National Workplace Literacy Program; Inviting Applications for New Awards for Fiscal Year (FY) 1993

DEPARTMENT OF EDUCATION

[CFDA No. 84.198]

National Workplace Literacy Program; Inviting Applications for

New Awards for Fiscal Year (FY) 1993

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), the notice contains all of

the information, application forms, and instructions needed to apply

for a grant under this competition.

Purpose of Program: The National Workplace Literacy Program

provides assistance for demonstration projects that teach literacy

skills needed in the workplace through exemplary education partnerships

between business, industry, or labor organizations and educational

organizations.

The Secretary wishes to highlight, for potential applicants, that

this program can help to further National Education Goal 5--ensuring

that every adult American will be literate and will possess the

knowledge and skills necessary to compete in a global economy and

exercise the rights and responsibilities of citizenship. The program

helps by improving approaches and methods used in meeting the literacy

needs of adults in the workplace, including those with limited English

proficiency.

Eligible Applicants: (a) Awards are provided to exemplary

partnerships between--

(1) A business, industry, or labor organization, or private

industry council; and

(2) A State educational agency, local educational agency,

institution of higher education, or school (including an area

vocational school, an employment and training agency, or a community-

based organization).

(b) A partnership must include as partners at least one entity from

paragraph (a)(1) of this section and at least one entity from paragraph

(a)(2) of this section and may include more than one entity from each

group.

(c)(1) The partners shall apply jointly to the Secretary for funds.

(2) The partners shall enter into an agreement, in the form of a

single document signed by all partners, designating one member of the

partnership as the applicant and the grantee. The agreement must also

detail the role each partner plans to perform, and must bind each

partner to every statement and assurance made in the application.

Applications are governed by the EDGAR provisions in 34 CFR 75.127-

75.129 regarding group applications.

Deadline For Transmittal of Applications: March 11, 1994.

Deadline for Intergovernmental Review: March 10, 1994.

Available Funds: $18,527,425 for the first 12 months. Funding for

the second and third year is subject to availability of funds and to a

grantee meeting the requirements of 34 CFR 75.253.

Estimated Range of Awards: $105,469-$1,205,234 (funding for first

12 months).

Estimated Average Size of Awards: $370,549 (funding for first 12

months).

Estimated Number of Awards: 50.

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

notice.

Project Period: Up to 36 months (3 twelve-month budget periods).

Applicable Regulations: (a) The Education Department General

Administrative Regulations (EDGAR) in 34 CFR part 74 (Administration of

Grants to Institutions of Higher Education, Hospitals, and Nonprofit

Organizations), part 75 (Direct Grant Programs), part 77 (Definitions

that Apply to Department Regulations), part 79 (Intergovernmental

Review of Department of Education Programs and Activities), part 80

(Uniform Administrative Requirements for Grants and Cooperative

Agreements to State and Local Governments), part 81 (General Education

Provisions Act--Enforcement), part 82 (New Restrictions on Lobbying),

part 85 (Governmentwide Debarment and Suspension (Nonprocurement) and

Governmentwide Requirements for Drug-Free Workplace (Grants)), and part

86 (Drug-Free Schools and Campuses); and (b) the regulations for this

program in 34 CFR parts 460 and 472, including amendments to part 472

that are found elsewhere in this issue of the Federal Register.

Description of Program: The Secretary provides grants or

cooperative agreements to projects designed to improve the productivity

of the workforce through improvement of literacy skills in the

workplace by--

(a) Providing adult literacy and other basic skills, services, and

activities;

(b) Providing adult secondary education services and activities

that may lead to the completion of a high school diploma or its

equivalent;

(c) Meeting the literacy needs of adults with limited English

proficiency;

(d) Upgrading or updating basic skills of adult workers in

accordance with changes in workplace requirements, technology,

products, or processes;

(e) Improving the competency of adult workers in speaking,

listening, reasoning, and problem solving; or

(f) Providing educational counseling, transportation, and child

care services for adult workers during nonworking hours while the

workers participate in the project.

The statute authorizing this program requires that projects use

Federal funds to supplement, and not supplant, funds otherwise

available for the purposes of the program.

Selection Criteria: The Secretary uses the following selection

criteria to evaluate applications for new grants under this

competition.

The maximum score for all of these criteria is 100 points. The

maximum score for each criterion is indicated in parentheses.

In addition to the points awarded based on the selection criteria,

the Secretary assigns five points to applications from partnerships

that include as a partner one or more small businesses that have signed

the partnership agreement. An applicant must provide on the Partnership

Agreement form the Small Business Administration's (SBA) Standard

Industrial Classification (SIC) code for the small business partner.

See the Small Business Size Standards: Final and Interim Final Rules

(13 Code of Federal Regulations (CFR) part 121). These rules may be

found at many public libraries or by contacting a Small Business

Administration local district office or regional office, or by calling

the SBA's Office of Size Standards in Washington, DC at (202) 205-6618.

