U.S. Department of Education

Office of Innovation and Improvement

# FY 2005

# School Leadership

**Application for Grants**

![](media/image1.png)

## 

## Form Approved

**OMB No.**

**CFDA Number: 84.363A**

**Dated Material -- OPEN IMMEDIATELY**

**Closing Date: April 15, 2005**

### 

### 

### 

### Paperwork Burden Statement

According to the Paperwork Reduction Act. 1995, no persons are required
to respond to a collection of information unless such collection
displays a valid OMB control number. The valid OMB control number for
this information collection is 1890-0009. The time required to complete
this information collection is estimated to average 20 hours per
response, including the time to review instruction, search existing data
resources, and gather 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 20202-5942. If
you have comments or concerns regarding the status of your individual
submission of this form, write directly to:

> School Leadership Program
>
> Office of Innovation and Improvement
>
> U.S. Department of Education
>
> 400 Maryland Ave. SW Room 4W318
>
> Washington, DC 20202-5942

February 22, 2005

Dear Applicant:

Thank you for your interest in the School Leadership program (SLP). Your
interest in applying for a grant under this program comes at a critical
time in our national effort to ensure that schools are led by talented
individuals who are prepared with the knowledge, skills and attributes
required to ensure that every school is high performing.

There is compelling evidence that leadership is an important factor in
effecting student learning, and that the effect is even greater in
high-poverty schools. Yet, these are the schools that tend to have
higher turnover rates of principals and assistant principals, and that
have the greatest challenges in recruiting candidates to fill those
positions. We know that successful principals promote a culture of
achievement in their schools. These principals work to ensure that
teachers and other instructional staff have the resources and other
support they need to foster high academic achievement in all students.
If we are to attain a high level of teacher and student performance in
all schools, we must ensure that all schools have effective principals.
The purpose of the SLP is to provide resources to assist local
educational agencies (LEAs) in greatest need to develop or enhance
innovative programs that recruit, prepare, and support talented
individuals to become principals and assistant principals in their
schools.

Because we believe that effective school leadership is important to
improving student learning outcomes, we are very interested in receiving
applications that show how the key stakeholders in each participating
LEA were involved in the design and development of the proposed project,
and how the project would be an integral component of each LEA's plan
for improving student achievement. We are also interested in receiving
applications that propose innovative strategies to bring highly
qualified individuals who have a wide range of leadership experiences
from both within and outside of education into school leadership
positions.

Please review the entire application package carefully before preparing
and submitting your application. It includes all the forms and
instructions that applicants will need to apply for a Fiscal Year 2005
SLP grant.

If you desire further information concerning this program or the
application process, please contact me in writing at the U.S. Department
of Education, Office of Innovation and Improvement, School Leadership
Program, 400 Maryland Avenue, SW, Room 4W226, Washington, DC 20202. You
may also contact me at 202-260-2614, or by e-mail at SLP@ed.gov.

Again, thank you for your interest in the School Leadership program and
your commitment to helping American schools recruit and retain talented
and qualified school leaders.

Sincerely,

Peggi Zelinko

School Leadership Program

**[Section A: Legal & Regulatory Documents]{.underline}**

-   Federal Register- Notice Inviting Applications for New Awards

-   Authorizing Statute & Definition of High-Need Local Educational
    Agency

**[Section B: General Application Instructions, Information, and
Forms]{.underline}**

-   General Instructions

    -   Intent to Apply

    -   Instructions for Preparing Project Narrative

    -   Selection Criteria

    -   Abstract

    -   Budget

    -   Other Program Requirements

        -   High-Need LEA Requirements

        -   High-Need District (LEA) Eligibility: Optional Table and
            Instructions

        -   Intergovernmental Review

-   School Leadership Program Questions & Answers

-   Application Submission

-   Program Staff Contact List

-   ED forms, Assurances, and Clearances

####### Section C: Transmittal Instructions 

-   Application Transmittal Instructions

**[Section A: Legal & Regulatory Documents]{.underline}**

-   Federal Register- Notice Inviting Applications for New Awards

-   Authorizing Statute & Definition of High-Need Local Educational
    Agency

**Federal Register- Notice Inviting Applications for New Awards**

Notice Inviting Applications for New Awards for Fiscal Year

(FY) 2005 (February 22, 2005)
![](media/image2.png){width="0.10416666666666667in"
height="0.14583333333333334in"}[PDF](http://www.ed.gov/legislation/FedRegister/announcements/2005-1/022205a.pdf)
(69K).

\[Federal Register: February 22, 2005 (Volume 70, Number 34)\]

\[Notices\]

\[Page 8573-8578\]

From the Federal Register Online via GPO Access \[wais.access.gpo.gov\]

\[DOCID:fr22fe05-50\]

 

=======================================================================

\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

 

DEPARTMENT OF EDUCATION

 

Office of Innovation and Improvement

 

Overview Information; **School** **Leadership** **Program**; Notice
Inviting

Applications for New Awards for Fiscal Year (FY) 2005

 

Catalog of Federal Domestic Assistance (CFDA) Number: 84.363A.

 

**Dates**

 

Applications Available: February 22, 2005.

Deadline for Notice of Intent to Apply: March 24, 2005.

Deadline for Transmittal of Applications: April 15, 2005.

Deadline for Intergovernmental Review: June 14, 2005.

Eligible Applicants: High-need local educational agencies (LEAs),
consortia of high-need LEAs, or partnerships that consist of at least
one high-need LEA and at least one nonprofit organization (which may be
a community- or faith-based organization) or institution of higher
education. (See section III. Eligibility Information, 3. Other:
Definition of \`\`High-Need LEA\'\' and other Eligibility Information)
in this notice.

Estimated Available Funds: \$12 million.

Estimated Range of Awards: \$250,000-\$750,000.

Estimated Average Size of Awards: \$500,000.

Estimated Number of Awards: 24.

Note: The Department is not bound by any estimates in this notice.

Project Period: Up to 36 months.

 

Full Text of Announcement

 

**I. Funding Opportunity Description**

 

Purpose of Program: The **School** **Leadership** **program** is
designed to assist high-need LEAs in the development, enhancement, or
expansion of innovative programs to recruit, train, and mentor
principals (including assistant principals) to serve in high-need
schools through such activities as:

Providing financial incentives to aspiring new principals;

Providing stipends to principals who mentor new principals;

Carrying out professional development programs in instructional
leadership and management; and

Providing incentives that are appropriate for teachers or individuals
from other fields who want to become principals and that are effective
in retaining new principals.

Priorities: Under this competition we are particularly interested in
applications that address the following priorities.

Invitational Priorities: For FY 2005 these priorities are invitational
priorities. Under 34 CFR 75.105(c)(1) we do not give an application that
meets these invitational priorities a competitive or absolute preference
over other applications.

These priorities are:

Invitational Priority 1\--Commitment from the LEA. To successfully meet
the purpose of this program and to develop institutional capacity and
sustainability, projects need the full support of each participating
high-need LEA. Therefore, the Secretary strongly encourages applicants
to develop strategies for maximizing the involvement of each
participating LEA in the project\'s design, development and
implementation. These strategies, for example, might focus on ensuring
that\--

The proposed project is part of an already well-defined and articulated
district-wide strategy for improving student achievement in each
participating high-need LEA;

Each participating LEA\'s superintendent and his or her staff play key
roles in identifying the competencies that program participants need to
know and demonstrate, and use those competencies to implement and build
the training program;

Each participating LEA has established procedures for placing
participants in part-time or full-time leadership positions or
residencies in high-need schools as part of their training and
preparation; and

Each participating LEA is firmly committed to hiring successful program
completers.

