[Federal Register: May 17, 2000 (Volume 65, Number 96)]
[Notices]
[Page 31385-31414]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
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Part III
Department of Education
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Smaller Learning Communities Grant Program; Notice Inviting
Applications for New Awards for Fiscal Year (FY) 2000 Funds
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DEPARTMENT OF EDUCATION
[CFDA No. 84.215L]
Smaller Learning Communities Grant Program; Notice Inviting
Applications for New Awards for Fiscal Year (FY) 2000 Funds
Note to Applicants: This notice is a complete application
package. Together with the statute authorizing these grants and the
Education Department General Administrative Regulations (EDGAR), this
notice contains all of the information, application forms, and
instructions needed to apply for a Smaller Learning Communities
planning or implementation grant under this competition. These grants
are authorized by title X, part A, section 10105 of the Elementary and
Secondary Education Act of 1965 (ESEA) (20 U.S.C. 8005).
Purpose of Program: The Smaller Learning Communities grant
program will support the development of small, safe, and successful
learning environments in large high schools that ensure all students
graduate with the knowledge and skills necessary to make successful
transitions to college and careers, and to be good citizens. ``Large
high schools'' are schools that include grades 11 and 12 and enroll at
least 1,000 students in grades 9 and above.
Eligible Applicants: Local educational agencies (LEAs)
applying on behalf of large high schools or large high schools funded
by the Bureau of Indian Affairs (BIA schools), are eligible to apply
for a planning or implementation grant. Applicants may work
independently or in partnership with other public agencies or private
non-profit organizations or both. A group of LEAs may also apply
following procedures specified in 34 CFR 75.127-129 of EDGAR.
Applicants may establish their eligibility using enrollment data for
the current school year or the most recently completed school year.
Deadline for Transmittal of Applications: July 17, 2000.
Deadline for Intergovernmental Review: September 14, 2000.
Estimated Available Funds: $45,000,000.
Note: The Secretary intends to reserve $2,250,000 from
these funds for evaluation, technical assistance, and school
networking activities.
Types and Ranges of Awards: The Secretary will award both
planning grants and implementation grants under this notice. LEAs may
apply on behalf of one or more eligible schools. LEAs may also propose
a district-wide strategy directed at eligible high schools. For a one-
year planning grant, an LEA may request, on behalf of a single school,
$25,000 to $50,000 per project. LEAs applying on behalf of a group of
eligible schools or that intend to develop a district-wide strategy may
request funds up to $250,000 per planning grant. For a three-year
implementation grant, an LEA may request, on behalf of a single school,
$250,000 to $500,000 per project. LEAs applying on behalf of a group of
eligible schools or that intend to implement a district-wide strategy
may request funds up to $2,500,000 per implementation grant. LEAs may
submit multiple applications targeting separate schools within each
funding category. However, an LEA may not apply on behalf of an
eligible high school in more than one application. The total amount an
LEA may receive through any combination of awards made under this
program may not exceed $4 million.
Note: The size of awards will be based on a number of
factors. These factors include the scope, quality, and
comprehensiveness of the proposed program and the size of the
population to be served.
Estimated Number of Awards: The Secretary is not estimating
the number of awards under each category of grants available through
this notice.
Project Period: Planning grants will fund activities up to
12 months. Implementation grants will fund activities up to 36 months.
Note: Applicants applying for implementation grants are
required to provide detailed budget information for the total grant
period requested. To provide the applicant maximum flexibility
regarding start-up and maintenance costs, the Secretary anticipates
awarding the entire grant amount for both planning and
implementation at the time of the initial award.
Page Limits: Applicants are strongly encouraged to limit
the application narrative to no more than 20 to 25 double-spaced,
standard-type pages.
The following standards are preferred: (1) A ``page'' is 8.5" x
11" (one side only) with one-inch margins (top, bottom, and sides). (2)
All text in the application narrative, including titles, headings,
footnotes, quotations, references, and captions, as well as all text in
charts, tables, figures, and graphs, must be double-spaced (no more
than three lines per vertical inch). If using a proportional computer
font, applicants are requested to use a 12-point font.
The page limit does not apply to the cover sheet, the one-page
abstract, budget section, appendices, and forms and assurances.
However, all of the application narrative must be included in the
narrative section.
Applicable Regulations: The Education Department General
Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 80, 81,
82, 85, 86, 97, 98 and 99.
SUPPLEMENTARY INFORMATION: The recent violent incidents in a
number of schools across the country deeply disturbed Americans. The
incidents reinforced what many educational practitioners and
researchers were already highlighting as a problem--the impersonal
nature of large high schools that leave too many young people feeling
apathetic, isolated, and alienated from their peers, schools, and
communities.
Research on school size has created a widespread movement towards
smaller schools and the creation of smaller learning communities within
large high schools. In 1996, the National Association of Secondary
School Principals, in conjunction with the Carnegie Foundation for the
Advancement of Teaching, issued a report entitled, ``Breaking Ranks:
Changing an American Institution.'' The report recommends that high
schools break into units of no more than 600 students: (1) To ensure
that teachers and students get to know and care about each other; and
(2) to provide teachers with opportunities to use a variety of
instructional strategies that accommodate and engage individual
learners.
