[Federal Register Volume 59, Number 6 (Monday, January 10, 1994)]
[Notices]
[Pages 1418-1438]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-443]


[[Page Unknown]]

[Federal Register: January 10, 1994]


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Part II





Department of Education





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34 CFR Parts 462 and 472



National Workplace Literacy Program; Final Regulations and Notice
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DEPARTMENT OF EDUCATION

[CFDA No. 84.198]

 

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

    Note to Applicants: This notice is a complete application package. 
Together with the statute authorizing the program and applicable 
regulations governing the program, including the Education Department 
General Administrative Regulations (EDGAR), the notice contains all of 
the information, application forms, and instructions needed to apply 
for a grant under this competition.
    Purpose of Program: The National Workplace Literacy Program 
provides assistance for demonstration projects that teach literacy 
skills needed in the workplace through exemplary education partnerships 
between business, industry, or labor organizations and educational 
organizations.
    The Secretary wishes to highlight, for potential applicants, that 
this program can help to further National Education Goal 5--ensuring 
that every adult American will be literate and will possess the 
knowledge and skills necessary to compete in a global economy and 
exercise the rights and responsibilities of citizenship. The program 
helps by improving approaches and methods used in meeting the literacy 
needs of adults in the workplace, including those with limited English 
proficiency.
    Eligible Applicants: (a) Awards are provided to exemplary 
partnerships between--
    (1) A business, industry, or labor organization, or private 
industry council; and
    (2) A State educational agency, local educational agency, 
institution of higher education, or school (including an area 
vocational school, an employment and training agency, or a community-
based organization).
    (b) A partnership must include as partners at least one entity from 
paragraph (a)(1) of this section and at least one entity from paragraph 
(a)(2) of this section and may include more than one entity from each 
group.
    (c)(1) The partners shall apply jointly to the Secretary for funds.
    (2) The partners shall enter into an agreement, in the form of a 
single document signed by all partners, designating one member of the 
partnership as the applicant and the grantee. The agreement must also 
detail the role each partner plans to perform, and must bind each 
partner to every statement and assurance made in the application. 
Applications are governed by the EDGAR provisions in 34 CFR 75.127-
75.129 regarding group applications.
    Deadline For Transmittal of Applications: March 11, 1994.
    Deadline for Intergovernmental Review: March 10, 1994.
    Available Funds: $18,527,425 for the first 12 months. Funding for 
the second and third year is subject to availability of funds and to a 
grantee meeting the requirements of 34 CFR 75.253.
    Estimated Range of Awards: $105,469-$1,205,234 (funding for first 
12 months).
    Estimated Average Size of Awards: $370,549 (funding for first 12 
months).
    Estimated Number of Awards: 50.

