Office of Special Education and Rehabilitative Services; National Institute on Disability and Rehabilitation Research; Notice Inviting Applications for New Awards Under Certain Programs for Fiscal Year 1997

DEPARTMENT OF EDUCATION

[CFDA Nos.: 84.133B and 84.133D]

Office of Special Education and Rehabilitative Services; National

Institute on Disability and Rehabilitation Research; Notice Inviting

Applications for New Awards Under Certain Programs for Fiscal Year 1997

Note to Applicants: This notice is a complete application package.

Together with the statute authorizing the programs and applicable

regulations governing the programs, including the Education Department

General Administrative Regulations (EDGAR), this notice contains

information, application forms, and instructions needed to apply for a

grant under these competitions.

These programs support the National Education Goal that calls for

all Americans to possess the knowledge and skills necessary to compete

in a global economy and exercise the rights and responsibilities of

citizenship.

The estimated funding levels in this notice do not bind the

Department of Education to make awards in any of these categories, or

to any specific number of awards or funding levels, unless otherwise

specified in statute.

APPLICABLE REGULATIONS: The Education Department General Administrative

Regulations (EDGAR), 34 CFR Parts 74, 75, 77, 80, 81, 82, 85, and 86;

and the following program regulations:

(a) Rehabilitation Research and Training Centers (RRTCs)--34 CFR

Parts 350 and 352; and

(b) Knowledge Dissemination and Utilization Program (D&U)--34 CFR

Parts 350 and 355.

Program Title: Rehabilitation Research and Training Centers.

CFDA Number: 84.133B.

Purpose of Program: RRTCs conduct coordinated and advanced programs

of research on disability and rehabilitation that will produce new

knowledge that will improve rehabilitation methods and service delivery

systems, alleviate or stabilize disabling conditions, and promote

maximum social and economic independence for individuals with

disabilities. RRTCs provide training to service providers at the pre-

service, in-service training, undergraduate, and graduate levels, to

improve the quality and effectiveness of rehabilitation services. They

also provide advanced research training to individuals with

disabilities and those from minority backgrounds, engaged in research

on disability and rehabilitation. RRTCs serve as national and regional

technical assistance resources, and provide training for service

providers, individuals with disabilities and families and

representatives, and rehabilitation researchers.

Application Notice for Fiscal Year 1997

Rehabilitation Research and Training Centers CFDA No. 84.133B

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

Deadline for Maximum

transmittal Estimated award Project

Funding Priority of number of amount (per period

applications awards year)* (months)

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

Maintaining the Employment and Addressing the Personal

Adjustment of Individuals Who are L-D or HOH.............. 8/15/97 1 $500,000 60

Improving the VR Outcomes for Individuals Who Are Substance

Abusers................................................... 8/15/97 1 500,000 60

Improving Employment and IL Outcomes for Persons with

Disabilities in Rural Areas............................... 8/15/97 1 550,000 60

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

Note: The Secretary will reject without consideration or evaluation any application that proposes a project

funding level that exceeds the stated maximum award amount (See 34 CFR 75.104(b)).

[[Page 35645]]

Rehabilitation Research and Training Centers

Selection Criteria: The Secretary uses the following selection

criteria to evaluate applications under the RRTC program.

(a) Relevance and importance of the research program (20 points).

The Secretary reviews each application to determine to what degree--

(1) The proposed activities are responsive to a priority

established by the Secretary and address a significant need of a

disabled target population and rehabilitation service providers;

(2) The overall research program of the Center includes appropriate

interdisciplinary and collaborative research activities, is likely to

lead to new and useful knowledge in the priority area, and is likely to

become a nationally recognized source of scientific knowledge; and

(3) The applicant demonstrates that all component activities of the

Center are related to the overall objective of the Center, and will

build upon and complement each other to enhance the likelihood of

solving significant rehabilitation problems.