These recommendations are supported further by a growing body of
research on the association between smaller learning environments and
positive student outcomes. In general, smaller learning communities
have been found to have positive effects on students' relationships
with peers, teachers, and staff, and their extracurricular
participation. Students participating in smaller learning communities
also have been found to have better attendance, higher course passage
rates, and fewer suspensions compared to demographically similar
students in more traditional high school settings (Oxley, 1990; Fine
1994). Further studies suggest that, for example, the benefits of
smaller schools may include higher rates of school satisfaction, school
completion, or postsecondary enrollment (Raywid 1995; Klonsky 1995;
Funk and Bailey 1999; Kemple and Snipes 2000). New research suggests
that smaller school size may even help compensate for the adverse
effects of poverty on student achievement in elementary, middle, and
secondary schools (Rural School and Community Trust: http://
ruralchallengepolicy.org.
National statistics show that approximately 70 percent of American
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high school students today attend schools that enroll more than 1,000
students. Nationwide, 4,500 high schools enroll 1,000 or more students.
Over time, high schools have become increasingly larger. While some
schools have realized the benefits of smaller learning communities and
have restructured and reorganized, there are thousands of schools that
have not yet begun the process of creating smaller learning
communities.
Researchers have suggested that the positive outcomes associated
with smaller schools stem from the schools' ability to create close,
personal environments in which teachers can work collaboratively, with
each other and with a small set of students, to challenge students and
support learning. A variety of strategies, such as block scheduling and
teacher advisories, are thought to provide important supports for
smaller learning environments. Some data suggest that these approaches
offer substantial advantages to both teachers and students (Ziegler
1993; Caroll 1994).
Description of Program
The Smaller Learning Communities grant program is authorized under
section 10105 of part A of title X of the ESEA (see Appendix A). Title
X authorizes the Secretary to support nationally significant programs
and projects to: (1) Improve the quality of education; (2) assist all
students in meeting challenging State content standards; and (3)
contribute in achieving the National Education Goals.
The goal of the Smaller Learning Communities grant program is to
encourage large high schools to undertake research-based strategies in
developing, implementing, and expanding smaller learning communities.
Strategies for recasting large schools as a set of small learning
communities are described in the Conference Report for the Consolidated
Appropriations Act, 2000 [Pub. L. 106-113, H.R. Conference Report No.
106-479, at 1240(1999)]. These strategies include but are not limited
to--(1) Establishing small learning clusters, ``houses,'' career
academies, magnet schools, or other approaches to creating schools
within schools;
(2) Block scheduling;
(3) Personal adult advocates, teacher-advisory systems, and other
mentoring strategies;
(4) Reducing teaching loads; and
(5) Other innovations designed to create a more personalized high
school experience for students and improve student achievement.
The definitions and terms used above are expanded in Appendix B.
Application Content
Title X [part A, section 10105 (a)] of ESEA specifies particular
content that all Smaller Learning Communities grant applications must
include (this is called ``required content''). Each of these required
items has been incorporated into the selection criteria that are
published in this notice. Required content is repeated in Appendix C.
Title X [part A, section 10105 (b)] also provides examples of
activities that may be funded by a grant, and thus may be included in a
proposal. These examples are listed in Appendix D as ``allowable
activities.''
The Smaller Learning Communities grant program will award two types
of grants--planning grants and implementation grants.
Planning Grants
The purpose is to provide grantees the opportunity to develop a
plan for recasting a large high school (or high schools) as a set of
small learning communities. Thus, the planning and development
activities described in the applicant's planning grant proposal shall
result in the production and submission of a viable implementation
plan, including the elements described in Appendix C of this notice.
Schools with a viable implementation plan will be able to take the next
step, which is to implement the plan and create the smaller learning
communities. The Department may hold future competitions for
implementation grants limited to LEAs that have successfully developed
implementation plans through planning grants.
Planning grants will also describe schools' overall need for the
project.
Implementation Grants
To apply for implementation funds, applicants must be prepared
either to implement a new smaller learning community program within
each targeted high school, or to expand an existing smaller learning
community program. Thus, applications for an implementation grant must
describe a viable implementation plan. Implementation grants will also
describe schools' overall need for the project.
Reporting Requirements and Expected Outcomes
Both planning and implementation grant applicants must describe
their:
(a) Project goals,
(b) Measurable objectives,
(c) Measures of student outcomes and performance, and
(d) Indicators to gauge progress toward meeting project goals and
objectives. These elements form the basis for a student database and
reporting system.
The Secretary requires grantees with implementation grants to have
a data collection system with the capacity to produce annual
performance reports. These reports will record the grantee's yearly
progress toward expected programmatic outcomes. The Secretary will use
these reports to measure the success of the grantee's project, as well
as the progress of the Department of Education's Smaller Learning
Communities grant program nationwide. Outcome and performance measures
that will be required include:
(1) Number of students scoring at each proficiency level for each
subject measured by the State (or district) assessment.
(2) Number of students taking the SAT and ACT, and their average
scores.
(3) Number of students who take courses for which they receive both
high school and college credit.
(4) Number of students completing high school.
(5) Number of students involved in extracurricular activities.
(6) Number of incidents of student violence.
(7) Number of expulsions, suspensions or other disciplinary
actions.
(8) Number of reported incidents of student alcohol or drug use.
(9) Overall reported average daily attendance for October.
Note: The actual performance report form is undergoing
separate OMB review.
Implementation grant applicants will be required to submit, with
their applications, initial baseline data for each measure of student
outcomes and performance named above. Baseline data will describe the
same school year upon which grant eligibility has been established.
These data may be reported in either the application narrative or in an
appendix. Upon notification of award, grantees with implementation
grants will be required to submit student outcome and performance data
for three years preceding the baseline year.
