opportunities: Educator 
Recruitment and Retention.
    Projects that are designed to--
    (a) Create, develop, implement, replicate, or take to scale 
entrepreneurial, evidence-based, field-initiated
    innovations to improve student achievement and attainment for high-
need students; and
    (b) Promote educational equity and adequacy in resources and 
opportunity for underserved students--
    (1) In one or more of the following educational settings:
    (i) Early learning programs.
    (ii) Elementary school.
    (iii) Middle school.
    (iv) High school.
    (v) Career and technical education programs.
    (vi) Out-of-school-time settings.
    (vii) Alternative schools and programs.
    (viii) Juvenile justice system or correctional facilities; and
    (2) That examine the sources of inequity and inadequacy and 
implement responses, and that may include one or more of the following:
    (i) Increasing the number and proportion of experienced, fully 
certified, in-field, and effective educators, and educators from 
traditionally underrepresented backgrounds or the communities they 
serve, to ensure that underserved students have educators from those 
backgrounds and communities and are not taught at disproportionately 
higher rates by uncertified, out-of-field, and novice teachers compared 
to their peers.
    Note: All strategies to increase racial diversity of educators must 
comply with the nondiscrimination requirements contained in Federal 
civil rights laws.
    (ii) Improving the preparation, recruitment, and early career 
support and development of educators in shortage areas or hard to staff 
schools.
    (iii) Improving the retention of fully certified, experienced, and 
effective educators in high-need schools or shortage areas.
    Competitive Preference Priorities: For FY 2023 and any subsequent 
year in which we make awards from the list of unfunded applications 
from this competition, these priorities are competitive preference 
priorities. Under 34 CFR 75.105(c)(2)(i), we award up to an additional 
5 points to an application, depending on how well the application 
addresses Competitive Preference Priority 1 and up to an additional 2 
points to an application, depending on how well the application 
addresses Competitive Preference Priority 2. Only applicants that 
address Absolute Priority 5 may address and receive points under 
Competitive Preference Priority 2.
    These priorities are:
    Competitive Preference Priority 1--Promoting Equity in Student 
Access to Educational Resources and Opportunities: Implementers and 
Partners (up to 5 points).
    Under this priority, an applicant must demonstrate how the project 
will be implemented by or in partnership with one or more of the 
following entities:
    (a) Community colleges (as defined in this notice).

