[Federal Register Volume 66, Number 139 (Thursday, July 19, 2001)]
[Notices]
[Pages 37872-37876]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-18073]



[[Page 37871]]

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Part V





Department of Education





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Office of Elementary and Secondary Education and the Office of 
Vocational and Adult Education; Smaller Learning Communities Grant 
Program; Notice

  Federal Register / Vol. 66, No. 139 / Thursday, July 19, 2001 / 
Notices  

[[Page 37872]]


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DEPARTMENT OF EDUCATION


Office of Elementary and Secondary Education and the Office of 
Vocational and Adult Education--Smaller Learning Communities Grant 
Program

AGENCY: Department of Education.

ACTION: Notice of proposed priorities, application requirements, and 
selection criteria for fiscal year 2001.

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SUMMARY: The Acting Deputy Assistant Secretary for Elementary and 
Secondary Education and the Deputy Assistant Secretary for Vocational 
and Adult Education announce proposed priorities, application 
requirements, and selection criteria for the Smaller Learning 
Communities (SLC) grant program for fiscal year FY 2001.
    Estimated Available Funds: $125,000,000

    Note: The Secretary is authorized to reserve $7,500,000 from 
these funds for peer review, evaluation, technical assistance, 
outreach, and product dissemination activities. These activities are 
designed to support the local grants, evaluate the success of the 
program, and help ensure the dissemination and replication of best 
practices to schools nationwide.


DATES: We must receive your comments by August 20, 2001.

ADDRESSES: All comments concerning these proposed priorities, 
application requirements, and selection criteria should be addressed to 
Diane Austin, U.S. Department of Education, Office of Elementary and 
Secondary Education, 400 Maryland Avenue, SW, Room 5C149, Washington, 
DC 20202. Comments may be sent through the Internet at: 
[email protected]. You must include the term ``Smaller 
Learning Communities Grant Program'' in the subject line of your 
electronic message.
    If you want to comment on the information collection requirements 
you must send your comments to the Office of Management and Budget at 
the address listed in the Paperwork Reduction Act section of this 
preamble. You may also send a copy of these comments to the Department 
representative named in this section.

FOR FURTHER INFORMATION CONTACT: Diane Austin, Smaller Learning 
Communities Grant Program, U.S. Department of Education, 400 Maryland 
Avenue, SW, Room 5C149, Washington, DC 20202-6200, (202) 260-1280. Fax: 
(202) 260-8969. Email: [email protected]. You may also 
visit our website at: www.ed.gov/offices/OESE/SLCP. Individuals who use 
the 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 document in an 
alternative format (e.g., Braille, large print, audiotape, or computer 
diskette) on request to the contact person listed above.

    Note: This notice does not solicit applications. A notice 
inviting applications under this competition will be published in 
the Federal Register concurrent with or following the publication of 
the final priorities, application requirements, and selection 
criteria. We will determine the final priorities after considering 
responses to this notice and other information available to the 
Department. This notice does not preclude us from proposing or 
funding additional priorities, subject to meeting applicable 
rulemaking requirements.


SUPPLEMENTARY INFORMATION:

Background

    The Smaller Learning Communities grant program is authorized under 
section 10105 of part A of title X of the Elementary and Secondary 
Education Act of 1965 (ESEA) (20 U.S.C. 8005). Title X, Part A 
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 to achieving National Education Goals.
    The purpose of the Smaller Learning Communities Program is to 
support the implementation or expansion of small, safe, and successful 
learning environments in large high schools through competitive grants 
to local educational agencies (LEAs). LEAs may apply on behalf of large 
high schools, including large high schools funded by the Bureau of 
Indian Affairs (BIA schools). For the purposes of this program, a large 
high school is defined as a school that includes grades 11 and 12 and 
enrolls at least 1,000 students in grades 9 and above.
    Strategies for recasting large schools as a set of small learning 
communities are included in the Conference Report for the Consolidated 
Appropriations Act, 2000 [Pub. L. 106-113, H.R. Conference Report No. 
106-479, at 1240(1999)]. Such strategies include:
    (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.
    In FY 2000, Congress appropriated $45 million for the SLC program, 
of which the Department awarded $42.3 million in support of 149 grants 
to LEAs. The Secretary awarded 84 one-year planning grants and 65 
three-year implementation grants. A total of 349 schools, serving over 
450,000 students, benefited during the first year of the program. The 
Secretary reserved the remaining $2,250,000 to fund national leadership 
activities.
    Congress appropriated $125 million for this program in fiscal year 
2001. The Administration is not requesting funds for the Smaller 
Learning Communities program in fiscal year 2002. Rather, the 
Administration is proposing a new Choice and Innovation State Grants 
program under which States and LEAs would have greater flexibility in 
using funds for activities, such as the creation of smaller learning 
communities, that will lend to educational reform and improvement.
    The Secretary intends to share program information and provide 
grant-writing technical assistance on an as needed basis. Potential 
applicants are encouraged to review the Frequently Asked Questions 
section of the program's website at: www.ed.gov/offices/OESE/SLCP. 
Written questions may be submitted through the Internet at: 
[email protected]. Details on any other outreach 
activities will be included as part of the final application package 
and posted on the program's website at the address listed above.