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

    Project Period: Up to 36 months (3 twelve-month budget periods).
    Applicable Regulations: (a) The Education Department General 
Administrative Regulations (EDGAR) in 34 CFR part 74 (Administration of 
Grants to Institutions of Higher Education, Hospitals, and Nonprofit 
Organizations), part 75 (Direct Grant Programs), part 77 (Definitions 
that Apply to Department Regulations), part 79 (Intergovernmental 
Review of Department of Education Programs and Activities), part 80 
(Uniform Administrative Requirements for Grants and Cooperative 
Agreements to State and Local Governments), part 81 (General Education 
Provisions Act--Enforcement), part 82 (New Restrictions on Lobbying), 
part 85 (Governmentwide Debarment and Suspension (Nonprocurement) and 
Governmentwide Requirements for Drug-Free Workplace (Grants)), and part 
86 (Drug-Free Schools and Campuses); and (b) the regulations for this 
program in 34 CFR parts 460 and 472, including amendments to part 472 
that are found elsewhere in this issue of the Federal Register.
    Description of Program: The Secretary provides grants or 
cooperative agreements to projects designed to improve the productivity 
of the workforce through improvement of literacy skills in the 
workplace by--
    (a) Providing adult literacy and other basic skills, services, and 
activities;
    (b) Providing adult secondary education services and activities 
that may lead to the completion of a high school diploma or its 
equivalent;
    (c) Meeting the literacy needs of adults with limited English 
proficiency;
    (d) Upgrading or updating basic skills of adult workers in 
accordance with changes in workplace requirements, technology, 
products, or processes;
    (e) Improving the competency of adult workers in speaking, 
listening, reasoning, and problem solving; or
    (f) Providing educational counseling, transportation, and child 
care services for adult workers during nonworking hours while the 
workers participate in the project.
    The statute authorizing this program requires that projects use 
Federal funds to supplement, and not supplant, funds otherwise 
available for the purposes of the program.
    Selection Criteria: The Secretary uses the following selection 
criteria to evaluate applications for new grants under this 
competition.
    The maximum score for all of these criteria is 100 points. The 
maximum score for each criterion is indicated in parentheses.
    In addition to the points awarded based on the selection criteria, 
the Secretary assigns five points to applications from partnerships 
that include as a partner one or more small businesses that have signed 
the partnership agreement. An applicant must provide on the Partnership 
Agreement form the Small Business Administration's (SBA) Standard 
Industrial Classification (SIC) code for the small business partner. 
See the Small Business Size Standards: Final and Interim Final Rules 
(13 Code of Federal Regulations (CFR) part 121). These rules may be 
found at many public libraries or by contacting a Small Business 
Administration local district office or regional office, or by calling 
the SBA's Office of Size Standards in Washington, DC at (202) 205-6618.
    Reserved points: The program regulations in 34 CFR 472.21(b) 
provide that the Secretary may award up to 100 points for selection 
criteria, including a reserved 10 points. For this competition, the 
Secretary distributes the reserved 10 points as follows:
    Program Factors (34 CFR 472.22(a)).
    Five points are added to this criterion for a possible total of 20 
points.
    Plan of Operation (34 CFR 472.22(d)). Five points are added to this 
criterion for a possible total of 20 points.
    The criteria: (a) Program Factors. (20 points) The Secretary 
reviews each application to determine the extent to which the project--
    (1) Demonstrates a strong relationship between skills taught and 
the literacy requirements of actual jobs, especially the increased 
skill requirements of the changing workplace;
    (2) Is targeted to adults with inadequate skills for whom the 
training described is expected to mean new employment, continued 
employment, career advancement, or increased productivity;
    (3) Includes support services, based on cooperative relationships 
within the partnership and from helping organizations, necessary to 
reduce barriers to participation by adult workers. Support services 
could include educational counseling, transportation, and child care 
during non-working hours while adult workers are participating in a 
project;
    (4) Demonstrates the active commitment of all partners to 
accomplishing project goals; and
    (5) Focuses on improving performance in jobs or job functions that 
have a broad representation within the nation's workforce so that the 
products can be adapted for use by similar workplaces across the 
Nation.
    (b) Extent of need for the project. (10 points) The Secretary 
reviews each application to determine the extent to which the project 
meets specific needs, including consideration of--
    (1) The extent to which the project will focus on demonstrated 
needs for workplace literacy training of adult workers;
    (2) The adequacy of the applicant's documentation of the needs to 
be addressed by the project;
    (3) How those needs will be met by the project; and
    (4) The benefits to adult workers and their industries that will 
result from meeting those needs.
    (c) Quality of training. (15 points) The Secretary reviews each 
application to determine the quality of the training to be provided by 
the project, including the extent to which the project will--
    (1) Develop or use curriculum materials for adults based on 
literacy skills needed in the workplace;
    (2) Use individualized educational plans developed jointly by 
instructors and adult learners;
    (3) Take place in a readily accessible environment conducive to 
adult learning;
    (4) Provide training through the partner classified under 34 CFR 
472.2(a)(2), unless transferring this activity to the partner 
classified under 472.2(a)(1) is necessary and reasonable within the 
framework of the project; and
    (5) Provide, and document for others, a program of training for 
staff including, but not limited to, techniques of curriculum 
development and special methods of teaching that are appropriate for 
workplace environments.
    (d) Plan of operation. (20 points) The Secretary reviews each 
application to determine the quality of the plan of operation for the 
project, including--
    (1) The quality of the project design, especially the establishment 
of measurable objectives for the project that are based on the 
project's overall goals;
    (2) The extent to which the plan of management is effective and 
ensures proper and efficient administration of the project, and 
includes--
    (i) A description of the respective roles of each member of the 
partnership in carrying out the plan;
    (ii) A description of the activities to be carried out by any 
contractors under the plan;
    (iii) A description of the respective roles, including any cash or 
in-kind contributions, of helping organizations;
    (iv) A description of the respective roles of any sites; and
    (v) A realistic time table for accomplishing project objectives;
    (3) How well the objectives of the project relate to the purposes 
of the program;
    (4) The quality of the applicant's plan to use its resources and 
personnel to achieve each objective; and
    (5) How the applicant will ensure that project participants, who 
are otherwise eligible to participate, are selected without regard to 
race, color, national origin, gender, age, or disability.
    (e) Applicant's experience and quality of key personnel. (8 points)
    (1) The Secretary reviews each application to determine the extent 
of the applicant's experience in providing literacy services to working 
adults.
    (2) The Secretary reviews each application to determine the quality 
of key personnel the applicant plans to use on the project, including--
    (i) The qualifications, in relation to project requirements, of the 
project director;
    (ii) The qualifications, in relation to project requirements, of 
each of the other key personnel to be used in the project;
    (iii) The time that each person referred to in paragraph (e)(2) (i) 
and (ii) of this section will commit to the project; and
    (iv) How the applicant, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
disability.
    (3) To determine personnel qualifications under paragraphs (e)(2) 
(i) and (ii) of this section, the Secretary considers--
    (i) Experience and training in fields related to the objectives of 
the project;
    (ii) Experience and training in project management; and
    (iii) Any other qualifications that pertain to the quality of the 
project.
    (f) Evaluation plan. (10 points) The Secretary reviews each 
application to determine the quality of the plan for an independent 
evaluation of the project, including the extent to which the 
applicant's methods of evaluation--
    (1) Are clearly explained and appropriate to the project;
    (2) To the extent possible, are objective and produce data that are 
quantifiable;
    (3) Identify expected outcomes of the participants and how those 
outcomes will be measured;
    (4) Include evaluation of effects on job advancement, job 
performance (including, for example, such elements as productivity, 
safety, and attendance), and job retention;
    (5) Are systematic throughout the project period and provide data 
that can be used by the project on an ongoing basis for program 
improvement; and
    (6) Will yield results that can be summarized and submitted to the 
Secretary for review by the Department's Program Effectiveness Panel.

