[Federal Register Volume 63, Number 95 (Monday, May 18, 1998)]
[Notices]
[Pages 27408-27432]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-13160]
[[Page 27407]]
_______________________________________________________________________
Part IV
Department of Education
_______________________________________________________________________
Special Education: State Program Improvement Grants Program; Inviting
Applications for New Awards for Fiscal Year 1998; Notice
Federal Register / Vol. 63, No. 95 / Monday, May 18, 1998 / Notices
[[Page 27408]]
DEPARTMENT OF EDUCATION
[CFDA No.: 84.323A]
Special Education: State Program Improvement Grants Program;
Notice Inviting Applications for New Awards for Fiscal Year (FY) 1998
Note to Applicants: This notice is a complete application
package. Together with the statute authorizing the program and the
applicable regulations governing this program, including the
Education Department General Administrative Regulations (EDGAR),
this notice contains all of the information, application forms, and
instructions needed to apply for a grant under this program.
Purpose of Program: The purpose of this program, newly authorized
under the Individuals with Disabilities Education Act (IDEA) Amendments
of 1997, is to assist State educational agencies to establish a
partnership with local educational agencies and other State agencies
involved in, or concerned with, reforming and improving their systems
for providing educational, early intervention, and transitional
services, including their systems for professional development,
technical assistance, and dissemination of knowledge about best
practices, to improve results for children with disabilities.
Eligible Applicants: A State educational agency of one of the 50
States, the District of Columbia, or the Commonwealth of Puerto Rico or
an outlying area (United States Virgin Islands, Guam, American Samoa,
and the Commonwealth of the Northern Mariana Islands).
General Requirements: (a) Projects funded under this notice must
make positive efforts to employ and advance in employment qualified
individuals with disabilities in project activities (see Section 606 of
IDEA);
(b) Applicants and grant recipients funded under this notice must
involve individuals with disabilities or parents of individuals with
disabilities in planning, implementing, and evaluating the projects
(see Section 661(f)(1)(A) of IDEA); and
(c) Projects funded under these priorities must budget for a two-
day Project Directors' meeting in Washington, D.C. during each year of
the project.
Deadline for Transmittal of Applications: October 1, 1998.
Deadline for Intergovernmental Review: November 30, 1998.
Available Funds: $21 million.
Estimated Range of Awards: Awards will be not less than $500,000,
nor more than $2,000,000, in the case of the 50 States, the District of
Columbia, and the Commonwealth of Puerto Rico; and not less than
$80,000, in the case of an outlying area. The Secretary sets the amount
of each grant after considering: (1) the amount of funds available for
making the grants; (2) the relative population of the State or outlying
area; and (3) the types of activities proposed by the State or outlying
area.
Estimated Average Size of Awards: $1,000,000.
Estimated Number of Awards: 21.
Note: The Department of Education is not bound by the estimated
size and number of awards in this notice.
Project Period: Not less than one year and not more than five
years.
Applicable Regulations: (a) The Education Department General
Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 80, 81,
82, 85, and 86; and (b) The selection criteria for this program are
drawn from EDGAR in 34 CFR 75.210.
Note: The regulations in 34 CFR part 86 apply to institutions of
higher education only.
Description of Program
The statutory authorization for this program and the application
requirements that apply to this competition are set out in section 651-
655 of the IDEA.
Findings and Purposes
(a) States are responding with some success to multiple pressures
to improve educational and transitional services and results for
children with disabilities in response to growing demands imposed by
ever-changing factors, such as demographics, social policies, and labor
and economic markets.
(b) In order for States to address those demands and to facilitate
lasting systemic change that is of benefit to all students, including
children with disabilities, States must involve local educational
agencies, parents, individuals with disabilities and their families,
teachers and other service providers, and other interested individuals
and organizations in carrying out comprehensive strategies to improve
educational results for children with disabilities.
(c) Targeted Federal financial resources are needed to assist
States, working in partnership with others, to identify and make needed
changes to address the needs of children with disabilities into the
next century.
(d) State educational agencies, in partnership with local
educational agencies and other individuals and organizations, are in
the best position to identify and design ways to meet emerging and
expanding demands to improve education for children with disabilities
and to address their special needs.
(e) Research, demonstration, and practice over the past 20 years in
special education and related disciplines have built a foundation of
knowledge on which State and local systemic-change activities can now
be based.
(f) Such research, demonstration, and practice in special education
and related disciplines have demonstrated that an effective educational
system now and in the future must--
(1) Maintain high academic standards and clear performance goals
for children with disabilities, consistent with the standards and
expectations for all students in the educational system, and provide
for appropriate and effective strategies and methods to ensure that
students who are children with disabilities have maximum opportunities
to achieve those standards and goals;
(2) Create a system that fully addresses the needs of all students,
including children with disabilities, by addressing the needs of
children with disabilities in carrying out educational reform
activities;
(3) Clearly define, in measurable terms, the school and post-school
results that children with disabilities are expected to achieve;
(4) Promote service integration, and the coordination of State and
local education, social, health, mental health, and other services, in
addressing the full range of student needs, particularly the needs of
children with disabilities who require significant levels of support to
maximize their participation and learning in school and the community;
(5) Ensure that children with disabilities are provided assistance
and support in making transitions as described in section 674(b)(3)(C)
of the Act;
(6) Promote comprehensive programs of professional development to
ensure that the persons responsible for the education or a transition
of children with disabilities possess the skills and knowledge
necessary to address the educational and related needs of those
children;
(7) Disseminate to teachers and other personnel serving children
with disabilities research-based knowledge about successful teaching
practices and models and provide technical assistance to local
educational agencies and schools on how to improve results for children
with disabilities;
(8) Create school-based disciplinary strategies that will be used
to reduce or
[[Page 27409]]
eliminate the need to use suspension and expulsion as disciplinary
options for children with disabilities;
(9) Establish placement-neutral funding formulas and cost-effective
strategies for meeting the needs of children with disabilities; and
(10) Involve individuals with disabilities and parents of children
with disabilities in planning, implementing, and evaluating systemic-
change activities and educational reforms.
Absolute Priority
Under Section 653 of the Act and 34 CFR 75.105(c)(3), the Secretary
gives an absolute preference to applications that meet the following
priority. The Secretary funds under this competition only those
applications that meet this absolute priority.
This priority supports projects that assist State educational
agencies and their partners in reforming and improving their systems
for providing educational, early intervention, and transitional
services, including their systems for professional development,
technical assistance, and dissemination of knowledge about best
practices, to improve results for children with disabilities.
