Looking at the SLC program
1. What is the purpose of the Smaller Learning Communities (SLC) program?
The Smaller Learning Communities program supports the development of small, safe and successful learning environments in large high schools. The goal is to ensure that all students graduate with the knowledge and skills necessary to make successful transitions to college and careers.
This program provides competitive grants to local educational agencies (LEAs), or to schools funded by the Bureau of Indian Affairs (BIA), to develop, implement, or expand smaller learning communities in their large high schools. The Department expects these strategies to:
- improve student achievement;
- increase the number of students mastering State content and performance standards;
- improve student attendance rates, graduation rates, and college enrollment rates;
- reduce the frequency of disciplinary actions; and
- create a safe, drug-free learning environment.
2. What other Department programs can be used to support high school improvement?
The Department has a number of programs designed to assist schools with other components of comprehensive reform. Among other things, Department programs can help high schools prepare students to meet challenging academic standards, train teachers in technology, expose students to the world of work, provide students with after-school activities and focus on local school improvement goals. Federal programs that can support some, or all, of these reform efforts include:
- Advanced Placement Programs
- Vocational and Technical Education
- Comprehensive School Reform
- GEAR UP
- Safe and Drug-Free Schools
- Educational Technology State Grants
- Title I (Improving the Academic Achievement of the Disadvantaged)
- Innovative Programs State Grants
- 21st Century Community Learning Centers
Pursuant to the statutory application requirements, applications will describe how the applicant will coordinate or use funds provided under this part with other funds provided under this chapter or other Federal laws.
3. Who is eligible to apply for an SLC grant?
Large public high schools are the intended beneficiaries of the SLC program. Thus, LEAs may apply on behalf of their large high schools. Large high schools funded by the Bureau of Indian Affairs (BIA schools) also may apply. Schools that are under construction, do not have an active student enrollment at the time of application, or that will open during the grant period are not eligible.
4. How is "large" high school defined?
The Department has defined a large high school as one that: (a) includes grades 11 and 12; and (b) enrolls at least 1,000 students in grades 9 and above.
5. Who may submit the SLC grant application?
An LEA submits grant applications on behalf of one or more eligible high schools. An LEA may submit an application on behalf of:
- one eligible high school in its district,
- a group of eligible high schools that includes no more than ten schools, or
- a group of two to ten LEAs, on behalf of up to ten eligible high schools.
If an LEA applies on behalf of more than one school in a single application, each high school in the application must meet the eligibility requirements of this program.
If an LEA submits more than one application, (there is no limit on the number of applications that one LEA may submit), it cannot include any school in more than one application. See question 19 for more information on funding limits.
6. What is an "LEA?"
The Elementary and Secondary Education Act, Title XIV, Part A, defines "local educational agency" in pertinent part as a public board of education or other public authority legally constituted within a State for either administrative control or direction of, or to perform a service function for, public elementary or secondary schools in a city, county, township, school district, or other political subdivision. An LEA may be in a city, county, township, school district, or some other political subdivision of a State. An LEA may also be a combination of school districts that are recognized in a State for administering public elementary or secondary schools.
For the full definition of "LEA," see 20 U.S.C. 8801 (18).
7. May public and private entities other than LEAs participate in this program?
The LEA, as the grantee, is the only authorized fiscal agent. However, applicants may form partnerships with other public or private agencies to plan or implement grant activities. Applicants must document the roles and responsibilities of all stakeholders that will be involved in the planning or implementation of grant activities.
8. Who can serve as the fiscal agent for the grant?
Only the LEA may serve as the fiscal agent for the grant.
9. Is an intermediate unit (e.g., a county office of education) eligible to apply for a grant?
Yes, if the intermediate unit has the characteristics of an LEA (please refer to question 6).
10. Can charter schools apply?
Yes. Charter schools are generally either LEAs or public schools within an LEA. Charter schools that are both LEAs and meet the definition of a large high school may apply directly. Charter schools that are not LEAs but meet the definition of a large high school may not apply directly, but may be the subject of an LEA's application.
11. Can private schools apply?
No. Under the statute authorizing smaller learning communities, only LEAs are eligible to apply for this grant. There is no provision in the legislation for providing services to private school students. However, the Department encourages LEAs to share their knowledge of effective smaller learning communities with private school officials.
12. Can a school propose to use SLC funds to create a single academy even though it cannot serve all students?
Nothing in the legislation precludes an applicant from developing a plan for a smaller learning community that includes only part of its total student population. However, in the "feasibility and soundness of the plan" selection criterion, it is stated that the Secretary will consider the extent to which "?the proposed smaller learning communities intervention(s) will benefit all students in the school?." The intent of the legislation is to restructure schools in order to raise student achievement for all high school students.