Outreach Sessions
To share information about the Smaller Learning Communities grant
program, the Department held a series of regional-based outreach
sessions. Information disseminated at these sessions is available on
the website listed below. The Department will also
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sponsor a satellite teleconference and webcast on June 8, 2000 from
12:00 to 1:30 p.m. EST to help applicants prepare for this grant
competition. To register for this event, applicants are asked to visit
our web page, at the U.S. Department of Education site. It follows:
http://www.ed.gov/offices/OESE/SLCP.
Competition Requirements
Waiver of Proposed Rulemaking: Under the Administrative
Procedure Act (5 U.S.C. 553), the Department generally offers
interested parties the opportunity to comment on proposed rules.
However, section 437(d)(1) of the General Education Provisions Act
(GEPA) exempts from this requirement rules that apply to the first
competition under a new or substantially revised program. The Smaller
Learning Communities grant program was funded for the first time under
the fiscal year 2000 appropriation for Labor, Health and Human Services
and Education (Public Law 106-113). As this competition is the first
competition under the program, it qualifies as a new competitive grants
program. The Secretary, in accordance with section 437(d)(1) of GEPA,
to ensure timely awards, has decided to forgo public comments with
respect to the requirements in this notice.
Priorities: The Secretary is particularly interested in
receiving applications that meet the following invitational priorities.
However, an application that meets the invitational priorities will
receive no competitive or absolute preference over other applications
(34 CFR 75.105(c)(1)).
(1) The Secretary invites applications that plan to develop,
implement, or expand a smaller learning community in high schools
currently enrolling 2,500 or more students in grades 9 and above.
Applicants may provide data reflecting enrollment during the current
school year or the most recently completed school year.
(2) The Secretary invites applications that plan to develop,
implement, or expand a smaller learning community in high schools
residing within designated Empowerment Zones or Enterprise Communities.
Applicants must provide proof of such designation within their
application.
Selection Criteria
Under the Smaller Learning Communities grant program competition
announced in this notice, a technical review panel will make a careful
evaluation of applications. Each panelist will evaluate the
applications against the criteria listed below. The panel results are
advisory in nature and not binding on the Secretary. The Secretary will
use the following selection criteria and associated point values in
evaluating applications for planning and implementation grants:
(a) The maximum score for all of these criteria is 100 points.
(b) The maximum score for each criterion is indicated in
parentheses. Within each criterion, the Secretary evaluates each factor
equally.
Planning Grants
(a) Need for the project. (25 points) In determining the
need for the proposed project, the Secretary considers the following
factors:
(1) The description and documentation of the need for the services
to be provided and the need for the activities to be carried out by the
proposed project, in targeted schools, consistent with the social and
educational problems and issues generally associated with the
impersonal nature of large high schools. Need may consider factors such
as: enrollment; attendance and drop-out rates, incidents of violence,
drug and alcohol use and disciplinary actions; percentage of students
who pass graduation exams or local assessments, enroll in advanced
level courses, register for college entrance exams and matriculate into
postsecondary institutions or training; percentage of students that
have limited English proficiency, that are considered migrant youth,
that come from low-income families or are otherwise considered
disadvantaged; the applicant's fiscal capacity to fund programs
described here without Federal assistance; or other local need factors
as described by the applicant.
(2) The extent to which specific gaps or weaknesses (including the
nature and magnitude of those gaps and weaknesses) in services,
infrastructure, or opportunities have been identified and will be
addressed by the proposed project.
(b) Foundation for planning. (15 points) In determining the
merit of the proposed process for developing a viable implementation
plan, the Secretary considers the extent to which the following
activities:
(1) Involve and document the support of stakeholders, both within
the school community (e.g., administrators, teachers, other
staff, students, and parents) and within the greater community
(e.g., representatives of institutions of higher education,
employers, workforce investment boards, youth councils, and community-
based organizations).
(2) Collect and use data that describe school needs.
(3) Use research-based findings in the proposed restructuring of
the learning environment.
(c) Feasibility and soundness of the planning process. (50
points) In determining the feasibility and soundness of the planning
process as a means toward producing a viable implementation plan, the
Secretary considers the extent to which the planned activities:
(1) Are based on a commitment to meet the needs of all students and
ensure the successful completion of their education or career goals.
(2) Will establish smaller learning communities having clear goals
and objectives connected to a mission statement and to student needs.
(3) Are likely to prepare the applicant to implement smaller
learning communities.
(4) Follow a timeline appropriate to the goals and outcomes to be
achieved.
(5) Involve key personnel who are qualified to undertake project
activities.
(d) Commitment of resources to the planning effort. (10
points) In determining the commitment of resources to the planning
effort the Secretary will consider the extent to which:
(1) The requested budget adequately supports the proposed
activities.
(2) State, local, and other Federal funds will be used to support
the development of the plan.
(3) The administrative and managerial relationship between the LEA
and the smaller learning community demonstrates a commitment to the
concept of a smaller learning community and the planning process.
Implementation Grants
(a) Need for the project. (25 points) In determining the
need for the proposed project, the Secretary considers the following
factors:
(1) The description and documentation of the need for the services
to be provided and the need for the activities to be carried out by the
proposed project, in targeted schools, consistent with the social and
educational problems and issues generally associated with the
impersonal nature of large high schools. Need may consider factors such
as: enrollment; attendance and drop-out rates, incidents of violence,
drug and alcohol use and disciplinary actions; percentage of students
who pass graduation exams or local assessments, enroll in advanced
level courses, register for college entrance exams and matriculate into
postsecondary
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institutions or training; percentage of students that have limited
English proficiency, that are considered migrant youth, that come from
low-income families or are otherwise considered disadvantaged; the
applicant's fiscal capacity to fund programs described here without
Federal assistance; or other local need factors as described by the
applicant.
