[Federal Register Volume 65, Number 96 (Wednesday, May 17, 2000)]
[Notices]
[Pages 31386-31414]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-12368]



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Part III





Department of Education





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Smaller Learning Communities Grant Program; Notice Inviting 
Applications for New Awards for Fiscal Year (FY) 2000 Funds

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

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DEPARTMENT OF EDUCATION

[CFDA No. 84.215L]


Smaller Learning Communities Grant Program; Notice Inviting 
Applications for New Awards for Fiscal Year (FY) 2000 Funds

    Note to Applicants: This notice is a complete application package. 
Together with the statute authorizing these grants and the Education 
Department General Administrative Regulations (EDGAR), this notice 
contains all of the information, application forms, and instructions 
needed to apply for a Smaller Learning Communities planning or 
implementation grant under this competition. These grants are 
authorized by title X, part A, section 10105 of the Elementary and 
Secondary Education Act of 1965 (ESEA) (20 U.S.C. 8005).
    Purpose of Program: The Smaller Learning Communities grant program 
will support the development of small, safe, and successful learning 
environments in large high schools that ensure all students graduate 
with the knowledge and skills necessary to make successful transitions 
to college and careers, and to be good citizens. ``Large high schools'' 
are schools that include grades 11 and 12 and enroll at least 1,000 
students in grades 9 and above.
    Eligible Applicants: Local educational agencies (LEAs) applying on 
behalf of large high schools or large high schools funded by the Bureau 
of Indian Affairs (BIA schools), are eligible to apply for a planning 
or implementation grant. Applicants may work independently or in 
partnership with other public agencies or private non-profit 
organizations or both. A group of LEAs may also apply following 
procedures specified in 34 CFR 75.127-129 of EDGAR. Applicants may 
establish their eligibility using enrollment data for the current 
school year or the most recently completed school year.
    Deadline for Transmittal of Applications: July 17, 2000.
    Deadline for Intergovernmental Review: September 14, 2000.
    Estimated Available Funds: $45,000,000.

    Note: The Secretary intends to reserve $2,250,000 from these 
funds for evaluation, technical assistance, and school networking 
activities.

    Types and Ranges of Awards: The Secretary will award both planning 
grants and implementation grants under this notice. LEAs may apply on 
behalf of one or more eligible schools. LEAs may also propose a 
district-wide strategy directed at eligible high schools. For a one-
year planning grant, an LEA may request, on behalf of a single school, 
$25,000 to $50,000 per project. LEAs applying on behalf of a group of 
eligible schools or that intend to develop a district-wide strategy may 
request funds up to $250,000 per planning grant. For a three-year 
implementation grant, an LEA may request, on behalf of a single school, 
$250,000 to $500,000 per project. LEAs applying on behalf of a group of 
eligible schools or that intend to implement a district-wide strategy 
may request funds up to $2,500,000 per implementation grant. LEAs may 
submit multiple applications targeting separate schools within each 
funding category. However, an LEA may not apply on behalf of an 
eligible high school in more than one application. The total amount an 
LEA may receive through any combination of awards made under this 
program may not exceed $4 million.

    Note: The size of awards will be based on a number of factors. 
These factors include the scope, quality, and comprehensiveness of 
the proposed program and the size of the population to be served.

    Estimated Number of Awards: The Secretary is not estimating the 
number of awards under each category of grants available through this 
notice.
    Project Period: Planning grants will fund activities up to 12 
months. Implementation grants will fund activities up to 36 months.

    Note: Applicants applying for implementation grants are required 
to provide detailed budget information for the total grant period 
requested. To provide the applicant maximum flexibility regarding 
start-up and maintenance costs, the Secretary anticipates awarding 
the entire grant amount for both planning and implementation at the 
time of the initial award.

    Page Limits: Applicants are strongly encouraged to limit the 
application narrative to no more than 20 to 25 double-spaced, standard-
type pages.
    The following standards are preferred: (1) A ``page'' is 8.5"  x  
11" (one side only) with one-inch margins (top, bottom, and sides). (2) 
All text in the application narrative, including titles, headings, 
footnotes, quotations, references, and captions, as well as all text in 
charts, tables, figures, and graphs, must be double-spaced (no more 
than three lines per vertical inch). If using a proportional computer 
font, applicants are requested to use a 12-point font.
    The page limit does not apply to the cover sheet, the one-page 
abstract, budget section, appendices, and forms and assurances. 
However, all of the application narrative must be included in the 
narrative section.
    Applicable Regulations: The Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 80, 81, 
82, 85, 86, 97, 98 and 99.

SUPPLEMENTARY INFORMATION: The recent violent incidents in a number of 
schools across the country deeply disturbed Americans. The incidents 
reinforced what many educational practitioners and researchers were 
already highlighting as a problem--the impersonal nature of large high 
schools that leave too many young people feeling apathetic, isolated, 
and alienated from their peers, schools, and communities.
    Research on school size has created a widespread movement towards 
smaller schools and the creation of smaller learning communities within 
large high schools. In 1996, the National Association of Secondary 
School Principals, in conjunction with the Carnegie Foundation for the 
Advancement of Teaching, issued a report entitled, ``Breaking Ranks: 
Changing an American Institution.'' The report recommends that high 
schools break into units of no more than 600 students: (1) To ensure 
that teachers and students get to know and care about each other; and 
(2) to provide teachers with opportunities to use a variety of 
instructional strategies that accommodate and engage individual 
learners.
    These recommendations are supported further by a growing body of 
research on the association between smaller learning environments and 
positive student outcomes. In general, smaller learning communities 
have been found to have positive effects on students' relationships 
with peers, teachers, and staff, and their extracurricular 
participation. Students participating in smaller learning communities 
also have been found to have better attendance, higher course passage 
rates, and fewer suspensions compared to demographically similar 
students in more traditional high school settings (Oxley, 1990; Fine 
1994). Further studies suggest that, for example, the benefits of 
smaller schools may include higher rates of school satisfaction, school 
completion, or postsecondary enrollment (Raywid 1995; Klonsky 1995; 
Funk and Bailey 1999; Kemple and Snipes 2000). New research suggests 
that smaller school size may even help compensate for the adverse 
effects of poverty on student achievement in elementary, middle, and 
secondary schools (Rural School and Community Trust: http://ruralchallengepolicy.org.
    National statistics show that approximately 70 percent of American