(b) Quality of the research design (35 points). The Secretary

reviews each application to determine to what degree--

(1) The applicant proposes a comprehensive research program for the

entire project period, including at least three interrelated research

projects;

(2) The research design and methodology of each proposed activity

are meritorious in that--

(i) The literature review is appropriate and indicates familiarity

with current research in the field;

(ii) The research hypotheses are important and scientifically

relevant;

(iii) The sample populations are appropriate and significant;

(iv) The data collection and measurement techniques are appropriate

and likely to be effective;

(v) The data analysis methods are appropriate; and

(vi) The applicant assures that human subjects, animals, and the

environment are adequately protected; and

(3) The application discusses the anticipated research results and

demonstrates how those results would satisfy the original hypotheses

and could be used for planning future research, including generation of

new hypotheses where applicable.

(c) Quality of the training and dissemination program (25 points).

The Secretary reviews each application to determine the degree to

which--

(1) The proposed plan for training and dissemination provides

evidence that research results will be effectively disseminated and

utilized based on the identification of appropriate and accessible

target groups; the proposed training materials and methods are

appropriate; the proposed activities are relevant to the regional and

national needs of the rehabilitation field; and the training materials

and dissemination packages will be developed in alternate media that

are usable by people with various types of disabilities.

(2) The proposed plan for training and dissemination provides for--

(i) Advanced training in rehabilitation research;

(ii) Training rehabilitation service personnel and other

appropriate individuals to improve practitioner skills based on new

knowledge derived from research;

(iii) Training packages that make research results available to

service providers, researchers, educators, individuals with

disabilities, parents, and others;

(iv) Technical assistance or consultation that is responsive to the

concerns of service providers and consumers;

(v) Dissemination of research findings through publication in

professional journals, textbooks, and consumer and other publications,

and through other appropriate media such as audiovisual materials and

telecommunications.

(vi) Widespread dissemination of findings and other appropriate

materials to providers of rehabilitation and other relevant services to

individuals with disabilities, family members of individuals with

disabilities, and other authorized representatives, advocates, and

organizations that provide information and support to individuals with

disabilities and their families; and

(vii) Dissemination of research findings and other materials in

appropriate formats and accessible media for use by individuals with

various disabilities.

(d) Quality of the organization and management (20 points). The

Secretary reviews each application to determine the degree to which----

(1) The staffing plan for the Center provides evidence that the

project director, research director, training director, principal

investigators, and other personnel have appropriate training and

experience in disciplines required to conduct the proposed activities;

the commitment of staff time is adequate to conduct all proposed

activities; and the Center, 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

handicapping conditions;

(2) The budgets for the Center and for each component project are

reasonable, adequate, and cost-effective for the proposed activities;

(3) The facilities, equipment, and other resources are adequate and

are appropriately accessible to persons with disabilities;

(4) The plan of operations is adequate to accomplish the Center's

objectives and to ensure proper and efficient management of the Center;

(5) The proposed relationships with Federal, State, and local

rehabilitation service providers and consumer organizations are likely

to ensure that the Center program is relevant and applicable to the

needs of consumers and service providers;

(6) The past performance and accomplishments of the applicant

indicate an ability to complete successfully the proposed scope of

work;

(7) The application demonstrates appropriate commitment and support

by the host institution and opportunities for interdisciplinary

activities and collaboration with other institutions and organizations;

and

(8) The plan for evaluation of the Center provides for an annual

assessment of the outcomes of the research, the impact of the training

and dissemination activities on the target populations, and the extent

to which the overall objectives have been accomplished.

Eligible Applicants: Institutions of higher education and public or

private agencies and organizations collaborating with institutions of

higher education, including Indian tribes and tribal organizations, are

eligible to apply for awards under this program.

Program Authority: 29 U.S.C. 762.

[[Page 35646]]

Application Notice for Fiscal Year 1997

Knowledge Dissemination and Utilization Program, CFDA No. 84.133D

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

Deadline for

transmittal Estimated Maximum Project

Funding priority of number of award amount period

applications awards (per year)* (months)

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

Parenting with a Disability Technical Assistance Center. 8/15/97 1 $500,000 60

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

* Note: The Secretary will reject without consideration or evaluation any application that proposes a project

funding level that exceeds the stated maximum award amount (See 34 CFR 75.104(b)).

Program Title: Knowledge Dissemination and Utilization Program.

CFDA Number: 84.133D.