    Note: The Program Effectiveness Panel (PEP) is a mechanism the 
Department has developed for validating the effectiveness of 
educational programs developed by schools, universities, and other 
agencies. The PEP is composed of experts in the evaluation of 
educational programs and in other areas of education, at least two-
thirds of whom are non-Federal employees who are appointed by the 
Secretary. Regulations governing the PEP are codified in 34 CFR 
parts 785-789. Specific criteria for PEP review are found in 34 CFR 
786.12 or 787.12.

    (g) Budget and cost-effectiveness. (7 points) The Secretary reviews 
each application to determine the extent to which--
    (1) The budget is adequate to support the project;
    (2) Costs are reasonable and necessary in relation to the 
objectives of the project; and
    (3) The applicant has minimized the purchase of equipment and 
supplies in order to devote a maximum amount of resources to 
instructional services.
    (h) Demonstration. (5 points) The Secretary reviews each 
application to determine the quality of the applicant's plan, during 
the grant period, to disseminate the results of the project, 
including--
    (i) Demonstrating promising practices used by the project to others 
interested in implementing these techniques;
    (ii) Conducting workshops or delivering papers at national 
conferences or professional meetings; and
    (iii) Making available material that will help others implement 
promising practices developed in the project.
    (i) Commitment. (5 points) The Secretary reviews each application 
to determine the quality of the partnership's plan to increase, during 
the project, the capacity of partners to provide a coherent program of 
learning in the workplace that is based on promising practices 
demonstrated in the project. For example, the partners could--
    (1) Integrate workplace literacy services into long-term planning 
of partner organizations;
    (2) Create and implement policies and practices that encourage 
worker participation in the project;
    (3) Provide training that will enable each partner to build a 
capacity to furnish necessary workplace literacy services in the 
future; or
    (4) Include in the project design an opportunity to assess what 
workplace literacy services partners may provide in the future.
    Additional Factor: In making awards under this program, the 
Secretary may consider, in addition to the selection criteria, whether 
funding a particular applicant would improve the geographical 
distribution of projects funded under this program.
    Intergovernmental Review of Federal Programs: This program is 
subject to the requirements of Executive Order 12372 (Intergovernmental 
Review of Federal Programs) and the regulations in 34 CFR part 79.
    The objective of the Executive order is to foster an 
intergovernmental partnership and to strengthen federalism by relying 
on State and local processes for State and local government 
coordination and review of proposed Federal financial assistance.
    Applicants must contact the appropriate State Single Point of 
Contact to learn about, and to comply with, the State's process under 
Executive Order 12372. Applicants proposing to perform activities in 
more than one State should contact the Single Point of Contact for each 
of those States and follow the procedure established in each State 
under the Executive order. If you want to know the name and address of 
any State Single Point of Contact, see the list published in the 
Federal Register on September 24, 1993 (58 FR 50162-50164).
    In States that have not established a process or chosen a program 
for review, State, areawide, regional, and local entities may submit 
comments directly to the Department.
    Any State Process Recommendation and other comments submitted by a 
State Single Point of Contact and any comments from State, areawide, 
regional, and local entities must be mailed or hand-delivered by the 
date indicated in this notice to the following address: The Secretary, 
E.O. 12372-CFDA 84.198, U.S. Department of Education, room 4181, 400 
Maryland Avenue, SW., Washington, DC 20202-0125.
    Proof of mailing will be determined on the same basis as 
applications (see 34 CFR 75.102). Recommendations or comments may be 
hand-delivered until 4:30 p.m. (Washington, DC time) on the date 
indicated in this notice.
    Please note that the above address is not the same address as the 
one to which the applicant submits its completed application. Do not 
send applications to the above address.
    Instructions for Transmittal of Applications: (a) If an applicant 
wants to apply for a grant, the applicant shall--
    (1) Mail the original and six copies of the application on or 
before the deadline date to: U.S. Department of Education, Application 
Control Center, Attention: (CFDA #84.198), Washington, DC 20202-4725; 
or (2) Hand deliver the original and six copies of the application by 
4:30 p.m. (Washington, DC time) on the deadline date to: U.S. 
Department of Education, Application Control Center, Attention: (CFDA 
#84.198), Room #3633, Regional Office Building #3, 7th and D Streets, 
SW., Washington, DC.
    (b) An applicant must show one of the following as proof of 
mailing:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (4) Any other proof of mailing acceptable to the Secretary.
    (c) If an application is mailed through the U.S. Postal Service, 
the Secretary does not accept either of the following as proof of 
mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.