Priorities

    The goal of the Smaller Learning Communities program is to ensure 
that high schools are safe, nurturing, and effective environments where 
all students feel known, supported, and motivated to succeed in post 
secondary education and chosen careers. The proposed priorities 
authorize the Department to give preference to those applicants that 
have the greatest need and the capacity to create more personalized 
learning environments.

Competitive Priorities

    Under 34 CFR 75.105(c)(2)(i), the Secretary proposes to give 
preference to applications that meet one or both of the following two 
competitive priorities. Where applicable, these points would be in 
addition to any points the application earns under the selection 
criteria for this year's grant competition.

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Proposed Competitive Priority 1--Low-Performing Schools

    The Secretary proposes to award up to five (5) additional points to 
applicants that provide a comprehensive action plan for turning around 
low-performing schools in their district. Low-performing schools can be 
identified by local and State educational agencies under section 1116 
of the Elementary and Secondary Education Act. In addition, for the 
purposes of this program, States and LEAs that have their own 
established criteria for identifying low-performing schools may use 
those criteria to meet the competitive priority.
    To receive any points under this competitive priority, LEAs, 
applying on behalf of a low-performing school(s), must provide evidence 
of their schools' designation. The applicant's plan must reflect its 
understanding of the research on effective strategies for turning 
around low-performing schools and describe how the research has been 
incorporated into its plan for creating a smaller learning community. 
The application must also both include (1) a plan to build partnerships 
with technical assistance providers, foundations, or other 
organizations engaged in turning around low-performing schools; and (2) 
document how the applicant will use other resources, particularly other 
Federal resources, in its efforts to improve student achievement.

Proposed Competitive Priority 2-- Current Planning Grantees

    The Secretary proposes to give preference to applicants that are 
recipients of planning grants awarded in program year 2000 if they 
provide evidence of the completion of an SLC implementation plan. LEAs 
awarded planning grants must produce viable implementation plans. In 
the case of otherwise evenly scored applicants, the competitive 
preference shall be the deciding factor.

Application Requirements

    A discussion of each proposed requirement follows:

A. Eligible Schools

    We propose that to be considered for funding, LEAs must include the 
name(s) of the eligible school(s) and the number of students enrolled 
in each school. Enrollment must be based upon data from the current 
school year or data from the most recently completed school year. LEAs 
applying on behalf of schools that are being constructed and do not 
have an active student enrollment at the time of application are not 
eligible under this program.
Rationale
    While the legislation clearly addresses the requirements for 
eligibility, it does not require LEAs to identify specifically the 
schools that will benefit from a grant. We propose that each applicant 
include enrollment data supporting the eligibility of each school. This 
will enable the Department to determine if each school identified in an 
application meets the proposed definition of a large high school.

B. Types of Grants

    Since the Administration is not requesting funds for the Smaller 
Learning Communities program in fiscal year 2002, the Secretary 
proposes to award only implementation grants under this year's 
competition. LEAs that have a developed plan in place are encouraged to 
apply for an implementation grant. Further, LEAs with schools that have 
existing smaller learning communities may apply for an implementation 
grant if they wish to expand their SLC efforts. Implementation grants 
will be funded for a three-year project period.

    Note: Understanding the unique complexities of implementing a 
``transformational'' program requiring changes in the nature of 
instruction and school culture that impacts the physical design, 
organization, curriculum, and teacher preparation, the Secretary 
anticipates awarding the entire grant amount for implementation 
projects at the time of the initial award. This will provide the 
applicant with the capacity to carry out effectively the 
comprehensive long-term activities involved in model development, 
documentation, evaluation, and dissemination of products and 
practices developed through the Federal grant.

