31386 Federal Register / Vol. 65, No. 96 / Wednesday, May, 17, 2000 / Notices

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′′ × 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

Federal Register / Vol. 65, No. 96 / Wednesday, May, 17, 2000 / Notices 31387

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, teacheradvisory 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

31388 Federal Register / Vol. 65, No. 96 / Wednesday, May, 17, 2000 / Notices

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 communitybased 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

Federal Register / Vol. 65, No. 96 / Wednesday, May, 17, 2000 / Notices 31389

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, noninstructional 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

31390 Federal Register / Vol. 65, No. 96 / Wednesday, May, 17, 2000 / Notices

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-NonConstruction 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

Federal Register / Vol. 65, No. 96 / Wednesday, May, 17, 2000 / Notices 31391

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-aschool, 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 workbased learning, and special assemblies or

speakers.

Career Academies are typically schoolswithin-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 workbased 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

31392 Federal Register / Vol. 65, No. 96 / Wednesday, May, 17, 2000 / Notices

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-aschool, 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, communitybased 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.

Federal Register / Vol. 65, No. 96 / Wednesday, May, 17, 2000 / Notices 31393

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.)

ll Application for Planning Grant

ll 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:

ll1. Application cover sheet (Appendix

F).

ll2. Application for Federal Assistance

(ED 424).

ll3. Budget Information—NonConstruction Programs ED Form No. 524)

and budget narrative.

ll4. 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.

ll5. Group agreement, if applicable.

ll6. Assurances—Non-Construction

Programs (SF 424B).

ll7. Certifications Regarding Lobbying;

Debarment, Suspension, and Other

Responsibility Matters; and Drug-Free

Workplace Requirements (ED 80–0013).

ll8. Disclosure of Lobbying Activities

(Standard Form LLL).

ll9. 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:

31394 Federal Register / Vol. 65, No. 96 / Wednesday, May, 17, 2000 / Notices

(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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