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

[Federal Register Volume 60, Number 80 (Wednesday, April 26, 1995)]

[Notices]

[Pages 20602-20617]

From the Federal Register Online via the Government Publishing Office [www.gpo.gov]

[FR Doc No: 95-9829]

[[Page 20601]]

_______________________________________________________________________

Part V

National Institute for Literacy

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Grants and Cooperative Agreements: State Literacy Resource Centers

National Electronic Information and Communication Network Applications;

Notice

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

Notices

[[Page 20602]]

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.

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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 Internet-based 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 [[Page 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

[[Page 20604]] 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

single-spaced 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 two-year 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 two-year 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

[[Page 20605]] 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 on-line 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. [[Page 20606]]

(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 cost-effective 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 self-contained 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. [[Page 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--Non-Construction 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: Secs. 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 (Non-procurement)

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:

[[Page 20608]] 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

[[Page 20609]]

Application Forms and Instructions

[GRAPHIC][TIFF OMITTED]TN26AP95.000

BILLING CODE 6055-01-C

[[Page 20610]]

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.

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[[Page 20611]]

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[[Page 20612]]

[GRAPHIC][TIFF OMITTED]TN26AP95.002

BILLING CODE 6055-01-C

[[Page 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 multi-year 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 non-Federal 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 multi-year total for each

budget category. If non-Federal 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 multi-year 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 non-Federal 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. Secs. 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.

Secs. 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. Sec. 794), which prohibits discrimination on

the basis of handicaps; (d) the Age Discrimination Act of 1975, as

amended (42 U.S.C. Secs. 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) Secs. 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. Sec. 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.

Secs. 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. Secs. 276a to 276a-7), the Copeland Act (40

U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work

Hours and Safety Standards Act (40 U.S.C. Secs. 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. Secs. 1451 et seq.); (f) conformity of Federal

actions to State (Clear Air) Implementation Plans under Section

176(c) [[Page 20614]] of the Clear Air Act of 1955, as amended (42

U.S.C. Sec. 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. Secs. 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. Secs. 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.

----------------------------------------------------------------------

Signature of Authorized Certifying Official

----------------------------------------------------------------------

Title

----------------------------------------------------------------------

Applicant Organization

----------------------------------------------------------------------

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 Drug-Free 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 [[Page 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).

----------------------------------------------------------------------

----------------------------------------------------------------------

----------------------------------------------------------------------

Check {time} 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.

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Name of Applicant

----------------------------------------------------------------------

PR/Award Number and/or Project Name

----------------------------------------------------------------------

Printed Name and Title of Authorized Representative

----------------------------------------------------------------------

Signature

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Date

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BILLING CODE 6055-01-C

[[Page 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.

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Name of Applicant

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PR/Award Number and /or Project Name

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Printed Name and Title of Authorized Representative

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Signature

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Date

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

BILLING CODE 6055-01-M