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high school students today attend schools that enroll more than 1,000 
students. Nationwide, 4,500 high schools enroll 1,000 or more students. 
Over time, high schools have become increasingly larger. While some 
schools have realized the benefits of smaller learning communities and 
have restructured and reorganized, there are thousands of schools that 
have not yet begun the process of creating smaller learning 
communities.
    Researchers have suggested that the positive outcomes associated 
with smaller schools stem from the schools' ability to create close, 
personal environments in which teachers can work collaboratively, with 
each other and with a small set of students, to challenge students and 
support learning. A variety of strategies, such as block scheduling and 
teacher advisories, are thought to provide important supports for 
smaller learning environments. Some data suggest that these approaches 
offer substantial advantages to both teachers and students (Ziegler 
1993; Caroll 1994).

Description of Program

    The Smaller Learning Communities grant program is authorized under 
section 10105 of part A of title X of the ESEA (see Appendix A). Title 
X authorizes the Secretary to support nationally significant programs 
and projects to: (1) Improve the quality of education; (2) assist all 
students in meeting challenging State content standards; and (3) 
contribute in achieving the National Education Goals.
    The goal of the Smaller Learning Communities grant program is to 
encourage large high schools to undertake research-based strategies in 
developing, implementing, and expanding smaller learning communities. 
Strategies for recasting large schools as a set of small learning 
communities are described in the Conference Report for the Consolidated 
Appropriations Act, 2000 [Pub. L. 106-113, H.R. Conference Report No. 
106-479, at 1240(1999)]. These strategies include but are not limited 
to--(1) Establishing small learning clusters, ``houses,'' career 
academies, magnet schools, or other approaches to creating schools 
within schools;
    (2) Block scheduling;
    (3) Personal adult advocates, teacher-advisory systems, and other 
mentoring strategies;
    (4) Reducing teaching loads; and
    (5) Other innovations designed to create a more personalized high 
school experience for students and improve student achievement.
    The definitions and terms used above are expanded in Appendix B.

Application Content

    Title X [part A, section 10105 (a)] of ESEA specifies particular 
content that all Smaller Learning Communities grant applications must 
include (this is called ``required content''). Each of these required 
items has been incorporated into the selection criteria that are 
published in this notice. Required content is repeated in Appendix C.
    Title X [part A, section 10105 (b)] also provides examples of 
activities that may be funded by a grant, and thus may be included in a 
proposal. These examples are listed in Appendix D as ``allowable 
activities.''
    The Smaller Learning Communities grant program will award two types 
of grants--planning grants and implementation grants.

Planning Grants

    The purpose is to provide grantees the opportunity to develop a 
plan for recasting a large high school (or high schools) as a set of 
small learning communities. Thus, the planning and development 
activities described in the applicant's planning grant proposal shall 
result in the production and submission of a viable implementation 
plan, including the elements described in Appendix C of this notice. 
Schools with a viable implementation plan will be able to take the next 
step, which is to implement the plan and create the smaller learning 
communities. The Department may hold future competitions for 
implementation grants limited to LEAs that have successfully developed 
implementation plans through planning grants.
    Planning grants will also describe schools' overall need for the 
project.

Implementation Grants

    To apply for implementation funds, applicants must be prepared 
either to implement a new smaller learning community program within 
each targeted high school, or to expand an existing smaller learning 
community program. Thus, applications for an implementation grant must 
describe a viable implementation plan. Implementation grants will also 
describe schools' overall need for the project.

Reporting Requirements and Expected Outcomes

    Both planning and implementation grant applicants must describe 
their:
    (a) Project goals,
    (b) Measurable objectives,
    (c) Measures of student outcomes and performance, and
    (d) Indicators to gauge progress toward meeting project goals and 
objectives. These elements form the basis for a student database and 
reporting system.
    The Secretary requires grantees with implementation grants to have 
a data collection system with the capacity to produce annual 
performance reports. These reports will record the grantee's yearly 
progress toward expected programmatic outcomes. The Secretary will use 
these reports to measure the success of the grantee's project, as well 
as the progress of the Department of Education's Smaller Learning 
Communities grant program nationwide. Outcome and performance measures 
that will be required include:
    (1) Number of students scoring at each proficiency level for each 
subject measured by the State (or district) assessment.
    (2) Number of students taking the SAT and ACT, and their average 
scores.
    (3) Number of students who take courses for which they receive both 
high school and college credit.
    (4) Number of students completing high school.
    (5) Number of students involved in extracurricular activities.
    (6) Number of incidents of student violence.
    (7) Number of expulsions, suspensions or other disciplinary 
actions.
    (8) Number of reported incidents of student alcohol or drug use.
    (9) Overall reported average daily attendance for October.

    Note: The actual performance report form is undergoing separate 
OMB review.

    Implementation grant applicants will be required to submit, with 
their applications, initial baseline data for each measure of student 
outcomes and performance named above. Baseline data will describe the 
same school year upon which grant eligibility has been established. 
These data may be reported in either the application narrative or in an 
appendix. Upon notification of award, grantees with implementation 
grants will be required to submit student outcome and performance data 
for three years preceding the baseline year.

