[Federal Register Volume 60, Number 133 (Wednesday, July 12, 1995)]
[Notices]
[Pages 35949-35963]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-17072]



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NATIONAL INSTITUTE FOR LITERACY

[CFDA No. 84-257H]


Adult Learning System Reform and Improvement Planning Grant 
Application for Planning Grant Awards to Launch a Collaborative, 
Grassroots Process of System Reform and Improvement for Adult Literacy 
and Basic Skills Instruction

AGENCY: The National Institute for Literacy.

ACTION: Notice.

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SUMMARY: The National Institute for Literacy invites applications for 
grant awards to support a collaborative, grassroots planning process 
focused on the development of content standards that address what 
adults need to know and be able to do to fulfill their roles as 
parents, citizens, and workers. These planning grants are the first 
stage of a multi-year initiative whose ultimate goal is to reform and 
improve America's adult learning system in order to enhance progress 
toward National Education Goal 6.

DATE: Applications must be received by 4:30 PM, August 21, 1995.

NOTE TO APPLICANTS: This notice is a complete application package. 
Together with the NIFL document Equipped for Change and 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.

FOR FURTHER INFORMATION CONTACT:
Sondra Stein, National Institute for Literacy, 800 Connecticut Avenue, 
NW., Suite 200, Washington, DC 20006. Telephone: 202-632-1508; FAX: 
202-632-1512.

SUPPLEMENTARY INFORMATION: 
    Definitions: For purposes of this announcement the following 
definitions apply:
    ``Literacy'' is 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).
    ``Adult Literacy System,'' or ``system,'' means all individuals, 
programs, and organizations that are involved, directly and indirectly, 
in the delivery of literacy and basic skills services to adults. This 
includes, but is not limited to, people and groups involved in literacy 
policymaking, research and development, technical assistance, and 
service delivery.
    ``Adult Roles'' mean the following three major arenas of adult life 
and the obligations that pertain to each:
     Parent/family member.
     Citizen.
     Worker.
    ``Constituencies'' are state or local programs or agencies that are 
part of the applicant's service delivery system.
    ``Content Standards'' are specific descriptions of the knowledge 
and skills that students should learn and be taught.

    According to Shirley Malcom's Promises to Keep, Report to the 
National Education Goals Panel: November 15, 1993, content standards 
``indicate the knowledge and skills--the ways of thinking, working, 
communicating, reasoning and investigating, and the most enduring 
ideas, concepts, issues, dilemmas and knowledge essential to the 
discipline--that should be taught and learned in school. They help 
develop the work and learning habits essential to success in the 
world outside school: the ability to study well, think logically, 
draw inferences, support assertions with evidence, and apply what is 
known to a new situation.''

    ``Curriculum Framework'' means a system, generally built on content 
and performance standards, that specifies the knowledge, skills, and 
understanding that students are to develop or acquire in a given 
subject area at a given grade or level of school.
    ``Performance Standards'' are benchmarks for determining whether a 
student meets content standards at acceptable levels.

    Performance standards, indicate both the nature of the evidence 
required to demonstrate that the content standard has been met * * * 
and the quality of student performance that will be deemed 
acceptable * * * (Malcom, Promises to Keep).

    ``Purposes for Literacy,'' based on NIFL's survey of adult 
learners, mean the following four general purposes that literacy serves 
in helping adults fulfill their roles:
     Providing access to information so adults can orient 
themselves in the world.
     Enabling adults to give voice to their ideas and have an 
impact on the world around them.
     Enabling adults to make decisions and act independently, 
without needing to rely on others.
     Building a bridge to the future by laying a foundation for 
continued learning, so adults can keep up with the world as it changes.
    ``Stakeholders'' are individuals, organizations, and institutions 
that are not part of the applicant's service delivery system but that 
have a stake in literacy.

