Bilingual Education: State Grant Program; Notice Inviting Applications for New Awards for Fiscal Year (FY) 1999.

DEPARTMENT OF EDUCATION

[CFDA No.: 84.194Q]

Bilingual Education: State Grant Program; Notice Inviting

Applications for New Awards for Fiscal Year (FY) 1999.

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 of the information, application forms, and

instructions needed to apply for an award under this competition.

The statutory authorization for this program and the application

requirements that apply to this competition are contained in section

7134 of the Elementary and Secondary Education Act of 1965, as

amended by the Improving America's Schools Act of 1994 (Pub. L. 103-

382, enacted October 20, 1994 (the Act) (20 U.S.C. 7454)).

Purpose of Program

This program provides grants to State educational agencies to--(1)

assist local educational agencies in the State with program design,

capacity building, assessment of student performance, and program

evaluation; and (2) collect data on the State's limited English

proficient (LEP) population and the educational programs and services

available to that population. However, a State is exempt from the

requirements to collect data if it did not, as of October 20, 1994,

have a system in place for collecting the data.

Eligible Applicants: State Educational Agencies.

Deadline for Transmittal of Applications: March 22, 1999.

Deadline for Intergovernmental Review: May 21, 1999.

Available Funds: $2,080,000.

Estimated Number of Awards: 11.

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

notice.

Project Period: 36 months.

Applicable Regulations: (a) The Education Department General

Administrative Regulations in 34 CFR Parts 74, 75, 77, 79, 80, 81, 82,

85, and 86; and (b) the regulations in 34 CFR Part 299.

Description of Program

Funds under this program are to be used to assist local educational

agencies in the State with program design, capacity building,

assessment of student performance, and program evaluation. In addition,

grantees are required to collect data on the State's LEP population and

the educational programs and services available to that population

unless a grantee's State did not, as of October 20, 1994, have a system

for collecting data in place. However, a State that develops a system

for collecting data on the educational programs and services available

to all LEP students in the State subsequent to October 20, 1994 must

meet this requirement. A grantee may also use funds provided under this

program for the training of State educational agency personnel in

educational issues affecting limited English proficient children and

youth.

Selection Criteria

(a)(1) The Secretary uses the following selection criteria under 34

CFR 75.209 and 75.210 of EDGAR and section 7134 of the Act to evaluate

applications for new grants under this competition.

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

(3) The maximum score for each criterion is indicated in

parentheses.

(b) The criteria.--(1) Providing for the education of children and

youth with limited English proficiency. (20 points) The Secretary

reviews each application to determine how effectively the applicant

provides, through its own programs and other Federal education

programs, for the education of limited English proficient children

within its State.

(2) Need for the project. (15 points) (i) The Secretary considers

the need for the proposed project.

(ii) In determining the need for the proposed project, the

Secretary considers the magnitude of the need for the services to be

provided or the activities to be carried out by the proposed project.

(3) Quality of the project design. (25 points) (i) The Secretary

considers the quality of the design of the proposed project.

(ii) In determining the quality of the design of the proposed

project, the Secretary considers the following factors:

(A) The extent to which the goals, objectives, and outcomes to be

achieved by the proposed project are clearly specified and measurable.

(B) The extent to which the proposed project is designed to build

capacity and yield results that will extend beyond the period of

Federal financial assistance.

(C) The extent to which the proposed project will be coordinated

with similar or related efforts, and with other appropriate community,

State, and Federal resources.

(4) Quality of project services. (15 points) (i) The Secretary

considers the quality of the services to be provided by the proposed

project.

(ii) In determining the quality of the services to be provided by

the proposed project, the Secretary considers the quality and

sufficiency of strategies for ensuring equal access and treatment for

eligible project participants who are members of groups that have

traditionally been underrepresented based on race, color, national

origin, gender, age, or disability.

(iii) In addition, the Secretary considers the following factors:

(A) The extent to which the services to be provided by the proposed

project are appropriate to the needs of the intended recipients or

beneficiaries of those services.