Outreach Sessions

    To share information about the Smaller Learning Communities grant 
program, the Department held a series of regional-based outreach 
sessions. Information disseminated at these sessions is available on 
the website listed below. The Department will also

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sponsor a satellite teleconference and webcast on June 8, 2000 from 
12:00 to 1:30 p.m. EST to help applicants prepare for this grant 
competition. To register for this event, applicants are asked to visit 
our web page, at the U.S. Department of Education site. It follows: 
http://www.ed.gov/offices/OESE/SLCP.

Competition Requirements

    Waiver of Proposed Rulemaking: Under the Administrative Procedure 
Act (5 U.S.C. 553), the Department generally offers interested parties 
the opportunity to comment on proposed rules. However, section 
437(d)(1) of the General Education Provisions Act (GEPA) exempts from 
this requirement rules that apply to the first competition under a new 
or substantially revised program. The Smaller Learning Communities 
grant program was funded for the first time under the fiscal year 2000 
appropriation for Labor, Health and Human Services and Education 
(Public Law 106-113). As this competition is the first competition 
under the program, it qualifies as a new competitive grants program. 
The Secretary, in accordance with section 437(d)(1) of GEPA, to ensure 
timely awards, has decided to forgo public comments with respect to the 
requirements in this notice.
    Priorities: The Secretary is particularly interested in receiving 
applications that meet the following invitational priorities. However, 
an application that meets the invitational priorities will receive no 
competitive or absolute preference over other applications (34 CFR 
75.105(c)(1)).
    (1) The Secretary invites applications that plan to develop, 
implement, or expand a smaller learning community in high schools 
currently enrolling 2,500 or more students in grades 9 and above. 
Applicants may provide data reflecting enrollment during the current 
school year or the most recently completed school year.
    (2) The Secretary invites applications that plan to develop, 
implement, or expand a smaller learning community in high schools 
residing within designated Empowerment Zones or Enterprise Communities. 
Applicants must provide proof of such designation within their 
application.

Selection Criteria

    Under the Smaller Learning Communities grant program competition 
announced in this notice, a technical review panel will make a careful 
evaluation of applications. Each panelist will evaluate the 
applications against the criteria listed below. The panel results are 
advisory in nature and not binding on the Secretary. The Secretary will 
use the following selection criteria and associated point values in 
evaluating applications for planning and implementation grants:
    (a) The maximum score for all of these criteria is 100 points.
    (b) The maximum score for each criterion is indicated in 
parentheses. Within each criterion, the Secretary evaluates each factor 
equally.

Planning Grants

    (a) Need for the project. (25 points) In determining the need for 
the proposed project, the Secretary considers the following factors:
    (1) The description and documentation of the need for the services 
to be provided and the need for the activities to be carried out by the 
proposed project, in targeted schools, consistent with the social and 
educational problems and issues generally associated with the 
impersonal nature of large high schools. Need may consider factors such 
as: enrollment; attendance and drop-out rates, incidents of violence, 
drug and alcohol use and disciplinary actions; percentage of students 
who pass graduation exams or local assessments, enroll in advanced 
level courses, register for college entrance exams and matriculate into 
postsecondary institutions or training; percentage of students that 
have limited English proficiency, that are considered migrant youth, 
that come from low-income families or are otherwise considered 
disadvantaged; the applicant's fiscal capacity to fund programs 
described here without Federal assistance; or other local need factors 
as described by the applicant.
    (2) The extent to which specific gaps or weaknesses (including the 
nature and magnitude of those gaps and weaknesses) in services, 
infrastructure, or opportunities have been identified and will be 
addressed by the proposed project.
    (b) Foundation for planning. (15 points) In determining the merit 
of the proposed process for developing a viable implementation plan, 
the Secretary considers the extent to which the following activities:
    (1) Involve and document the support of stakeholders, both within 
the school community (e.g., administrators, teachers, other staff, 
students, and parents) and within the greater community (e.g., 
representatives of institutions of higher education, employers, 
workforce investment boards, youth councils, and community-based 
organizations).
    (2) Collect and use data that describe school needs.
    (3) Use research-based findings in the proposed restructuring of 
the learning environment.
    (c) Feasibility and soundness of the planning process. (50 points) 
In determining the feasibility and soundness of the planning process as 
a means toward producing a viable implementation plan, the Secretary 
considers the extent to which the planned activities:
    (1) Are based on a commitment to meet the needs of all students and 
ensure the successful completion of their education or career goals.
    (2) Will establish smaller learning communities having clear goals 
and objectives connected to a mission statement and to student needs.
    (3) Are likely to prepare the applicant to implement smaller 
learning communities.
    (4) Follow a timeline appropriate to the goals and outcomes to be 
achieved.
    (5) Involve key personnel who are qualified to undertake project 
activities.
    (d) Commitment of resources to the planning effort. (10 points) In 
determining the commitment of resources to the planning effort the 
Secretary will consider the extent to which:
    (1) The requested budget adequately supports the proposed 
activities.
    (2) State, local, and other Federal funds will be used to support 
the development of the plan.
    (3) The administrative and managerial relationship between the LEA 
and the smaller learning community demonstrates a commitment to the 
concept of a smaller learning community and the planning process.

