[Federal Register Volume 61, Number 103 (Tuesday, May 28, 1996)]
[Notices]
[Pages 26730-26747]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-13291]




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Part IV





Department of Education





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Comprehensive Local Reform Assistance; Notice Inviting Applications for 
New Awards with Fiscal Year (FY) 1995 Funds; Notice

  Federal Register / Vol. 61, No. 103 / Tuesday, May 28, 1996 / 
Notices  

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DEPARTMENT OF EDUCATION

[CFDA No.: 84.317]


Comprehensive Local Reform Assistance; Notice Inviting 
Applications for New Awards With Fiscal Year (FY) 1995 Funds

    Note to Applicants: This notice is a complete application package. 
Together with the statute authorizing the program and the Education 
Department General Administrative Regulations (EDGAR), the notice 
contains all of the information, application requirements, and 
instructions needed to apply for a grant under these competitions.
    Purpose of Program: To assist local educational agencies (LEAs) in 
the development and implementation of comprehensive local improvement 
plans directed at enabling all children to reach challenging academic 
standards.
    Eligible Applicants: LEAs in Montana and Oklahoma are eligible to 
apply for grants. The Secretary is especially interested in receiving 
applications from consortia of LEAs in these States.

    Note: By statute, the Secretary may award direct grants to LEAs 
in a State that was not participating in Goals 2000 as of October 
20, 1995, if the State educational agency (SEA) approves LEA 
participation in the program. Five States--Alabama, Montana, New 
Hampshire, Oklahoma, and Virginia--were not participating in Goals 
2000 as of October 20, 1995. By the date this application notice was 
submitted to the Federal Register, the Montana and Oklahoma SEAs had 
approved LEA participation in this direct grant program. If timely 
approval is received from one or more of the other SEAs, the 
Secretary will publish in the Federal Register a notice inviting 
applications for FY 1995 funds from LEAs in the other State(s).

    Deadline for Transmittal of Applications: July 15, 1996.
    Deadline for Intergovernmental Review: August 1, 1996.
    Available Funds: The amount of funds available to LEAs in Montana 
is $1,560,150. The amount of funds available to LEAs in Oklahoma is 
$4,396,613. These amounts are based on each State's FY 1995 Goals 2000 
allotment.
    In accordance with section 402 of the Department of Education 
Organization Act, 20 USC 3462, the Secretary may use up to 1% of the 
funds from each State's allotment to pay the expenses and fees of non-
Federal experts necessary to review the applications submitted in 
response to this notice.
    In the event that there are an insufficient number of funded 
applications from LEAs in either State to use all of the State's 
allotment, the Secretary may reallot the remaining funds consistent 
with the Act.
    The Secretary does not intend to conduct competitions for FY 1996 
funds. Instead, pursuant to 34 CFR 75.253, the Secretary intends to 
make continuation awards from each State's FY 1996 allotment to 
successful applicants under this notice. The Secretary expects to 
conduct new competitions when FY 1997 funds become available.
    Estimated Range of Awards: $20,000-$100,000 annually. (The 
Secretary estimates that both the initial FY 1995 awards and the 
continuation awards from the FY 1996 allotments will fall within this 
range.)
    Estimated Average Size of Awards: $40,000 annually. (The Secretary 
estimates that both the initial FY 1995 awards and the continuation 
awards from the FY 1996 allotments will average $40,000.)
    Estimated Numbers of Awards: The estimated number of awards to LEAs 
in Montana is 39. The estimated number of awards to LEAs in Oklahoma is 
110.

    (Note: These estimates are projections for the guidance of 
potential applicants. The Department of Education and applicants are 
not bound by any estimates in this notice.)