(B) The extent to which entities that are to be served by the

proposed technical assistance project demonstrate support for the

project.

(C) The extent to which the technical assistance services to be

provided by the proposed project involve the use of efficient

strategies, including the use of technology, as appropriate, and the

leveraging of non-project resources.

(5) Quality of project personnel. (10 points) (i) The Secretary

considers the quality of the personnel who will carry out the proposed

project.

(ii) In determining the quality of project personnel, the Secretary

considers the extent to which the applicant encourages applications for

employment from persons who are members of groups that have

traditionally been underrepresented based on race, color, national

origin, gender, age, or disability.

(iii) In addition, the Secretary considers the following factors:

(A) The qualifications, including relevant training and experience,

of the project director or principal investigator.

(B) The qualifications, including relevant training and experience,

of key project personnel.

(6) Adequacy of resources: (5 points) (i) The Secretary considers

the adequacy of resources for the proposed project.

(ii) In determining the adequacy of resources for the proposed

project, the Secretary considers the following factors:

(A) The adequacy of support, including facilities, equipment,

supplies, and other resources, from the applicant organization or the

lead applicant organization.

(B) The extent to which the budget is adequate to support the

proposed project.

(C) The extent to which the costs are reasonable in relation to the

objectives, design, and potential significance of the proposed project.

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(7) Quality of the project evaluation. (10 points) (i) The

Secretary considers the quality of the evaluation to be conducted of

the proposed project.

(ii) In determining the quality of the evaluation, the Secretary

considers the following factors:

(A) The extent to which the methods of evaluation are thorough,

feasible, and appropriate to the goals, objectives, and outcomes of the

proposed project.

(B) The extent to which the methods of evaluation are appropriate

to the context within which the project operates.

Intergovernmental Review of Federal Programs

This program is subject to the requirements of Executive Order

12372 (Intergovernmental Review of Federal Programs) and the

regulations in 34 CFR Part 79.

The objective of the Executive order is to foster an

intergovernmental partnership and to strengthen federalism by relying

on State and local processes for State and local government

coordination and review of proposed Federal financial assistance.

Applicants must contact the appropriate State Single Point of

Contact to find out about, and to comply with, the State's process

under Executive Order 12372. Applicants proposing to perform activities

in more than one State should immediately contact the Single Point of

Contact for each of those States and follow the procedure established

in each State under the Executive order. If you want to know the name

and address of any State Single Point of Contact, see the list

published in the Federal Register on November 3, 1998 (63 FR 59452

through 59455).

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

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

comments directly to the Department.

Any State Process Recommendation and other comments submitted by a

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

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

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

E.O. 12372-CFDA# 84.194Q, U.S. Department of Education, Room 6213, 400

Maryland Avenue, SW., Washington, D.C. 20202-0124.

Proof of mailing will be determined on the same basis as

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

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

indicated in this notice.

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

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

send applications to the above address. Instructions for transmittal of

applications:

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

shall--

(1) Mail the original and one copy of the application on or before

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

Center, Attention: (CFDA 84.194Q), Washington, D.C. 20202-4725 or

(2) Hand deliver the original and one copy 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# 84.194Q), Room #3633, Regional Office Building #3, 7th and D

Streets, SW., 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) The Application Control Center will mail a Grant Application

Receipt Acknowledgement to each applicant. If an applicant fails to

receive the notification of application receipt within 15 days from

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

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

708-9495.

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

provided by the Department--in Item 3 of the Application for Federal

Assistance (Standard Form 424) the CFDA Number--and suffix letter,

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

submitted.

Application Instructions and Forms

The appendix to this notice contains the following forms and

instructions, plus a statement regarding estimated public reporting

burden, a notice to applicants regarding compliance with section 427 of

the General Education Provisions Act, various assurances and

certifications, checklist for applicants, and required documentation:

a. Application for Federal Assistance (Standard Form 424 (Rev. 4-

88)) and instructions.

b. Budget Information--Non-Construction Programs (ED Form No. 524)

and instructions.

c. Instructions for the Application Narrative.

d. Estimated Public Reporting Burden Statement.

