[Federal Register Volume 61, Number 156 (Monday, August 12, 1996)]
[Notices]
[Pages 41799-41805]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-20489]


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NATIONAL INSTITUTE FOR LITERACY

[CFDA No. 84.257M]


Application for Adult Learning System Reform and Improvement 
Grant: Stage II Collaborative Development of Equipped for the Future 
(EFF) Adult Literacy Standards Cooperative Agreements

AGENCY: The National Institute for Literacy.

ACTION: Notice.

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SUMMARY: The National Institute for Literacy invites applications for 
grants to support the development of content standards through a 
consensus-building process. These grants are the third phase of a four-
phased initiative whose ultimate goal is to reform and improve 
America's adult learning systems in order to enhance progress toward 
National Education Goal 6. This aim will be achieved through the 
development of voluntary content standards that communicate a clear 
vision for what adults need to know and be able to do in their roles as 
citizen, worker, and parent/family member and the building of consensus 
about these standards among key constituencies at the grassroots, 
state, and national levels.

DATE: Applications must be received at the NIFL office by 4:30 p.m. on 
September 12, 1996; items delivered after that date will not be 
accepted.

    Note to Applicants: This notice is a complete application 
package, except for required forms. Together with the NIFL Equipped 
for the Future Orientation Package, 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, 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, TEL: 202-632-1508; FAX 202-632-
1512, e-mail [email protected].

SUPPLEMENTARY INFORMATION:

Definitions

    For purposes of this notice, 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'' 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 national, state or local organizations and 
individuals (in the public, nonprofit, and private sectors) that have a 
stake in developing content and performance standards for the relevant 
role because the quality of role performance impacts their 
organization's achievement of its goals/mission.
    ``Consensus-building'' includes the development of a convincing 
public argument for the use of ``Equipped for the Future'' standards by 
key constituencies and the conscious, ongoing effort to expand the 
number of individuals from key constituencies involved in standards 
development, use, marketing, and dissemination and to leverage the use 
of the standards at the national, state and local levels by key 
segments of the workforce development system.
    ``Content Standards'' are specific descriptions of what adults need 
to know and be able to do to perform the key activities identified in 
the standards framework.
    ``Generative skills'' are skills or knowledge that are core to the 
performance of a wide range of tasks found in multiple roles and that 
are durable over time in face of changes in technology, work processes, 
and occupational demand.
    ``National Policy Group'' is the body of nationally-recognized 
leaders in literacy and workforce development invited by the NIFL to 
provide policy guidance and consensus-building support to the EFF 
initiative.
    ``Performance Indicators'' are descriptions of how achievement of 
the content standards will be demonstrated. They reflect the consensus 
of key stakeholders identified for the role being addressed.
    ``Planning Grant Recipients'' are the eight projects that were 
funded to complete Phase 2 of the Equipped for the Future'' initiative. 
These grants end September 30, 1997.
    ``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.
    The EFF ``Standards Framework'' describes the building blocks for 
EFF content and performance standards. It provides a consensus 
definition, for each adult role, of the broad areas of responsibility, 
key activities, and skills and knowledge adults require to fulfill 
these roles; articulates the core elements of a theory for adult 
learning based on the four learner-identified purposes for literacy; 
demonstrates how the four purposes enable us to identify the core 
skills and knowledge that form the basis for content standards; and 
identifies criteria for EFF consent and performance standards that 
communicate what customers, investors, and partners can expect from the 
adult literacy system. These elements link the framework explicitly to 
other standards development and implementation efforts.

[[Page 41800]]

    ``Validation'' demonstrates the degree to which the standards 
address the important aspects of role performance.
    ``Human Resource Development System'' is the sum of the myriad of 
public and private programs that are linked by their focus on building 
the skills and knowledge of youth and adults including: adult and 
family literacy programs, welfare-to-work programs, vocational 
education and training programs, school-to-work programs, industry-
based skill standards programs, K-12 education programs, postsecondary 
education, Job Training Partnership Act programs, community college/
postsecondary education programs, employer-sponsored training programs, 
apprenticeship programs, one-stop career centers, dislocated worker 
programs and related programs in the public, private, and nonprofit 
sectors.