    Notes: (1) The U.S. Postal Service does not uniformly provide a 
dated postmark. Before relying on this method, an applicant should 
check with its local post office.
    (2) The Application Control Center will mail a Grant Application 
Receipt Acknowledgement to each applicant. If an applicant fails to 
receive the notification of application receipt within 15 days from 
the date of mailing the application, the applicant should call the 
U.S. Department of Education Application Control Center at (202) 
708-9494.
    (3) The applicant must indicate on the envelope and--if not 
provided by the Department--in Item 10 of the Application for 
Federal Assistance (Standard Form 424) the CFDA number of the 
competition under which the application is being submitted.

    Application Instructions and Forms: To apply for an award under 
this program competition, your application must be organized in the 
following order and include the following six parts:
    Part I: Application for Federal Assistance (Standard Form 424 (Rev. 
4-88)) and Instructions.
    Part II: Partnership Agreement Form.
    Part III: Budget Information and Instructions.
    Part IV: Budget Narrative.
    Part V: Application Narrative.
    Part VI: Additional Assurances and Certification:
    a. Assurances--Non-Construction Programs (Standard Form 424B).
    b. Certifications Regarding Lobbying; Debarment, Suspension, and 
Other Responsibility Matters; and Drug-Free Workplace Requirements (ED 
form 80-0013) and Instructions.
    c. Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion: Lower Tier Covered Transactions (ED Form 80-0014) 
and Instructions.

    (Note: ED Form 80-0014 is intended for the use of grantees and 
should not be transmitted to the Department.)

    d. Disclosure of Lobbying Activities (Standard Form LLL) (if 
applicable) and Instructions, and Disclosure of Lobbying Activities 
Continuation Sheet (Standard Form LLL-A).
    All forms and instructions are included as Appendix A of this 
notice. Questions and answers pertaining to this program are included, 
as Appendix B, to assist potential applicants.
    An applicant may submit information on a photostatic copy of the 
forms in Appendix A. However, each of the pertinent documents must 
include an original ink signature. All applicants must submit ONE 
original signed application, including ink signatures on all forms and 
assurances and SIX copies of the application. Please mark each 
application as original or copy. Local or State Agencies may choose to 
submit two copies with the original.
    No grant may be awarded unless a complete application form has been 
received.

FOR FURTHER INFORMATION CONTACT: Liz Miller or Jeanne Williams, Special 
Programs Branch, Division of National Programs, Office of Vocational 
and Adult Education, U.S. Department of Education, room 4513-MES, 400 
Maryland Avenue SW., Washington, DC 20202-7327. Telephone (202) 205-
9750.
    Information about the Department's funding opportunities, including 
copies of application notices for discretionary grant competitions, can 
be viewed on the Department's electronic bulletin board (ED Board), 
telephone (202) 260-9950; or on the Internet Gopher Server at 
GOPHER.ED.GOV (under Announcements, Bulletins, and Press Releases). 
However, the official application notice for a discretionary grant 
competition is the notice published in the Federal Register.
    Individuals who use a telecommunications device for the deaf (TDD) 
may call the Federal Information Relay Service (FIRS) at 1-800-877-8339 
between 8 a.m. and 8 p.m., Eastern time, Monday through Friday.
    PROGRAM AUTHORITY: 20 U.S.C. 1211(a).

    Dated: January 3, 1994.
Augusta S. Kappner,
Assistant Secretary Vocational and Adult Education.
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Appendix A

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Instructions for Part II--Partnership Agreement Form

    Partners must submit a signed Partnership Agreement Form and 
enclose it with the application. As indicated in 34 CFR 472.2, it is 
essential that the partners sign and submit this document in order for 
their application to be considered complete. If the agreement is 
retyped, the applicant should make sure that none of the wording is 
changed. Any changes in wording could alter the meaning of the 
agreement and thus render the application ineligible. Any reference in 
the application to an organization as a partner in the project is 
considered to mean a bona fide partner in the partnership who must sign 
the partnership agreement. If the document is not signed by all 
organizations identified as partners and submitted with the application 
or if the wording is changed and alters the meaning of the agreement, 
the Secretary will return the application without further consideration 
for funding pursuant to 34 CFR 75.216.
    Preference is given under this program to an application that 
includes one or more small businesses as a partner. For the purpose of 
this program, to claim a small business preference, the applicant must 
certify which of the partner enterprises is a small business under the 
Small Business Administration's Size Standards: Final and Interim Final 
Rules (13 CFR part 121) and furnish the Standard Industrial 
Classification (SIC) code in the Final and Interim Final Rules within 
which each such enterprise classifies itself. The SIC code for a small 
business partner must be entered in the space provided on the 
Partnership Agreement Form.

