[Federal Register: May 24, 2002 (Volume 67, Number 101)]
[Page 36580-36583]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]



[CFDA 84.184B]

Mentoring Programs; Notice Inviting Applications for New Awards 
for Fiscal Year (FY) 2002

    Purpose of Program: This program provides assistance to promote 
mentoring programs for children with greatest need that: (1) Assist 
these children in receiving support and guidance from a mentor; (2) 
improve the academic performance of the children; (3) improve 
interpersonal relationships between the children and their peers, 
teachers, other adults, and family members; (4) reduce the dropout rate 
of the children; and (5) reduce the children's juvenile delinquency and 
involvement in gangs.
    Eligible Applicants: (1) Local educational agencies (LEAs); (2) 
nonprofit, community-based organizations (CBOs), which may include 
faith-based organizations; and (3) a partnership between an LEA and a 

    Note: We strongly encourage partnerships between LEAs and CBOs 
that propose school-based mentoring programs.

    Applications Available: May 24, 2002.
    Deadline for Transmittal of Applications: July 2, 2002.
    Deadline for Intergovernmental Review: September 2, 2002.
    Estimated Available Funds: $17,500,000.
    Estimated Range of Awards: $100,000-$200,000.
    Estimated Average Size of Awards: $150,000.
    Estimated Number of Awards: 115.

    Note: The Department is not bound by any estimates in this 

    Project Period: Up to 36 months.
    Applicable Regulations: (a) The Education Department General

[[Page 36581]]

Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 79, 80, 
81, 82, 85, 97, 98, and 99; and (b) the final priorities, selection 
criteria and definitions for this grant competition as published in 
this notice.


    Statutory Priority: This competition focuses exclusively on 
projects designed to meet the statutory priority in section 
4130(b)(5)(B) of the Elementary and Secondary Education Act (ESEA), as 
amended by the No Child Left Behind Act of 2001.
    To be eligible for funding, a project must propose mentoring 
programs and activities to serve children with the greatest need living 
in rural areas, high-crime areas, troubled home environments, or who 
attend schools with violence problems.
    For FY 2002 this priority is an absolute priority. Under 34 CFR 
75.105(c)(3) we consider only applications that meet this priority.
    Competitive Preference Priority: Within the statutory priority for 
this competition for FY 2002, we will award five additional points to 
novice applicants. These points are in addition to any points the 
application earns under the selection criteria for this program.

    Note: The total number of points an application may earn is 105.


    Projects funded under this priority must--
    (A) Link children with mentors who--
    (i) Have received training and support in mentoring;
    (ii) Have been screened using appropriate reference checks, child 
and domestic abuse record checks, and criminal background checks; and
    (iii) Are interested in working with children with greatest need;
    (B) Be designed to achieve one or more of the following goals with 
respect to children with greatest need:
    (i) Provide general guidance.
    (ii) Promote personal and social responsibility.
    (iii) Increase participation in, and enhance the ability to benefit 
from, elementary and secondary education.
    (iv) Discourage illegal use of drugs and alcohol, violence, use of 
dangerous weapons, promiscuous behavior, and other criminal, harmful, 
or potentially harmful activity.
    (v) Encourage participation in community service and community 
    (vi) Encourage setting goals and planning for the future, including 
encouragement of graduation from secondary school and planning for 
postsecondary education or training.
    (vii) Discourage involvement in gangs.
    Grant funds must be used for activities that establish or implement 
a mentoring program, which may include:
    1. Hiring of mentoring coordinators and support staff;
    2. Providing for the professional development of mentoring 
coordinators and support staff;
    3. Recruitment, screening, and training of mentors;
    4. Reimbursement to schools, if appropriate, for the use of school 
materials or supplies in carrying out the mentoring program;
    5. Dissemination of outreach materials; and
    6. Evaluation of the mentoring program using scientifically based 

Participation by Private School Children and Teachers

    LEAs that receive a Mentoring Programs grant are required to 
provide for the equitable participation of eligible private school 
students and their teachers or other educational personnel. In order to 
ensure that grant program activities address the needs of private 
school children, timely and meaningful consultation with appropriate 
private school officials must occur during the design and development 
of the program. Administrative direction and control over grant funds 
must remain with the grantee.

Maintenance of Effort

    An LEA may receive a grant under Mentoring Programs only if the 
State educational agency finds that the combined fiscal effort per 
student or the aggregate expenditures of the agency and the State with 
respect to the provision of free public education by the agency for the 
preceding fiscal year was not less than 90 percent of the combined 
fiscal effort or aggregate expenditures for the second preceding fiscal 

Prohibited Uses of Funds

    Grant funds may not be used to (1) directly compensate mentors; (2) 
obtain educational or other materials or equipment that would otherwise 
be used in the ordinary course of the grantee's operations; or (3) 
support litigation of any kind.

