62536 Federal Register / Vol. 65, No. 202 / Wednesday, October 18, 2000 / Notices

DEPARTMENT OF EDUCATION

[CFDA No.: 84.323A]

Special Education: State Program

Improvement Grants Program; Notice

Inviting Applications for New Awards

for Fiscal Years (FYs) 2000 and 2001

Note to Applicants: This notice is a

complete application package. Together with

the statute authorizing the program and the

applicable regulations governing this

program, including the Education

Department General Administrative

Regulations (EDGAR), this notice contains all

of the information, application forms, and

instructions needed to apply for a grant

under this program.

Purpose of Program: The purpose of

this program, authorized under the

Individuals with Disabilities Education

Act (IDEA) Amendments of 1997, is to

assist State educational agencies and

their partners referred to in Section

652(b) of IDEA with reforming and

improving their systems for providing

educational, early intervention, and

transitional services, including their

systems for professional development,

technical assistance, and dissemination

of knowledge about best practices, to

improve results for children with

disabilities.

Eligible Applicants: A State

educational agency of one of the 50

States, the District of Columbia, or the

Commonwealth of Puerto Rico or an

outlying area (United States Virgin

Islands, Guam, American Samoa, and

the Commonwealth of the Northern

Mariana Islands).

General Requirements: (a) Projects

funded under this notice must make

positive efforts to employ and advance

in employment qualified individuals

with disabilities in project activities (see

Section 606 of IDEA);

(b) Applicants and grant recipients

funded under this notice must involve

individuals with disabilities or parents

of individuals with disabilities in

planning, implementing, and evaluating

the projects (see Section 661(f)(1)(A) of

IDEA); and

(c) Projects funded under these

priorities must budget for a two-day

Project Directors’ meeting in

Washington, D.C. during each year of

the project.

Deadline for Transmittal of

Applications: February 13, 2001.

Deadline for Intergovernmental

Review: April 16, 2001.

Available Funds: $3.5 million of FY

2000 funds and an estimated $10.6

million of FY 2001 funds.

Estimated Range of Awards: Awards

will be not less than $500,000, nor more

than $2,000,000, in the case of the 50

States, the District of Columbia, and the

Commonwealth of Puerto Rico; and not

less than $80,000, in the case of an

outlying area. Consistent with EDGAR

34 CFR 75.104(b), we will reject any

application that proposes a project

funding level for any year that exceeds

the stated maximum award amount for

that year.

We will set the amount of each grant

after considering:

(1) The amount of funds available for

making the grants;

(2) The relative population of the

State or outlying area; and

(3) The types of activities proposed by

the State or outlying area.

Reasonable Accommodations: We

will consider, and may fund, requests

for additional funding as an addendum

to an application to reflect the costs of

reasonable accommodations necessary

to allow individuals with disabilities to

be employed on the project as personnel

on project activities.

Estimated Average Size of Awards:

$1,000,000.

Estimated Number of Awards: 13. We

expect to make approximately three

awards using FY 2000 funds and ten

awards using FY 2001 funds. Awards

using FY 2001 funds will be made after

July 1, 2001.

Note: The Department of Education is not

bound by the estimated size and number of

awards in this notice.

Project Period: Not less than one year

and not more than five years.

Page Limits: Part III of each

application submitted under a priority

in this notice, the application narrative,

is where an applicant addresses the

selection criteria that are used by

reviewers in evaluating the application.

You must limit Part III to the equivalent

of no more than the number of pages

listed under each applicable priority,

using the following standards:

• A ‘‘page’’ is 8.5′′ × 11′′ (on one side

only) with one-inch margins (top,

bottom, and sides).

• Double-space (no more than three

lines per vertical inch) all text in the

application narrative, including titles,

headings, footnotes, quotations, and

captions, as well as all text in charts,

tables, figures, and graphs.

• If using a proportional computer

font, use no smaller than a 12-point

font, and an average character density

no greater than 18 characters per inch.

If using a nonproportional font or a

typewriter, do not use more than 12

characters per inch.

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,

the resumes, the bibliography or

references, or the letters of support.

However, you must include all of the

application narrative in Part III.

We will reject without consideration

or evaluation any application if—

• You apply these standards and

exceed the page limit; or

• You apply other standards and

exceed the equivalent of the page limit.

Applicable Regulations: (a) The

Education Department General

Administrative Regulations (EDGAR) in

34 CFR parts 75, 77, 79, 80, 81, 82, 85,

and 86; and (b) The selection criteria for

this program are drawn from EDGAR in

34 CFR 75.210.

Note: The regulations in 34 CFR part 86

apply to institutions of higher education

only.

Description of Program: The statutory

authorization for this program and the

application requirements that apply to

this competition are set out in section

651–655 of the IDEA.

Findings and Purposes: (a) States are

responding with some success to

multiple pressures to improve

educational and transitional services

and results for children with disabilities

in response to growing demands

imposed by ever-changing factors, such

as demographics, social policies, and

labor and economic markets.

(b) In order for States to address those

demands and to facilitate lasting

systemic change that is of benefit to all

students, including children with

disabilities, States must involve local

educational agencies, parents,

individuals with disabilities and their

families, teachers and other service

providers, and other interested

individuals and organizations in

carrying out comprehensive strategies to

improve educational results for children

with disabilities.

(c) Targeted Federal financial

resources are needed to assist States,

working in partnership with others, to

identify and make needed changes to

address the needs of children with

disabilities into the next century.

(d) State educational agencies, in

partnership with local educational

agencies and other individuals and

organizations, are in the best position to

identify and design ways to meet

emerging and expanding demands to

improve education for children with

disabilities and to address their special

needs.

(e) Research, demonstration, and

practice over the past 20 years in special

education and related disciplines have

built a foundation of knowledge on

which State and local systemic-change

activities can now be based.