Invitational Priority 2\--Innovative approaches to recruiting and
preparing school leaders through alternative routes. Over the next five
years the number of vacancies among principals and other school leaders
is expected to grow by 20 percent; filling these positions will be
particularly challenging for rural and urban districts, which tend to
receive fewer applications for open positions.

Studies show that there is no overall shortage of candidates with the
credentials that States require for school principals. However, those
same studies indicate that most of these candidates typically acquired
their credentials in order to obtain salary increases or attain an
advanced degree, and not necessarily because of a strong personal
commitment to becoming leaders of their schools and school communities.

The Department recognizes that some States have addressed the need to
increase the pool of candidates who are committed to becoming school
leaders in high-need LEAs and schools, in particular by making available
alternative routes to meeting requirements for certification or
licensure as a school principal or assistant principal. The

Secretary strongly encourages eligible entities in States with these
approved alternative routes to submit applications that propose to
recruit individuals of diverse professional backgrounds who can take
advantage of the alternative routes, and then create incentives for
these individuals to participate in the program and to take leadership
positions in high-need schools that face the greatest challenges.

Applicants may choose to address one or more of these invitational
priorities within their responses to the selection criteria.

Program Authority: 20 U.S.C. 6651(b).

Applicable Regulations: The Education Department General

Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 79, 80,
81, 82, 84, 85, 86, 97, 98 and 99.

 

Note: The regulations in 34 CFR part 79 apply to all applicants except
federally recognized Indian tribes.

 

 

Note: The regulations in 34 CFR part 86 apply to institutions of higher
education only.

 

**II. Award Information**

 

Type of Award: Discretionary grants.

Estimated Available Funds: \$12 million.

 

Estimated Range of Awards: \$250,000-\$750,000.

Estimated Average Size of Awards: \$500,000.

Estimated Number of Awards: 24.

 

Note: The Department is not bound by any estimates in this notice.

 

Project Period: Up to 36 months.

 

**III. Eligibility Information**

 

1\. Eligible Applicants: High-need LEAs, consortia of high-need

LEAs, or partnerships that consist of at least one high-need LEA and at
least one nonprofit organization (which may be a community- or
faith-based organization) or institution of higher education. Applicants
are expected to identify and confirm in their applications that the
participating LEA(s) meet the definition of \`\`high-need\'\' in section

2102(3) of the ESEA, as reauthorized by the No Child Left Behind Act 0f

2001\. (See section III. Eligibility Information, 3. Other: Definition
of \`\`High-Need LEA\'\' and other Eligibility Information of this
notice for the definition of high-need LEA.)

2\. Cost Sharing or Matching: This program does not involve cost sharing
or matching.

3\. Other: Definition of \`\`High-Need LEA\'\' and other Eligibility

Information. An eligible application must propose a project that
benefits one or more \`\`high-need LEAs.\'\' As defined in section
2102(3) of the ESEA, the term \`\`high-need LEA\'\' is an LEA\--

(a)(1) That serves not fewer than 10,000 children from families with
incomes below the poverty line, or (2) for which not less than 20
percent of the children served by the LEA are from families with incomes
below the poverty line; and

\(b\) For which there is (1) a high percentage of teachers not teaching
in the academic subjects or grade levels the teachers were trained to
teach, or (2) a high percentage of teachers with emergency, provisional,
or temporary certification or licensing.

So that the Department may be able to confirm the eligibility of the
LEAs that projects propose to serve, applicants are expected to include
information in their applications that demonstrates that each
participating LEA in the project is a high-need LEA, as defined in
section 2102(3) of the ESEA. Generally, this information should be based
on the most recent available data on the number of children from
families with incomes below the poverty line that the LEA serves. In
addition, when presenting evidence to support that each participating

LEA meets the definition of a high-need LEA, an application should
consider the following.

The Department is not aware of any consistent available

LEA data\--other than data periodically gathered by the U.S. Census

Bureau\--that would show that an LEA serves the required number or
percentage of children (individuals ages 5 through 17) from families
below the poverty line (as defined in section 9101(33) of the ESEA).

Note: The data that many LEAs collect on the number of children eligible
for free- and reduced-priced meal subsidies may not be used to satisfy
the requirements under component (a) of the statutory definition of
high-need LEA. Those data do not reflect children from families with
incomes below the poverty line, as defined in section 9101(33) of the
ESEA.

Therefore, absent a showing of alternative LEA data that reliably show
the number of children from families with incomes below the poverty line
that are served by the LEA, the Department would expect that the
eligibility of an LEA as a \`\`high-need LEA\'\' under component (a)
Would be determined on the basis of the most recent U.S. Census

Bureau data. U.S. Census Bureau data are available for all school
districts with geographic boundaries that existed when the U.S. Census

Bureau collected its information. The link to the census data is:

[http://www.census.gov/housing/saipe/sd02/](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.census.gov/housing/saipe/sd02/).
(Applicants are encouraged to review the README file at the directory
level, which provides a description of how the files are organized.) The
Department also makes these data available at its Web site at:
[http://www.ed.gov/programs/](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov/programs/lsl/eligibility.html)

[lsl/eligibility.html](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov/programs/lsl/eligibility.html).
(Although the Department posted this listing specifically for the
Improving Literacy through School Libraries program, these same data
apply to the definition of a \`\`high-need LEA\'\' used for purposes of
eligibility under the **School** **Leadership** **program**.)

With regard to component (b)(1) of the definition of \`\`high-need
LEA,\'\' the Department interprets the phrase \`\`a high percentage of
teachers not teaching in the academic subjects or grade levels that the
teachers were trained to teach\'\' as being equivalent to \`\`a high
percentage of teachers teaching out of field.\'\' The Department expects
that LEAs that rely on component (b)(1) of the definition will
demonstrate that they have a high percentage of teachers teaching out of
field. The Department is not aware of any specific data that would
demonstrate a \`\`high percentage\'\' of teachers teaching out of field.
Accordingly, the Department will review this aspect of an LEA\'s
proposed eligibility on a case-by-case basis. To decrease the level of
uncertainty, an applicant might choose instead to demonstrate that each
participating LEA meets the eligibility test for a high-need LEA under
component (b)(2) of the definition.

For component (b)(2) of the definition of \`\`high-need

LEA,\'\' the data that LEAs likely will find most readily available on
the percentage of teachers with emergency, provisional, or temporary
certification or licensing are the data they provide to their States for
inclusion in the reports on the quality of teacher preparation that the
States provide to the Department in October of each year as required by
section 207 of the Higher Education Act of 1965 (HEA). In these reports,
States provide the percentage of teachers in their LEAs teaching on
waivers of State certification, both on a statewide basis and in
high-poverty LEAs. As reflected in the State reports the Department most
recently received in October 2004, the national average percentage of
teachers on waivers in high-poverty LEAs is 3.5 percent. Consistent with
the methodology the Department used in the FY 2004 competition under the
Transition to Teaching program, in which participating LEAs were
required to be \`\`high-need LEAs\'\' (as defined in section 2102(3) of
the ESEA), the Department would expect that an LEA with over 3.5 percent
of its teachers having emergency, provisional, or temporary
certification or licensing (i.e., teachers on waivers) has a \`\`high
percentage\'\' of its teachers in this category. We expect that an LEA
that is not relying on the data it provides to the State for purposes of
reporting required by section 207 of the HEA will provide other evidence
that demonstrates that it meets the eligibility requirement under
component (b)(2) of the statutory definition of \`\`high-need LEA.\'\'
Moreover, should an LEA with a percentage of teachers on waivers of less
than 3.5 percent believe it too has a \`\`high percentage\'\' of its
teachers with emergency, provisional, or temporary certification or
licensing, the Department will determine whether that LEA meets element
(b)(2) of the definition of high-need LEA on a case-by-case basis.

