[Federal Register Volume 60, Number 80 (Wednesday, April 26, 1995)]
[Notices]
[Pages 20602-20617]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-9829]




[[Page 20601]]

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Part V





National Institute for Literacy





_______________________________________________________________________



Grants and Cooperative Agreements: State Literacy Resource Centers 
National Electronic Information and Communication Network Applications; 
Notice

  Federal Register / Vol. 60, No. 80 / Wednesday, April 26, 1995 / 
Notices    
[[Page 20602]] 

NATIONAL INSTITUTE FOR LITERACY

[CFDA NO. 84-257F]


Application for Technology Grant Awards to Governor's State 
Literacy Resource Centers To Build a National Electronic Information 
and Communication Network for Literacy by Establishing Regional Hubs on 
the Internet in Each of the Four Regions Designated by the Department 
of Education's Office of Vocational and Adult Education

    Note to Applicants: This notice is a complete application 
package. Together with the statute authorizing the program and 
applicable regulations governing the program, including the 
Education Department General Administrative Regulations (EDGAR), 
this notice contains all the information, application forms, 
regulations, and instructions needed to apply for a grant under this 
competition.

AGENCY: The National Institute for Literacy.

ACTION: Notice.

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for further information contact: Jaleh Behroozi, NIFL, 800 Connecticut 
Avenue, NW., Suite 200, Washington, DC 20006. Telephone: 202-632-1506. 
FAX: 202-632-1515. e-mail: jaleh literacy.nifl.gov.
    Information about the Institute's funding opportunities, including 
the application notices can be viewed on the LINCS WWW server (under 
Current Events, under grants). LINCS URL: http://novel.nifl.gov.

SUPPLEMENTARY INFORMATION:

    Definitions: For purposes of this announcement the following 
definitions apply:
    ``Literacy'' An individual's ability to read, write, and speak in 
English, and compute and solve problems at levels of proficiency 
necessary to function on the job and in society, to achieve one's goals 
and develop one's knowledge and potential (as stated in the National 
Literacy Act of 1991).
    ``State Literacy Resources Centers (SLRCs)'' State or regional 
organizations supported through any combination of federal, state, or 
private funds that has the purpose of coordinating the delivery and 
improvement of literacy services acress agencies and organizations in 
the state or region, enhancing the capability of state and local 
organizations to provide literacy services, building a database of 
literacy related information, and working closely with the National 
Institute for Literacy and other national literacy organizations to 
enhance the national literacy infrastruture.
    ``Literacy Community'' individuals and groups at all levels 
nationwide that are actively involved with adult literacy and basic 
skills instruction, including individuals such as researchers, 
practitioners, policymakers, adult learners, and administrators, and 
groups such as state and local departments of education, human 
services, and labor; libraries; community-based organizations; 
businesses and labor unions; and volunteer and civic groups.
    ``OVAE regions'' the four regions of the United States designated 
by the U.S. Department of Education's Office of Vocational and Adult 
Education (OVAE):

Area I: Connecticut, Delaware, District of Columbia, Maine, Maryland, 
Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, 
Puerto Rico, Rhode Island, Vermont, Virgin Islands
Area II: Alabama, Arkansas, Florida, Georgia, Kentucky, Louisiana, 
Mississippi, North Carolina, Oklahoma, South Carolina, Tennessee, 
Texas, Virginia, West Virginia
Area III: Ilinois, Indiana, Iowa, Kansas, Michigan, Minnesota, 
Missouri, Nebraska, North Dakota, Ohio, South Dakota, Wisconsin
Area IV: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana, 
Nevada, New Mexico, Oregon, Utah, Washington, Wyoming, Federal States 
of Micronesia, Guam, Marshall Island, No. Mariana Islands

