20602 Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices

NATIONAL INSTITUTE FOR LITERACY

[CFDA NO. 84–257F]

Application for Technology Grant

Awards to Governor’s State Literacy

Resource Centers To Build a National

Electronic Information and

Communication Network for Literacy

by Establishing Regional Hubs on the

Internet in Each of the Four Regions

Designated by the Department of

Education’s Office of Vocational and

Adult Education

Note to Applicants: This notice is a

complete application package. Together with

the statute authorizing the program and

applicable regulations governing the

program, including the Education

Department General Administrative

Regulations (EDGAR), this notice contains all

the information, application forms,

regulations, and instructions needed to apply

for a grant under this competition.

AGENCY: The National Institute for

Literacy.

ACTION: Notice.

FOR FURTHER INFORMATION CONTACT:

Jaleh Behroozi, NIFL, 800 Connecticut

Avenue, NW., Suite 200, Washington,

DC 20006. Telephone: 202–632–1506.

FAX: 202–632–1515. e-mail: jaleh

literacy.nifl.gov.

Information about the Institute’s

funding opportunities, including the

application notices can be viewed on

the LINCS WWW server (under Current

Events, under grants). LINCS URL:

http://novel.nifl.gov.

SUPPLEMENTARY INFORMATION:

Definitions: For purposes of this

announcement the following definitions

apply:

‘‘Literacy’’ An individual’s ability to

read, write, and speak in English, and

compute and solve problems at levels of

proficiency necessary to function on the

job and in society, to achieve one’s goals

and develop one’s knowledge and

potential (as stated in the National

Literacy Act of 1991).

‘‘State Literacy Resources Centers

(SLRCs)’’ State or regional organizations

supported through any combination of

federal, state, or private funds that has

the purpose of coordinating the delivery

and improvement of literacy services

acress agencies and organizations in the

state or region, enhancing the capability

of state and local organizations to

provide literacy services, building a

database of literacy related information,

and working closely with the National

Institute for Literacy and other national

literacy organizations to enhance the

national literacy infrastruture.

‘‘Literacy Community’’ individuals

and groups at all levels nationwide that

are actively involved with adult literacy

and basic skills instruction, including

individuals such as researchers,

practitioners, policymakers, adult

learners, and administrators, and groups

such as state and local departments of

education, human services, and labor;

libraries; community-based

organizations; businesses and labor

unions; and volunteer and civic groups.

‘‘OVAE regions’’ the four regions of

the United States designated by the U.S.

Department of Education’s Office of

Vocational and Adult Education

(OVAE):

Area I: Connecticut, Delaware, District

of Columbia, Maine, Maryland,

Massachusetts, New Hampshire, New

Jersey, New York, Pennsylvania,

Puerto Rico, Rhode Island, Vermont,

Virgin Islands

Area II: Alabama, Arkansas, Florida,

Georgia, Kentucky, Louisiana,

Mississippi, North Carolina,

Oklahoma, South Carolina,

Tennessee, Texas, Virginia, West

Virginia

Area III: Ilinois, Indiana, Iowa, Kansas,

Michigan, Minnesota, Missouri,

Nebraska, North Dakota, Ohio, South

Dakota, Wisconsin

Area IV: Alaska, Arizona, California,

Colorado, Hawaii, Idaho, Montana,

Nevada, New Mexico, Oregon, Utah,

Washington, Wyoming, Federal States

of Micronesia, Guam, Marshall Island,

No. Mariana Islands

‘‘Regional Hub’’ an Internet-based

electronic information retrieval and

communication site, operating through

an SLRC, that acts as the focal point for

LINCS activity, including training and

technical assistance, for a particular

OVAE region.

Background: The National Institute

for Literacy (NIFL), as authorized by the

National Literacy Act of 1991, has the

legislative mandate to develop a

national literacy data base. The intent of

this mandate was to consolidate

scattered and inaccessible information

resources for literacy.

As a first step toward carrying out this

charge, and in keeping with the

Administration’s ‘‘information

superhighway’’ initiative, NIFL

conducted a study in 1992 of the

literacy community’s information needs

by type of users, quality and format of

existing literacy sources and data bases.

Following up on the results of this

survey in 1993, NIFL formed eight work

groups of representatives from the

literacy community to develop a vision

and work plan for establishing its

information and communications

system, which is now called LINCS (the

Literacy Information aNd

Communication System). The work

groups used a consensus-building

process to produce a framework,

standards, and guidelines for LINCS,

which are presented in NIFL’s ‘‘Starting

Point’’ manual.

In order to implement the work

groups’ vision and plans, NIFL

developed the LINCS on-line prototype

to examine and demonstrate the

potential and capabilities of an Internetbased national literacy information and

communication network.

The LINCS prototype has been

developed as a World Wide Web system

on the Internet, accessible by Mosaic

and Lynx. It is designed to access

literacy data available in multiple

locations, and features searchable

literacy holdings (including SLRC

holdings) and other literacy resources. It

also provides access to the databases of

ERIC , OTAN (Outreach and Technical

Assistance Network), TTRC (Training

Technology Resource Center) NCAL

(National Center on Adult Literacy), the

National Adult Literacy and Learning

Disability Center, and the Library of

Congress. In addition, the prototype

includes E-mail, an event calendar,

funding announcements, and

information on legislation.

NIFL’s plan for the next two years is

to establish the LINCS prototype as the

foundation for a national electronic

literacy network by upgrading the

technological capabilities of the field.

Major components of the plan are:

(1) To broaden the literacy

community’s access to literacy

resources,

(2) To develop politics and

procedures for information sharing

throughout the literacy community.

(3) To enhance awareness throughout

the literacy community about the

potential of a state-of-the-art

information and communications

technology for the field of adult

education,

(4) To ensure that LINCS keeps pace

with the state-of-the-art technology and

becomes increasingly more capable of

enriching literacy services through the

provision of comprehensive information

resources to the literacy community.

Overview of the technology project: In

order to build an infrastructure that can

support electronic communications and

information exchange for literacy, NIFL

proposes to support SLRCs in

establishing regional information and

communication hubs for literacy. These

hubs will create a base for expansion of

LINCS into a national network. Using

state-of-the art technology, the regional

hubs will facilitate access to information

and resource sharing within and among

the regional literacy communities and
Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices 20603

will encourage the collection of

information that will increase the

literacy knowledge base.

The NIFL will award up to four grants

to SLRCs for the creation of these

regional hubs. The grants will be used

as seed money to attract ongoing

support from other sources. Only one

grant will be made within each of the

four OVAE regions.

Purpose: The purpose of the

technology grant program is to create

regional electronic information and

communication hubs for literacy that

will—

1. build the technological capacity for

electronic information exchange among

SLRCs within each OVAE region

through consortia of states that

cooperate in sharing resources and

expertise.

2. enable individual SLRCs to share

data with the literacy community and

with major national adult literacy

holdings by linking them with each

other and the LINCS prototype.

3. demonstrate the use of the LINCS

prototype by other state agencies and

local adult literacy service providers in

efforts to improve program and

professional development.