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    (b) Historically Black colleges and universities (as defined in 
this notice).
    (c) Tribal Colleges and Universities (as defined in this notice).
    (d) Minority-serving institutions (as defined in this notice).
    Competitive Preference Priority 2--Supporting a Diverse Educator 
Workforce and Professional Growth to Strengthen Student Learning (up to 
2 points).
    Projects that are designed to increase the proportion of well-
prepared, diverse, and effective educators serving students, with a 
focus on underserved students, through building or expanding high-
poverty school districts' capacity to hire, support, and retain an 
effective and diverse educator workforce, through adopting or expanding 
comprehensive, strategic career and compensation systems that provide 
competitive compensation and include opportunities for educators to 
serve as mentors and instructional coaches, or to take on additional 
leadership roles and responsibilities for which educators are 
compensated.
    Definitions: The following definitions apply to this program. The 
definitions of ``baseline,'' ``demonstrates a rationale,'' 
``experimental study,'' ``logic model,'' ``moderate evidence,'' 
``nonprofit,'' ``performance measure,'' ``performance target,'' 
``project component,'' ``quasi-experimental design study,'' ``relevant 
outcome,'' and ``What Works Clearinghouse Handbooks (WWC Handbooks)'' 
are from 34 CFR 77.1. The definitions of ``community college,'' 
``children or students with disabilities,'' ``disconnected youth,'' 
``early learning,'' ``educator,'' ``English learner,'' ``historically 
Black colleges and universities,'' ``military- or veteran-connected 
student,'' ``minority-serving institutions,'' ``Tribal College or 
University,'' and ``underserved students'' are from the Supplemental 
Priorities. The definitions of ``evidence-based,'' ``local educational 
agency'' and ``State educational agency'' are from section 8101 of the 
ESEA.
    Baseline means the starting point from which performance is 
measured and targets are set.
    Children or students with disabilities means children with 
disabilities as defined in section 602(3) of the Individuals with 
Disabilities Education Act (IDEA) (20 U.S.C. 1401(3)) and 34 CFR 300.8, 
or students with disabilities, as defined in the Rehabilitation Act of 
1973 (29 U.S.C. 705(37), 705(202)(B)).
    Community college means ``junior or community college'' as defined 
in section 312(f) of the Higher Education Act of 1965, as amended 
(HEA).
    Demonstrates a rationale means a key project component included in 
the project's logic model is informed by research or evaluation 
findings that suggest the project component is likely to improve 
relevant outcomes.
    Disconnected youth means an individual, between the ages 14 and 24, 
who may be from a low-income background, experiences homelessness, is 
in foster care, is involved in the justice system, or is not working or 
not enrolled in (or at risk of dropping out of) an educational 
institution.
    Early learning means any (a) State-licensed or State-regulated 
program or provider, regardless of setting or funding source, that 
provides early care and education for children from birth to 
kindergarten entry, including, but not limited to, any program operated 
by a child care center or in a family child care home; (b) program 
funded by the Federal Government or State or local educational agencies 
(including any IDEA-funded program); (c) Early Head Start and Head 
Start program; (d) nonrelative child care provider who is not otherwise 
regulated by the State and who regularly cares for two or more 
unrelated children for a fee in a provider setting; and (e) other 
program that may deliver early learning and development services in a 
child's home, such as the Maternal, Infant, and Early Childhood Home 
Visiting Program; Early Head Start; and Part C of IDEA.
    Educator means an individual who is an early learning educator, 
teacher, principal or other school leader, specialized instructional 
support personnel (e.g., school psychologist, counselor, school social 
worker, early intervention service personnel), paraprofessional, or 
faculty.
    English learner means an individual who is an English learner as 
defined in section 8101(20) of the ESEA, or an individual who is an 
English language learner as defined in section 203(7) of the Workforce 
Innovation and Opportunity Act.
    Evidence-based means an activity, strategy, or intervention that--
    (i) demonstrates a statistically significant effect on improving 
student outcomes or other relevant outcomes based on--
    (I) strong evidence from at least 1 well-designed and well-
implemented experimental study;
    (II) moderate evidence from at least 1 well-designed and well-
implemented quasi-experimental study; or
    (III) promising evidence from at least 1 well-designed
    and well-implemented correlational study with statistical controls 
for selection bias; or
    (ii)(I) demonstrates a rationale based on high-quality research 
findings or positive evaluation that such activity, strategy, or 
intervention is likely to improve student outcomes or other relevant 
outcomes; and
    (II) includes ongoing efforts to examine the effects of such 
activity, strategy, or intervention.
    Experimental study means a study that is designed to compare 
outcomes between two groups of individuals (such as students) that are 
otherwise equivalent except for their assignment to either a treatment 
group receiving a project component or a control group that does not. 
Randomized controlled trials, regression discontinuity design studies, 
and single-case design studies are the specific types of experimental 
studies that, depending on their design and implementation (e.g., 
sample attrition in randomized controlled trials and regression 
discontinuity design studies), can meet What Works Clearinghouse (WWC) 
standards without reservations as described in the WWC Handbooks (as 
defined in this notice):
    (i) A randomized controlled trial employs random assignment of, for 
example, students, teachers, classrooms, or schools to receive the 
project component being evaluated (the treatment group) or not to 
receive the project component (the control group).
    (ii) A regression discontinuity design study assigns the project 
component being evaluated using a measured variable (e.g., assigning 
students reading below a cutoff score to tutoring or developmental 
education classes) and controls for that variable in the analysis of 
outcomes.
    (iii) A single-case design study uses observations of a single case 
(e.g., a student eligible for a behavioral intervention) over time in 
the absence and presence of a controlled treatment manipulation to 
determine whether the outcome is systematically related to the 
treatment.
    Historically Black colleges and universities means colleges and 
universities that meet the criteria set out in 34 CFR 608.2.
    Local educational agency (LEA) means:
    (a) In General. A public board of education or other public 
authority legally constituted within a State for either administrative 
control or direction of, or to perform a service function for, public 
elementary schools or secondary schools in a city, county, township, 
school district, or other political subdivision of a State, or of or 
for a combination of school districts or counties that is recognized in 
a State as