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

instructions.

f. Certifications Regarding Lobbying; Debarment, Suspension and

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

80-0013) and instructions.

g. Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion--Lower Tier Covered Transactions (ED 80-0014, 9/90)

and instructions. (NOTE: This form is intended for the use of grantees

and should not be transmitted to the Department.)

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

applicable) and instructions.

i. Notice to All Applicants.

j. Checklist for Applicants.

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.

All applicants must submit one original signed application,

including ink signatures on all forms and assurances, and one copy of

the application. Please mark each application as ``original'' or

``copy.'' No grant may be awarded unless a completed application form

has been received.

FOR FURTHER INFORMATION CONTACT: Luis A. Catarineau, U.S. Department of

Education, 400 Maryland Avenue, SW., room 5623, Switzer Building,

Washington, D.C. 20202-6510. Telephone: (202) 205-9907. Individuals who

use a telecommunications device for the deaf (TDD) may call the Federal

Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8

p.m., Eastern time, Monday through Friday.

Individuals with disabilities may obtain this notice in an

alternate format (e.g., Braille, large print, audiotape, or computer

diskette) on request to the contact person listed in the preceding

paragraph. Please note, however, that the Department is not able to

reproduce

[[Page 8450]]

in an alternate format the standard forms included in the notice.

Electronic Access to This Document

Anyone may view this document, as well as all other Department of

Education documents published in the Federal Register, in text or

portable document format (pdf) on the World Wide Web at either of the

following sites:

http://ocfo.ed.gov/fedreg.htm

http://www.ed.gov/news.html

To use the pdf you must have the Adobe Acrobat Reader Program with

Search, which is available free at either of the preceding sites. If

you have questions about using the pdf, call the U.S. Government

Printing Office toll free at 1-888-293-6498.

Anyone may also view these documents in text copy only on an

electronic bulletin board of the Department. Telephone: (202) 219-1511

or, toll free, 1-800-222-4922. The documents are located under Option

G--Files/Announcements, Bulletins and Press Releases.

Note: The official version of this document is the document

published in the Federal Register.

Program Authority: 20 U.S.C. 7454.

Dated: February 12, 1999.

Delia Pompa,

Director, Office of Bilingual Education and Minority Languages Affairs.

Estimated Public Reporting Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are

required to respond to a collection of information unless it displays a

valid OMB control number. The valid OMB control number for this

information collection is 1885-0541. Expiration date: December 31,

2001. The time required to complete this information collection is

estimated to average 60 hours per response, including the time to

review instructions, search existing data resources, gather the data

needed, and complete and review the information collection. If you have

any comments concerning the accuracy of the time estimate or

suggestions for improving this form, please write to: U. S. Department

of Education, Washington, D.C. 20202-4651.

If you have comments or concerns regarding the status of your

individual submission of this form, write directly to: Office of

Bilingual Education and Minority Languages Affairs, U. S. Department of

Education, 400 Maryland Avenue, SW., Room 5623, Mary E. Switzer

Building, Washington, D. C. 20202-6510.

Instructions for the Application Narrative

Abstract

The narrative section should begin with an abstract that includes a

short description of the LEP population in the State, project

objectives, and planned project activities.

Selection Criteria

The narrative should address fully all aspects of the selection

criteria in the order listed and should give detailed information

regarding each criterion. Do not simply paraphrase the criteria.

Table of Contents

The application should include a table of contents listing the

sections in the order required.

Budget

Budget line items must support the goals and objectives of the

proposed project and must be directly related to the instructional

design and all other project components.