4. increase the literacy field’s

knowledge base by using the ‘‘Starting

Point’’ manual standards to develop a

systematic procedure for collecting new

literacy information, resources,

especially unpublished materials.

NIFL intends the value of this

technology project to extend beyond the

SLRCs to the literacy community as a

whole. The larger goals of LINCS are to

bring the community together—literacy

researchers, practitioners,

administrators, students, and

policymakers—and to close the gap

between information ‘‘haves’’ and ‘‘have

nots.’’ These goals can only be met by

expanding the network to increasingly

greater numbers of individuals and

groups in the literacy field.

Eligible Applicants: All State Literacy

Resource Centers (SLRC’s) are eligible to

apply for an award under this program.

Deadline for Transmittal of

Applications: June 26, 1995.

Available Funds: In Fiscal Year 1995,

$600,000 is available for two year

technology cooperative agreement

awards. Year 2 funding is subject to

program authorization and availability

of appropriations, and contingent upon

satisfactory completion of the first year

plan of action.

Estimated Number of Awards: Up to

4, with no more than 1 award made

within each of the four OVAE regions.

Estimated Amount of Each Award:

$150,000.

Project Period: Up to 24 months.

Selection criteria: (a)(1) In evaluating

applications for a grant under this

competition, the Director uses the

following selection criteria.

(2) The maximum score for all of the

criteria in this section is 100 points.

(3) The maximum score for each

criterion is indicated in parentheses

with the criterion.

(b) The Criteria—(1) Mission and

Strategy. (10 points) The Director

reviews each application to determine

how well the applicant has related the

mission and strategy of the project to

NIFL’s overall goals and priorities,

including:

(i) The degree to which the plan for

creating a regional hub reflects an

understanding of the major tasks

necessary to achieve NIFL’s goals for

building regional capacity;

(ii) The quality of the plans for

developing an appropriate, coherent,

and effective program to achieve the

project’s goals;

(iii) The effectiveness of proposed

strategies for providing regional

leadership to consortium members and

other partners; and

(iv) The quality of plans to establish

effective working relationships with

other organizations in the region as

required for effective development of

the project.

(2) Institutional Capability (15 points)

The Director reviews each application to

determine the capabilities of the

organization to sustain a long-term,

high-quality, and coherent program,

including:

(i) The applicant’s experience in

establishing and carrying out

collaborative working relationships with

other states, other state agencies, and

other public and private groups;

(ii) The applicant’s experience in

developing materials and methods for

training and technical assistance to

adult literacy providers.

(iii) The ability of the applicant to

carry on the project when NIFL funding

has ended.

(3) Plan of Operation. (30 points) The

Director reviews each application to

determine the quality of the plan of

operation for the project, including:

(i) The quality of the design of the

project;

(ii) The extent to which the plan of

management is effective and ensures

proper and efficient administration of

the project;

(iii) How well the objectives of the

project relate to the purpose of the

LINCS;

(iv) The extent to which the applicant

provides for effective collaboration

between SLRCs and other agencies;

(v) The quality of the applicant’s plan

to use its resources and personnel to

achieve each objective; and

(vi) The extent to which the

applicant’s plan for year 1 provides for

achieving the minimum project

outcomes listed under Program

Narrative.

(4) Technical Soundness. (20 points)

The Director reviews each application to

determine the technical soundness of

the proposed project, including:

(i) The extent to which the applicant

demonstrates a thorough knowledge of

literacy data collections, dissemination

and applying the required Institute’s

guidelines and standards.

(ii) The extent to which the applicant

demonstrates knowledge of current

databases, telecommunications

practices, equipment configurations and

maintenance.

(iii) Evidence of the commitment of

the applicant to provide technical

support and equipment to the members

of consortium;

(iv) Evidence that the applicant will

consider the perspectives of a variety of

service providers in carrying out the

work of the consortium;

(v) The extent to which the training

content is comprehensive and at an

appropriate level; and

(vi) The extent to which training

methods are likely to be effective.

(5) Budget and cost effectiveness. (10

points) The Director reviews each

application to determine the extent to

which:

(i) The budget is adequate to support

consortium activities;

(ii) Costs are reasonable in relation to

the objectives of the consortium;

(iii) The budgets for any subcontracts

are detailed and appropriate; and

(iv) The budget details resources, cash

and in-kind, that the applicant and

others, particularly other consortium

members, will provide to the project in

addition to grant funds.

(6) Evaluation Plan. (10 points) The

Director reviews each application to

determine the quality of the evaluation

plan for the consortium, including the

adequacy of:

(i) The methods and mechanism

which will be used to document the

consortium’s progress in relation to its

mission and goals; and

(ii) The methods which will be used

to document the impact of the

consortium’s program on its target

audiences.

Applications should describe and

justify the methods used to ensure that

the consortium’s work is of high quality

as evaluated by the above procedures.

(7) Quality of Key Personnel. (5

points) The Director reviews each
20604 Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices

application to determine the quality of

key personnel for the project, including:

(i) The qualifications of the project

director for each project activity;

(ii) The qualifications of key

personnel in each consortium member

state for each project activity;

(iii) The extent to which key

personnel have experience and training

in fields related to the objectives of the

project; and

(iv) The applicant’s policy, as part of

its nondiscriminatory employment

practices, to ensure that its personnel

are selected for employment without

regard to race, color, national origin,

religion, gender, age, or disability.

Application Requirements

Project Narrative

The project narrative is critical and

must thoroughly reflect the capabilities

of the applicant, as well as the degree

and level of cooperation with other

SLRCs in the region, related to

implementing this technology project.

The narrative should not exceed

twenty (20) single-spaced pages, or forty

(40) double-spaced pages. The narrative

may be amplified by material in

attachments and appendices, but the

body should stand alone to give a

complete picture of the project.

Proposals which exceed 20 singlespaced pages or 40 double-spaced pages

will not be reviewed.

The narrative must encompass the full

two years of project activities and must

cover the following areas:

1. Mission and Strategy

a. State the goals and objectives of the

two-year project. Explain how they

relate to overall NIFL goals and

contribute to the development of LINCS.

b. Describe how the project will build

regional technological capacity.

c. Describe the services that will be

provided to other SLRCs in the region.

d. Explain how the project will serve

the broader literacy community.

e. State the overall expected project

achievements for the end of the twoyear grant period.

2. Institutional Capabilities

a. State the applicant’s qualifications

to act as lead site of a regional

consortium of all other SLRCs in the

region. Describe the applicant’s ability

to carry out the proposed project and to

deliver the proposed services.

b. Describe the applicant’s staff and

organizational capacity to play a

leadership role in mobilizing a

consortium of the region’s SLRCs to

carry out the work of this grant,

including the applicant’s willingness

and ability to—

(1) Serve as the lead resource for

sharing literacy data collections among

states and for developing its own and

other states’ collections on a local,

statewide and regional basis. The

applicant should have its own sizeable

literacy collection (or a clear plan for

acquiring such a collection), especially

unpublished material, and the capacity

to make it electronically available to

other SLRCs and state agencies.