 

**IV. Application and Submission Information**

 

1\. Address to Request Application Package: Education Publications

Center (ED Pubs), P.O. Box 1398, Jessup, MD 20794-1398. Telephone (toll

free): 1-877-433-7827. FAX: (301) 470-1244. If you use a

telecommunications device for the deaf (TDD), you may call (toll free):

1-877-576-7734.

 

You may also contact ED Pubs at its Web site:
[http://www.ed.gov/](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov/pubs/edpubs.html)

[pubs/edpubs.html](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov/pubs/edpubs.html)
or you may contact ED Pubs at its e-mail address:

<edpubs@inet.ed.gov>.

If you request an application from ED Pubs, be sure to identify this
competition as follows: CFDA number 84.363A.

You may also obtain the application package for the program via the

Internet at the following address:
[http://www.ed.gov/programs/**[leadership]{.underline}**](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov/programs/leadership/applicant.html)/applicant.html.

Individuals with disabilities may obtain a copy of the application
package in an alternative format (e.g., Braille, large print, audiotape,
or computer diskette) by contacting the program contact person listed in
this notice under FOR FURTHER INFORMATION CONTACT (See section VII.
Agency Contact).

2\. Content and Form of Application Submission: Requirements concerning
the content of an application, together with the forms you must submit,
are in the application package for this program.

Notice of Intent to Apply: The Department will be able to develop a more
efficient process for reviewing grant applications if it has a better
understanding of the number of entities that intend to apply for funding
under this competition. Therefore, the Secretary strongly encourages
each potential applicant to notify the Department by sending a short
e-mail message indicating the applicant\'s intent to submit an
application for funding. The e-mail need not include information
regarding the content of the proposed application, only the applicant\'s
intent to submit it. This e-mail notification should be sent to Peggi

Zelinko at: <SLP@ed.gov>.

Applicants that fail to provide this e-mail notification may still apply
for funding.

Page Limit for Program Narrative: The program narrative (Part III of the
application) is where you, the applicant, address the selection criteria
that reviewers use to evaluate your application. Applicants are strongly
encouraged to limit Part III to the equivalent of no more than 50
single-sided, double-spaced pages printed in 12-font type or larger.

The page limit does not apply to Part I, the cover sheet; Part II, the
budget section, including the narrative budget justification; Part IV,
the assurances and certifications; or the one-page abstract, curriculum
vitae, or bibliography of literature cited. However, you must include
all of the program narrative in Part III.

3\. Submission Dates and Times:

Applications Available: February 22, 2005.

Deadline for Notice of Intent to Apply: March 24, 2005.

Deadline for Transmittal of Applications: April 15, 2005.

Applications for grants under this program must be submitted
electronically using the Electronic Grant Application System
(e-Application) available through the Department\'s e-Grants system. For
information (including dates and times) about how to submit your
application electronically or by mail or hand delivery if you qualify
for an exception to the electronic submission requirement, please refer
to section IV. 6. Other Submission Requirements in this notice.

We do not consider an application that does not comply with the deadline
requirements.

Deadline for Intergovernmental Review: June 14, 2005.

4\. Intergovernmental Review: This competition is subject to

Executive Order 12372 and the regulations in 34 CFR part 79.

Information about Intergovernmental Review of Federal Programs under

Executive Order 12372 is in the application package for this
competition.

5\. Funding Restrictions: We reference regulations outlining funding
restrictions in the Applicable Regulations section of this notice.

6\. Other Submission Requirements: Applications for grants under this
program must be submitted electronically, unless you qualify for an
exception to this requirement in accordance with the instructions in
this section.

We will reject your application if you submit it in paper format unless,
as described elsewhere in this section, you qualify for one of the
exceptions to the electronic submission requirement and submit, no later
than two weeks before the application deadline date, a written statement
to the Department that you qualify for one of these exceptions. Further
information regarding calculation of the date that is two weeks before
the application deadline date is provided later in this section under
Exception to Electronic Submission Requirement.

a\. Electronic Submission of Applications. Applications for grants under
the **School** **Leadership** **Program**-CFDA Number 84.363A must be
submitted electronically using e-Application available through the

Department\'s e-Grants system, accessible through the e-Grants portal
page at:
[http://e-grants.ed.gov](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://e-grants.ed.gov).

While completing your electronic application, you will be entering data
online that will be saved into a database. You may not e-mail an
electronic copy of a grant application to us.

Please note the following:

You must complete the electronic submission of your grant application by
4:30 p.m., Washington, DC time, on the application deadline date. The
e-Application system will not accept an application for this program
after 4:30 p.m., Washington, DC time, on the application deadline date.
Therefore, we strongly recommend that you do not wait until the
application deadline date to begin the application process.

The regular hours of operation of the e-Grants Web site are 6 a.m.
Monday until 7 p.m. Wednesday; and 6 a.m. Thursday until midnight
Saturday, Washington, DC time. Please note that the system is
unavailable on Sundays, and between 7 p.m. on Wednesdays and 6 a.m. on
Thursdays, Washington, DC time, for maintenance. Any modifications to
these hours are posted on the e-Grants Web site.

You will not receive additional point value because you submit your
application in electronic format, nor will we penalize you if you
qualify for an exception to the electronic submission requirement, as
described elsewhere in this section, and submit your application in
paper format.

You must submit all documents electronically, including the Application
for Federal Education Assistance (ED 424), Budget
Information\--Non-Construction Programs (ED 524), and all necessary
assurances and certifications.

Any narrative sections of your application should be attached as files
in a .DOC (document), .RTF (rich text), or .PDF (Portable Document)
format.

Your electronic application must comply with any page limit requirements
described in this notice.

Prior to submitting your electronic application, you may wish to print a
copy of it for your records.

After you electronically submit your application, you will receive an
automatic acknowledgement that will include a PR/Award number (an
identifying number unique to your application).

Within three working days after submitting your electronic application,
fax a signed copy of the ED 424 to the Application Control

Center after following these steps:

\(1\) Print ED 424 from e-Application.

\(2\) The applicant\'s Authorizing Representative must sign this form.

 

\(3\) Place the PR/Award number in the upper right hand corner of the
hard-copy signature page of the ED 424.

\(4\) Fax the signed ED 424 to the Application Control Center at

\(202\) 245-6272.

We may request that you provide us original signatures on other forms at
a later date.

Application Deadline Date Extension in Case of e-Application System

Unavailability: If you are prevented from electronically submitting your
application on the application deadline date because the e-Application
system is unavailable, we will grant you an extension of one business
day in order to transmit your application electronically, by mail, or by
hand delivery. We will grant this extension if:

\(1\) You are a registered user of e-Application and you have initiated
an electronic application for this competition; and

(2)(a) The e-Application system is unavailable for 60 minutes or more
between the hours of 8:30 a.m. and 3:30 p.m., Washington, DC time, on
the application deadline date; or

\(b\) The e-Application system is unavailable for any period of time
between 3:30 p.m. and 4:30 p.m., Washington, DC time, on the application
deadline date.

We must acknowledge and confirm these periods of unavailability before
granting you an extension. To request this extension or to confirm our
acknowledgement of any system unavailability, you may contact either (1)
the person listed elsewhere in this notice under FOR FURTHER INFORMATION
CONTACT (see section VII. Agency Contact) or (2) the e-Grants help desk
at 1-888-336-8930. If the system is down and therefore the application
deadline is extended, an e-mail will be sent to all registered users who
have initiated an e-Application. Extensions referred to in this section
apply only to the unavailability of the Department\'s e-Application
system.