(2) The extent to which specific gaps or weaknesses (including the
nature and magnitude of those gaps or weaknesses) in services,
infrastructure, or opportunities have been identified and will be
addressed by the proposed project.
(b) Foundation for implementation. (10 points) In
determining the quality of the implementation plan, the Secretary
considers the extent to which the implementation process:
(1) Substantively involves and documents the support of
stakeholders both within the school community (e.g., administrators,
teachers, other staff, students, and parents) and within the greater
community (e.g., such as representatives of institutions of higher
education, employers, workforce investment boards, youth councils, and
community-based organizations).
(2) Uses research-based findings and outside technical assistance
in the proposed restructuring.
(c) Feasibility and soundness of the plan (45 points) In
determining the quality of the proposed project, the Secretary
considers the extent to which:
(1) The goals and objectives of the smaller learning communities
correspond to identified needs, to a mission statement, and are written
in terms of student outcomes, including achievement.
(2) The proposed smaller learning communities will enable all
students to reach challenging State content standards and performance
standards, ensuring the successful completion of high school and
preparation for college or a career.
(3) The curriculum and instructional practices within each smaller
learning community are aligned to its goals and to its theme or
emphases, where they exist.
(4) Professional development activities offered to teachers, non-
instructional school staff, and others are aligned with smaller
learning community goals.
(5) The applicant provides a rationale for--
Identifying grade levels and ages of students to be served
by the smaller learning community; and
The methods and timetable for placing students in the
smaller learning community.
Note: Students are not to be placed according to
ability, performance, or any other measure of merit.
(6) The adequacy of the management plan to achieve the objectives
of the proposed project on time and within budget, including--
* The past experience, training, and clearly defined
responsibilities of personnel who have key roles in carrying out the
project; and
* The timelines and milestones for accomplishing project
tasks.
(d) Quality of the project evaluation. (10 points) In
determining the quality of the evaluation, the Secretary considers
whether the applicant has designed an effective method for:
(1) Collecting student performance data for--
* Required annual performance reports;
* Baseline data (refer to ``Reporting Requirements and
Expected Outcomes'') and data for three years preceding the baseline
(the latter due upon award); and
* Monitoring and understanding changes in student outcomes
for continuous improvement.
(2) Describing, on an annual basis, the smaller learning
communities and related program changes undertaken to make the smaller
learning communities safe and successful. This information will be
reported in the Annual Performance Report.
(e) Adequacy of resources. (10 points) In determining the
adequacy of resources for the proposed project, the Secretary considers
the extent to which:
(1) The State, local, and other Federal funds will be used to
support the implementation of the plan.
(2) The applicant will limit equipment and other purchases in order
to maximize the amounts spent on delivery of services to students.
(3) The applicant demonstrates a commitment to sustaining the
project beyond the period covered by the Federal grant.
Intergovernmental Review of Federal Programs
This program is subject to the requirements of Executive Order
12372 (Intergovernmental Review of Federal Programs) and the
regulations in 34 CFR part 79.
The objective of the Executive order is to foster an
intergovernmental partnership and to strengthen federalism by relying
on State and local processes for State and local government
coordination and review of proposed Federal financial assistance.
Applicants must contact the appropriate State Single Point of
Contact to find out about, and to comply with, the State's process
under Executive Order 12372. Applicants proposing to perform activities
in more than one State should immediately contact the Single Point of
Contact for each of those States and follow the procedures established
in each State under the Executive order.
If you want to know the name and address of any State Single Point
of Contact (SPOC), see the list published in the Federal Register
on January 21, 2000 (65 FR 3552); or you may view the latest SPOC
list on the OMB Web site at the following address: http://
www.whitehouse.gov/omb/grants.
In States that have not established a process or chosen a program
for review, State, area-wide, regional, and local entities may submit
comments directly to the Department.
Any State Process Recommendation and other comments submitted by a
State Single Point of Contact and any comments from State, area-wide,
regional, and local entities must be mailed or hand-delivered by the
date indicated in this notice to the following address: The Secretary,
E.O. 12372-CFDA #84.215L, U.S. Department of Education, Room 7E200, 400
Maryland Avenue, SW., Washington, DC 20202-0125.
We will determine proof of mailing on the same basis as
applications (see 34 CFR 75.102). Recommendations or comments may be
hand-delivered until 4:30 p.m. (Washington, D.C. time) on the date
indicated in this notice.
Please Note That the Above Address is not the Same Address as
the One to Which the Applicant Submits its Completed Application. Do
Not Send Applications to the Above Address.
Instructions for Transmittal of Applications
(a) If you want to apply for a grant, you must--
(1) Mail the original and two copies of the application on or
before the deadline date to: U.S. Department of Education, Application
Control Center, Attention: (CFDA #84.215L), Room 3633, Regional Office
Building #3, 7th and D Streets, SW, Washington, DC 20202-4725 or
(2) Hand deliver the original and two copies of the application by
4:30 p.m. (Washington, D.C. time) on or before the deadline date to:
U.S. Department of Education, Application Control Center, Attention:
(CFDA #84.215L), Room 3633, Regional Office Building #3, 7th
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and D Streets, SW, (D Street, southwest entrance), Washington, D.C.
(b) An applicant must show one of the following as proof of
mailing:
(1) A legibly dated U.S. Postal Service postmark.