    ``Regional Hub'' an Internet-based electronic information retrieval 
and communication site, operating through an SLRC, that acts as the 
focal point for LINCS activity, including training and technical 
assistance, for a particular OVAE region.
    Background: The National Institute for Literacy (NIFL), as 
authorized by the National Literacy Act of 1991, has the legislative 
mandate to develop a national literacy data base. The intent of this 
mandate was to consolidate scattered and inaccessible information 
resources for literacy.
    As a first step toward carrying out this charge, and in keeping 
with the Administration's ``information superhighway'' initiative, NIFL 
conducted a study in 1992 of the literacy community's information needs 
by type of users, quality and format of existing literacy sources and 
data bases. Following up on the results of this survey in 1993, NIFL 
formed eight work groups of representatives from the literacy community 
to develop a vision and work plan for establishing its information and 
communications system, which is now called LINCS (the Literacy 
Information aNd Communication System). The work groups used a 
consensus-building process to produce a framework, standards, and 
guidelines for LINCS, which are presented in NIFL's ``Starting Point'' 
manual.
    In order to implement the work groups' vision and plans, NIFL 
developed the LINCS on-line prototype to examine and demonstrate the 
potential and capabilities of an Internet-based national literacy 
information and communication network.
    The LINCS prototype has been developed as a World Wide Web system 
on the Internet, accessible by Mosaic and Lynx. It is designed to 
access literacy data available in multiple locations, and features 
searchable literacy holdings (including SLRC holdings) and other 
literacy resources. It also provides access to the databases of ERIC , 
OTAN (Outreach and Technical Assistance Network), TTRC (Training 
Technology Resource Center) NCAL (National Center on Adult Literacy), 
the National Adult Literacy and Learning Disability Center, and the 
Library of Congress. In addition, the prototype includes E-mail, an 
event calendar, funding announcements, and information on legislation.
    NIFL's plan for the next two years is to establish the LINCS 
prototype as the foundation for a national electronic literacy network 
by upgrading the technological capabilities of the field. Major 
components of the plan are:
    (1) To broaden the literacy community's access to literacy 
resources,
    (2) To develop politics and procedures for information sharing 
throughout the literacy community.
    (3) To enhance awareness throughout the literacy community about 
the potential of a state-of-the-art information and communications 
technology for the field of adult education,
    (4) To ensure that LINCS keeps pace with the state-of-the-art 
technology and becomes increasingly more capable of enriching literacy 
services through the provision of comprehensive information resources 
to the literacy community.
    Overview of the technology project: In order to build an 
infrastructure that can support electronic communications and 
information exchange for literacy, NIFL proposes to support SLRCs in 
establishing regional information and communication hubs for literacy. 
These hubs will create a base for expansion of LINCS into a national 
network. Using state-of-the art technology, the regional hubs will 
facilitate access to information and resource sharing within and among 
the regional literacy communities and [[Page 20603]] will encourage the 
collection of information that will increase the literacy knowledge 
base.
    The NIFL will award up to four grants to SLRCs for the creation of 
these regional hubs. The grants will be used as seed money to attract 
ongoing support from other sources. Only one grant will be made within 
each of the four OVAE regions.
    Purpose: The purpose of the technology grant program is to create 
regional electronic information and communication hubs for literacy 
that will--
    1. build the technological capacity for electronic information 
exchange among SLRCs within each OVAE region through consortia of 
states that cooperate in sharing resources and expertise.
    2. enable individual SLRCs to share data with the literacy 
community and with major national adult literacy holdings by linking 
them with each other and the LINCS prototype.
    3. demonstrate the use of the LINCS prototype by other state 
agencies and local adult literacy service providers in efforts to 
improve program and professional development.
    4. increase the literacy field's knowledge base by using the 
``Starting Point'' manual standards to develop a systematic procedure 
for collecting new literacy information, resources, especially 
unpublished materials.
    NIFL intends the value of this technology project to extend beyond 
the SLRCs to the literacy community as a whole. The larger goals of 
LINCS are to bring the community together--literacy researchers, 
practitioners, administrators, students, and policymakers--and to close 
the gap between information ``haves'' and ``have nots.'' These goals 
can only be met by expanding the network to increasingly greater 
numbers of individuals and groups in the literacy field.
    Eligible Applicants: All State Literacy Resource Centers (SLRC's) 
are eligible to apply for an award under this program.
    Deadline for Transmittal of Applications: June 26, 1995.
    Available Funds: In Fiscal Year 1995, $600,000 is available for two 
year technology cooperative agreement awards. Year 2 funding is subject 
to program authorization and availability of appropriations, and 
contingent upon satisfactory completion of the first year plan of 
action.
    Estimated Number of Awards: Up to 4, with no more than 1 award made 
within each of the four OVAE regions.
    Estimated Amount of Each Award: $150,000.
    Project Period: Up to 24 months.
    Selection criteria: (a)(1) In evaluating applications for a grant 
under this competition, the Director uses the following selection 
criteria.
    (2) The maximum score for all of the criteria in this section is 
100 points.
    (3) The maximum score for each criterion is indicated in 
parentheses with the criterion.
    (b) The Criteria--(1) Mission and Strategy. (10 points) The 
Director reviews each application to determine how well the applicant 
has related the mission and strategy of the project to NIFL's overall 
goals and priorities, including:
    (i) The degree to which the plan for creating a regional hub 
reflects an understanding of the major tasks necessary to achieve 
NIFL's goals for building regional capacity;
    (ii) The quality of the plans for developing an appropriate, 
coherent, and effective program to achieve the project's goals;
    (iii) The effectiveness of proposed strategies for providing 
regional leadership to consortium members and other partners; and
    (iv) The quality of plans to establish effective working 
relationships with other organizations in the region as required for 
effective development of the project.
    (2) Institutional Capability (15 points) The Director reviews each 
application to determine the capabilities of the organization to 
sustain a long-term, high-quality, and coherent program, including:
    (i) The applicant's experience in establishing and carrying out 
collaborative working relationships with other states, other state 
agencies, and other public and private groups;
    (ii) The applicant's experience in developing materials and methods 
for training and technical assistance to adult literacy providers.
    (iii) The ability of the applicant to carry on the project when 
NIFL funding has ended.
    (3) Plan of Operation. (30 points) The Director reviews each 
application to determine the quality of the plan of operation for the 
project, including:
    (i) The quality of the design of the project;
    (ii) The extent to which the plan of management is effective and 
ensures proper and efficient administration of the project;
    (iii) How well the objectives of the project relate to the purpose 
of the LINCS;
    (iv) The extent to which the applicant provides for effective 
collaboration between SLRCs and other agencies;
    (v) The quality of the applicant's plan to use its resources and 
personnel to achieve each objective; and
    (vi) The extent to which the applicant's plan for year 1 provides 
for achieving the minimum project outcomes listed under Program 
Narrative.
    (4) Technical Soundness. (20 points) The Director reviews each 
application to determine the technical soundness of the proposed 
project, including:
    (i) The extent to which the applicant demonstrates a thorough 
knowledge of literacy data collections, dissemination and applying the 
required Institute's guidelines and standards.
    (ii) The extent to which the applicant demonstrates knowledge of 
current databases, telecommunications practices, equipment 
configurations and maintenance.
    (iii) Evidence of the commitment of the applicant to provide 
technical support and equipment to the members of consortium;
    (iv) Evidence that the applicant will consider the perspectives of 
a variety of service providers in carrying out the work of the 
consortium;
    (v) The extent to which the training content is comprehensive and 
at an appropriate level; and
    (vi) The extent to which training methods are likely to be 
effective.
    (5) Budget and cost effectiveness. (10 points) The Director reviews 
each application to determine the extent to which:
    (i) The budget is adequate to support consortium activities;
    (ii) Costs are reasonable in relation to the objectives of the 
consortium;
    (iii) The budgets for any subcontracts are detailed and 
appropriate; and
    (iv) The budget details resources, cash and in-kind, that the 
applicant and others, particularly other consortium members, will 
provide to the project in addition to grant funds.
    (6) Evaluation Plan. (10 points) The Director reviews each 
application to determine the quality of the evaluation plan for the 
consortium, including the adequacy of:
    (i) The methods and mechanism which will be used to document the 
consortium's progress in relation to its mission and goals; and
    (ii) The methods which will be used to document the impact of the 
consortium's program on its target audiences.
    Applications should describe and justify the methods used to ensure 
that the consortium's work is of high quality as evaluated by the above 
procedures.
    (7) Quality of Key Personnel. (5 points) The Director reviews each 
[[Page 20604]] application to determine the quality of key personnel 
for the project, including:
    (i) The qualifications of the project director for each project 
activity;
    (ii) The qualifications of key personnel in each consortium member 
state for each project activity;
    (iii) The extent to which key personnel have experience and 
training in fields related to the objectives of the project; and
    (iv) The applicant's policy, as part of its nondiscriminatory 
employment practices, to ensure that its personnel are selected for 
employment without regard to race, color, national origin, religion, 
gender, age, or disability.