C. Award Ranges

    For a three-year implementation grant, the Secretary proposes that 
LEAs 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 may 
request up to $2,500,000 per implementation grant. As this program is 
designed to finance direct student services and local redesign and 
improvement efforts, districts must stay within the minimum and maximum 
school allocations when determining their group award request. 
Therefore, in order to ensure sufficient implementation funds at the 
local level, LEAs may not request funds for more than 10 schools under 
a group application.
    The chart below provides ranges for award requests under the 
implementation grant:

------------------------------------------------------------------------
      Number of schools in LEA application             Award ranges
------------------------------------------------------------------------
One School.....................................        $250,000-$500,000
Two Schools....................................        500,000-1,000,000
Three Schools..................................        750,000-1,500,000
Four Schools...................................      1,000,000-2,000,000
Five Schools...................................      1,250,000-2,500,000
Six Schools....................................      1,500,000-2,500,000
Seven Schools..................................      1,750,000-2,500,000
Eight Schools..................................      2,000,000-2,500,000
Nine Schools...................................      2,250,000-2,500,000
Ten Schools....................................                2,500,000
------------------------------------------------------------------------

    To ensure maximum flexibility and competitiveness, LEAs may submit 
multiple applications targeting distinct schools within each 
application. Schools that benefited from FY 2000 implementation awards 
are not eligible to receive additional support under this competition. 
The total amount an LEA may receive through any combination of awards 
made under this program may not exceed 5 million.
Rationale
    By establishing grant award ranges and maximum LEA award amounts, 
the Department will be able to fund a much larger number of grants, 
ensure maximum geographic distribution, and encourage implementation of 
a diverse range of SLC strategies. The proposed minimum and maximum 
award amounts should provide sufficient funding for direct services to 
students and for school-based implementation activities. The Department 
determined these amounts in consultation with other Federal programs 
and private organizations with experience in developing and 
implementing SLCs. Applicants must be fully committed and prepared to 
undertake the activities described in the application.

D. Page Limit for the Application Narrative

    We strongly recommend that applicants limit the narrative section 
of the application to the equivalent of no more than 25 double-spaced 
pages using the following standards:
    (1) A page is 8.5" x 11", on one side only;
    (2) The page limit includes all narrative, titles, headings, 
footnotes, quotations, references, and captions, as well as charts, 
tables, figures, and graphs. Charts, tables, figures, and graphs may be 
single-spaced;
    (3) The font should be 11-point or larger;
    (4) The page limit does not apply to the Application for Federal 
Education Assistance Form (424); the Budget information Form (ED 524) 
and attached itemization of costs; any other required or supplementary 
application forms and

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attachments to those forms; the assurances and certifications; or the 
table of contents and the one page abstract which should precede the 
narrative section and provide a short description of the project; 
evidence of competitive priorities; or appendices;
    (5) Appendices used should relate directly to the selection 
criteria and project activities. Pages should be numbered.
Rationale
    In previous competitions successful applicants have demonstrated 
that they can successfully describe their programs within this page 
limit.

E. Reporting Requirements and Expected Outcomes

    We propose that to be eligible for an implementation grant, 
applicants must describe in their proposals for funding their:
    (a) Project objectives;
    (b) Measures of student outcomes and performance; and
    (c) Indicators to gauge progress toward meeting project objectives.
    In addition, the Secretary proposes to require that applicants for 
implementation grants have, or will have, a data collection system with 
the capacity to produce annual performance reports throughout the 
project period of the grant. These reports will document the grantee's 
yearly progress toward expected project objectives. The Secretary will 
use these reports to measure the success of the grantee's project, as 
well as the effects of the Department of Education's Smaller Learning 
Communities grant program nationwide.
    We also propose that applicants submit initial baseline data for 
each student outcome measure described below. Baseline data should come 
from either the current or previous school year. Applicants should 
report this data as part of their narrative in accordance with the 
evaluation selection criteria. Upon notification of award, grantees 
will be required to submit student outcome data for three years 
preceding the baseline year.
    Required student outcome measures include:
    I. Student Achievement.
    (a) The number of students scoring at each proficiency level for 
each subject measured by a State or district assessment in grades 9-12; 
and
    (b) The number of students taking the SAT and ACT, and their 
average scores.
    II. Academic Rigor and Student Retention.
    (a) The number of students who take courses for which they receive 
both high school and college credit;
    (b) The number of students completing high school; and
    (c) The overall reported average daily attendance for October.
    III. School Climate.
    (a) The number of incidents of student violence, and of alcohol and 
drug use;
    (b) The number of expulsions, suspensions, or other serious 
disciplinary actions; and
    (c) The number of students involved in extracurricular activities.


