[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
_______________________________________________________________________
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]
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