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 adult literacy services nationwide.
    In the first phase of this initiative, the NIFL identified a common 
framework of four fundamental purposes for literacy that emerge from 
the writings of 1,500 adults in literacy programs nationwide. As 
detailed in the NIFL report, Equipped for the Future: A Customer Driven 
Vision for Adult Literacy and Lifelong Learning, these four purposes 
are to--
     Gain access to information so adults can orient themselves 
in the world;
     Give voice to ideas, so that they will be heard and can 
have an impact on the world around them;
     Make decisions and act independently;
     Build a bridge to the future, by learning how to learn in 
order to keep up with the world as it changes.
    In October, 1995 the NIFL awarded eight one-year planning grants as 
the second phase of this multi-year initiative to assure that adults 
are ``equipped for the future.'' These planning grants provided the 
NIFL with considerable information regarding how to structure and carry 
out a national standards development initiative aimed at broad-reaching 
system reform. The grantees, working collaboratively with each other, 
with NIFL and its National Policy Group, developed a set of Guiding 
Principles for the conduct and products of the Equipped for the Future 
initiative, and produced reports (due at NIFL July 15, 1996) that are 
currently being synthesized to produce a draft standards framework, 
defining what adults need to know and be able to do to be effective in 
their roles as parent/family member, worker, and citizen, that will be 
the basis for work in Phase 3 of EFF.
    This solicitation of grant applications addresses the third project 
phase: standards development through consensus-building. This phase of 
the Equipped for the Future initiative will build on the results of 
Phases I and 2 of EFF to create a strong foundation for national reform 
of adult and family literacy and basic skills education as well as for 
an effective national system of workforce developed. To achieve this 
end, this phase of the Equipped for the Future initiative will be 
developed in partnership with the following Federal agencies: the U.S. 
Department of Labor, Employment and Training Administration, for the 
role of worker; the U.S. Department of Education, Office of Elementary 
and Secondary Education, for the role of parent/family member.

Eligible Applicants

    Applications will be accepted from--
    Consortia of public and private for-profit and not-for-profit 
organizations and agencies that meet the following criteria: (a) 
operate at a local, state, regional (multi-state) and national level; 
(b) include literacy consumer, practitioner, provider, administrator, 
and funder constituencies; and (c) include technical experts in 
standards development and assessment. While such consortia may include 
for-profit organizations, no grant will be made to a for-profit 
organization.

Deadline for Transmittal of Applications

    Applications must be received at the NILF office by 4:30 pm on 
September 12, 1996; items delivered after that date will not be 
accepted.

Available Funds

    $600,000.

Estimated Number of Awards

    Three; one award for each of the three roles (citizen, parent/
family member, worker).

Estimated Amount of Each Award

    Up to $200,000.

Project Period

    One year, with an option to renew for up to two additional project 
years. Funds awarded are for the first year only.

Description of Program

    The overall purposes of the Equipped for the Future initiative are 
to:
     Develop a new customer-driven definition of adult literacy 
that demystifies the route to success in our society for adult learners 
and clarifies the contributions of adult literacy programs to building 
that success.
     Engage broad-based support among key constituencies for a 
system of human resource development that effectively links literacy 
with industry skill standards and K-12 academic standards as well as 
provides a common framework for skills development across myriad and 
diverse programs.
     Develop a set of voluntary national standards that show 
the portability of skills across the three adult roles and make clear 
the knowledge and skills adults need to be ``equipped for the future.''
    The specific objectives for grantees funded for Phase 3 of the EFF 
initiative are to:
    (1) Build consensus at the national, state, and local levels for 
the EFF vision, standards framework, and the standards relevant to the 
role addressed in the grantee's application;
    (2) Develop and refine content standards and performance indicators 
for the role addressed by the grantee, and, working in collaboration 
with the National Institute for Literacy, its Federal partners in this 
initiative, and the other grantees, across all three roles; and
    (3) Collaborate with the National Institute for Literacy, its 
Federal partners, and the other grantees to create a national framework 
for reform of the adult education and training delivery systems.
    Consortia receiving a grant under this program shall launch a 
standards development and consensus-building initiative to provide a 
solid foundation for comprehensive, collaborative system reform and 
improvement. This program represents the third phase of a four-phase 
initiative.
     Phase 1: Survey of 1,500 adult learners to identify what 
they need to know and be able to do to be equipped for the future. This 
study, fully elaborated in the report Equipped for the Future: A 
Customer-Driven Vision for Adult Literacy and Lifelong Learning, 
identified four purposes for literacy that enable adults to fulfill 
their responsibilities as parents, citizens, and workers. These 
purposes are to:

--gain access to information so adults can orient themselves in the 
world;

[[Page 41801]]

--give voice to ideas, so that they will be heard and can have an 
impact on the world around them;
--make decisions and act independently;
--build a bridge to the future, by learning how to learn in order to 
keep up with the world as it changes.