(2) Organize its information holdings

and those of other SLRCs by applying

NIFL standards and guidelines as

presented in the ‘‘Starting Point’’

manual, as well as the literacy thesaurus

being developed by the NIFL work

group.

(3) Provide the necessary technical

support and expertise, especially in

telecommunications, to less

technologically advanced SLRCs. This

includes: ensuring continuing on-line

access among members, coordinating

the installation of equipment and

software, and providing technical

assistance and training as appropriate.

(4) Provide the necessary support and

expertise, as described in b(3) above, to

other state agencies and selected local

literacy service providers.

(5) Develop a plan for continuing the

project after the end of the two-year

project period, including prospective

sources of support.

(6) Collaborate with NIFL throughout

the process of creating the regional hub

in order to assure the uniform

presentation of information across the

LINCS.

(7) Share project experience with

other regions’ SLRCs and the NIFL

through quarterly performance reports.

c. Describe the applicant’s ability to

secure support from other agencies and

groups in sustaining the project at the

end of the two-year grant.

3. Plan of Operation

The applicant must develop a twoyear plan that is both ambitious and

realistic. While aiming high, the

applicant must demonstrate an

awareness of the constraints inherent in

each particular situation. The plan must

address both the immediate needs and

the future vision and direction of the

regional technology project.

The Director is particularly interested

in applicants whose plans include

provisions for—

• Forming a consortium with all other

SLRCs in the region and securing the

explicit commitment of each to

participate in the project through the

development of formal agreements

delineating the roles and

responsibilities of all members and a

regional plan of action with timelines of

tasks achieved, including input from

interested public and private

organizations;

• Increasing adult literacy holdings

and access of the literacy community to

these holdings as LINCS expands;

• Developing partnerships with other

state agencies and public and private

entities, including business and

industry, that can further project

objectives and provide ongoing support

to the project after the grant has ended;

• Collaborating with other related

electronic information exchange efforts,

such as those run through libraries and

universities, to widen usage of LINCS in

the field; and

• Expanding LINCS more broadly at

the state agency and local service

provider level.

Accordingly, the applicant’s plan

must address the following:

a. Regional Hub: Describe how the

applicant will establish a regional hub

on the Internet that will provide a

seamless interface between SLRCs in the

region and LINCS, including:

(1) How the applicant will establish

and maintain a regional hub that mirrors

the LINCS’s information structure and

the system architecture, as described in

Technical Soundness, sections a and b.

(2) What hardware, software, and

networking system will be used to

develop the hub and why they were

chosen.

(3) How the equipment meets NIFL

requirements.

(4) How the applicant will develop a

collection of unpublished literacy

materials.

(5) How the applicant will collect and

organize program data.

(6) How the applicant will ensure

adoption of ‘‘Starting Point’’ standards

and work with other SLRCs in the areas

of collection of data, organization and

information dissemination.

(7) How and to what extent the

applicant will involve other agencies

and organizations, especially state

departments of education, human

services, and labor, in the design and

implementation of the regional hub.

(8) How the applicant will achieve, at

a minimum, the following outcomes in

year 1:

(a) The establishment of a regional hub

for LINCS on the Internet

(b) An on-line database of unpublished

materials using ‘‘Starting Point’’

standards

(c) An on-line directory of the regional

consortium’s literacy programs using

‘‘Starting Point’’ standards

(d) A bulletin board function

(e) Link-up with at least to major

educational/workforce or legislative

databases in the region
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b. Connectivity: Describe the level at

which consortium members will be

connected to the regional hub and to

each other, including how the applicant

will achieve, at a minimum, the

following outcome in year 1: All

consortium members will be linked up

with the regional hub and able to:

(1) Retrieve information provided by

the hub,

(2) Transfer files,

(3) Engage in on-line discussion

groups, and

(4) Access the LINCS prototype.

c. Organization and Management:

Describe the ways in which the

applicant will ensure appropriate

organization and management of project

activities, including:

(1) How the applicant will involve an

advisory group including

representatives from all regional

consortium member states in overseeing

project implementation and evaluating

progress.

(2) How the applicant will provide for

developing a formal agreement with all

consortium member SLRCs that clearly

identifies the rights, roles, and

responsibilities of each state with regard

to spending plan, technical assistance,

training, timeline, evaluation and design

of the hub.

(3) How the applicant will provide for

the management of any other

partnership, consultant or subcontract

arrangement with the rights and

responsibilities of each party set forth

clearly.

(4) The identification of key staff

members, their specific roles, and the

number of hours required to carry out

their tasks.

(5) A description of any cost-sharing,

cooperative funding, or other special

financial arrangements.

d. Access: Describe how the applicant

will extend access to LINCS to other

state agencies and local literacy service

providers, including;

(1) How the applicant will promote

widespread access to and use of the

regional hub.

(2) How the applicant will work with

regional consortium members to select

local sites to participate in the project.

(3) How the applicant will support

LINCS use by other agencies and at the

local level, including—

(a) The kind of hardware and software

to be used

(b) The training and technical assistance

to be provided

(c) The focus to be taken by an agency

or local site in using LINCS (i.e., a site

could focus on using the system in

information retrieval, or exploring online communication between

practitioners and adult learners, or

exchanging teaching tools and

curricula)

(4) How the applicant will solicit and

use feedback from other agencies and

local providers in assessing the

network’s potential and refining the

work of the regional hub.

(5) How the applicant will achieve, at

a minimum, the following outcome in

year 1: At least two local literacy service

providers in one or more of the member

states will have the capability to use the

services of the regional hub.

e. Collaboration: Describe how the

applicant will assure collaboration with

other related agencies, organizations,

and projects in the region, including

how the applicant will work with other

regional consortium member states to—

(1) Secure the active cooperation and

partnership of appropriate state

agencies, including education, labor,

and human services.

(2) Identify and connect with other

projects in the region that use

technology in the areas of

telecommunications, on-line services,

networking and multi-media.

4. Technical Soundness

a. Describe how the applicant will

install an electronic system for the

regional hub that mirrors the LINCS

structure, which consists of the

following: a UNIX-based work station,

connected to the Internet via the NIFL

LAN, with information maintained in

both HTML documents and WAIS

databases. This work station is the

World Wide Web (WWW) server, and

also provides access to the Lynx WWW

client for those users unable to use

graphical clients, such as Mosaic. The

software developed for the NIFL home

page by the Logistics Management

Institute is freely available for re-use.

b. Describe how the applicant will

create a home page design that is similar

to the LINCS home page, so that the

same ‘‘look and feel’’ can be achieved

throughout the network. (For example, a

proposal for a World Wide Web server

providing Mosaic- and Lynx-based

access to a region’s literacy resources

and linkage to the NIFL home page

would receive greater consideration

than a proposal for information

maintained on one or multiple WAIS

database servers.)

Describe how the applicant will, at a

minimum—

(1) Acquire a 56kbps or faster direct

Internet connection.

(2) Develop a WAIS database server or

servers on the Internet.

(3) Populate the WAIS database(s)

with literacy collections and program

data, using ‘‘Starting Point’’ record

structures and standards.