Reserved points: The program regulations in 34 CFR 472.21(b)

provide that the Secretary may award up to 100 points for selection

criteria, including a reserved 10 points. For this competition, the

Secretary distributes the reserved 10 points as follows:

Program Factors (34 CFR 472.22(a)).

Five points are added to this criterion for a possible total of 20

points.

Plan of Operation (34 CFR 472.22(d)). Five points are added to this

criterion for a possible total of 20 points.

The criteria: (a) Program Factors. (20 points) The Secretary

reviews each application to determine the extent to which the project--

(1) Demonstrates a strong relationship between skills taught and

the literacy requirements of actual jobs, especially the increased

skill requirements of the changing workplace;

(2) Is targeted to adults with inadequate skills for whom the

training described is expected to mean new employment, continued

employment, career advancement, or increased productivity;

(3) Includes support services, based on cooperative relationships

within the partnership and from helping organizations, necessary to

reduce barriers to participation by adult workers. Support services

could include educational counseling, transportation, and child care

during non-working hours while adult workers are participating in a

project;

(4) Demonstrates the active commitment of all partners to

accomplishing project goals; and

(5) Focuses on improving performance in jobs or job functions that

have a broad representation within the nation's workforce so that the

products can be adapted for use by similar workplaces across the

Nation.

(b) Extent of need for the project. (10 points) The Secretary

reviews each application to determine the extent to which the project

meets specific needs, including consideration of--

(1) The extent to which the project will focus on demonstrated

needs for workplace literacy training of adult workers;

(2) The adequacy of the applicant's documentation of the needs to

be addressed by the project;

(3) How those needs will be met by the project; and

(4) The benefits to adult workers and their industries that will

result from meeting those needs.

(c) Quality of training. (15 points) The Secretary reviews each

application to determine the quality of the training to be provided by

the project, including the extent to which the project will--

(1) Develop or use curriculum materials for adults based on

literacy skills needed in the workplace;

(2) Use individualized educational plans developed jointly by

instructors and adult learners;

(3) Take place in a readily accessible environment conducive to

adult learning;

(4) Provide training through the partner classified under 34 CFR

472.2(a)(2), unless transferring this activity to the partner

classified under 472.2(a)(1) is necessary and reasonable within the

framework of the project; and

(5) Provide, and document for others, a program of training for

staff including, but not limited to, techniques of curriculum

development and special methods of teaching that are appropriate for

workplace environments.

(d) Plan of operation. (20 points) The Secretary reviews each

application to determine the quality of the plan of operation for the

project, including--

(1) The quality of the project design, especially the establishment

of measurable objectives for the project that are based on the

project's overall goals;

(2) The extent to which the plan of management is effective and

ensures proper and efficient administration of the project, and

includes--

(i) A description of the respective roles of each member of the

partnership in carrying out the plan;

(ii) A description of the activities to be carried out by any

contractors under the plan;

(iii) A description of the respective roles, including any cash or

in-kind contributions, of helping organizations;

(iv) A description of the respective roles of any sites; and

(v) A realistic time table for accomplishing project objectives;

(3) How well the objectives of the project relate to the purposes

of the program;

(4) The quality of the applicant's plan to use its resources and

personnel to achieve each objective; and

(5) How the applicant will ensure that project participants, who

are otherwise eligible to participate, are selected without regard to

race, color, national origin, gender, age, or disability.

(e) Applicant's experience and quality of key personnel. (8 points)

(1) The Secretary reviews each application to determine the extent

of the applicant's experience in providing literacy services to working

adults.

(2) The Secretary reviews each application to determine the quality

of key personnel the applicant plans to use on the project, including--

(i) The qualifications, in relation to project requirements, of the

project director;

(ii) The qualifications, in relation to project requirements, of

each of the other key personnel to be used in the project;

(iii) The time that each person referred to in paragraph (e)(2) (i)

and (ii) of this section will commit to the project; and

(iv) How the applicant, as part of its nondiscriminatory employment

practices, will ensure that its personnel are selected for employment

without regard to race, color, national origin, gender, age, or

disability.

(3) To determine personnel qualifications under paragraphs (e)(2)

(i) and (ii) of this section, the Secretary considers--

(i) Experience and training in fields related to the objectives of

the project;

(ii) Experience and training in project management; and

(iii) Any other qualifications that pertain to the quality of the

project.

(f) Evaluation plan. (10 points) The Secretary reviews each

application to determine the quality of the plan for an independent

evaluation of the project, including the extent to which the

applicant's methods of evaluation--

(1) Are clearly explained and appropriate to the project;

(2) To the extent possible, are objective and produce data that are

quantifiable;

(3) Identify expected outcomes of the participants and how those

outcomes will be measured;

(4) Include evaluation of effects on job advancement, job

performance (including, for example, such elements as productivity,

safety, and attendance), and job retention;

(5) Are systematic throughout the project period and provide data

that can be used by the project on an ongoing basis for program

improvement; and

(6) Will yield results that can be summarized and submitted to the

Secretary for review by the Department's Program Effectiveness Panel.