    Project Period: Up to 24 months.
    Applicable Regulations: The Education Department General 
Administrative Regulations (EDGAR) as follows:
    (1) 34 CFR Part 75 (Direct Grant Programs).
    (2) 34 CFR Part 77 (Definitions that Apply to Department 
Regulations).
    (3) 34 CFR Part 79 (Intergovernmental Review of Department of 
Education Programs and Activities).
    (4) 34 CFR Part 80 (Uniform Administrative Requirements for Grants 
and Cooperative Agreements to State and Local Governments).
    (5) 34 CFR Part 81 (General Education Provisions Act--Enforcement).
    (6) 34 CFR Part 82 (New Restrictions on Lobbying).
    (7) 34 CFR Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free 
Workplace (Grants)).

SUPPLEMENTARY INFORMATION:

(a) Background

    Section 304(e) of the Goals 2000: Educate America Act (Pub. L. 103-
227) (20 USC 5801 et seq.) (the Act), which was added to the Act as 
part of the Omnibus Consolidated Rescissions and Appropriations Act of 
1996, authorizes the Secretary to award direct grants to LEAs in States 
that were not participating in Goals 2000 as of October 20, 1995, if 
the applicable SEA approves the LEAs' participation in the program. 
Alabama, Montana, New Hampshire, Oklahoma and Virginia were not 
participating in Goals 2000 as of that date. By the date this 
application notice was submitted to the Federal Register, the Montana 
and Oklahoma SEAs had approved LEA participation in this direct grant 
program.
    Under Section 304(e), the Secretary may award grants for purposes 
consistent with the provisions of the Act. The Goals 2000 Act is 
designed to help States and communities develop and implement their own 
education reforms focused on challenging academic standards in order to 
increase student academic achievement. With broad-based, grassroots 
involvement, LEAs participating in Goals 2000 develop comprehensive 
strategies for helping all students reach challenging academic 
standards, such as through upgrading assessments and curriculum to 
reflect high standards, improving the quality of teaching, expanding 
the use of technology, strengthening accountability for teaching and 
learning, and building strong partnerships among schools and families, 
employers, and others in the community.
    The Secretary has determined that grants awarded under Section 
304(e) will be used to support the development and implementation of 
comprehensive local improvement plans designed to help all children 
reach challenging academic standards. In particular, the Secretary 
encourages LEAs to address in their applications how their reform 
strategies might include enhanced preservice teacher education and 
professional development activities of educators that are directly 
connected to challenging standards.
    Where appropriate, LEAs should use funds awarded under this notice 
to build upon comprehensive reform strategies that have already been 
initiated. An LEA that has not yet developed or completed a 
comprehensive local improvement plan consistent with the statutory 
provisions referenced in this notice may seek FY 1995 funds to do so. 
An LEA that has already developed such a plan may seek funds to 
implement the plan.
    LEAs are not required or expected to submit their local improvement 
plans to the U.S. Department of Education for review and approval, 
whether or not those plans are developed or implemented with funds 
awarded under this notice. Local plans that have been or are being 
developed pursuant to State requirements, and that also receive funding 
under Goals 2000, would only remain subject to any State review 
processes that may exist.