13. If a school has more than 1,000 students but is housed in two separate campuses, can an LEA apply on its behalf?
Yes. An LEA may apply on behalf of such a school if the district recognizes it as one high school and it meets the other eligibility criteria.
14. What is the "Secretary's Competitive Priority"?
Under a competitive preference priority, the Department gives competitive preference to an application by awarding additional points, depending on how well the application meets the competitive priority (34 CFR 75.105(c)(2)(i)).
Under the competition for FY 2001 funds, the Secretary's competitive priority calls for LEAs to submit applications on behalf of low-performing schools. Applicants are able to receive up to five additional points based on the proportion of schools in the application that are identified as low-performing. In order to receive additional points, LEAs must demonstrate the low-performing status of the school(s) included in the application and how they determined the low-performing status of the school(s).
15. How do I identify a low-performing school?
Local and State educational agencies may identify schools as low-performing, using the criteria in Title I, Part A, section 1116(c) of the Elementary and Secondary Education Act, which identifies for improvement any Title I school that has not made continuous and sustained progress over two years. In addition, SEAs and LEAs that have their own criteria for identifying low-performing schools may use those criteria to provide evidence for the competitive priority. The LEA must specify which method was used to determine the low-performing status of their school(s).
Types of Grants to be Awarded
16. What are the types of grants that will be awarded?
Under the SLC program, the Department will award both one-year planning and three-year implementation grants. LEAs may submit multiple applications targeting separate schools within each of the two funding categories. However, an LEA may not apply on behalf of the same eligible high school in more than one application.
17. How do the purposes of each type of grant differ?
The purpose of a planning grant is to assist grantees in the creation of smaller, more personalized learning environments. The Department expects the planning and development activities described in the applicant's planning grant proposal to result in a viable implementation plan.
The basic purpose of an implementation grant is to provide large high schools the means either to implement an already crafted implementation plan or expand an already existing SLC program.
18. What are their respective awards ranges?
For a planning grant, an LEA may receive, on behalf of a single school, $25,000 to $50,000 per project. LEAs applying on behalf of a group of eligible schools may receive funds up to $250,000 per planning grant. Districts must abide by the minimum and maximum school allocations when determining their group award request. Under this requirement, LEAs may not request funds for more than 10 schools under a single application.
For an implementation grant, an LEA may receive, on behalf of a single school, $250,000 to $500,000 per project. LEAs applying on behalf of a group of eligible schools may receive funds up to $2,500,000 per implementation grant. Districts must abide by the minimum and maximum school allocations when determining their group award request. Under this requirement, LEAs may not request funds for more than 10 schools under a group application.
19. Is there any limit on the amount of funding that an LEA can receive over the life of the program?
No, there is no limit on the amount of funding that an LEA can receive over the life of the program. However, as stated in the Notice in the Federal Register, the SLC program limits the amount of funding that an LEA may receive, in a given fiscal year, to $5 million.
20. What must each planning grant application describe?
As set out in the Federal Register Notice and application package for this program, SLC grant applicants must include all required application content as set out in the program statute under 10105 (a) of the ESEA. In an application for a planning grant, the applicant must describe the planning and development activities it intends to pursue in order to create a viable plan for implementing smaller learning communities. An "implementation plan" is a blueprint for establishing smaller learning communities within an existing school.
In describing how it will go about creating an implementation plan, the applicant should be sure to cover these points: (a) the school and student needs as determined through a comprehensive needs assessment at each school site, (b) steps that will be taken to select appropriate SLC structures and complementary strategies that meet the school and student needs, (c) steps that will be taken to formulate a plan of action for creating the implementation plan, (d) resources that will be committed to the planning process and (e) evidence of involvement by key stakeholders.
21. What kinds of planning activities can SLC grants support?
The Federal Register Notice and application package provide examples of the kinds of activities for which planning grantees will be able to use SLC grant funds. The Department expects planning grantees to develop a viable implementation plan during the period of their grant. Examples of activities that may be conducted with a planning grant include:
- conducting a needs assessment at each school site to determine the academic needs of students and the required skills and resources for addressing those needs,
- studying the opportunities for restructuring a large school as a set of smaller learning communities,
- investigating instructional and school-wide strategies that are appropriate for smaller learning communities,
- building consensus among key stakeholders,
- assessing staff training and development needs relative to the needs assessment,
- analyzing administrative support for the creation of the smaller learning environment, and
- developing strategies to include parents, business representatives, local institutions of higher education, community-based organizations (including faith-based organizations), and other community members in the smaller learning communities.