Implementation Grants

    (a) Need for the project. (25 points) In determining the need for 
the proposed project, the Secretary considers the following factors:
    (1) The description and documentation of the need for the services 
to be provided and the need for the activities to be carried out by the 
proposed project, in targeted schools, consistent with the social and 
educational problems and issues generally associated with the 
impersonal nature of large high schools. Need may consider factors such 
as: enrollment; attendance and drop-out rates, incidents of violence, 
drug and alcohol use and disciplinary actions; percentage of students 
who pass graduation exams or local assessments, enroll in advanced 
level courses, register for college entrance exams and matriculate into 
postsecondary

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institutions or training; percentage of students that have limited 
English proficiency, that are considered migrant youth, that come from 
low-income families or are otherwise considered disadvantaged; the 
applicant's fiscal capacity to fund programs described here without 
Federal assistance; or other local need factors as described by the 
applicant.
    (2) The extent to which specific gaps or weaknesses (including the 
nature and magnitude of those gaps or weaknesses) in services, 
infrastructure, or opportunities have been identified and will be 
addressed by the proposed project.
    (b) Foundation for implementation. (10 points) In determining the 
quality of the implementation plan, the Secretary considers the extent 
to which the implementation process:
    (1) Substantively involves and documents the support of 
stakeholders both within the school community (e.g., administrators, 
teachers, other staff, students, and parents) and within the greater 
community (e.g., such as representatives of institutions of higher 
education, employers, workforce investment boards, youth councils, and 
community-based organizations).
    (2) Uses research-based findings and outside technical assistance 
in the proposed restructuring.
    (c) Feasibility and soundness of the plan (45 points) In 
determining the quality of the proposed project, the Secretary 
considers the extent to which:
    (1) The goals and objectives of the smaller learning communities 
correspond to identified needs, to a mission statement, and are written 
in terms of student outcomes, including achievement.
    (2) The proposed smaller learning communities will enable all 
students to reach challenging State content standards and performance 
standards, ensuring the successful completion of high school and 
preparation for college or a career.
    (3) The curriculum and instructional practices within each smaller 
learning community are aligned to its goals and to its theme or 
emphases, where they exist.
    (4) Professional development activities offered to teachers, non-
instructional school staff, and others are aligned with smaller 
learning community goals.
    (5) The applicant provides a rationale for--
     Identifying grade levels and ages of students to be served 
by the smaller learning community; and
     The methods and timetable for placing students in the 
smaller learning community.


    Note: Students are not to be placed according to ability, 
performance, or any other measure of merit.


    (6) The adequacy of the management plan to achieve the objectives 
of the proposed project on time and within budget, including--
     The past experience, training, and clearly defined 
responsibilities of personnel who have key roles in carrying out the 
project; and
     The timelines and milestones for accomplishing project 
tasks.
    (d) Quality of the project evaluation. (10 points) In determining 
the quality of the evaluation, the Secretary considers whether the 
applicant has designed an effective method for:
    (1) Collecting student performance data for--
     Required annual performance reports;
     Baseline data (refer to ``Reporting Requirements and 
Expected Outcomes'') and data for three years preceding the baseline 
(the latter due upon award); and
     Monitoring and understanding changes in student outcomes 
for continuous improvement.
    (2) Describing, on an annual basis, the smaller learning 
communities and related program changes undertaken to make the smaller 
learning communities safe and successful. This information will be 
reported in the Annual Performance Report.
    (e) Adequacy of resources. (10 points) In determining the adequacy 
of resources for the proposed project, the Secretary considers the 
extent to which:
    (1) The State, local, and other Federal funds will be used to 
support the implementation of the plan.
    (2) The applicant will limit equipment and other purchases in order 
to maximize the amounts spent on delivery of services to students.
    (3) The applicant demonstrates a commitment to sustaining the 
project beyond the period covered by the Federal grant.

Intergovernmental Review of Federal Programs

    This program is subject to the requirements of Executive Order 
12372 (Intergovernmental Review of Federal Programs) and the 
regulations in 34 CFR part 79.
    The objective of the Executive order is to foster an 
intergovernmental partnership and to strengthen federalism by relying 
on State and local processes for State and local government 
coordination and review of proposed Federal financial assistance.
    Applicants must contact the appropriate State Single Point of 
Contact to find out about, and to comply with, the State's process 
under Executive Order 12372. Applicants proposing to perform activities 
in more than one State should immediately contact the Single Point of 
Contact for each of those States and follow the procedures established 
in each State under the Executive order.
    If you want to know the name and address of any State Single Point 
of Contact (SPOC), see the list published in the Federal Register on 
January 21, 2000 (65 FR 3552); or you may view the latest SPOC list on 
the OMB Web site at the following address: http://www.whitehouse.gov/omb/grants.
    In States that have not established a process or chosen a program 
for review, State, area-wide, regional, and local entities may submit 
comments directly to the Department.
    Any State Process Recommendation and other comments submitted by a 
State Single Point of Contact and any comments from State, area-wide, 
regional, and local entities must be mailed or hand-delivered by the 
date indicated in this notice to the following address: The Secretary, 
E.O. 12372-CFDA #84.215L, U.S. Department of Education, Room 7E200, 400 
Maryland Avenue, SW., Washington, DC 20202-0125.
    We will determine proof of mailing on the same basis as 
applications (see 34 CFR 75.102). Recommendations or comments may be 
hand-delivered until 4:30 p.m. (Washington, D.C. time) on the date 
indicated in this notice.
    Please Note That the Above Address is not the Same Address as the 
One to Which the Applicant Submits its Completed Application. Do Not 
Send Applications to the Above Address.