(2) A legible mail receipt with the date of mailing stamped by the
U.S. Postal Service.
(3) A dated shipping label, invoice, or receipt from a commercial
carrier.
(4) Any other proof of mailing acceptable to the Secretary.
(c) If an application is mailed through the U.S. Postal Service,
the Secretary does not accept either of the following as proof of
mailing:
(1) A private metered postmark.
(2) A mail receipt that is not dated by the U.S. Postal Service.
Note: (1) The U.S. Postal Service does not uniformly
provide a dated postmark. Before relying on this method, an
applicant should check with its local post office.
(d) The Application Control Center will mail a Grant Application
Receipt Acknowledgment to you. If you do not receive the notification
of application receipt within 15 days from the date of mailing the
application, you should call the U.S. Department of Education
Application Control Center at (202) 708-9494.
(e) The applicant must indicate on the envelope and--if not
provided by the Department--in Item 3 of the Application for Federal
Assistance (ED 424) the CFDA number for this competition: CFDA 84.215L.
Application Instructions and Forms
The appendices to this notice contain all required forms and
instructions, including instructions for preparing the application
narrative, a statement regarding estimated public reporting burden, a
notice to applicants regarding compliance with section 427 of the
General Education Provisions Act (GEPA), various assurances and
certifications, and a checklist for applicants.
To apply for an award under this competition, your application must
be organized in the following order and include the following four
parts. The parts and additional materials are as follows:
Part I: Coversheet for the Smaller Learning Communities
(SLC) Grant Program Application Package (Appendix F).
Part II: Application for Federal Assistance (ED 424, Exp.
06/30/2001) and instructions.
Part III: Budget Information-Non-Construction Programs (ED
Form No. 524) and instructions. An applicant for a multi-year project
must provide a budget narrative that provides budget information for
each budget period of the proposed project period.
Part IV: Application Narrative.
In preparing the narrative, applicants should clearly keep in mind
the selection criteria that will be used to evaluate applications, and
ensure that each of these criteria are addressed. Section 8005(a) of
the statute describes additional information that applicants must
address in their applications. Please refer to the statute, which is
provided in Appendix A of this application package.
Part V: Appendices.
Applications may contain appendices that are excluded from the 20-
25 page limitation. However, appendices may be used only to explicate
or corroborate points already made clear in the text. For example,
implementation grant applicants may place in an appendix the baseline
data used to address the selection criterion ``Quality of the project
evaluation.''
Part VI: Assurances and Certifications:
a. Assurances-Non-Construction Programs (Standard Form 424B).
b. Certifications Regarding Lobbying; Debarment, Suspension, and
Other Responsibility Matters; and Drug-Free Workplace Requirements (ED
80-0013) and instructions.
c. Certifications regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion-Lower Tier Covered Transactions (ED 80-0014, 9/
90) and instructions.
Note: ED Form 80-0014 is intended for the use of
grantees and should not be transmitted to the Department.
d. Disclosure of Lobbying Activities (Standard Form LLL) (if
applicable) and instructions.
An applicant may submit information on photostatic copies of the
application, budget forms, assurances, and certifications as printed in
this notice in the Federal Register. However, the application
form, assurances, and certifications must each have an original
signature. All applicants are required to submit ONE original signed
application, including ink signatures on all forms and assurances, and
TWO copies of the application, one bound and one unbound copy suitable
for photocopying. Please mark each application as ``original'' or
``copy.'' To aid with the review of applications, the Department
encourages applicants to submit three additional paper copies and one
electronic copy (in Department of Education standard program format) of
the application. The Department will not penalize applicants who do not
provide additional copies. No grant may be awarded unless a completed
application form, including the signed assurances and certifications,
has been received.
FOR FURTHER INFORMATION CONTACT: John De Cleene or Todd May,
Smaller Learning Communities Grant Program, U.S. Department of
Education, 400 Maryland Avenue, SW, Washington, DC 20202. Telephone:
(202) 260-2195 (John De Cleene) or (202) 260-0960 (Todd May). E-mail:
smallerlearningcommunities@ed.gov.
Individuals who use a telecommunications device for the deaf (TDD)
may call the Federal Information Relay Service (FIRS) at 1-800-877-
8339. Individuals with disabilities may obtain this notice in an
alternate format (e.g., Braille, large print, audiotape, or
computer diskette) on request to the contact person listed in the
preceding paragraph.
Electronic Access to This Document
You may view this document, as well as all other Department of
Education documents published in the Federal Register, in text
or Adobe Portable Document Format (PDF) on the Internet at either of
the following sites:
http://ocfo.ed.gov/fedreg.html
http://www.ed.gov/news.html
To use the PDF you must have the Adobe Acrobat Reader, which is
available free at either of the previous sites. If you have questions
about using the PDF, call the U.S. Government Printing Office (GPO),
toll free, at 1-888-293-6498; or in the Washington, DC area at (202)
512-1530.
Note: The official version of this document is the
document published in the Federal Register. Free Internet
access to the official edition of the Federal Register and
the Code of Federal Regulations is available on GPO Access at:
http://www.access.gpo.gov/nara/index.html.
Program Authority: 20 U.S.C. 8005.
Dated: May 11, 2000.
Michael Cohen,
Assistant Secretary for Elementary and Secondary Education.
Patricia McNeil,
Assistant Secretary for Vocational and Adult Education.