(4) Provide technical assistance,

funding and resources to assure that all

consortium members are connected to

the Internet and are contributing and

sharing adult literacy data.

c. Describe the applicant’s provisions

for equipment, including—

(1) What equipment will be used to

establish the regional literacy hub or

hubs.

(2) How the applicant will assess the

equipment needs of each consortium

member.

(3) What equipment will be used to

link each consortium member to the

regional hub and to LINCS.

(4) The reason for purchasing or

upgrading equipment, as well as

software and networking systems, for

each member.

(5) How the equipment funded by this

grant will be maintained.

(6) How issues of changing technology

and obsolescence will be addressed.

(7) How the applicant will achieve, at

a minimum, the following outcome for

year 1: The lead site and consortium

members will all have the equipment

necessary to perform functions

described in the plan of operation.

d. Describe the applicant’s provisions

for training and technical assistance,

including—

(1) How the applicant will assess the

relevant skills and knowledge of each

consortium member SLRC and pool this

expertise for the benefit of all

consortium members.

(2) How the applicant will assist all

consortium member SLRCs in selection

and installation of hardware and

software within the proposed timeline.

(3) A commitment to regional training

and staff development for consortium

members.

(4) How provisions will be made for

well-organized and ongoing training

that addresses a full range of needs.

(5) How administrators in each

consortium member SLRC and local site

will learn about the potential of LINCS

and the regional hub, the pros and cons

of various applications, how to connect

to the system and benefit from it, and

how to help their own clients tap into

the national bank of resources available

through LINCS.

(6) How the applicant will teach

specific skills as well as an

understanding of the power of the new

technology and a desire for acquiring it

and making it accessible to local literacy

practitioners throughout the region, and

ways of exploring the impact that it will

have on teaching and learning methods.

(7) How the applicant will determine

the type and the level of the training,

and designate adequate funding.
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(8) How the applicant will select

training models (such as training

trainers or workshops supplemented by

peer coaching or modeling) that meet

the needs of geographically dispersed

staff at various levels of knowledge and

skills, especially given rapid changes in

technology.

(9) How the applicant will achieve, at

a minimum, the following outcomes in

year 1:

(a) Consortium member SLRCs’

hardware and software are installed and

functional.

(b) A measurable training plan, which

includes training staff of consortium

member states, local sites, and other

involved agencies in the use of the

Regional hub, will be developed and

implemented.

5. Efficiency and Economy

a. Cost Effectiveness: The applicant

must demonstrate how it will ensure—

(1) The most efficient and costeffective use of the funding,

(2) Continuation of the project at end

of the grant through securing additional

funds to continue and expand the

project.

b. Time Line: The applicant’s plan

must contain a table or diagram with

major tasks or milestones, including

estimates of funds, time, training

schedules, personnel, facilities and

equipment allocated to each program

area. The timing of progress and other

reports, meetings, and similar events

should be included.

6. Monitoring and Evaluation

The applicant must provide a

monitoring and evaluation plan that

will demonstrate the effectiveness of the

project in achieving the objectives of the

grant, including—.

a. A process for ongoing evaluation

and acquiring on-line and off-line input

from users.

b. How the applicant will measure

and evaluate the impact of the project

on—

(1) The members of the consortium

(their connectivity, access, data

collection and organization),

(2) The broader literacy community,

especially other state agencies and local

literacy service providers;

c. How results of the evaluation will

be confirmed and reported.

Other Application Requirements

The application shall include the

following:

Project Summary: The proposal must

contain a 200-word summary of the

proposed project suitable for

publication. It should not be an abstract

of the proposal, but rather a selfcontained description of the activities

that would explain the proposal. The

summary should be free of jargon and

technical terminology, and should be

understandable by an intelligent but

non-specialist reader.

Budget Proposal: ED Form 524 must

be completed and submitted with each

application. The form consists of

Sections A, B, and C. On the back of the

form are general instructions for

completion of the budget. All applicants

must complete Sections A and C. If

Section B is completed, include the

nature and source of non-federal funds.

Attach as Section C a detailed

explanation and amplification of each

budget category. Included in the

explanation should be a complete

justification of costs in each category.

Additional instructions include:

• Prepare a separate itemization and

narrative for each of the SLRCs in the

region in addition to submitting an

itemized budget narrative for the project

as a whole.

• Personnel items should include

names (titles or position) of key staff,

number of hours proposed and

applicable hourly rates.

• Include the cost, purpose, and

justification for travel, equipment,

supplies, contractual and other.

Training stipends are not authorized

under this program.

• Clearly identify in all instances

contributed costs and support from

other sources, if any.

• Show budget detail for financial

aspects of any cost-sharing, joint or

cooperative funding.

Disclosure of Prior Institute Support:

If any consortium member state has

received Institute funding in the past 2

years, the following information on the

prior awards is required:

• Institute award number, amount

and period of support;

• A summary of the results of the

completed work; and

• A brief description of available

materials and other related research

products not described elsewhere.

If the applicant has received a prior

award, the reviewers will be asked to

comment on the quality of the prior

work described in this section of the

proposal.

Current and Pending Support: All

current project support from whatever

source (such as Federal, State, or local

government agencies, private

foundations, commercial organizations)

must be listed. The list must include the

proposed project and all other projects

requiring a portion of time of the Project

Director and other project personnel,

even if they receive no salary support

from the project(s). The number of

person-months or percentage of effort to

be devoted to the projects must be

stated, regardless of source of support.

Similar information must be provided

for all proposals that are being

considered by or will be submitted soon

to other sponsors.

If the project now being submitted has

been funded previously by another

source, the information requested in the

paragraph above should be furnished for

the immediately preceding funding

period. If the proposal is being

submitted to other possible sponsors, all

of them must be listed. Concurrent

submission of a proposal to other

organizations will not prejudice its

review by the Institute.

Any fee proposed to be paid to a

collaborating or ‘‘partner’’ for-profit

entity should be indicated. (Fees will be

negotiated by the Grants Officer.) Any

copy-right, patent or royalty agreements

(proposed or in effect) must be

described in detail, so that the rights

and responsibilities of each party are

made clear. If any part of the project is

to be subcontracted, a budget and work

plan prepared and duly signed by the

subcontractor must be submitted as part

of the overall proposal and addressed in

the narrative.

Instructions for Transmittal of

Applications

(a) To apply for a cooperative

agreement—

(1) Mail the original and ten (10)

copies of the application on or before

the deadline date of [60 days from

publication], to: National Institute for

Literacy, 800 Connecticut Avenue, NW.,

Suite 200, Washington, DC 20006,

Attention: (CFDA #84.257F).

(2) Hand deliver the application by

4:30 p.m. (Washington, DC time) on the

deadline date to the address above.

(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.

(c) If an application is mailed through

the U.S. Postal Service, the Director

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 the local post office.

(2) The NIFL will mail a Grant Applicant

Receipt Acknowledgment to each applicant.
Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices 20607

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 NIFL at (202) 632–

1500.

(3) The applicant must indicate on the

envelope and in Item 10 of the application

for Federal Assistance (Standard Form 424)

the CFDA number of the competition under

which the application is being submitted.