    Note: Percentages may be used in place of number of students 
where appropriate.

F. Definitions

    (a) Definitions in EDGAR--Definitions defined in 34 CFR 77.1 are 
applicable to this program.
    (b) Other definitions--The Secretary proposes that the following 
definitions also apply to this program:
    BIA school is a school operated or supported by the Bureau of 
Indian Affairs.
    A group of schools is two or more schools that each meet the 
definition of a large high school.
    A large high school is an entity that includes grades 11 and 12 and 
has an enrollment of 1,000 or more students in grades 9 and above.
    A low-performing school is a school identified by local and State 
educational agencies under section 1116 of the Elementary and Secondary 
Education Act. Under current law, any Title I school that has not made 
``adequate yearly progress'' over two consecutive years is identified 
by its LEA for improvement. In addition, for the purpose of this 
program, States and LEAs that have established criteria for identifying 
such schools may use their criteria to meet the competitive priority 
preference.

Selection Criteria

    The Secretary proposes that the following selection criteria be 
used 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 or factor under that criterion is indicated in 
the parentheses. There are not specific point totals for the 
subcategories within each criterion.
    The Secretary proposes utilizing a peer review process in which 
peer review panels will evaluate the applications using the selection 
criteria and the associated point values. The Secretary intends to base 
final funding decisions on the panel review ranking of applications and 
an acceptable geographic balance between urban and rural grantees.

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 targeted schools' need 
for the services provided and the need for the activities carried out 
by the proposed project 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 who have 
limited English proficiency, who are migrant youth, who come from low-
income families, or are otherwise 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 nature and magnitude of specific gaps or weaknesses and the 
extent to which those weaknesses in services, infrastructure, or 
opportunities have been identified by the applicant and will be 
addressed by the proposed project.
    (b) Foundation for implementation. (15 points)
    In determining the quality of the implementation plan for the 
proposed project, the Secretary considers the extent to which the 
application:
    (1) Documents the involvement and support of stakeholders both 
within the school community (e.g., administrators, 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) Provides clear evidence of teacher involvement and support, 
particularly of those teachers who will be affected directly by the 
implementation plan.
    (3) Uses research-based findings and outside technical assistance 
in the proposed restructuring and in determining appropriate 
strategy(ies) to be implemented.
    (c) Feasibility and soundness of the plan. (35 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

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correspond to identified needs and are written in terms of student 
outcomes, including academic achievement.
    (2) The curriculum and instructional practices within each smaller 
learning community are aligned with its goals, theme, and emphases, 
where they exist.
    (3) The proposed smaller learning communities intervention(s) will 
benefit all students in the school and enable them to reach challenging 
State content standards and performance standards, ensuring their 
successful completion of high school and preparation for postsecondary 
education or a career.
    (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. The 
Department expects that all students will benefit from the SLC 
intervention.
    (6) The management plan appears capable of achieving 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. (15 points)
    In determining the quality of the evaluation to be conducted of the 
proposed project, the Secretary considers whether the applicant has 
designed an effective method for:
    (1) Collecting student performance data, including:
     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 progress towards 
implementing smaller learning communities and implementing related 
program changes undertaken to make the smaller learning communities 
safe and successful. This information will be reported in the Annual 
Performance Report.
    (3) Disseminating best practices and products designed under this 
grant.
    (e) Adequacy of resources. (10 points)
    In determining the adequacy of resources for the proposed project, 
the Secretary considers the extent to which:
    (1) State, local, foundation, and other Federal funds will be used 
to support the implementation of the plan.
    (2) The applicant will limit equipment, administrative costs, and 
other purchases in order to maximize the amount 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.