Appendix A.--ESEA, Title X, Part A
Sec. 10105. Smaller Learning Communities
(a) In General.--Each local educational agency desiring a grant
under this section shall submit an application to the Secretary at
such time, in such manner, and accompanied by such information as
the Secretary
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may require. Each such application shall describe--
(1) Strategies and methods the applicant will use to create the
smaller learning community or communities;
(2) Curriculum and instructional practices, including any
particular themes or emphases, to be used in the learning
environment;
(3) The extent of involvement of teachers and other school
personnel in investigating, designing, implementing and sustaining
the smaller learning community or communities;
(4) The process to be used for involving students, parents and
other stakeholders in the development and implementation of the
smaller learning community or communities;
(5) Any cooperation or collaboration among community agencies,
organizations, businesses, and others to develop or implement a plan
to create the smaller learning community or communities;
(6) The training and professional development activities that
will be offered to teachers and others involved in the activities
assisted under this part;
(7) The goals and objectives of the activities assisted under
this part, including a description of how such activities will
better enable all students to reach challenging State content
standards and State student performance standards;
(8) The methods by which the applicant will assess progress in
meeting such goals and objectives;
(9) If the smaller learning community or communities exist as a
school-within-a-school, the relationship, including governance and
administration, of the smaller learning community to the rest of the
school;
(10) A description of the administrative and managerial
relationship between the local educational agency and the smaller
learning community or communities, including how such agency will
demonstrate a commitment to the continuity of the smaller learning
community or communities, including the continuity of student and
teacher assignment to a particular learning community;
(11) How the applicant will coordinate or use funds provided
under this part with other funds provided under this Act or other
Federal laws;
(12) Grade levels or ages of students who will participate in
the smaller learning community or communities; and
(13) The method of placing students in the smaller learning
community or communities, such that students are not placed
according to ability, performance or any other measure, so that
students are placed at random or by their own choice, not pursuant
to testing or other judgments.
(b) Authorized Activities.--Funds under this section may be
used--
(1) To study the feasibility of creating the smaller learning
community or communities as well as effective and innovative
organizational and instructional strategies that will be used in the
smaller learning community or communities;
(2) To research, develop and implement strategies for creating
the smaller learning community or communities, as well as effective
and innovative changes in curriculum and instruction, geared to high
State content standards and State student performance standards;
(3) To provide professional development for school staff in
innovative teaching methods that challenge and engage students to be
used in the smaller learning community or communities; and
(4) To develop and implement strategies to include parents,
business representatives, local institutions of higher education,
community-based organizations, and other community members in the
smaller learning communities, as facilitators of activities that
enable teachers to participate in professional development
activities, as well as to provide links between students and their
community.
Appendix B.--Definitions and Terms
Definition. The following definition is used in this
notice:
Magnet School means a public school or education center
that offers a special curriculum capable of attracting substantial
numbers of students of different racial backgrounds.
Terms. The following terms are used in this notice:
Flexible Scheduling is a means of reconfiguring the
school day. For example, block courses may be scheduled for two or
more continuous class periods or days to allow students greater time
for laboratory or project-centered work, field trips or work-based
learning, and special assemblies or speakers.
Career Academies are typically schools-within-schools
that offer students academic programs organized around broad career
themes. Often integrating classroom instruction with work-based
learning, academies try to equip students with the necessary skills
for both workforce entry and postsecondary education.
Career Clusters generally refer to groupings formed
around broad-based industry areas and address all types of skills,
ranging from entry-level to advanced practice. A cluster represents
those industries or career areas that have a high degree of
commonality in work functions, knowledge, or skills.
Houses generally are organizational arrangements that
assign students and teachers to sub-schools. Students take some or
all courses with their house members and from their house teachers.
Each house typically has its own student activity program, student
government, disciplinary policies, and social activities. Houses may
be year-long (within a grade) or multi-year (combine grades).
Mentoring Programs designate adults to act as advocates
for students. Teachers, counselors, and other school staff (as well
as community volunteers or employees at work-based learning sites)
serve as mentors, working in consultation with classroom teachers,
counselors, and related service personnel to help students
individually or in small groups, on a regular basis over an extended
period of time.
Schools-within-Schools are autonomous programs housed
within a larger school building. These programs report directly to
the district rather than to the host school's principal and are
formally authorized by the superintendent or board of education.
Schools-within-schools have their own culture, program, staff,
students, budget, and school space.
Teacher Advisories are similar to mentoring programs.
They organize adults to personalize the high school experience and
support academic achievement. Some schools and districts establish
advisory classes that meet weekly; others schedule students for less
formal one-on-one or group time with teachers. Advisory activities
may include helping students develop personal learning plans,
introducing students to career clusters, helping students select
courses, and working with students on postsecondary plans and pre-
employment skills.
Appendix C.--Required Content
Planning Grants
Planning grants will describe the planning and development
activities that will be undertaken to produce and submit a viable
Implementation Plan, as described below and in section 10105(a) of
the ESEA (Appendix A).
Implementation Grants
Implementation Plans will describe--
(a) The smaller learning communities the applicant will create.
(b) Additional strategies the applicant will combine with the
smaller learning
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communities so that they are safe and successful. ``Additional
strategies'' may include, for example, new instructional practices,
curriculum, or themes; or they may include a process for involving
parents in their students' education.
(c) How the proposed collection of strategies (the smaller
learning communities along with other proposed strategies)--
(1) Address identified school needs;
(2) Are based on reliable research and effective practice; and
(3) Will enable all students to meet challenging standards.