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Instructions for Part III-Budget Information

Section A--Budget Summary by Categories

    1. Personnel: Show salaries to be paid to project personnel.
    2. Fringe Benefits: Indicate the rate and amount of fringe 
benefits.
    3. Travel: Indicate the amount requested for both inter- and intra-
State travel of project staff. Include funds for three people to attend 
three developmental staff meetings in Washington, DC.
    4. Equipment: Indicate the cost of non-expendable personal property 
that has a useful life of more than one year and a cost of $300 or more 
per unit ($5,000 or more if State, Local, or Tribal Government).
    5. Supplies: Include the cost of consumable supplies and materials 
to be used during the project.
    6. Contractual: Show the amount to be used for (1) procurement 
contracts (except those which belong on other lines such as supplies 
and equipment); and (2) sub-contracts.
    7. Other: Indicate all direct costs not clearly covered by lines 1 
through 6 above, including consultants.
    8. Total, Direct Costs: Show the total for lines 1 through 7.
    9. Indirect Costs: Indicate the rate and amount of indirect costs 
(see Note).
    10. Training/Stipend Cost: (not allowable)
    11. TOTAL, Federal Funds Requested: Show total for lines 8 through 
10.

    Note: The National Workplace Literacy Program includes a 
statutory requirement that Federal funds supplement, and not 
supplant, non-Federal funds. 34 CFR 75.563 requires programs of this 
type to use a restricted indirect cost rate. 34 CFR 75.564-75.568 
provides the formula for determining the restricted indirect cost 
rate and provides definitions of terms used in the formula. A 
grantee other than a State or local government may use the 
restricted indirect cost rate or eight percent, whichever is less. 
Copies of part 75 of 34 CFR may be obtained from the Government 
Printing Office by writing to the Superintendent of Documents, U.S. 
Government Printing Office, Washington, DC 20402. Telephone: (202) 
783-3238. These regulations may also be found at many local 
libraries.

Section B--Cost Sharing Summary

    Indicate the actual rate and amount of cost sharing. The National 
Workplace Literacy Program requires that the partnership provide at 
least 30 percent cost sharing. The share required refers to a 
percentage of Total project cost, not of Federal funds.

Part IV--Instructions for Budget Narrative

    Prepare a detailed Budget Narrative for the first year of the 
project that justifies, and/or clarifies the budget figures shown in 
sections A and B. (Please note that the National Literacy Act of 1991 
(Pub. L. 102-73) amended the section of the Adult Education Act that 
authorizes the National Workplace Literacy Program to permit any 
eligible organization to use 100 percent Federal funds for 
administrative costs incurred in establishing a project during a start-
up period. 34 CFR 472.32(b) requires that an applicant minimize the 
start-up period, if any, proposed for its project and that the start-up 
period not exceed six months.) Explain:
    1. The basis used to estimate certain costs (professional 
personnel, consultants, travel, indirect costs) and any other cost that 
may appear unusual;
    2. How the major cost items relate to the proposed project 
activities;
    3. The costs of the project's evaluation component;
    4. What matching occurs in each budget category; and
    5. A breakdown of expenditures in the start-up period, and in the 
subsequent operational period.
    Provide estimated budget totals for the second and third years of 
the project.

Instructions for Part V--Application Narrative

    Before preparing the Application Narrative, an applicant should 
read carefully the description of the program and the selection 
criteria the Secretary uses to evaluate applications.
    The narrative should encompass each function or activity for which 
funds are being requested and should--
    1. Begin with an Abstract; that is, a summary of the proposed 
project including a list of the members of the partnership;
    2. Describe the proposed project in light of each of the selection 
criteria in the order in which the criteria are listed in this 
application package; and
    3. Include any other pertinent information that might assist the 
Secretary in reviewing the application.
    The Secretary strongly requests the applicant to limit the 
Application Narrative to no more than 50 double-spaced, typed, 8\1/2\'' 
x 11'' pages (on one side only), although the Secretary will consider 
applications of greater length. Be sure that each page of your 
application is numbered consecutively.
    Include as an appendix to the Application Narrative supporting 
documentation, also on 8\1/2\'' x 11'' paper (e.g., letters of support, 
footnotes, resumes, etc.), or any other pertinent information that 
might assist the Secretary in reviewing the application.
    Applicants are advised that--(1) Under Sec. 75.217 of the Education 
Department General Administrative Regulations (EDGAR), the Department 
considers only information contained in the application in ranking 
applications for funding consideration. Letters of support sent 
separately from the formal application package are not considered by 
the technical review panels.
    (2) In reviewing applications, the technical review panel evaluates 
each application solely on the basis of the established technical 
review criteria. Letters of support contained in the application will 
strengthen the application only if they contain commitments that 
pertain to the established technical review criteria, such as 
commitment of resources.
    Include any other pertinent information that might assist the 
Secretary in reviewing the application under the Adult Education Act, 
as amended.

Instructions for Estimated Public Reporting Burden

    Under terms of the Paperwork Reduction Act of 1980, as amended, and 
the regulations implementing that Act, the Department of Education 
invites comment on the public reporting burden in this collection of 
information. Public reporting burden for this collection of information 
is estimated to average 90 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information. You may send comments regarding this burden 
to the U.S. Department of Education, Information Management and 
Compliance Division, Washington, DC 20202-4651; and to the Office of 
Management and Budget, Paperwork Reduction Project, OMB 1830-0521, 
Washington, DC 20503.

(Information collection approved under OMB control number 1830-0521. 
Expiration date: December 31, 1995.)