Exception to Electronic Submission Requirement: You qualify for an
exception to the electronic submission requirement, and may submit your
application in paper format, if you are unable to submit an application
through the e-Application system because\--

You do not have access to the Internet; or

You do not have the capacity to upload large documents to the
Department\'s e-Application system; and

No later than two weeks before the application deadline date (14
calendar days or, if the fourteenth calendar day before the application
deadline date falls on a Federal holiday, the next business day
following the Federal holiday), you mail or fax a written statement to
the Department, explaining which of the two grounds for an exception
prevent you from using the Internet to submit your application. If you
mail your written statement to the Department, it must be postmarked no
later than two weeks before the application deadline date. If you fax
your written statement to the Department, we must receive the faxed
statement no later than two weeks before the application deadline date.

Address and mail or fax your statement to: Peggi Zelinko, U.S.

Department of Education, 400 Maryland Avenue, SW., room 4W226,

Washington, DC 20202-4260. FAX: (202) 401-8466.

Your paper application must be submitted in accordance with the mail or
hand delivery instructions described in this notice.

b\. Submission of Paper Applications by Mail. If you qualify for an
exception to the electronic submission requirement, you may mail
(through the U.S. Postal Service or a commercial carrier) your
application to the Department. You must mail the original and two copies
of your application, on or before the application deadline date, to the
Department at the applicable following address:

By mail through the U.S. Postal Service: U.S. Department of

Education, Application Control Center, Attention: (CFDA Number 84.363A),
400 Maryland Avenue, SW., Washington, DC 20202-4260.

or

 

By mail through a commercial carrier: U.S. Department of Education,

Application Control Center\--Stop 4260, Attention: (CFDA Number

84.363A), 7100 Old Landover Road, Landover, MD 20785-1506.

Regardless of which address you use, you must show proof of mailing
consisting of one of the following:

\(1\) A legibly dated U.S. Postal Service postmark,

\(2\) A legible mail receipt with the date of mailing stamped by the

U.S. Postal Service,

\(3\) A dated shipping label, invoice, or receipt from a commercial
carrier, or

\(4\) Any other proof of mailing acceptable to the Secretary of the U.S.
Department of Education.

If you mail your application through the U.S. Postal Service, we do not
accept either of the following as proof of mailing:

\(1\) A private metered postmark, or

\(2\) A mail receipt that is not dated by the U.S. Postal Service.

If your application is postmarked after the application deadline date,
we will not consider your application.

Note: The U.S. Postal Service does not uniformly provide a dated
postmark. Before relying on this method, you should check with your
local post office.

c\. Submission of Paper Applications by Hand Delivery. If you qualify
for an exception to the electronic submission requirement, you (or a
courier service) may deliver your paper application to the Department by
hand. You must deliver the original and two copies of your application,
by hand, on or before the application deadline date, to the Department
at the following address: U.S. Department of

Education, Application Control Center, Attention: (CFDA Number

84.363A), 550 12th Street, SW., Room 7041, Potomac Center Plaza,

Washington, DC 20202-4260.

The Application Control Center accepts hand deliveries daily between 8
a.m. and 4:30 p.m., Washington, DC time, except Saturdays, Sundays, and
Federal holidays.

Note for Mail or Hand Delivery of Paper Applications: If you mail or
hand deliver your application to the Department:

\(1\) You must indicate on the envelope and\--if not provided by the

Department\--in Item 4 of the ED 424 the CFDA number\--and suffix
letter, if any\--of the competition under which you are submitting your
application.

\(2\) The Application Control Center will mail a grant application
receipt acknowledgment to you. If you do not receive the grant
application receipt acknowledgment within 15 business days from the
application deadline date, you should call the U.S. Department of

Education Application Control Center at (202) 245-6288.

 

**V. Application Review Information**

 

Selection Criteria: The following selection criteria for this
competition are from Sec. 75.210 of EDGAR. The maximum score for all the
selection criteria is 100 points. The maximum score for each criterion
is indicated in parentheses. Each criterion also includes the factors
that the reviewers will consider in determining how well an application
meets the criterion. The notes following each of the selection criteria
are guidance to help applicants in preparing their applications and are
not required by statute or regulations. The criteria are as follows:

A. Need for project (20 points). The Secretary considers the need for
the project. In determining the need for the project the Secretary
considers the following factors:

 

1\. The magnitude or severity of the problem to be addressed by the
proposed project.

2\. The extent to which specific gaps or weaknesses in services,
infrastructure, or opportunities have been identified and will be
addressed by the proposed project, including the nature and magnitude of
those gaps or weaknesses.

Note: The Secretary encourages applicants to address this criterion by
discussing\--

The reasons the participating LEAs have need of the services proposed
and why those needs are not met by current efforts, and

Specific studies, surveys, or other sources that have yielded objective
data to confirm the participating LEAs\' needs.

B. Quality of the project design (25 points). The Secretary considers
the quality of the design for the proposed project. In determining the
quality of the design of the project, the Secretary considers the
following factors:

1\. The extent to which the goals, objectives, and outcomes to be
achieved by the proposed project are clearly specified and measurable.

2\. The extent to which the design of the proposed project reflects
up-to-date knowledge from research and effective practice.

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.

4\. The extent to which the proposed project is part of a comprehensive
effort to improve teaching and learning and support rigorous academic
standards for students. Note: The Secretary encourages applicants to
address this criterion by discussing the overall project model,
including such key elements as the project\'s\--

Research base;

Proposed applicants;

Recruitment and selection strategies;

Plans for using incentives for teachers or individuals from other fields
who want to become principals and assistant principals;

Activities to prepare principals and assistant principals;

Program delivery strategy(ies);

Plans for implementing on-site or school**-**based work experiences;

Activities for participant placement and follow-up support; and

Retention strategies.

C. Significance of the Project (20 points). The Secretary considers the
significance of the proposed project. In determining the significance of
the proposed project, the Secretary considers the following factors:

1\. 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.

2\. The extent to which the proposed project is likely to build local
capacity to provide, improve, or expand services that address the needs
of the target population.

3\. The importance or magnitude of the results or outcomes likely to be
attained by the proposed project.

Note: The Secretary encourages applicants to address this criterion by
describing such key factors as how the project\--

Will help the participating LEAs to achieve important results during the
project period that the LEAs could not otherwise achieve;

Is part of a long-term response to the participating LEA\'s (or LEAs\')
school leadership needs, and one that will be part of the LEA\'s (or
LEAs\') overall school improvement plan; and

How this project will build or stimulate the capacity of the
participating LEAs to continue this project after the grant period ends,
including how and when the LEAs will identify resources to support this
endeavor.

Moreover, in addressing \`\`\[t\]he extent to which the proposed project
is likely to build local capacity to provide, improve, or expand
services that address the needs of the target population,\'\' applicants
also might consider including a letter of support or other information
from each participating LEA that confirms both the LEA\'s interest in
participating in this project and the results the LEA expects from it.

D. Quality of the management plan (15 points). The Secretary considers
the quality of the management plan for the proposed project. In
determining the quality of the management plan for the proposed project,
the Secretary considers the following factors:

1\. 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.

2\. The extent to which the time commitments of the project director and
principal investigator and other key project personnel are appropriate
and adequate to meet the objectives of the proposed project.

3\. The adequacy of procedures for ensuring feedback and continuous
improvement in the operation of the proposed project.

Note: The Secretary encourages applicants to address this criterion by
providing specific information such as\--

The name, title, and time commitment of each key person, and the
responsibilities of each individual working to help implement the
project\'s goals and objectives;

A year-to-year timeline for undertaking important project activities,
with benchmarks for determining whether the project is achieving its
stated goals and objectives; and

The strategies for monitoring whether or not the project is meeting its
goals and objectives, and for making mid-course corrections, as
appropriate.

E. Quality of the project evaluation (20 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 include the use of
objective performance measures that are clearly related to the intended
outcomes of the project and will produce quantitative and qualitative
data to the extent possible.