Application Forms: The appendix to

this announcement is divided into three

parts plus a statement regarding

estimated public reporting burden and

various assurances and certifications.

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—NonConstruction Programs (ED Form 524)

and instructions.

Part III: Application Narrative.

Additional Materials:

Estiamted Public Reporting Burden.

Assurances—Non-Construction

Programs (Standard Form 424B).

Certification Regarding Lobbying;

Debarment, Suspension, and other

Responsibility Matters; and Drug-Free

Workplace Requirements (ED 80–0013).

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion: Lower Tier Covered

Transactions (ED 80–0014, 9/90) and

instructions.

Note: ED 80–0014 is intended for the use

of recipients and should not be transmitted

to the NIFL.

Disclosure of Lobbying Activities

(Standard Form LLL) (if applicable) and

instructions; and Disclosure of Lobbying

Activities Continuation Sheet (Standard

Form LLL–A).

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

certifications must each have an original

signature. No award can be made unless

a complete application has been

received.

Applicable Regulations: The National

Institute for Literacy is subject to the

rulemaking requirements of the

Administrative Procedures Act (APA).

Under the APA, as now codified in Title

5 of the United States Code, section 553,

matters relating to public property,

loans, grants, benefits, or contracts are

not subject to the rulemaking

requirement of that section. The

National Institute for Literacy is now in

the initial stages of establishing a new

program recently authorized by

Congress and must obligate funds under

this authority by September 30, 1995.

The NIFL considered waiving this

exemption to rulemaking requirements

but determined that there was too little

time to propose rules and offer

applicants a reasonable amount of time

to prepare applications for the award

announced in this notice. Therefore, the

National Institute for Literacy has

adopted the following rules for the

conduct of this competition and the

resulting award.

The following regulations of the

Department of Education apply:

34 CFR part 74, Administration of

Grants to Institutions of Higher

Education, Hospitals, and Nonprofit

Organizations. The following

provisions of 34 CFR part 75:

§§ 75.50, 75.51, 75.102–75.104,

75.109, 75.117, 75.109–75.192,

75.200, 75.201, 75.215.

34 CFR part 77, Definitions.

34 CFR part 80, Uniform Administrative

Requirements for Grants and

Cooperative Agreements to State and

Local Governments.

34 CFR part 82, New Restrictions on

Lobbying.

34 CFR 85, Government wide

Debarment and Suspension (Nonprocurement) and Government wide

Requirements for Drug-Free

Workplace (Grants).

The selection criteria used for this

competition are set out in this Notice.

While the criteria are patterned on those

used generally by the Department of

Education, they have been adapted by

the NIFL to meet the needs of this

program.

While the National Institute for

Literacy is associated with the

Departments of Education, Labor, and

Health and Human Services, the

policies and procedures regarding

rulemaking and administration of grants

are not adopted by the NIFL except as

expressly stated in this Notice.

Selection of Applications: The

Director uses 34 CFR 75.217 in selecting

an application for award.

Grant Administration: The

administration of the grant to the

consortium is governed by the

conditions of the award letter. The

Education Department General

Administration Regulations, (EDGAR)

34 CFR Parts 74, 75, 77, 79, 80, 81, 82,

85 and 86 (July 1, 1993), set forth

administrative and other requirements.

This document is available through your

public library and the NIFL. It is

recommended that appropriate

administrative officials become familiar

with the policies and procedures in the

EDGAR which are applicable to this

award. If a proposal is recommended for

an award, the Grants official will

request certain organizational,

management, and financial information.

The following information on grant

administration dealing with questions

such as General Requirement, Prior

Approval Requirements, Transfer of

Project Director, and Suspension or

Termination of Award, are available in

EDGAR.

Reporting: In addition to working

closely with the Institute, the applicant

will be required to submit an annual

report of activities. This annual report

will be presented to the Institute staff,

the National Institute Advisory Board

and Interagency Group. Detailed

specifications for the annual report will

be provided to the consortium within 3

months after the award. For planning

purposes, the applicant may assume

that the following information will be

provided:

• Project(s) Title

• Project Abstract

A concise narrative describing in

layman’s language the subject purposes,

methods, expected outcomes (including

products), and significance of the

project.

• Significant Products

A list of significant holdings available

for access associated with the

consortium.

• Significant Accomplishments

A past-tense abstract that describes

the consortium’s accomplishments,

known uses of the holdings and

evidence of positive impact.

The grantee must also submit the

following reports:

• Quarterly Performance

A brief 2–3 page report of progress—

Due: Within 20 days of the end of each

quarter.

• For the fourth quarter, no quarterly

report is necessary.

An annual report will suffice.

• Final Report

Due: 90 days after the expiration of or

termination of support.

Acknowledgment of Support and

Disclaimer: An acknowledgment of

Institute support and a disclaimer must

appear in publications of any material,

whether copyrighted or not, based on or

developed under Institute-supported

projects:

This material is based upon work

supported by the National Institute for

Literacy under Grant No. (grantee should

enter Institute grant number).

Except for articles or papers

published in professional journals, the

following disclaimer should be

included:
20608 Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices

Any opinion, findings, and conclusions or

recommendations expressed in this material

are those of the author(s) and do not

necessarily reflect the views of the NIFL.

Instructions for Estimated Public

Reporting Burden: Under terms of the

Paperwork Reduction Act of 1980, as

amended, and the regulations

implementing the Act, the National

Institute for Literacy invites comment

on the public reporting burden in this

collection of information. Public

reporting burden for this collection of

information is estimated to average 30

hours per response, including the time

for reviewing instructions, searching

existing data sources, gathering and

disseminating the data needed, and

completing and reviewing the collection

of information. You may send

comments regarding this burden

estimate or any other aspect of this

collection of information, including

suggestions for reducing this burden to

the National Institute for Literacy, and

the Office of Management and Budget,

Paperwork Reduction Project,

Washington, DC 20503.

(Information collection approved under OMB

control number 3200 0029, Expiration date:

October 1995).

Program Authority: 20 U.S.C. 1213C.

Andrew J. Hartman,

Director, NIFL.

BILLING CODE 6055–01–M
Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices 20609

Application Forms and Instructions

BILLING CODE 6055–01–C
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Instructions for the SF 424

This is a standard form used by applicants

as a required facesheet for preapplications

and applications submitted for Federal

assistance. It will be used by Federal agencies

to obtain applicant certification that States

which have established a review and

comment procedure in response to Executive

Order 12372 and have selected the program

to be included in their process, have been

given an opportunity to review the

applicant’s submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal

agency (or State if applicable) & applicant’s

control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or

revise an existing award, enter present

Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of

primary organizational unit which will

undertake the assistance activity, complete

address of the applicant, and name and

telephone number of the person to contact on

matters related to this application.

6. Enter Employer Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate letter in the space

provided.

—‘‘New’’ means a new assistance award.

—‘‘Continuation’’ means an extension for an

additional funding/budget period for a

project with a projected completion date.

—‘‘Revision’’ means any change in the

Federal Government’s financial obligation

or contingent liability from an existing

obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the program

under which assistance is requested.