Federal Register / Vol. 65, No. 202 / Wednesday, October 18, 2000 / Notices 62537

(f) Research, demonstration, and

practice in special education and related

disciplines have demonstrated that an

effective educational system now and in

the future must—

(1) Maintain high academic standards

and clear performance goals for children

with disabilities, consistent with the

standards and expectations for all

students in the educational system, and

provide for appropriate and effective

strategies and methods to ensure that

students who are children with

disabilities have maximum

opportunities to achieve those standards

and goals;

(2) Create a system that fully

addresses the needs of all students,

including children with disabilities, by

addressing the needs of children with

disabilities in carrying out educational

reform activities;

(3) Clearly define, in measurable

terms, the school and post-school

results that children with disabilities are

expected to achieve;

(4) Promote service integration, and

the coordination of State and local

education, social, health, mental health,

and other services, in addressing the full

range of student needs, particularly the

needs of children with disabilities who

require significant levels of support to

maximize their participation and

learning in school and the community;

(5) Ensure that children with

disabilities are provided assistance and

support in making transitions as

described in section 674(b)(3)(C) of the

Act;

(6) Promote comprehensive programs

of professional development to ensure

that the persons responsible for the

education or a transition of children

with disabilities possess the skills and

knowledge necessary to address the

educational and related needs of those

children;

(7) Disseminate to teachers and other

personnel serving children with

disabilities research-based knowledge

about successful teaching practices and

models and provide technical assistance

to local educational agencies and

schools on how to improve results for

children with disabilities;

(8) Create school-based disciplinary

strategies that will be used to reduce or

eliminate the need to use suspension

and expulsion as disciplinary options

for children with disabilities;

(9) Establish placement-neutral

funding formulas and cost-effective

strategies for meeting the needs of

children with disabilities; and

(10) Involve individuals with

disabilities and parents of children with

disabilities in planning, implementing,

and evaluating systemic-change

activities and educational reforms.

Absolute Priority: Under section 653

and 34 CFR 75.105(c)(3), we will give an

absolute preference to applications that

meet the following priority. We will

fund under this competition only those

applications that meet this absolute

priority.

This priority supports projects that

assist State educational agencies and

their partners in reforming and

improving their systems for providing

educational, early intervention, and

transitional services, including their

systems for professional development,

technical assistance, and dissemination

of knowledge about best practices, to

improve results for children with

disabilities.

State Improvement Plan. Applicants

must submit a State improvement plan

that—

(a) Is integrated, to the maximum

extent possible, with State plans under

the Elementary and Secondary

Education Act of 1965 and the

Rehabilitation Act of 1973, if

appropriate;

(b) Identifies those critical aspects of

early intervention, general education,

and special education programs

(including professional development,

based on an assessment of State and

local needs) that must be improved to

enable children with disabilities to meet

the goals established by the State under

section 612(a)(16) of the Act.

Specifically, applicants must include:

(1) An analysis of all information,

reasonably available to the State

educational agency, on the performance

of children with disabilities in the State,

including—

(i) Their performance on State

assessments and other performance

indicators established for all children,

including drop-out rates and graduation

rates;

(ii) Their participation in

postsecondary education and

employment; and

(iii) How their performance on the

assessments and indicators compares to

that of non-disabled children;

(2) An analysis of State and local

needs for professional development for

personnel to serve children with

disabilities that includes, at a minimum:

(i) The number of personnel providing

special education and related services;

and

(ii) Relevant information on current

and anticipated personnel vacancies

and shortages (including the number of

individuals described in paragraph

(b)(2)(i) with temporary certification),

and on the extent of certification or

retraining necessary to eliminate those

shortages, that is based, to the maximum

extent possible, on existing assessments

of personnel needs;

(3) An analysis of the major findings

of the Secretary’s most recent reviews of

State compliance, as they relate to

improving results for children with

disabilities; and

(4) An analysis of other information,

reasonably available to the State, on the

effectiveness of the State’s systems of

early intervention, special education,

and general education in meeting the

needs of children with disabilities;

(c) Describes a partnership agreement

that—

(1) Specifies—

(i) The nature and extent of the

partnership among the State educational

agency, local educational agencies, and

other State agencies involved in, or

concerned with, the education of

children with disabilities, and the

respective roles of each member of the

partnership; and

(ii) How those agencies will work in

partnership with other persons and

organizations involved in, and

concerned with, the education of

children with disabilities, including the

respective roles of each of these persons

and organizations; and

(2) Is in effect for the period of the

grant;

(d) Describes how grant funds will be

used in undertaking the systemicchange activities, and the amount and

nature of funds from any other sources,

including funds under part B of the Act

retained for use at the State level under

sections 611(f) and 619(d) of the Act,

that will be committed to the systemicchange activities;

(e) Describes the strategies the State

will use to address the needs identified

under paragraph (b), including how it

will—

(1) Change State policies and

procedures to address systemic barriers

to improving results for children with

disabilities;

(2) Hold local educational agencies

and schools accountable for educational

progress of children with disabilities;

(3) Provide technical assistance to

local educational agencies and schools

to improve results for children with

disabilities;

(4) Address the identified needs for

in-service and pre-service preparation to

ensure that all personnel who work with

children with disabilities (including

both professional and paraprofessional

personnel who provide special

education, general education, related

services, or early intervention services)

have the skills and knowledge necessary

to meet the needs of children with

62538 Federal Register / Vol. 65, No. 202 / Wednesday, October 18, 2000 / Notices

disabilities, including a description of

how it will—

(i) Prepare general and special

education personnel with the content

knowledge and collaborative skills

needed to meet the needs of children

with disabilities, including how the

State will work with other States on

common certification criteria;

(ii) Prepare professionals and

paraprofessionals in the area of early

intervention with the content

knowledge and collaborative skills

needed to meet the needs of infants and

toddlers with disabilities;

(iii) Work with institutions of higher

education and other entities that (on

both a pre-service and an in-service

basis) prepare personnel who work with

children with disabilities to ensure that

those institutions and entities develop

the capacity to support quality

professional development programs that

meet State and local needs;

(iv) Work to develop collaborative

agreements with other States for the

joint support and development of

programs to prepare personnel for

which there is not sufficient demand

within a single State to justify support

or development of a program of

preparation;

(v) Work in collaboration with other

States, particularly neighboring States,

to address the lack of uniformity and

reciprocity in the credentialing of

teachers and other personnel;

(vi) Enhance the ability of teachers

and others to use strategies, like

behavioral interventions, to address the

conduct of children with disabilities

that impedes the learning of children

with disabilities and others;

(vii) Acquire and disseminate, to

teachers, administrators, school board

members, and related services

personnel, significant knowledge

derived from educational research and

other sources, and how the State, if

appropriate, will adopt promising

practices, materials, and technology;

(viii) Recruit, prepare, and retain

qualified personnel, including

personnel with disabilities and

personnel from groups that are

underrepresented in the fields of regular

education, special education, and

related services;

(ix) Integrate its plan, to the maximum

extent possible, with other professional

development plans and activities,

including plans and activities

developed and carried out under other

Federal and State laws that address

personnel recruitment and training; and

(x) Provide for the joint training of

parents and special education, related

services, and general education

personnel;

(5) Address systemic problems

identified in Federal compliance

reviews, including shortages of qualified

personnel;

(6) Disseminate results of the local

capacity-building and improvement

projects funded under section 611(f)(4)

of the Act;

(7) Address improving results for

children with disabilities in the

geographic areas of greatest need;

(8) Assess, on a regular basis, the

extent to which the strategies

implemented under this subpart have

been effective; and

(9) Coordinate its improvement

strategies with public and private sector

resources.