2\. The extent to which the methods of evaluation will provide
performance feedback and permit periodic assessment of progress toward
achieving intended outcomes.

Note: The Secretary encourages applicants to consider how this criterion
may affect both their annual performance reports and the final
evaluation submitted under 34 CFR 75.590. In addition, the Secretary
encourages applicants to address this criterion by including proposed
benchmarks for assessing both short- and long-term progress toward the
specific project objectives and outcome measures they would use to
assess the project\'s impact on teaching and learning or other important
outcomes for project participants. (Specific performance measures
established for the overall **School** **Leadership** **program** are
discussed in the Award Administration Information section of this notice
(section VI, item 4, Performance Measures.)

The Secretary also encourages applicants to identify the individual
and/or organization that has agreed to serve as evaluator for the
project and describe the qualifications of that evaluator as well as\--

The types of data that will be collected;

 

When these various types of data will be collected;

What methods of data collections will be used;

What evaluation instruments will be developed and when;

How the data will be analyzed;

When reports of evaluation results and outcomes will be available; and

How the applicant will use the information collected through the
evaluation to monitor progress of the funded project and to provide
accountability information both about the success at the initial site or
sites and about effective strategies for replication in other settings.

Applicants are encouraged to devote an appropriate level of resources to
project evaluation.

** **

**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). We may also notify you informally.

If your application is not evaluated or not selected for funding, we
notify you.

2\. Administrative and National Policy Requirements: We identify
administrative and national policy requirements in the application
package and reference these and other requirements in the Applicable
Regulations section of this notice.

We reference the regulations outlining the terms and conditions of an
award in the Applicable Regulations section of this notice and include
these and other specific conditions in the GAN. The GAN also
incorporates your approved application as part of your binding
commitments under the grant.

3\. Reporting: 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 multi-year award, you must submit an
annual performance report that provides the most current performance and
financial expenditure information as specified by the Secretary in 34
CFR 75.118.

4\. Performance Measures: In response to the Government Performance and
Results Act (GPRA), the Department has established two overall
performance indicators for assessing the effectiveness of the **School**
**Leadership** **program**. We will collect the data for these
indicators from the grantees using the measures indicated.

Performance Indicator 1: To recruit, prepare, and support teachers and
individuals from other fields to become principals and assistant
principals in high-need schools in high-need LEAs. We will track this
indicator through the use of the following two performance measures:

Measure One: The percentage of those enrolled in the training program
who become certified as principals and assistant principals.

Measure Two: The percentage of program completers earning certification
as a principal or assistant principal and who are employed in those
positions in high-need schools in high-need LEAs.

Performance Indicator 2: To provide professional development, coaching,
mentoring, and other support activities to current, practicing
principals and assistant principals in high-need schools in high-need
LEAs. We will track this indicator through the use of the following
performance measure:

Measure: The percentage of current, practicing principals and assistant
principals serving in high-need schools in high-need LEAs and who
participate in a structured, job-embedded program of professional
development that includes mentoring, coaching, and other support
activities.

 

**VII. Agency Contact**

 

FOR FURTHER INFORMATION CONTACT: Peggi Zelinko, U.S. Department of

Education, 400 Maryland Avenue, SW., room 5E114, Washington, DC 20202-

4260\. Telephone: (202) 260-2614 or by e-mail: <SLP@ed.gov>.

If you use a telecommunications device for the deaf (TDD), you may call
the Federal Relay Service (FRS) at 1-800-877-8339.

Individuals with disabilities may obtain this document in an alternative
format (e.g., Braille, large print, audiotape, or computer diskette) on
request to the program contact person listed in this section.

 

**VIII. Other Information**

 

Electronic Access to This Document: You may view this document, as well
as all other documents of this Department published in the Federal

Register, in text or Adobe Portable Document Format (PDF) on the

Internet at the following site: <http://www.ed.gov/news/fedregister>.

To use PDF you must have Adobe Acrobat Reader, which is available free
at this site. If you have questions about using 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.gpoaccess.gov/](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.gpoaccess.gov/nara/index.html)

[nara/index.html](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.gpoaccess.gov/nara/index.html).

 

 

Dated: February 16, 2005.

Michael J. Petrilli,

Acting Assistant Deputy Secretary for Innovation and Improvement.

\[FR Doc. E5-694 Filed 2-18-05; 8:45 am\]

BILLING CODE 4000-01-P

**[School Leadership Program Statute & Definition of High-Need
LEA]{.underline}**

Title II, Part A, Subpart 5 --- National Activities -- Elementary and
Secondary Education Act (ESEA)

SEC. 2151. NATIONAL ACTIVITIES OF DEMONSTRATED EFFECTIVENESS.

> \(b\) SCHOOL LEADERSHIP-
>
> \(1\) IN GENERAL- The Secretary is authorized to establish and carry
> out a national principal recruitment program to assist high-need local
> educational agencies in recruiting and training principals (including
> assistant principals) through such activities as ---
>
> \(A\) providing financial incentives to aspiring new principals;
>
> \(B\) providing stipends to principals who mentor new principals;
>
> \(C\) carrying out professional development programs in instructional
> leadership and management; and
>
> \(D\) providing incentives that are appropriate for teachers or
> individuals from other fields who want to become principals and that
> are effective in retaining new principals.
>
> \(2\) GRANTS- If the Secretary uses sums made available under section
> 2103(b) to carry out paragraph (1), the Secretary shall carry out such
> paragraph by making grants, on a competitive basis, to ---
>
> \(A\) high-need local educational agencies;
>
> \(B\) consortia of high-need local educational agencies; and
>
> \(C\) partnerships of high-need local educational agencies, nonprofit
> organizations, and institutions of higher education. (Note: Nonprofit
> may include community- and faith-based organizations.

Title II, Part A (ESEA) \-- **[Definition of High-Need Local Educational
Agency]{.underline}**

SEC. 2102. DEFINITIONS

> \(3\) HIGH-NEED LOCAL EDUCATIONAL AGENCY- The term high-need local
> educational agency\' means a local educational agency ---
>
> (A)(i) that serves not fewer than 10,000 children from families with
> incomes below the poverty line; or
>
> \(ii\) for which not less than 20 percent of the children served by
> the agency are from families with incomes below the poverty line; and
>
> (B)(i) for which there is a high percentage of teachers not teaching
> in the academic subjects or grade levels that the teachers were
> trained to teach; or
>
> \(ii\) for which there is a high percentage of teachers with
> emergency, provisional, or temporary certification or licensing.

**[Section B: General Application Instructions, Information, and
Forms]{.underline}**

-   General Instructions

    -   Intent to Apply

    -   Instructions for Preparing the Project Narrative

    -   Selection Criteria

    -   Abstract

    -   Budget

    -   Other Program Requirements

        -   High-Need LEA Requirements

        -   High-Need District (LEA) Eligibility: Optional Table and
            Instructions

        -   Intergovernmental Review

-   School Leadership Program Questions & Answers

-   Application Submission

-   Program Staff Contact List

-   ED forms, Assurances, and Clearances

##### General Application Instructions, Information, and Forms

####### 

####### General Instructions

This application package provides applicants seeking a grant in FY 2005
under the School Leadership program with instructions and the necessary
forms for preparing and submitting an application. In addition, this
application package contains Questions and Answers to highlight and
clarify important information about the program.

Applicants for a grant under this program must comply with the
applicable eligibility requirements, and address the selection criteria
contained in the Notice Inviting Applications for New Awards for FY
2005, as published in the [Federal Register]{.underline} on February 22,
2005.

The [Federal Register]{.underline} notice contains two invitational
priorities under the subheading "Invitational Priorities." The Secretary
believes that these priorities are of national importance and encourages
applicants to address them. Applicants that do so would discuss proposed
activities within their response to the selection criteria, and those
that are awarded grants will be responsible for implementing the
priorities and other activities in their approved applications. However,
applicants are not required to address either of the two invitational
priorities, and those that do so will not receive any additional points
in terms of the program's selection criteria.

