[Federal Register Volume 68, Number 55 (Friday, March 21, 2003)]
[Notices]
[Pages 14080-14097]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-6859]



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Part V





Department of Education





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Comprehensive School Reform Quality Initiatives; Notice

  Federal Register / Vol. 68, No. 55 / Friday, March 21, 2003 / 
Notices  

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DEPARTMENT OF EDUCATION

[CFDA No.: 84.332B]


Comprehensive School Reform Quality Initiatives

AGENCY: Department of Education.

ACTION: Notice inviting applications for new awards for fiscal year 
(FY) 2002.

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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 grant under the competition. These grants are 
authorized under section 1608 of the Elementary and Secondary Education 
Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 
(Pub. L. 107-110).

Purpose of the Program: The purpose of the Comprehensive School Reform 
(CSR) Quality Initiatives program is to support activities in the 
following categories:
    (1) Technical assistance in making informed decisions. To support 
public and private efforts in which funds are matched by private 
organizations to assist States, local educational agencies (LEAs), and 
schools in making informed decisions regarding approving or selecting 
providers of comprehensive school reform, consistent with the 
requirements in section 1606(a) of the ESEA, as amended; and
    (2) Model development and capacity building. To foster the 
development of comprehensive school reform models, and to provide 
effective capacity building for comprehensive school reform providers 
to expand their work in more schools, assure quality, and promote 
financial stability.
    Eligible Applicants: Public or private organizations that provide 
educational or related services.
    Deadline for Transmittal of Applications: May 5, 2003.
    Notification of Intent to Apply for Funding: We will be able to 
develop a more efficient process for reviewing grant applications if we 
have a better understanding of the number of entities that intend to 
apply for funding. Therefore, we strongly encourage each potential 
applicant to send, by April 7, 2003, a notification of its intent to 
apply for funding to the following address: [email protected].
    The notification of intent to apply for funding is optional and 
should not include information regarding the proposed application. 
Eligible applicants that fail to provide the notification may still 
submit an application by the application deadline.
    Estimated Available Funds: Approximately $7 million of fiscal year 
(FY) 2002 funds. Of this amount, we will award approximately $2 million 
to support activities under category 1 (i.e., technical assistance in 
making informed decisions) and approximately $5 million to support 
activities under category 2 (i.e., model development and capacity 
building).
    Estimated Number of Awards: We anticipate making 1 to 2 awards 
under each category.
    Estimated Range of Awards: $1 million--$2 million annually under 
category 1 (i.e., technical assistance in making informed decisions); 
$2.5 million--$5 million annually under category 2 (i.e., model 
development and capacity building). Funding of continuation awards 
after the initial year of funding is contingent upon future 
Congressional appropriations for the program.

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

    Project Period: Up to 36 months.
    Applicable Regulations: The Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 81, 82, 
86, 97, 98, and 99.

SUPPLEMENTARY INFORMATION: The State-administered Comprehensive School 
Reform (CSR) Program and the CSR Quality Initiatives are both 
authorized under Part F of Title I of the ESEA, as amended. The State-
administered CSR program is designed to improve student achievement by 
supporting the implementation of comprehensive school reforms based on 
scientifically based research and effective practices so that all 
children, especially those in low-performing, high-poverty schools, can 
meet challenging State academic achievement standards. Comprehensive 
school reform is a systemic approach to schoolwide improvement that 
incorporates every aspect of a school, including curriculum, 
instruction, school management, professional development, parental 
involvement, and assessment plans. The program requires LEAs and 
schools to draw together individual initiatives that focus on specific 
areas and weave them into a unified, coherent comprehensive school 
reform design that integrates the eleven statutory components 
delineated in section 1606(a) of the ESEA, as amended.
    The intent of the CSR Quality Initiatives program is to support 
activities that will enhance the State-administered CSR program. Under 
the Quality Initiatives competition, the Secretary will award funds to 
support activities in two categories--(1) technical assistance in 
making informed decisions, and (2) model development and capacity 
building. Grantees under category 1 will assist States, LEAs, and 
schools in making informed decisions regarding approving or selecting 
providers of comprehensive school reform, in a manner that meets the 
requirements of section 1606(a) of the ESEA, as amended. The category 2 
awards will encourage, facilitate, and support the development of 
comprehensive school reform models that schools may integrate into a 
program that meets the eleven statutory CSR components. These grants 
will also assist comprehensive school reform providers in building 
their capacity to expand their work in more schools, assure quality, 
and promote financial stability.
    The category 1 and category 2 awards will be peer reviewed 
separately on the basis of selection criteria specific to each of the 
competitions. These selection criteria are included in this Notice. An 
applicant seeking funding under both categories must submit separate 
applications addressing the respective criteria for each category.
    Absolute Priority for Category 1 Applicants: For category 1 grants 
(i.e., technical assistance in making informed decisions), the 
legislation requires that the awards be matched by private 
organizations. In response to this requirement, the Secretary 
establishes the following absolute priority under 34 CFR 75.105(c)(3) 
and will fund under the Category 1 competition only those applicants 
that meet this priority:
    The applicant demonstrates, in its grant application, that its 
Quality Initiative award will be matched with funds from one or more 
private organizations. During the first year of the project, the match, 
excluding any in-kind contributions, must total at least 20 percent of 
the grantee's initial CSR Quality Initiative award. During any 
subsequent year of the project, the match, excluding any in-kind 
contributions, must total at least 25 percent of the grantee's 
continuation award for that year.
    Competitive Preferences for Category 1 Applicants: To help ensure 
that the activities supported under category 1 (i.e., technical 
assistance in making informed decisions) of the CSR Quality Initiatives 
program best address the needs of States, districts and schools,