22. Will LEAs that are awarded planning grants receive any competitive preference in future competitions for implementation grants?
There is no statutory authority that gives preference to planning grantees. However, planning grantees may have a competitive advantage in that they have received resources to create a viable implementation plan. Thus, applying for an implementation grant will be a natural progression in creating smaller learning communities.
23. What must each implementation grant application describe?
As set out in the Federal Register Notice and application package for this program, SLC grant applicants must include all required application content as set out in the program statute under 10105 (a) of the ESEA. To apply for implementation funds, an applicant must be prepared either to implement a new smaller learning community program within each targeted high school, or to expand an existing smaller learning community program. Thus, applications for an implementation grant must include a viable implementation plan.
An implementation grant application will describe each school's need for smaller learning communities. It will include a viable implementation plan addressing, at a minimum, each of these points: (a) the structures that the school community has agreed to implement or expand, (b) the steps that were taken to select a program that will meet each school's needs, (c) how the program will work, including the alignment of the goals of the smaller learning communities with the needs of the school, especially as related to staff development, (d) the resources each school and school district will commit, (e) the system for monitoring the progress of the program, and (f) the administrative and managerial relationships among SLCs, the larger school community, and the LEA.
When preparing an implementation grant application, the applicant must include a discussion of how students will be assigned to smaller learning communities, noting that the section within ESEA authorizing the SLC program requires assignment to be random or reflect student choice.
24. What kinds of implementation activities can SLC grants support?
The Federal Register Notice and application package provide examples of the kinds of activities for which implementation grantees will be able to use SLC grant funds. The Department expects implementation grantees to restructure their large high schools into smaller learning communities. Examples of activities that may be conducted under an implementation grant include:
- implementing and expanding the structures of the smaller learning communities within the designated large high schools,
- implementing and expanding complementary personalization strategies within the designated large high schools,
- providing professional development for school staff as it relates to the needs of the staff and the goals of the smaller learning communities,
- involving parents, business representatives, local institutions of higher education, community-based organizations (including faith-based organizations), and other community members in the smaller learning communities,
- obtaining the services of outside experts, and
- providing stipends and release time for teachers, administrators, and community members involved in the implementation or expansion of the smaller learning community.
Distribution and Use of Funds
What are the authorized activities for which Smaller Learning Communities funds may be used?
According to Section 10105(b) of ESEA, funds from the Smaller Learning Communities program may be used:
- to study the feasibility of creating the smaller learning community or communities as well as effective and innovative organizational and instructional strategies that will be used in the smaller learning community or communities;
- to research, develop and implement strategies for creating the smaller learning community or communities, as well as effective and innovative changes in curriculum and instruction, geared to high State content standards and State student performance standards;
- to provide professional development for school staff in innovative teaching methods that challenge and engage students to be used in the smaller learning community or communities; and
- to develop and implement strategies to include parents, business representatives, local institutions of higher education, community-based organizations (including faith-based organizations), and other community members in the smaller learning communities, as facilitators of activities that enable teachers to participate in professional development activities, as well as to provide links between students and their community.
In order to perform the planned activities noted in items (a)-(d), applicants should refer to questions 21 and 24 for examples of allowable planning and implementation activities.
26. How should an LEA distribute funds to the school(s) on whose behalf it submitted an SLC grant application?
The Department fully expects the large majority of the funds to be expended at the "school building level," covering the activities, services and purchases identified in the application as occurring at the school-level.
27. How long are the grant funds available to the LEAs?
Planning grants will fund activities for up to 12 months. Implementation grants will fund activities for up to 36 months.
28. Will funds become available at once or will they be awarded annually for the duration of the performance period?
All grant funds for the Smaller Learning Communities program will be available at the time of the grant award. Although funds will be available at that time, grantees must meet all requirements pertaining to obligation and expenditure of funds throughout the grant period. For implementation grantees, uninterrupted access to funds will depend upon a grantee's close adherence to its yearly budget projections as well as submission of an annual performance report, showing adequate progress, during the three-year period of the grant.
29. Since funding is available for a three-year period, are there any limits on when the money can be spent?
The Department requires applicants to submit a detailed yearly budget as part of a complete application. Through GAPS, the Department of Education's Grants and Payments System, the Department will monitor grantees' spending activities. Grantees whose spending diverges from the plan outlined in their application will be required to explain any discrepancies and risk losing funds as will grantees that are not in compliance with GAPS regulations for drawing down and spending money.