11. Enter a brief descriptive title of the

project, if more than one program is

involved, you should append an explanation

on a separate sheet. If appropriate (e.g.,

construction or real property projects), attach

a map showing project location. Federal

preapplications, use a separate sheet to

provide a summary description of this

project.

12. List only the largest political entities

affected (e.g., State, counties, cities).

13. Self-explanatory.

14. List the applicant’s Congressional

District and any District(s) affected by the

program or project.

15. Amount requested or to be contributed

during the first funding/budget period by

each contributor. Value of in-kind

contributions should be included on

appropriate lines as applicable. If the action

will result in a dollar change to an existing

award, indicate only the amount of the

change. For decreases, enclose the amounts

in parentheses. I both basic and

supplemental amounts are included, show

breakdown on an attached sheet. For

multiple program funding, use totals and

show breakdown using same categories as

item 15.

16. Applicants should contact the State

Single Point of Contact (SPOC) for Federal

Executive Order 12372 to determine whether

the application is subject to the State

intergovernmental review process.

17. This question applies to the applicant

organization, not the person who signs as the

authorized representative. Categories of debt

include delinquent audit disallowances,

loans and taxes.

18. To be signed by the authorized

representative of the applicant. A copy of the

governing body’s authorization for you to

sign this application as official representative

must be on file in the applicant’s office.

(Certain Federal agencies may require that

this authorization be submitted as part of the

application.

BILLING CODE 6055–01–M
Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices 20611
20612 Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices

BILLING CODE 6055–01–C
Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices 20613

Public reporting burden for this collection

of information is estimated to vary from 13

to 22 hours per response, with an average of

17.5 hours, including the time for reviewing

instructions, searching existing data sources,

gathering and maintaining the data needed,

and completing and reviewing the collection

of information. Send comments regarding

this burden estimate or any other aspect of

this collection of information, including

suggestions for reducing this burden, to the

U.S. Department of Education, Information

Management and Compliance Division,

Washington, D.C. 20202–4651; and the Office

of Management and Budget, Paperwork

Reduction Project 1875–0102, Washington,

D.C. 20503.

Instructions for ED Form No. 524

General Instructions

This form is used to apply to individual

U.S. Department of Education discretionary

grant programs. Unless directed otherwise,

provide the same budget information for each

year of the multi-funding request. Pay

attention to applicable program specific

instructions, if attached.

Section A—Budget Summary—U.S.

Department of Education Funds

All applicants must complete Section A

and provide a breakdown by the applicable

budget categories shown in lines 1–11.

Lines 1–11, columns (a)–(e): For each

project year for which funding is requested,

show the total amount requested for each

applicable budget category.

Lines 1–11, column (f): Show the multiyear total for each budget category. If funding

is requested for only one project year, leave

this column blank.

Line 12, columns (a)–(e): Show the total

budget request for each project year for

which funding is requested.

Line 12, column (f): Show the total amount

requested for all project years. If funding is

requested for only one year, leave this spare

blank.

Section B—Budget Summary—Non-Federal

Funds

If you are required to provide or volunteer

to provide matching funds or other nonFederal resources to the project, these should

be shown for each applicable budget category

on lines 1–11 of Section B.

Lines 1–11, columns (a)–(e): For each

project year for which matching funds or

other contributions are provided, show the

total contribution for each applicable budget

category.

Lines 1–11, column (f): Show the multiyear total for each budget category. If nonFederal contributions are provided for only

one year, leave this column blank.

Line 12, columns (a)–(e): Show the total

matching or other contribution for each

project year.

Line 12, column (f): Show the total amount

to be contributed for all years of the multiyear project. If non-Federal contributions are

provided for only one year, leave this space

blank.

Section C—Other Budget Information—Pay

Attention to Applicable Program Specific

Instructions, If Attached

1. Provide an itemized budget breakdown,

by project year, for each budget category

listed in Sections A and B.

2. If applicable to this program, enter the

type of indirect rate (provisional,

predetermined, final or fixed) that will be in

effect during the funding period. In addition,

enter the estimated amount of the base to

which the rate is applied, and the total

indirect expense.

3. If applicable to this program, provide the

rate and base on which fringe benefits are

calculated.

4. Provide other explanations or comments

you deem necessary.

Assurances—Non-Construction Programs

Note: Certain of these assurances may not

be applicable to your project or program. If

you have questions, please contact the

awarding agency. Further, certain Federal

awarding agencies may require applicants to

certify to additional assurances. If such is the

case, you will be notified.

As the duly authorized representative of

the applicant I certify that the applicant:

1. Has the legal authority to apply for

Federal assistance, and the institutional,

managerial and financial capability

(including funds sufficient to pay the nonFederal share of project costs) to ensure

proper planning, management and

completion of the project described in this

application.

2. Will give the awarding agency, the

Comptroller General of the United States, and

if appropriate, the State, through any

authorized representative, access to and the

right to examine all records, books, papers,

or documents related to the award; and will

establish a proper accounting system in

accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit

employees from using their positions for a

purpose that constitutes or presents the

appearance of personal or organizational

conflict of interest, or personal gain.

4. Will initiate and complete the work

within the applicable time frame after receipt

of approval of the awarding agency.

5. Will comply with the Intergovernmental

Personnel Act of 1970 (42 U.S.C. §§ 4728–

4763) relating to prescribed standards for

merit systems for programs funded under one

of the nineteen statutes or regulations

specified in Appendix A of OPM’s Standards

for a Merit System of Personnel

Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes

relating to nondiscrimination. These include

but are not limited to: (a) Title VI of the Civil

Rights Act of 1964 (P.L. 88–352) which

prohibits discrimination on the basis of race,

color or national origin; (b) Title IX of the

Education Amendments of 1972, as amended

(20 U.S.C. §§ 1681–1683, and 1685–1686),

which prohibits discrimination on the basis

of sex; (c) Section 504 of the Rehabilitation

Act of 1973, as amended (29 U.S.C. § 794),

which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act

of 1975, as amended (42 U.S.C. §§ 6101–

6107), which prohibits discrimination on the

basis of age; (e) the Drug Abuse Office and

Treatment Act of 1972 (P.L. 92–255), as

amended, relating to nondiscrimination on

the basis of drug abuse; (f) the

Comprehensive Alcohol Abuse and

Alcoholism Prevention, Treatment and

Rehabilitation Act of 1970 (P.L. 616), as

amended, relating to nondiscrimination on

the basis of alcohol abuse or alcoholism; (g)

§§ 523 and 527 of the Public Health Service

Act of 1912 (42 U.S.C. 290 dd–3 and 290 ee–

3), as amended, relating to confidentiality of

alcohol and drug abuse patient records; (h)

Title VIII of the Civil Rights Act of 1968 (42

U.S.C. § 3601 et seq.), as amended, relating to

nondiscrimination in the sale, rental or

financing of housing; (i) any other

nondiscrimination provisions in the specific

statute(s) under which application for

Federal assistance is being made; and (j) the

requirements of any other nondiscrimination

statute(s) which may apply to the

application.