Checklist for Applicants

The following forms and other items must be included in the

application in the order listed below:

1. Application for Federal Assistance Form (SF 424).

2. Budget Information Form (ED Form No. 524)

3. Itemized budget for each year.

4. Assurances--Non-Construction Programs Form (SF 424B)

5. Certifications, Regarding Lobbying; Debarment, Suspension and

Other Responsibility Matters; and Drug-Free Workplace Requirements Form

(ED 80-0013).

6. Certification Regarding Debarment, Suspension, Ineligibility and

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

applicable).

7. Disclosure of Lobbying Activities Form (SF-LLL)

8. Notice to All Applicants (OMB Control No. 1801-0004)--

Information that addresses section 427 of the General Education

Provisions Act.

9. Table of Contents.

10. Application Narrative, including abstract.

11. One original and one copy of the application for transmittal to

the Education Department's Application Control Center.

BILLING CODE 4000-01-P

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[GRAPHIC] [TIFF OMITTED] TN19FE99.000

BILLING CODE 4000-01-C

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Instructions for ED 424

1. Legal Name and Address. Enter the legal name of applicant and

the name of the primary organizational unit which will undertake the

assistance activity.

2. D-U-N-S Number. Enter the applicant's D-U-N-S Number. If your

organization does not have a D-U-N-S Number, you can obtain the

number by calling 1-800-333-0505 or by completing a D-U-N-S Number

Request Form. The form can be obtained via the Internet at the

following URL: http://www.dnb.com/dbis/aboutdb/intlduns.htm.

3. Catalog of Federal Domestic Assistance (CFDA) Number. Enter

the CFDA number and title of the program under which assistance is

requested.

4. Project Director. Name, address, telephone and fax numbers,

and e-mail address of the person to be contacted on matters

involving this application.

5. Federal Debt Delinquency. Check ``Yes'' if the applicant's

organization is delinquent on any Federal debt. (This question

refers to the applicant's organization and not to the person who

signs as the authorized representative. Categories of debt include

delinquent audit disallowances, loans and taxes.) Otherwise, check

``No.''

6. Type of Applicant. Enter the appropriate letter in the box

provided.

7. Novice Applicant. Check ``Yes'' only if assistance is being

requested under a program that gives special consideration to novice

applicants and you meet the program requirements for novice

applicants. By checking ``Yes'' the applicant certifies that it

meets the novice applicant requirements specified by ED. Otherwise,

check ``No.''

8. Type of Submission. Self-explanatory.

9. Executive Order 12372. Check ``Yes'' if the application is

subject to review by Executive Order 12372. Also, please enter the

month, date, and four (4) digit year (e.g., 12/12/2000). 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. Otherwise,

check ``No.''

10. Proposed Project Dates. Please enter the month, date, and

four (4) digit year (e.g., 12/12/2000).

11. Human Subjects. Check ``Yes'' or ``No''. If research

activities involving human subjects are not planned at any time

during the proposed project period, check ``No.'' The remaining

parts of item 11 are then not applicable.

If research activities involving human subjects, whether or not

exempt from Federal regulations for the protection of human

subjects, are planned at any time during the proposed project

period, either at the applicant organization or at any other

performance site or collaborating institution, check ``Yes.'' If all

the research activities are designated to be exempt under the

regulations, enter, in item 11a, the exemption number(s)

corresponding to one or more of the six exemption categories listed

in ``Protection of Human Subjects in Research'' attached to this

form. Provide sufficient information in the application to allow a

determination that the designated exemptions in item 11a, are

appropriate. Provide this narrative information in an ``Item 11/

Protection of Human Subjects Attachment'' and insert this attachment

immediately following the ED 424 face page. Skip the remaining parts

of item 11.

If some or all of the planned research activities involving

human subjects are covered (nonexempt), skip item 11a and continue

with the remaining parts of item 11, as noted below. In addition,

follow the instructions in ``Protection of Human Subjects in

Research'' attached to this form to prepare the six-point narrative

about the nonexempt activities. Provide this six-point narrative in

an ``Item 11/Protection of Human Subjects Attachment'' and insert

this attachment immediately following the ED 424 face page.