Note: The Program Effectiveness Panel (PEP) is a mechanism the

Department has developed for validating the effectiveness of

educational programs developed by schools, universities, and other

agencies. The PEP is composed of experts in the evaluation of

educational programs and in other areas of education, at least two-

thirds of whom are non-Federal employees who are appointed by the

Secretary. Regulations governing the PEP are codified in 34 CFR

parts 785-789. Specific criteria for PEP review are found in 34 CFR

786.12 or 787.12.

(g) Budget and cost-effectiveness. (7 points) The Secretary reviews

each application to determine the extent to which--

(1) The budget is adequate to support the project;

(2) Costs are reasonable and necessary in relation to the

objectives of the project; and

(3) The applicant has minimized the purchase of equipment and

supplies in order to devote a maximum amount of resources to

instructional services.

(h) Demonstration. (5 points) The Secretary reviews each

application to determine the quality of the applicant's plan, during

the grant period, to disseminate the results of the project,

including--

(i) Demonstrating promising practices used by the project to others

interested in implementing these techniques;

(ii) Conducting workshops or delivering papers at national

conferences or professional meetings; and

(iii) Making available material that will help others implement

promising practices developed in the project.

(i) Commitment. (5 points) The Secretary reviews each application

to determine the quality of the partnership's plan to increase, during

the project, the capacity of partners to provide a coherent program of

learning in the workplace that is based on promising practices

demonstrated in the project. For example, the partners could--

(1) Integrate workplace literacy services into long-term planning

of partner organizations;

(2) Create and implement policies and practices that encourage

worker participation in the project;

(3) Provide training that will enable each partner to build a

capacity to furnish necessary workplace literacy services in the

future; or

(4) Include in the project design an opportunity to assess what

workplace literacy services partners may provide in the future.

Additional Factor: In making awards under this program, the

Secretary may consider, in addition to the selection criteria, whether

funding a particular applicant would improve the geographical

distribution of projects funded under this program.

Intergovernmental Review of Federal Programs: This program is

subject to the requirements of Executive Order 12372 (Intergovernmental

Review of Federal Programs) and the regulations in 34 CFR part 79.

The objective of the Executive order is to foster an

intergovernmental partnership and to strengthen federalism by relying

on State and local processes for State and local government

coordination and review of proposed Federal financial assistance.

Applicants must contact the appropriate State Single Point of

Contact to learn about, and to comply with, the State's process under

Executive Order 12372. Applicants proposing to perform activities in

more than one State should contact the Single Point of Contact for each

of those States and follow the procedure established in each State

under the Executive order. If you want to know the name and address of

any State Single Point of Contact, see the list published in the

Federal Register on September 24, 1993 (58 FR 50162-50164).

In States that have not established a process or chosen a program

for review, State, areawide, regional, and local entities may submit

comments directly to the Department.

Any State Process Recommendation and other comments submitted by a

State Single Point of Contact and any comments from State, areawide,

regional, and local entities must be mailed or hand-delivered by the

date indicated in this notice to the following address: The Secretary,

E.O. 12372-CFDA 84.198, U.S. Department of Education, room 4181, 400

Maryland Avenue, SW., Washington, DC 20202-0125.

Proof of mailing will be determined on the same basis as

applications (see 34 CFR 75.102). Recommendations or comments may be

hand-delivered until 4:30 p.m. (Washington, DC time) on the date

indicated in this notice.

Please note that the above address is not the same address as the

one to which the applicant submits its completed application. Do not

send applications to the above address.

Instructions for Transmittal of Applications: (a) If an applicant

wants to apply for a grant, the applicant shall--

(1) Mail the original and six copies of the application on or

before the deadline date to: U.S. Department of Education, Application

Control Center, Attention: (CFDA #84.198), Washington, DC 20202-4725;

or (2) Hand deliver the original and six copies of the application by

4:30 p.m. (Washington, DC time) on the deadline date to: U.S.

Department of Education, Application Control Center, Attention: (CFDA

#84.198), Room #3633, Regional Office Building #3, 7th and D Streets,

SW., Washington, DC.

(b) An applicant must show one of the following as proof of

mailing:

(1) A legibly dated U.S. Postal Service postmark.

(2) A legible mail receipt with the date of mailing stamped by the

U.S. Postal Service.

(3) A dated shipping label, invoice, or receipt from a commercial

carrier.

(4) Any other proof of mailing acceptable to the Secretary.

(c) If an application is mailed through the U.S. Postal Service,

the Secretary does not accept either of the following as proof of

mailing:

(1) A private metered postmark.

(2) A mail receipt that is not dated by the U.S. Postal Service.