     Phase 2: Planning grants to eight organizations and 
consortia of organizations to engage key literacy constituencies 
(learners, practitioners, and other stakeholders) in building a common 
understanding of the four adult learner-defined purposes for literacy 
as they relate to the adult roles of parent/family member, citizen, and 
worker. The result of this phase will be a common standards framework 
(completed October, 1996) defining what an adult needs to know and be 
able to do in each of the key roles, and a common vision of system 
reform.
     Phase 3: Further development and refinement of the 
Equipped for the Future standards framework, resulting in:

--a consensus map of the broad areas of responsibility, key activities 
and knowledge and skills for each role;
--development of content standards for each adult role and across all 
three adult roles;
--development of performance indicators for each standard;
--engaging key constituencies, including adult literacy programs, in 
developing and refining content standards and performance indicators in 
order to build support for the standards and their use;
--development of a strategy for validation of content standards and 
performance indicators through pilot implementation in adult education 
delivery systems.

     Phase 4: Implement system reform initiatives that are 
based on the Equipped for the Future Standards.
    During the grant period--October 1, 1996 to September 30, 1997, 
grantees will engage in the following activities:
    1. Establish a national project advisory group to provide broad 
guidance and assure that all key constituencies for the role addressed 
by the grant applicant have a meaningful role in the standards 
development process, leading to buy-in and formal approval of the draft 
standards. The advisory group shall include representatives of the key 
constituencies for the role addressed as well as technical expert(s) in 
standards development and assessment. The project advisory group shall 
meet no less than three times per year and be comprised of individuals 
who legitimately represent a key constituency whose buy-in is critical 
to achieving widespread acceptance of the standards. The project 
advisory group members shall represent national, state, and grassroots 
constituencies (both organizations and individuals) and be charged with 
ensuring buy-in and formal approval of the draft standards by the 
constituency they represent. While project advisory group membership 
will vary from role to role (see #3 below), all groups shall include 
representatives of adult learners and practitioners.
    2. Work in collaboration with the other two grantees, the NIFL, its 
Federal partners, and the Equipped for the Future National Policy 
Group, to refine the common standards framework for Equipped for the 
Future starting with the draft framework developed in the second phase 
of the EFF initiative. The framework will ensure that:
     The standards for each role are based on a consensus map 
of the broad areas of responsibility for that role, key activities 
within those areas of responsibility, and what adults need to know and 
be able to do to perform those key activities;
     That skills and knowledge common to more than one role are 
clearly identified and result in the development of content standards 
across the three roles;
     The standards development process is based on common 
definitions and assumptions about the development and use of content 
standards and performance indicators;
     The standards share a common format and structure.
    The standards framework and the resulting standards shall build 
upon a thorough familiarity with key documents and major initiatives 
supported by NIFL's Federal partners, including the U.S. Departments of 
Education, Labor, and Health and Human Services, as well as other 
local, state and national efforts including:
     The SCANS/NJAS (the Secretary's Commission on Achieving 
Necessary Skills/the National Job Analysis Study) and O*NET 
initiatives, U.S. Department of Labor;
     The work of the National Skill Standards Board and other 
national skill standards initiatives;
     The New Standards Project and related academic content 
standards; and
     Other efforts to identify appropriate performance results 
from learning, such as the NIFL Performance Measurement Reporting 
Improvement Systems (PMRIS) initiative and the work of the National 
Association of State Directors of Adult Education to identify 
performance outcomes for adult education.
    This work will result in a fully elaborated consensus standards 
framework for EFF by March 1997.
    3. Develop content standards and related performance indicators for 
what adults need to know and be able to do to fulfill their roles as 
parent/family member, citizen and worker. The content standards and 
performance indicators shall be developed within the common standards 
framework described above, jointly elaborated and refined by the three 
grantees and NIFL with the guidance of NIFL's Federal partners and its 
National Policy Group, and through ongoing collaboration with key 
constituencies (including adult learners and teachers) so they are 
grounded in the needs of these constituencies.
    The content standards and performance indicators development 
process must demonstrate that key constituencies have participated and 
contributed to the standards development and that the grantee's 
advisory group has approved the standards developed as a basis for 
national validation.
    The standards development process must incorporate significant 
collaboration with the key constituencies to assure that the standards 
are customer-driven (e.g., through group processes for standards 
refinement with key constituencies and other methods for constituency 
involvement and feedback throughout the developmental process). Group 
processes for standards development and refinement must include 
mechanisms for assuring on-going piloting of content standards in adult 
education and training classrooms in multiple locations across the 
country. Content standards with the performance indicators will be 
identified by July, 1997.
    4. Actively engage key constituencies in the standards development 
process in order to build ownership and support of the standards and to 
assure they are truly ``customer-driven.'' (October, 1996 through 
September, 1997). Key constituencies/end users who are critical to 
assuring widespread use of the standards must be identified in the 
grant application. The key constituencies/end users identified should 
include but not be limited to teachers, learners, employers, parents, 
civic organizations, and other standards-setting initiatives related to 
the role being addressed by the grantee.
    For the role of worker, these constituencies should include such 
groups as: employers and employer associations, unions, the National 
Skill