The following sections of the application package provide specific
instructions and information to help the applicants prepare and submit
their School Leadership program applications.

**Intent to Apply**

Each potential applicant is strongly encouraged to submit a brief e-mail
to us indicating that it intends to submit an application. The e-mail
notification should be sent no later than March 24, 2005 to
<SLP@ed.gov>. Applicants that fail to provide this e-mail notification
may still apply for funding.

####### Instructions for Preparing the Project Narrative

Before preparing the narrative, applicants should review Section A of
this application package, which includes the --

-   Notice Inviting Applications for New Awards as published in the
    Federal Register; and

-   School Leadership Program statute and statutory definition of
    "high-need local educational agency" (LEA).

> The Notice Inviting Applications for New Awards provides applicants
> with instructions for preparing and submitting the application,
> information describing the invitational priorities, the selection
> criteria that will be used to evaluate the application, and other
> pertinent information concerning the competition for awards.
>
> **Selection Criteria**
>
> The Department will use the selection criteria identified below to
> evaluate the quality of applications submitted for funding. How
> applicants address the selection criteria is left to their own
> judgment, ingenuity, and imagination. The full description of the
> selection criteria is contained in the Notice Inviting Applications
> for New Awards included in Section A of this application package. Each
> criterion has specific factors that will be used in evaluating each
> application. Those applicants who choose to address one or both of the
> invitational priorities would do so within their responses to the
> selection criteria.

The maximum score that an applicant can earn under the selection
criteria is 100 points. The maximum score for each criterion is
indicated in parenthesis following that criterion.

**Need for the Project (20)**

**Project Design (25)**

**Significance of the Project (20)**

**Management Plan (15)**

**Project Evaluation (20)**

######## Abstract

In addition to the project narrative, applicants must submit a project
abstract. Those applicants that receive permission to make
non-electronic submissions must include in the abstract the name and
address of the organization submitting the application and the name,
phone number, and e-mail address of the contact person for the project.

The project abstract must not exceed one double-spaced page in 12 point
font or larger. Applicants should include the project title (if
applicable), and a summary of the goals, expected outcomes and
contributions for research, policy, and practice. Applicants also should
describe the population to be served. When preparing the abstract,
applicants should consider how best to describe their projects to a wide
range of individuals who will read them.

**Budget**

Applicants must describe their proposed multiyear project activities and
present a multiyear budget. Section 75.112 (b) of the Education
Department General Administrative Regulations (EDGAR) (34 C.F.R. 75.112)
requires applicants to present "...a narrative that describes how and
when, in each budget period of the project, the applicant plans to meet
each objective of the project." In addition, applicants must complete
form SF524 for all budget years of the proposed project. Further
information and instructions are available elsewhere in this package in
the budget form and in the Program Questions & Answers. In their budget
submissions, applicants also should provide their approved, negotiated
indirect cost rate.

**Other Program Requirements**

# [High-Need LEA Requirements (]{.underline}See Section III: "Eligibility Information" in the Notice Inviting Applications for New Awards.)

Each entity that receives a School Leadership program grant must be, or
work in partnership with, one or more high-need LEA. In order that the
Department may ensure that all participating LEAs meet the statutory
definition of "high-need," each applicant must provide data confirming
that each LEA that would benefit from the program meets this definition.
The definition of a high-need LEA and an explanation of the data needed
to meet this definition are explained in the Notice Inviting
Applications for New Awards.

Under section 2102 (3) of the ESEA, each LEA must meet one of the two
poverty components and one of the two teacher-quality components of the
definition of "high-need." An optional table for providing the required
data and instructions for completing it is below.

*Example: (Note: This example assumes that the data on percent of
poverty comes from the most currently available Census Bureau data.
Hence, there is no need to provide a data source).*

A1: Number of children from families with incomes below the poverty line
(must be not less than 10,000).

A2: Percentage of children from families with incomes below the poverty
line (must be at least 20%).

B1: A "high percentage" of the LEA's teachers teaching out of field.

B2 A "high percentage" of the LEA's teachers teaching with emergency,
provisional, or temporary certification or licensing.

Name of the LEA No. of Children Poverty Rate Percent of teachers

<table style="width:100%;">
<colgroup>
<col style="width: 31%" />
<col style="width: 5%" />
<col style="width: 9%" />
<col style="width: 5%" />
<col style="width: 8%" />
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 11%" />
</colgroup>
<tbody>
<tr class="odd">
<td></td>
<td><strong>A1</strong></td>
<td><strong>#</strong></td>
<td><strong>A2</strong></td>
<td><strong>%</strong></td>
<td><strong>AND</strong></td>
<td><strong>B1</strong></td>
<td><strong>%</strong></td>
<td><strong>B2</strong></td>
<td><strong>%</strong></td>
</tr>
<tr class="even">
<td><em>District XYZ</em></td>
<td><em>√</em></td>
<td><em>24,543</em></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><em>√</em></td>
<td><em>6.20</em></td>
</tr>
<tr class="odd">
<td><em>District ABC</em></td>
<td></td>
<td></td>
<td><em>√</em></td>
<td><em>23.54</em></td>
<td></td>
<td></td>
<td></td>
<td><em>√</em></td>
<td><em>12.43</em></td>
</tr>
<tr class="even">
<td><p><strong>Data Source for B1:</strong></p>
<p>(identify separately for each LEA)</p></td>
<td colspan="9"></td>
</tr>
<tr class="odd">
<td><strong>Data Source for B2:</strong></td>
<td colspan="9">Waiver data use by State for the State’s HEA Teacher
Preparation Report (2004)</td>
</tr>
</tbody>
</table>

**[High-Need District (LEA) Eligibility: Optional Table and
Instructions]{.underline}**

**[Data Confirming High-Need LEA Eligibility]{.underline}**

**[Name of the LEA No. of Children Poverty Rate Percent of
teachers]{.underline}**

<table style="width:100%;">
<colgroup>
<col style="width: 32%" />
<col style="width: 5%" />
<col style="width: 9%" />
<col style="width: 5%" />
<col style="width: 9%" />
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 9%" />
</colgroup>
<tbody>
<tr class="odd">
<td><h5 id="lea">LEA</h5></td>
<td><strong>A1</strong></td>
<td><strong>#</strong></td>
<td><strong>A2</strong></td>
<td><strong>%</strong></td>
<td><strong>AND</strong></td>
<td><strong>B1</strong></td>
<td><strong>%</strong></td>
<td><strong>B2</strong></td>
<td><strong>%</strong></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p><strong>Data Source for B1:</strong></p>
<p>(identify separately for each LEA)</p></td>
<td colspan="9"></td>
</tr>
<tr class="odd">
<td><strong>Data Source for B2:</strong></td>
<td colspan="9"></td>
</tr>
</tbody>
</table>

### 

Applicants may complete this table or use another format that includes
the required data. Note that for component B1 or B2, applicants must
provide the data source.

In addition, where applicants identify poverty rates or data (Component
A1 or A2) that do not come from the most currently available Census
Bureau data, applicants will need to identify the source **AND** explain
how these data meet the definition of high-need LEA. See further
information available in the Notice Inviting Applications for New
Awards, and in the Questions & Answers that appear later in this
application package.

### 

### Instructions: High-need District (LEA) Eligibility

### Component A

**A1:** Provide data that demonstrate that each LEA serves not fewer
than 10,000 children from families with incomes below the poverty line;
**OR**

**A2:** Provide data that demonstrate that each LEA is one for which not
less than 20 percent of the children served by the LEA are from families
with incomes below the poverty line.