Notes: (1) The U.S. Postal Service does not uniformly provide a

dated postmark. Before relying on this method, an applicant should

check with its local post office.

(2) The Application Control Center will mail a Grant Application

Receipt Acknowledgement to each applicant. If an applicant fails to

receive the notification of application receipt within 15 days from

the date of mailing the application, the applicant should call the

U.S. Department of Education Application Control Center at (202)

708-9494.

(3) The applicant must indicate on the envelope and--if not

provided by the Department--in Item 10 of the Application for

Federal Assistance (Standard Form 424) the CFDA number of the

competition under which the application is being submitted.

Application Instructions and Forms: To apply for an award under

this program competition, your application must be organized in the

following order and include the following six parts:

Part I: Application for Federal Assistance (Standard Form 424 (Rev.

4-88)) and Instructions.

Part II: Partnership Agreement Form.

Part III: Budget Information and Instructions.

Part IV: Budget Narrative.

Part V: Application Narrative.

Part VI: Additional Assurances and Certification:

a. Assurances--Non-Construction Programs (Standard Form 424B).

b. Certifications Regarding Lobbying; Debarment, Suspension, and

Other Responsibility Matters; and Drug-Free Workplace Requirements (ED

form 80-0013) and Instructions.

c. Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion: Lower Tier Covered Transactions (ED Form 80-0014)

and Instructions.

(Note: ED Form 80-0014 is intended for the use of grantees and

should not be transmitted to the Department.)

d. Disclosure of Lobbying Activities (Standard Form LLL) (if

applicable) and Instructions, and Disclosure of Lobbying Activities

Continuation Sheet (Standard Form LLL-A).

All forms and instructions are included as Appendix A of this

notice. Questions and answers pertaining to this program are included,

as Appendix B, to assist potential applicants.

An applicant may submit information on a photostatic copy of the

forms in Appendix A. However, each of the pertinent documents must

include an original ink signature. All applicants must submit ONE

original signed application, including ink signatures on all forms and

assurances and SIX copies of the application. Please mark each

application as original or copy. Local or State Agencies may choose to

submit two copies with the original.

No grant may be awarded unless a complete application form has been

received.

FOR FURTHER INFORMATION CONTACT: Liz Miller or Jeanne Williams, Special

Programs Branch, Division of National Programs, Office of Vocational

and Adult Education, U.S. Department of Education, room 4513-MES, 400

Maryland Avenue SW., Washington, DC 20202-7327. Telephone (202) 205-

9750.

Information about the Department's funding opportunities, including

copies of application notices for discretionary grant competitions, can

be viewed on the Department's electronic bulletin board (ED Board),

telephone (202) 260-9950; or on the Internet Gopher Server at

GOPHER.ED.GOV (under Announcements, Bulletins, and Press Releases).

However, the official application notice for a discretionary grant

competition is the notice published in the Federal Register.

Individuals who use a telecommunications device for the deaf (TDD)

may call the Federal Information Relay Service (FIRS) at 1-800-877-8339

between 8 a.m. and 8 p.m., Eastern time, Monday through Friday.

PROGRAM AUTHORITY: 20 U.S.C. 1211(a).

Dated: January 3, 1994.

Augusta S. Kappner,

Assistant Secretary Vocational and Adult Education.

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Appendix A

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Instructions for Part II--Partnership Agreement Form

Partners must submit a signed Partnership Agreement Form and

enclose it with the application. As indicated in 34 CFR 472.2, it is

essential that the partners sign and submit this document in order for

their application to be considered complete. If the agreement is

retyped, the applicant should make sure that none of the wording is

changed. Any changes in wording could alter the meaning of the

agreement and thus render the application ineligible. Any reference in

the application to an organization as a partner in the project is

considered to mean a bona fide partner in the partnership who must sign

the partnership agreement. If the document is not signed by all

organizations identified as partners and submitted with the application

or if the wording is changed and alters the meaning of the agreement,

the Secretary will return the application without further consideration

for funding pursuant to 34 CFR 75.216.

Preference is given under this program to an application that

includes one or more small businesses as a partner. For the purpose of

this program, to claim a small business preference, the applicant must

certify which of the partner enterprises is a small business under the

Small Business Administration's Size Standards: Final and Interim Final

Rules (13 CFR part 121) and furnish the Standard Industrial

Classification (SIC) code in the Final and Interim Final Rules within

which each such enterprise classifies itself. The SIC code for a small

business partner must be entered in the space provided on the

Partnership Agreement Form.

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Instructions for Part III-Budget Information

Section A--Budget Summary by Categories

1. Personnel: Show salaries to be paid to project personnel.

2. Fringe Benefits: Indicate the rate and amount of fringe

benefits.

3. Travel: Indicate the amount requested for both inter- and intra-

State travel of project staff. Include funds for three people to attend

three developmental staff meetings in Washington, DC.