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an administrative agency for its public elementary schools or secondary 
schools.
    (b) Administrative Control and Direction. The term includes any 
other public institution or agency having administrative control and 
direction of a public elementary school or secondary school.
    (c) Bureau of Indian Education Schools. The term includes an 
elementary school or secondary school funded by the Bureau of Indian 
Education but only to the extent that including the school makes the 
school eligible for programs for which specific eligibility is not 
provided to the school in another provision of law and the school does 
not have a student population that is smaller than the student 
population of the LEA receiving assistance under the ESEA with the 
smallest student population, except that the school shall not be 
subject to the jurisdiction of any State educational agency (SEA) (as 
defined in this notice) other than the Bureau of Indian Education.
    (d) Educational Service Agencies. The term includes educational 
service agencies and consortia of those agencies.
    (e) State Educational Agency. The term includes the SEA in a State 
in which the SEA is the sole educational agency for all public schools.
    Logic model (also referred to as a theory of action) means a 
framework that identifies key project components of the proposed 
project (i.e., the active ``ingredients'' that are hypothesized to be 
critical to achieving the relevant outcomes) and describes the 
theoretical and operational relationships among the key project 
components and relevant outcomes.
    Military- or veteran-connected student means one or more of the 
following:
    (a) A child participating in an early learning program, a student 
enrolled in preschool through grade 12, or a student enrolled in career 
and technical education or postsecondary education who has a parent or 
guardian who is a member of the uniformed services (as defined by 37 
U.S.C. 101), in the Army, Navy, Air Force, Marine Corps, Coast
    Guard, Space Force, National Guard, Reserves, National Oceanic and 
Atmospheric Administration, or Public Health Service or is a veteran of 
the uniformed services with an honorable discharge (as defined by 38 
U.S.C. 3311).
    (b) A student who is a member of the uniformed services, a veteran 
of the uniformed services, or the spouse of a service member or 
veteran.
    (c) A child participating in an early learning program, a student 
enrolled in preschool through grade 12, or a student enrolled in career 
and technical education or postsecondary education who has a parent or 
guardian who is a veteran of the uniformed services (as defined by 37 
U.S.C. 101).
    Minority-serving institution means an institution that is eligible 
to receive assistance under sections 316 through 320 of part A of title 
III, under part B of title III, or under title V of the HEA.
    Moderate evidence means that there is evidence of effectiveness of 
a key project component in improving a relevant outcome for a sample 
that overlaps with the populations or settings proposed to receive that 
component, based on a relevant finding from one of the following:
    (i) A practice guide prepared by the WWC using version 2.1, 3.0, 
4.0, or 4.1 of the WWC Handbooks reporting a ``strong evidence base'' 
or ``moderate evidence base'' for the corresponding practice guide 
recommendation;
    (ii) An intervention report prepared by the WWC using version 2.1, 
3.0, 4.0, or 4.1 of the WWC Handbooks reporting a ``positive effect'' 
or ``potentially positive effect'' on a relevant outcome based on a 
``medium to large'' extent of evidence, with no reporting of a 
``negative effect'' or ``potentially negative effect'' on a relevant 
outcome; or
    (iii) A single experimental study (as defined in this notice) or 
quasi-experimental design study (as defined in this notice) reviewed 
and reported by the WWC using version 2.1, 3.0, 4.0, or 4.1 of the WWC 
Handbooks, or otherwise assessed by the Department using version 4.1 of 
the WWC Handbook, as appropriate, and that--
    (A) Meets WWC standards with or without reservations;
    (B) Includes at least one statistically significant and positive 
(i.e., favorable) effect on a relevant outcome;
    (C) Includes no overriding statistically significant and negative 
effects on relevant outcomes reported in the study or in a 
corresponding WWC intervention report prepared under version 2.1, 3.0, 
4.0, or 4.1 of the WWC Handbooks; and
    (D) Is based on a sample from more than one site (e.g., State, 
county, city, school district, or postsecondary campus) and includes at 
least 350 students or other individuals across sites. Multiple studies 
of the same project component that each meet requirements in paragraphs 
(iii)(A), (B), and (C) of this definition may together satisfy this 
requirement.
    Nonprofit, as applied to an agency, organization, or institution, 
means that it is owned and operated by one or more corporations or 
associations whose net earnings do not benefit, and cannot lawfully 
benefit, any private shareholder or entity.
    Performance measure means any quantitative indicator, statistic, or 
metric used to gauge program or project performance.
    Performance target means a level of performance that an applicant 
would seek to meet during the course of a project or as a result of a 
project.
    Project component means an activity, strategy, intervention, 
process, product, practice, or policy included in a project. Evidence 
may pertain to an individual project component or to a combination of 
project components (e.g., training teachers on instructional practices 
for English learners and follow-on coaching for these teachers).
    Quasi-experimental design study means a study using a design that 
attempts to approximate an experimental study by identifying a 
comparison group that is similar to the treatment group in important 
respects. This type of study, depending on design and implementation 
(e.g., establishment of baseline equivalence of the groups being 
compared), can meet WWC standards with reservations, but cannot meet 
WWC standards without reservations, as described in the WWC Handbooks.
    Relevant outcome means the student outcome(s) or other outcome(s) 
the key project component is designed to improve, consistent with the 
specific goals of the program.
    State educational agency (SEA) means the agency primarily 
responsible for the State supervision of public elementary schools and 
secondary schools.
    Tribal College or University has the meaning ascribed it in section 
316(b)(3) of the HEA.
    Underserved student means a student (which may include children in 
early learning environments, students in K-12 programs, and students in 
postsecondary education or career and technical education, as 
appropriate) in one or more of the following subgroups:
    (a) A student who is living in poverty or is served by schools with 
high concentrations of students living in poverty.
    (b) A student of color.
    (c) A student who is a member of a federally recognized Indian 
Tribe.
    (d) An English learner.
    (e) A child or student with a disability.
    (f) A disconnected youth.

[[Page 33132]]