**[Data Source for A1 or A2:]{.underline}**

The Department is not aware of any consistent available LEA data --
other than data periodically gathered by the U.S. Census Bureau -- that
would show that an LEA serves the required number or percentage of
children (individuals ages 5 through 17) from families below the poverty
line (as defined in section 9101 (33) of the ESEA.) Therefore, absent a
showing of alternative LEA data that reliably show the number of
children from families with incomes below the poverty line that are
served by the LEA, the Department would expect that the eligibility of
an LEA as a "high-need LEA" under component A1 or A2 would be determined
on the basis of the most recent U.S. Census Bureau data. U.S. Census
Bureau data are available for all school districts with geographic
boundaries that existed when the U.S. Census Bureau collected its
information. [Note:]{.underline} **Data on the number or percentage of
children receiving free and reduced lunch subsidies is NOT permissible
since the number or percentage of these children does not reflect
children from "families with incomes below the poverty line" as defined
in section 9101 (33) of the ESEA.** Any LEA that uses data that is not
generated by the Census Bureau, such as charter schools and newly
created LEAs, will therefore also need to explain how the source of data
used meets the statutory requirement. (See the Questions & Answers for
special information for LEAs, such as charter schools, that have no
geographic boundaries and so are not included in the Census Bureau
tables) The link to the census data is:

**[Census Bureau Data]{.underline}:**
<http://www.census.gov/housing/saipe/sd02> Applicants are encouraged to
review the README file at the directory level, which provides a
description of how the files are organized.

This link provides data for all listed LEAs that correspond to
Components A1 and A2. The fourth column for each LEA provides the
*Estimated Number of Relevant Children 5 to 17 years old in Poverty
Related to the Householder*, needed to find that the LEA meets the
poverty criterion for A1. To determine the poverty percentage for A2,
the number in column 4 must be divided by the number in column 3,
*Population of Relevant Children 5 to 17 years of Age.* (For the example
below, 1282 would be divided by 4954 giving a percentage of 25.88, which
would be recorded in A2 as making the LEA eligible by poverty rate.)

Example:

02 00050 ABC SCHOOL DISTRICT 17243 **4954 1282** sd00_ABC.dat 2NOV2003

The Department also makes these data available at its web site at:
<http://www.ed.gov/programs/lsl/eligibility.html>. Although the
Department posted this listing specifically for the Improving Literacy
through School Libraries program, these same data apply to the
definition of "high-need LEA" used for purposes of eligibility under the
School Leadership program.

### Component B

Provide data that demonstrate that each participating LEA has a "high
percentage" of

teachers\--

> **B1:** Teaching out of field; **OR**

**B2:** With emergency, provisional, or temporary certification or
licensing.

**[Data Source for B1 or B2:]{.underline}**

**B1:** With regard to component B1 of the definition of "high-need
LEA," the Department interprets the phrase "a high percentage of
teachers not teaching in the academic subjects or grade levels that the
teachers were trained to teach" as being equivalent to "a high
percentage of teachers teaching out of field." The Department expects
that LEAs that rely on component B1 of the definition will demonstrate
that they have a high percentage of teachers teaching out of field. The
Department is not aware of any specific data or percentage that would
demonstrate a "high percentage" of teachers teaching out of field.
Accordingly, the Department will review this aspect of an LEA's proposed
eligibility on a case-by-case basis.

**B2:** For component B2 of the definition of "high-need LEA," the data
that LEAs likely will find most readily available on the percentage of
teachers with emergency, provisional, or temporary certification or
licensing are the data they provide to their States for inclusion in the
reports on the quality of teacher preparation that the States provide to
the Department in October of each year as required by section 207 of the
Higher Education Act of 1965, as amended, (HEA). In these reports,
States provide the percentage of teachers in their LEAs teaching on
waivers of State certification, both on a statewide basis and in high
poverty LEAs. As reflected in the State reports the Department most
recently received in October 2004, the national average percentage of
teachers on waivers in high poverty LEAs is 3.5 percent. Consistent with
the methodology the Department used in the FY 2004 competition under the
Transition to Teaching program, in which participating LEAs were
similarly required to be "high-need LEAs" (as defined in section 2103
(3) of the ESEA), the Department would expect that an LEA with over 3.5
percent of its teachers having emergency, provisional, or temporary
certification or licensing (i.e., teachers on waivers) has a "high
percentage" of its teachers in this category. We expect that an LEA that
is not relying on the data it provides to the State for the purposes of
reporting required by section 207 of HEA will provide other evidence
that demonstrates that it meets the eligibility requirement under
component B2 of the statutory definition of "high-need LEA."

####### Intergovernmental Review

This program is subject to the requirement 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. You
may locate the name and contact information of State Single Point of
Contact on [\<http://www.whitehouse.gov/omb/grant]{.underline}

# 

# School Leadership Program Questions & Answers

####### Questions and Answers

# 

**GENERAL APPLICATION INFORMATION**

#### 1. Must I notify the Department of my intent to apply?

We strongly encourage each potential applicant to submit a short e-mail
note to us indicating that it intends to submit an application. This
will give the Department a better understanding of the number of
entities that intend to apply under this program, and allow for a more
efficient process for reviewing grant applications. The e-mail should
not include information regarding the content of the proposed
application, only the applicant's intent to submit it. We request that
this e-mail notification be sent no later than March 24, 2005 to the
following address: SLP@ed.gov. Applicants that fail to provide this
e-mail notification may still apply for funding.

**2. How will the Department select applications to be funded?**

Applications will be evaluated by a three-person technical review panel
and scored according to the program's selection criteria contained in
the Notice Inviting Applications for New Awards for Fiscal Year (FY)
2005, as published in the [Federal Register]{.underline} on February 22,
2005. Applicants are strongly encouraged to review these criteria
carefully and to develop responses that fully and clearly address each
criterion. An applicant can earn up to 100 points for responses to the
selection criteria.

**3. Where in the application would an applicant address the
invitational priorities? (Note: The Invitational Priorities are
described in Section I. Funding Opportunity Description, of the Notice
Inviting Applications for New Awards.)**

Applicants would address the priorities as part of their responses to
the selection criteria.

**ELIGIBILITY**

4.  **Who is eligible to receive a School Leadership grant?**

**An eligible entity is a---**

-   High-need LEA;

-   Consortia of high-need LEAs; and

-   Partnerships comprised of one or more high-need LEA, and a nonprofit
    organization and /or an institutions of education.

> See Section III. Eligibility Information, in the Notice Inviting
> Applications for New Awards for the definition of high-need LEA.

**5. Are Charter Schools eligible to apply for funding under the School
Leadership program?**

Yes, if the charter school operates as an LEA. In this regard:

-   [Charter schools that operate as LEAs.]{.underline} Applicants
    should include in their applications confirmation that they have LEA
    status in their State. To determine if the charter school (LEA) is a
    high-need LEA, please note the following:

```{=html}
<!-- -->
```
-   The Department will consider the eligibility of charter schools on a

> case-by case basis. Therefore, an applicant that is a charter
>
> school-LEA, or that proposes to work with one, should provide the
>
> best data it can that it has the equivalent of 20% of its students
> from families with incomes below the poverty line. **Note:** While the
> definition of a high-need school" section 2312 (3) of the ESEA
> (Transition to Teaching program statute) does not apply to the School
> Leadership program, the Department believes that charter schools that
> are high-need LEAs under that program would likely also be considered
> high-need LEAs under the School Leadership program.

-   [Charter schools administered by high-need LEAs.]{.underline} A
    charter school that is

> not confirmed as being an LEA in its State may not apply for program
> funding. However, a charter school may benefit from the School
> Leadership program if it is administered by a high-need LEA that has
> been identified as a recipient of program services.