Required partners. Applicants must:

(a) Establish a partnership with local

educational agencies and other State

agencies involved in, or concerned with,

the education of children with

disabilities; and

(b) Work in partnership with other

persons and organizations involved in,

and concerned with, the education of

children with disabilities, including—

(1) The Governor;

(2) Parents of children with

disabilities;

(3) Parents of nondisabled children;

(4) Individuals with disabilities;

(5) Organizations representing

individuals with disabilities and their

parents, such as the parent training and

information centers;

(6) Community-based and other

nonprofit organizations involved in the

education and employment of

individuals with disabilities;

(7) The lead State agency for part C of

the Act;

(8) General and special education

teachers, and early intervention

personnel;

(9) The State advisory panel

established under part B of the Act;

(10) The State interagency

coordinating council established under

part C of the Act; and

(11) Institutions of higher education

within the State.

Optional partners. A partnership

established by applicants may also

include—

(a) Individuals knowledgeable about

vocational education;

(b) The State agency for higher

education;

(c) The State vocational rehabilitation

agency;

(d) Public agencies with jurisdiction

in the areas of health, mental health,

social services, and juvenile justice; and

(e) Other individuals.

Reporting procedures. Each State

educational agency that receives a grant

must submit performance reports to the

Secretary pursuant to a schedule to be

determined by the Secretary, but not

more frequently than annually. The

reports must describe the progress of the

State in meeting the performance goals

established under Section 612(a)(16) of

the Act, analyze the effectiveness of the

State’s strategies in meeting those goals,

and identify any changes in the

strategies needed to improve its

performance. Grantees must also

provide information required under

EDGAR at 34 CFR 80.40.

Use of funds. Each State educational

agency that receives a State

Improvement Grant under this

program—

(a) May use grant funds to carry out

any activities that are described in the

State’s application and that are

consistent with the purpose of this

program;

(b) Shall, consistent with its

partnership agreement established

under the grant, award contracts or

subgrants to local educational agencies,

institutions of higher education, and

parent training and information centers,

as appropriate, to carry out its State

improvement plan; and

(c) May award contracts and subgrants

to other public and private entities,

including the lead agency under part C

of the Act, to carry out that plan;

(d)(1) Shall use not less than 75

percent of the funds it receives under

the grant for any fiscal year—

(i) To ensure that there are sufficient

regular education, special education,

and related services personnel who have

the skills and knowledge necessary to

meet the needs of children with

disabilities and developmental goals of

young children; or

(ii) To work with other States on

common certification criteria; or

(2) Shall use not less than 50 percent

of those funds for these purposes, if the

State demonstrates to the Secretary’s

satisfaction that it has the personnel

described in paragraph (d)(1).

Selection Criteria: We will use the

following selection criteria in 34 CFR

75.210 to evaluate applications for new

grants under this competition. The

maximum score for all of these criteria

is 100 points. The maximum score for

each criterion is indicated in

parentheses.

(a) Need for project. (19 points). (1)

The Secretary considers the need for the

proposed project.

(2) In determining the need for the

proposed project the Secretary considers

the extent to which specific gaps or

weaknesses in services, infrastructure,

or opportunities have been identified

and will be addressed by the proposed

Federal Register / Vol. 65, No. 202 / Wednesday, October 18, 2000 / Notices 62539

project, including the nature and

magnitude of those gaps or weaknesses.

(b) Significance. (19 points). (1) The

Secretary considers the significance of

the proposed project.

(2) In determining the significance of

the proposed project, the Secretary

considers the likelihood that the

proposed project will result in system

change or improvement.

(c) Quality of the project design. (19

points).

(1) The Secretary considers the

quality of the design of the proposed

project.

(2) In determining the quality of the

design of the proposed project, the

Secretary considers the following

factors:

(i) The extent to which the goals,

objectives, and outcomes to be achieved

by the proposed project are clearly

specified and measurable.

(ii) 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.

(iii) The extent to which the proposed

activities constitute a coherent,

sustained program of training in the

field.

(iv) The extent to which the design of

the proposed project reflects up-to-date

knowledge from research and effective

practice.

(v) The extent to which the proposed

project will establish linkages with

other appropriate agencies and

organizations providing services to the

target population.

(vi) 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.

(d) Quality of project personnel. (8

points).

(1) The Secretary considers the

quality of the personnel who will carry

out the proposed project.

(2) In determining the quality of

project personnel, the Secretary

considers the extent to which the

applicant encourages applications for

employment from persons who are

members of groups that have

traditionally been underrepresented

based on race, color, national origin,

gender, age, or disability.

(3) In addition, the Secretary

considers the following factors:

(i) The qualifications, including

relevant training and experience, of key

project personnel.

(ii) The qualifications, including

relevant training and experience, of

project consultants or subcontractors.

(e) Adequacy of resources. (8 points).

(1) The Secretary considers the

adequacy of resources for the proposed

project.

(2) In determining the adequacy of

resources for the proposed project, the

Secretary considers the following

factors:

(i) The adequacy of support, including

facilities, equipment, supplies, and

other resources, from the applicant

organization or the lead applicant

organization.

(ii) The relevance and demonstrated

commitment of each partner in the

proposed project to the implementation

and success of the project.

(iii) The extent to which the budget is

adequate to support the proposed

project.

(iv) The extent to which the costs are

reasonable in relation to the objectives,

design, and potential significance of the

proposed project.

(v) The potential for continued

support of the project after Federal

funding ends, including, as appropriate,

the demonstrated commitment of

appropriate entities to this type of

support.

(f) Quality of the management plan. (8

points). (1) The Secretary considers the

quality of the management plan for the

proposed project.

(2) In determining the quality of the

management plan for the proposed

project, the Secretary considers the

following factors:

(i) 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.

(ii) How the applicant will ensure that

a diversity of perspectives are brought to

bear in the operation of the proposed

project, including those of parents,

teachers, the business community, a

variety of disciplinary and professional

fields, recipients or beneficiaries of

services, or others, as appropriate.

(g) Quality of the project evaluation.

(19 points). (1) The Secretary considers

the quality of the evaluation to be

conducted of the proposed project.