4. Equipment: Indicate the cost of non-expendable personal property

that has a useful life of more than one year and a cost of $300 or more

per unit ($5,000 or more if State, Local, or Tribal Government).

5. Supplies: Include the cost of consumable supplies and materials

to be used during the project.

6. Contractual: Show the amount to be used for (1) procurement

contracts (except those which belong on other lines such as supplies

and equipment); and (2) sub-contracts.

7. Other: Indicate all direct costs not clearly covered by lines 1

through 6 above, including consultants.

8. Total, Direct Costs: Show the total for lines 1 through 7.

9. Indirect Costs: Indicate the rate and amount of indirect costs

(see Note).

10. Training/Stipend Cost: (not allowable)

11. TOTAL, Federal Funds Requested: Show total for lines 8 through

10.

Note: The National Workplace Literacy Program includes a

statutory requirement that Federal funds supplement, and not

supplant, non-Federal funds. 34 CFR 75.563 requires programs of this

type to use a restricted indirect cost rate. 34 CFR 75.564-75.568

provides the formula for determining the restricted indirect cost

rate and provides definitions of terms used in the formula. A

grantee other than a State or local government may use the

restricted indirect cost rate or eight percent, whichever is less.

Copies of part 75 of 34 CFR may be obtained from the Government

Printing Office by writing to the Superintendent of Documents, U.S.

Government Printing Office, Washington, DC 20402. Telephone: (202)

783-3238. These regulations may also be found at many local

libraries.

Section B--Cost Sharing Summary

Indicate the actual rate and amount of cost sharing. The National

Workplace Literacy Program requires that the partnership provide at

least 30 percent cost sharing. The share required refers to a

percentage of Total project cost, not of Federal funds.

Part IV--Instructions for Budget Narrative

Prepare a detailed Budget Narrative for the first year of the

project that justifies, and/or clarifies the budget figures shown in

sections A and B. (Please note that the National Literacy Act of 1991

(Pub. L. 102-73) amended the section of the Adult Education Act that

authorizes the National Workplace Literacy Program to permit any

eligible organization to use 100 percent Federal funds for

administrative costs incurred in establishing a project during a start-

up period. 34 CFR 472.32(b) requires that an applicant minimize the

start-up period, if any, proposed for its project and that the start-up

period not exceed six months.) Explain:

1. The basis used to estimate certain costs (professional

personnel, consultants, travel, indirect costs) and any other cost that

may appear unusual;

2. How the major cost items relate to the proposed project

activities;

3. The costs of the project's evaluation component;

4. What matching occurs in each budget category; and

5. A breakdown of expenditures in the start-up period, and in the

subsequent operational period.

Provide estimated budget totals for the second and third years of

the project.

Instructions for Part V--Application Narrative

Before preparing the Application Narrative, an applicant should

read carefully the description of the program and the selection

criteria the Secretary uses to evaluate applications.

The narrative should encompass each function or activity for which

funds are being requested and should--

1. Begin with an Abstract; that is, a summary of the proposed

project including a list of the members of the partnership;

2. Describe the proposed project in light of each of the selection

criteria in the order in which the criteria are listed in this

application package; and

3. Include any other pertinent information that might assist the

Secretary in reviewing the application.

The Secretary strongly requests the applicant to limit the

Application Narrative to no more than 50 double-spaced, typed, 8\1/2\''

x 11'' pages (on one side only), although the Secretary will consider

applications of greater length. Be sure that each page of your

application is numbered consecutively.

Include as an appendix to the Application Narrative supporting

documentation, also on 8\1/2\'' x 11'' paper (e.g., letters of support,

footnotes, resumes, etc.), or any other pertinent information that

might assist the Secretary in reviewing the application.

Applicants are advised that--(1) Under Sec. 75.217 of the Education

Department General Administrative Regulations (EDGAR), the Department

considers only information contained in the application in ranking

applications for funding consideration. Letters of support sent

separately from the formal application package are not considered by

the technical review panels.

(2) In reviewing applications, the technical review panel evaluates

each application solely on the basis of the established technical

review criteria. Letters of support contained in the application will

strengthen the application only if they contain commitments that

pertain to the established technical review criteria, such as

commitment of resources.

Include any other pertinent information that might assist the

Secretary in reviewing the application under the Adult Education Act,

as amended.

Instructions for Estimated Public Reporting Burden

Under terms of the Paperwork Reduction Act of 1980, as amended, and

the regulations implementing that Act, the Department of Education

invites comment on the public reporting burden in this collection of

information. Public reporting burden for this collection of information

is estimated to average 90 hours per response, including the time for

reviewing instructions, searching existing data sources, gathering and

maintaining the data needed, and completing and reviewing the

collection of information. You may send comments regarding this burden

to the U.S. Department of Education, Information Management and

Compliance Division, Washington, DC 20202-4651; and to the Office of

Management and Budget, Paperwork Reduction Project, OMB 1830-0521,

Washington, DC 20503.