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the Secretary establishes the following competitive preferences under 
34 CFR 75.105(c)(2). We will award an applicant, in addition to any 
points that it earns under the selection criteria for the category 1 
awards, up to five additional points for addressing each preference 
(for a total of up to 10 preference points):
    Competitive preference (1)--The grantee will provide detailed, 
high-quality information and technical assistance that will enable 
States, districts, and schools to select among multiple CSR providers, 
rather than provide such information or assistance concerning only one 
provider.
    Competitive preference (2)--The grantee will assist urban and rural 
LEAs and schools in more than one State.
    Invitational Priority for Category 1 Applicants: Under the Category 
1 Competition, the Secretary is particularly interested in receiving 
applications from applicants that meet the following invitational 
priority:
    The grantee will focus its efforts on providing States, LEAs, and 
schools with practical and useful information regarding the evidence of 
the success and effectiveness of widely-used comprehensive school 
reform models. The grantee will disseminate the findings of the reviews 
in a timely manner. Additionally, the grantee will provide direct 
technical assistance to States, LEAs, and schools in order to 
facilitate informed decision-making in the selection of models.
    Under 34 CFR 75.105(c)(1) the Secretary does not give an 
application that meets the invitational priority a competitive or 
absolute preference over other applications.
    Invitational Priority for Category 2 Applicants: For the Category 2 
Competition there is no absolute priority, or competitive preference. 
However, the Secretary is particularly interested in applications from 
applicants that meet the following invitational priority:
    The applicant has a demonstrated record of success in fostering the 
development and sustainability of multiple providers of comprehensive 
school reform models and services.
    Under 34 CFR 75.105(c)(1) the Secretary does not give an 
application that meets this invitational priority a competitive or 
absolute preference over other applications.
    Selection Criteria: We will use different selection criteria to 
evaluate the category 1 and category 2 applications.

(I) Selection Criteria for Category 1 Applicants

    We will use the following selection criteria and factors from the 
regulations at 34 CFR 75.210 in evaluating applications for grants 
under Category 1 `` Technical Assistance in Making Informed Decisions. 
The maximum score for each criterion is indicated in parenthesis. 
Within each criterion, we will evaluate each factor equally.
    The maximum score for all of the criteria is 100 points. Thus, the 
maximum score for this competition is 110 points (100 points under the 
selection criteria and 10 points under the competitive preferences).
    (a) Need for Project. (15 points) In determining the need for the 
proposed project, we consider--
    (1) The magnitude of the need for the services to be provided or 
the activities to be carried out by the proposed project.
    (2) The extent to which specific gaps or weaknesses in services, 
infrastructure, or opportunities have been identified and will be 
addressed by the proposed project, including the nature and magnitude 
of those gaps and weaknesses.
    (b) Significance. (5 points) In determining the significance of the 
proposed project, we consider--
    (1) The potential contribution of the proposed project to increased 
knowledge or understanding of educational problems, issues, or 
effective strategies.
    (2) The extent to which the proposed project is likely to build 
local capacity to provide, improve, or expand services that address the 
needs of the target population.
    (c) Quality of the Project Design. (35 points) In determining the 
quality of the design of the proposed project, we consider--
    (1) The extent to which the design of the proposed project is 
appropriate to, and will successfully address, the needs of the target 
population or other identified needs.
    (2) The extent to which the design for implementing and evaluating 
the proposed project will result in information to guide possible 
replication of project activities or strategies, including information 
about the effectiveness of the approach or strategies employed by the 
project.
    (3) The extent to which the design of the proposed project reflects 
up-to-date knowledge from research and effective practice.
    (d) Quality of Project Personnel. (30 points) In determining the 
quality of the personnel who will carry out the proposed project, we 
consider the extent to which the applicant encourages applications for 
employment from persons who are members of groups that have 
traditionally been underrepresented based on race, color, national 
origin, gender, age, or disability.
    In addition, we consider--
    (1) The qualifications, including relevant training and experience, 
of the project director; and
    (2) The qualifications, including relevant training and experience, 
of key project personnel.
    (a) Quality of the Project Evaluation. (15 points) In determining 
the quality of the evaluation of the proposed project, we consider--
    (1) The extent to which the methods of evaluation are thorough, 
feasible, and appropriate to the goals, objectives, and outcomes of the 
proposed project.
    (2) The extent to which the methods of evaluation are appropriate 
to the context within which the project operates.