Purpose of Program: The Knowledge Dissemination and Utilization is

designed to support activities that will ensure that rehabilitation

knowledge generated from projects and centers funded by NIDRR and from

other sources is fully utilized to improve the lives of individuals

with disabilities and their families.

Knowledge Dissemination and Utilization Program

Selection Criteria: The Secretary uses the following selection

criteria to evaluate applications under the D&U program.

(a) Potential Impact of Outcomes: Importance of Program (Weight

3.0). The Secretary reviews each application to determine to what

degree--

(1) The proposed activity relates to the announced priority;

(2) The research is likely to produce new and useful information

(research activities only);

(3) The need and target population are adequately defined;

(4) The outcomes are likely to benefit the defined target

population;

(5) The training needs are clearly defined (training activities

only);

(6) The training methods and developed subject matter are likely to

meet the defined need (training activities only); and

(7) The need for information exists (utilization activities only).

(b) Potential Impact of Outcomes: Dissemination/Utilization (Weight

3.0). The Secretary reviews each application to determine to what

degree--

(1) The research results are likely to become available to others

working in the field (research activities only);

(2) The means to disseminate and promote utilization by others are

defined;

(3) The training methods and content are to be packaged for

dissemination and use by others (training activities only);

(4) The utilization approach is likely to address the defined need

(utilization activities only); and

(5) There is likely to be widespread dissemination of the results,

in a usable and effective manner, to all appropriate target

populations, including individuals with disabilities and their family

members.

(c) Probability of Achieving Proposed Outcomes; Program/ Project

Design (Weight 5.0). The Secretary reviews each application to

determine to what degree--

(1) The objectives of the project(s) are clearly stated;

(2) The hypothesis is sound and based on evidence (research

activities only);

(3) The project design/methodology is likely to achieve the

objectives;

(4) The measurement methodology and analysis is sound (research and

development/demonstration activities only);

(5) The conceptual model (if used) is sound (development/

demonstration activities only);

(6) The sample populations are correct and significant (research

and development/demonstration activities only);

(7) The human subjects are sufficiently protected (research and

development/demonstration activities only);

(8) The device(s) or model system is to be developed in an

appropriate environment;

(9) The training content is comprehensive and at an appropriate

level (training activities only);

(10) The training methods are likely to be effective (training

activities only);

(11) The new materials (if developed) are likely to be of high

quality and uniqueness (training activities only);

(12) The target populations are linked to the project (utilization

activities only);

(13) The format of the dissemination medium is the best to achieve

the desired result (utilization activities only); and

(14) The materials to be used in the project and the materials to

be disseminated are likely to be in formats that are accessible to the

appropriate populations.

(d) Probability of Achieving Proposed Outcomes: Key Personnel

(Weight 4.0). The Secretary reviews each application to determine to

what degree --

(1) The principal investigator and other key staff have adequate

training and/or experience and demonstrate appropriate potential to

conduct the proposed research, demonstration, training, development, or

dissemination activity;

(2) The principal investigator and other key staff are familiar

with pertinent literature and/or methods;

(3) All required disciplines are effectively covered;

(4) Commitments of staff time are adequate for the project; and

(5) The applicant is likely, as part of its non-discriminatory

employment practices, to encourage applications for employment from

persons who are members of groups that traditionally have been

underrepresented, such as--

(i) Members of racial or ethnic minority groups;

(ii) Women;

(iii) Handicapped persons; and

(iv) The elderly.

(e) Probability of Achieving Proposed Outcomes: Evaluation Plan

(Weight 1.0). The Secretary reviews each application to determine to

what degree --

(1) There is a mechanism to evaluate plans, progress and results;

(2) The evaluation methods and objectives are likely to produce

data that are quantifiable; and

(3) The evaluation results, where relevant, are likely to be

assessed in a service setting.

(f) Program/Project Management: Plan of Operation (Weight 2.0). The

Secretary reviews each application to determine to what degree--

(1) There is an effective plan of operation that insures proper and

efficient administration of the project(s);

(2) The applicant's planned use of its resources and personnel is

likely to achieve each objective;

(3) Collaboration between institutions, if proposed, is likely to

be effective; and

(4) There is a clear description of how the applicant will include

eligible project participants who have been traditionally

underrepresented, such as--

[[Page 35647]]

(i) Members of racial or ethnic minority groups;

(ii) Women;

(iii) Handicapped persons; and

(iv) The elderly.