    (g) A technologically unconnected youth.
    (h) A migrant student.
    (i) A student experiencing homelessness or housing insecurity.
    (j) A lesbian, gay, bisexual, transgender, queer or questioning, or 
intersex (LGBTQI+) student.
    (k) A student who is in foster care.
    (l) A student without documentation of immigration status.
    (m) A pregnant, parenting, or caregiving student.
    (n) A student impacted by the justice system, including a formerly 
incarcerated student.
    (o) A student who is the first in their family to attend 
postsecondary education.
    (p) A student performing significantly below grade level.
    (q) A military- or veteran- connected student.
    What Works Clearinghouse Handbooks (WWC Handbooks) means the 
standards and procedures set forth in the WWC Standards Handbook, 
Versions 4.0 or 4.1, and WWC Procedures Handbook, Versions 4.0 or 4.1, 
or in the WWC Procedures and Standards Handbook, Version 3.0 or Version 
2.1 (all incorporated by reference, see Sec.  77.2). Study findings 
eligible for review under WWC standards can meet WWC standards without 
reservations, meet WWC standards with reservations, or not meet WWC 
standards. WWC practice guides and intervention reports include 
findings from systematic reviews of evidence as described in the WWC 
Handbooks documentation.
    Note: The What Works Clearinghouse Procedures and Standards 
Handbook (Version 4.1), as well as the more recent What Works 
Clearinghouse Handbooks released in August 2022 (Version 5.0), are 
available at https://ies.ed.gov/ncee/wwc/Handbooks.
    Program Authority: 20 U.S.C. 7261.
    Note: Projects will be awarded and must be operated in a manner 
consistent with the nondiscrimination requirements contained in Federal 
civil rights laws.
    Applicable Regulations: (a) The Education Department General 
Administrative Regulations in 34 CFR parts 75, 77, 79, 81, 82, 84, 86, 
97, 98, and 99. (b) The Office of Management and Budget Guidelines to 
Agencies on Governmentwide Debarment and Suspension (Nonprocurement) in 
2 CFR part 180, as adopted and amended as regulations of the Department 
in 2 CFR part 3485. (c) The Uniform Administrative Requirements, Cost 
Principles, and Audit Requirements for Federal Awards in 2 CFR part 
200, as adopted and amended as regulations of the Department in 2 CFR 
part 3474. (d) The Administrative Priorities. (e) The Supplemental 
Priorities.
    Note: The regulations in 34 CFR part 86 apply to institutions of 
higher education (IHEs) only.

II. Award Information

    Type of Award: Discretionary grants.
    Estimated Available Funds: $273,000,000.
    These estimated available funds are the total available for new 
awards for all three types of grants under the EIR program (Early-
phase, Mid-phase, and Expansion grants).
    Contingent upon the availability of funds and the quality of 
applications, we may make additional awards in subsequent years from 
the list of unfunded applications from this competition.
    Estimated Average Size of Awards: Up to $4,000,000.
    Maximum Award: We will not make an award exceeding $4,000,000 for a 
project period of 60 months. The Department intends to fund one or more 
projects under each of the EIR competitions, including Expansion 
(84.411A), Mid-phase (84.411B), and Early-phase (84.411C). Entities may 
submit applications for different projects for more than one 
competition (Early-phase, Mid-phase, and Expansion). The maximum new 
award amount a grantee may receive under these three competitions, 
taken together, is $15,000,000. If an entity is within funding range 
for multiple applications, the Department will award the highest 
scoring applications up to $15,000,000.
    Estimated Number of Awards: 17-38.
    Note: The Department is not bound by any estimates in this notice.
    Project Period: Up to 60 months.
    Note: Under section 4611(c) of the ESEA, the Department must use at 
least 25 percent of EIR funds for a fiscal year to make awards to 
applicants serving rural areas, contingent on receipt of a sufficient 
number of applications of sufficient quality. For purposes of this 
competition, we will consider an applicant as rural if the applicant 
meets the qualifications for rural applicants as described in the 
Eligible Applicants section and the applicant certifies that it meets 
those qualifications through the application. In implementing this 
statutory provision and program requirement, the Department may fund 
high-quality applications from rural applicants out of rank order in 
the Early-phase competition. In addition, from the estimated funds for 
this competition, the Department intends to award an estimated $87 
million in funds for STEM projects and $87 million in funds for social 
and emotional learning projects, contingent on receipt of a sufficient 
number of applications of sufficient quality.

III. Eligibility Information

    1. Eligible Applicants:
    (a) An LEA;
    (b) An SEA;
    (c) The Bureau of Indian Education (BIE);
    (d) A consortium of SEAs or LEAs;
    (e) A nonprofit (as defined in this notice) organization; and
    (f) An LEA, an SEA, the BIE, or a consortium described in clause 
(d), in partnership with--
    (1) A nonprofit organization;
    (2) A business;
    (3) An educational service agency; or
    (4) An IHE.
    To qualify as a rural applicant under the EIR program, an applicant 
must meet both of the following requirements:
    (a) The applicant is--
    (1) An LEA with an urban-centric district locale code of 32, 33, 
41, 42, or 43, as determined by the Secretary;
    (2) A consortium of such LEAs;
    (3) An educational service agency or a nonprofit organization in 
partnership with such an LEA; or
    (4) A grantee described in clause (1) or (2) in partnership with an 
SEA; and
    (b) A majority of the schools to be served by the program are 
designated with a locale code of 32, 33, 41, 42, or 43, or a 
combination of such codes, as determined by the Secretary.
    Applicants are encouraged to retrieve locale codes from the 
National Center for Education Statistics School District search tool 
(https://nces.ed.gov/ccd/districtsearch/), where districts can be 
looked up individually to retrieve locale codes, and the Public School 
search tool (https://nces.ed.gov/ccd/schoolsearch/), where individual 
schools can be looked up to retrieve locale codes. More information on 
rural applicant eligibility will be in the application package for this 
competition.
    Note: If you are a nonprofit organization, under 34 CFR 75.51, you 
may demonstrate your nonprofit status by providing: (1) proof that the 
Internal Revenue Service currently recognizes the applicant as an 
organization to which contributions are tax deductible under section 
501(c)(3) of the Internal Revenue Code; (2) a statement from a State 
taxing body or the State attorney general certifying that the 
organization is a nonprofit organization operating within the State and 
that no part of its net earnings may lawfully benefit any private 
shareholder or individual; (3) a