(II) Selection Criteria for Category 2 Applicants

    We will use the following selection criteria and factors from the 
regulations at 34 CFR 75.210 in evaluating applications for grants 
under Category 2--Model Development and Capacity Building. The maximum 
score for each criterion is indicated in parenthesis. Within each 
criterion, we will evaluate each factor equally. The maximum score for 
all of the criteria is 100 points.
    (a) Need for the Project. (15 points) In determining the need for 
the proposed project, we consider the extent to which specific gaps or 
weaknesses in services, infrastructure, or opportunities have been 
identified and will be addressed by the proposed project, including the 
nature and magnitude of those gaps and weaknesses.
    (b) Significance. (5 points) In determining the significance of the 
proposed project, we consider--
    (1) The extent to which the proposed project involves the 
development or demonstration of promising new strategies that build on, 
or are alternatives to, existing strategies.
    (2) The likely utility of the products (such as information, 
materials, processes, or techniques) that will result from the proposed 
project, including the potential for their being used effectively in a 
variety of other settings.
    (3) The importance or magnitude of the results or outcomes likely 
to be attained by the proposed project, especially improvements in 
teaching and student achievement.

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    (c) Quality of the Project Design. (35 points) In determining the 
quality of the design of the proposed project, we consider--
    (1) The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable.
    (2) The extent to which the proposed project is based upon a 
scientific research design, and the quality and appropriateness of that 
design, including the scientific rigor of the studies involved.
    (3) The extent to which the design of the proposed project includes 
a thorough, high-quality review of the relevant literature, a high-
quality plan for project implementation, and the use of appropriate 
methodological tools to ensure successful achievement of project 
objectives.
    (d) Quality of Project Personnel. (30 points) In determining the 
quality of the personnel who will carry out the proposed project, we 
consider the extent to which the applicant encourages applications for 
employment from persons who are members of groups that have 
traditionally been underrepresented based on race, color, national 
origin, gender, age, or disability.
    In addition, we consider--
    (1) The qualifications, including relevant training and experience, 
of the project director; and
    (2) The qualifications, including relevant training and experience, 
of key project personnel.
    (e) Quality of the Project Evaluation. (15 points) In determining 
the quality of the evaluation of the proposed project, we consider--
    (1) The extent to which the methods of evaluation are thorough, 
feasible, and appropriate to the goals, objectives, and outcomes of the 
proposed project.
    (2) The extent to which the methods of evaluation are appropriate 
to the context within which the project operates.
    (3) The extent to which the methods of evaluation provide for 
examining the effectiveness of project implementation strategies.
    (4) The extent to which the methods of evaluation include the use 
of objective performance measures that are clearly related to the 
intended outcomes of the project and will produce quantitative and 
qualitative data to the extent possible.
    Waiver of Proposed Rulemaking: In accordance with the 
Administrative Procedure Act (5 U.S.C. 553) , it is the practice of the 
Secretary to offer interested parties the opportunity to comment on 
proposed rules. Section 437(d)(1) of the General Education Provisions 
Act (GEPA), however, allows the Secretary to exempt rules governing the 
first competition under a new or substantially revised program 
authority (20 U.S.C. 1232(d)(1)). This competition is the first CSR 
Quality Initiatives competition under section 1608 of the ESEA, as 
amended by Public Law 107-110, the No Child Left Behind Act of 2001, 
and therefore qualifies for this exemption. The Secretary, in 
accordance with section 437(d)(1) of GEPA, has decided to forego public 
comment in order to ensure timely grant awards. These rules will apply 
to the FY 2002 grant competition only.