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    Pursuant to 34 CFR 75.253, the Secretary intends to make available 
to successful applicants continuation awards from their States' FY 1996 
allotments.
    Application Requirements: The authorizing statute--section 304(e) 
of the Act--permits the Secretary to fund LEA applications that are 
consistent with the provisions of Goals 2000. The Secretary has 
determined that grants under this competition must be used for the 
development or implementation of comprehensive local improvement plans 
to help all students reach challenging academic standards. In 
particular, a local improvement plan that is developed or implemented 
with funds awarded under section 304(e) must be consistent with the 
requirements in sections 309(a)(3)(B) through (E) of the Act. Adapted 
to this direct grant program, these requirements specify that local 
plans--
    (1) Describe a process of broad-based community participation in 
the development, implementation, and evaluation of the local 
improvement plan;
    (2) Address districtwide education improvement, directed at 
enabling all students to meet the State content standards and State 
student performance standards (or local standards, if there are no 
State standards), including specific goals and benchmarks; reflect the 
priority of the State improvement plan (if there is a comprehensive 
State improvement plan) and include a strategy for--
    (a) Improving teaching and learning, with strategies such as 
enhanced professional development and preservice education activities 
aligned to the standards;
    (b) Improving governance, management, and accountability for 
performance; and
    (c) Generating, maintaining, and strengthening parental and 
community involvement.
    (3) Promote the flexibility of local schools in developing plans 
that address the particular needs of their school and community and are 
consistent with the local improvement plan; and
    (4) Describe how the LEA will encourage and assist schools to 
develop and implement comprehensive school improvement plans that focus 
on helping all students reach State (or local) content standards and 
student performance standards.
    Selection Criteria: The Secretary will use the following selection 
criteria in 34 CFR 75.210 to evaluate applications under this 
competition. The maximum score for all of the criteria is 100 points. 
The maximum score for each criterion is indicated in parenthesis with 
the criterion.
    (1) Meeting the purposes of the authorizing statute. (30 points) 
The Secretary reviews each application to determine how well the 
project will meet the purposes of the authorizing statute, including 
consideration of:
    (i) The objectives of the project; and
    (ii) How the objectives of the project further the purposes of the 
authorizing statute.
    (2) Extent of need for the project. (24 points) The Secretary 
reviews each application to determine the extent to which the project 
meets specific needs recognized in the statute that authorizes the 
program, including consideration of:
    (i) The needs addressed by the project;
    (ii) How the applicant identified those needs;
    (iii) How those needs will be met by the project; and
    (iv) The benefits to be gained by meeting those needs.
    (3) Plan of operation. (18 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including:
    (i) The quality of the design of the project;
    (ii) The extent to which the plan of management is effective and 
ensures proper and efficient administration of the project;
    (iii) How well the objectives of the project relate to the purpose 
of the program;
    (iv) The quality of the applicant's plan to use its resources and 
personnel to achieve each objective; and
    (v) How the applicant will ensure that project participants who are 
otherwise eligible to participate are selected without regard to race, 
color, national origin, gender, age, or disability.
    (4) Quality of key personnel. (7 points)
    (i) The Secretary reviews each application to determine the quality 
of key personnel the applicant plans to use on the project, including:
    (A) The qualifications of the project director (if one is to be 
used);
    (B) The qualifications of each of the other key personnel to be 
used in the project;
    (C) The time that each person referred to in paragraphs (4)(i)(A) 
and (B) will commit to the project; and
    (D) How the applicant, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disability.
    (ii) To determine personnel qualifications under paragraphs 
(4)(i)(A) and (B), the Secretary considers:
    (A) Experience and training in fields related to the objectives of 
the project; and
    (B) Any other qualifications that pertain to the quality of the 
project.
    (5) Budget and effectiveness. (5 points) The Secretary reviews each 
application to determine the extent to which:
    (i) The budget is adequate to support the project; and
    (ii) Costs are reasonable in relation to the objectives of the 
project.
    (6) Evaluation plan. (13 points) The Secretary reviews each 
application to determine the quality of the evaluation plan for the 
project, including the extent to which the applicant's methods of 
evaluation:
    (i) Are appropriate to the project; and
    (ii) To the extent possible, are objective and produce data that 
are quantifiable.
    (7) Adequacy of resources. (3 points) The Secretary reviews each 
application to determine the adequacy of the resources that the 
applicant plans to devote to the project, including facilities, 
equipment, and supplies.
    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 processes 
and on State, areawide, regional, and local coordination for review of 
proposed Federal financial assistance.
    Montana and Oklahoma have not adopted State intergovernmental 
review processes. Therefore, State, areawide, regional, and local 
entities may submit comments directly to the Department.
    Any comments submitted pursuant to the executive order must be 
mailed or hand-delivered by the date indicated in this notice to the 
following address: The Secretary, E.O. 12372--CFDA# 84.317, U.S. 
Department of Education, Room 6300, 600 Independence Avenue, S.W., 
Washington, D.C. 20202.
    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 
shall--

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    (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 # 84.317), Washington, D.C. 20202-
4725, or
    (2) Hand deliver the original and two copies of the application by 
4:30 p.m. (Washington, D.C. time) on the deadline date to: U.S. 
Department of Education, Application Control Center, Attention: (CFDA# 
84.317), Room #3633, Regional Office Building #3, 7th and D Streets, 
S.W., 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) 
708-9494.
    (3) The applicant must indicate on the envelope and in Item 10 
of the Application for Federal Assistance (Standard Form 424) the 
CFDA number of the competition under which the application is being 
submitted (CFDA# 84.317).