Application Requirements

Project Narrative

    The project narrative is critical and must thoroughly reflect the 
capabilities of the applicant, as well as the degree and level of 
cooperation with other SLRCs in the region, related to implementing 
this technology project.
    The narrative should not exceed twenty (20) single-spaced pages, or 
forty (40) double-spaced pages. The narrative may be amplified by 
material in attachments and appendices, but the body should stand alone 
to give a complete picture of the project. Proposals which exceed 20 
single-spaced pages or 40 double-spaced pages will not be reviewed.
    The narrative must encompass the full two years of project 
activities and must cover the following areas:

1. Mission and Strategy

    a. State the goals and objectives of the two-year project. Explain 
how they relate to overall NIFL goals and contribute to the development 
of LINCS.
    b. Describe how the project will build regional technological 
capacity.
    c. Describe the services that will be provided to other SLRCs in 
the region.
    d. Explain how the project will serve the broader literacy 
community.
    e. State the overall expected project achievements for the end of 
the two-year grant period.

2. Institutional Capabilities

    a. State the applicant's qualifications to act as lead site of a 
regional consortium of all other SLRCs in the region. Describe the 
applicant's ability to carry out the proposed project and to deliver 
the proposed services.
    b. Describe the applicant's staff and organizational capacity to 
play a leadership role in mobilizing a consortium of the region's SLRCs 
to carry out the work of this grant, including the applicant's 
willingness and ability to--
    (1) Serve as the lead resource for sharing literacy data 
collections among states and for developing its own and other states' 
collections on a local, statewide and regional basis. The applicant 
should have its own sizeable literacy collection (or a clear plan for 
acquiring such a collection), especially unpublished material, and the 
capacity to make it electronically available to other SLRCs and state 
agencies.
    (2) Organize its information holdings and those of other SLRCs by 
applying NIFL standards and guidelines as presented in the ``Starting 
Point'' manual, as well as the literacy thesaurus being developed by 
the NIFL work group.
    (3) Provide the necessary technical support and expertise, 
especially in telecommunications, to less technologically advanced 
SLRCs. This includes: ensuring continuing on-line access among members, 
coordinating the installation of equipment and software, and providing 
technical assistance and training as appropriate.
    (4) Provide the necessary support and expertise, as described in 
b(3) above, to other state agencies and selected local literacy service 
providers.
    (5) Develop a plan for continuing the project after the end of the 
two-year project period, including prospective sources of support.
    (6) Collaborate with NIFL throughout the process of creating the 
regional hub in order to assure the uniform presentation of information 
across the LINCS.
    (7) Share project experience with other regions' SLRCs and the NIFL 
through quarterly performance reports.
    c. Describe the applicant's ability to secure support from other 
agencies and groups in sustaining the project at the end of the two-
year grant.

3. Plan of Operation

    The applicant must develop a two-year plan that is both ambitious 
and realistic. While aiming high, the applicant must demonstrate an 
awareness of the constraints inherent in each particular situation. The 
plan must address both the immediate needs and the future vision and 
direction of the regional technology project.
    The Director is particularly interested in applicants whose plans 
include provisions for--
     Forming a consortium with all other SLRCs in the region 
and securing the explicit commitment of each to participate in the 
project through the development of formal agreements delineating the 
roles and responsibilities of all members and a regional plan of action 
with timelines of tasks achieved, including input from interested 
public and private organizations;
     Increasing adult literacy holdings and access of the 
literacy community to these holdings as LINCS expands;
     Developing partnerships with other state agencies and 
public and private entities, including business and industry, that can 
further project objectives and provide ongoing support to the project 
after the grant has ended;
     Collaborating with other related electronic information 
exchange efforts, such as those run through libraries and universities, 
to widen usage of LINCS in the field; and
     Expanding LINCS more broadly at the state agency and local 
service provider level.
    Accordingly, the applicant's plan must address the following:
    a. Regional Hub: Describe how the applicant will establish a 
regional hub on the Internet that will provide a seamless interface 
between SLRCs in the region and LINCS, including:
    (1) How the applicant will establish and maintain a regional hub 
that mirrors the LINCS's information structure and the system 
architecture, as described in Technical Soundness, sections a and b.
    (2) What hardware, software, and networking system will be used to 
develop the hub and why they were chosen.
    (3) How the equipment meets NIFL requirements.
    (4) How the applicant will develop a collection of unpublished 
literacy materials.
    (5) How the applicant will collect and organize program data.
    (6) How the applicant will ensure adoption of ``Starting Point'' 
standards and work with other SLRCs in the areas of collection of data, 
organization and information dissemination.
    (7) How and to what extent the applicant will involve other 
agencies and organizations, especially state departments of education, 
human services, and labor, in the design and implementation of the 
regional hub.
    (8) How the applicant will achieve, at a minimum, the following 
outcomes in year 1:

(a) The establishment of a regional hub for LINCS on the Internet
(b) An on-line database of unpublished materials using ``Starting 
Point'' standards
(c) An on-line directory of the regional consortium's literacy programs 
using ``Starting Point'' standards
(d) A bulletin board function
(e) Link-up with at least to major educational/workforce or legislative 
databases in the region

    [[Page 20605]] b. Connectivity: Describe the level at which 
consortium members will be connected to the regional hub and to each 
other, including how the applicant will achieve, at a minimum, the 
following outcome in year 1: All consortium members will be linked up 
with the regional hub and able to:
    (1) Retrieve information provided by the hub,
    (2) Transfer files,
    (3) Engage in on-line discussion groups, and
    (4) Access the LINCS prototype.
    c. Organization and Management: Describe the ways in which the 
applicant will ensure appropriate organization and management of 
project activities, including:
    (1) How the applicant will involve an advisory group including 
representatives from all regional consortium member states in 
overseeing project implementation and evaluating progress.
    (2) How the applicant will provide for developing a formal 
agreement with all consortium member SLRCs that clearly identifies the 
rights, roles, and responsibilities of each state with regard to 
spending plan, technical assistance, training, timeline, evaluation and 
design of the hub.
    (3) How the applicant will provide for the management of any other 
partnership, consultant or subcontract arrangement with the rights and 
responsibilities of each party set forth clearly.
    (4) The identification of key staff members, their specific roles, 
and the number of hours required to carry out their tasks.
    (5) A description of any cost-sharing, cooperative funding, or 
other special financial arrangements.
    d. Access: Describe how the applicant will extend access to LINCS 
to other state agencies and local literacy service providers, 
including;
    (1) How the applicant will promote widespread access to and use of 
the regional hub.
    (2) How the applicant will work with regional consortium members to 
select local sites to participate in the project.
    (3) How the applicant will support LINCS use by other agencies and 
at the local level, including--