Instructions for Transmittal of Applications

    (a) If you want to apply for a grant, you must--
    (1) Mail the original and two copies of the application on or 
before the deadline date to: U.S. Department of Education, Application 
Control Center, Attention: (CFDA #84.215L), Room 3633, Regional Office 
Building #3, 7th and D Streets, SW, Washington, DC 20202-4725 or
    (2) Hand deliver the original and two copies of the application by 
4:30 p.m. (Washington, D.C. time) on or before the deadline date to: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA #84.215L), Room 3633, Regional Office Building #3, 7th

[[Page 31390]]

and D Streets, SW, (D Street, southwest entrance), Washington, D.C.
    (b) An applicant must show one of the following as proof of 
mailing:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (4) Any other proof of mailing acceptable to the Secretary.
    (c) If an application is mailed through the U.S. Postal Service, 
the Secretary does not accept either of the following as proof of 
mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.

    Note: (1) The U.S. Postal Service does not uniformly provide a 
dated postmark. Before relying on this method, an applicant should 
check with its local post office.

    (d) The Application Control Center will mail a Grant Application 
Receipt Acknowledgment to you. If you do not receive the notification 
of application receipt within 15 days from the date of mailing the 
application, you should call the U.S. Department of Education 
Application Control Center at (202) 708-9494.
    (e) The applicant must indicate on the envelope and--if not 
provided by the Department--in Item 3 of the Application for Federal 
Assistance (ED 424) the CFDA number for this competition: CFDA 84.215L.

Application Instructions and Forms

    The appendices to this notice contain all required forms and 
instructions, including instructions for preparing the application 
narrative, a statement regarding estimated public reporting burden, a 
notice to applicants regarding compliance with section 427 of the 
General Education Provisions Act (GEPA), various assurances and 
certifications, and a checklist for applicants.
    To apply for an award under this competition, your application must 
be organized in the following order and include the following four 
parts. The parts and additional materials are as follows:
    Part I: Coversheet for the Smaller Learning Communities (SLC) Grant 
Program Application Package (Appendix F).
    Part II: Application for Federal Assistance (ED 424, Exp. 06/30/
2001) and instructions.
    Part III: Budget Information-Non-Construction Programs (ED Form No. 
524) and instructions. An applicant for a multi-year project must 
provide a budget narrative that provides budget information for each 
budget period of the proposed project period.
    Part IV: Application Narrative.
    In preparing the narrative, applicants should clearly keep in mind 
the selection criteria that will be used to evaluate applications, and 
ensure that each of these criteria are addressed. Section 8005(a) of 
the statute describes additional information that applicants must 
address in their applications. Please refer to the statute, which is 
provided in Appendix A of this application package.
    Part V: Appendices.
    Applications may contain appendices that are excluded from the 20-
25 page limitation. However, appendices may be used only to explicate 
or corroborate points already made clear in the text. For example, 
implementation grant applicants may place in an appendix the baseline 
data used to address the selection criterion ``Quality of the project 
evaluation.''
    Part VI: Assurances and Certifications:
    a. Assurances-Non-Construction Programs (Standard Form 424B).
    b. Certifications Regarding Lobbying; Debarment, Suspension, and 
Other Responsibility Matters; and Drug-Free Workplace Requirements (ED 
80-0013) and instructions.
    c. Certifications regarding Debarment, Suspension, Ineligibility 
and Voluntary Exclusion-Lower Tier Covered Transactions (ED 80-0014, 9/
90) and instructions.

    Note: ED Form 80-0014 is intended for the use of grantees and 
should not be transmitted to the Department.

    d. Disclosure of Lobbying Activities (Standard Form LLL) (if 
applicable) and instructions.
    An applicant may submit information on photostatic copies of the 
application, budget forms, assurances, and certifications as printed in 
this notice in the Federal Register. However, the application form, 
assurances, and certifications must each have an original signature. 
All applicants are required to submit ONE original signed application, 
including ink signatures on all forms and assurances, and TWO copies of 
the application, one bound and one unbound copy suitable for 
photocopying. Please mark each application as ``original'' or ``copy.'' 
To aid with the review of applications, the Department encourages 
applicants to submit three additional paper copies and one electronic 
copy (in Department of Education standard program format) of the 
application. The Department will not penalize applicants who do not 
provide additional copies. No grant may be awarded unless a completed 
application form, including the signed assurances and certifications, 
has been received.

FOR FURTHER INFORMATION CONTACT: John De Cleene or Todd May, Smaller 
Learning Communities Grant Program, U.S. Department of Education, 400 
Maryland Avenue, SW, Washington, DC 20202. Telephone: (202) 260-2195 
(John De Cleene) or (202) 260-0960 (Todd May). E-mail: 
[email protected].
    Individuals who use a telecommunications device for the deaf (TDD) 
may call the Federal Information Relay Service (FIRS) at 1-800-877-
8339. Individuals with disabilities may obtain this notice in an 
alternate format (e.g., Braille, large print, audiotape, or computer 
diskette) on request to the contact person listed in the preceding 
paragraph.

Electronic Access to This Document

    You may view this document, as well as all other Department of 
Education documents published in the Federal Register, in text or Adobe 
Portable Document Format (PDF) on the Internet at either of the 
following sites:

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

    To use the PDF you must have the Adobe Acrobat Reader, which is 
available free at either of the previous sites. If you have questions 
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    Program Authority: 20 U.S.C. 8005.

    Dated: May 11, 2000.
Michael Cohen,
Assistant Secretary for Elementary and Secondary Education.
Patricia McNeil,
Assistant Secretary for Vocational and Adult Education.