State Improvement Plan
Applicants must submit a State improvement plan that--
(a) Is integrated, to the maximum extent possible, with State plans
under the Elementary and Secondary Education Act of 1965 and the
Rehabilitation Act of 1973, if appropriate;
(b) Identifies those critical aspects of early intervention,
general education, and special education programs (including
professional development, based on an assessment of State and local
needs) that must be improved to enable children with disabilities to
meet the goals established by the State under section 612(a)(16) of the
Act. Specifically, applicants must include:
(1) An analysis of all information, reasonably available to the
State educational agency, on the performance of children with
disabilities in the State, including--
(i) Their performance on State assessments and other performance
indicators established for all children, including drop-out rates and
graduation rates;
(ii) Their participation in postsecondary education and employment;
and
(iii) How their performance on the assessments and indicators
compares to that of non-disabled children;
(2) An analysis of State and local needs for professional
development for personnel to serve children with disabilities that
includes, at a minimum:
(i) The number of personnel providing special education and related
services; and
(ii) Relevant information on current and anticipated personnel
vacancies and shortages (including the number of individuals described
in paragraph (b)(2)(i) with temporary certification), and on the extent
of certification or retraining necessary to eliminate those shortages,
that is based, to the maximum extent possible, on existing assessments
of personnel needs;
(3) An analysis of the major findings of the Secretary's most
recent reviews of State compliance, as they relate to improving results
for children with disabilities; and
(4) An analysis of other information, reasonably available to the
State, on the effectiveness of the State's systems of early
intervention, special education, and general education in meeting the
needs of children with disabilities;
(c) Describes a partnership agreement that --
(1) Specifies --
(i) The nature and extent of the partnership among the State
educational agency, local educational agencies, and other State
agencies involved in, or concerned with, the education of children with
disabilities, and the respective roles of each member of the
partnership; and
(ii) How those agencies will work in partnership with other persons
and organizations involved in, and concerned with, the education of
children with disabilities, including the respective roles of each of
these persons and organizations; and
(2) Is in effect for the period of the grant;
(d) Describes how grant funds will be used in undertaking the
systemic-change activities, and the amount and nature of funds from any
other sources, including funds under part B of the Act retained for use
at the State level under sections 611(f) and 619(d) of the Act, that
will be committed to the systemic-change activities;
(e) Describes the strategies the State will use to address the
needs identified under paragraph (b), including how it will--
(1) Change State policies and procedures to address systemic
barriers to improving results for children with disabilities;
(2) Hold local educational agencies and schools accountable for
educational progress of children with disabilities;
(3) Provide technical assistance to local educational agencies and
schools to improve results for children with disabilities;
(4) Address the identified needs for in-service and pre-service
preparation to ensure that all personnel who work with children with
disabilities (including both professional and paraprofessional
personnel who provide special education, general education, related
services, or early intervention services) have the skills and knowledge
necessary to meet the needs of children with disabilities, including a
description of how it will--
(i) Prepare general and special education personnel with the
content knowledge and collaborative skills needed to meet the needs of
children with disabilities, including how the State will work with
other States on common certification criteria;
(ii) Prepare professionals and paraprofessionals in the area of
early intervention with the content knowledge and collaborative skills
needed to meet the needs of infants and toddlers with disabilities;
(iii) Work with institutions of higher education and other entities
that (on both a pre-service and an in-service basis) prepare personnel
who work with children with disabilities to ensure that those
institutions and entities develop the capacity to support quality
professional development programs that meet State and local needs;
(iv) Work to develop collaborative agreements with other States for
the joint support and development of programs to prepare personnel for
which there is not sufficient demand within a single State to justify
support or development of such a program of preparation;
(v) Work in collaboration with other States, particularly
neighboring States, to address the lack of uniformity and reciprocity
in the credentialing of teachers and other personnel;
(vi) Enhance the ability of teachers and others to use strategies,
such as behavioral interventions, to address the conduct of children
with disabilities that impedes the learning of children with
disabilities and others;
(vii) Acquire and disseminate, to teachers, administrators, school
board members, and related services personnel, significant knowledge
derived from educational research and other sources, and how the State,
if appropriate, will adopt promising practices, materials, and
technology;
(viii) Recruit, prepare, and retain qualified personnel, including
personnel with disabilities and personnel from groups that are
[[Page 27410]]
underrepresented in the fields of regular education, special education,
and related services;
(ix) Integrate its plan, to the maximum extent possible, with other
professional development plans and activities, including plans and
activities developed and carried out under other Federal and State laws
that address personnel recruitment and training; and
(x) Provide for the joint training of parents and special
education, related services, and general education personnel;
(5) Address systemic problems identified in Federal compliance
reviews, including shortages of qualified personnel;
(6) Disseminate results of the local capacity-building and
improvement projects funded under section 611(f)(4) of the Act;
(7) Address improving results for children with disabilities in the
geographic areas of greatest need; and
(8) Assess, on a regular basis, the extent to which the strategies
implemented under this subpart have been effective; and
(9) Coordinate its improvement strategies with public and private
sector resources.
Required Partners
Applicants must:
(a) Establish a partnership with local educational agencies and
other State agencies involved in, or concerned with, the education of
children with disabilities; and
(b) Work in partnership with other persons and organizations
involved in, and concerned with, the education of children with
disabilities, including--
(1) The Governor;
(2) Parents of children with disabilities;
(3) Parents of nondisabled children;
(4) Individuals with disabilities;
(5) Organizations representing individuals with disabilities and
their parents, such as parent training and information centers;
(6) Community-based and other nonprofit organizations involved in
the education and employment of individuals with disabilities;
(7) The lead State agency for part C of the Act;
(8) General and special education teachers, and early intervention
personnel;
(9) The State advisory panel established under part B of the Act;
(10) The State interagency coordinating council established under
part C of the Act; and
(11) Institutions of higher education within the State.
Optional Partners
A partnership established by applicants may include agencies such
as--
(a) Individuals knowledgeable about vocational education; (b) The
State agency for higher education;
(c) The State vocational rehabilitation agency;
(d) Public agencies with jurisdiction in the areas of health,
mental health, social services, and juvenile justice; and
(e) Other individuals.
Reporting Procedures
Each State educational agency that receives a grant shall submit
performance reports to the Secretary pursuant to a schedule to be
determined by the Secretary, but not more frequently than annually. The
reports must describe the progress of the State in meeting the
performance goals established under Section 612(a)(16) of the Act,
analyze the effectiveness of the State's strategies in meeting those
goals, and identify any changes in the strategies needed to improve its
performance. Grantees must also provide information required under
EDGAR at 34 CFR 80.40.
Use of Funds
Each State educational agency that receives a State Improvement
Grant under this program--
(a) May use grant funds to carry out any activities that are
described in the State's application and that are consistent with the
purpose of this program;
(b) Shall, consistent with its partnership agreement established
under the grant, award contracts or subgrants to local educational
agencies, institutions of higher education, and parent training and
information centers, as appropriate, to carry out its State improvement
plan;
(c) May award contracts and subgrants to other public and private
entities, including the lead agency under part C of the Act, to carry
out that plan;
(d)(1) Shall use not less than 75 percent of the funds it receives
under the grant for any fiscal year--
(i) To ensure that there are sufficient regular education, special
education, and related services personnel who have the skills and
knowledge necessary to meet the needs of children with disabilities and
developmental goals of young children; or
(ii) To work with other States on common certification criteria; or
(2) Shall use not less than 50 percent of those funds for these
purposes, if the State demonstrates to the Secretary's satisfaction
that it has the personnel described in paragraph (d)(1).
Selection Criteria
(a)(1) The Secretary uses the following selection criteria in 34
CFR 75.210 to evaluate applications for new grants under this
competition.
(2) The maximum score for all of these criteria is 100 points.