(a) The kind of hardware and software to be used
(b) The training and technical assistance to be provided
(c) The focus to be taken by an agency or local site in using LINCS 
(i.e., a site could focus on using the system in information retrieval, 
or exploring on-line communication between practitioners and adult 
learners, or exchanging teaching tools and curricula)

    (4) How the applicant will solicit and use feedback from other 
agencies and local providers in assessing the network's potential and 
refining the work of the regional hub.
    (5) How the applicant will achieve, at a minimum, the following 
outcome in year 1: At least two local literacy service providers in one 
or more of the member states will have the capability to use the 
services of the regional hub.
    e. Collaboration: Describe how the applicant will assure 
collaboration with other related agencies, organizations, and projects 
in the region, including how the applicant will work with other 
regional consortium member states to--
    (1) Secure the active cooperation and partnership of appropriate 
state agencies, including education, labor, and human services.
    (2) Identify and connect with other projects in the region that use 
technology in the areas of telecommunications, on-line services, 
networking and multi-media.

4. Technical Soundness

    a. Describe how the applicant will install an electronic system for 
the regional hub that mirrors the LINCS structure, which consists of 
the following: a UNIX-based work station, connected to the Internet via 
the NIFL LAN, with information maintained in both HTML documents and 
WAIS databases. This work station is the World Wide Web (WWW) server, 
and also provides access to the Lynx WWW client for those users unable 
to use graphical clients, such as Mosaic. The software developed for 
the NIFL home page by the Logistics Management Institute is freely 
available for re-use.
    b. Describe how the applicant will create a home page design that 
is similar to the LINCS home page, so that the same ``look and feel'' 
can be achieved throughout the network. (For example, a proposal for a 
World Wide Web server providing Mosaic- and Lynx-based access to a 
region's literacy resources and linkage to the NIFL home page would 
receive greater consideration than a proposal for information 
maintained on one or multiple WAIS database servers.)
    Describe how the applicant will, at a minimum--
    (1) Acquire a 56kbps or faster direct Internet connection.
    (2) Develop a WAIS database server or servers on the Internet.
    (3) Populate the WAIS database(s) with literacy collections and 
program data, using ``Starting Point'' record structures and standards.
    (4) Provide technical assistance, funding and resources to assure 
that all consortium members are connected to the Internet and are 
contributing and sharing adult literacy data.
    c. Describe the applicant's provisions for equipment, including--
    (1) What equipment will be used to establish the regional literacy 
hub or hubs.
    (2) How the applicant will assess the equipment needs of each 
consortium member.
    (3) What equipment will be used to link each consortium member to 
the regional hub and to LINCS.
    (4) The reason for purchasing or upgrading equipment, as well as 
software and networking systems, for each member.
    (5) How the equipment funded by this grant will be maintained.
    (6) How issues of changing technology and obsolescence will be 
addressed.
    (7) How the applicant will achieve, at a minimum, the following 
outcome for year 1: The lead site and consortium members will all have 
the equipment necessary to perform functions described in the plan of 
operation.
    d. Describe the applicant's provisions for training and technical 
assistance, including--
    (1) How the applicant will assess the relevant skills and knowledge 
of each consortium member SLRC and pool this expertise for the benefit 
of all consortium members.
    (2) How the applicant will assist all consortium member SLRCs in 
selection and installation of hardware and software within the proposed 
timeline.
    (3) A commitment to regional training and staff development for 
consortium members.
    (4) How provisions will be made for well-organized and ongoing 
training that addresses a full range of needs.
    (5) How administrators in each consortium member SLRC and local 
site will learn about the potential of LINCS and the regional hub, the 
pros and cons of various applications, how to connect to the system and 
benefit from it, and how to help their own clients tap into the 
national bank of resources available through LINCS.
    (6) How the applicant will teach specific skills as well as an 
understanding of the power of the new technology and a desire for 
acquiring it and making it accessible to local literacy practitioners 
throughout the region, and ways of exploring the impact that it will 
have on teaching and learning methods.
    (7) How the applicant will determine the type and the level of the 
training, and designate adequate funding. [[Page 20606]] 
    (8) How the applicant will select training models (such as training 
trainers or workshops supplemented by peer coaching or modeling) that 
meet the needs of geographically dispersed staff at various levels of 
knowledge and skills, especially given rapid changes in technology.
    (9) How the applicant will achieve, at a minimum, the following 
outcomes in year 1:
    (a) Consortium member SLRCs' hardware and software are installed 
and functional.
    (b) A measurable training plan, which includes training staff of 
consortium member states, local sites, and other involved agencies in 
the use of the Regional hub, will be developed and implemented.

5. Efficiency and Economy

    a. Cost Effectiveness: The applicant must demonstrate how it will 
ensure--
    (1) The most efficient and cost-effective use of the funding,
    (2) Continuation of the project at end of the grant through 
securing additional funds to continue and expand the project.
    b. Time Line: The applicant's plan must contain a table or diagram 
with major tasks or milestones, including estimates of funds, time, 
training schedules, personnel, facilities and equipment allocated to 
each program area. The timing of progress and other reports, meetings, 
and similar events should be included.

6. Monitoring and Evaluation

    The applicant must provide a monitoring and evaluation plan that 
will demonstrate the effectiveness of the project in achieving the 
objectives of the grant, including--.
    a. A process for ongoing evaluation and acquiring on-line and off-
line input from users.
    b. How the applicant will measure and evaluate the impact of the 
project on--
    (1) The members of the consortium (their connectivity, access, data 
collection and organization),
    (2) The broader literacy community, especially other state agencies 
and local literacy service providers;
    c. How results of the evaluation will be confirmed and reported.