Appendix A.--ESEA, Title X, Part A

Sec. 10105. Smaller Learning Communities

    (a) In General.--Each local educational agency desiring a grant 
under this section shall submit an application to the Secretary at 
such time, in such manner, and accompanied by such information as 
the Secretary

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may require. Each such application shall describe--
    (1) Strategies and methods the applicant will use to create the 
smaller learning community or communities;
    (2) Curriculum and instructional practices, including any 
particular themes or emphases, to be used in the learning 
environment;
    (3) The extent of involvement of teachers and other school 
personnel in investigating, designing, implementing and sustaining 
the smaller learning community or communities;
    (4) The process to be used for involving students, parents and 
other stakeholders in the development and implementation of the 
smaller learning community or communities;
    (5) Any cooperation or collaboration among community agencies, 
organizations, businesses, and others to develop or implement a plan 
to create the smaller learning community or communities;
    (6) The training and professional development activities that 
will be offered to teachers and others involved in the activities 
assisted under this part;
    (7) The goals and objectives of the activities assisted under 
this part, including a description of how such activities will 
better enable all students to reach challenging State content 
standards and State student performance standards;
    (8) The methods by which the applicant will assess progress in 
meeting such goals and objectives;
    (9) If the smaller learning community or communities exist as a 
school-within-a-school, the relationship, including governance and 
administration, of the smaller learning community to the rest of the 
school;
    (10) A description of the administrative and managerial 
relationship between the local educational agency and the smaller 
learning community or communities, including how such agency will 
demonstrate a commitment to the continuity of the smaller learning 
community or communities, including the continuity of student and 
teacher assignment to a particular learning community;
    (11) How the applicant will coordinate or use funds provided 
under this part with other funds provided under this Act or other 
Federal laws;
    (12) Grade levels or ages of students who will participate in 
the smaller learning community or communities; and
    (13) The method of placing students in the smaller learning 
community or communities, such that students are not placed 
according to ability, performance or any other measure, so that 
students are placed at random or by their own choice, not pursuant 
to testing or other judgments.
    (b) Authorized Activities.--Funds under this section may be 
used--
    (1) To study the feasibility of creating the smaller learning 
community or communities as well as effective and innovative 
organizational and instructional strategies that will be used in the 
smaller learning community or communities;
    (2) To research, develop and implement strategies for creating 
the smaller learning community or communities, as well as effective 
and innovative changes in curriculum and instruction, geared to high 
State content standards and State student performance standards;
    (3) To provide professional development for school staff in 
innovative teaching methods that challenge and engage students to be 
used in the smaller learning community or communities; and
    (4) To develop and implement strategies to include parents, 
business representatives, local institutions of higher education, 
community-based organizations, and other community members in the 
smaller learning communities, as facilitators of activities that 
enable teachers to participate in professional development 
activities, as well as to provide links between students and their 
community.

Appendix B.--Definitions and Terms

    Definition. The following definition is used in this notice:
    Magnet School means a public school or education center that 
offers a special curriculum capable of attracting substantial 
numbers of students of different racial backgrounds.
    Terms. The following terms are used in this notice:
    Flexible Scheduling is a means of reconfiguring the school day. 
For example, block courses may be scheduled for two or more 
continuous class periods or days to allow students greater time for 
laboratory or project-centered work, field trips or work-based 
learning, and special assemblies or speakers.
    Career Academies are typically schools-within-schools that offer 
students academic programs organized around broad career themes. 
Often integrating classroom instruction with work-based learning, 
academies try to equip students with the necessary skills for both 
workforce entry and postsecondary education.
    Career Clusters generally refer to groupings formed around 
broad-based industry areas and address all types of skills, ranging 
from entry-level to advanced practice. A cluster represents those 
industries or career areas that have a high degree of commonality in 
work functions, knowledge, or skills.
    Houses generally are organizational arrangements that assign 
students and teachers to sub-schools. Students take some or all 
courses with their house members and from their house teachers. Each 
house typically has its own student activity program, student 
government, disciplinary policies, and social activities. Houses may 
be year-long (within a grade) or multi-year (combine grades).
    Mentoring Programs designate adults to act as advocates for 
students. Teachers, counselors, and other school staff (as well as 
community volunteers or employees at work-based learning sites) 
serve as mentors, working in consultation with classroom teachers, 
counselors, and related service personnel to help students 
individually or in small groups, on a regular basis over an extended 
period of time.
    Schools-within-Schools are autonomous programs housed within a 
larger school building. These programs report directly to the 
district rather than to the host school's principal and are formally 
authorized by the superintendent or board of education. Schools-
within-schools have their own culture, program, staff, students, 
budget, and school space.
    Teacher Advisories are similar to mentoring programs. They 
organize adults to personalize the high school experience and 
support academic achievement. Some schools and districts establish 
advisory classes that meet weekly; others schedule students for less 
formal one-on-one or group time with teachers. Advisory activities 
may include helping students develop personal learning plans, 
introducing students to career clusters, helping students select 
courses, and working with students on postsecondary plans and pre-
employment skills.

Appendix C.--Required Content

Planning Grants

    Planning grants will describe the planning and development 
activities that will be undertaken to produce and submit a viable 
Implementation Plan, as described below and in section 10105(a) of 
the ESEA (Appendix A).

Implementation Grants

    Implementation Plans will describe--
    (a) The smaller learning communities the applicant will create.
    (b) Additional strategies the applicant will combine with the 
smaller learning