(g) Program/Project Management: Adequacy of Resources (Weight 1.0).

The Secretary reviews each application to determine to what degree--

(1) The facilities planned for use are adequate;

(2) The equipment and supplies planned for use are adequate; and

(3) The commitment of the applicant to provide administrative

support and adequate facilities is evident.

(h) Program/Project Management: (Budget and Cost Effectiveness

(Weight 1.0). The Secretary reviews each application to determine to

what degree--

(1) The budget for the project(s) is adequate to support the

activities;

(2) The costs are reasonable in relation to the objectives of the

project(s); and

(3) The budget for subcontracts (if required) is detailed and

appropriate.

Eligible Applicants: Parties eligible to apply for grants under

this program are public and private nonprofit and for-profit agencies

and organizations, including institutions of higher education and

Indian tribes and tribal organizations.

Program Authority: 29 U.S.C. 761a and 762.

Instructions for Application Narrative

The Secretary strongly recommends that applicants include a one-

page abstract in their application. The Secretary strongly recommends

that the narrative for Knowledge Dissemination and Utilization Program

applications be limited to no more than 50 double-spaced, typed pages

(on one side only), not including appendices. The Secretary strongly

recommends that the narrative for Rehabilitation Research and Training

Center applications be limited to no more than 100 double-spaced, typed

pages (on one side only), not including appendices. These recommended

page limits apply only to the narrative and not to the abstract,

application forms, assurances, certifications and attachments to those

forms, assurances, and certifications.

Instructions for Transmittal of Applications

(a) If an applicant wants to apply for a grant, the applicant

shall--

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

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

Control Center, Attention: (CFDA # [Applicant must insert number and

letter]), Washington, D.C. 20202-4725, or

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

4:30 p.m. [Washington, D.C. time] on or before the deadline date to:

U.S. Department of Education, Application Control Center, Attention:

(CFDA # [Applicant must insert number and letter]), Room #3633,

Regional Office Building #3, 7th and D Streets, S.W., Washington, D.C.

(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) An applicant wishing to know that its application has been

received by the Department must include with the application a

stamped self-addressed postcard containing the CFDA number and title

of this program.

(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--and letter,

if any--of the competition under which the application is being

submitted.

Application Forms and Instructions

The appendix to this application is divided into four parts. These

parts are organized in the same manner that the submitted application

should be organized. These parts are as follows:

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

4-88)) and instructions.

Part II: Budget Form--Non-Construction Programs (Standard Form

524A) and instructions.

Part III: Application Narrative.

Additional Materials

Estimated Public Reporting Burden.

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

Certification Regarding Lobbying, Debarment, Suspension, and Other

Responsibility Matters: and Drug-Free Work-Place Requirements (ED Form

80-0013).

Certification Regarding Debarment, Suspension, Ineligibility and

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

and instructions. (NOTE: ED Form GCS-014 is intended for the use of

primary participants and should not be transmitted to the Department.)

Disclosure of Lobbying Activities (Standard Form LLL (if

applicable) and instructions; and Disclosure 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 the certifications

must each have an original signature. No grant may be awarded unless a

completed application form has been received.

For Applications Contact: The Grants and Contracts Service Team,

Department of Education, 600 Independence Avenue S.W., Switzer

Building, 3317, Washington, D.C. 20202, or call (202) 205-8207.

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

call the TDD number at (202) 205-9860. The preferred method for

requesting information is to FAX your request to (202) 205-8717.

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; on the Internet Gopher Server (at gopher://

gcs.ed.gov); or on the World Wide Web (at http://gcs.ed.gov). However,

the official application notice for a discretionary grant competition

is the notice published in the Federal Register.

Program Authority: 29 U.S.C. 760-762.

Dated: June 25, 1997.

Judith E. Heumann,

Assistant Secretary for Special Education and Rehabilitative Services.

Appendix

Application Forms and Instructions

Applicants are advised to reproduce and complete the application

forms in this Section. Applicants are required to submit an original

and two copies of each application as provided in this Section.