(3) The maximum score for each criterion is indicated in
parentheses.
(a) Need for project. (15 points) (1) The Secretary considers the
need for the proposed project.
(2) In determining the need for the proposed project, the Secretary
considers one or more of the following factors:
(i) The magnitude of the need for the services to be provided or
the activities to be carried out by the proposed project.
(ii) 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 or weaknesses.
(iii) The extent to which the proposed project will prepare
personnel for fields in which shortages have been demonstrated.
(b) Significance. (15 points) (1) The Secretary considers the
significance of the proposed project.
(2) In determining the significance of the proposed project, the
Secretary considers one or more of the following factors:
(i) The likelihood that the proposed project will result in system
change or improvement.
(ii) 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. (15 points) (1) The Secretary
considers the quality of the design of the proposed project.
(2) In determining the quality of the design of the proposed
project, the Secretary considers one or more of the following factors:
(i) The extent to which the goals, objectives, and outcomes to be
achieved by the proposed project are clearly specified and measurable.
(ii) The extent to which the design of the proposed project is
appropriate to, and will successfully address, the needs of the target
population or other identified needs.
(iii) The extent to which the proposed activities constitute a
coherent, sustained program of training in the field.
[[Page 27411]]
(iv) The extent to which the proposed project is designed to build
capacity and yield results that will extend beyond the period of
Federal financial assistance.
(v) The extent to which the design of the proposed project reflects
up-to-date knowledge from research and effective practice.
(vi) The extent to which the proposed project represents an
exceptional approach for meeting statutory purposes and requirements.
(vii) The extent to which the proposed project will be coordinated
with similar or related efforts, and with other appropriate community,
State, and Federal resources.
(viii) The extent to which the proposed project will establish
linkages with other appropriate agencies and organizations providing
services to the target population.
(ix) The extent to which the proposed project is part of a
comprehensive effort to improve teaching and learning and support
rigorous academic standards for students.
(d) Quality of project services. (15 points) (1) The Secretary
considers the quality of the services to be provided by the proposed
project.
(2) In determining the quality of the services to be provided by
the proposed project, the Secretary considers the quality and
sufficiency of strategies for ensuring equal access and treatment for
eligible project participants who are members of groups that have
traditionally been underrepresented based on race, color, national
origin, gender, age, or disability.
(3) In addition, the Secretary considers one or more of the
following factors:
(i) The extent to which the services to be provided by the proposed
project are appropriate to the needs of the intended recipients or
beneficiaries of those services.
(ii) The extent to which the services to be provided by the
proposed project reflect up-to-date knowledge from research and
effective practice.
(iii) The likely impact of the services to be provided by the
proposed project on the intended recipients of those services.
(iv) The extent to which the training or professional development
services to be provided by the proposed project are of sufficient
quality, intensity, and duration to lead to improvements in practice
among the recipients of those services.
(v) The extent to which the training or professional development
services to be provided by the proposed project are likely to alleviate
the personnel shortages that have been identified or are the focus of
the proposed project.
(vi) The likelihood that the services to be provided by the
proposed project will lead to improvements in the achievement of
students as measured against rigorous academic standards.
(vii) The extent to which the services to be provided by the
proposed project involve the collaboration of appropriate partners for
maximizing the effectiveness of project services.
(viii) The extent to which the technical assistance services to be
provided by the proposed project involve the use of efficient
strategies, including the use of technology, as appropriate, and the
leveraging of non-project resources.
(ix) The extent to which the services to be provided by the
proposed project are focused on those with greatest needs.
(e) Quality of project personnel. (10 points) (1) The Secretary
considers the quality of the personnel who will carry out the proposed
project.
(2) In determining the quality of project personnel, the Secretary
considers the extent to which the applicant encourages applications for
employment from persons who are members of groups that have
traditionally been underrepresented based on race, color, national
origin, gender, age, or disability.
(3) In addition, the Secretary considers one or more of the
following factors:
(i) The qualifications, including relevant training and experience,
of key project personnel.
(ii) The qualifications, including relevant training and
experience, of project consultants or subcontractors.
(f) Adequacy of resources. (10 points) (1) The Secretary considers
the adequacy of resources for the proposed project.
(2) In determining the adequacy of resources for the proposed
project, the Secretary considers one or more of the following factors:
(i) The adequacy of support, including facilities, equipment,
supplies, and other resources, from the applicant organization or the
lead applicant organization.
(ii) The relevance and demonstrated commitment of each partner in
the proposed project to the implementation and success of the project.
(iii) The extent to which the budget is adequate to support the
proposed project.
(iv) The extent to which the costs are reasonable in relation to
the objectives, design, and potential significance of the proposed
project.
(v) The extent to which the costs are reasonable in relation to the
number of persons to be served and to the anticipated results and
benefits.
(vi) The potential for continued support of the project after
Federal funding ends, including, as appropriate, the demonstrated
commitment of appropriate entities to such support.
(vii) The potential for the incorporation of project purposes,
activities, or benefits into the ongoing program of the agency or
organization at the end of Federal funding.
(g) Quality of the management plan. (10 points) (1) The Secretary
considers the quality of the management plan for the proposed project.
(2) In determining the quality of the management plan for the
proposed project, the Secretary considers one or more of the following
factors:
(i) The adequacy of the management plan to achieve the objectives
of the proposed project on time and within budget, including clearly
defined responsibilities, timelines, and milestones for accomplishing
project tasks.
(ii) The adequacy of procedures for ensuring feedback and
continuous improvement in the operation of the proposed project.
(iii) The adequacy of mechanisms for ensuring high-quality products
and services from the proposed project.
(iv) How the applicant will ensure that a diversity of perspectives
are brought to bear in the operation of the proposed project, including
those of parents, teachers, the business community, a variety of
disciplinary and professional fields, recipients or beneficiaries of
services, or others, as appropriate.
(h) Quality of the project evaluation. (10 points) (1) The
Secretary considers the quality of the evaluation to be conducted of
the proposed project.
(2) In determining the quality of the evaluation, the Secretary
considers one or more of the following factors:
(i) The extent to which the methods of evaluation are thorough,
feasible, and appropriate to the goals, objectives, and outcomes of the
proposed project.
(ii) The extent to which the methods of evaluation are appropriate
to the context within which the project operates.
(iii) The extent to which the methods of evaluation provide for
examining the effectiveness of project implementation strategies.
(iv) 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
[[Page 27412]]
quantitative and qualitative data to the extent possible.
(v) The extent to which the methods of evaluation will provide
performance feedback and permit periodic assessment of progress toward
achieving intended outcomes.
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 inter-
governmental partnership and a strengthened federalism by relying on
processes developed by State and local governments for 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 procedure established
in each State under the Executive Order. The addresses of individual
State Single Point of Contact are in the Appendix to this notice.
In States that have not established a process or chosen a program
for review, State, areawide, regional, and local entities may submit
comments directly to the Department.
Any State Process Recommendation and other comments submitted by a
State Single Point of Contact and any comments from State, areawide,
regional, and local entities must be mailed or hand-delivered by the
date indicated in this notice to the following address: The Secretary,
E.O. 12372--CFDA# 84.323A, U.S. Department of Education, Room 6213, 600
Independence Avenue, SW., Washington, D.C. 20202-0124.