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Appendix B

    Potential applicants frequently direct questions to officials of 
the Department regarding application notices and programmatic and 
administrative regulations governing various direct grant programs. To 
assist potential applicants the Department has assembled the following 
most commonly asked questions.
    Q. Can we get an extension of the deadline?
    A. No. A closing date may be changed only under extraordinary 
circumstances. Any change must be announced in the Federal Register and 
apply to all applications. Waivers for individual applications cannot 
be granted, regardless of the circumstances.
    Q. We just missed the deadline for a previous Department of 
Education competition. May we submit the application we prepared for it 
under this competition?
    A. Yes. However the likelihood of success is not good. A properly 
prepared application must meet the specifications of the competition to 
which it is submitted.
    Q. I'm not sure which competition is most appropriate for my 
project. What should I do?
    A. We are happy to discuss any questions with you and provide 
clarification on the unique elements of the various competitions.
    Q. How can I best ensure that my application is received on time 
and is considered under the correct competition?
    A. Applicants should carefully follow the instructions for filing 
applications that are set forth in this notice. Be sure that Block 10 
of the face page of the application (Standard form 424) clearly 
indicates the CFDA number 84.198, and the title of the program--
National Workplace Literacy Program--representing the competition in 
which the application should be considered.
    Q. Will you help us prepare our application?
    A. We are happy to provide general program information. Clearly, it 
would not be appropriate for staff to participate in the actual writing 
of an application, but we can respond to specific questions about 
application requirements, evaluation criteria, and the priority. 
Applicants should understand that this previous contact is not 
required, nor will it in any way influence the success of an 
application.
    Q. How long should an application be?
    A. The Department of Education is making a concerted effort to 
reduce the volume of paperwork in discretionary program applications. 
However, the scope and complexity of projects is too variable to 
establish firm limits on length. Your application should provide enough 
information to allow the review panel to evaluate the significance of 
the project against the criteria of the competition. We recommend that 
you address all of the selection criteria in an ``Application 
Narrative'' of no more than 50 pages in length. Supporting 
documentation may be included in appendices to the Application 
Narrative. Some examples:
    (1) Staff qualifications. These should be brief. They should 
include the person's title and role in the proposed project and contain 
only information about his or her qualifications that are relevant to 
the proposed project. Qualifications of consultants should be provided 
and be similarly brief. Resumes may be included in the appendices.
    (2) Copies of evaluation instruments proposed to be used in the 
project in instances where such instruments are not in general use.
    (3) Copies (samples) of any curricula that reflect the applicant's 
experience and the scope and direction of any current or previous 
projects related to this application.
    Note that a Budget Narrative describing specific uses of funds 
requested in the budget form also is required. No applications will be 
funded without this material. The Budget Narrative is not included in 
the recommended 50 page limit.
    Q. How should my application be organized?
    A. The applicant should assemble its package in the following 
order: The SF 424 on top, followed by the abstract, Partnership 
Agreement Form, table of contents, Budget Information Form, Budget 
Narrative, Application Narrative, assurances and certifications, and 
appendices.
    Do not substitute your own cover for the SF 424. Please include one 
extra, loose copy of the SF 424 for use by the Application Control 
Center. Please number all pages. The Application Narrative should be 
organized to follow the exact sequence of the components in the 
selection criteria in this notice.
    Q. Can project funds be used to cover travel expenses?
    A. Travel associated with carrying out the project can be funded 
using program funds if necessary and reasonable. The Secretary 
anticipates that the project director, one business or labor 
representative, and the evaluator will attend three developmental staff 
meetings over the course of the project (one start-up conference, one 
mid-point conference, and one close-out conference). Therefore, you may 
wish to include the costs of nine trips to Washington, D.C. in the 
travel budget.
    Q. How can I ensure that my application is filed on behalf of a 
validly formed partnership?
    A. The requirements for forming a partnership and filing an 
application on its behalf are explained in Sec. 472.2 of the program 
regulations. A partnership requires a signed agreement between at least 
one entity described in Sec. 472.2(a)(1) and at least one entity 
described in Sec. 472.2(a)(2). Note that State and local governments--
like any other entities--may not qualify as partners unless they fall 
within these descriptions. For example, under the regulations, a State 
or local educational agency or a municipal employment and training 
agency is an eligible partner, but a State or city government is not an 
eligible partner. No agency of the Federal government is an eligible 
partner. Federal employees including members of the armed services are 
not eligible for training. If you are not sure whether a particular 
entity is an eligible partner, please call the program officers listed 
as information contacts in the application notice.
    Q. Can entities that are not eligible partners be involved in a 
workplace literacy project?
    A. Yes. They could potentially be involved as ``contractors,'' 
``helping organizations,'' or ``sites,'' as defined in Sec. 472.5 of 
the regulations. Note that entities that are ``helpers'' or ``sites'' 
may not receive funds from the grant.
    Q. Must the signed partnership agreement be submitted with the 