BACKGROUND: The National Institute for Literacy (NIFL), was created by 
the National Literacy Act of 1991 to provide a national focal point for 
literacy activities and to facilitate the pooling of ideas and 
expertise across a fragmented field. NIFL is authorized to carry out a 
wide range of activities that will improve and expand the system for 
delivery of literacy services nationwide.
    All of NIFL's activities are intended to accelerate progress toward 
National Education Goal 6, the goal for adult literacy and lifelong 
learning. Goal 6 states that: By the year 2000 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 

[[Page 35950]]
responsibilities of citizenship. A critical aspect of NIFL's work is to 
measure the nation's progress toward this Goal.
    Over the past two years the NIFL has been involved in a joint 
effort with the National Education Goals Panel aimed at developing a 
functional definition of Goal 6 that can guide the improvement of 
literacy services as well as the measurement of success. As part of 
this joint effort, the NIFL turned to adult learners across the 
country, soliciting, collating, and analyzing responses to the 
question: ``What skills and knowledge do adults need to be literate, to 
compete in a global economy and to exercise the rights and 
responsibilities of citizenship?''
    In their writings, respondents identified their roles as parents 
and family members as an important part of their roles as citizens and 
workers. In discussing the knowledge and skills necessary to be 
successful in these three primary roles, adults pointed us to four 
fundamental purposes literacy fulfills in their lives:
     Providing access to information so they can orient 
themselves in the world.
     Enabling them to give voice to their ideas and have an 
impact on the world around them.
     Enabling them to make decisions and act independently, 
without needing to rely on others.
     Laying a foundation for continued learning, so they can 
keep up with the world as it changes.
    In essence, adults told us that in order to attain Goal 6, every 
adult needs the knowledge and skills to accomplish these four purposes 
in the context of their roles as parents, citizens and workers. (These 
four purposes are described more fully, with examples from adults' 
writings, in the NIFL publication Equipped for the Future.) If Goal 6 
were rephrased to reflect these learner purposes it might read: By the 
year 2000 every adult will be literate and will possess the knowledge 
and skills necessary to orient themselves in a rapidly changing world, 
to voice their ideas and be heard, and to act independently as a 
parent, a citizen and a worker, for the good of family, community, and 
nation.
    The National Institute for Literacy has determined to use this 
customer-driven definition of Goal 6 as a starting point for improving 
and enhancing the adult literacy system to accelerate progress toward 
this Goal. In shaping the course of this initiative, the Institute has 
taken into account the following related national initiatives focused 
on outcomes and accountability:
    1. Several national efforts in the K-12 system, either underway or 
completed, identify content standards--criteria for what students 
should know and be able to do--in specific curriculum areas such as 
math, history, and geography. In addition, several states have 
established or are establishing curriculum frameworks that build on 
these national content standards and define more specifically what 
skills and knowledge students are expected to master.
    2. Equally pertinent to this project, the Departments of Labor and 
Education are working with partnerships of business, labor, and other 
private organizations to develop ``skills standards''--criteria for 
skills that are necessary to perform effectively and productively in 
particular occupational fields, such as the electronics industry or the 
allied health field.
    Every partnership engaged in defining the skill standards for an 
occupational field, or ``cluster,'' has confronted the same reality: 
there is no consensus on what basic skills, knowledge, and abilities 
constitute a foundation for more technical skills. In other words, 
there are no commonly accepted standards for adult literacy and basic 
skills and, consequently, no supplier system that can assure employers 
that their workers develop this foundation.
    3. At the same time, there has been increasing interest at the 
state and national policy level in focusing adult literacy and basic 
skills education on ``real world'' outcomes--the changes that occur in 
adults' lives when they acquire the skills, knowledge and abilities 
they need to fulfill their roles and responsibilities as parents, 
citizens, and workers.
    This emphasis on outcomes has already gained considerable support 
in family and workplace literacy programs, where instruction focuses 
explicitly on enabling adults to be more effective parents or more 
flexible workers. In addition, several states, some of them working 
within the framework of NIFL's state capacity-building initiatives, 
have begun to shift the focus of measurement and reporting for adult 
education from inputs (such as number of class hours attended) to 
outcomes related to broader state policy goals (such as decreased 
poverty, welfare dependence and unemployment; increased community 
involvement and citizen activism; and more children starting school 
ready to learn).
    In proposals to improve the effectiveness of the national adult 
education and training system, both the Congress and the Administration 
have also focused on real world outcomes. Various legislative proposals 
introduced in the Congress to authorize adult education and literacy 
services require states to--
     Establish program goals related to work, family, and 
community outcomes,
     Set performance standards or benchmarks for such goals, 
and
     Use information generated in response to these standards 
to monitor and improve program outcomes.
    These proposals reflect the growing influence of a broader movement 
in both public and private sectors toward continuous improvement, where 
organizations and work units are held accountable for achieving desired 
results and given greater flexibility in how they achieve those 
results.
    Given this background, the NIFL proposes to support activities for 
reform and improvement of the adult literacy system that emphasize 
real-world outcomes, accountability for achieving those outcomes, and 
continuous improvement of programs and systems.