Paperwork Reduction Act of 1995

    This notice contains information collection requirements. Under the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)), the Department of 
Education has submitted a copy of this notice to OMB for its review.
    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 and 
maintain the data needed, and complete and review the information 
collection.
    If you want to comment on the information collection requirements, 
please send your comments to the Office of Information and Regulatory 
Affairs, OMB, Room 10235, New Executive Office Building, Washington, DC 
20503; Attention: Lauren Wittenberg. You may also send a copy of these 
comments to the Department representative named in the ADDRESSES 
section of this preamble.
    We consider your comments on this proposed collection of 
information in--
     Deciding whether the proposed collection is necessary for 
the proper performance of our functions, including whether the 
information will have practical use;
     Evaluating the accuracy of our estimate of the burden of 
the proposed collection, including the validity of our methodology and 
assumptions;
     Enhancing the quality, usefulness, and clarity of the 
information we collect; and
     Minimizing the burden on those who must respond. This 
includes exploring the use of appropriate automated, electronic, 
mechanical, or other technological collection techniques or other forms 
of information technology; e.g., permitting electronic submission of 
responses.
    OMB is required to make a decision concerning the collection of 
information contained in this notice of proposed priorities, 
requirements, and selection criteria between 30 and 60 days after 
publication of this document in the Federal Register. Therefore, to 
ensure that OMB gives your comments full consideration, it is important 
that OMB receives the comments within 30 days of publication. This does 
not affect the deadline for your comments to us on the proposed 
regulations.

Intergovernmental Review

    This program is subject to the requirements of Executive Order 
12372 and the regulations in 34 CFR Part 79. The objective of the 
executive order is to foster an intergovernmental partnership and a 
strengthened federalism by relying on processes developed by State and 
local government for coordination and review of proposed Federal 
assistance.
    In accordance with this order, this document is intended to provide 
early notification of the Department's specific plans and actions for 
this program.

Invitation To Comment

    We invite you to submit comments regarding these proposed 
priorities, proposed selection criteria, and proposed application 
requirements. To ensure that your comments have the maximum effect in 
developing the Secretary's final notice of priorities, application 
requirements, and selection criteria we urge that you clearly identify 
the specific section of this notice that each of your comments 
addresses and arrange your comments in the same order as the sections 
appear in the notice.
    We invite you to assist us in complying with the specific 
requirements of Executive Order 12866 and its overall requirement of 
reducing regulatory burden that might result from these proposed 
priorities, selection criteria, application requirements, and guidance. 
Please let us know of any further opportunities that we should take to 
reduce potential costs or increase potential benefits while preserving 
the effective and efficient administration of the program. All comments 
submitted in response to this notice will be available for public 
inspection, during and after the comment period, in Room 5C141, 400 
Maryland Avenue, SW, Washington, DC, between the hours of 8:30 a.m. and 
4 p.m., Eastern time, Monday through Friday of each week excluding 
Federal holidays.

Assistance to Individuals With Disabilities in Reviewing the Rulemaking 
Record

    On request, we will supply an appropriate aid, such as a reader or

[[Page 37876]]

print magnifier, to an individual with a disability who needs 
assistance to review the comments or other documents in the public 
rulemaking record for these proposed priorities and proposed selection 
criteria. If you would like to schedule an appointment for this type of 
aid, you may call (202) 205-8113 or (202) 260-9895. If you use a TDD, 
you may call the Federal Information Relay Service (FIRS) at (800) 877-
8339.

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 the following site: 
www.ed.gov/legislation/FedRegister.
    To use PDF you must have Adobe Acrobat Reader, which is available 
free at this site. If you have questions about using PDF, call the U.S. 
Government Printing Office (GPO), toll free, at 1-888-293-6498; or in 
the Washington DC area at (202) 512-1530.

    Note: The official version of this document is the document 
published in the Federal Register. Free Internet access to the 
official edition of the Federal Register and the Code of Federal 
Regulations is available on GPO Access at: http://access.gpo.gov/nara/index.html.

(Catalogue of Federal Assistance Number: 84.215L Smaller Learning 
Communities Grant Program)


    Program Authority: 20 U.S.C. 6661 et seq.

    Dated: July 13, 2001.
Thomas M. Corwin,
Acting Deputy Assistant Secretary for Elementary and Secondary 
Education.

Robert D. Muller,
Deputy Assistant Secretary for Vocational and Adult Education.
[FR Doc. 01-18073 Filed 7-18-01; 8:45 am]
BILLING CODE 4000-01-P