[[Page 33133]]

certified copy of the applicant's certificate of incorporation or 
similar document if it clearly establishes the nonprofit status of the 
applicant; or (4) any item described above if that item applies to a 
State or national parent organization, together with a statement by the 
State or parent organization that the applicant is a local nonprofit 
affiliate.
    In addition, with respect to IHEs and their affiliates, the 
following may apply for a grant in this competition: (1) As noted 
above, any IHE that is a partner in an application submitted by an LEA, 
SEA, BIE, consortium of SEAs or LEAs, or a nonprofit organization; (2) 
A private IHE that is a nonprofit organization may apply for an EIR 
grant; (3) A nonprofit organization, such as a development foundation, 
that is affiliated with a public IHE; and (4) A public IHE with 
501(c)(3) status. A public IHE without 501(c)(3) status (even if that 
entity is tax exempt under Section 115 of the Internal Revenue Code or 
any other State or Federal provision), or that could not provide any 
other documentation of nonprofit status described above, however, would 
not qualify as a nonprofit organization, and therefore would not be 
eligible to apply for and receive an EIR grant.
    2. a. Cost Sharing or Matching: Under section 4611(d) of the ESEA, 
each grant recipient must provide, from Federal, State, local, or 
private sources, an amount equal to 10 percent of funds provided under 
the grant, which may be provided in cash or through in-kind 
contributions, to carry out activities supported by the grant. Grantees 
must include a budget showing their matching contributions to the 
budget amount of EIR grant funds and must provide evidence of their 
matching contributions for the first year of the grant in their grant 
applications.
    Section 4611(d) of the ESEA authorizes the Secretary to waive the 
matching requirement on a case-by-case basis, upon a showing of 
exceptional circumstances, such as:
    (i) The difficulty of raising matching funds for a program to serve 
a rural area;
    (ii) The difficulty of raising matching funds in areas with a 
concentration of LEAs or schools with a high percentage of students 
aged 5 through 17--
    (A) Who are in poverty, as counted in the most recent census data 
approved by the Secretary;
    (B) 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.);
    (C) 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
    (D) Who are eligible to receive medical assistance under the 
Medicaid program; and
    (iii) The difficulty of raising funds on Tribal land.
    An applicant that wishes to apply for a waiver must include a 
request in its application, describing the exceptional circumstances 
that make it difficult for the applicant to meet the matching 
requirement. Further information about applying for waivers can be 
found in the application package for this competition.
    b. Indirect Cost Rate Information: This program uses an 
unrestricted indirect cost rate. For more information regarding 
indirect costs, or to obtain a negotiated indirect cost rate, please 
see www2.ed.gov/about/offices/list/ocfo/intro.html.
    c. Administrative Cost Limitation: This program does not include 
any program-specific limitation on administrative expenses. All 
administrative expenses must be reasonable and necessary and conform to 
Cost Principles described in 2 CFR part 200 subpart E of the Uniform 
Guidance.
    3. Subgrantees: A grantee under this competition may not award 
subgrants to entities to directly carry out project activities 
described in its application.
    4. Other: a. Funding Categories: An applicant will be considered 
for an award only for the type of EIR grant for which it applies (i.e., 
Early-phase: Absolute Priority 2, Early-phase: Absolute Priority 3, or 
Early-phase: Absolute Priority 4). An applicant may not submit an 
application for the same proposed project under more than one type of 
grant (e.g., both an Early-phase grant and Mid-phase grant).
    Note: Each application will be reviewed under the competition in 
which it was submitted in the Grants.gov system, and only applications 
that are successfully submitted by the established deadline will be 
peer reviewed. Applicants should be careful that they download the 
intended EIR application package and that they submit their 
applications under the intended EIR competition.
    b. Evaluation: The grantee must conduct an independent evaluation 
of the effectiveness of its project.
    c. High-need students: The grantee must serve high-need students.