-   [Charter Schools organized as nonprofits]{.underline}. A charter
    school LEA that is organized as a nonprofit organization (including
    community and faith-based organizations) may apply in that capacity
    if it is doing so as part of a partnership with one or more
    high-need LEAs. (To be eligible to receive School Leadership program
    services, this charter school would also still have to meet the
    definition of a high-need LEA.)

**PROGRAM ACTIVITIES**

**6. What program activities does the School Leadership Program
authorize?**

Activities may include:

-   Providing financial incentives to aspiring new principals;

-   Providing stipends to principals who mentor new principals;

-   Carrying out professional development programs in instructional
    leadership and management; and

-   Providing incentives that are appropriate for teachers or
    individuals from other fields who want to become principals and that
    are effective in retaining new principals.

**7. Must an applicant\'s project, if funded, provide equitable
professional**

**development to principals and assistant principals in private
schools?**

Yes. Section 9501of the ESEA, regarding the equitable participation of
private school children, teachers, and other educational personnel,
apply to this program. Among other things, this means that any LEA
receiving financial assistance under the School Leadership program must,
after timely and meaningful consultation with officials of private
schools located in the areas served by participating high-need LEAs,
provide to staff of those private schools professional development that
is equitable to professional development provided with program funds to
public school principals and assistant principals (or other public
school staff whom the project serves). In providing equitable services,
grantees must make expenditures for services that benefit private school
staff that are equal, taking into account the numbers and educational
needs of the children attending those private schools, to the
expenditures for participating public school children.

**BUDGET**

**8. Must applicants describe their proposed multiyear project
activities and provide a multiyear budget?**

Yes. The Education Department General Administrative Regulations (EDGAR)
(section 34 C.F.R. 75.112\[b\]) requires that applications include "a
narrative that describes how and when, in each budget period of the
project, the applicant plans to meet each objective of the project." For
funded projects, the Department will use this information both for
purposes of monitoring and providing assistance, and for determining if
a grantee has made substantial progress toward meeting the approved
application and thereby, under section 75.253 of EDGAR, deserve a
continuation award.

Applicants for new awards also must provide a detailed proposed budget
and budget narrative using ED form SF 524 for all budget years of the
proposed project, not just the first year. Before awarding a grant for
the initial budget year, the Department will determine the size of award
a grant recipient will receive for each year of the project (assuming
availability of appropriations and that its receipt of a continuation
award for future years is warranted). See sections 75.117, 75.232, and
75.253 of EDGAR.

**9. What information should applicants consider in planning their use
of School Leadership program funds?**

As applicants build their proposed budgets, they should be aware that
all costs must conform to requirements in EDGAR and the applicable cost
principles in Office of Management and Budget Circulars: A-21 for
institutions of higher education, A-87 for State and local agencies, and
A-122 for non-profit organizations. Among other things, these cost
principles contain basic rules that all costs charged to federal grants
must be "necessary and reasonable" for the purposes of carrying out
authorized grant activities.

**10. Is there a restriction on the amount of indirect costs that may be
charged to a School Leadership program grant?**

Yes. Indirect costs may not exceed the amount determined on the basis of
the applicant's approved negotiated indirect cost rate. However,
applicants may wish to consider whether their overall applications will
be stronger if they maximize the amount of direct program services that
their projects will be able to provide by voluntarily limiting the
amount of indirect costs charged to federal School Leadership program
funds. In this regard, while they are not required to do so, the
Secretary encourages applicants to consider limiting their indirect cost
rate to no more than eight percent.

**11. How do I obtain an indirect cost rate?**

If your organization does not have an established indirect cost rate,
you may negotiate one with the Department. Contact the Department's
Indirect Cost Group to begin the process. Its website
<http://www.ed.gov/about/offices/list/ocfo/fipao/icgindex.html> contains
contact information as well as specific information on indirect cost
rates.

**Application Submission**

Final application submissions must be complete in order to be considered
for funding under this program. A completed application should have the
following parts:

> Part I: Application for Federal Assistance (ED form 424) and GEPA
> (427)

Part II: Budget Information-Non-Construction Programs

> (ED form 524)

Part III: Application Narrative and Abstract

Part IV: Assurances and Certifications (Forms provided)

**Program Staff Contact List**

  ----------------------- ------------------------- ----------------------
  Beatriz Ceja            <beatriz.ceja@ed.gov>     202-205-5009

  Peggi Zelinko           <peggi.zelinko@ed.gov>    202-260-2614

                                                    

                                                    

                                                    

                                                    
  ----------------------- ------------------------- ----------------------

**ED Forms, Assurances, and Clearances**

**If you are submitting a paper application (see the Notice Inviting
Application for New Awards for how to request permission to do so), you
will also need to download the following [required Federal
forms](http://www.ed.gov/fund/grant/apply/appforms/appforms.html):**

-   ED Form 424\--Application for Federal Education Assistance (Form and
    Instructions)

-   ED Form 524\--Budget Information, Non-Construction Programs

-   ED Form 524\--Instructions

-   Standard Form 424B\--Assurances, Non-Construction Programs

-   ED80-0013\--Certifications Regarding Lobbying; Debarment, Suspension
    and Other Responsibility Matters; and Drug-Free Workplace
    Requirements

-   ED80-0014\--Certification Regarding Debarment, Suspension,
    Ineligibility and Voluntary Exclusion \-- Lower Tier Covered
    Transactions

-   Standard Form LLL\--Disclosure of Lobbying Activities

-   Survey on Ensuring Equal Opportunity for Applicants

You may obtain these forms at:

<http://www.ed.gov/fund/grant/apply/appforms/appforms.html>

**[Section C: Transmittal Instructions]{.underline}**

-   Application Transmittal Instructions

##### Application Transmittal Instructions

**[Electronic Submission is Required]{.underline}** - As outlined in the
Federal Register notice for this grant competition, applications must be
submitted electronically. You must submit your application using the
electronic application system designated in the Federal Register notice.
(The notice will designate whether you will use e-Application or
Grants.gov). You may not e-mail an electronic copy to us. We will reject
your application if you submit it in paper format unless you qualify for
one of the exceptions to the electronic submission requirement described
below [and]{.underline} submit, no later than two weeks before the
application deadline date, a written statement to the Department that
you qualify for one of these exceptions.

Under mandatory submission, electronic applications must be received by
4:30 pm Washington, DC time on the application deadline date. **Under
this new policy, Education does not allow for any last minute waiver
requests from applicants, which is a change from the previous policy for
mandatory electronic submission. Consequently, we strongly encourage you
to review the registration and submission procedures for the designated
electronic application system right away. In addition, we strongly
suggest that you do not wait until the deadline date to submit your
application.**

[Exception to Electronic Submission Requirement]{.underline}: You
qualify for an exception to the electronic submission requirement, and
may submit your application in paper format, by mail or hand delivery,
if you are unable to submit an application through the electronic
application system designated in the Federal Register notice because----

• You do not have access to the Internet; or

• You do not have the capacity to upload large documents to the system;
[and]{.underline}

• No later than two weeks before the application deadline date (14
calendar days or, if the fourteenth calendar day before the application
deadline date falls on a Federal holiday, the next business day
following the Federal holiday), you mail or fax a written statement to
the Department, explaining which of the two grounds for an exception
prevent you from using the Internet to submit your application. If you
mail your written statement to the Department, it must be postmarked no
later than two weeks before the application deadline date. If you fax
your written statement to the Department, we must receive the faxed
statement no later than two weeks before the application deadline date.
(Please follow the fax instructions found in the Federal Register notice
for this competition. Also, your paper application must be submitted in
accordance with the mail or hand delivery instructions also described in
the Federal Register notice for this grant competition.)

For detailed information on the electronic submission requirement for
this competition, please refer to the Federal Register notice.