[[Page 41802]]

Standards Board, State Human Resource Investment Councils, State skill 
standards initiatives, local private industry councils and job training 
administrative organizations, apprenticeship or other training 
sponsored by organized labor, school-to-work, workplace literacy, and 
providers of other related programs.
    For the role of parents, these constituencies should include such 
groups as the National Coalition for Parental Involvement in Education, 
the National Head Start Association, the National Coalition for Family 
Resources, the National Association of Child Care Resource and Referral 
Agencies, Even Start State Coordinators, The Center for Law and 
Education, the National Education Association, the American Federation 
of Teachers, Parent-Teacher Associations, and Even Start, Head Start 
and other family literacy providers.
    For the role of citizens; these constituencies should include such 
groups as the Center for Civic Education, developers of the National 
Standards for Civics and Government (K-12 education), Kettering 
Foundation/National Issues Forum, American Bar Association, League of 
Women Voters, National League of Cities, VERA, The Center for Civic 
Literacy, the National Urban League, and other grassroots, state and 
national organizations and associations that focus on civil rights, 
neighborhood action, etc.
    5. August 31, 1997, develop a plan for nationwide validation and 
implementation of the content standards and related performance 
indicators in adult education and job training delivery systems, in 
cooperation with NIFL, its Federal partners, the National Policy Group 
and the other grantees. These plans should reflect the use of the EFF 
standards in building linkages with other key components of the 
nation's workforce development system. Validation strategies may also 
include national surveys, constituency group review and analysis of the 
standards or similar strategies. The elements and criteria for the 
validation process will be developed jointly with NIFL and the other 
grantees.
    6. Identify technical assistance needed to assure the success of 
steps 1-5 above of the EFF initiative. Technical assistance 
requirements are expected to include the unique needs of the applicant 
as well as needs that are common to all grantees. The NIFL will engage 
technical assistance services to support the work of the EFF projects 
under this grant.
    7. Participate in three, two-day project meetings in November 1996, 
March 1997, and July 1997 in Washington, DC. The November meeting is 
scheduled for November 14-16, 1996.
    8. Participate in monthly project conference calls of two hours 
duration.
    9. Maintain regular e-mail and other contact with other grantees 
throughout the grant period, in order to maximize sharing of 
information and assure the development of standards within a common 
framework.
    10. Cooperate with a third-party evaluation of the standards 
development and constituency-building process, lessons learned and 
outcomes, providing project reports and other project documentation to 
the evaluation team, participating in interviews, and assisting in 
collecting evaluation data, and in other ways cooperating with the 
project evaluation.