Proof of mailing will be determined on the same basis as
applications (see 34 CFR 75.102). Recommendations or comments may be
hand-delivered until 4:30 p.m. (Washington, D.C. time) on the date
indicated in this notice.
Please note that the above Address is not the same address as
the one to which the applicant submits its completed application. Do
not send applications to the above address.
Instructions for Transmittal of Applications
(a) If an applicant wants to apply for a grant, the applicant
shall--
(1) Mail the original and three copies of the application on or
before the deadline date to: U.S. Department of Education, Application
Control Center, Attention: (CFDA# 84.323A), Washington, D.C. 20202-
4725; or
(2) Hand-deliver the original and three copies of the application
by 4:30 p.m. (Washington, D.C. time) on or before the deadline date to:
U.S. Department of Education, Application Control Center, Attention:
(CFDA# 84.323A), Room #3633, Regional Office Building #3, 7th and D
Streets, SW., Washington, D.C.
(b) An applicant must show one of the following as proof of
mailing:
(1) A legibly dated U.S. Postal Service postmark.
(2) A legible mail receipt with the date of mailing stamped by the
U.S. Postal Service.
(3) A dated shipping label, invoice, or receipt from a commercial
carrier.
(4) Any other proof of mailing acceptable to the Secretary.
(c) If an application is mailed through the U.S. Postal Service,
the Secretary does not accept either of the following as proof of
mailing:
(1) A private metered postmark.
(2) A mail receipt that is not dated by the U.S. Postal Service.
Notes: (1) The U.S. Postal Service does not uniformly provide a
dated postmark. Before relying on this method, an applicant should
check with its local post office.
(2) The Application Control Center will mail a Grant Application
Receipt Acknowledgment to each applicant. If an applicant fails to
receive the notification of application receipt within 15 days from
the date of mailing the application, the applicant should call the
U.S. Department of Education Application Control Center at (202)
708-9495.
(3) The applicant must indicate on the envelope and--if not
provided by the Department--in Item 10 of the Application for
Federal Assistance (Standard Form 424) the CFDA number and suffix
letter, if any, of the competition under which the application is
being submitted.
Application Instructions and Forms
The appendix to this notice is divided into three parts, plus a
statement regarding estimated public reporting burden, additional non-
regulatory guidance, and various assurances, certifications, and
required documentation. These parts and additional materials are
organized in the same manner that the submitted application should be
organized. The parts and additional materials are as follows:
Part I: Application for Federal Assistance (Standard Form 424 (Rev.
4-88)) and instructions.
Part II: Budget Information--Non-Construction Programs (ED Form No.
524) and instructions.
Part III: Application Narrative.
Additional Materials
The following forms and other items must be included in the
application:
a. Estimated Public Reporting Burden.
b. Assurances--Non-Construction Programs (Standard Form 424B) and
instructions.
c. Certifications Regarding Lobbying; Debarment, Suspension, and
Other Responsibility Matters; and Drug-Free Workplace Requirements (ED
80-0013) and instructions.
d. Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions (ED 80-0014, 9/90)
and instructions. (NOTE: This form is intended for the use of grantees
and should not be transmitted to the Department.)
e. Disclosure of Lobbying Activities (Standard Form LLL) (if
applicable) and instructions. The document has been marked to reflect
statutory changes. See the notice published by the Office of Management
and Budget in the Federal Register (61 FR 1413) on (January 19, 1996).
f. Addresses of the individual State Single Point of Contact.
g. Table of Contents.
An applicant may submit information on a photostatic copy of the
application and budget forms, the assurances, and the certifications.
However, the application form, the assurances, and the certifications
must each have an original signature. All applicants must submit one
original signed application, including ink signatures on all forms and
assurances, and three copies of the application. Please mark each
application as ``original'' or ``copy''. No grant may be awarded unless
a completed application has been received.
For Applications and General Information Contact
Requests for applications and general information should be
addressed to the Grants and Contracts Services Team, 600 Independence
Avenue, SW, room 3317, Switzer Building, Washington, DC 20202-2641. The
preferred method for requesting information is to FAX your request to:
(202) 205-8717. Telephone: (202) 260-9182. Individuals who use a
telecommunications device for the deaf (TDD) may call the TDD number:
(202) 205-8953.
Individuals with disabilities may obtain a copy of this notice or
the application packages referred to in this notice in an alternate
format (e.g. Braille, large print, audiotape, or computer diskette) by
contacting the
[[Page 27413]]
Department as listed above. However, the Department is not able to
reproduce in an alternate format the standard forms included in the
application package.
Electronic Access to This Document
Anyone may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or
portable document format (pdf) on the World Wide Web at either of the
following sites:
http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/news.html
To use the pdf you must have the Adobe Acrobat Reader Program with
Search, which is available free at either of the previous sites. If you
have questions about using the pdf, call the U.S. Government Printing
Office toll free at 1-888-293-6498.
Anyone may also view these documents in text copy only on an
electronic bulletin board of the Department. Telephone: (202) 219-1511
or, toll free, 1-800-222-4922. The documents are located under Option
G--Files/Announcements, Bulletins, and Press Releases.
Note: The official version of a document is the document
published in the Federal Register.
Dated: May 13, 1998.
Judith E. Heumann,
Assistant Secretary for Special Education and Rehabilitative Services.
Instructions for Estimated Public Reporting Burden
According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it displays a
valid OMB control number. The valid OMB control number for this
information collection is OMB No. 1820-0620. The time required to
complete this information collection is estimated to average between
50-130 hours per response, including the time to review instructions,
search existing data resources, gather the data needed, and complete
and review the information collection. If you have any comments
concerning the accuracy of the time estimate or suggestions for
improving this form, please write to: U.S. Department of Education,
Washington, D.C. 20202-4651. If you have any comments or concerns
regarding the status of your individual submission of this form, write
directly to: Office of Special Education Programs, U.S. Department of
Education, 600 Independence Avenue, SW., Washington, D.C. 20202-2641.
Application Narrative
The narrative should address fully all aspects of the selection
criteria in the order listed and should give detailed information
regarding each criterion. Do not simply paraphrase the criteria.
Provide position descriptions, not resumes.
Budget
Budget line items must support the goals and objectives of the
proposed project and be directly applicable to the program design and
all other project components.
Final Application Preparation
Use the above checklist to verify that all items are addressed.
Prepare one original with an original signature, and include six
additional copies. Do not use elaborate bindings or covers. The
application must be mailed to the Application Control Center (ACC) and
postmarked by the deadline date of October 1, 1998.
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 Requirements of
This Provision?
The following examples may help illustrate how an applicant may
comply with Section 427.
(1) An applicant that proposes to carry out an adult literacy
project serving, among others, adults with limited English proficiency,
might describe in its application how it intends to distribute a
brochure about the proposed project to such potential participants in
their native language.
(2) An applicant that proposes to develop instructional materials
for classroom use might describe how it will make the materials
available on audio tape or in braille for students who are blind.
(3) An applicant that proposes to carry out a model science program
for secondary students and is concerned that girls may be less likely
than boys to enroll in the course, might indicate how its 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 1820-0620 (Exp. 10/31/98).