(Information collection approved under OMB control number 1830-0521.

Expiration date: December 31, 1995.)

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Appendix B

Potential applicants frequently direct questions to officials of

the Department regarding application notices and programmatic and

administrative regulations governing various direct grant programs. To

assist potential applicants the Department has assembled the following

most commonly asked questions.

Q. Can we get an extension of the deadline?

A. No. A closing date may be changed only under extraordinary

circumstances. Any change must be announced in the Federal Register and

apply to all applications. Waivers for individual applications cannot

be granted, regardless of the circumstances.

Q. We just missed the deadline for a previous Department of

Education competition. May we submit the application we prepared for it

under this competition?

A. Yes. However the likelihood of success is not good. A properly

prepared application must meet the specifications of the competition to

which it is submitted.

Q. I'm not sure which competition is most appropriate for my

project. What should I do?

A. We are happy to discuss any questions with you and provide

clarification on the unique elements of the various competitions.

Q. How can I best ensure that my application is received on time

and is considered under the correct competition?

A. Applicants should carefully follow the instructions for filing

applications that are set forth in this notice. Be sure that Block 10

of the face page of the application (Standard form 424) clearly

indicates the CFDA number 84.198, and the title of the program--

National Workplace Literacy Program--representing the competition in

which the application should be considered.

Q. Will you help us prepare our application?

A. We are happy to provide general program information. Clearly, it

would not be appropriate for staff to participate in the actual writing

of an application, but we can respond to specific questions about

application requirements, evaluation criteria, and the priority.

Applicants should understand that this previous contact is not

required, nor will it in any way influence the success of an

application.

Q. How long should an application be?

A. The Department of Education is making a concerted effort to

reduce the volume of paperwork in discretionary program applications.

However, the scope and complexity of projects is too variable to

establish firm limits on length. Your application should provide enough

information to allow the review panel to evaluate the significance of

the project against the criteria of the competition. We recommend that

you address all of the selection criteria in an ``Application

Narrative'' of no more than 50 pages in length. Supporting

documentation may be included in appendices to the Application

Narrative. Some examples:

(1) Staff qualifications. These should be brief. They should

include the person's title and role in the proposed project and contain

only information about his or her qualifications that are relevant to

the proposed project. Qualifications of consultants should be provided

and be similarly brief. Resumes may be included in the appendices.

(2) Copies of evaluation instruments proposed to be used in the

project in instances where such instruments are not in general use.

(3) Copies (samples) of any curricula that reflect the applicant's

experience and the scope and direction of any current or previous

projects related to this application.

Note that a Budget Narrative describing specific uses of funds

requested in the budget form also is required. No applications will be

funded without this material. The Budget Narrative is not included in

the recommended 50 page limit.

Q. How should my application be organized?

A. The applicant should assemble its package in the following

order: The SF 424 on top, followed by the abstract, Partnership

Agreement Form, table of contents, Budget Information Form, Budget

Narrative, Application Narrative, assurances and certifications, and

appendices.

Do not substitute your own cover for the SF 424. Please include one

extra, loose copy of the SF 424 for use by the Application Control

Center. Please number all pages. The Application Narrative should be

organized to follow the exact sequence of the components in the

selection criteria in this notice.

Q. Can project funds be used to cover travel expenses?

A. Travel associated with carrying out the project can be funded

using program funds if necessary and reasonable. The Secretary

anticipates that the project director, one business or labor

representative, and the evaluator will attend three developmental staff

meetings over the course of the project (one start-up conference, one

mid-point conference, and one close-out conference). Therefore, you may

wish to include the costs of nine trips to Washington, D.C. in the

travel budget.

Q. How can I ensure that my application is filed on behalf of a

validly formed partnership?

A. The requirements for forming a partnership and filing an

application on its behalf are explained in Sec. 472.2 of the program

regulations. A partnership requires a signed agreement between at least

one entity described in Sec. 472.2(a)(1) and at least one entity

described in Sec. 472.2(a)(2). Note that State and local governments--

like any other entities--may not qualify as partners unless they fall

within these descriptions. For example, under the regulations, a State

or local educational agency or a municipal employment and training

agency is an eligible partner, but a State or city government is not an

eligible partner. No agency of the Federal government is an eligible

partner. Federal employees including members of the armed services are

not eligible for training. If you are not sure whether a particular

entity is an eligible partner, please call the program officers listed

as information contacts in the application notice.

Q. Can entities that are not eligible partners be involved in a

workplace literacy project?

A. Yes. They could potentially be involved as ``contractors,''

``helping organizations,'' or ``sites,'' as defined in Sec. 472.5 of

the regulations. Note that entities that are ``helpers'' or ``sites''

may not receive funds from the grant.

Q. Must the signed partnership agreement be submitted with the

application?