PURPOSE OF PROGRAM: The purpose of this planning grant program is to 
launch a multi-year initiative to strengthen the capacity of adult 
literacy programs to achieve and measure learner outcomes. This 
initiative will focus on: (a) defining what adults need to know and be 
able to do to fulfill their roles as parents, citizens and workers; (b) 
investigating the most effective ways to help adults attain those 
skills and knowledge; and (c) developing and refining approaches to 
learner assessment and program evaluation that are congruent with this 
focus on achieving real-world outcomes.
    Grantees will use these one year planning grants to launch a 
collaborative, grass roots process of system reform and improvement, 
beginning with the development of content standards for adult literacy 
and basic skills. Content standards will be the first major step toward 
improving the effectiveness of the adult literacy system in helping 
adults fulfill their roles as parents, citizens, and workers. The 
entire initiative is intended to enhance our ability as a nation to 
achieve Goal 6 of the National Education Goals.
    Grantees will have the opportunity to--
    (1) work with the Institute, the National Education Goals Panel, 
and each other to develop a common framework for system reform and to 
facilitate broad sharing of information and results.
    (2) compete for funding, as available, to continue the process of 
system reform in the next stage of NIFL's multi-year initiative. The 
NIFL expects to be able to fund no more than 3 or 4 system 
implementation grants in year 2. 

[[Page 35951]]
Awards for these grants will be open to Year 1 grantees and other 
applicants who have undertaken a comparable planning process without 
NIFL funding.
    The NIFL believes that the development of content standards based 
on the three primary adult roles and the four adult learner-defined 
purposes for literacy will lay the foundation for a nationwide effort 
to assure that our adult learning system enables adults to develop the 
skills, knowledge, and abilities they need to fulfill their roles as 
parents, citizens and workers. Once we can specify what adults need to 
know and be able to do to fulfill their roles, we can--
    (1) reshape learning activities and literacy programs to facilitate 
development of those skills, knowledge and abilities;
    (2) assess adult progress and achievement, and
    (3) evaluate the strengths and weaknesses of programs in achieving 
these outcomes in a process of continuous improvement.

ELIGIBLE APPLICANTS: Applications will be accepted from--
    1. Individual public and private not-for-profit organizations and 
agencies that represent key literacy consumer, practitioner, provider, 
administrator, and funder constituencies; and
    2. Consortia of such organizations and agencies operating at a 
state, regional (multi-state), or national level. While such consortia 
may include for-profit corporations and institutions, especially those 
that represent employers of adults, no grant will be made for a for-
profit organization.

    Deadline for Transmittal of Applications: August 21, 1995.
    Available Funds: $500,000.
    Estimated Number of Awards: Up to 10.
    Estimated Amount of Each Award: up to $50,000.
    Project Period: 12 months.

Description of Program:

    a. An organization or consortium of organizations receiving a 
planning grant under this program shall launch a comprehensive, 
collaborative, grassroots process for system reform and improvement, 
beginning with the development of content standards for adult literacy 
and basics skills.
    b. These planning grants will be the first stage of a multi-year 
initiative to reform and improve practices in the adult literacy system 
in order to enhance national progress toward Goal 6.
    c. In applying for a planning grant, an applicant's collaborative 
planning process for system reform must begin with the development of 
content standards that--
    1. Address one or more of the three critical adult roles--parent, 
citizen, and worker;
    2. Use the four adult learner-defined purposes as a framework;
    3. Focus on--
    (a) either Adult Basic Education/Adult Second Education or English 
as a Second Language; or
    (b) a particular content area, such as math.
    4. draw on knowledge of and establish linkages with already 
existing standards or curriculum frameworks from K-12 and school-to-
work, and occupational skills standards, including SCANS, Dictionary of 
Occupational Titles (DOT), National Council of Teachers of Mathematics 
(NCTM)
    f. During the grant period, which will run from October 1, 1995 to 
September 30, 1996, grantees will engage in the following activities--
    1. Participate in a two-day national meeting to be held no later 
than November 22, 1995 to establish a common national framework for the 
program.
    2. Conduct and document a minimum of five, day-long focus groups 
and other appropriate information-gathering events that engage 
representatives of grantee's constituencies and other literacy 
stakeholders in discussing the adult role(s) to be focused on in 
developing content standards and how to use the four purposes as a 
framework for specifying--
    (a) What is taught and how it is taught,
    (b) How to define and measure learner progress, and
    (c) How to define and evaluate program quality.
    3. Establish a broad-based Working Group, including at least one 
representative from each focus group and representatives of other key 
literacy stakeholders to develop a long-range plan for system reform 
that builds on focus group results and includes, at a minimum, 
strategies for--
    (a) Developing, validating, and refining content standards for 
meeting the four customer-defined literacy purposes in one or more of 
the adult roles:
    (1) Parent/family;
    (2) Citizen/involvement in community;
    (3) Worker/workforce mobility;
    (b) developing and implementing valid and reliable methods for 
assessing mastery (level of acquisition sufficient to achieve desired 
real-world outcomes) of the skills, knowledge and abilities specified 
in the content standards. Assessment methods must--
    (1) Involve multiple measures of student performance;
    (2) Provide for participation of students with diverse learning 
needs;
    (3) Be consistent with relevant, nationally recognized professional 
and technical standards for such assessments; and
    (4) Be capable of providing coherent information about student 
performance relative to the proposed content standards;
    (c) Determining the most effective ways to help adults develop or 
acquire the critical knowledge, skills, and abilities, including--
    (1) Key learning tasks;
    (2) The kind of teacher/student and student/student discourse to 
encourage; and
    (3) The kinds of tools and materials to be developed.
    (d) Developing performance standards that gauge a program's 
effectiveness in enabling adults to accomplish the four purposes and 
fulfill their roles, and
    (e) Defining new quality standards for programs related to the 
performance standards.
    4. By July 15, 1996, submit the following products to NIFL:
    (a) Documentation of focus group results (see item 2 above); and
    (b) the long-range plan for system reform (see item 3 above).
    These products will be used to support the grantee's competitive 
application for a multi-year implementation grant.
    5. In late April 1996, participate in a three-day meeting to share 
progress to date with other grantees and the NIFL, and to make 
recommendations for funding priorities for implementation grants.
    6. Maintain regular e-mail and other contact with other grantees 
throughout the grant period, in order to maximize sharing of 
information and minimize duplication of effort.

Project Narrative

    The applicant's project narrative must include detailed 
descriptions of--
    (1) the applicant organziation(s) in terms of the experience and 
capabilities that qualify the applicant to--
    (a) Lead a broad-based collaborative planning process for system 
reform and improvement that begins with the development of content 
standards;
    (b) Lead a subsequent implementation process;
    (c) Effect systemic change for literacy and basic skills.
    (2) The constituencies and stakeholders to be involved in the 
project and how they will be involved;

[[Page 35952]]