IV. Application and Submission Information

    1. Application Submission Instructions: Applicants are required to 
follow the Common Instructions for Applicants to Department of 
Education Discretionary Grant Programs, published in the Federal 
Register on December 7, 2022 (87 FR 75045), and available at https://www.federalregister.gov/documents/2022/12/07/2022-26554/common-instructions-for-applicants-to-department-of-education-discretionary-grant-programs, which contain requirements and information on how to 
submit an application. Please note that these Common Instructions 
supersede the version published on December 27, 2021.
    2. Submission of Proprietary Information: Given the types of 
projects that may be proposed in applications for Early-phase grants, 
your application may include business information that you consider 
proprietary. In 34 CFR 5.11 we define ``business information'' and 
describe the process we use in determining whether any of that 
information is proprietary and, thus, protected from disclosure under 
Exemption 4 of the Freedom of Information Act (5 U.S.C. 552, as 
amended).
    Because we plan to make successful applications available to the 
public, you may wish to request confidentiality of business 
information.
    Consistent with Executive Order 12600, please designate in your 
application any information that you believe is exempt from disclosure 
under Exemption 4. In the appropriate Appendix section of your 
application, under ``Other Attachments Form,'' please list the page 
number or numbers on which we can find this information. For additional 
information please see 34 CFR 5.11(c).
    3. Intergovernmental Review: This competition is subject to 
Executive Order 12372 and the regulations in 34 CFR part 79. 
Information about Intergovernmental Review of Federal Programs under 
Executive Order 12372 is in the application package for this 
competition.
    4. Funding Restrictions: We reference regulations outlining funding 
restrictions in the Applicable Regulations section of this notice.
    5. Recommended Page Limit: The application narrative is where you, 
the applicant, address the selection criteria that reviewers use to 
evaluate your application. We recommend that you (1) limit the 
application narrative for an Early-phase grant to no more than 25 pages 
and (2) use the following standards:
     A ``page'' is 8.5'' x 11'', on one side only, with 1'' 
margins at the top, bottom, and both sides.
     Double-space (no more than three lines per vertical inch) 
all text in the

[[Page 33134]]

application narrative, including titles, headings, footnotes, 
quotations, references, and captions, as well as all text in charts, 
tables, figures, and graphs.
     Use a font that is either 12 point or larger or no smaller 
than 10 pitch (characters per inch).
     Use one of the following fonts: Times New Roman, Courier, 
Courier New, or Arial.
    The recommended page limit does not apply to the cover sheet; the 
budget section, including the narrative budget justification; the 
assurances and certifications; one-page abstract; evidence form; or 
appendices (e.g., nonprofit documentation, resumes, letters of support, 
demonstration of match, matching waiver request, list of proprietary 
information, eligibility checklist, logic model, indirect cost rate 
agreement). However, the recommended page limit does apply to the 
entire application narrative.
    6. Notice of Intent to Apply: The Department will be able to review 
grant applications more efficiently if we know the approximate number 
of applicants that intend to apply. Therefore, we strongly encourage 
each potential applicant to notify us of their intent to submit an 
application. Applicants may access this form using the link available 
on the Notice of Intent to Apply section of the competition website: 
https://oese.ed.gov/offices/office-of-discretionary-grants-support-services/innovation-early-learning/education-innovation-and-research-eir/fy-2023-competition/. Applicants that do not submit a notice of 
intent to apply may still apply for funding; applicants that do submit 
a notice of intent to apply are not bound to apply or bound by the 
information provided.

V. Application Review Information

    1. Selection Criteria: The selection criteria for the Early-phase 
competition are from 34 CFR 75.210. The points assigned to each 
criterion are indicated in the parentheses next to the criterion. 
Together with the competitive preference priorities, an applicant may 
earn up to a total of 105 points for Absolute Priorities 2, 3, and 4 
and 107 points for Absolute Priority 5 based on the selection criteria 
for the application.
    A. Significance (up to 20 points).
    The Secretary considers the significance of the proposed project. 
In determining the significance of the proposed project, the Secretary 
considers 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.
    B. Quality of the Project Design (up to 30 points).
    The Secretary considers the quality of the design of the proposed 
project. In determining the quality of the design of the proposed 
project, the Secretary considers the following factors:
    (1) The extent to which there is a conceptual framework underlying 
the proposed research or demonstration activities and the quality of 
that framework. (10 points)
    (2) The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable. 
(5 points)
    (3) The extent to which the design of the proposed project is 
appropriate to, and will successfully address, the needs of the target 
population or other identified needs. (15 points)
    C. Quality of Project Personnel (up to 10 points).
    The Secretary considers the quality of the personnel who will carry 
out the proposed project. In determining the quality of project 
personnel, the Secretary considers the extent to which the applicant 
encourages applications for employment from persons who are members of 
groups that have traditionally been underrepresented based on race, 
color, national origin, gender, age, or disability. In addition, the 
Secretary considers the qualifications, including relevant training and 
experience, of key project personnel.
    D. Quality of the Management Plan (up to 10 points).
    The Secretary considers the quality of the management plan for the 
proposed project. In determining the quality of the management plan, 
the Secretary considers 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.
    E. Quality of the Project Evaluation (up to 30 points).
    The Secretary considers the quality of the evaluation to be 
conducted of the proposed project. In determining the quality of the 
evaluation, the Secretary considers the following factors:
    (1) The extent to which the methods of evaluation will, if well 
implemented, produce evidence about the project's effectiveness that 
would meet the What Works Clearinghouse standards with or without 
reservations as described in the What Works Clearinghouse Handbook (as 
defined in this notice). (20 points)
    (2) The extent to which the methods of evaluation will provide 
performance feedback and permit periodic assessment of progress toward 
achieving intended outcomes. (5 points)
    (3) The extent to which the evaluation plan clearly articulates the 
key project components, mediators, and outcomes, as well as a 
measurable threshold for acceptable implementation. (5 points)
    Note: Applicants may wish to review the following technical 
assistance resources on evaluation: (1) WWC Procedures and Standards 
Handbooks: https://ies.ed.gov/ncee/wwc/Handbooks; (2) ``Technical 
Assistance Materials for Conducting Rigorous Impact Evaluations'': 
https://ies.ed.gov/ncee/projects/evaluationTA.asp; and (3) IES/NCEE 
Technical Methods papers: https://ies.ed.gov/ncee/tech_methods/. In 
addition, applicants may view an optional webinar recording that was 
hosted by the Institute of Education Sciences. The webinar focused on 
more rigorous evaluation designs, discussing strategies for designing 
and executing experimental studies that meet WWC evidence standards 
without reservations. This webinar is available at: https://ies.ed.gov/ncee/wwc/Multimedia/18.
    2. Review and Selection Process: We remind potential applicants 
that in reviewing applications in any discretionary grant competition, 
the Secretary may consider, under 34 CFR 75.217(d)(3), the past 
performance of the applicant in carrying out a previous award, such as 
the applicant's use of funds, achievement of project objectives, and 
compliance with grant conditions. The Secretary may also consider 
whether the applicant failed to submit a timely performance report or 
submitted a report of unacceptable quality.
    In addition, in making a competitive grant award, the Secretary 
requires various assurances, including those applicable to Federal 
civil rights laws that prohibit discrimination in programs or 
activities receiving Federal financial assistance from the Department 
(34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).
    Before making awards, we will screen applications submitted in 
accordance with the requirements in this notice to determine whether 
applications have met eligibility and other requirements. This 
screening process may occur at various stages of the process; 
applicants that are determined to be ineligible will not receive a 
grant, regardless of peer reviewer scores or comments.
    Peer reviewers will read, prepare a written evaluation of, and 
score the assigned applications, using the selection criteria provided 
in this notice.
    3. Risk Assessment and Specific Conditions: Consistent with 2 CFR