[[Page 27414]]
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
sources, 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.
Questions and Answers
Following is a series of questions and answers that will serve as
guidance for State Educational Agency in completing the grant
application for a State Improvement Grant (SIG) as authorized by the
Individuals with Disabilities Education Act (IDEA). The questions were
chosen to provide additional insight into the statutory requirements
contained in the grant application. The questions were generated from a
number of sources including parents of students with disabilities,
Regional Resource Centers, the Federal Resource Center, State Directors
of Special Education, State Educational Agency staff and staff from the
Office of Special Education Programs.
Eligible Applicants
1. Who May Apply for a State Improvement Grant?
A State Educational Agency of one of the 50 States, the District of
Columbia, or the Commonwealth of Puerto Rico or an outlying area
(United States Virgin Islands, Guam, American Samoa, and the
Commonwealth of the Northern Mariana Islands).1 (Sections
602(18), 602(27), 652(a), and 655(a)(1)(2)).
---------------------------------------------------------------------------
\1\ Unless otherwise noted, the term ``state'' refers to the 50
States, the District of Columbia, the Commonwealth of Puerto Rico
and the outlying areas (United States Virgin Islands, Guam, American
Samoa and the Commonwealth of the Northern Mariana Islands).
---------------------------------------------------------------------------
2. Can Two or More SEAs Apply Jointly for a SIG?
No. A State applying for a State Improvement Grant shall submit an
individual application. However, included in the application will be a
description of how: (1) the State will work to develop collaborative
agreements with other States for the joint support and development of
programs to prepare personnel for which there is not sufficient demand
within a single State to justify support or development of such a
program of preparation; and (2) the State will work in collaboration
with other States, particularly neighboring States, to address the lack
of uniformity and reciprocity in the credentialing of teachers and
other personnel (Section 653(c)(3)(D)(iv) and (v)).
Partners
3. With Whom Is the State Supposed To Form Partnerships and How Are
Such Partnerships Structured?
Part D Subpart 1--State Program Improvement Grants for Children
with Disabilities, Section 652 (b) describes three types of State
partners. In order to be considered for a State Improvement Grant, a
State educational agency must establish a partnership with individuals
and organizations considered ``Required Partners.'' Required partners
are made up of two subsets of partners--those called ``Contractual
partners'' and those called ``Other partners.'' The SEA's contractual
partners are local educational agencies and other State agencies
involved in, or concerned with, the education of children with
disabilities. These partners are called contractual because they must
be parties to a formal ``partnership agreement'' that is explained
further below in question four. The ``other partners'' are individuals
and organizations involved in, and concerned with, the education of
children with disabilities, with whom the SEA must work in partnership
to implement the State improvement grant. Other partners may be, but
the SEA is not required to make them, parties to the formal partnership
agreement. Those ``other partners'' must include the Governor; parents
of children with disabilities; parents of nondisabled children;
individuals with disabilities; organizations representing individuals
with disabilities and their parents, such as parent training and
information centers; community-based and other nonprofit organizations
involved in the education and employment of individuals with
disabilities; the lead State agency for Part C; general and special
education teachers, and early intervention personnel; the State
advisory panel established under Part B; the State interagency
coordinating council established under Part C; and institutions of
higher education within the State.
In addition to required partners, the SEA, at its option, may
include as partners individuals and organizations called ``Optional
Partners.'' The SEA may include ``optional partners'' as parties to the
formal partnership agreement or work in partnership with them, without
them being parties to the partnership agreement. Those optional
partners may include individuals knowledgeable about vocational
education, the State agency for higher education, the State vocational
rehabilitation agency, public agencies with jurisdiction in the areas
of health, mental health, social services, and juvenile justice and
other individuals.
4. What is the Partnership Agreement and What Must It Include?
Each State Improvement Plan submitted with the State's application
shall include a description of the partnership agreement entered into
by the SEA with its contractual partners and with any ``other'' and
``optional'' partners who will be parties to the partnership agreement.
As specified in the grant application package, the partnership
agreement must specify the nature and extent of the partnership among
the SEA, the LEAs, and other State agencies involved in, or concerned
with, the education of children with disabilities. It must specify the
respective roles of each member of the partnership in the
implementation of the State improvement plan. The partnership agreement
must also specify how the SEA, LEAs, and other State agencies
identified above, will work in partnership with other persons and
organizations involved in, and concerned with, the education of
children with disabilities (these would be the ``other partners'' and
any ``optional partners''), and must specify the respective roles of
each of these persons and organizations (Section 653(c)(1)(B)).
The partnership agreement must indicate that it is in effect for
the period of the grant. The terms of the partnership agreement will
determine whether the SEA will award subgrants or contracts to any of
the partners listed in Section 654(a)(2)(A).
5. What Is the Connection Between the Partnership Agreement and the
SEA's Use of Funds?
The SEA shall, as appropriate, award contracts or subgrants to
LEAs, IHEs, and parent training and information centers identified in
the partnership agreement to carry out the State improvement plan. To
carry out the State improvement plan, the SEA may also award contracts
and subgrants to other public and private entities, including the lead
agency under Part C and other agencies that are partners, as well as
public and private entities that are not partners. It is anticipated
that an SEA will need and desire the resources of other individuals and
organizations to develop and implement all of the systemic change,
technical assistance, in-service and pre-service training,
[[Page 27415]]
dissemination and assessment activities designated in the State
improvement plan. There is, however, no required amount of funds that
must be used for contracts or subgrants (Section 654(a)(2)).
Funding availability and levels
6. What Are the Grant Amounts to States?
The Secretary shall make a grant to each State educational agency
whose application the Secretary has selected for funding under this
subpart in an amount for each fiscal year that is: (1) not less than
$500,000, nor more than $2,000,000, in the case of the 50 States, the
District of Columbia, and the Commonwealth of Puerto Rico; and (2) not
less than $80,000, in the case of an outlying area (United States
Virgin Islands, Guam, American Samoa and the Commonwealth of the
Northern Mariana Islands (Section 655(a)).
Beginning with fiscal year 1999, the Secretary may increase the
maximum amount under (1) to account for inflation.
7. How Will Decisions Be Made Regarding the Amount of Funds That States
Will Receive if Approved for a State Improvement Grant?
The Secretary will set the amount of each grant, within the limits
outlined in the response to question 6, after considering: (1) the
relative population of the State; (2) the types of activities proposed
by the State; and (3) the amount of funds available for making the
grants (Section 655(c)).
8. How Will the Connection Between Grant Amounts and ``Need'' Be
Determined?
As previously stated in the response to question 7, the Secretary
shall set the amount of each grant after considering: (1) the relative
population of the State; (2) the types of activities proposed by the
State or outlying area; and (3) the amount of funds available for
making the grants. ``Need'' will be determined through the quality of
the needs assessment performed under Section 653(b) including: (i) an
analysis of all information, reasonably available to the State
educational agency, on the performance of children with disabilities in
the State; (ii) an analysis of State and local needs for professional
development for personnel to serve children with disabilities; (iii) an
analysis of the major findings of the Secretary's most recent reviews
of State compliance, as they relate to improving results for children
with disabilities; and (iv) an analysis of other information, for
example, findings made by the Secretary's Office for Civil Rights,
reasonably available to the State, on the effectiveness of the State's
systems of early intervention, special education, and general education
in meeting the needs of children with disabilities.