7. Will comply, or has already complied,

with the requirements of Titles II and III of

the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970

(P.L. 91–646) which provide for fair and

equitable treatment of persons displaced or

whose property is acquired as a result of

Federal or federally assisted programs. These

requirements apply to all interests in real

property acquired for project purposes

regardless of Federal participation in

purchases.

8. Will comply with the provisions of the

Hatch Act (5 U.S.C. §§ 1501–1508 and 7324–

7328) which limit the political activities of

employees whose principal employment

activities are funded in whole or in part with

Federal funds.

9. Will comply, as applicable, with the

provisions of the Davis-Bacon Act (40 U.S.C.

§§ 276a to 276a–7), the Copeland Act (40

U.S.C. § 276c and 18 U.S.C. §§ 874), and the

Contract Work Hours and Safety Standards

Act (40 U.S.C. §§ 327–333), regarding labor

standards for federally assisted construction

subagreements.

10. Will comply, if applicable, with flood

insurance purchase requirements of Section

102(a) of the Flood Disaster Protection Act of

1973 (P.L. 93–234) which requires recipients

in a special flood hazard area to participate

in the program and to purchase flood

insurance if the total cost of insurable

construction and acquisition is $10,000 or

more.

11. Will comply with environmental

standards which may be prescribed pursuant

to the following: (a) institution of

environmental quality control measures

under the National Environmental Policy Act

of 1969 (P.L. 91–190) and Executive Order

(EO) 11514; (b) notification of violating

facilities pursuant to EO 11738; (c) protection

of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in

accordance with EO 11988; (e) assurance of

project consistency with the approved State

management program developed under the

Coastal Zone Management Act of 1972 (16

U.S.C. §§ 1451 et seq.); (f) conformity of

Federal actions to State (Clear Air)

Implementation Plans under Section 176(c)
20614 Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices

of the Clear Air Act of 1955, as amended (42

U.S.C. § 7401 et seq.); (g) protection of

underground sources of drinking water under

the Safe Drinking Water Act of 1974, as

amended, (P.L. 93–523); and (h) protection of

endangered species under the Endangered

Species Act of 1973, as amended, (P.L. 93–

205).

12. Will comply with the Wild and Scenic

Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.)

related to protecting components or potential

components of the national wild and scenic

rivers system.

13. Will assist the awarding agency in

assuring compliance with Section 106 of the

National Historic Preservation Act of 1966, as

amended (16 U.S.C. 470), EO 11593

(identification and protection of historic

properties), and the Archaeological and

Historic Preservation Act of 1974 (16 U.S.C.

469a–1 et seq.).

14. Will comply with P.L. 93–348

regarding the protection of human subjects

involved in research, development, and

related activities supported by this award of

assistance.

15. Will comply with the Laboratory

Animal Welfare Act of 1966 (P.L. 89–544, as

amended, 7 U.S.C. 2131 et seq.) pertaining to

the care, handling, and treatment of warm

blooded animals held for research, teaching,

or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint

Poisoning Prevention Act (42 U.S.C. §§ 4801

et seq.) which prohibits the use of lead based

paint in construction or rehabilitation of

residence structures.

17. Will cause to be performed the required

financial and compliance audits in

accordance with the Single Audit Act of

1984.

18. Will comply with all applicable

requirements of all other Federal laws,

executive orders, regulations and policies

governing this program.

lllllllllllllllllllll

Signature of Authorized Certifying Official

lllllllllllllllllllll

Title

lllllllllllllllllllll

Applicant Organization

lllllllllllllllllllll

Date Submitted

Certifications Regarding Lobbying;

Debarment, Suspension and Other

Responsibility Matters; and Drug-Free

Workplace Requirements

Applicants should refer to the regulations

cited below to determine the certification to

which they are required to attest. Applicants

should also review the instructions for

certification included in the regulations

before completing this form. Signature of this

form provides for compliance with

certification requirements under 34 CFR Part

82, ‘‘New Restrictions on Lobbying,’’ and 34

CFR Part 85, ‘‘Government-wide Debarment

and Suspension (Nonprocurement) and

Government-wide Requirements for DrugFree Workplace (Grants).’’ The certifications

shall be treated as a material representation

of fact upon which reliance will be placed

when the Department of Education

determines to award the covered transaction,

grant, or cooperative agreement.

1. Lobbying

As required by Section 1352, Title 31 of the

U.S. Code, and implemented at 34 CFR Part

82, for persons entering into a grant or

cooperative agreement over $100,000, as

defined at 34 CFR Part 82, Sections 82.105

and 82.110, the applicant certifies that:

(a) No Federal appropriated funds have

been paid or will be paid, by or on behalf of

the undersigned, to any person for

influencing or attempting to influence an

officer or employee of any agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress in connection with the making of

any Federal grant, the entering into of any

cooperative agreement, and the extension,

continuation, renewal, amendment, or

modification of any Federal grant or

cooperative agreement;

(b) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a Member of Congress in

connection with this Federal grant or

cooperative agreement, the undersigned shall

complete and submit Standard Form—LLL,

‘‘Disclosure Form to Report Lobbying,’’ in

accordance with its instructions;

(c) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subgrants, contracts under

grants and cooperative agreements, and

subcontracts) and that all subrecipients shall

certify and disclose accordingly.

2. Debarment, Suspension, and Other

Responsibility Matters

As required by Executive Order 12549,

Debarment and Suspension, and

implemented at 34 CFR Part 85, for

prospective participants in primary covered

transactions, as defined at 34 CFR Part 85,

Sections 85.105 and 85.110—

A. The applicant certifies that it and its

principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded from covered

transactions by any Federal department or

agency;

(b) Have not within a three-year period

preceding this application been convicted of

or had a civil judgment rendered against

them for commission of fraud or a criminal

offense in connection with obtaining,

attempting to obtain, or performing a public

(Federal, State, or local) transaction or

contract under a public transaction; violation

of Federal or State antitrust statutes or

commission of embezzlement, theft, forgery,

bribery, falsification or destruction of

records, making false statements, or receiving

stolen property;

(c) Are not presently indicted for or

otherwise criminally or civilly charged by a

government entity (Federal, State, or local)

with commission of any of the offenses

enumerated in paragraph (1)(b) of this

certification; and

(d) Have not within a three-year period

preceding this application had one or more

public transactions (Federal, State, or local)

terminated for cause or default; and

B. Where the applicant is unable to certify

to any of the statements in this certification,

he or she shall attach an explanation to this

application.