Other Application Requirements

    The application shall include the following:
    Project Summary: The proposal must contain a 200-word summary of 
the proposed project suitable for publication. It should not be an 
abstract of the proposal, but rather a self-contained description of 
the activities that would explain the proposal. The summary should be 
free of jargon and technical terminology, and should be understandable 
by an intelligent but non-specialist reader.
    Budget Proposal: ED Form 524 must be completed and submitted with 
each application. The form consists of Sections A, B, and C. On the 
back of the form are general instructions for completion of the budget. 
All applicants must complete Sections A and C. If Section B is 
completed, include the nature and source of non-federal funds. Attach 
as Section C a detailed explanation and amplification of each budget 
category. Included in the explanation should be a complete 
justification of costs in each category. Additional instructions 
include:
     Prepare a separate itemization and narrative for each of 
the SLRCs in the region in addition to submitting an itemized budget 
narrative for the project as a whole.
     Personnel items should include names (titles or position) 
of key staff, number of hours proposed and applicable hourly rates.
     Include the cost, purpose, and justification for travel, 
equipment, supplies, contractual and other. Training stipends are not 
authorized under this program.
     Clearly identify in all instances contributed costs and 
support from other sources, if any.
     Show budget detail for financial aspects of any cost-
sharing, joint or cooperative funding.
    Disclosure of Prior Institute Support: If any consortium member 
state has received Institute funding in the past 2 years, the following 
information on the prior awards is required:
     Institute award number, amount and period of support;
     A summary of the results of the completed work; and
     A brief description of available materials and other 
related research products not described elsewhere.
    If the applicant has received a prior award, the reviewers will be 
asked to comment on the quality of the prior work described in this 
section of the proposal.
    Current and Pending Support: All current project support from 
whatever source (such as Federal, State, or local government agencies, 
private foundations, commercial organizations) must be listed. The list 
must include the proposed project and all other projects requiring a 
portion of time of the Project Director and other project personnel, 
even if they receive no salary support from the project(s). The number 
of person-months or percentage of effort to be devoted to the projects 
must be stated, regardless of source of support. Similar information 
must be provided for all proposals that are being considered by or will 
be submitted soon to other sponsors.
    If the project now being submitted has been funded previously by 
another source, the information requested in the paragraph above should 
be furnished for the immediately preceding funding period. If the 
proposal is being submitted to other possible sponsors, all of them 
must be listed. Concurrent submission of a proposal to other 
organizations will not prejudice its review by the Institute.
    Any fee proposed to be paid to a collaborating or ``partner'' for-
profit entity should be indicated. (Fees will be negotiated by the 
Grants Officer.) Any copy-right, patent or royalty agreements (proposed 
or in effect) must be described in detail, so that the rights and 
responsibilities of each party are made clear. If any part of the 
project is to be subcontracted, a budget and work plan prepared and 
duly signed by the subcontractor must be submitted as part of the 
overall proposal and addressed in the narrative.

Instructions for Transmittal of Applications

    (a) To apply for a cooperative agreement--
    (1) Mail the original and ten (10) copies of the application on or 
before the deadline date of [60 days from publication], to: National 
Institute for Literacy, 800 Connecticut Avenue, NW., Suite 200, 
Washington, DC 20006, Attention: (CFDA #84.257F).
    (2) Hand deliver the application by 4:30 p.m. (Washington, DC time) 
on the deadline date to the address above.
    (b) An applicant must show one of the following as proof of 
mailing:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (c) If an application is mailed through the U.S. Postal Service, 
the Director does not accept either of the following as proof of 
mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.

    Notes: (1) The U.S. Postal Service does not uniformly provide a 
dated postmark. Before relying on this method, an applicant should 
check with the local post office.

    (2) The NIFL will mail a Grant Applicant Receipt Acknowledgment 
to each applicant. [[Page 20607]] If an applicant fails to receive 
the notification of application receipt within 15 days from the date 
of mailing the application, the applicant should call the NIFL at 
(202) 632-1500.
    (3) The applicant must indicate on the envelope and in Item 10 
of the application for Federal Assistance (Standard Form 424) the 
CFDA number of the competition under which the application is being 
submitted.

    Application Forms: The appendix to this announcement is divided 
into three parts plus a statement regarding estimated public reporting 
burden and various assurances and certifications. These parts and 
additional materials are organized in the same manner that the 
submitted application should be organized. The parts and additional 
materials are as follows:

Part I: Application for Federal Assistance (Standard Form 424 (Rev. 4-
88)) and instructions.
Part II: Budget Information--Non-Construction Programs (ED Form 524) 
and instructions.
Part III: Application Narrative.
Additional Materials:
    Estiamted Public Reporting Burden.
    Assurances--Non-Construction Programs (Standard Form 424B).

    Certification Regarding Lobbying; Debarment, Suspension, and other 
Responsibility Matters; and Drug-Free Workplace Requirements (ED 80-
0013).
    Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion: Lower Tier Covered Transactions (ED 80-0014, 9/90) 
and instructions.

    Note: ED 80-0014 is intended for the use of recipients and 
should not be transmitted to the NIFL.

    Disclosure of Lobbying Activities (Standard Form LLL) (if 
applicable) and instructions; and Disclosure of Lobbying Activities 
Continuation Sheet (Standard Form LLL-A).
    An applicant may submit information on a photostatic copy of the 
application and budget forms, the assurances and the certifications. 
However, the application form, the assurances, and certifications must 
each have an original signature. No award can be made unless a complete 
application has been received.
    Applicable Regulations: The National Institute for Literacy is 
subject to the rulemaking requirements of the Administrative Procedures 
Act (APA). Under the APA, as now codified in Title 5 of the United 
States Code, section 553, matters relating to public property, loans, 
grants, benefits, or contracts are not subject to the rulemaking 
requirement of that section. The National Institute for Literacy is now 
in the initial stages of establishing a new program recently authorized 
by Congress and must obligate funds under this authority by September 
30, 1995. The NIFL considered waiving this exemption to rulemaking 
requirements but determined that there was too little time to propose 
rules and offer applicants a reasonable amount of time to prepare 
applications for the award announced in this notice. Therefore, the 
National Institute for Literacy has adopted the following rules for the 
conduct of this competition and the resulting award.
    The following regulations of the Department of Education apply:

34 CFR part 74, Administration of Grants to Institutions of Higher 
Education, Hospitals, and Nonprofit Organizations. The following 
provisions of 34 CFR part 75: Secs. 75.50, 75.51, 75.102-75.104, 
75.109, 75.117, 75.109-75.192, 75.200, 75.201, 75.215.
34 CFR part 77, Definitions.
34 CFR part 80, Uniform Administrative Requirements for Grants and 
Cooperative Agreements to State and Local Governments.
34 CFR part 82, New Restrictions on Lobbying.
34 CFR 85, Government wide Debarment and Suspension (Non-procurement) 
and Government wide Requirements for Drug-Free Workplace (Grants).