9. What Will the Secretary Consider in Making an Award on a Competitive
Basis?
Using the selection criteria identified elsewhere in this
application package, the Secretary expects to select for funding
applications from States that demonstrate a need for improvement and
effective strategies to meet those State needs. The application should
show how the State plans to fulfill the purpose of the State
Improvement Grant, which is to assist State educational agencies and
their partners in reforming and improving their systems for providing
educational, early intervention, and transitional services, including
their systems for professional development, technical assistance, and
dissemination of knowledge about best practices, to improve results for
children with disabilities. The Secretary may give priority to
applications on the basis of need, as indicated by such information as
the findings of Federal compliance reviews (Section 653(d)).
10. When Will Funds Be Available?
First year funds to support the State Improvement Grant will become
available for obligation by the Federal Government on July 1, 1998 and
must be obligated by the Federal Government by September 30, 1999.
Improvement Strategies and Use of Funds
11. Can Funds From the State Improvement Grants be Distributed to LEAs
on a Competitive Basis?
Yes. The statute does not provide a particular method for States to
use when distributing State Improvement Grant funds to LEAs or other
entities. When awarding and administering subgrants, under 34 CFR
Sec. 80.37(a), the State must follow state law and procedures. As long
as the SEA's plan to contract or subgrant SIG funds is consistent with
the partnership agreement and the funds are used to support the
activities specified in the approved grant application, there is no
statutory prohibition against the funds being distributed to LEAs on a
competitive basis.
12. Can Charter Schools Be Involved as Partners in the State
Improvement Grant?
Yes. Charter schools are schools under contract--or charter--
between a public agency and groups of parents, teachers, community
leaders or others who want to create alternatives and choice within the
public school system. Charter schools can be involved as partners in
the State Improvement Grant, either as an LEA or as part of an existing
LEA, consistent with the State charter schools law.
13. Does the ``Service Obligation'' Apply to the Use of State
Improvement Grant Funds if They Are Being Used for Scholarships?
No. The ``service obligation'' contained under the Personnel
Preparation discretionary grant program provides that a recipient of a
scholarship funded by the Personnel Preparation program under Section
673(b), (c), (e), and to the extent appropriate (d), shall subsequently
perform work in the field in which they were trained or repay the cost
of the financial assistance. The service obligation only applies to
scholarships awarded under the Personnel Preparation program.
14. Can Funds Be Used To Prepare Early Intervention Personnel?
Yes, but only in limited circumstances. Under Section 654(b)(1) a
State educational agency that receives a grant shall use not less than
75 percent of the funds it receives under the grant for any fiscal year
to work with other States on common certification criteria or to ensure
that there are sufficient regular education, special education, and
related services personnel who have the skills and knowledge necessary
to meet the needs of children with disabilities and developmental goals
of young children. This Section ensures that based on the needs
assessment, the State focuses at least 75% of the funds received under
the State Improvement Grant on the professional development and
training of regular education, special education, or related services
personnel. Only 50% of the funds must be used on professional
development if the State can demonstrate to the Secretary that it has
sufficient personnel. Training that prepares personnel to deliver early
intervention services that could not also be considered regular
education, special education, or related services would not be a
permissible use of the 75%, or 50% as the case may be, of the funds.
However, it would be permissible for early intervention personnel to
participate in training in those areas of
[[Page 27416]]
special education and related services that would be useful to them,
even if the training is funded using the 75% of the funds. There is no
limitation on the use of the remaining 25% of the funds received under
the SIG; it can be used to train personnel to provide early
intervention services or for any other activity in an approved SIG
plan.
15. What Is the Relationship of the SIG to the State Set Aside Under
Part B?
In order to carry out the activities proposed in the State's SIG
application, a State may choose to supplement the State Improvement
Grant award with funds from the IDEA Part B State set aside (i.e., the
portion of the IDEA, Part B grant awards retained for use by the SEA
under Sections 611(f) and 619(d) of the Act for discretionary
purposes).
16. Can Funds From Sources Other Than the SIG Be Used to Support the
Required Activities for Awards Under This Program?
Yes. In addition to the SIG award, funds from other sources (e.g.,
other IDEA discretionary grants, Part B State set aside funds,
preschool grants) may be used, so long as those activities are
permissible under the funding statute and regulations to carry out any
activities described in the State's SIG application. States may also
use funds from private sources (e.g., foundations) to carry out
activities described in the State's application. In its State
Improvement Plan, the State must describe the amount and nature of
funds from any other sources, including the Part B funds retained for
use under Sections 611(f) and 619(d) of the Act and Part D
discretionary funds that will be committed to the SIG program.
17. Can SIG Funds Be Used for Direct Services to Children With
Disabilities?
Yes. The statute does not forbid the use of SIG funds for direct
services to children with disabilities; however, funding for these
services must come from the 25% or 50% of the grant award, as the case
may be, not obligated by statute to fund professional development
activities or to work with other States on common certification
criteria. In addition, the need for direct services must be one of the
critical aspects of early intervention, general education and special
education identified in the State's needs assessment. The direct
services improvement strategy must be described in the State's
application and be consistent with the purpose of the grant, which is
to assist State educational agencies and their partners in reforming
and improving their systems for providing educational, early
intervention, and transitional services, including their systems for
professional development, technical assistance, and dissemination of
knowledge about best practices, to improve results for children with
disabilities.
Strategies Used To Address Identified Needs
18. Is interstate Personnel Preparation Mandatory?
No. The State is required to describe how it will work to develop
collaborative agreements with other States for the joint support and
development of programs to prepare personnel for which there is not
sufficient demand within the State to justify support or development of
such a program of preparation (Section 653(c)(3)(D)(iv)). If the State
demonstrates, through its needs assessment, that there is sufficient
demand within the State to support its own personnel preparation
programs, then interstate collaborative agreements are not required.
19. Is Training of General Education Personnel Required?
Yes. In its application, the State is required to include a
description of how the State will prepare general as well as special
education personnel with the content knowledge and collaborative skills
needed to meet the needs of children with disabilities (Section
653(c)(3)(D)(i)).
20. Is Training of Parents Required?
Yes. In its application, the State is required to include a
description of how the State will provide for the joint training of
parents and special education, related services, and general education
personnel (Section 653(c)(3)(D)(x)).
Role of Regional Resource Center/Technical Assistance and Dissemination
Projects
21. What Role Can the Regional Resource Center (RRC) Play in the
Development of the State Improvement Plan and Grant Application?
The RRC is encouraged to provide general technical assistance to
States in the development of their State Improvement Plans. An RRC is
funded to provide technical assistance and resources to all states
within its region and must do so on an equitable basis across those
States. Helping States improve their special education programs is the
central mission of the RRCs and many State activities related to the
State Improvement Grant program will be crucial in these improvement
efforts. It would be inappropriate, however, for an RRC to help a State
in drafting its grant application or even to provide technical
assistance on strategies to improve the competitiveness of a State's
application because it could be viewed as providing a competitive
advantage to one potential applicant over another. On the other hand,
helping States, for example, with data analyses, needs assessments, and
facilitating meetings concerning planning the States' improvement
activities could be, except as noted above, a part of the RRC's
technical assistance activities to the States in their region. RRCs can
also assist States in their implementation of a State Improvement Grant
once those grants are awarded.