Frequent Questions

1. Can I get an extension of the due date?

No! On rare occasions the Department of Education may extend a

closing date for all applicants. If that occurs, a notice of the

revised due date is published in the Federal Register. However,

there are no extensions or exceptions to the due date made for

individual applicants.

[[Page 35648]]

2. What should be included in the application?

The application should include a project narrative, vitae of key

personnel, and a budget, as well as the Assurances forms included in

this package. Vitae of staff or consultants should include the

individual's title and role in the proposed project, and other

information that is specifically pertinent to this proposed project.

The budgets for both the first year and all subsequent project years

should be included.

If collaboration with another organization is involved in the

proposed activity, the application should include assurances of

participation by the other parties, including written agreements or

assurances of cooperation. It is not useful to include general

letters of support or endorsement in the application.

If the applicant proposes to use unique tests or other

measurement instruments that are not widely known in the field, it

would be helpful to include the instrument in the application.

Many applications contain voluminous appendices that are not

helpful and in many cases cannot even be mailed to the reviewers. It

is generally not helpful to include such things as brochures,

general capability statements of collaborating organizations, maps,

copies of publications, or descriptions of other projects completed

by the applicant.

3. What format should be used for the application?

NIDRR generally advises applicants that they may organize the

application to follow the selection criteria that will be used. The

specific review criteria vary according to the specific program, and

are contained in this Consolidated Application Package.

4. May I submit applications to more than one NIDRR program

competition or more than one application to a program?

Yes, you may submit applications to any program for which they

are responsive to the program requirements. You may submit the same

application to as many competitions as you believe appropriate. You

may also submit more than one application in any given competition.

5. What is the allowable indirect cost rate?

The limits on indirect costs vary according to the program and

the type of application.

An applicant for a project in the D&U grant program is limited

to the organization's approved indirect cost rate. If the

organization does not have an approved indirect cost rate, the

application should include an estimated actual rate.

An applicant for a project in the RRTC program is limited to an

indirect cost rate of 15 percent.

6. Can profitmaking businesses apply for grants?

Yes. However, for-profit organizations will not be able to

collect a fee or profit on the grant, and in some programs will be

required to share in the costs of the project.

7. Can individuals apply for grants?

No. Only organizations are eligible to apply for grants under

NIDRR programs. However, individuals are the only entities eligible

to apply for fellowships.

8. Can NIDRR staff advise me whether my project is of interest

to NIDRR or likely to be funded?

No. NIDRR staff can advise you of the requirements of the

program in which you propose to submit your application. However,

staff cannot advise you of whether your subject area or proposed

approach is likely to receive approval.

9. How do I assure that my application will be referred to the

most appropriate panel for review?

Applicants should be sure that their applications are referred

to the correct competition by clearly including the competition

title and CFDA number, including alphabetical code, on the Standard

Form 424, and including a project title that describes the project.

10. How soon after submitting my application can I find out if

it will be funded?

The time from closing date to grant award date varies from

program to program. Generally speaking, NIDRR endeavors to have

awards made within five to six months of the closing date.

Unsuccessful applicants generally will be notified within that time

frame as well. For the purpose of estimating a project start date,

the applicant should estimate approximately six months from the

closing date, but no later than the following September 30.

11. Can I call NIDRR to find out if my application is being

funded?

No. When NIDRR is able to release information on the status of

grant applications, it will notify applicants by letter. The results

of the peer review cannot be released except through this formal

notification.

12. If my application is successful, can I assume I will get the

requested budget amount in subsequent years?

No. Funding in subsequent years is subject to availability of

funds and project performance.

13. Will all approved applications be funded?

No. It often happens that the peer review panels approve for

funding more applications than NIDRR can fund within available

resources. Applicants who are approved but not funded are encouraged

to consider submitting similar applications in future competitions.

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BILLING CODE 4000-01-C

[[Page 35650]]

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. Data 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 box and enter appropriate letter(s) in the

space(s) 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. For

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. If 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 35651]]

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[[Page 35652]]

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BILLING CODE 4000-01-C

[[Page 35653]]

Public reporting burden of 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-year

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

space 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.