30. What percentage of total grant funds may an LEA set aside to cover its administrative costs?
The legislation for the Smaller Learning Communities program does not establish a specific percentage that can be set aside to cover administrative costs. However, in keeping with the applicable cost principles, any set-aside must be "necessary and reasonable" for the proper and efficient administration of the SLC program.
31. May SLC funds be used to construct or purchase new facilities?
Funds may not be used to construct or purchase facilities (34 CFR 75.553).
Grant funds may be used to:
- complete minor renovations, (although grantees will need prior approval from the Department's SLC program office),
- rent new facilities, and
- purchase equipment on a limited basis (see question 32 for more information on limited equipment expenditures).
32. Grant funds can be used to cover "limited equipment" expenditures. What is the definition of "limited purchases?"
Although the Department has not specified an amount or percentage cap on equipment acquisitions with grant funds, applicants should be aware that grants awarded under this program are not to support large purchases of equipment--see the application guidelines. Under the "Adequacy of Resources" selection criterion, the Secretary will consider the extent to which the applicant will limit equipment costs in order to maximize the amount spent on delivery of services to students. Consequently, applications proposing equipment purchases as their primary purpose will probably not be competitive in that criterion. In addition, applicants should not propose spending plans for scheduled replacements or upgrades of equipment. Applicants may make modest equipment acquisitions with grant funds that enable them to establish a core infrastructure that can be used to seek additional and larger levels of equipment support from consortium members or from corporate donors or foundation sponsors.
33. Can SLC funds be used to purchase computers?
The legislation does not prohibit purchase of computers. The Department encourages applicants, however, to limit hardware costs because the intent of the program is to create smaller, personalized learning environments for students. The Department encourages applicants to look to other funding sources to support technology needs.
34. Can SLC funds be used to hire teachers?
The SLC program is designed to help large high schools create smaller, more personalized communities. The Department anticipates that many schools will find that their staffing needs change as they create smaller learning communities. Nevertheless, the Department encourages schools to avoid relying on temporary SLC funds to meet staffing needs.
Implementation grant applications must demonstrate the ability to sustain proposed SLCs at the end of the grant period. LEAs relying on SLC funds to pay teacher salaries seem unlikely to meet this goal.
35. May a grantee use SLC funds to reimburse a proposal-writing firm or a consultant for developing an application?
No. A grantee may not use SLC grant funds to cover the cost of proposal development. SLC funds may only be used for costs that are necessary and reasonable for the proper and efficient performance and administration of the SLC program.
36. If a grantee had already begun plans for developing or implementing small school structures, may SLC funds be used to reimburse the grantee for costs that were incurred prior to the date it was notified that it would receive SLC funds?
No. SLC funds may only be used to fund activities that take place after the grant funds are received.
37. How does the Department expect grantees to continue implementing smaller learning communities once SLC funds have expired?
The Department recognizes that there are costs associated with restructuring schools into smaller learning communities. Therefore, Smaller Learning Communities funds are start-up funds that allow schools to plan, implement, or expand smaller learning communities. Schools are required to determine how they will sustain smaller learning communities beyond the life of their grants. The Department expects that schools will use local, State, and other Federal funds to support smaller learning communities during and after the project period of this grant.
In accordance with the Notice in the Federal Register, schools that have received implementation funds through the SLC program are not eligible to apply for funds under subsequent SLC competitions.
38. What types of evaluation activities will be expected of grantees?
Grantees are not required to conduct an independent evaluation of their projects. The three most important data collection activities required by the Department of Education of implementation grantees will be (a) collecting student data to compile annual performance reports, (b) describing ongoing program implementation, and (c) collecting three years of baseline data for the program evaluation.
Annual performance reports will require grantees to produce numbers for several data elements that the Department believes are already contained in most data systems, and that are key for monitoring continuous improvement. Even so, some grantees will have to update existing student data systems so that they support a system of continuous improvement and provide the information needed for annual reports.
39. What types of data will grantees be required to collect and submit annually?
Grantees will submit an annual program performance report with the number of students:
- scoring at each proficiency level for each subject measured by the State assessment (district assessments may substitute where state assessments are not yet available),
- taking the SAT and ACT (and their average scores),
- taking courses for which they receive both high school and college credit,
- involved in extracurricular activities, and
- completing high school.
It will also report the:
- number of incidents of student violence,
- number of expulsions, suspensions, or other disciplinary actions,
- number of reported incidents of student alcohol or drug use, and
- overall average daily attendance for October.