[[Page 33135]]

200.206, before awarding grants under this competition the Department 
conducts a review of the risks posed by applicants. Under 2 CFR 
200.208, the Secretary may impose specific conditions and, under 2 CFR 
3474.10, in appropriate circumstances, high-risk conditions on a grant 
if the applicant or grantee is not financially stable; has a history of 
unsatisfactory performance; has a financial or other management system 
that does not meet the standards in 2 CFR part 200, subpart D; has not 
fulfilled the conditions of a prior grant; or is otherwise not 
responsible.
    4. Integrity and Performance System: If you are selected under this 
competition to receive an award that over the course of the project 
period may exceed the simplified acquisition threshold (currently 
$250,000), under 2 CFR 200.206(a)(2), we must make a judgment about 
your integrity, business ethics, and record of performance under 
Federal awards--that is, the risk posed by you as an applicant--before 
we make an award. In doing so, we must consider any information about 
you that is in the integrity and performance system (currently referred 
to as the Federal Awardee Performance and Integrity Information System 
(FAPIIS)), accessible through the System for Award Management. You may 
review and comment on any information about yourself that a Federal 
agency previously entered and that is currently in FAPIIS.
    Please note that, if the total value of your currently active 
grants, cooperative agreements, and procurement contracts from the 
Federal Government exceeds $10,000,000, the reporting requirements in 2 
CFR part 200, Appendix XII, require you to report certain integrity 
information to FAPIIS semiannually. Please review the requirements in 2 
CFR part 200, Appendix XII, if this grant plus all the other Federal 
funds you receive exceed $10,000,000.
    5. In General: In accordance with the Office of Management and 
Budget's guidance located at 2 CFR part 200, all applicable Federal 
laws, and relevant Executive guidance, the Department will review and 
consider applications for funding pursuant to this notice inviting 
applications in accordance with:
    (a) Selecting recipients most likely to be successful in delivering 
results based on the program objectives through an objective process of 
evaluating Federal award applications (2 CFR 200.205);
    (b) Prohibiting the purchase of certain telecommunication and video 
surveillance services or equipment in alignment with section 889 of the 
National Defense Authorization Act of 2019 (Pub. L. 115-232) (2 CFR 
200.216);
    (c) Providing a preference, to the extent permitted by law, to 
maximize use of goods, products, and materials produced in the United 
States (2 CFR 200.322); and
    (d) Terminating agreements in whole or in part to the greatest 
extent authorized by law if an award no longer effectuates the program 
goals or agency priorities (2 CFR 200.340).