(2) In determining the quality of the

evaluation, the Secretary considers the

following factors:

(i) The extent to which the methods

of evaluation are thorough, feasible, and

appropriate to the goals, objectives, and

outcomes of the proposed project.

(ii) The extent to which the methods

of evaluation provide for examining the

effectiveness of project implementation

strategies.

(iii) 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.

(iv) The extent to which the methods

of evaluation will provide performance

feedback and permit periodic

assessment of progress toward achieving

intended outcomes.

Competitive Preference: Within this

absolute priority, we will give the

following competitive preference under

section 606 of IDEA and 34 CFR

75.105(c)(2)(i) to applications that are

otherwise eligible for funding under this

priority:

Up to ten (10) points based on the

effectiveness of the applicant’s strategies

for employing and advancing in

employment qualified individuals with

disabilities as project employees in

project activities as required under

paragraph (a) of the ‘‘General

Requirements’’ section of this notice. In

determining the effectiveness of those

strategies, we may consider the

applicant’s past success in pursuit of

this goal.

For purposes of this competitive

preference, applicants can be awarded

up to a total of 10 points in addition to

those awarded under the published

selection criteria for this priority. That

is, an applicant meeting these

competitive preferences could earn a

maximum total of 110 points.

Intergovernmental Review

This program is subject to Executive

Order 12372 and the regulations in 34

CFR Part 79. One of the objectives of the

Executive order is to foster an

intergovernmental partnership and a

strengthened federalism. The Executive

order relies on processes developed by

State and local governments for

coordination and review of proposed

Federal financial assistance.

This document provides early

notification of our specific plans and

actions for this program.

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

procedure established in each State

under the Executive Order. The

addresses of individual State Single

Point of Contact are in the Appendix to

this notice.

In States that have not established a

process or chosen a program for review,

State, areawide, regional, and local

62540 Federal Register / Vol. 65, No. 202 / Wednesday, October 18, 2000 / Notices

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, areawide,

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# 84.323A, U.S. Department of

Education, 400 Maryland Avenue, SW.,

Washington, D.C. 20202–0124.

Proof of mailing will be determined

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 an applicant wants

to apply for a grant, the applicant

must—

(1) Mail the original and six copies of

the application on or before the

deadline date to: U.S. Department of

Education, Application Control Center,

Attention: (CFDA# 84.323A),

Washington, D.C. 20202–4725; or

(2) Hand-deliver the original and six

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# 84.323A), Room

#3633, Regional Office Building #3, 7th

and D Streets, SW., 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.

Notes: (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.

(2) The Application Control Center will

mail a Grant Application Receipt

Acknowledgment to each applicant. If an

applicant fails to receive the notification of

application receipt within 15 days from the

date of mailing the application, the applicant

should call the U.S. Department of Education

Application Control Center at (202) 708–

9495.

(3) The applicant must indicate on the

envelope and—if not provided by the

Department—in Item 10 of the Application

for Federal Assistance (Standard Form 424)

the CFDA number and suffix letter, if any, of

the competition under which the application

is being submitted.

Application Instructions and Forms:

The appendix to this notice is divided

into three parts, plus a statement

regarding estimated public reporting

burden, additional non-regulatory

guidance, and various assurances,

certifications, and required

documentation. These parts and

additional materials are organized in the

same manner that the submitted

application should be organized. The

parts and additional materials are as

follows:

Part I: Application for Federal

Assistance (Standard Form 424 (Rev. 4–

88)) and instructions.

Part II: Budget Information—NonConstruction Programs (ED Form No.

524) and instructions. The budget

section of the application form requires

all applicants for multi-year projects to

provide detailed budget information for

the total grant period requested. The

Department will establish, at the time of

initial award, the funding levels for each

year of the grant award. By requesting

detailed budget information in the

initial application for the total grant

period, the need for a formal

noncompeting continuation application

in the remaining years has been

eliminated. A performance report will

be required annually to determine

substantial progress, rather than a noncompeting continuation application.

Part III: Application Narrative.

Additional Materials

The following forms and other items

must be included in the application:

a. Estimated Public Reporting Burden.

b. Assurances—Non-Construction

Programs (Standard Form 424B) and

instructions.

c. Certifications Regarding Lobbying;

Debarment, Suspension, and Other

Responsibility Matters; and Drug-Free

Workplace Requirements (ED 80–0013).

d. Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered

Transactions (ED 80–0014) and

instructions.

Note: ED Form GCS–0014 is intended for

the use of grantees and should not be

transmitted to the Department.

e. Certification of Eligibility for

Federal Assistance in Certain Programs

(ED 80–0016.

f. Disclosure of Lobbying Activities

(Standard Form LLL) (if applicable) and

instructions. The document has been

marked to reflect statutory changes. See

the notice published by the Office of

Management and Budget in the Federal

Register (61 FR 1413) on January 19,

1996.

g. Addresses of the individual State

Single Point of Contact.

h. Table of Contents.

An applicant may submit information

on a photostatic copy of the application

and budget forms, the assurances, and

the certifications. However, the

application form, the assurances, and

the certifications must each have an

original signature. All applicants must

submit one original signed application,

including ink signatures on all forms

and assurances, and three copies of the

application. Please mark each

application as ‘‘original’’ or ‘‘copy’’. No

grant may be awarded unless a

completed application has been

received.

For Applications and General

Information Contact: Requests for

applications and general information

should be addressed to the Grants and

Contracts Services Team, 400 Maryland

Avenue, S.W., room 3317, Switzer

Building, Washington, D.C. 20202–2641.

The preferred method for requesting

information is to FAX your request to:

(202) 205–8717. Telephone: (202) 260–

9182. Individuals who use a

telecommunications device for the deaf

(TDD) may call the TDD number: (202)

205–8953.

Individuals with disabilities may

obtain a copy of this notice or the

application packages referred to in this

notice in an alternate format (e.g.

Braille, large print, audiotape, or

computer diskette) by contacting the

Department as listed above. However,

the Department is not able to reproduce

in an alternate format the standard

forms included in the application

package.

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.htm

http://www.ed.gov/news.html

To use PDF you must have Adobe

Acrobat Reader, which is available free

at either of the previous sites. 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

Federal Register / Vol. 65, No. 202 / Wednesday, October 18, 2000 / Notices 62541

1Unless otherwise noted, the term ‘‘State’’ refers

to the 50 States, the District of Columbia, the

Commonwealth of Puerto Rico and the outlying

areas (United States Virgin Islands, Guam,

American Samoa and the Commonwealth of the

Northern Mariana Islands).

2States in which Community Parent Resource

Centers are located are encouraged to include these

organizations as ‘‘other partners.’’