    The selection criteria used for this competition are set out in 
this Notice. While the criteria are patterned on those used generally 
by the Department of Education, they have been adapted by the NIFL to 
meet the needs of this program.
    While the National Institute for Literacy is associated with the 
Departments of Education, Labor, and Health and Human Services, the 
policies and procedures regarding rulemaking and administration of 
grants are not adopted by the NIFL except as expressly stated in this 
Notice.
    Selection of Applications: The Director uses 34 CFR 75.217 in 
selecting an application for award.
    Grant Administration: The administration of the grant to the 
consortium is governed by the conditions of the award letter. The 
Education Department General Administration Regulations, (EDGAR) 34 CFR 
Parts 74, 75, 77, 79, 80, 81, 82, 85 and 86 (July 1, 1993), set forth 
administrative and other requirements. This document is available 
through your public library and the NIFL. It is recommended that 
appropriate administrative officials become familiar with the policies 
and procedures in the EDGAR which are applicable to this award. If a 
proposal is recommended for an award, the Grants official will request 
certain organizational, management, and financial information.
    The following information on grant administration dealing with 
questions such as General Requirement, Prior Approval Requirements, 
Transfer of Project Director, and Suspension or Termination of Award, 
are available in EDGAR.
    Reporting: In addition to working closely with the Institute, the 
applicant will be required to submit an annual report of activities. 
This annual report will be presented to the Institute staff, the 
National Institute Advisory Board and Interagency Group. Detailed 
specifications for the annual report will be provided to the consortium 
within 3 months after the award. For planning purposes, the applicant 
may assume that the following information will be provided:
     Project(s) Title
     Project Abstract
    A concise narrative describing in layman's language the subject 
purposes, methods, expected outcomes (including products), and 
significance of the project.
     Significant Products
    A list of significant holdings available for access associated with 
the consortium.
     Significant Accomplishments
    A past-tense abstract that describes the consortium's 
accomplishments, known uses of the holdings and evidence of positive 
impact.
    The grantee must also submit the following reports:
     Quarterly Performance
    A brief 2-3 page report of progress-- Due: Within 20 days of the 
end of each quarter.
     For the fourth quarter, no quarterly report is necessary.
    An annual report will suffice.
     Final Report
    Due: 90 days after the expiration of or termination of support.
    Acknowledgment of Support and Disclaimer: An acknowledgment of 
Institute support and a disclaimer must appear in publications of any 
material, whether copyrighted or not, based on or developed under 
Institute-supported projects:

    This material is based upon work supported by the National 
Institute for Literacy under Grant No. (grantee should enter 
Institute grant number).

    Except for articles or papers published in professional journals, 
the following disclaimer should be included:

    [[Page 20608]] Any opinion, findings, and conclusions or 
recommendations expressed in this material are those of the 
author(s) and do not necessarily reflect the views of the NIFL.

    Instructions for Estimated Public Reporting Burden: Under terms of 
the Paperwork Reduction Act of 1980, as amended, and the regulations 
implementing the Act, the National Institute for Literacy invites 
comment on the public reporting burden in this collection of 
information. Public reporting burden for this collection of information 
is estimated to average 30 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
disseminating the data needed, and completing and reviewing the 
collection of information. You may send comments regarding this burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden to the National 
Institute for Literacy, and the Office of Management and Budget, 
Paperwork Reduction Project, Washington, DC 20503.

(Information collection approved under OMB control number 3200 0029, 
Expiration date: October 1995).

    Program Authority: 20 U.S.C. 1213C.
Andrew J. Hartman,
Director, NIFL.
BILLING CODE 6055-01-M
[[Page 20609]]

Application Forms and Instructions

[GRAPHIC][TIFF OMITTED]TN26AP95.000



BILLING CODE 6055-01-C
[[Page 20610]]

Instructions for the SF 424

    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.

Item and Entry

    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State if 
applicable) & applicant's control number (if applicable).
    3. State use only (if applicable).
    4. If this application is to continue or revise an existing 
award, enter present Federal identifier number. If for a new 
project, leave blank.
    5. Legal name of applicant, name of primary organizational unit 
which will undertake the assistance activity, complete address of 
the applicant, and name and telephone number of the person to 
contact on matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate letter in the space provided.

--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's 
financial obligation or contingent liability from an existing 
obligation.

    9. Name of Federal agency from which assistance is being 
requested with this application.
    10. Use the Catalog of Federal Domestic Assistance number and 
title of the program under which assistance is requested.
    11. Enter a brief descriptive title of the project, if more than 
one program is involved, you should append an explanation on a 
separate sheet. If appropriate (e.g., construction or real property 
projects), attach a map showing project location. Federal 
preapplications, use a separate sheet to provide a summary 
description of this project.
    12. List only the largest political entities affected (e.g., 
State, counties, cities).
    13. Self-explanatory.
    14. List the applicant's Congressional District and any 
District(s) affected by the program or project.
    15. Amount requested or to be contributed during the first 
funding/budget period by each contributor. Value of in-kind 
contributions should be included on appropriate lines as applicable. 
If the action will result in a dollar change to an existing award, 
indicate only the amount of the change. For decreases, enclose the 
amounts in parentheses. I both basic and supplemental amounts are 
included, show breakdown on an attached sheet. For multiple program 
funding, use totals and show breakdown using same categories as item 
15.
    16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit disallowances, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application.

                                                 BILLING CODE 6055-01-M
[[Page 20611]]

[GRAPHIC][TIFF OMITTED]TN26AP95.001


[[Page 20612]]

[GRAPHIC][TIFF OMITTED]TN26AP95.002



BILLING CODE 6055-01-C
[[Page 20613]]

    Public reporting burden for this collection of information is 
estimated to vary from 13 to 22 hours per response, with an average 
of 17.5 hours, including the time for reviewing instructions, 
searching existing data sources, gathering and maintaining the data 
needed, and completing and reviewing the collection of information. 
Send comments regarding this burden estimate or any other aspect of 
this collection of information, including suggestions for reducing 
this burden, to the U.S. Department of Education, Information 
Management and Compliance Division, Washington, D.C. 20202-4651; and 
the Office of Management and Budget, Paperwork Reduction Project 
1875-0102, Washington, D.C. 20503.