22. Can the State Use SIG Funds to Subcontract or Contract With the
University or Entity in Which the RRC is Located To Carry Out SIG
Activities?
Yes. The State can use SIG funds to subgrant or contract with the
University or entity in which the RRC is located to carry out SIG
activities. However, the University or other entity would need to
ensure that personnel time and other resources covered by the RRC's
cooperative agreement with the Department are not used to work on SIG
activities performed under such a subgrant or contract and that work
done under such other subcontract or contract is not represented as
being performed as part of the cooperative agreement with the
Department of Education.
23. Can Technical Assistance and Dissemination (TA&D) Projects Funded
by OSEP Play a Role in SIG Activities?
Similar to RRCs, TA&D projects funded by OSEP must ensure that the
services they provide are fairly and evenhandedly available to their
respective audience (under the terms of their OSEP funding agreement/
grant/contract) in all States, that the proposed SIG activity is
permissible under the terms of the particular Project's funding
agreement/grant/contract/with OSEP and that Projects do not accept SIG
funds under contract or grant with an SEA for activities they are
currently receiving Federal funds to provide. In addition, TA&D
projects, like the RRCs, should not engage in activities that could be
seen as providing a competitive advantage to any one State over others
in the SIG competition.
[[Page 27417]]
Relationship Between State Improvement Plan and other Federal statutes
and requirements
24. What is the Link Between the Comprehensive System of Personnel
Development (CSPD) and the SIG? What Are the Similarities and
Differences?
The requirements for a CSPD as amended by IDEA 97 must be
implemented by July 1, 1998 regardless of whether or not a State
receives a SIG. Under Section 612(a)(14) of IDEA, in order to be
eligible for funding under Part B, a State must have in effect a
comprehensive system of personnel development that is designed to
ensure an adequate supply of qualified special education, regular
education, related services, and early intervention personnel and that
meets the requirements contained in the personnel development sections
of the State Improvement Plan addressing needs assessment and
improvement strategies. It is intended that the CSPD meet the SIG
personnel development requirements so that it may serve as the
framework for the State's personnel development part of a SIG grant
application.
25. To What Extent Does This Plan Have To Be Linked to the Elementary
and Secondary Education Act of 1965 (ESEA) and the Rehabilitation Act
of 1973?
To the ``maximum extent possible'' State Improvement Plans must be
linked to State plans under ESEA and the Rehabilitation Act of 1973.
The IDEA Amendments of 1997 emphasize that children with disabilities
have access to the general curriculum and general educational reforms.
Although the legislation does not mention integration with any other
state plans under any other Federal statute, because the State
Improvement Plan is focused on systems change for students with
disabilities, integration with relevant state plans or projects would
be beneficial (Section 653(a)(2)(A)).
26. What Is the Relationship Between the Performance Goals and
Indicators a State Must Have to be Eligible for Part B and the State
Improvement Plan?
Under Part B (612(a)(16)), in order to be eligible to receive
financial assistance under Part B, the State must have in place by July
1, 1998 performance goals for children with disabilities that must
promote the purposes of the IDEA and be consistent, to the maximum
extent appropriate, with other goals and standards developed for
children established by the State and performance indicators to assess
progress toward achieving those goals. A State must have developed
those performance goals and indicators in order to apply for a State
Improvement Grant because in conducting the needs assessment required
as part of its application, the State shall identify those critical
aspects of early intervention, general education, and special education
programs that must be improved to enable children with disabilities to
meet the performance goals and indicators established by the State for
the performance of children with disabilities under Section 612(a)(16).
In submitting the required SIG performance reports to the Secretary
under Section 653(f), the State shall describe the progress of the
State in meeting the performance goals established under section
612(a)(16), analyze the effectiveness of the State's strategies in
meeting those goals, and identify any changes in the strategies needed
to improve its performance.
Monitoring and Corrective Action Plans
27. How Is the State Improvement Grant Aligned With Federal Compliance
Reviews?
There are three areas in which the State Improvement Grant aligns
with Federal compliance reviews. First, the State improvement plan must
include an analysis of the major findings of the Secretary's most
recent reviews of State compliance, as they relate to improving results
for children with disabilities (Section 653(b)(2)(C). The second is
that the State improvement plan must include a description of
strategies that will address systemic problems identified in Federal
compliance reviews, including shortages of qualified personnel (Section
653(c)(3)(E). The third area of alignment with monitoring is that in
determining competitive awards the Secretary may give priority to
applications on the basis of need, as indicated by such information as
the findings of Federal compliance reviews (Section 653(d)(2)).
28. Can the State Improvement Grant Funds be Used To Address
Deficiencies Identified in Federal Compliance Reviews?
Yes, if the activities to address the deficiencies are consistent
with the purposes of the grant and described in the State's
application. If, for example, a Federal compliance review identified
that a personnel shortage impacted on the provision of a free
appropriate public education to students with disabilities, then it
would be consistent with the purposes of the grant to use grant funds
to address the personnel shortage.
Applications, Length of Awards, and Reapplication
29. Can the First Grant be Written as a Planning Grant?
No. The purpose of the SIG program is to assist State educational
agencies, and their partners referred to in Section 652(b), in
reforming and improving their systems for providing educational, early
intervention, and transitional services, including their systems for
professional development, technical assistance, and dissemination of
knowledge about best practices, to improve results for children with
disabilities. In order to be funded a State must include in its
application improvement strategies that were developed to address State
and local needs identified in the State needs assessment. The purpose
of the needs assessment is to provide the necessary information to
facilitate the development of a State improvement plan that identifies
those critical aspects of early intervention, general education, and
special education programs that must be improved to enable children
with disabilities to meet the goals established by the State under
Section 612(a)(16). In conjunction with the needs assessment, the
improvement strategies (Section 653(c)) subsumed in the State
Improvement Plan constitute the State's plan for the use of SIG funds.
30. Is There a Page Limitation for the Application?
No. There is no page limitation for first year applications.
However, in order to facilitate the peer review process, applicants are
advised to submit applications that address all of the requirements of
the application and are well written, organized, succinct, and address
each of the selection criteria. It is also suggested that the
requirements be addressed in the order in which they appear in the
application package.
31. What Grant Period Can a State Request in its Initial Application?
A state may request a grant of from one to five years. However, the
Secretary may award a grant that is shorter than the state requests,
but not less than one year, if the state's application does not
sufficiently justify the full requested duration.
32. If a Project is Funded for Less Than Five Years, can it Be Extended
Later?
No, with the exception of relatively short ``no-cost'' extensions
that are sometimes given to allow the completion of project activities.
These
[[Page 27418]]
extensions do not award new funds or approve new activities.
33. After a State Completes One State Program Improvement Grant, Can it
Apply for Another? If so, Will it Compete Against all Applicants or
Only Against Other States That Have Received Previous Grants?