Instructions for Transmittal of Applications

    (a) If an applicant wants to apply for a grant, the applicant 
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 No. 84.332B), 7th & D Streets, SW., Room 3633, 
Regional Office Building 3, Washington, DC 20202-4725, or
    (2) Hand deliver the original and two copies of the application by 
4:30 p.m. (Washington, DC time) on or before the deadline date to:
    U.S. Department of Education, Application Control Center, 
Attention: (CFDA No. 84.332B), 7th and D Streets, SW., Room 3633, 
Regional Office Building 3, Washington, DC 20202.
    (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--if 
not provided by the Department--in Item 3 of the Application for 
Federal Assistance (ED 424) the CFDA number--and suffix letter, if 
any--of the competition under which the application is being 
submitted.

Application Instructions and Forms

    The appendix to this notice contains 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, a list of relevant definitions from the authorizing 
statute and EDGAR, 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: Application for Federal Assistance (ED 424, Exp. 11/30/
2004) and instructions.
    Part II: 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 III: Application Narrative.
    Part IV: Assurances and Certifications: 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,

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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 two additional paper copies 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: Dr. Irene Harwarth, (202) 401-3751, 
U.S. Department of Education, OESE/AITQ, FB-6, Room 2W104, 400 Maryland 
Ave., SW., Washington, DC 20202-6200. The e-mail address for Dr. 
Harwarth is: [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 document in an 
alternative format (e.g., Braille, large print, audiotape, or computer 
diskette) on request to the contact person listed.
    Individuals with disabilities may obtain a copy of the application 
package in an alternative format, also, by contacting that person. 
However, the Department is not able to reproduce in an alternative 
format the standard forms included in the application package.

Electronic Access to This Document

    You may view this document, as well as all other Department of 
Education documents published in the Federal Register, in text or Adobe 
Portable Document Format (PDF) on the Internet at the following site: 
http://www.ed.gov/legislation/FedRegister.
    To use PDF, you must have Adobe Acrobat Reader, which is available 
free at this site. If you have any questions about using PDF, call the 
U.S. Government Printing Office (GPO) at (202) 512-1530 or, toll free, 
at 1-888-293-6498.

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


    Program Authority: 20 U.S.C. 6518.

    Dated: March 18, 2003.
Eugene W. Hickok,
Under Secretary of Education.

Appendix

Instructions for the Application Narrative

    The narrative is the section of the application where 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, an applicant should read carefully the 
description of the program and the selection criteria the Secretary 
uses to evaluate applications.
    Applicants should note there is a suggested 30-page limit for 
the application narrative with the following standards applying: (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 
must be double-spaced. The suggested 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.
    1. Begin with a one-page Abstract summarizing the project, 
including a description of project objectives and activities and any 
partners in the application.
    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.
    3. Describe how the applicant meets the absolute priority (if 
applicable).
    4. Describe how the applicant meets the competitive priority (if 
applicable).
    5. 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.
    6. 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 the applicant is addressing 
steps to promote equitable access and participation, or (2) a 
separate statement that contains this information.
    7. When applying for funds as a consortium, individual eligible 
applicants must enter into an agreement signed by all members. The 
consortium's agreement must detail the activities each member of the 
consortium plans to perform, and must bind each member to every 
statement and assurance made in the consortium's application. The 
designated applicant must submit the consortium's agreement with its 
application.
    8. Applicants may include supporting documentation as appendices 
to the narrative. This material should be concise and pertinent to 
the competition. Note that the Secretary considers only information 
contained in the application in ranking applications for funding 
consideration. Letters of support sent separately from the formal 
application package are not considered in the review by the 
technical review panels. (34 CFR 75.217)
    9. Attach copies of all required assurances and forms.

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 1890-0009 (Expiration Date: 06/
30/2005.) The time required to complete this information collection 
is estimated to average 80 hours per response, including the time to 
review instructions, search existing data resources, gather the data 
needed, and complete and review the information collection.

Checklist for Applicants

    The following forms and other items must be included in the 
application in the order listed below:
    1. Application for Federal Assistance (ED 424).
    2. Budget Information--Non-Construction Programs ED Form No. 
524) and budget narrative.
    3. 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.
    4. Consortia agreement, if applicable.
    5. Assurances--Non-Construction Programs (SF 424B).
    6. Certifications Regarding Lobbying; Debarment, Suspension, and 
Other Responsibility Matters; and Drug-Free Workplace Requirements 
(ED 80-0013).
    7. Disclosure of Lobbying Activities (Standard Form LLL) (if 
applicable).
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[FR Doc. 03-6859 Filed 3-20-03; 8:45 am]
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