Public reporting burden for these collections of information is

estimated to average 30 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.

Send comments regarding this burden estimate or any other aspect

of these collections 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 to the Office of Management and Budget, Paperwork

Reduction Project 1820-0027, Washington, D.C. 20503.

Rehabilitation Research and Training Center (CFDA No. 84.133B)

34 CFR Parts 350 and 352.

Knowledge Dissemination and Utilization Program (CFDA No.

84.133D) 34 CFR Parts 350 and 355.

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 CFR 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 XI 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. 91-616),

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 non-discrimination 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

[[Page 35654]]

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) 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 Restricts 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 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 governmental 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 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. 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

(d) 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

[[Page 35655]]

subparagraph (d)(2) from an employee or otherwise receiving actual

notice of such conviction. Employers of 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 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 85.650 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.

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

Name of Applicant

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

PR/award number and/or project name

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

Printed name and title of authorized representative

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

Signature

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

Date

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 that

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.

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

Name of applicant

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

PR/award number and/or project name

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

Printed name and title of authorized representative

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

Signature

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

Date

BILLING CODE 4000-01-P

[[Page 35656]]

[GRAPHIC] [TIFF OMITTED] TN01JY97.059

BILLING CODE 4000-01-C

[[Page 35657]]

Instructions for Completion of SF-LLL, Disclosure of Lobbying

Activities

This disclosure form shall be completed by the reporting entity,

whether subawardee or prime Federal recipient, the initiation or

receipt of a covered Federal action, or a material change to a

previous filing, pursuant to title 31 U.S.C. section 1352. The

filing of a form is required for each payment or agreement to make

payment to any lobbying entity 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 a covered Federal action.

Complete all items that apply for both the initial filing and

material change report. Refer to the implementing guidance published

by the Office of Management and Budget for additional information.

1. Identify the type of covered Federal action for which

lobbying activity is and/or has been secured to influence the

outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If

this is a follow up report caused by a material change to the

information previously reported, enter the year and quarter in which

the change occurred. Enter the date of the last previously submitted

report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, state and zip code of the

reporting entity. Include Congressional District, if known. Check

the appropriate classification of the reporting entity that

designates if it is, or expects to be, a prime or subaward

recipient. Identify the tier of the subawards, e.g., the first

subawardee of the prime is the 1st tier. Subawards include but are

not limited to subcontracts, subgrants and contract awards under

grants.

5. If the organization filing the report in item 4 checks

``Subawardee'' then enter the full name, address, city, state and

zip code of the prime Federal recipient. Include Congressional

District, if known.

6. Enter the name of the Federal agency make the award or loan

commitment. Include at least one organizational level below agency

name, if known. For example, Department of Transportation, United

States Cost Guard.

7. Enter the Federal program name or description for the covered

Federal action (item 1). If known, enter the full Catalog of Federal

Domestic Assistance (CFDA) number of grants, cooperative agreements,

loans, and loan commitments.

8. Enter the most appropriate Federal identifying number

available for the Federal action identified in item 1 (e.g., Request

for Proposal (RFP) number; Invitation for Bid (IFB) number, grant

announcement number; the contract, grant, or loan award number; the

application/proposal control number assigned by the Federal agency).

Include prefixes, e.g., ``RFP-DE-90-001.''

9. For a covered Federal action where there has been an award or

loan commitment by the Federal agency, enter the Federal amount of

the award/loan commitment for the prime entity identified in item 4

or 5.

10. (a) Enter the full name, address, city, state, zip code of

the registrant under the Lobbying Disclosure Act of 1995 engaged by

the reporting entity identified in item 4 to influence the covered

Federal action.

(b) Enter the full names of the individual(s) performing

services, and include full address if different from 10(a). Enter

Last Name, First Name, and Middle Initial (MI).

16. The certifying official shall sign and date the form, print

his/her name, title, and telephone number.

Public reporting burden for this collection of information is

estimated to average 30 minutes per response, including 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 the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0046),

Washington, D.C. 20503.

[FR Doc. 97-17207 Filed 6-30-97; 8:45 am]

BILLING CODE 4000-01-P