If the applicant organization has an approved Multiple Project

Assurance of Compliance on file with the Grants Policy and Oversight

Staff (GPOS), U.S. Department of Education, or with the Office for

Protection from Research Risks (OPRR), National Institutes of

Health, U.S. Department of Health and Human Services, that covers

the specific activity, enter the Assurance number in item 11b and

the date of approval by the Institutional Review Board (IRB) of the

proposed activities in item 11c. This date must be no earlier than

one year before the receipt date for which the application is

submitted and must include the four (4) digit year (e.g., 2000).

Check the type of IRB review in the appropriate box. An IRB may use

the expedited review procedure if it complies with the requirements

of 34 CFR 97.110. If the IRB review is delayed beyond the submission

of the application, enter ``Pending'' in item 11c. If your

application is recommended/selected for funding, a follow-up

certification of IRB approval from an official signing for the

applicant organization must be sent to and received by the

designated ED official within 30 days after a specific formal

request from the designated ED official. If the applicant

organization does not have on file with GPOS or OPRR an approved

Assurance of Compliance that covers the proposed research activity,

enter ``None'' in item 11b and skip 11c. In this case, the applicant

organization, by the signature on the application, is declaring that

it will comply with 34 CFR 97 within 30 days after a specific formal

request from the designated ED official for the Assurance(s) and IRB

certifications.

12. Project Title. 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.

13. Estimated Funding. 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 13.

14. Certification. 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.

Be sure to enter the telephone and fax number and e-mail address

of the authorized representative. Also, in item 14e, please enter

the month, date, and four (4) digit year (e.g., 12/12/2000) in the

date signed field.

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are

required to respond to a collection of information unless such

collection displays a valid OMB control number. The valid OMB

control number for this information collection is 1875-0106. The

time required to complete this information collection is estimated

to average between 15 and 45 minutes per response, including the

time to review instructions, search existing data resources, gather

the data needed, and complete and review the information collection.

If you have any comments concerning the accuracy of the estimate(s)

or suggestions for improving this form, please write to: U.S.

Department of Education, Washington, D.C. 20202-4651. If you have

comments or concerns regarding the status of your individual

submission of this form write directly to: Joyce I. Mays,

Application Control Center, U.S. Department of Education, 7th and D

Streets, S.W. ROB-3, Room 3633, Washington, D.C. 20202-4725.

Protection of Human Subjects in Research (Attachment to ED 424)

I. Instructions to Applicants About the Narrative Information That Must

Be Provided if Research Activities Involving Human Subjects are Planned

If you marked item 11 on the application ``Yes'' and designated

exemptions in 11a, (all research activities are exempt), provide

sufficient information in the application to allow a determination

that the designated exemptions are appropriate. Research involving

human subjects that is exempt from the regulations is discussed

under II.B. ``Exemptions,'' below. The Narrative must be succinct.

Provide this information in an ``Item 11/Protection of Human

Subjects Attachment'' and insert this attachment immediately

following the ED 424 face page.

If you marked ``Yes'' to item 11 on the face page, and

designated no exemptions from the regulations (some or all of the

research activities are nonexempt), address the following six points

for each nonexempt activity. In addition, if research involving

human subjects will take place at collaborating site(s) or other

performance site(s), provide this information before discussing the

six points. Although no specific page limitation applies to this

section of the application, be succinct. Provide the six-point

narrative and discussion of other performance sites in an ``Item 11/

Protection of Human Subjects

[[Page 8453]]

Attachment'' and insert this attachment immediately following the ED

424 face page.

(1) Provide a detailed description of the proposed involvement

of human subjects. Describe the characteristics of the subject

population, including their anticipated number, age range, and

health status. Identify the criteria for inclusion or exclusion of

any subpopulation. Explain the rationale for the involvement of

special classes of subjects, such as children, children with

disabilities, adults with disabilities, persons with mental

disabilities, pregnant women, prisoners, institutionalized

individuals, or others who are likely to be vulnerable.