Participation of Faith-based Organizations

    Faith-based organizations are eligible to apply for grants under 
this competition provided they meet all statutory and regulatory 

General Information

    The Assistant Secretary may take into consideration the geographic 
distribution of the projects, including urban and rural locations, in 
addition to the rank order of applicants. To the extent practicable, 
the Assistant Secretary will select not less than one grant recipient 
from each State for which there is an eligible entity that submits an 
application of sufficient quality. Contingent upon the availability of 
funds, the Assistant Secretary may make additional awards in FY 2003 
from the rank-ordered list of unfunded applications from this 

Application Requirements

    Applications submitted under this program must include the 
    (1) A description of the plan for the mentoring program the 
eligible entity proposes to carry out;
    (2) Information on the children expected to be served by the 
mentoring program;
    (3) A description of the mechanism the eligible entity will use to 
match children with mentors based on the needs of the children;
    (4) Information regarding how mentors and children will be 
recruited to the mentoring program;
    (5) Information regarding how prospective mentors will be screened;
    (6) Information on the training that will be provided to mentors; 
    (7) Information on the system that the eligible entity will use to 
manage and monitor information relating to the mentoring program's:
    (i) Reference checks;
    (ii) Child and domestic abuse record checks;
    (iii) Criminal background checks; and
    (iv) Procedure for matching children with mentors.


    Applicants must provide the following assurances:
    (1) An assurance that no mentor will be assigned to mentor so many 
children that the assignment will undermine the mentor's ability to be 
an effective mentor or the mentor's ability to establish a close 
relationship (a one-to-one relationship, where practicable) with each 
mentored child;
    (2) An assurance that the mentoring program will provide children 
with a variety of experiences and support, including--
    (i) Emotional support;
    (ii) Academic assistance; and
    (iii) Exposure to experiences that the children might not otherwise 
encounter on their own;

[[Page 36582]]

    (3) An assurance that the mentoring program will be monitored to 
ensure that each child assigned a mentor benefits from that assignment 
and that the child will be assigned a new mentor if the relationship 
between the original mentor and the child is not beneficial to the 
    (4) An assurance from each CBO submitting an application that it is 
eligible under the definitions provided.


    (1) The term ``child with greatest need'' means a child who is at 
risk of educational failure, dropping out of school, or involvement in 
criminal or delinquent activities, or who lacks strong positive role 
    (2) The term ``mentor'' means a responsible adult, a postsecondary 
school student, or a secondary school student who works with a child 
to--(a) Provide a positive role model for the child; (b) Establish a 
supportive relationship with the child; and (c) Provide the child with 
academic assistance and exposure to new experiences and examples of 
opportunity that enhance the ability of the child to become a 
responsible adult.
    (3) The term ``non-profit'' refers to a school, agency, 
organization, or institution owned and operated by one or more 
nonprofit corporations or associations, no part of the net earnings of 
which inures, or may lawfully inure, to the benefit of any private 
shareholder or individual.
    (4) The term ``community-based organization'' means a public or 
private nonprofit organization of demonstrated effectiveness that is 
representative of a community or significant segments of a community 
and provides educational or related services to individuals in the 
    (5) The term ``novice applicant'' means any applicant for a grant 
from the U.S. Department of Education that:
    (a) Has never received a grant or subgrant under the program from 
which it seeks funding;
    (b) Has never been a member of a group application, submitted in 
accordance with 34 CFR 75.127-75.129, that received a grant under the 
program from which it seeks funding; and
    (c) Has not had an active discretionary grant from the Federal 
Government in the five years before the deadline date for applications 
under the program. For the purposes of this requirement, a grant is 
active until the end of the grant's project or funding period, 
including any extensions of those periods that extend the grantee's 
authority to obligate funds.
    In the case of a group application submitted in accordance with 34 
CFR 75.127-75.129, to qualify as a novice applicant a group includes 
only parties that meet the requirements listed above.
    Selection Criteria: The Assistant Secretary will use the following 
selection criteria to evaluate applications under this competition. The 
maximum score for all of these criteria is 100 points. The maximum 
score for each criterion is indicated in parentheses.
    (1) Need for project. (10 points)
    In determining the need for the proposed project, the following 
factors are considered:
    (a) The magnitude of the need for the services to be provided or 
the activities to be carried out by the proposed project. (10 points)
    (2) Quality of the project design. (55 points)
    In determining the quality of the design of the proposed project, 
the following factors are considered:
    (a) The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable; 
(5 points)
    (b) The extent to which parents, teachers, community-based 
organizations, and the local community have participated, or will 
participate, in the design and implementation of the proposed mentoring 
program; (5 points)
    (c) The quality of the system that will be used to manage and 
monitor mentor reference checks, including child and domestic abuse 
record checks and criminal background checks; (15 points)
    (d) The quality of the training that will be provided to mentors, 
including follow-up and support of each match between mentor and child; 
(10 points)
    (e) The quality of the mechanism that will be used to match 
children with mentors, based on the needs of the children, and ensure 
that mentors will develop longstanding relationships with the children 
they mentor; (5 points)
    (f) The extent to which the proposed project will serve children 
with the greatest need in the 4th and 8th grades, and continue to serve 
children from the 9th grade through graduation from secondary school, 
as needed; (5 points)
    (g) The capability of the applicant to effectively implement its 
mentoring program; (5 points)
    (h) The resources that will be dedicated to providing children with 
opportunities for job training or postsecondary education. (5 points)
    (3) Quality of project personnel. (20 points)
    In determining the quality of project personnel, the Secretary 
    (a) 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; (5 points)
    (b) The qualifications, including relevant training and experience, 
of key project personnel; (5 points)
    (c) The quality of the plan to recruit mentors. (10 points)
    (4) Quality of the project evaluation. (15 points)
    In determining the quality of the evaluation, the following factors 
are considered:
    (a) The extent to which the methods of evaluation are thorough, 
feasible, and appropriate to the goals, objectives, and outcomes of the 
proposed project; (10 points)
    (b) The extent to which the methods of evaluation will provide 
performance feedback and permit periodic assessment of progress toward 
achieving intended outcomes. (5 points)
    Waiver of Proposed Rulemaking: Under the Administrative Procedure 
Act (5 U.S.C. 553), the Secretary generally offers interested parties 
the opportunity to comment on proposed rules. Section 437(d)(1) of the 
General Education Provisions Act, however, exempts from this 
requirement rules that apply to the first competition under a new or 
substantially revised program authority. This is the first competition 
under the Mentoring Programs grant competition. These rules will apply 
to this FY 2002 grant competition only.
    For Applications and Other Information Contact: Copies of the 
application for this competition are available from EDPubs at 1-877-
4EDPubs, and on the Internet at http:[chyph]//www.ed.gov/offices/OESE/
SDFS. For all other questions, please contact Bryan Williams, U.S. 
Department of Education, 400 Maryland Avenue, SW, Room 3E259, 
Washington, DC 20202-6123. Telephone: (202) 260-2391. Email address: 
    If you use a telecommunications device for the deaf (TDD), you may 
call the Federal Information Relay Service (FIRS) at 1-888-877-8339.
    Individuals with disabilities may obtain this document, or an 
application package in an alternative format (e.g., Braille, large 
print, audiotape, or computer diskette) on request to the contact 
person listed at the beginning of this section. However, the Department 
is not able to reproduce in an alternative format the standard forms 
included in the application package.