Proposal Narrative

    The applicant's proposal narrative must be organized and contain 
the information as described in the following sections.
    (1) Approach to Standards Development for System Reform describes 
the applicant's view of why standards development is important in the 
adult literacy and human resource development field and how the 
applicant envisions standards being used to improve the quality of the 
service delivery system. This section also includes the applicant's 
criteria for effective standards, philosophy of standards development 
and consensus-building, and an overview of the key features of the 
applicant's approach for supporting the purposes of the EFF initiative 
and achieving the project objectives described above.
    In particular, the applicant should describe its approach to 
effectively building on the work accomplished in Phases 1 and 2 of the 
Equipped for the Future Initiative and related work appropriate to each 
role. This work is particularly substantial for the role of worker, 
including the U.S. Department of Labor's work on SCANS, the National 
Job Analysis Study which builds on SCANS to identify the work 
activities that the critical in the most competitive business 
environments, the O*NET to replace the DOT with a relational database 
that contains comprehensive information about worker requirements and 
characteristics, experience requirements and occupational requirements 
and characteristics useful to students, educators, employers and 
workers (further information in EFF Orientation Packet).
    Using the draft material from Phase 2 provided in the EFF 
Orientation Packet, the applicant should demonstrate its technical 
approach to standards development, including the specific standards 
development issues to be addressed in moving to a common standards 
framework that embraces all three adult roles.
    (2) Plan of Operation includes the project goal and objectives, 
work plan, timeline, and project management plan. The applicant's plan 
of operation should include: (a) what techniques the applicant will use 
for refining the standards framework, development content standards, 
and identifying performance indicators; (b) how the applicant will 
involve key constituencies in project decisionmaking and standards 
development, implementation, marketing/dissemination, and validation 
tasks; (c) how the applicant will work with the two other grantees to 
assure that the standards share a common format, structure, and 
language and that this initiative results in a unified standards 
framework and consistency in the standards across the three grantees; 
and (d) how the applicant will document and monitor project processes 
and results.
    (3) Organizational Capability demonstrates the ability and 
experience of the applicant and the members of its consortium to 
perform the tasks required in this project and its skills, technical 
expertise and knowledge in standards development, adult literacy 
instruction, and consensus-building among diverse constituencies at the 
national, state, and local levels.
    (4) Qualifications of Key Personnel describes the qualifications of 
each staff person for the project position to which they have been 
assigned, identifies his/her employment organization, and provides an 
overview of his/her experience, knowledge, and capability to perform 
the work described as demonstrated by the conduct of similar work in 
related settings.
    (5) Demonstrated Commitment of Partners and Key Constituencies 
provides evidence (e.g., letters of commitment) that show that (a) 
project advisory board members and other partners in the consortia 
understand their roles and are prepared to fulfill them at the level 
described in the proposal; and (b) key constituencies significant to 
the relevant role are supportive of the applicant's grant applications.

Selection Criteria

    In evaluating applications for a grant under this competition, the 
Director uses the following selection criteria (Total 105 points):
    (1) Approach to Standards Development (30 points): the Director

[[Page 41803]]

reviews each application to determine the extent to which the 
applicant's approach to standards development and consensus-building is 
appropriate to achieving goals of Equipped for the Future, including:
    (a) the extent to which the applicant's proposed approach to 
standards development:
    (i) demonstrates knowledge and understanding of the Equipped for 
the Future Initiative, its products to date and long term goals;
    (ii) demonstrates knowledge of and understanding of key documents 
and initiatives related to the role it proposes to develop standards 
for; including the research literature;
    (iii) builds on the first two project phases and other related 
initiatives rather than ``reinventing'' that work; and
    (iv) demonstrates a philosophy of collaborative standards 
development that is consistent with the EFF approach and philosophy;
    (b) the extent to which the applicant's proposed approach leverages 
standards development tasks to build consensus among key constituencies 
and effect system reform;
    (c) the quality of the technical approach demonstrated in the 
applicant's evaluation of the draft standards in the EFF Orientation 
Packet, including the identification of specific issues and challenges 
to be addressed in moving to a common standards framework that embraces 
all three adult roles.
    (2) Plan of Operation (30 points): The Director reviews each 
application to determine the quality of the plan for developing 
standards and building consensus among key constituencies, including:
    (a) the extent to which the applicant states clear and measurable 
goals and objectives for the project;
    (b) the extent to which the applicant provides a fully detailed 
plan and timeline for achieving these goals which
    (i) includes specific strategies and techniques for refining the 
standards framework, developing and refining content standards, and 
identifying performance indicators on a national basis;
    (ii) identifies specific mechanisms for involving adult learners 
and practitioners as well as other key constituencies in these 
activities; and
    (iii) addresses the 10 key project activities and dates described 
in the Description of Program above;
    (c) the quality of the applicant's plan for working with the two 
other grantees to assure that the standards share a common format, 
structure, and language, including strategies recommended to assure 
this initiative results in a unified standards framework and 
consistency in the standards across the three grantees;
    (d) the quality of the applicant's plan to involve key 
constituencies in project decisionmaking and standards development, 
implementation, marketing/dissemination, and validation tasks;
    (e) the soundness of the plan for documenting and monitoring the 
project processes and results.
    (3) Organizational Capability and Qualifications of Key Personnel 
(25 points): The Director reviews each application to determine the 
capability of the applicant to achieve the goals of the project 
including:
    (a) the extent to which the applicant provides a full description 
of each of the organizations that make up the consortium, including how 
that organization contributes to the consortium's experience and 
capability to:
    (i) lead a broad-based collaborative national process for adult 
learning systems reform and improvement that is standards-driven;
    (ii) develop technically defensible customer-driven content 
standards of what adults need to know and be able to do, related 
performance indicators and validate them on a national basis; and
    (iii) leverage the commitment and involvement of key constituencies 
at the national, state, and local levels;
    (b) the soundness of the staffing and organization plan for the 
consortium, including
    (i) how roles and responsibilities will be assigned among the 
organizations within the consortium to assure clear lines of 
decisionmaking and effective use of each organization's strengths;
    (ii) a statement of clear performance objectives for key staff;
    (iii) the scope and nature of their responsibilities;
    (iv) the level of effort they will devote to this project; and
    (v) the inclusion of a project organization chart;
    (c) the extent to which staff assigned to key positions include 
appropriate qualifications, in terms of knowledge, experience and 
proven capability to perform the work described;
    (d) the inclusion among the staff of individuals with specific 
expertise, including
    (i) individuals with demonstrated experience in related standards 
development efforts;
    (ii) individuals with direct experience in adult literacy 
instruction and/or curriculum development; and
    (iii) individuals with a broad understanding of the workforce 
development system and the ability to leverage the involvement of 
influential representatives from other program areas that constitute 
this system.
    (4) Commitment of Partners and Key Constituencies (15 points): The 
Director reviews each application to determine the quality of the plan 
for engaging partners and key constituencies, including:
    (a) the extent to which the applicant has
    (i) assembled a national advisory group that represents key 
constituencies for their role; and
    (ii) secured written documentation of each member's ability to 
represent that constituency on the advisory group;
    (b) the extent to which the applicant has identified other 
appropriate constituencies to participate in the project;
    (c) the quality of the applicant's plan for assuring that each 
constituency has the opportunity for appropriate and meaningful 
involvement in project activities;
    (d) the explicit and documented commitment of each constituency to 
participate in the project.
    (5) 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) The 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 will provide or seek in order to supplement grant funds.