    (3) The applicant's purpose for participating in this project, 
including goals, objectives, and expected impact on the applicant's 
system.
    (4) The applicant's overall project design, as outlined in the 
Description of Program above.
    (a) Explain how the design reflects unique features of the 
applicant's service delivery system(s) and
    (b) Assure that all constituencies and other literacy stakeholders 
(including learners, other system customers, practitioners, 
administrators, funders, and policymakers) have opportunities to 
participate in a meaningful way in the process and are well-prepared to 
participate in the process, including having opportunities to read, 
discuss and reflect on the information presented in Equipped for the 
Future;
    (50 The applicant's plan of operation, including:
    (a) A description and timeline of activities to be conducted;
    (b) A description of key personnel, qualifications, roles and 
affiliations;
    (c) How the applicant will assure investment of all constituencies 
in the process and its products;
    (d) How key decisions will be made throughout the course of the 
project to assure that the project has maximal impact on the quality of 
the adult literacy and basic skills system, including how 
constituencies and stakeholders will be involved in decision-making, 
and in validation of the Working Group's products;
    (e) A description of how funds will be used to assure broad 
participation of all constituencies in development of the content 
standards and system improvement plan.
    (6) Describe the process for documenting, monitoring and evaluating 
the project processes and results.
    Selection Criteria: In evaluating applications for a grant under 
this competition, the Director uses the following selection criteria:
    (1) Capability and Commitment (25 points): The Director reviews 
each application to determine the capability of the applicant to 
achieve the goals of this project, including:
    (a) The applicant's ability to secure the commitment and full 
participation of constituencies and other literacy stakeholders in the 
project:
    (b) The extent to which the applicant demonstrates knowledge of and 
linkages to previous and current national, regional, or state efforts 
to--
    (i) Develop content standards in areas related to adult literacy 
and basic skills and
    (ii) Improve the ability of adult literacy programs to meet the 
needs of adult learners.
    (c) The extent to which the applicant demonstrates knowledge of and 
experience in successfully managing grassroots consensus building 
processes;
    (d) The explicit and documented commitment of constituencies and 
other stakeholder organizations to participate in information-gathering 
events and the Working Group;
    (e) The applicant's explicit and documented commitment to 
participate in two national meetings referenced above and any other 
national activities relating to the conduct of the grant.
    (2) Plan of Operation (45 points): Quality of the plan for creating 
multi-year system improvement plan including:
    (a) The extent to which the applicant states clear goals and 
objectives for the project in terms of impacts on the quality of the 
delivery system;
    (b) The quality of the plan for assuring meaningful participation 
of key constituencies, including:
    (i) Adult learners;
    (ii) Full and part-time teachers and tutors, including volunteers;
    (iii) Program administrators;
    (iv) Representatives of public and private agencies that fund adult 
literacy;
    (v) Members of organizations and institutions, including schools 
and employers, with a stake in the performance of adults as parents, 
citizens and workers;
    (vi) Public officials;
    (vii) Members of organizations involved in provision of staff 
development and technical assistance;
    (c) Quality of the process for developing a system-improvement 
plan, including the extent to which plan provides for broad 
participation in standards development.
    (3) Project Management Plan, Including Qualifications of Key 
Personnel (25 points): The Director reviews each application to 
determine the quality of the management plan, including:
    (a) The soundness of the plan for forming and operating a Working 
Group to carry out the project, including provisions for membership; 
duties; responsibilities, term of service.
    (b) The soundness of the timeline for undertaking key project tasks 
and accomplishing them by set dates;
    (c) The quality of the qualifications and job description developed 
for the project director, including--
    (i) The soundness of provisions for how the project director will 
relate to the Working Group;
    (ii) If a candidate for project director has been selected, the 
quality of the candidate's resume,
    (iii) If a candidate for project director has not been selected, 
the applicant's provisions for selecting and hiring a candidate within 
a month of receiving the grant award.
    (d) The quality of provisions for documenting the systems 
improvement plan development process; and
    (e) The soundness of provisions for monitoring the systems 
improvement plan development process in terms of--
    (i) The inclusiveness of the process, and
    (ii) The quality of the results;
    (4) Budget and Cost effectiveness (5 points): The Director reviews 
each application to determine the extent to which:
    (a) The budget is adequate to support grant activities;
    (b) Costs are reasonable in relation to the objectives of the 
project;
    (c) The budgets for any subcontracts are detailed and appropriate; 
and
    (d) The budget details any resources, cash or in-kind, that the 
applicant or others will provide to the project in addition to grant 
funds.
    Other Applications Requirements: The application shall include the 
following:
    Project Summary: The proposal must contain a brief summary of the 
proposed project suitable for publication. It should not be an abstract 
of the application, but rather a self-contained description of the 
activities that would explain the proposal. The summary must include 
the following information:
    a. Name of applicant organization
    b. Description of literacy constituency represented by the 
applicant:
    1. State:
    2. Region:
    3. Type of program:
    c. Adult role(s) to be addressed in plan:
    1. Parent/family.
    2. Citizen.
    3. Worker.
    d. Type of instruction to be addressed in plan:
    1. ABE.
    2. ESL.
    3. Other.
    Project Description: This description should not exceed twenty (20) 
single-spaced pages, or forty (40) double-spaced pages. The description 
may be amplified by material in attachments and appendices, but the 
body should stand alone to give a complete picture of the project. 
Applications which exceed 20 single-spaced pages or 40 double-spaced 
pages will not be reviewed.