Electronic Access to This Document

    You may view this document, as well as all other Department of 
Education documents published in the Federal

[[Page 36583]]

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

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

Pilot Project for Electronic Submission of Applications

    Note: Some of the procedures in these instructions for 
transmitting applications differ from those in the Education 
Department General Administrative Regulations (EDGAR) (34 CFR 
75.102). Under the Administrative Procedure Act (5 U.S.C. 553) the 
Department generally offers interested parties the opportunity to 
comment on proposed regulations. However, these amendments make 
procedural changes only and do not establish new substantive policy. 
Therefore, under 5 U.S.C. 553(b)(A), the Secretary has determined 
that proposed rulemaking is not required.

    In FY 2002, the U.S. Department of Education is continuing to 
expand its pilot project of electronic submission of applications to 
include additional formula grant programs and additional discretionary 
grant competitions. The Mentoring Program is one of the programs 
included in the pilot project. If you are an applicant under this grant 
competition, you may submit your application to us in either electronic 
or paper format.
    The pilot project involves the use of the Electronic Grant 
Application System (e-APPLICATION, formerly e-GAPS) portion of the 
Grant Administration and Payment System (GAPS). We request your 
participation in this pilot project. We will continue to evaluate its 
success and solicit suggestions for improvement.
    If you participate in this e-APPLICATION pilot, please note the 
    [sbull] Your participation is voluntary.
    [sbull] You will not receive any additional point value or penalty 
because you submit a grant application in electronic of paper format.
    [sbull] You can submit all documents electronically, including the 
Application for Federal Assistance (ED 424), Budget Information--Non-
Construction Programs, (ED 524), and all necessary assurances and 
    [sbull] Within three working days of submitting your electronic 
application, fax a signed copy of the Application for Federal 
Assistance (ED 424) to the Application Control Center after following 
these steps:
    1. Print ED 424 from the e-APPLICATION system.
    2. Make sure that the institution's Authorized Representative signs 
this form.
    3. Before faxing this form, submit your electronic application via 
the e-APPLICATION system. You will receive an automatic 
acknowledgement, which will include a PR/Award number (an identifying 
number unique to your application).
    4. Place the PR/Award number in the upper right corner of the ED 
    5. Fax ED 424 to the Application Control Center at (202) 260-1349.
    [sbull] We may request that you give us original signatures on all 
other forms at a later date.
    You may access the electronic grant application for Mentoring 
Programs at http://e-grants.ed.gov.
    We have included additional information on the e-APPLICATION pilot 
project (see Parity Guidelines between Paper and Electronic 
Applications) in the application package.
    If you want to apply for a grant and be considered for funding, you 
must meet the deadline requirements listed above.

    Program Authority: 20 U.S.C. 7140.

    Dated: May 16, 2002.
Susan B. Neuman,
Assistant Secretary for Elementary and Secondary Education.
[FR Doc. 02-13161 Filed 5-23-02; 8:45 am]