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/nara/

index.html.

Program Authority: 20 U.S.C. 1405, 1461,

1472, 1474, and 1487.

Dated: October 12, 2000.

Judith E. Heumann,

Assistant Secretary for Special Education and

Rehabilitative Services.

Instructions for Estimated Public

Reporting Burden

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 OMB No. 1820–0620. The

time required to complete this

information collection is estimated to

average between 50–130 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: U.S.

Department of Education, Washington,

D.C. 20202–4651. If you have any

comments or concerns regarding the

status of your individual submission of

this form, write directly to: Office of

Special Education Programs, U.S.

Department of Education, 400

Independence Avenue, SW.,

Washington, D.C. 20202–2641.

Application Narrative

The narrative should address fully all

aspects of the selection criteria in the

order listed and should give detailed

information regarding each criterion. Do

not simply paraphrase the criteria.

Provide position descriptions, not

resumes.

Budget

Budget line items must support the

goals and objectives of the proposed

project and be directly applicable to the

program design and all other project

components.

Final Application Preparation

Use the above checklist to verify that

all items are addressed. Prepare one

original with an original signature, and

include three additional copies. Do not

use elaborate bindings or covers. The

application must be mailed to the

Application Control Center (ACC) and

postmarked by the deadline date of

February 13, 2001.

Questions and Answers

Following is a series of questions and

answers that will serve as guidance for

State Educational Agency in completing

the grant application for a State

Improvement Grant (SIG) as authorized

by the Individuals with Disabilities

Education Act (IDEA). The questions

were chosen to provide additional

insight into the statutory requirements

contained in the grant application. The

questions were generated from a number

of sources including parents of students

with disabilities, Regional Resource

Centers, the Federal Resource Center,

State Directors of Special Education,

State Education Agency staff and staff

from the Office of Special Education

Programs.

Eligible Applicants

1. Who may apply for a State

Improvement Grant?

A State Educational Agency of one of

the 50 States, the District of Columbia,

or the Commonwealth of Puerto Rico or

an outlying area (United States Virgin

Islands, Guam, American Samoa, and

the Commonwealth of the Northern

Mariana Islands).1 (sections 602(18),

602(27), 652(a), and 655(a)(1)(2)).

2. Can two or more SEAs apply jointly

for a SIG?

No. A State applying for a State

Improvement Grant must submit an

individual application. However,

included in the application will be a

description of how: (1) The State will

work to develop collaborative

agreements with other States for the

joint support and development of

programs to prepare personnel for

which there is not sufficient demand

within a single State to justify support

or development of this type of program

of preparation; and (2) the State will

work in collaboration with other States,

particularly neighboring States, to

address the lack of uniformity and

reciprocity in the credentialing of

teachers and other personnel (section

653(c)(3)(D)(iv) and (v)).

Partners

3. With whom is the State supposed

to form partnerships and how are the

partnerships structured?

Part D Subpart 1—State Program

Improvement Grants for Children with

Disabilities, section 652(b) describes

three types of State partners. In order to

be considered for a State Improvement

Grant, a State educational agency must

establish a partnership with individuals

and organizations considered ‘‘Required

Partners.’’ Required partners are made

up of two subsets of partners—those

called ‘‘Contractual partners’’ and those

called ‘‘Other partners.’’ The SEA’s

contractual partners are local

educational agencies and other State

agencies involved in, or concerned with,

the education of children with

disabilities. These partners are called

contractual because they must be parties

to a formal ‘‘partnership agreement’’

that is explained further below in

question four.

The other partners are individuals

and organizations involved in, and

concerned with, the education of

children with disabilities, with whom

the SEA must work in partnership to

implement the State improvement grant.

Other partners may be, but the SEA is

not required to make them, parties to

the formal partnership agreement. Those

‘‘other partners’’ must include the

Governor; parents of children with

disabilities; parents of nondisabled

children; individuals with disabilities;

organizations representing individuals

with disabilities and their parents, such

as the parent training and information

centers; 2 community-based and other

nonprofit organizations involved in the

education and employment of

individuals with disabilities; the lead

State agency for Part C; general and

special education teachers, and early

intervention personnel; the State

advisory panel established under Part B;

the State interagency coordinating

council established under Part C; and

institutions of higher education (IHEs)

within the State. The State is

encouraged to only partner with those

IHEs that are currently implementing or,

based on the partnership Agreement,

will develop and implement, training

programs that are consistent with the

principles of IDEA Amendments of 1997

(e.g., training that facilitates access to

the general education curriculum;

training that facilitates inclusionary

practices; joint training of general

educators, special educators and

parents, where appropriate; training that

targets pedagogical practices that focus

on accommodating and modifying

instruction to meet State standards).

Based on the needs assessment, the

State must focus at least 75% of the

funds received under the State

62542 Federal Register / Vol. 65, No. 202 / Wednesday, October 18, 2000 / Notices

Improvement Grant on the professional

development and training of regular

education, special education, or related

services personnel (only 50% of the

funds must be used on professional

development if the State can

demonstrate to the Department that it

has sufficient personnel; see question 13

for additional clarification). In order to

ensure that the perspectives of school

based staff are represented in the grant

activities, the State is encouraged to

incorporate into its partnership

agreement and partnership activities,

professional organizations that negotiate

for and may represent school-based

staff.

In addition to required partners, the

SEA, at its option, may include as

partner’s individuals and organizations

called ‘‘Optional Partners’’. The SEA

may include ‘‘optional partners’’ as

parties to the formal partnership

agreement or work in partnership with

them, without them being parties to the

partnership agreement. Those optional

partners may include individuals

knowledgeable about vocational

education, the State agency for higher

education, the State vocational

rehabilitation agency, public agencies

with jurisdiction in the areas of health,

mental health, social services, and

juvenile justice and other individuals.

4. What is the partnership agreement

and what must it include?

Each State’s application must include

a description of the partnership

agreement entered into by the SEA with

its contractual partners and with any

‘‘other’’ and ‘‘optional’’ partners who

will be parties to the partnership

agreement. As specified in the grant

application package, the partnership

agreement must specify the nature and

extent of the partnership among the

SEA, the LEAs, and other State agencies

involved in, or concerned with, the

education of children with disabilities.

It must specify the respective roles of

each member of the partnership in the

implementation of the proposed State

improvement grant. The partnership

agreement must also specify how the

SEA, LEAs, and other State agencies

identified above, will work in

partnership with other persons and

organizations involved in, and

concerned with, the education of

children with disabilities (these would

be the ‘‘other partners’’ and any

‘‘optional partners’’), and must specify

the respective roles of each of these

persons and organizations (section

653(c)(1)(B)).