[[Page 35953]]

    Summary Proposal Budget: The proposal must contain a budget for 
support requested. The budget format may be reproduced as needed. 
Facsimiles may be used, but do not make substitutions in prescribed 
budget categories. Additional pages for budget explanation and 
amplification should be attached and must be consistent with the data 
and categories on the form. All budget requests must be documented and 
justified.
    Budget Proposal: The budget proposal should be BOUND IN A SEPARATE 
DOCUMENT. Personnel items should include the names (or position titles) 
of key staff, number of hours, and applicable hourly rates. Discussion 
of equipment, supplies, and travel should include both the cost and the 
purpose and justification. Budgets should include all applicant's costs 
and should identify contributed costs, and support from other sources, 
if any. Sources of support should be clearly identified in all 
instances. The financial aspects of any cost sharing and joint or 
cooperative funding by members of a consortium formed for purposes of 
the application should be shown in a detailed budget for each party. 
These budgets should reflect the arrangements among the parties, and 
should show exactly what cost-sharing is proposed for each budget item.
    Disclosure of Prior Institute Support: If any subcontractor, 
partner, consortium member, or organization 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 application.
    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 copyright, 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 application and addressed in the narrative.

Instructions for Transmittal of Applications:

    (1) To apply for a standards planning grand--
    (a) Mail the original and ten (10) copies of the application on or 
before deadline date of August 21, 1995, to: National Institute for 
Literacy, 800 Connecticut Avenue, NW, Suite 200, Washington, DC 20006, 
Attention: (CFDA #84.257H).
    (b) Hand deliver the application by 4:30 p.m. (Washington, DC time) 
on the deadline date to the address above.
    (2) An applicant must show one of the following as proof of 
mailing:
    (a) A legibly dated US. Postal Service postmark.
    (b) A legible mail receipt with the date of mailing stamped by the 
US. Postal Service.
    (c) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (3) If an application is mailed through the US. Postal Service, the 
Director does not accept either of the following as proof of mailing:
    (a) A private metered postmark.
    (b) 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 National Institute for Literacy will mail a Grant Applicant 
Receipt Acknowledgment 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 National 
Institute for Literacy 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 (Standard 
Form 424A) and instructions.
    Part III: Application Narrative.
    Additional Materials:
    Estimated Public Reporting Burden.
    Assurances--Non-Construction Programs (Standard Form 424B).
    Certification Regarding Lobbying; Debasement, Suspension, and other 
Responsibility Matters; and Drug-Free Workplace Requirements (ED 90-
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 National Institute for Literacy.

    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 Photostat 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 
completed application has been received.
    Grant Administration: The administration of the grant is governed 
by the conditions of the award letter. The Education Department General 
Administrative 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 National Institute for Literacy. It is recommended that 
appropriate administrative officials 

[[Page 35954]]
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 Officer will request certain organizational, management, and 
financial information.
    The following information on grant administration dealing with 
questions such as General Requirements, Prior Approval Requirements, 
Transfer of Project Director, and Suspension or termination of Award, 
should be referred to the Grants Officer.
    Reporting: In addition to working closely with the Institute, the 
applicant will be required to submit a quarterly report of activities, 
a documentation report and a system(s) reform or improvement plan as 
described in the DESCRIPTION OF PROGRAMS above. Both the documentation 
report and the improvement plan are due at the Institute on July 15, 
1996.
    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 NIFL-
supported projects:
    ``This material is based upon work supported by the National 
Institute for Literacy under Grant No. (Grantee should enter NIFL grant 
number).''
    Except for articles of papers published in professional journals, 
the following disclaimer should be included:
    ``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 National Institute for Literacy.''
    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 40 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 3200-0031, 
Expiration date: July 1998).

    Program Authority: 20 U.S.C. 1213c

    Dated: July 7, 1996.
Andrew J. Hartman,
Director, National Institute for Literacy.
Program Timetable

    The NIFL has developed the following timetable for the project:

August 21, 1995..................  Applications submitted.              
September 30, 1995...............  NIFL awards 10 grants to state,      
                                    regional or national organizations  
                                    or consortia to participate in the  
                                    standards project.                  
November 1995....................  Grantees meet in Washington to       
                                    establish a common framework for the
                                    project.                            
Oct. 1995-Sept. 30, 1996.........  Grant recipients carry out grant     
                                    activities.                         
April 1996.......................  Grant recipients meet with National  
                                    Policy Board to share progress to   
                                    date and to set priorities for next 
                                    steps.                              
July 15, 1996....................  Grant recipients submit documentation
                                    reports and long term improvement   
                                    plan for competitive funding.       
Aug.-Sept. 1996..................  Interested representatives of        
                                    planning grant projects meet to     
                                    shape national framework based on   
                                    year 1 results.                     
September 15, 1996...............  Implementation grants awarded.       
November 1996....................  NIFL publishes results of year one   
                                    projects for broad comment and      
                                    review.                             
                                                                        


BILLING CODE 6055-01-M

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BILLING CODE 6055-01-C

[[Page 35956]]


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).
    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 person to contact on 
matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate box and enter appropriate letter(s) in the 
space(s) provided:

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

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

BILLING CODE 6055-01-M

[[Page 35957]]
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[[Page 35958]]
[GRAPHIC][TIFF OMITTED]TN12JY95.006


      

BILLING CODE 6055-01-C

[[Page 35959]]


Instructions for the SF-424A

General Instructions

    This form is designed so that application can be made for funds 
from one or more grant programs. In preparing the budget, adhere to 
any existing Federal grantor agency guidelines which prescribe how 
and whether budgeted amounts should be separately shown for 
different functions or activities within the program. For some 
programs, grantor agencies may require budgets to be separately 
shown by function or activity. For other programs, grantor agencies 
may require a breakdown by function or activity. Sections A, B, C, 
and D should include budget estimates for the whole project except 
when applying for assistance which requires Federal authorization in 
annual or other funding period increments. In the latter case, 
Sections A, B, C, and D should provide the budget for the first 
budget period (usually a year) and Section E should present the need 
for Federal assistance in the subsequent budget periods. All 
applications should contain a breakdown by the object class 
categories shown in Lines a-k of Section B.

Section A. Budget Summary

Lines 1-4, Columns (a) and (b)

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the catalog program title and the catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple functions or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number of each line in 
Column (b).
    For applications pertaining to multiple programs where one or 
more programs require a breakdown by function or activity, prepare a 
separate sheet for each program requiring the breakdown. Additional 
sheets should be used when one form does not provide adequate space 
for all breakdown of data required. However, when more than one 
sheet is used, the first page should provide the summary totals by 
programs.

Lines 1-4, Columns (c) through (g).

    For new applications, leave Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).

Lines 1-4, Columns (c) through (g) (continued)

    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in Columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in Column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).

Line 5--Show the totals for all columns used.

Section B Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.
    Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
    Line 6j--Show the amount of indirect cost.
    Line 6k--Enter the total of amounts on Line 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do not add or subtract this 
amount from the total project amount. Show under the program 
narrative statement the nature and source of income. The estimated 
amount of program income may be considered by the federal grantor 
agency in determining the total amount of the grant.

Section C. Non-Federal-Resources

    Lines 8-11--Enter amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals of Columns (b), (c), and (d).
    Line 12--Enter the total for each of Columns (b)-(e). The amount 
in Column (e) should be equal to the amount on Line 5, Column (f), 
Section A.

Section D. Forecasted Cash Needs

    Line 13--Enter the amount of cash needed by quarter from the 
grantor agency during the first year.
    Line 14--Enter the amount of cash from all other sources needed 
by quarter during the first year.
    Line 15--Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimates of Federal Funds Needed for Balance of 
the Project

    Lines 16-19--Enter in Column (a) the same grant program titles 
shown in Column (a), Section A. A breakdown by function or activity 
is not necessary. For new applications and continuation grant 
applications, enter in the proper columns amounts of Federal funds 
which will be needed to complete the program or project over the 
succeeding funding periods (usually in years). This section need not 
be completed for revisions (amendments, changes, or supplements) to 
funds for the current year of existing grants.
    If more than four lines are needed to list the program titles, 
submit additional schedules as necessary.
    Line 20--Enter the total for each of the Columns (b)-(e). When 
additional schedules are prepared for this Section, annotate 
accordingly and show the overall totals on this line.