(2) Identify the sources of research material obtained from

individually identifiable living human subjects in the form of

specimens, records, or data. Indicate whether the material or data

will be obtained specifically for research purposes or whether use

will be made of existing specimens, records, or data.

(3) Describe plans for the recruitment of subjects and the

consent procedures to be followed. Include the circumstances under

which consent will be sought and obtained, who will seek it, the

nature of the information to be provided to prospective subjects,

and the method of documenting consent. State if the Institutional

Review Board (IRB) has authorized a modification or waiver of the

elements of consent or the requirement for documentation of consent.

(4) Describe potential risks (physical, psychological, social,

legal, or other) and assess their likelihood and seriousness. Where

appropriate, describe alternative treatments and procedures that

might be advantageous to the subjects.

(5) Describe the procedures for protecting against or minimizing

potential risks, including risks to confidentiality, and assess

their likely effectiveness. Where appropriate, discuss provisions

for ensuring necessary medical or professional intervention in the

event of adverse effects to the subjects. Also, where appropriate,

describe the provisions for monitoring the data collected to ensure

the safety of the subjects.

(6) Discuss why the risks to subjects are reasonable in relation

to the anticipated benefits to subjects and in relation to the

importance of the knowledge that may reasonably be expected to

result.

II. Information on Research Activities Involving Human Subjects

A. Definitions

A research activity involves human subjects if the activity is

research, as defined in the Department's regulations, and the

research activity will involve use of human subjects, as defined in

the regulations.

--Is It a Research Activity?

The ED Regulations for the Protection of Human Subjects, Title

34, Code of Federal Regulations, Part 97, define research as ``a

systematic investigation, including research development, testing

and evaluation, designed to develop or contribute to generalizable

knowledge.'' If an activity follows a deliberate plan whose purpose

is to develop or contribute to generalizable knowledge, such as an

exploratory study or the collection of data to test a hypothesis, it

is research. Activities which meet this definition constitute

research whether or not they are conducted or supported under a

program which is considered research for other purposes. For

example, some demonstration and service programs may include

research activities.

--Is It a Human Subject?

The regulations define human subject as ``a living individual

about whom an investigator (whether professional or student)

conducting research obtains (1) data through intervention or

interaction with the individual, or (2) identifiable private

information.'' (1) If an activity involves obtaining information

about a living person by manipulating that person or that person's

environment, as might occur when a new instructional technique is

tested, or by communicating or interacting with the individual, as

occurs with surveys and interviews, the definition of human subject

is met. (2) If an activity involves obtaining private information

about a living person in such a way that the information can be

linked to that individual (the identity of the subject is or may be

readily determined by the investigator or associated with the

information), the definition of human subject is met. [Private

information includes information about behavior that occurs in a

context in which an individual can reasonably expect that no

observation or recording is taking place, and information which has

been provided for specific purposes by an individual and which the

individual can reasonably expect will not be made public (for

example, a school health record).]

B. Exemptions

Research activities in which the only involvement of human

subjects will be in one or more of the following six categories of

exemptions are not covered by the regulations:

(1) Research conducted in established or commonly accepted

educational settings, involving normal educational practices, such

as (a) research on regular and special education instructional

strategies, or (b) research on the effectiveness of or the

comparison among instructional techniques, curricula, or classroom

management methods.

(2) Research involving the use of educational tests (cognitive,

diagnostic, aptitude, achievement), survey procedures, interview

procedures or observation of public behavior, unless: (a)

information obtained is recorded in such a manner that human

subjects can be identified, directly or through identifiers linked

to the subjects; and (b) any disclosure of the human subjects'

responses outside the research could reasonably place the subjects

at risk of criminal or civil liability or be damaging to the

subjects' financial standing, employability, or reputation. If the

subjects are children, this exemption applies only to research

involving educational tests or observations of public behavior when

the investigator(s) do not participate in the activities being

observed. [Children are defined as persons who have not attained the

legal age for consent to treatments or procedures involved in the

research, under the applicable law or jurisdiction in which the

research will be conducted.]