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communities so that they are safe and successful. ``Additional 
strategies'' may include, for example, new instructional practices, 
curriculum, or themes; or they may include a process for involving 
parents in their students' education.
    (c) How the proposed collection of strategies (the smaller 
learning communities along with other proposed strategies)--
    (1) Address identified school needs;
    (2) Are based on reliable research and effective practice; and
    (3) Will enable all students to meet challenging standards.
    (d) The extent of involvement of teachers and other personnel in 
investigating, designing, implementing, and sustaining the smaller 
learning community or communities;
    (e) The process to be used for involving students, parents, and 
other stakeholders in the development and implementation of the 
smaller learning community or communities;
    (f) Any cooperation or collaboration among community agencies, 
organizations, businesses, and others to develop or implement a plan 
to create the smaller community or communities;
    (g) The training and professional development activities that 
will be offered to teachers and others involved in the activities 
assisted under part A of title X of the ESEA;
    (h) The goals and objectives of the activities assisted under 
part A of Title X of the ESEA, including a description of how such 
activities will help enable all students to reach challenging State 
content standards and State student performance standards;
    (i) The methods by which the applicant will assess progress in 
meeting such goals and objectives;
    (j) If the smaller learning community or communities exist as a 
school-within-a-school, the relationship, including the governance 
and administration, of the smaller learning community to the rest of 
the school;
    (k) The administrative and managerial relationship between the 
LEA and the smaller learning community or communities, including how 
the LEA will demonstrate a commitment to the continuity of the 
smaller learning community or communities, including the continuity 
of student and teacher assignment to a particular learning 
community;
    (l) How the applicant will coordinate or use funds provided 
under part A of title X of the ESEA with other funds provided under 
the ESEA or other Federal laws; and
    (m) The grade levels or ages of students who will participate in 
the smaller learning community or communities; and
    (n) The method of placing students in the smaller learning 
community or communities, such that students are not placed 
according to ability, performance, or any other measure of merit, so 
that students are placed at random or by their own choice, not 
pursuant to testing or other judgments.

Appendix D.--Allowable Activities

Planning Grants

    Examples of activities that may be conducted under a planning 
grant include--
    (1) Studying the feasibility of recasting a large school as a 
set of smaller learning communities and investigating instructional 
strategies that are appropriate for smaller learning communities;
    (2) Building consensus among key stakeholders and supporting 
planning and development activities to provide guidance in creating 
the smaller learning community;
    (3) Assessing staff training and development needs for 
participation in and management of the smaller learning community;
    (4) Developing strategies to include parents, business 
representatives, local institutions of higher education, community-
based organizations, and other community members in the smaller 
learning communities, as facilitators of activities that enable 
teachers to participate in professional development activities, as 
well as to provide links between students and their community;
    (5) Initiating pilot projects to test key components of the 
program design and data collection methods;
    (6) Analyzing statutory, regulatory, and administrative barriers 
to the creation of the smaller learning environment; and
    (7) Preparing the implementation plan required for submission of 
a proposal for a future implementation grant.

Implementation Grants

    Examples of activities that may be conducted under an 
implementation grant include--
    (1) Implementing and expanding strategies for creating the 
smaller learning community or communities, as well as effective and 
innovative changes in curriculum and instruction, geared to high 
State content standards and performance standards;
    (2) Providing professional development for school staff in 
innovative teaching methods that challenge and engage students in 
the smaller learning community or communities;
    (3) Implementing and expanding strategies to include parents, 
business representatives, local institutions of higher education, 
community-based organizations, and other community members in the 
smaller learning communities, as facilitators of activities that 
enable teachers to participate in professional development 
activities, as well as to provide links between students and their 
community;
    (4) Implementing and expanding strategies that benefit eligible 
large schools throughout the applicant's district. Examples of these 
may include implementing a district-wide ninth grade academy, 
teacher advisory program, or district-wide mentoring program;
    (5) Obtaining the services of outside experts in the 
implementation of the smaller learning community. Assistance may 
include curriculum development, leadership strategies, community 
consensus building, data collection, or evaluation design;
    (6) Providing stipends and release time for teachers, 
administrators, and community members involved in the implementation 
or expansion of the smaller learning community; and
    (7) Implementing academic and social support systems for 
students attending the smaller learning community.

Appendix E.--Instructions for the Application Narrative

    The narrative is the section of the application where statutory 
application requirements and the selection criteria used by 
reviewers in evaluating the application are addressed. The narrative 
must encompass each function or activity for which funds are being 
requested. Before preparing the application narrative, you should 
read carefully the statute, the description of the program, and the 
selection criteria we use to evaluate applications.
    You should note the preferable page limits for the application 
narrative stated in this notice under Page Limits.
    1. Begin with a one-page Abstract summarizing the proposed 
Smaller Learning Communities project, including a short description 
of the population to be served by the project and, if available, 
data on project participants' overall need, demographics and race/
ethnicity. Also include a description of project objectives and 
activities.
    2. Include a table of contents listing the parts of the 
narrative in the order of the selection criteria and the page 
numbers where the parts of the narrative are found. Be sure to 
number the pages.

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    3. Describe fully the proposed project in light of the selection 
criteria in the order in which the criteria are listed in the 
application package. Do not simply paraphrase the criteria.
    4. Provide the following in response to the attached ``Notice to 
all Applicants:'' (1) A reference to the portion of the application 
in which information appears as to how you are addressing steps to 
promote equitable access and participation, or (2) a separate 
statement that contains that information.
    5. If the application is from a group, attach the group's 
agreement. When applying for funds as a group, such as a consortium, 
individual eligible applicants must enter into an agreement signed 
by all members of the group. The group's agreement must detail the 
activities each member of the group plans to perform, and must bind 
each member to every statement and assurance made in the group's 
application. (The designated applicant must submit the group's 
agreement with its application.)
    6. You may include supporting documentation as appendices to the 
narrative. This material should be concise and pertinent to the 
competition. Note that we consider only information contained in the 
application when ranking applications. Letters of support sent 
separately from the formal application package are not considered in 
the review by the technical review panels.
    7. Attach copies of all required assurances and forms.