Section F. Other Budget Information

    Line 21--Use this space to explain amounts for individual direct 
object-class cost categories that may appear to be out of the 
ordinary or to explain the details as required by the Federal 
grantor agency.
    Line 22--Enter the type of indirect rate (provisional, 
predetermined, final or fixed) that will be in effect during the 
funding period, the estimated amount of the base to which the rate 
is applied, and the total indirect expense.
    Line 23--Provide any other explanations or comments deemed 
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, 

[[Page 35960]]
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. 91-616), as amended, relating to nondiscrimination on the 
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the 
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), 
as amended, relating to confidentiality of alcohol and drug abuse 
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 
U.S.C. Sec. 3601 et seq.), as amended, relating to 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) of the Clean 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 of 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 application 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 
any 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 any 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 subwards at 
all tiers (including subgrants, contracts under grants and 
cooperative agreements, and subcontracts) and that all subrecipients 
shall certify and disclose accordingly.

[[Page 35961]]


2. Debarment, Suspension, and Other Responsibility Matters

    As required by Executive Order 12549, Debarment and Suspension, 
and implemented at 34 CFR part 85, for prospective participants in 
primary covered transactions, as defined at 34 CFR part 85, sections 
85.105 and 85.110--
    A. The applicant certifies that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal department or agency;
    (b) Have not within a three-year period preceding this 
application been convicted of or had a civil judgment rendered 
against them for commission of fraud or a criminal offense in 
connection with obtaining, attempting to obtain, or performing a 
public (Federal, State, or local) transaction or contract under a 
public transaction; violation of Federal or State antitrust statutes 
or commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, or 
receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State, or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification; and
    (d) Have not within a three-year period preceding this 
application had one or more public transactions (Federal, State, or 
local) terminated for cause or default; and
    B. Where the applicant is unable to certify to any of the 
statements in this certification, he or she shall attach an 
explanation to this application.

3. Drug-Free Workplace (Grantees Other Than Individuals)

    As required by the Drug-Free Workplace Act of 1988, and 
implemented at 34 CFR part 85, subpart F, for grantees, as defined 
at 34 CFR part 85, sections 85.605 and 85.610--
    A. The applicant certifies that it will or will continue to 
provide a drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an on-going drug-free awareness program to 
inform employees about--
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will--
    (1) Abide by the terms of the statement; and
    (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 of 
convicted employees must provide notice, including position title, 
to: Director, Grants and Contracts Service, U.S. Department of 
Education, 400 Maryland Avenue, SW, (Room 3124, GSA Regional Office 
Building No. 3), Washington, DC 20202-4571. Notice shall include the 
identification number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under subparagraph (d)(2), with respect to any 
employee who is so convicted--
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e), and (f).
    B. The grantee may insert in the space provided below the 
site(s) for the performance of work done in connection with the 
specific grant:
    Place of Performance (Street address, city, county, state, zip 
code)
----------------------------------------------------------------------
----------------------------------------------------------------------
----------------------------------------------------------------------
    Check {time}  if there are workplaces on file that are not 
identified here.

Drug-Free Workplace (Grantees Who Are Individuals)

    As required by the Drug-Free Workplace Act of 1988, and 
implemented at 34 CFR part 85, subpart F, for grantees, as defined 
at 34 CFR part 85, sections 85.605 and 85.610--
    A. As 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, to: Director, Grants and Contract Services, 
U.S. Department of Education, 400 Maryland Avenue, SW, (Room 3124, 
GSA Regional Office Building No. 3), Washington, DC 20202-4571. 
Notice shall include the identification number(s) of each affected 
grant.
    As the duly authorized representative of the applicant, I hereby 
certify that the applicant will comply with the above 
certifications.

----------------------------------------------------------------------
Name of applicant

----------------------------------------------------------------------
PR/Award number and/or project name

----------------------------------------------------------------------
Printed name and title of authorized representative

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

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

    This certification is required by the Department of Education 
regulations implementing, Executive Order 12549, Debarment and 
Suspension, 34 CFR Part 85, for all lower tier transactions meeting 
the threshold and tier requirements stated at Section 95.110.

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 cerficiation 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,'' 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. 

[[Page 35962]]

    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 remdies 
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 proposective 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

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PR/Award number and/or project name
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Printed name and title of authorized representative

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Signature

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Date

BILLING CODE 6055-01M

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[GRAPHIC][TIFF OMITTED]TN12JY95.007


[FR Doc. 95-17072 Filed 7-11-95; 8:45 am]
BILLING CODE 6055-01-C