(d) The extent of involvement of teachers and other personnel in
investigating, designing, implementing, and sustaining the smaller
learning community or communities;
(e) The process to be used for involving students, parents, and
other stakeholders in the development and implementation of the
smaller learning community or communities;
(f) Any cooperation or collaboration among community agencies,
organizations, businesses, and others to develop or implement a plan
to create the smaller community or communities;
(g) The training and professional development activities that
will be offered to teachers and others involved in the activities
assisted under part A of title X of the ESEA;
(h) The goals and objectives of the activities assisted under
part A of Title X of the ESEA, including a description of how such
activities will help enable all students to reach challenging State
content standards and State student performance standards;
(i) The methods by which the applicant will assess progress in
meeting such goals and objectives;
(j) If the smaller learning community or communities exist as a
school-within-a-school, the relationship, including the governance
and administration, of the smaller learning community to the rest of
the school;
(k) The administrative and managerial relationship between the
LEA and the smaller learning community or communities, including how
the LEA will demonstrate a commitment to the continuity of the
smaller learning community or communities, including the continuity
of student and teacher assignment to a particular learning
community;
(l) How the applicant will coordinate or use funds provided
under part A of title X of the ESEA with other funds provided under
the ESEA or other Federal laws; and
(m) The grade levels or ages of students who will participate in
the smaller learning community or communities; and
(n) The method of placing students in the smaller learning
community or communities, such that students are not placed
according to ability, performance, or any other measure of merit, so
that students are placed at random or by their own choice, not
pursuant to testing or other judgments.
Appendix D.--Allowable Activities
Planning Grants
Examples of activities that may be conducted under a planning
grant include--
(1) Studying the feasibility of recasting a large school as a
set of smaller learning communities and investigating instructional
strategies that are appropriate for smaller learning communities;
(2) Building consensus among key stakeholders and supporting
planning and development activities to provide guidance in creating
the smaller learning community;
(3) Assessing staff training and development needs for
participation in and management of the smaller learning community;
(4) Developing strategies to include parents, business
representatives, local institutions of higher education, community-
based organizations, and other community members in the smaller
learning communities, as facilitators of activities that enable
teachers to participate in professional development activities, as
well as to provide links between students and their community;
(5) Initiating pilot projects to test key components of the
program design and data collection methods;
(6) Analyzing statutory, regulatory, and administrative barriers
to the creation of the smaller learning environment; and
(7) Preparing the implementation plan required for submission of
a proposal for a future implementation grant.
Implementation Grants
Examples of activities that may be conducted under an
implementation grant include--
(1) Implementing and expanding strategies for creating the
smaller learning community or communities, as well as effective and
innovative changes in curriculum and instruction, geared to high
State content standards and performance standards;
(2) Providing professional development for school staff in
innovative teaching methods that challenge and engage students in
the smaller learning community or communities;
(3) Implementing and expanding strategies to include parents,
business representatives, local institutions of higher education,
community-based organizations, and other community members in the
smaller learning communities, as facilitators of activities that
enable teachers to participate in professional development
activities, as well as to provide links between students and their
community;
(4) Implementing and expanding strategies that benefit eligible
large schools throughout the applicant's district. Examples of these
may include implementing a district-wide ninth grade academy,
teacher advisory program, or district-wide mentoring program;
(5) Obtaining the services of outside experts in the
implementation of the smaller learning community. Assistance may
include curriculum development, leadership strategies, community
consensus building, data collection, or evaluation design;
(6) Providing stipends and release time for teachers,
administrators, and community members involved in the implementation
or expansion of the smaller learning community; and
(7) Implementing academic and social support systems for
students attending the smaller learning community.
Appendix E.--Instructions for the Application Narrative
The narrative is the section of the application where statutory
application requirements and the selection criteria used by
reviewers in evaluating the application are addressed. The narrative
must encompass each function or activity for which funds are being
requested. Before preparing the application narrative, you should
read carefully the statute, the description of the program, and the
selection criteria we use to evaluate applications.
You should note the preferable page limits for the application
narrative stated in this notice under Page Limits.
1. Begin with a one-page Abstract summarizing the proposed
Smaller Learning Communities project, including a short description
of the population to be served by the project and, if available,
data on project participants' overall need, demographics and race/
ethnicity. Also include a description of project objectives and
activities.
2. Include a table of contents listing the parts of the
narrative in the order of the selection criteria and the page
numbers where the parts of the narrative are found. Be sure to
number the pages.
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3. Describe fully the proposed project in light of the selection
criteria in the order in which the criteria are listed in the
application package. Do not simply paraphrase the criteria.
4. Provide the following in response to the attached ``Notice to
all Applicants:'' (1) A reference to the portion of the application
in which information appears as to how you are addressing steps to
promote equitable access and participation, or (2) a separate
statement that contains that information.
5. If the application is from a group, attach the group's
agreement. When applying for funds as a group, such as a consortium,
individual eligible applicants must enter into an agreement signed
by all members of the group. The group's agreement must detail the
activities each member of the group plans to perform, and must bind
each member to every statement and assurance made in the group's
application. (The designated applicant must submit the group's
agreement with its application.)
6. You may include supporting documentation as appendices to the
narrative. This material should be concise and pertinent to the
competition. Note that we consider only information contained in the
application when ranking applications. Letters of support sent
separately from the formal application package are not considered in
the review by the technical review panels.