Estimated Public Reporting Burden

    According to the Paperwork Reduction Act of 1995, you are not 
required to respond to a collection of information unless it 
displays a valid OMB Control Number. The valid OMB control number 
for this information collection is To be inserted],(Expiration Date: 
[To be inserted]). The time required to complete this information 
collection is estimated to average sixty-five (65) hours per 
response, including the time to review instructions, search existing 
data resources, gather the data needed, and complete and review the 
information collection. If you have any comments concerning the 
accuracy of the time estimate or suggestions for improving this 
form, please write to: Diane Austin, Smaller Learning Communities 
Grant Program, U.S. Department of Education, 400 Maryland Avenue SW, 
FB-6, 5C149, Washington, DC 20202-6200.
    If you have comments or concerns regarding the status of your 
individual submission of this form, write directly to: Diane Austin, 
Smaller Learning Communities Grant Program, U.S. Department of 
Education, 400 Maryland Avenue SW, FB-6, 5C149, Washington, DC 
20202-6200.

Appendix F.--Application Coversheet

Coversheet: Smaller Learning Communities (SLC) Grant Program 
Application Package

    1. Type of grant applied for. (Check just one.)

____ Application for Planning Grant
____ Application for Implementation Grant

    2. LEA Name and Address:

NCES District ID:

    3. Name and Address of Each School Named in the Accompanying SLC 
Application:

1. Name:
2. Name:
3. Name:
4. Name:
5. Name:
6. Name:

    (Please list any additional schools on a separate page and 
attach.)

Checklist for Applicants

    The following forms and other items must be included in the 
application in the order listed below:

____1. Application cover sheet (Appendix F).
____2. Application for Federal Assistance (ED 424).
____3. Budget Information--Non-Construction Programs ED Form No. 
524) and budget narrative.
____4. Application Narrative, including information that addresses 
section 427 of the General Education Provisions Act (see the section 
entitled ``NOTICE TO ALL APPLICANTS''), and relevant appendices.
____5. Group agreement, if applicable.
____6. Assurances--Non-Construction Programs (SF 424B).
____7. Certifications Regarding Lobbying; Debarment, Suspension, and 
Other Responsibility Matters; and Drug-Free Workplace Requirements 
(ED 80-0013).
____8. Disclosure of Lobbying Activities (Standard Form LLL).
____9. GPRA.

[OMB Control No. 1810-0631 (exp. 10/31/2000)]

Notice to All Applicants

    Thank you for your interest in this program. The purpose of this 
enclosure is to inform you about a new provision in the Department 
of Education's General Education Provisions Act (GEPA) that applies 
to applicants for new grant awards under Department programs. This 
provision is section 427 of GEPA, enacted as part of the Improving 
America's Schools Act of 1994 (Pub. L. 103-382).

To Whom Does This Provision Apply?

    Section 427 of GEPA affects applicants for new discretionary 
grant awards under this program. ALL APPLICANTS FOR NEW AWARDS MUST 
INCLUDE INFORMATION IN THEIR APPLICATIONS TO ADDRESS THIS NEW 
PROVISION IN ORDER TO RECEIVE FUNDING UNDER THIS PROGRAM.

What Does This Provision Require?

    Section 427 requires each applicant for funds (other than an 
individual person) to include in its application a description of 
the steps the applicant proposes to take to ensure equitable access 
to, and participation in, its federally assisted program for 
students, teachers, and other program beneficiaries with special 
needs.
    This section allows applicants discretion in developing the 
required description. The statute highlights six types of barriers 
that can impede equitable access or participation that you may 
address: gender, race, national origin, color, disability, or age. 
Based on local circumstances, you can determine whether these or 
other barriers may prevent your students, teachers, etc. from 
equitable access or participation. Your description need not be 
lengthy; you may provide a clear and succinct description of how you 
plan to address those barriers that are applicable to your 
circumstances. In addition, the information may be provided in a 
single narrative, or, if appropriate, may be discussed in connection 
with related topics in the application.
    Section 427 is not intended to duplicate the requirements of 
civil rights statutes, but rather to ensure that, in designing their 
projects, applicants for Federal funds address equity concerns that 
may affect the ability of certain potential beneficiaries to fully 
participate in the project and to achieve to high standards. 
Consistent with program requirements and its approved application, 
an applicant may use the Federal funds awarded to it to eliminate 
barriers it identifies.

What Are Examples of How an Applicant Might Satisfy the Requirement 
of This Provision?

    The following examples may help illustrate how an applicant may 
comply with section 427:

[[Page 31394]]

    (1) An applicant that proposes to carry out an adult literacy 
project serving, among others, adults with limited English 
proficiency, might describe in its application how it intends to 
distribute a brochure about the proposed project to such potential 
participants in their native language.
    (2) An applicant that proposes to develop instructional 
materials for classroom use might describe how it will make the 
materials available on audio tape or in Braille for students who are 
blind.
    (3) An applicant that proposes to carry out a model science 
program for secondary students and is concerned that girls may be 
less likely than boys to enroll in the course, might indicate how it 
intends to conduct ``outreach'' efforts to girls, to encourage their 
enrollment.
    We recognize that many applicants may already be implementing 
effective steps to ensure equity of access and participation in 
their grant programs, and we appreciate your cooperation in 
responding to the requirements of this provision.

Estimated Burden Statement

    According to the Paperwork Reduction Act of 1995, no persons are 
required to respond to a collection of information unless it 
displays a valid OMB control number. The valid OMB control number 
for this information collection is 1810-0631 (Exp. 10/31/2000). The 
time required to complete this information collection is estimated 
to vary from 1 to 3 hours per response, with an average of 1.5 
hours, including the time to review instructions, search existing 
data resources, gather and maintain the data needed, and complete 
and review the information collection. If you have any comments 
concerning the accuracy of the time estimate(s) or suggestions for 
improving this form, please write to: U.S. Department of Education, 
Washington, DC 20202-4651.

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[FR Doc. 00-12368 Filed 5-16-00; 8:45 am]
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