The partnership agreement must

indicate that it is in effect for the period

of the grant. The terms of the

partnership agreement will determine

whether the SEA will award subgrants

or contracts to any of the partners listed

in section 654(a)(2)(A).

5. What is the connection between the

partnership agreement and the SEA’s

use of funds?

The SEA must, as appropriate, award

contracts or subgrants to LEAs, IHEs,

and parent training and information

centers identified in the partnership

agreement to carry out the State

improvement grant activities. To carry

out the State improvement grant

activities, the SEA may also award

contracts and subgrants to other public

and private entities, including the lead

agency under Part C and other agencies

that are partners, as well as public and

private entities that are not partners. It

is anticipated that an SEA will need and

desire the resources of other individuals

and organizations to develop and

implement all of the systemic change,

technical assistance, in-service and preservice training, dissemination and

assessment activities designated in the

State improvement grant application.

There is, however, no required amount

of funds that must be used for contracts

or subgrants (section 654(a)(2)).

Funding Availability and Levels

6. What are the grant amounts to

States?

We must make a grant to each State

educational agency whose application

we selected for funding under this

subpart in an amount for each fiscal

year that is: (1) Not less than $500,000,

nor more than $2,000,000, in the case of

the 50 States, the District of Columbia,

and the Commonwealth of Puerto Rico;

and (2) not less than $80,000, in the case

of an outlying area (United States Virgin

Islands, Guam, American Samoa and the

Commonwealth of the Northern Mariana

Islands (Section 655(a)). This means that

the Department will reject and will not

consider any application that proposes

a budget that exceeds the maximum

award amount or is less than the

minimum award amount for any single

budget period of 12 months. However,

we will consider, and may fund,

requests for additional funding as an

addendum to an application to reflect

the costs of reasonable accommodations

necessary to allow individuals with

disabilities to be employed on the

project as personnel on project

activities.

Note: As soon as the procedures for

implementing reasonable accommodations

are finalized, they will be posted on OSERS

homepage at: www.ed.gov/offices/OSERS.

7. How will decisions be made

regarding the amount of funds that

States will receive if approved for a

State Improvement Grant?

The Department will set the amount

of each grant, within the limits outlined

in the response to question 6, after

considering: (1) The relative population

of the State; (2) the types of activities

proposed by the State; and (3) the

amount of funds available for making

the grants (section 655(c)). Using the

same considerations, we funded

successful applications for fiscal years

1998 and 1999 at the following levels:

North Dakota ............................ $500,000

Vermont ................................... 500,000

Alaska ....................................... 550,000

Montana ................................... 550,000

Nebraska ................................... 575,816

Utah .......................................... 578,551

New Hampshire ....................... 600,000

Hawaii ...................................... 600,000

Idaho ........................................ 625,000

Oklahoma ................................. 814,000

Iowa .......................................... 875,526

Kansas ...................................... 900,000

Connecticut .............................. 920,000

Kentucky .................................. 1,000,000

Massachusetts .......................... 1,009,000

Minnesota ................................ 1,015,000

Alabama ................................... 1,025,000

Georgia ..................................... 1,060,000

Maryland .................................. 1,095,000

Missouri ................................... 1,145,000

North Carolina ......................... 1,210,000

Virginia .................................... 1,240,000

Ohio .......................................... 1,320,000

Pennsylvania ............................ 1,320,000

Michigan .................................. 1,320,000

Illinois ...................................... 1,400,000

California ................................. 1,840,000

8. How will the connection between

grant amounts and ‘‘need’’ be

determined?

As previously stated in the response

to question 7, we must set the amount

of each grant after considering: (1) The

relative population of the State; (2) the

types of activities proposed by the State

or outlying area; and (3) the amount of

funds available for making the grants.

‘‘Need’’ will be determined through the

quality of the needs assessment

performed under section 653(b)

including: (i) an analysis of all

information, reasonably available to the

State educational agency, on the

performance of children with

disabilities in the State; (ii) an analysis

of State and local needs for professional

development for personnel to serve

children with disabilities; (iii) an

analysis of the major findings of the

Department’s most recent reviews of

State compliance, as they relate to

improving results for children with

disabilities; and (iv) an analysis of other

information, for example, findings made

by the Department’s Office for Civil

Rights, reasonably available to the State,

on the effectiveness of the State’s

systems of early intervention, special

education, and general education in

Federal Register / Vol. 65, No. 202 / Wednesday, October 18, 2000 / Notices 62543

meeting the needs of children with

disabilities.

9. What we will consider in making

an award on a competitive basis?

Using the selection criteria identified

elsewhere in this application package,

we expect to select for funding

applications from States that

demonstrate a need for improvement

and effective strategies to meet those

State needs. The application should

show how the State plans to fulfill the

purpose of the State Improvement

Grant, which is to assist State

educational agencies and their partners

in reforming and improving their

systems for providing educational, early

intervention, and transitional services,

including their systems for professional

development, technical assistance, and

dissemination of knowledge about best

practices, to improve results for

children with disabilities. We will give

priority to applications on the basis of

need, as indicated by information from

the findings of Federal compliance

reviews (section 653(d)).

Improvement Strategies and Use of

Funds

10. Can funds from the State

Improvement Grants be distributed to

LEAs on a competitive basis?

Yes. The statute does not provide a

particular method for States to use when

distributing State Improvement Grant

funds to LEAs or other entities. When

awarding and administering subgrants,

under 34 CFR 80.37(a), the State must

follow State law and procedures. As

long as the SEA’s proposal to contract

or subgrant SIG funds is consistent with

the partnership agreement and the funds

are used to support the activities

specified in the approved grant

application, there is no statutory

prohibition against the funds being

distributed to LEAs on a competitive

basis.

11. Can charter schools be involved as

partners in the State Improvement

Grant?

Yes. Charter schools are schools

under contract—or charter—between a

public agency and groups of parents,

teachers, community leaders or others

who want to create alternatives and

choice within the public school system.

Charter schools can be involved as

partners in the State Improvement

Grant, either as an LEA or as part of an

existing LEA, consistent with the State

charter schools law.

12. Does the ‘‘service obligation’’

apply to the use of State Improvement

Grant funds if they are being used for

scholarships?

No. The ‘‘service obligation’’

contained under the personnel

preparation discretionary grant program

provides that a recipient of a

scholarship funded by the personnel

preparation program under section

673(b), (c), (e), and to the extent

appropriate (d), must subsequently

perform work in the field in which they

were trained or repay the cost of the

financial assistance. The service

obligation only applies to scholarships

awarded under the personnel

preparation program. However,

consistent with State law, a SEA may

impose its own service obligation.

