[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]
=======================================================================
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
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
[[Page 35955]]
[GRAPHIC][TIFF OMITTED]TN12JY95.004
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]]
[GRAPHIC][TIFF OMITTED]TN12JY95.005
[[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
----------------------------------------------------------------------
PR/Award number and/or project name
----------------------------------------------------------------------
Printed name and title of authorized representative
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Date
BILLING CODE 6055-01M
[[Page 35963]]
[GRAPHIC][TIFF OMITTED]TN12JY95.007
[FR Doc. 95-17072 Filed 7-11-95; 8:45 am]
BILLING CODE 6055-01-C