Other Application Requirements

    The application shall include the following:
    Project Summary: The proposal must contain a one page 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 project's goals, approach and the activities proposed. The summary 
must include the following information:
    a. Name of applicant organization.
    b. Description of the consortium proposing the project and the key 
constituencies represented.
    c. Adult role to be addressed in the plan: parent/family member, 
citizen or worker.
    Proposal Narrative: This narrative should not exceed twenty (20) 
single-spaced pages, or forty (40) double-

[[Page 41804]]

 spaced pages. The narrative may be amplified by material in 
attachments and appendices, but the body should stand alone to give a 
complete picture of the project. Applications which exceed 20 single-
spaced pages or 40 double-spaced pages will not be reviewed.
    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.
    The Institute is reviewing the possibility of restricting indirect 
costs to 8% for this grant.
    Budget Proposal: The budget proposal should be 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 applications 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 two 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) The original and two (2) copies of the application must be 
received by September 12, 1996, at the address below. Applicants are 
encouraged, but not required, to submit three (3) additional copies of 
the application, but will not be penalized if additional copies are not 
received: National Institute for Literacy, 800 Connecticut Avenue, NW, 
Suite 200, Washington, DC 20006, Attention: (CFDA #84.257M).
    (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 (ED Form 424 [Revised 4/94]) the 
X257M 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 (ED Form 424, Rev. 4-94) and 
instructions
Part II: Budget Information--Non-Construction Programs (ED Form 524) 
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
    Disclosure of Lobbying Activities (Standard Form LLL) (if 
applicable) and instructions

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

    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 original certifications and 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 4, 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 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.

[[Page 41805]]

    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 an annual report of activities, 
and other products as described in the DESCRIPTION OF PROGRAM above and 
in the cooperative agreement between the applicant and the NIFL.
    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 authors) and do not 
necessarily reflect the views of the National Institute for Literacy.''
    Instructions for Estimated Public Reporting Burden: According to 
the Paperwork Reduction Act of 1995, no persons are required to respond 
to a collection of information unless it displays a valid OMB control 
number. The valid control number for this information collection is 
3200-0033, Expiration date August 1999. The time required to complete 
this information collection is estimated to average 80 hours per 
response, including the time to review instructions, search existing 
data resources, gather the data needed, and complete and review the 
information collection.
Carolyn Staley,
Deputy Director, National Institute for Literacy.
[FR Doc. 96-20489 Filed 8-9-96; 8:45 am]
BILLING CODE 6055-01-M