Instructions for ED Form No. 524

General Instructions

    This form is used to apply to individual U.S. Department of 
Education discretionary grant programs. Unless directed otherwise, 
provide the same budget information for each year of the multi-
funding request. Pay attention to applicable program specific 
instructions, if attached.

Section A--Budget Summary--U.S. Department of Education Funds

    All applicants must complete Section A and provide a breakdown 
by the applicable budget categories shown in lines 1-11.
    Lines 1-11, columns (a)-(e): For each project year for which 
funding is requested, show the total amount requested for each 
applicable budget category.
    Lines 1-11, column (f): Show the multi-year total for each 
budget category. If funding is requested for only one project year, 
leave this column blank.
    Line 12, columns (a)-(e): Show the total budget request for each 
project year for which funding is requested.
    Line 12, column (f): Show the total amount requested for all 
project years. If funding is requested for only one year, leave this 
spare blank.

Section B--Budget Summary--Non-Federal Funds

    If you are required to provide or volunteer to provide matching 
funds or other non-Federal resources to the project, these should be 
shown for each applicable budget category on lines 1-11 of Section 
B.
    Lines 1-11, columns (a)-(e): For each project year for which 
matching funds or other contributions are provided, show the total 
contribution for each applicable budget category.
    Lines 1-11, column (f): Show the multi-year total for each 
budget category. If non-Federal contributions are provided for only 
one year, leave this column blank.
    Line 12, columns (a)-(e): Show the total matching or other 
contribution for each project year.
    Line 12, column (f): Show the total amount to be contributed for 
all years of the multi-year project. If non-Federal contributions 
are provided for only one year, leave this space blank.

Section C--Other Budget Information--Pay Attention to Applicable 
Program Specific Instructions, If Attached

    1. Provide an itemized budget breakdown, by project year, for 
each budget category listed in Sections A and B.
    2. If applicable to this program, enter the type of indirect 
rate (provisional, predetermined, final or fixed) that will be in 
effect during the funding period. In addition, enter the estimated 
amount of the base to which the rate is applied, and the total 
indirect expense.
    3. If applicable to this program, provide the rate and base on 
which fringe benefits are calculated.
    4. Provide other explanations or comments you deem necessary.

Assurances--Non-Construction Programs

    Note: Certain of these assurances may not be applicable to your 
project or program. If you have questions, please contact the 
awarding agency. Further, certain Federal awarding agencies may 
require applicants to certify to additional assurances. If such is 
the case, you will be notified.

    As the duly authorized representative of the applicant I certify 
that the applicant:
    1. Has the legal authority to apply for Federal assistance, and 
the institutional, managerial and financial capability (including 
funds sufficient to pay the non-Federal share of project costs) to 
ensure proper planning, management and completion of the project 
described in this application.
    2. Will give the awarding agency, the Comptroller General of the 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 616), as amended, relating to nondiscrimination on the basis 
of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the Public 
Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as 
amended, relating to confidentiality of alcohol and drug abuse 
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 
U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination 
in the sale, rental or financing of housing; (i) any other 
nondiscrimination provisions in the specific statute(s) under which 
application for Federal assistance is being made; and (j) the 
requirements of any other nondiscrimination statute(s) which may 
apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply with the provisions of the Hatch Act (5 U.S.C. 
Secs. 1501-1508 and 7324-7328) which limit the political activities 
of employees whose principal employment activities are funded in 
whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clear Air) Implementation Plans under Section 
176(c) [[Page 20614]] of the Clear Air Act of 1955, as amended (42 
U.S.C. Sec. 7401 et seq.); (g) protection of underground sources of 
drinking water under the Safe Drinking Water Act of 1974, as 
amended, (P.L. 93-523); and (h) protection of endangered species 
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

----------------------------------------------------------------------
Signature of Authorized Certifying Official

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Applicant Organization

----------------------------------------------------------------------
Date Submitted

Certifications Regarding Lobbying; Debarment, Suspension and Other 
Responsibility Matters; and Drug-Free Workplace Requirements

    Applicants should refer to the regulations cited below to 
determine the certification to which they are required to attest. 
Applicants should also review the instructions for certification 
included in the regulations before completing this form. Signature 
of this form provides for compliance with certification requirements 
under 34 CFR Part 82, ``New Restrictions on Lobbying,'' and 34 CFR 
Part 85, ``Government-wide Debarment and Suspension (Nonprocurement) 
and Government-wide Requirements for Drug-Free Workplace (Grants).'' 
The certifications shall be treated as a material representation of 
fact upon which reliance will be placed when the Department of 
Education determines to award the covered transaction, grant, or 
cooperative agreement.

1. Lobbying

    As required by Section 1352, Title 31 of the U.S. Code, and 
implemented at 34 CFR Part 82, for persons entering into a grant or 
cooperative agreement over $100,000, as defined at 34 CFR Part 82, 
Sections 82.105 and 82.110, the applicant certifies that:
    (a) No Federal appropriated funds have been paid or will be 
paid, by or on behalf of the undersigned, to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with the making of 
any Federal grant, the entering into of any cooperative agreement, 
and the extension, continuation, renewal, amendment, or modification 
of any Federal grant or cooperative agreement;
    (b) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with this Federal grant or 
cooperative agreement, the undersigned shall complete and submit 
Standard Form--LLL, ``Disclosure Form to Report Lobbying,'' in 
accordance with its instructions;
    (c) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards 
at all tiers (including subgrants, contracts under grants and 
cooperative agreements, and subcontracts) and that all subrecipients 
shall certify and disclose accordingly.