(3) Research involving the use of educational tests (cognitive,

diagnostic, aptitude, achievement), survey procedures, interview

procedures or observation of public behavior that is not exempt

under section (2) above, if the human subjects are elected or

appointed public officials or candidates for public office; or

federal statute(s) require(s) without exception that the

confidentiality of the personally identifiable information will be

maintained throughout the research and thereafter.

(4) Research involving the collection or study of existing data,

documents, records, pathological specimens, or diagnostic specimens,

if these sources are publicly available or if the information is

recorded by the investigator in a manner that subjects cannot be

identified, directly or through identifiers linked to the subjects.

(5) Research and demonstration projects which are conducted by

or subject to the approval of department or agency heads, and which

are designed to study, evaluate, or otherwise examine: (a) public

benefit or service programs; (b) procedures for obtaining benefits

or services under those programs; (c) possible changes in or

alternatives to those programs or procedures; or (d) possible

changes in methods or levels of payment for benefits or services

under those programs.

(6) Taste and food quality evaluation and consumer acceptance

studies, (a) if wholesome foods without additives are consumed or

(b) if a food is consumed that contains a food ingredient at or

below the level and for a use found to be safe, or agricultural

chemical or environmental contaminant at or below the level found to

be safe, by the Food and Drug Administration or approved by the

Environmental Protection Agency or the Food Safety and Inspection

Service of the U.S Department of Agriculture.

Copies of the Department of Education's Regulations for the

Protection of Human Subjects, 34 CFR Part 97 and other pertinent

materials on the protection of human subjects in research are

available from the Grants Policy and Oversight Staff (GPOS) Office

of the Chief Financial and Chief Information Officer, U.S.

Department of Education, Washington, D.C., telephone: (202) 708-

8263, and on the U.S. Department of Education's Protection of Human

Subjects in Research Web Site at http://ocfo.ed.gov/humansub.htm.

BILLING CODE 4000-01-P

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BILLING CODE 4000-01-C

[[Page 8456]]

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-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.

Assurances--Non-Construction Programs (OMB Approval No. 0348-0040)

Public reporting burden for this collection of information is

estimated to average 15 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 (0348-0040),

Washington, DC 20503.

Please do not return your completed form to the Office of

Management and Budget. Send it to the address provided by the

sponsoring agency.

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 cost) 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 19 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. 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. Secs. 290 dd-3 and 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, as applicable, 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

[[Page 8457]]

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.

Secs. 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. 1721 et seq.) related to protecting components or

potential components of the national wild and scenic river system.

13. Will assist the awarding agency in assuring compliance with

Section 106 of the National Historic Preservation Act of 1996, as

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

protection of historic properties), and the Archaeological and

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

leadbased 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 Amendments

of 1996 and OMB Circular No. A-133, ``Audits of States, Local

Governments, and Non-Profit Organizations.''

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

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

DEPARTMENT OF EDUCATION

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 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 transaction (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

(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

[[Page 8458]]

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

Policy and Oversight Staff, U.S. Department of Education, 600

Independence Avenue, S.W. (Room 3652, GSA Regional Office Building

No. 3), Washington, DC 20202-4248. 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 [ ] 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 Policy and Oversight Staff,

Department of Education, 600 Independence Avenue, S.W. (Room 3652,

GSA Regional Office Building No. 3), Washington, DC 20202-4248.

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 certificate 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.

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

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 8459]]

[GRAPHIC] [TIFF OMITTED] TN19FE99.003

BILLING CODE 4000-01-C

[[Page 8460]]

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, at 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 followup 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 subawardee, 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 making the award or loan

commitment. Include at least one organizational level below agency

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

States Coast 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 for 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; Invitations 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 and zip code

of the lobbying 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).