A. Yes. The agreement is required both to establish the

partnership's legal eligibility and to ensure each partner's continuing

commitment during the workplace literacy project. Prior to submitting

an application, partners should ensure that each partner clearly

understands its role and responsibilities in the project.

The Department interprets even a single reference in the

application to an organization as a partner to mean that it is a bona

fide partner in the partnership and, thus, is required to sign the

partnership agreement. The applicant should be careful to designate

partners, helpers, contractors, etc. in the same way wherever they are

mentioned throughout the application. Because partnership requirements

are established by law, the Department reviews each agreement form to

be certain that it meets the terms of the law requiring all entities

named as partners to sign the agreement. The Department wishes to

underscore that if any of the entities named as partners in the

application have not signed the agreement form, the application will be

returned to the applicant without further consideration for funding.

Q. How does the Department define ``small business''?

A. In 34 CFR 472.5, the Department defines ``small business'' as a

business entity that--

(1) Is organized for profit, with a place of business located in

the United States and that makes a significant contribution to the U.S.

economy through payment of taxes or use of American products,

materials, or labor, or both; and

(2) May be in the legal form of an individual proprietorship,

partnership, corporation, joint venture, association, trust or a

cooperative, except that where the form is a joint venture there can be

no more than 49 percent participation by foreign business entities in

the joint venture; and

(3) Meets the requirements found in 13 CFR part 121 concerning

Standard Industrial Classification codes and size standards.

If you are not sure whether or not you meet the definition of a

small business, you may want to contact your local district office or

regional office of the Small Business Administration (SBA) for advice.

If you are unable to locate those offices you may call the SBA's Office

of Size Standards at (202) 205-6618.

Q. May an application including a business partner that is a small

local affiliate of a larger corporation receive the small business

priority points?

A. The overall size of the business partner and its affiliates will

determine the answer. Size determinations must include the business

partner and all its domestic and foreign affiliates regardless of

whether the affiliates are organized for profit. 13 CFR 121.401

describes affiliating circumstances for size determination purposes and

establishes exceptions thereto.

Q. May an application including a business partner that operates as

the small local franchisee or licensee of a larger corporation receive

the small business priority points?

A. Small business priority points may be awarded when a business

partner meets the following three conditions: It (1) is a local

franchisee or licensee within the size determination standards, (2) has

the right to profit from its efforts and (3) bears the risk of loss

commensurate with ownership. Exceptions to this general interpretation

may arise where affiliation results from other means than the franchise

or license agreement such as common ownership, common management or

excessive restrictions on the sale of the franchise interest. See

Sec. 121.401(m) of 13 CFR.

Q. Must a small business participant be a partner for the

application to qualify for the small business priority points?

A. Yes. The small business participant must be a partner who has

signed the Partnership Agreement for the application to qualify for the

extra points.

Q. Must an applicant provide the Standard Industrial Classification

(SIC) code for the small business partner in order to receive the small

business priority points?

A. Yes. The SIC code must be entered on the line provided on the

Partnership Agreement form.

Q. What is meant by a required percent of non-Federal cost-sharing

or matching funds?

A. In this program, the recipient of Federal funds is required to

``match'' the Federal grant by paying at least a minimum percentage of

total program costs. Total program costs include both the Federal funds

received and the non-Federal contribution. For example, a partnership

that is required to pay 30 percent of total program costs of $100,000

would have to contribute $30,000 to match a Federal award of $70,000

($30,000 = 30 percent of $100,000 ($30,000 plus $70,000)). All

partnerships must contribute at least 30 percent of total program

costs, except that partnerships may receive full reimbursement for

their necessary and reasonable administrative costs incurred in

establishing a project during the project start-up period. That period

should be minimized and may not exceed six months, at which time the

project is expected to provide services to adult workers.

Q. What costs may be included in the 30 percent match (cash or in-

kind)?

A. Any cost that can be paid with Federal funds from this program

is allowable as match (see Education Department General Administrative

Regulations, 34 CFR 74.50-74.57 and 34 CFR 80.24).

Q. What costs are not allowed using project funds (Federal or non-

Federal match)?

A. The following items are not allowable costs in the National

Workplace Literacy Program:

Life skills such as balancing a checkbook, learning to

read to children, writing personal correspondence, etc.

Personal counseling such as counseling for alcoholism,

mental health, health, domestic problems, or housing issues.

Job skills or vocational training such as direct training

in statistical process control (SPC) rather than literacy skills needed

for SPC.

Computer literacy, defined as any training above the level

of computer competence needed to operate a computer-assisted program of

instruction used in a workplace literacy project. Non-allowable costs

include teaching of word processing, WordPerfect, Lotus, dBase, etc.

Stipends or tuition payments.

Training of supervisors, other than those one step up from

targeted workers such as maintenance crew supervisors.

Construction costs.

Institutional allowance.

Any unreasonable or unnecessary cost.