Yes, a state can apply for another SIG after it completes one. It
will be in competition with all applicants, not just those with
previous grants. The Secretary may give priority to applications on the
basis of need (Section 653(d)(2)).
34. If a State Applies Unsuccessfully in One Year, Will It Be Able To
Apply Again?
Yes.
35. Will a Project Be Approved and Funded All at Once or a Year at a
Time?
At the time of the initial grant award, the project duration of one
to five years will be determined and budgets for all years of the grant
will be established. However, funds can only be awarded one year at a
time. States receiving multi-year grants will submit annual performance
reports to demonstrate that their grants are making ``substantial
progress.'' Funding for project years after the first will be based, in
part, on these reports. This is not part of the competitive process of
awarding funds, and it is expected that funding will be continued each
year for the duration of the project, provided that substantial
progress is demonstrated and that Congress continues to fund the
program.
36. Does Funding Have To Be the Same for All Years of the Project?
No.
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[[Page 27431]]
State Single Points of Contact (as of December 2, 1997)
Note: In accordance with Executive Order 12372,
Intergovernmental Review of Federal Programs, this listing
represents the designated State Single Points of Contact (SPOCs).
Because participation is voluntary, some States and territories no
longer participate in the process. These include: Alabama, Alaska,
American Samoa, Colorado, Connecticut, Hawaii, Idaho, Kansas,
Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey,
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee,
Vermont, Virginia, and Washington.
The jurisdictions not listed no longer participate in the
process. However, an applicant is still eligible to apply for a
grant or grants even if its respective State, Territory,
Commonwealth, etc. does not have a SPOC.
Arizona
Joni, Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315,
FAX: (602) 280-8144
Arkansas
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and Administration,
1515 W. 7th Street, room 412, Little Rock, Arkansas 72203, Telephone:
(501) 682-1074, FAX: (501) 682-5206
California
Grants Coordinator, Office of Planning and Research, 1600 Ninth Street,
room 250, Sacramento, California 95814, Telephone: (916) 323-7480, FAX:
(916) 323-3018
Block Grants only that pertain to Mental Health Substance Abuse
PATH
Delaware
Francine Booth, State Single Point of Contact, Executive Department,
Office of the Budget, Thomas Collins Building, P.O. Box 1401, Dover,
Delaware 19903, Telephone: (302) 739-3326, FAX: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Management & Development, 717 14th Street, NW., suite 400, Washington
D.C. 20005, Telephone: (202) 727-6554, FAX: (202) 727-1617
Florida
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, FAX: (904-487-2899
Georgia
Tom L. Reid, III, Coordinator, Georgia State Clearinghouse, 270
Washington Street, S.W.--8th Floor, Atlanta, GA 30334, Telephone: (404)
656-3855, FAX: (404) 656-3828
Illinois
Ms. Virginia Bova, Single Point of Contact, Illinois Department of
Commerce and Community Affairs, James R. Thompson Center, 100 West
Randolph, Suite 3-400, Chicago, IL 60601, Telephone: (312) 814-6028,
FAX: (312) 814-1800
Indiana
Frances Williams, State Budget Agency, 212 State House, Indianapolis,
Indiana 46204-2796, Telephone: (317) 232-5619, FAX: (317) 239-3323
Iowa
Steven R. McCann, Division for Community Assistance, Iowa Department of
Economic Development, 200 East Grand Avenue, Des Monies, Iowa 50309,
Telephone: (515) 242-4719, FAX: (515) 242-4809
Kentucky
Kevin J. Goldsmith, Director, John-Mark Hack, Deputy Director, Sandra
Brewer, Executive Secretary, Intergovernmental Affairs, Office of the
Governor, 700 Capitol Avenue, Frankfort, Kentucky 40601, Telephone:
(502) 564-2611, FAX: (502) 564-2849
Maine
Joyce Benson, State Planning Office, 184 State Street, 38 State House
Station, Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207)
287-6489
Maryland
William G. Carroll, Manager, Plan & Project Review, Maryland Office of
Planning, 301 W. Preston Street, room 1104, Baltimore, Maryland 21201-
2365, Staff Contact: Linda Janey, Telephone: (410) 767-4490, FAX: (410)
767-4480
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 660 Plaza
Drive, suite 1900, Detroit, Michigan 48226, Telephone: (313) 961-4266,
FAX: (313) 961-4869
Mississippi
Cathy Mallette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39302-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of Administration,
P.O. Box 809, Room 760, Truman Building, Jefferson City, Missouri
65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702) 687-
3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Mike Blake, Intergovernmental Review Process, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155, FAX:
(603) 271-1728
New Mexico
Robert Peters, State Budget Division, Room 190, Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-5617
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, suite 5106, Raleigh, North
Carolina 27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
Rhode Island
Kevin Nelson, Review Coordinator, Department of Administration,
Division of Planning, One Capitol Hill, 4th floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083
South Carolina
Rodney Grizzle, State Single Point of Contact, Grant Services, Office
of the Governor, 1205 Pendleton Street, room 331, Columbia, South
Carolina
[[Page 27432]]
29201, Telephone: (803) 734-0494, FAX: (803) 734-0356
Texas
Tom Adams, Governors Office, Director, Intergovernmental Coordination,
P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 463-1771, FAX:
(512) 463-1880
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114, Telephone:
(801) 538-1535, FAX: (801) 538-1547
West Virginia
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248
Wisconsin
Jeff Smith, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street, 6th floor, P.O.
Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267, FAX:
(608) 267-6931
Wyoming
Matthew Jones, State Single Point of Contact, Office of the Governor,
200 West 24th Street, State Capitol, room 124, Cheyenne, Wyoming 82002,
Telephone: (307) 777-7446, FAX: (307) 632-3909.
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone: 011-671-472-2285, FAX: 011-671-472-2825.
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809) 727-
4444; (809) 723-6190, FAX: (809) 724-3270; (809) 724-3103.
North Mariana Islands
Mr. Alvaro A. Santos, Executive Officer, Office of Management and
Budget, Office of the Governor, Saipan, MP 96950, Telephone: (670) 664-
2256, FAX: (670) 664-2272, Contact person: Ms. Jacoba T. Seman, Federal
Programs Coordinator, Telephone: (670) 664-2289, FAX: (670) 664-2272.
Virgin Islands
Nellon Bowry, Director, Office of Management and Budget, #41 Norregade
Emancipation Garden Station, Second Floor, Saint Thomas, Virgin Islands
00802. Please direct all questions and correspondence about
intergovernmental review to: Linda Clarke, Telephone: (809) 774-0750,
FAX: (809) 776-0069.
Note: This list is based on the most current information
provided by the States. Information on any changes or apparent
errors should be provided to Donna Rivelli (Telephone: (202) 395-
5858) at the Office of Management and Budget and to the State in
question. Changes to the list will only be made upon formal
notification by the State. The list is updated every six months and
is also published biannually in the Catalogue of Federal Domestic
Assistance. The last changes made were Kentucky (12-2-97) and
California telephone and FAX numbers (1-29-98).
[FR Doc. 98-13160 Filed 5-15-98; 8:45 am]
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