    Application Instructions and Forms: The appendix to this 
application is divided into three parts, plus a statement regarding 
estimated public reporting burden and various assurances and 
certifications. 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--Non-Construction Programs (Standard 
Form 524A) and instructions.
    Part III: Application Narrative.
    Additional Materials: Estimated Public Reporting Burden; 
Assurances--Non-Construction Programs (Standard Form 424B); 
Certifications regarding Lobbying; Debarment, Suspension, and Other 
Responsibility Matters; and Drug-Free Workplace Requirements (ED 80-
0013).
    Certification regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion: Lower Tier Covered Transactions (ED 80-0014, 9/90) 
and instructions. (NOTE: ED 80-0014 is intended for the use of grantees 
and should not be transmitted to the Department.)
    Disclosure of Lobbying Activities (Standard Form LLL) (if 
applicable) and instructions. This document has been marked to reflect 
statutory changes. See the notice published by the Office of Management 
and Budget at 61 FR 1413 (January 19, 1996).
Notice to All Applicants
    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. No grant may be awarded unless a 
completed application form has been received.

FOR FURTHER INFORMATION CONTACT: Thomas Fagan, U.S. Department of 
Education, 600 Independence Avenue, S.W., Portals Building, Room 4000, 
Washington, D.C. 20202-2110, Telephone: (202) 401-0039, FAX: (202) 205-
0303. Individuals who use a telecommunications device for the deaf 
(TDD) may call the Federal Information Relay Service (FIRS) at 1-800-
877-8339 between 8 a.m. and 8 p.m., Eastern time.
    Information about the Department's funding opportunities, including 
copies of application notices for discretionary grant competitions, can 
be viewed on the Department's electronic bulletin board (ED Board), 
telephone (202) 260-9950; or on the Internet Gopher Server at 
GOPHER.ED.GOV (under Announcements, Bulletins, and Press Releases). 
However, the official application notice for a discretionary grant 
competition is the notice published in the Federal Register.

    Program Authority: Section 304(e) of the Goals 2000: Educate 
America Act, 20 U.S.C. 5884(b).

    Dated: May 21, 1996.
Gerald N. Tirozzi,
Assistant Secretary Elementary and Secondary Education.

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Appendix
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Instructions for Part III Application Narrative

    Before preparing the Application Narrative an applicant should read 
the information in this notice, including the selection criteria the 
Secretary uses to evaluate applications.
    The narrative should encompass each function or activity for which 
funds are being requested and should--
    1. Begin with an Abstract; that is, a summary of your proposal;
    2. Describe the proposal in light of each of the selection criteria 
in the order in which the criteria are listed in this application; and
    3. Include any other pertinent information that might assist the 
Secretary in reviewing the application.
    The Secretary strongly requests the applicant to limit the 
Application Narrative to no more than 20 double-spaced, typed pages (on 
one side only), although the Secretary will consider applications of 
greater length. The Department has found that successful applications 
for similar programs generally meet this page limit.

 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 1810-0594 (Expiration date: August 31, 1996). 
The time required to complete this information collection is estimated 
to average 50 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(s) or suggestions 
for improving this form, please write to: U.S. Department of Education, 
Washington, D.C. 20202-4651. If you have comments or concerns regarding 
the status of your individual submission of this form, write directly 
to: Thomas Fagan, U.S. Department of Education, 600 Independence 
Avenue, S.W., Portals Building, Room 4000, Washington, D.C. 20202-2110.

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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.
    (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 tends 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 1801-0004 (Exp. 8/31/98). 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.

[FR Doc. 96-13291 Filed 5-24-96; 8:45 am]
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