application?
    A. Yes. The agreement is required both to establish the 
partnership's legal eligibility and to ensure each partner's continuing 
commitment during the workplace literacy project. Prior to submitting 
an application, partners should ensure that each partner clearly 
understands its role and responsibilities in the project.
    The Department interprets even a single reference in the 
application to an organization as a partner to mean that it is a bona 
fide partner in the partnership and, thus, is required to sign the 
partnership agreement. The applicant should be careful to designate 
partners, helpers, contractors, etc. in the same way wherever they are 
mentioned throughout the application. Because partnership requirements 
are established by law, the Department reviews each agreement form to 
be certain that it meets the terms of the law requiring all entities 
named as partners to sign the agreement. The Department wishes to 
underscore that if any of the entities named as partners in the 
application have not signed the agreement form, the application will be 
returned to the applicant without further consideration for funding.
    Q. How does the Department define ``small business''?
    A. In 34 CFR 472.5, the Department defines ``small business'' as a 
business entity that--
    (1) Is organized for profit, with a place of business located in 
the United States and that makes a significant contribution to the U.S. 
economy through payment of taxes or use of American products, 
materials, or labor, or both; and
    (2) May be in the legal form of an individual proprietorship, 
partnership, corporation, joint venture, association, trust or a 
cooperative, except that where the form is a joint venture there can be 
no more than 49 percent participation by foreign business entities in 
the joint venture; and
    (3) Meets the requirements found in 13 CFR part 121 concerning 
Standard Industrial Classification codes and size standards.
    If you are not sure whether or not you meet the definition of a 
small business, you may want to contact your local district office or 
regional office of the Small Business Administration (SBA) for advice. 
If you are unable to locate those offices you may call the SBA's Office 
of Size Standards at (202) 205-6618.
    Q. May an application including a business partner that is a small 
local affiliate of a larger corporation receive the small business 
priority points?
    A. The overall size of the business partner and its affiliates will 
determine the answer. Size determinations must include the business 
partner and all its domestic and foreign affiliates regardless of 
whether the affiliates are organized for profit. 13 CFR 121.401 
describes affiliating circumstances for size determination purposes and 
establishes exceptions thereto.
    Q. May an application including a business partner that operates as 
the small local franchisee or licensee of a larger corporation receive 
the small business priority points?
    A. Small business priority points may be awarded when a business 
partner meets the following three conditions: It (1) is a local 
franchisee or licensee within the size determination standards, (2) has 
the right to profit from its efforts and (3) bears the risk of loss 
commensurate with ownership. Exceptions to this general interpretation 
may arise where affiliation results from other means than the franchise 
or license agreement such as common ownership, common management or 
excessive restrictions on the sale of the franchise interest. See 
Sec. 121.401(m) of 13 CFR.
    Q. Must a small business participant be a partner for the 
application to qualify for the small business priority points?
    A. Yes. The small business participant must be a partner who has 
signed the Partnership Agreement for the application to qualify for the 
extra points.
    Q. Must an applicant provide the Standard Industrial Classification 
(SIC) code for the small business partner in order to receive the small 
business priority points?
    A. Yes. The SIC code must be entered on the line provided on the 
Partnership Agreement form.
    Q. What is meant by a required percent of non-Federal cost-sharing 
or matching funds?
    A. In this program, the recipient of Federal funds is required to 
``match'' the Federal grant by paying at least a minimum percentage of 
total program costs. Total program costs include both the Federal funds 
received and the non-Federal contribution. For example, a partnership 
that is required to pay 30 percent of total program costs of $100,000 
would have to contribute $30,000 to match a Federal award of $70,000 
($30,000 = 30 percent of $100,000 ($30,000 plus $70,000)). All 
partnerships must contribute at least 30 percent of total program 
costs, except that partnerships may receive full reimbursement for 
their necessary and reasonable administrative costs incurred in 
establishing a project during the project start-up period. That period 
should be minimized and may not exceed six months, at which time the 
project is expected to provide services to adult workers.
    Q. What costs may be included in the 30 percent match (cash or in-
kind)?
    A. Any cost that can be paid with Federal funds from this program 
is allowable as match (see Education Department General Administrative 
Regulations, 34 CFR 74.50-74.57 and 34 CFR 80.24).
    Q. What costs are not allowed using project funds (Federal or non-
Federal match)?
    A. The following items are not allowable costs in the National 
Workplace Literacy Program:
     Life skills such as balancing a checkbook, learning to 
read to children, writing personal correspondence, etc.
     Personal counseling such as counseling for alcoholism, 
mental health, health, domestic problems, or housing issues.
      Job skills or vocational training such as direct training 
in statistical process control (SPC) rather than literacy skills needed 
for SPC.
     Computer literacy, defined as any training above the level 
of computer competence needed to operate a computer-assisted program of 
instruction used in a workplace literacy project. Non-allowable costs 
include teaching of word processing, WordPerfect, Lotus, dBase, etc.
     Stipends or tuition payments.
     Training of supervisors, other than those one step up from 
targeted workers such as maintenance crew supervisors.