13. Can funds be used to prepare early

intervention personnel?

Yes, but only in limited

circumstances. Under section 654(b)(1),

a State educational agency that receives

a grant must use not less than 75

percent of the funds it receives under

the grant for any fiscal year to work with

other States on common certification

criteria or to ensure that there are

sufficient regular education, special

education, and related services

personnel who have the skills and

knowledge necessary to meet the needs

of children with disabilities and

developmental goals of young children.

This section ensures that based on the

needs assessment, the State focuses at

least 75% of the funds received under

the State Improvement Grant on the

professional development and training

of regular education, special education,

or related services personnel. Only 50%

of the funds must be used on

professional development if the State

can demonstrate to the Department that

it has sufficient personnel. Training that

prepares personnel to deliver early

intervention services that could not also

be considered regular education, special

education, or related services would not

be a permissible use of the 75%, or 50%

as the case may be, of the funds.

However, it would be permissible for

early intervention personnel to

participate in training in those areas of

special education and related services

that would be useful to them, even if the

training is funded using the 75% of the

funds. There is no limitation on the use

of the remaining 25% of the funds

received under the SIG; it can be used

to train personnel to provide early

intervention services or for any other

activity in an approved SIG.

14. How does a State demonstrate that

it meets the requirement to use at least

75% (or 50% if applicable) of the grant

funds for professional development?

States should structure the

presentation of their budget so that the

Department can easily determine that

the State has met the 75% or 50%

requirement as the case may be.

15. What is the relationship of the SIG

to the State set aside under Part B?

In order to carry out the activities

proposed in the State’s SIG application,

a State may choose to supplement the

State Improvement Grant award with

funds from the IDEA Part B State set

aside (i.e., the portion of the IDEA, Part

B grant awards retained for use by the

SEA under sections 611(f) and 619(d) of

the Act for discretionary purposes).

16. Can funds from sources other than

the SIG be used to support the required

activities for awards under this

program?

Yes. In addition to the SIG award,

funds from other sources (e.g., other

IDEA discretionary grants, Part B State

set aside funds, preschool grants) may

be used, so long as those activities are

permissible under the funding statute

and regulations to carry out any

activities described in the State’s SIG

application. States may also use funds

from private sources (e.g. foundations)

to carry out activities described in the

State’s application. In its State

Improvement Plan, the State must

describe the amount and nature of funds

from any other sources, including the

Part B funds retained for use under

sections 611(f) and 619(d) of the Act and

Part D discretionary funds that will be

committed to the SIG program.

17. Can SIG funds be used for direct

services to children with disabilities?

Yes. The statute does not forbid the

use of SIG funds for direct services to

children with disabilities; however,

funding for these services must come

from the 25% or 50% of the grant

award, as the case may be, not obligated

by statute to fund professional

development activities or to work with

other States on common certification

criteria. In addition, the need for direct

services must be one of the critical

aspects of early intervention, general

education and special education

identified in the State’s need

assessment. The direct services

improvement strategy must be described

in the States’ application and be

consistent with the purpose of the grant,

which is to assist State educational

agencies and their partners in reforming

and improving their systems for

providing educational, early

intervention, and transitional services,

including their systems for professional

development, technical assistance, and

dissemination of knowledge about best

practices, to improve results for

children with disabilities.

Strategies Used To Address Identified

Needs

18. Is interstate personnel preparation

mandatory?

62544 Federal Register / Vol. 65, No. 202 / Wednesday, October 18, 2000 / Notices

No. The State is required to describe

how it will work to develop

collaborative agreements with other

States for the joint support and

development of programs to prepare

personnel for which there is not

sufficient demand within the State to

justify support or development of this

type of program of preparation (section

653(c)(3)(D)(iv)). If the State

demonstrates, through its needs

assessment, that there is sufficient

demand within the State to support its

own personnel preparation programs,

then interstate collaborative agreements

are not required.

19. Is training of general education

personnel required?

Yes. In its application, the State is

required to include a description of how

the State will prepare general as well as

special education personnel with the

content knowledge and collaborative

skills needed to meet the needs of

children with disabilities (section

653(c)(3)(D)(i)).

20. Is training of parents required?

Yes. In its application, the State is

required to include a description of how

the State will provide for the joint

training of parents and special

education, related services, and general

education personnel (section

653(c)(3)(D)(x)).

Role of Regional Resource Center/

Technical Assistance and

Dissemination Projects

21. What role can the Regional

Resource Center (RRC) play in the

development of the State improvement

grant application?

The RRC is encouraged to provide

general technical assistance to States in

the development of their State

improvement grant application. An RRC

is funded to provide technical

assistance and resources to all States

within its region and must do so on an

equitable basis across those States.

Helping States improve their special

education programs is the central

mission of the RRCs and many State

activities related to the State

Improvement Grant program will be

crucial in these improvement efforts. It

would be inappropriate, however, for an

RRC to help a State in drafting its grant

application or even to provide technical

assistance on strategies to improve the

competitiveness of a State’s application

because it could be viewed as providing

a competitive advantage to one potential

applicant over another. On the other

hand, helping States, for example, with

data analyses, needs assessments, and

facilitating meetings concerning

planning the States’ improvement

activities could be, except as noted

above, a part of the RRC’s technical

assistance activities to the States in their

region. RRCs can also assist States in

their implementation of a State

Improvement Grant once those grants

are awarded.

22. Can the State use SIG funds to

subcontract or contract with the

University or entity in which the RRC

is located to carry out SIG activities?

Yes. The State can use SIG funds to

subgrant or contract with the University

or entity in which the RRC is located to

carry out SIG activities. However, the

University or other entity would need to

ensure that personnel time and other

resources covered by the RRC’s

cooperative agreement with the

Department are not used to work on SIG

activities performed under the subgrant

or contract and that work done under

the other subcontract or contract is not

represented as being performed as part

of the cooperative agreement with the

Department of Education.

23. Can Technical Assistance and

Dissemination (TA&D) projects funded

by OSEP play a role in SIG activities?

Similarly to RRCs, TA&D projects

funded by OSEP must ensure that the

services they provide are fairly and

evenhandedly available to their

respective audience (under the terms of

their OSEP funding agreement/grant/

contract) in all States, that the proposed

SIG activity is permissible under the

terms of the particular Project’s funding

agreement/ grant/contract/ with OSEP

and that projects do not accept SIG

funds under contract or grant with an

SEA for activities they are currently

receiving Federal funds to provide. In

addition, TA&D projects, like the RRCs,

should not engage in activities that

could be seen as providing a

competitive advantage to any one State

over others in the SIG competition.