Q. May a project provide vocational or job training activities?

A. No. Projects must provide adult education programs that teach

literacy skills needed in the workplace. Workplace literacy activities

include only the adult education activities listed in the Description

of Program section of the Notice Inviting Applications. This list does

not include vocational or job training activities such as auto

mechanics, dye casting, tailoring, and statistical process control.

Workplace literacy instruction, however, may enable individuals to

benefit subsequently or simultaneously from advanced vocational skills

training provided from other funds. If you are not sure whether a

particular activity is eligible under this program, please call one of

the program officers listed as information contacts in the application

notice.

Q. May a project provide training in operating a computer?

A. Training to operate a computer that is part of the performance

of a job is a form of vocational or job training and is not an eligible

activity under this program. However, computers could be used as a

means of instruction if this were necessary and reasonable under the

circumstances of a particular project. In such a context, it would be

permissible to ensure that students possessed those rudimentary skills

that are necessary to interact with computer-assisted literacy

instruction.

Q. What should be disseminated?

A. The criterion ``Demonstration'' encourages applicants to use

certain dissemination strategies but does not preclude the use of

additional strategies that are appropriate for a particular project.

Projects should distribute materials that will help others to adopt

promising practices arising from the project, such as assessment

instruments, recruitment materials, job task analysis materials, staff

development materials, curricula, etc. The Department does not expect

or anticipate that partnerships will disseminate trade secrets or other

protected information. However, a project's dissemination activities

should clearly benefit businesses and workplaces outside of the

partnership.

Q. What is the Department of Education's Program Effectiveness

Panel?

A. As mentioned in the note to the criterion ``Evaluation plan,''

the Program Effectiveness Panel (PEP) is a mechanism that the

Department has developed for validating the effectiveness of

educational programs developed by schools, universities, and other

agencies.

Specific criteria for PEP review are found at 34 CFR 786.12 or

787.12. For further information about PEP, prospective applicants may

wish to read Making the Case: Evidence of Effectiveness in Schools and

Classrooms, which contains criteria and guidelines for submitting

project results to PEP. This publication is available from the U.S.

Department of Education's Office of Educational Research and

Improvement, 555 New Jersey Avenue NW., Washington, DC 20208-5645.

Telephone: (202) 219-2134.

Q. How many copies of the application should I submit and must they

be bound?

A. The original application should be bound and clearly marked as

the original application bearing the original signatures. In addition

six copies should be submitted and marked as copies. Local or State

Agencies may choose to submit two copies with the original.

Applications should not include foldouts, photographs, audio-visuals,

or other materials that are hard to duplicate.

Q. When will I find out if I'm going to be funded?

A. You can expect to receive notification within 8 to 9 months of

the application closing date, depending on the number of applications

received and the number of competitions with closing dates at about the

same time.

Q. Will my application be returned?

A. We do not return applications. Therefore, applicants should

retain at least one copy of the application.

Q. What happens during negotiations between high ranking applicants

and the U.S. Department of Education grants office?

A. During negotiations, technical and budget issues may be raised.

These are issues that have been identified during panel and staff

reviews that require clarification. Sometimes issues are stated as

``conditions.'' These are issues that have been identified as so

critical that the award cannot be made unless those conditions are met.

Questions may also be raised about the proposed budget. Generally,

these issues are raised because there is inadequate justification or

explanation of a particular budget item, or because the budget item

seems unimportant to the successful completion of the project. If you

are asked to make changes that you feel could seriously affect the

project's success, you may provide reasons for not making the changes

or provide alternative suggestions. Similarly, if proposed budget

reductions will, in your opinion, seriously affect the project

activities, you may explain why and provide additional justification

for the proposed expenses. An award cannot be made until all

negotiation issues have been resolved.

Q. Where can copies of the Federal Register, program regulations,

and Federal statutes be obtained?

A. Copies of these materials can often be found at your local

library. If not, they can be obtained from the Government Printing

Office by writing to the Superintendent of Documents, U.S. Government

Printing Office, Washington, DC 20402. Telephone: (202) 783-3238. When

requesting copies of regulations or statutes, it is helpful to use the

specific name, public law number, or part number. The materials related

to this notice should be referred to as follows:

(1) The Augustus F. Hawkins-Robert T. Stafford Elementary and

Secondary School Improvement Amendments of 1988, Public Law 100-297,

title III, sections 301-385.

(2) The National Literacy Act of 1991, title II, Public Law 102-73,

section 202.

(3) The Education Department General Administrative Regulations

(EDGAR) (34 CFR parts 74, 75, 77, 79, 80, 81, 82, 85, and 86).

(4) 34 CFR parts 460 and 472 (National Workplace Literacy Program).

Note: Amendments to 34 CFR 472 are published in this issue of

the Federal Register.

(5) Small Business Size Regulations (13 CFR part 121).

[FR Doc. 94-443 Filed 1-7-94; 8:45 am]

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