     Construction costs.
     Institutional allowance.
     Any unreasonable or unnecessary cost.
    Q. May a project provide vocational or job training activities?
    A. No. Projects must provide adult education programs that teach 
literacy skills needed in the workplace. Workplace literacy activities 
include only the adult education activities listed in the Description 
of Program section of the Notice Inviting Applications. This list does 
not include vocational or job training activities such as auto 
mechanics, dye casting, tailoring, and statistical process control. 
Workplace literacy instruction, however, may enable individuals to 
benefit subsequently or simultaneously from advanced vocational skills 
training provided from other funds. If you are not sure whether a 
particular activity is eligible under this program, please call one of 
the program officers listed as information contacts in the application 
notice.
    Q. May a project provide training in operating a computer?
    A. Training to operate a computer that is part of the performance 
of a job is a form of vocational or job training and is not an eligible 
activity under this program. However, computers could be used as a 
means of instruction if this were necessary and reasonable under the 
circumstances of a particular project. In such a context, it would be 
permissible to ensure that students possessed those rudimentary skills 
that are necessary to interact with computer-assisted literacy 
instruction.
    Q. What should be disseminated?
    A. The criterion ``Demonstration'' encourages applicants to use 
certain dissemination strategies but does not preclude the use of 
additional strategies that are appropriate for a particular project. 
Projects should distribute materials that will help others to adopt 
promising practices arising from the project, such as assessment 
instruments, recruitment materials, job task analysis materials, staff 
development materials, curricula, etc. The Department does not expect 
or anticipate that partnerships will disseminate trade secrets or other 
protected information. However, a project's dissemination activities 
should clearly benefit businesses and workplaces outside of the 
partnership.
    Q. What is the Department of Education's Program Effectiveness 
Panel?
    A. As mentioned in the note to the criterion ``Evaluation plan,'' 
the Program Effectiveness Panel (PEP) is a mechanism that the 
Department has developed for validating the effectiveness of 
educational programs developed by schools, universities, and other 
agencies.
    Specific criteria for PEP review are found at 34 CFR 786.12 or 
787.12. For further information about PEP, prospective applicants may 
wish to read Making the Case: Evidence of Effectiveness in Schools and 
Classrooms, which contains criteria and guidelines for submitting 
project results to PEP. This publication is available from the U.S. 
Department of Education's Office of Educational Research and 
Improvement, 555 New Jersey Avenue NW., Washington, DC 20208-5645. 
Telephone: (202) 219-2134.
    Q. How many copies of the application should I submit and must they 
be bound?
    A. The original application should be bound and clearly marked as 
the original application bearing the original signatures. In addition 
six copies should be submitted and marked as copies. Local or State 
Agencies may choose to submit two copies with the original. 
Applications should not include foldouts, photographs, audio-visuals, 
or other materials that are hard to duplicate.
    Q. When will I find out if I'm going to be funded?
    A. You can expect to receive notification within 8 to 9 months of 
the application closing date, depending on the number of applications 
received and the number of competitions with closing dates at about the 
same time.
    Q. Will my application be returned?
    A. We do not return applications. Therefore, applicants should 
retain at least one copy of the application.
    Q. What happens during negotiations between high ranking applicants 
and the U.S. Department of Education grants office?
    A. During negotiations, technical and budget issues may be raised. 
These are issues that have been identified during panel and staff 
reviews that require clarification. Sometimes issues are stated as 
``conditions.'' These are issues that have been identified as so 
critical that the award cannot be made unless those conditions are met. 
Questions may also be raised about the proposed budget. Generally, 
these issues are raised because there is inadequate justification or 
explanation of a particular budget item, or because the budget item 
seems unimportant to the successful completion of the project. If you 
are asked to make changes that you feel could seriously affect the 
project's success, you may provide reasons for not making the changes 
or provide alternative suggestions. Similarly, if proposed budget 
reductions will, in your opinion, seriously affect the project 
activities, you may explain why and provide additional justification 
for the proposed expenses. An award cannot be made until all 
negotiation issues have been resolved.
    Q. Where can copies of the Federal Register, program regulations, 
and Federal statutes be obtained?
    A. Copies of these materials can often be found at your local 
library. If not, they can be obtained from the Government Printing 
Office by writing to the Superintendent of Documents, U.S. Government 
Printing Office, Washington, DC 20402. Telephone: (202) 783-3238. When 
requesting copies of regulations or statutes, it is helpful to use the 
specific name, public law number, or part number. The materials related 
to this notice should be referred to as follows:
    (1) The Augustus F. Hawkins-Robert T. Stafford Elementary and 
Secondary School Improvement Amendments of 1988, Public Law 100-297, 
title III, sections 301-385.
    (2) The National Literacy Act of 1991, title II, Public Law 102-73, 
section 202.
    (3) The Education Department General Administrative Regulations 
(EDGAR) (34 CFR parts 74, 75, 77, 79, 80, 81, 82, 85, and 86).
    (4) 34 CFR parts 460 and 472 (National Workplace Literacy Program).

    Note: Amendments to 34 CFR 472 are published in this issue of 
the Federal Register.

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

[FR Doc. 94-443 Filed 1-7-94; 8:45 am]
BILLING CODE 4000-01-P