VI. Award Administration Information

    1. Award Notices: If your application is successful, we notify your 
U.S. Representative and U.S. Senators and send you a Grant Award 
Notification (GAN); or we may send you an email containing a link to 
access an electronic version of your GAN. We may notify you informally, 
also.
    If your application is not evaluated or not selected for funding, 
we notify you.
    2. Administrative and National Policy Requirements: We identify 
administrative and national policy requirements in the application 
package and reference these and other requirements in the Applicable 
Regulations section of this notice.
    We reference the regulations outlining the terms and conditions of 
an award in the Applicable Regulations section of this notice and 
include these and other specific conditions in the GAN. The GAN also 
incorporates your approved application as part of your binding 
commitments under the grant.
    3. Open Licensing Requirements: Unless an exception applies, if you 
are awarded a grant under this competition, you will be required to 
openly license to the public grant deliverables created in whole, or in 
part, with Department grant funds. When the deliverable consists of 
modifications to pre-existing works, the license extends only to those 
modifications that can be separately identified and only to the extent 
that open licensing is permitted under the terms of any licenses or 
other legal restrictions on the use of pre-existing works. 
Additionally, a grantee or subgrantee that is awarded Early-phase grant 
funds must have a plan to disseminate these public grant deliverables. 
This dissemination plan can be developed and submitted after your 
application has been reviewed and selected for funding. For additional 
information on the open licensing requirements please refer to 2 CFR 
3474.20.
    Note: The evaluation report is a specific deliverable under an 
Early-phase grant that grantees must make available to the public. 
Additionally, EIR grantees are encouraged to submit final studies from 
research supported in whole or in part by EIR to the Educational 
Resources Information Center (https://eric.ed.gov).
    4. Reporting: (a) If you apply for a grant under this competition, 
you must ensure that you have in place the necessary processes and 
systems to comply with the reporting requirements in 2 CFR part 170 
should you receive funding under the competition. This does not apply 
if you have an exception under 2 CFR 170.110(b).
    (b) At the end of your project period, you must submit a final 
performance report, including financial information, as directed by the 
Secretary. If you receive a multiyear award, you must submit an annual 
performance report that provides the most current performance and 
financial expenditure information as directed by the Secretary under 34 
CFR 75.118. The Secretary may also require more frequent performance 
reports under 34 CFR 75.720(c). For specific requirements on reporting, 
please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.
    (c) Under 34 CFR 75.250(b), the Secretary may provide a grantee 
with additional funding for data collection analysis and reporting. In 
this case, the Secretary establishes a data collection period.
    5. Performance Measures: For the purpose of Department reporting 
under 34 CFR 75.110, the Department has established a set of 
performance measures (as defined in this notice) for the Early-phase 
grants.
    Annual performance measures: (1) The percentage of grantees that 
reach their annual target number of students as specified in the 
application; (2) the percentage of grantees that reach their annual 
target number of high-need students as specified in the application; 
(3) the percentage of grantees with ongoing well-designed and 
independent evaluations 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 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 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 reach the

[[Page 33136]]

targeted 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 complete a 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.
    Project-Specific Performance Measures: Applicants must propose 
project-specific performance measures and performance targets (both as 
defined in this notice) consistent with the objectives of the proposed 
project. Applications must provide the following information as 
directed under 34 CFR 75.110(b) and (c):
    (1) Performance measures. How each proposed performance measure 
would accurately measure the performance of the project and how the 
proposed performance measure would be consistent with the performance 
measures established for the program funding the competition.
    (2) Baseline (as defined in this notice) data. (i) Why each 
proposed baseline is valid; or (ii) if the applicant has determined 
that there are no established baseline data for a particular 
performance measure, an explanation of why there is no established 
baseline and of how and when, during the project period, the applicant 
would establish a valid baseline for the performance measure.
    (3) Performance targets. Why each proposed performance target is 
ambitious yet achievable compared to the baseline for the performance 
measure and when, during the project period, the applicant would meet 
the performance target(s).
    (4) Data collection and reporting. (i) The data collection and 
reporting methods the applicant would use and why those methods are 
likely to yield reliable, valid, and meaningful performance data; and 
(ii) the applicant's capacity to collect and report reliable, valid, 
and meaningful performance data, as evidenced by high-quality data 
collection, analysis, and reporting in other projects or research.
    All grantees must submit an annual performance report with 
information that is responsive to these performance measures.
    6. Continuation Awards: In making a continuation award under 34 CFR 
75.253, the Secretary considers, among other things, whether a grantee 
has made substantial progress in achieving the goals and objectives of 
the project; whether the grantee has expended funds in a manner that is 
consistent with its approved application and budget; and, if the 
Secretary has established performance measurement requirements, whether 
the grantee has made substantial progress in achieving the performance 
targets in the grantee's approved application.
    In making a continuation award, the Secretary also considers 
whether the grantee is operating in compliance with the assurances in 
its approved application, including those applicable to Federal civil 
rights laws that prohibit discrimination in programs or activities 
receiving Federal financial assistance from the Department (34 CFR 
100.4, 104.5, 106.4, 108.8, and 110.23).

VII. Other Information

    Accessible Format: On request to the program contact person listed 
under FOR FURTHER INFORMATION CONTACT, individuals with disabilities 
can obtain this document and a copy of the application package in an 
accessible format. The Department will provide the requestor with an 
accessible format that may include Rich Text Format (RTF) or text 
format (txt), a thumb drive, an MP3 file, braille, large print, 
audiotape, or compact disc, or other accessible format.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. You may 
access the official edition of the Federal Register and the Code of 
Federal Regulations at www.govinfo.gov. At this site you can view this 
document, as well as all other documents of this Department published 
in the Federal Register, in text or Portable Document Format (PDF). To 
use PDF you must have Adobe Acrobat Reader, which is available free at 
the site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.

James Lane,
Principal Deputy Assistant Secretary, Delegated the Authority to 
Perform the Functions and Duties of the Assistant Secretary, Office of 
Elementary and Secondary Education.
[FR Doc. 2023-10998 Filed 5-22-23; 8:45 am]
BILLING CODE 4000-01-P