3. Drug-Free Workplace (Grantees Other

Than Individuals)

As required by the Drug-Free Workplace

Act 1988, and implemented at 34 CFR Part

85, Subpart F, for grantees, as defined at 34

CFR Part 85, Sections 85.605 and 85.610—

A. The applicant certifies that it will or

will continue to provide a drug-free

workplace by:

(a) Publishing a statement notifying

employees that the unlawful manufacture,

distribution, dispensing, possession, or use of

a controlled substance is prohibited in the

grantee’s workplace and specifying the

actions that will be taken against employees

for violation of such prohibition;

(b) Establishing an on-going drug-free

awareness program to inform employees

about—

(1) The dangers of drug abuse in the

workplace;

(2) The grantee’s policy of maintaining a

drug-free workplace;

(3) Any available drug counseling,

rehabilitation, and employee assistance

programs; and

(4) The penalties that may be imposed

upon employees for drug abuse violations

occurring in the workplace;

(c) Making it a requirement that each

employee to be engaged in the performance

of the grant be given a copy of the statement

required by paragraph (a);

(d) Notifying the employee in the statement

required by paragraph (a) that, as a condition

of employment under the grant, the employee

will—

(1) Abide by the terms of the statement;

and

(2) Notify the employer in writing of his or

her conviction for a violation of a criminal

drug statute occurring in the workplace no

later than five calendar days after such

conviction;

(e) Notifying the agency, in writing, within

10 calendar days after receiving notice under

subparagraph (d)(2) from an employee or

otherwise receiving actual notice of such

conviction. Employers or convicted

employees must provide notice, including

position title, to: Director, Grants and

Contracts Service, U.S. Department of

Education, 400 Maryland Avenue, S.W.

(Room 3124, GSA Regional Office Building

No. 3), Washington, DC 20202–4571. Notice

shall include the identification number(s) of

each affected grant;

(f) Taking one of the following actions,

within 30 calendar days of receiving notice

under subparagraph (d)(2), with respect to

any employee who is so convicted—

(1) Taking appropriate personnel action

against such an employee, up to and

including termination, consistent with the

requirements of the Rehabilitation Act of

1973, as amended; or

(2) Requiring such employee to participate

satisfactorily in a drug abuse assistance or
Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices 20615

rehabilitation program approved for such

purposes by a Federal, State, or local health,

law enforcement, or other appropriate

agency;

(g) Making a good faith effort to continue

to maintain a drug-free workplace through

implementation of paragraphs (a), (b), (c), (d),

(e), and (f).

B. The grantee may insert in the space

provided below the site(s) for the

performance of work done in connection

with the specific grant:

Place of Performance (Street address, city,

county, state, zip code).

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

Check b if there are workplaces on file that

are not identified here.

Drug-Free Workplace (Grantees Who Are

Individuals)

As required by the Drug-Free Workplace

Act of 1988, and implemented at 34 CFR Part

85, Subpart F, for grantees, as defined at 34

CFR Part 85, Sections 85.605 and 85.610—

A. As a condition of the grant, I certify that

I will not engage in the unlawful

manufacture, distribution, dispensing,

possession, or use of a controlled substance

in conducting any activity with the grant;

and

B. If convicted of a criminal drug offense

resulting from a violation occurring during

the conduct of any grant activity, I will report

the conviction, in writing, within 10 calendar

days of the conviction, to: Director, Grants

and Contracts Service, U.S. Department of

Education, 400 Maryland Avenue, S.W.

(Room 3124, GSA Regional Office Building

No. 3), Washington, DC 20202–4571. Notice

shall include the identification number(s) of

each affected grant.

As the duly authorized representative of

the applicant, I hereby certify that the

applicant will comply with the above

certifications.

lllllllllllllllllllll

Name of Applicant

lllllllllllllllllllll

PR/Award Number and/or Project Name

lllllllllllllllllllll

Printed Name and Title of Authorized

Representative

lllllllllllllllllllll

Signature

lllllllllllllllllllll

Date

BILLING CODE 6055–01–M
20616 Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices

BILLING CODE 6055–01–C
Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / Notices 20617

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered

Transactions

This certification is required by the

Department of Education regulations

implementing Executive Order 12549,

Debarment and Suspension, 34 CFR Part 85,

for all lower tier transactions meeting the

threshold and tier requirements stated at

Section 85.110.

Instructions for Certification

1. By signing and submitting this proposal,

the prospective lower tier participant is

providing the certification set out below.

2. The certification in this clause is a

material representation of fact upon which

reliance was placed when this transaction

was entered into. If it is later determined that

the prospective lower tier participant

knowingly rendered an erroneous

certification, in addition to other remedies

available to the Federal Government, the

department or agency with which this

transaction originated may pursue available

remedies, including suspension and/or

debarment.

3. The prospective lower tier participant

shall provide immediate written notice to the

person to which this proposal is submitted if

at any time the prospective lower tier

participant learns that its certification was

erroneous when submitted or has become

erroneous by reason of changed

circumstances.

4. The terms ‘‘covered transaction,’’

‘‘debarred,’’ ‘‘suspended,’’ ‘‘ineligible,’’

‘‘lower tier covered transaction,’’

‘‘participant,’’ ‘‘person,’’ ‘‘primary covered

transaction,’’ ‘‘principal,’’ ‘‘proposal,’’ and

‘‘voluntarily excluded,’’ as used in this

clause, have the meanings set out in the

Definitions and Coverage sections of rules

implementing Executive Order 12549. You

may contact the person to which this

proposal is submitted for assistance in

obtaining a copy of those regulations.

5. The prospective lower tier participant

agrees by submitting this proposal that,

should the proposed covered transaction be

entered into, it shall not knowingly enter into

any lower tier covered transaction with a

person who is debarred, suspended, declared

ineligible, or voluntarily excluded from

participation in this covered transaction,

unless authorized by the department or

agency with which this transaction

originated.

6. The prospective lower tier participant

further agrees by submitting this proposal

that it will include the clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility, and Voluntary

Exclusion—Lower Tier Covered

Transactions,’’ without modification, in all

lower tier covered transactions and in all

solicitations for lower tier covered

transactions.

7. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that it is not debarred,

suspended, ineligible, or voluntarily

excluded from the covered transaction,

unless it knows that the certification is

erroneous. A participant may decide the

method and frequency by which it

determines the eligibility of its principals.

Each participant may, but is not required to,

check the Nonprocurement List.

8. Nothing contained in the foregoing shall

be construed to require establishment of a

system of records in order to render in good

faith the certification required by this clause.

The knowledge and information of a

participant is not required to exceed that

which is normally possessed by a prudent

person in the ordinary course of business

dealings.

9. Except for transactions authorized under

paragraph 5 of these instructions, if a

participant in a covered transaction

knowingly enters into a lower tier covered

transaction with a person who is suspended,

debarred, ineligible, or voluntarily excluded

from participation in this transaction, in

addition to other remedies available to the

Federal Government, the department or

agency with which this transaction

originated may pursue available remedies,

including suspension and/or debarment.

Certification

(1) The prospective lower tier participant

certifies, by submission of this proposal, that

neither it nor its principals are presently

debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily

excluded from participation in this

transaction by any Federal department or

agency.

(2) Where the prospective lower tier

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

lllllllllllllllllllll

Name of Applicant

lllllllllllllllllllll

PR/Award Number and /or Project Name

lllllllllllllllllllll

Printed Name and Title of Authorized

Representative

lllllllllllllllllllll

Signature

lllllllllllllllllllll

Date

[FR Doc. 95–9829 Filed 4–25–95; 8:45 am]

BILLING CODE 6055–01–M