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

his/her name, title, and telephone number.

According to the Paperwork Reduction Act, as amended, no persons

are required to respond to a collection of information unless it

displays a valid OMB control Number. The valid OMB control number

for this information collection is OMB No. 0348-0046. Public

reporting burden for this collection of information is estimated to

average 10 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, DC 20503.

Notice to All Applicants (OMB Control No. 1801-0004 (Exp. 8/31/2001))

The purpose of this enclosure is to inform you about a new

provision in the Department of Education's General Education

Provisions Act (GEPA) that applies to applicants for new grant

awards under Department programs. This provision is Section 427 of

GEPA, enacted as part of the Improving America's Schools Act of 1994

(Pub. L. 103-382).

To Whom Does This Provision Apply?

Section 427 of GEPA affects applicants for new grant awards

under this program. All applicants for new awards must include

information in their applications to address this new provision in

order to receive funding under this program.

(If this program is a State-formula grant program, a State needs

to provide this description only for projects or activities that it

carries out with funds reserved for State-level uses. In addition,

local school districts or other eligible applicants that apply to

the State for funding need to provide this description in their

applications to the State for funding. The State would be

responsible for ensuring that the school district or other local

entity has submitted a sufficient section 427 statement as described

below.)

What Does This Provision Require?

Section 427 requires each applicant for funds (other than an

individual person) to include in its application a description of

the steps the applicant proposes to take to ensure equitable access

to, and participation in, its Federally-assisted program for

students, teachers, and other program beneficiaries with special

needs.

This provision allows applicants discretion in developing the

required description. The statute highlights six types of barriers

that can impede equitable access or participation: gender, race,

national origin, color, disability, or age. Based on local

circumstances, you should determine whether these or other barriers

may prevent your students, teachers, etc. from such access or

participation in, the Federally-funded project or activity. The

description in your application of steps to be taken to overcome

these barriers need not be lengthy; you may provide a clear and

succinct description of how you plan to address those barriers that

are applicable to your circumstances. In addition, the information

may be provided in a single narrative, or, if appropriate, may be

discussed in connection with related topics in the application.

Section 427 is not intended to duplicate the requirements of

civil rights statutes, but rather to ensure that, in designing their

projects, applicants for Federal funds address equity concerns that

may affect the ability of certain potential beneficiaries to fully

participate in the project and to achieve to high standards.

Consistent with program requirements and its approved application,

an applicant may use the Federal funds awarded to it to eliminate

barriers it identifies.

What Are Examples of How an Applicant Might Satisfy the Requirement

of This Provision?

The following examples may help illustrate how an applicant may

comply with Section 427.

(1) An applicant that proposes to carry out an adult literacy

project serving, among others, adults with limited English

proficiency, might describe in its application how it intends to

distribute a brochure about the proposed project to such potential

participants in their native language.

[[Page 8461]]

(2) An applicant that proposes to develop instructional

materials for classroom use might describe how it will make the

materials available on audio tape or in braille for students who are

blind.

(3) An applicant that proposes to carry out a model science

program for secondary students and is concerned that girls may be

less likely than boys to enroll in the course, might indicate how it

intends to conduct ``outreach'' efforts to girls, to encourage their

enrollment.

We recognize that many applicants may already be implementing

effective steps to ensure equity of access and participation in

their grant programs, and we appreciate your cooperation in

responding to the requirements of this provision.

Estimated Burden Statement for GEPA Requirements

The time required to complete this information collection is

estimated to vary from 1 to 3 hours per response, with an average of

1.5 hours, including the time to review instructions, search

existing data resources, gather and maintain the data needed, and

complete and review the information collection. If you have any

comments concerning the accuracy of the time estimate(s) or

suggestions for improving this form, please write to: U.S.

Department of Education, Washington, DC 20202-4651.

[FR Doc. 99-4080 Filed 2-18-99; 8:45 am]

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