Relationship Between State

Improvement Grant and Other Federal

Statutes and Requirements

24. What is the link between the

Comprehensive System of Personnel

Development (CSPD) and the SIG? What

are the similarities and differences?

The requirements for a CSPD as

amended by IDEA Amendments of 1997

must be implemented by July 1, 1998

regardless of whether or not a State

receives a SIG. Under section 612(a)(14)

of IDEA, in order to be eligible for

funding under Part B, a State must have

in effect a comprehensive system of

personnel development that is designed

to ensure an adequate supply of

qualified special education, regular

education, related services, and early

intervention personnel and that meets

the requirements contained in the

personnel development sections of the

State Improvement Plan addressing

needs assessment and improvement

strategies. It is intended that the CSPD

meet the SIG personnel development

requirements so that it may serve as the

framework for the State’s personnel

development part of a SIG grant

application.

25. To what extent does the State

improvement grant proposal have to be

linked to the Elementary and Secondary

Education Act of 1965 (ESEA) and the

Rehabilitation Act of 1973?

To the ‘‘maximum extent possible’’

State improvement grant proposals must

be linked to State plans under ESEA and

the Rehabilitation Act of 1973. The

IDEA Amendments of 1997 emphasize

that children with disabilities have

access to the general curriculum and

general educational reforms. Although

the legislation does not mention

integration with any other State plans

under any other Federal statute, because

the State improvement grant proposal is

focused on systems change for students

with disabilities, integration with

relevant State plans or projects would

be beneficial (section 653(a)(2)(A)).

26. What is the relationship between

the performance goals and indicators a

State must have to be eligible for Part B

and the State improvement grant

proposal?

Under Part B (section 612(a)(16)), in

order to be eligible to receive financial

assistance under Part B, the State must

have in place by July 1, 1998

performance goals for children with

disabilities that must promote the

purposes of the IDEA and be consistent,

to the maximum extent appropriate,

with other goals and standards

developed for children established by

the State and performance indicators to

assess progress toward achieving those

goals. A State must have developed

those performance goals and indicators

in order to apply for a State

Improvement Grant because in

conducting the needs assessment

required as part of its application, the

State must identify those critical aspects

of early intervention, general education,

and special education programs that

must be improved to enable children

with disabilities to meet the

performance goals and indicators

established by the State for the

performance of children with

disabilities under section 612(a)(16). In

submitting the required SIG

performance reports to the Department

under section 653(f), the State must

describe the progress of the State in

meeting the performance goals

established under section 612(a)(16),

analyze the effectiveness of the State’s

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strategies in meeting those goals, and

identify any changes in the strategies

needed to improve its performance.

Monitoring and Corrective Action Plans

27. How is the State Improvement

Grant aligned with Federal compliance

reviews?

There are three areas in which the

State Improvement Grant aligns with

Federal compliance reviews. First, the

State improvement plan must include

an analysis of the major findings of the

Department’s most recent reviews of

State compliance, as they relate to

improving results for children with

disabilities (section 653(b)(2)(C). The

second is that the State improvement

plan must include a description of

strategies that will address systemic

problems identified in Federal

compliance reviews, including

shortages of qualified personnel (section

653(c)(3)(E)). The third area of

alignment with monitoring is that in

determining competitive awards we will

give priority to applications on the basis

of need, as indicated by information

from the findings of Federal compliance

reviews (section 653(d)(2)).

28. Can the State Improvement Grant

funds be used to address deficiencies

identified in Federal compliance

reviews?

Yes, if the activities to address the

deficiencies are consistent with the

purposes of the grant and described in

the State’s application. If, for example,

a Federal compliance review identified

that a personnel shortage impacted on

the provision of a free appropriate

public education to students with

disabilities, then it would be consistent

with the purposes of the grant to use

grant funds to address the personnel

shortage.

Applications, Length of Awards, and

Reapplication

29. Can the first grant be written as a

planning grant?

No. The purpose of the SIG program

is to assist State educational agencies,

and their partners referred to in section

652(b), in reforming and improving their

systems for providing educational, early

intervention, and transitional services,

including their systems for professional

development, technical assistance, and

dissemination of knowledge about best

practices, to improve results for

children with disabilities. In order to be

funded a State must include in its

application improvement strategies that

were developed to address State and

local needs identified in the State needs

assessment. The purpose of the needs

assessment is to provide the necessary

information to facilitate the

development of a State improvement

plan that identifies those critical aspects

of early intervention, general education,

and special education programs that

must be improved to enable children

with disabilities to meet the goals

established by the State under section

612(a)(16). In conjunction with the

needs assessment, the improvement

strategies (section 653(c)) subsumed in

the State improvement grant proposal

constitute the State’s plan for the use of

SIG funds.

30. What grant period can a State

request in its initial application?

A State may request a grant of from

one to five years. However, we may

award a grant that is shorter than the

State requests, but not less than one

year, if the State’s application does not

sufficiently justify the full requested

duration.

31. If a project is funded for less than

five years, can it be extended later?

No, with the exception of relatively

short ‘‘no-cost’’ extensions that are

sometimes given to allow the

completion of project activities. These

extensions do not award new funds or

approve new activities.

32. After a State completes one State

improvement grant, can it apply for

another? If so, will it compete against all

applicants or only against other States

that have received previous grants?

Yes, a State can apply for another SIG

after it completes one. It will be in

competition with all applicants, not just

those with previous grants. We will give

priority to applications on the basis of

need (section 653(d)(2)).

33. If a State applies unsuccessfully in

one year, will it be able to apply again?

Yes.

34. Will a project be approved and

funded all at once or a year at a time?

At the time of the initial grant award,

the project duration of one to five years

will be determined and budgets for all

years of the grant will be established.

However, funds can only be awarded

one-year at a time. States receiving

multi-year grants will submit annual

performance reports to demonstrate that

their grants are making ‘‘substantial

progress.’’ Funding for project years

after the first will be based, in part, on

these reports. This is not part of the

competitive process of awarding funds,

and it is expected that funding will be

continued each year for the duration of

the project, provided that substantial

progress is demonstrated and that

Congress continues to fund the program.

35. Does funding have to be the same

for all years of the project?

No, but it cannot exceed $2 million or

be less than $500,000.

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[FR Doc. 00–26701 Filed 10–17–00; 8:45 am]

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