2. Debarment, Suspension, and Other Responsibility Matters

    As required by Executive Order 12549, Debarment and Suspension, 
and implemented at 34 CFR Part 85, for prospective participants in 
primary covered transactions, as defined at 34 CFR Part 85, Sections 
85.105 and 85.110--
    A. The applicant certifies that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal department or agency;
    (b) Have not within a three-year period preceding this 
application been convicted of or had a civil judgment rendered 
against them for commission of fraud or a criminal offense in 
connection with obtaining, attempting to obtain, or performing a 
public (Federal, State, or local) transaction or contract under a 
public transaction; violation of Federal or State antitrust statutes 
or commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, or 
receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a government entity (Federal, State, or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification; and
    (d) Have not within a three-year period preceding this 
application had one or more public transactions (Federal, State, or 
local) terminated for cause or default; and
    B. Where the applicant is unable to certify to any of the 
statements in this certification, he or she shall attach an 
explanation to this application.
    3. Drug-Free Workplace (Grantees Other Than Individuals)
    As required by the Drug-Free Workplace Act 1988, and implemented 
at 34 CFR Part 85, Subpart F, for grantees, as defined at 34 CFR 
Part 85, Sections 85.605 and 85.610--
    A. The applicant certifies that it will or will continue to 
provide a drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an on-going drug-free awareness program to 
inform employees about--
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will--
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for 
a violation of a criminal drug statute occurring in the workplace no 
later than five calendar days after such conviction;
    (e) Notifying the agency, in writing, within 10 calendar days 
after receiving notice under subparagraph (d)(2) from an employee or 
otherwise receiving actual notice of such conviction. Employers or 
convicted employees must provide notice, including position title, 
to: Director, Grants and Contracts Service, U.S. Department of 
Education, 400 Maryland Avenue, S.W. (Room 3124, GSA Regional Office 
Building No. 3), Washington, DC 20202-4571. Notice shall include the 
identification number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under subparagraph (d)(2), with respect to any 
employee who is so convicted--
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or [[Page 20615]] rehabilitation program 
approved for such purposes by a Federal, State, or local health, law 
enforcement, or other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e), and (f).
    B. The grantee may insert in the space provided below the 
site(s) for the performance of work done in connection with the 
specific grant:
Place of Performance (Street address, city, county, state, zip 
code).

----------------------------------------------------------------------
----------------------------------------------------------------------
----------------------------------------------------------------------

Check {time}  if there are workplaces on file that are not 
identified here.

Drug-Free Workplace (Grantees Who Are Individuals)

    As required by the Drug-Free Workplace Act of 1988, and 
implemented at 34 CFR Part 85, Subpart F, for grantees, as defined 
at 34 CFR Part 85, Sections 85.605 and 85.610--
    A. As a condition of the grant, I certify that I will not engage 
in the unlawful manufacture, distribution, dispensing, possession, 
or use of a controlled substance in conducting any activity with the 
grant; and
    B. If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, I will 
report the conviction, in writing, within 10 calendar days of the 
conviction, to: Director, Grants and Contracts Service, U.S. 
Department of Education, 400 Maryland Avenue, S.W. (Room 3124, GSA 
Regional Office Building No. 3), Washington, DC 20202-4571. Notice 
shall include the identification number(s) of each affected grant.
    As the duly authorized representative of the applicant, I hereby 
certify that the applicant will comply with the above 
certifications.
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Name of Applicant

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PR/Award Number and/or Project Name

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Printed Name and Title of Authorized Representative

----------------------------------------------------------------------
Signature

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Date
                                                 BILLING CODE 6055-01-M
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[GRAPHIC][TIFF OMITTED]TN26AP95.003



BILLING CODE 6055-01-C
[[Page 20617]]

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

    This certification is required by the Department of Education 
regulations implementing Executive Order 12549, Debarment and 
Suspension, 34 CFR Part 85, for all lower tier transactions meeting 
the threshold and tier requirements stated at Section 85.110.

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
lower tier participant is providing the certification set out below.
    2. The certification in this clause is a material representation 
of fact upon which reliance was placed when this transaction was 
entered into. If it is later determined that the prospective lower 
tier participant knowingly rendered an erroneous certification, in 
addition to other remedies available to the Federal Government, the 
department or agency with which this transaction originated may 
pursue available remedies, including suspension and/or debarment.
    3. The prospective lower tier participant shall provide 
immediate written notice to the person to which this proposal is 
submitted if at any time the prospective lower tier participant 
learns that its certification was erroneous when submitted or has 
become erroneous by reason of changed circumstances.
    4. The terms ``covered transaction,'' ``debarred,'' 
``suspended,'' ``ineligible,'' ``lower tier covered transaction,'' 
``participant,'' ``person,'' ``primary covered transaction,'' 
``principal,'' ``proposal,'' and ``voluntarily excluded,'' as used 
in this clause, have the meanings set out in the Definitions and 
Coverage sections of rules implementing Executive Order 12549. You 
may contact the person to which this proposal is submitted for 
assistance in obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting 
this proposal that, should the proposed covered transaction be 
entered into, it shall not knowingly enter into any lower tier 
covered transaction with a person who is debarred, suspended, 
declared ineligible, or voluntarily excluded from participation in 
this covered transaction, unless authorized by the department or 
agency with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include the clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility, and 
Voluntary Exclusion--Lower Tier Covered Transactions,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    7. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not debarred, suspended, ineligible, or 
voluntarily excluded from the covered transaction, unless it knows 
that the certification is erroneous. A participant may decide the 
method and frequency by which it determines the eligibility of its 
principals. Each participant may, but is not required to, check the 
Nonprocurement List.
    8. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participant is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    9. Except for transactions authorized under paragraph 5 of these 
instructions, if a participant in a covered transaction knowingly 
enters into a lower tier covered transaction with a person who is 
suspended, debarred, ineligible, or voluntarily excluded from 
participation in this transaction, in addition to other remedies 
available to the Federal Government, the department or agency with 
which this transaction originated may pursue available remedies, 
including suspension and/or debarment.

Certification

    (1) The prospective lower tier participant certifies, by 
submission of this proposal, that neither it nor its principals are 
presently debarred, suspended, proposed for debarment, declared 
ineligible, or voluntarily excluded from participation in this 
transaction by any Federal department or agency.
    (2) Where the prospective lower tier participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.
----------------------------------------------------------------------
Name of Applicant

----------------------------------------------------------------------
PR/Award Number and /or Project Name

----------------------------------------------------------------------
Printed Name and Title of Authorized Representative

----------------------------------------------------------------------
Signature

----------------------------------------------------------------------
Date

[FR Doc. 95-9829 Filed 4-25-95; 8:45 am]
BILLING CODE 6055-01-M