7. Attach copies of all required assurances and forms.
Estimated Public Reporting Burden
According to the Paperwork Reduction Act of 1995, you are not
required to respond to a collection of information unless it
displays a valid OMB Control Number. The valid OMB control number
for this information collection is To be inserted],(Expiration Date:
[To be inserted]). The time required to complete this information
collection is estimated to average sixty-five (65) hours per
response, including the time to review instructions, search existing
data resources, gather the data needed, and complete and review the
information collection. If you have any comments concerning the
accuracy of the time estimate or suggestions for improving this
form, please write to: Diane Austin, Smaller Learning
Communities Grant Program, U.S. Department of Education, 400
Maryland Avenue SW, FB-6, 5C149, Washington, DC 20202-6200.
If you have comments or concerns regarding the status of
your individual submission of this form, write directly to:
Diane Austin, Smaller Learning Communities Grant Program, U.S.
Department of Education, 400 Maryland Avenue SW, FB-6, 5C149,
Washington, DC 20202-6200.
Appendix F.--Application Coversheet
Coversheet: Smaller Learning Communities (SLC) Grant Program
Application Package
1. Type of grant applied for. (Check just one.)
____ Application for Planning Grant
____ Application for Implementation Grant
2. LEA Name and Address:
NCES District ID:
3. Name and Address of Each School Named in the Accompanying SLC
Application:
1. Name:
2. Name:
3. Name:
4. Name:
5. Name:
6. Name:
(Please list any additional schools on a separate page and
attach.)
Checklist for Applicants
The following forms and other items must be included in the
application in the order listed below:
____1. Application cover sheet (Appendix F).
____2. Application for Federal Assistance (ED 424).
____3. Budget Information--Non-Construction Programs ED Form
No. 524) and budget narrative.
____4. Application Narrative, including information that
addresses section 427 of the General Education Provisions Act (see
the section entitled ``NOTICE TO ALL APPLICANTS''), and relevant
appendices.
____5. Group agreement, if applicable.
____6. Assurances--Non-Construction Programs (SF 424B).
____7. Certifications Regarding Lobbying; Debarment,
Suspension, and Other Responsibility Matters; and Drug-Free
Workplace Requirements (ED 80-0013).
____8. Disclosure of Lobbying Activities (Standard Form
LLL).
____9. GPRA.
[OMB Control No. 1810-0631 (exp. 10/31/2000)]
Notice to All Applicants
Thank you for your interest in this program. The purpose of this
enclosure is to inform you about a new provision in the Department
of Education's General Education Provisions Act (GEPA) that applies
to applicants for new grant awards under Department programs. This
provision is section 427 of GEPA, enacted as part of the Improving
America's Schools Act of 1994 (Pub. L. 103-382).
To Whom Does This Provision Apply?
Section 427 of GEPA affects applicants for new discretionary
grant awards under this program. ALL APPLICANTS FOR NEW AWARDS MUST
INCLUDE INFORMATION IN THEIR APPLICATIONS TO ADDRESS THIS NEW
PROVISION IN ORDER TO RECEIVE FUNDING UNDER THIS PROGRAM.
What Does This Provision Require?
Section 427 requires each applicant for funds (other than an
individual person) to include in its application a description of
the steps the applicant proposes to take to ensure equitable access
to, and participation in, its federally assisted program for
students, teachers, and other program beneficiaries with special
needs.
This section allows applicants discretion in developing the
required description. The statute highlights six types of barriers
that can impede equitable access or participation that you may
address: gender, race, national origin, color, disability, or age.
Based on local circumstances, you can determine whether these or
other barriers may prevent your students, teachers, etc. from
equitable access or participation. Your description need not be
lengthy; you may provide a clear and succinct description of how you
plan to address those barriers that are applicable to your
circumstances. In addition, the information may be provided in a
single narrative, or, if appropriate, may be discussed in connection
with related topics in the application.
Section 427 is not intended to duplicate the requirements of
civil rights statutes, but rather to ensure that, in designing their
projects, applicants for Federal funds address equity concerns that
may affect the ability of certain potential beneficiaries to fully
participate in the project and to achieve to high standards.
Consistent with program requirements and its approved application,
an applicant may use the Federal funds awarded to it to eliminate
barriers it identifies.
What Are Examples of How an Applicant Might Satisfy the Requirement
of This Provision?
The following examples may help illustrate how an applicant may
comply with section 427:
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(1) An applicant that proposes to carry out an adult literacy
project serving, among others, adults with limited English
proficiency, might describe in its application how it intends to
distribute a brochure about the proposed project to such potential
participants in their native language.
(2) An applicant that proposes to develop instructional
materials for classroom use might describe how it will make the
materials available on audio tape or in Braille for students who are
blind.
(3) An applicant that proposes to carry out a model science
program for secondary students and is concerned that girls may be
less likely than boys to enroll in the course, might indicate how it
intends to conduct ``outreach'' efforts to girls, to encourage their
enrollment.
We recognize that many applicants may already be implementing
effective steps to ensure equity of access and participation in
their grant programs, and we appreciate your cooperation in
responding to the requirements of this provision.
Estimated Burden Statement
According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it
displays a valid OMB control number. The valid OMB control number
for this information collection is 1810-0631 (Exp. 10/31/2000). The
time required to complete this information collection is estimated
to vary from 1 to 3 hours per response, with an average of 1.5
hours, including the time to review instructions, search existing
data resources, gather and maintain the data needed, and complete
and review the information collection. If you have any comments
concerning the accuracy of the time estimate(s) or suggestions for
improving this form, please write to: U.S. Department of Education,
Washington, DC 20202-4651.
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[FR Doc. 00-12368 Filed 5-16-00; 8:45 am]
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