[Federal Register Volume 62, Number 90 (Friday, May 9, 1997)]
[Notices]
[Pages 25770-25784]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-12258]


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DEPARTMENT OF EDUCATION

[CFDA Nos.: 84.133A, 84.133B, and 84.133D]


Office of Special Education and Rehabilitative Services, National 
Institute on Disability and Rehabilitation Research; Notice Inviting 
Applications for New Awards Under Certain Programs for Fiscal Year 1997

NOTE TO APPLICANTS: This notice is a complete application package. 
Together with the statute authorizing the programs and applicable 
regulations governing the programs, including the Education Department 
General Administrative Regulations (EDGAR), this notice contains 
information, application forms, and instructions needed to apply for a 
grant under these competitions.
    These programs support the National Education Goal that calls for 
all Americans to possess the knowledge and skills necessary to compete 
in a global economy and exercise the rights and responsibilities of 
citizenship.
    The estimated funding levels in this notice do not bind the 
Department of Education to make awards in any of these categories, or 
to any specific number of awards or funding levels, unless otherwise 
specified in statute.

Applicable Regulations:

    The Education Department General Administrative Regulations 
(EDGAR), 34 CFR Parts 74, 75, 77, 80, 81, 82, 85, and 86; and the 
following program regulations:
    (a) Research and Demonstration Projects (R&D)--34 CFR Parts 350 and 
351;
    (b) Knowledge Dissemination and Utilization Program (D&U)--34 CFR 
Parts 350 and 355; and
    (c) Rehabilitation Research and Training Centers (RRTCs)--34 CFR 
Parts 350 and 352.
    Program Title: Research and Demonstration Projects
    CFDA Number: 84.133A
    Purpose of Program: The Research and Demonstration Projects program 
is designed to support discrete research, demonstration, training, and 
related projects to develop methods, procedures, and technology that 
maximize the full inclusion and integration into society, independent 
living, employment, family support, and economic and social self-
sufficiency of individuals with disabilities, especially those with the 
most severe disabilities. In addition, the R&D program supports 
discrete research, demonstration, and training projects that 
specifically address the implementation of Titles I, III, VI, VII, and 
VIII of the Rehabilitation Act, with emphasis on projects to improve 
the effectiveness of these programs and to meet the needs described in 
State Plans submitted to the Rehabilitation Services Administration by 
State vocational rehabilitation agencies.

Eligible Applicants

    Parties eligible to apply for grants under this program are public 
and private nonprofit and for-profit agencies and organizations, 
including institutions of higher education and Indian tribes and tribal 
organizations.

    Program Authority: 29 U.S.C. 761a and 762.

    Program Title: Knowledge Dissemination and Utilization Program
    CFDA Number: 84.133D
    Purpose of Program: The Knowledge Dissemination and Utilization is 
designed to support activities that will ensure that rehabilitation 
knowledge generated from projects and centers funded by NIDRR and from 
other sources is fully utilized to improve the lives of individuals 
with disabilities and their families.
    Eligible Applicants: Parties eligible to apply for grants under 
this program are public and private nonprofit and for-profit agencies 
and organizations, including institutions of higher education and 
Indian tribes and tribal organizations.

    Program Authority: 29 U.S.C. 761a and 762.

    Application Notice for Fiscal Year 1997--Research and Demonstration Projects, CFDA No. 84.133A, Knowledge   
                             Dissemination and Utilization Program, CFDA No. 84.133D                            
----------------------------------------------------------------------------------------------------------------
                                                                        Maximum award                           
                                           Deadline for    Estimated     amount (per                            
            Funding  priority             transmittal of   number of       year in      Project  period (months)
                                           applications      awards       dollars)*                             
----------------------------------------------------------------------------------------------------------------
Burn Injury Rehabilitation Model System          6/23/97            4         295,000  60                       
 84.133A.                                                                                                       
Traumatic Brain Injury Model Systems             6/23/97            5         345,000  Up to 60 **              
 84.133A.                                                                                                       
Improving the Utilization of                     6/23/97            1         500,000  60                       
 Rehabilitation Technology in                                                                                   
 Rehabilitation 84.133D.                                                                                        
----------------------------------------------------------------------------------------------------------------
Applications Available: May 9, 1997.                                                                            
* Note 1: The Secretary will reject without consideration or evaluation any application that proposes a project 
  funding level that exceeds the stated maximum award amount (See 34 CFR 75.104(b)).                            
** Note 2: Applicants should submit proposals covering a 60 month project period. The Secretary will assess,    
  during the third year of the project period, whether the model as described in the TBI Model Systems Priority 
  is the most appropriate approach and whether revisions are needed in the model. Based on this determination   
  the Secretary will determine whether there is a continuing need to provide funding beyond 36 months.          

Research and Demonstration Projects and Knowledge Dissemination and 
Utilization Program Selection Criteria

    The Secretary uses the following selection criteria to evaluate 
applications under the R&D and D&U programs.
    (a) Potential Impact of Outcomes: Importance of Program (Weight 
3.0). The Secretary reviews each application to determine to what 
degree--
    (1) The proposed activity relates to the announced priority;
    (2) The research is likely to produce new and useful information 
(research activities only);
    (3) The need and target population are adequately defined;
    (4) The outcomes are likely to benefit the defined target 
population;
    (5) The training needs are clearly defined (training activities 
only);
    (6) The training methods and developed subject matter are likely to 
meet the defined need (training activities only); and
    (7) The need for information exists (utilization activities only).

[[Page 25771]]

    (b) Potential Impact of Outcomes: Dissemination/Utilization (Weight 
3.0). The Secretary reviews each application to determine to what 
degree--
    (1) The research results are likely to become available to others 
working in the field (research activities only);
    (2) The means to disseminate and promote utilization by others are 
defined;
    (3) The training methods and content are to be packaged for 
dissemination and use by others (training activities only);
    (4) The utilization approach is likely to address the defined need 
(utilization activities only); and
    (5) There is likely to be widespread dissemination of the results, 
in a usable and effective manner, to all appropriate target 
populations, including individuals with disabilities and their family 
members.
    (c) Probability of Achieving Proposed Outcomes; Program/ Project 
Design (Weight 5.0). The Secretary reviews each application to 
determine to what degree--
    (1) The objectives of the project(s) are clearly stated;
    (2) The hypothesis is sound and based on evidence (research 
activities only);
    (3) The project design/methodology is likely to achieve the 
objectives;
    (4) The measurement methodology and analysis is sound (research and 
development/demonstration activities only);
    (5) The conceptual model (if used) is sound (development/ 
demonstration activities only);
    (6) The sample populations are correct and significant (research 
and development/demonstration activities only);
    (7) The human subjects are sufficiently protected (research and 
development/demonstration activities only);
    (8) The device(s) or model system is to be developed in an 
appropriate environment;
    (9) The training content is comprehensive and at an appropriate 
level (training activities only);
    (10) The training methods are likely to be effective (training 
activities only);
    (11) The new materials (if developed) are likely to be of high 
quality and uniqueness (training activities only);
    (12) The target populations are linked to the project (utilization 
activities only);
    (13) The format of the dissemination medium is the best to achieve 
the desired result (utilization activities only); and
    (14) The materials to be used in the project and the materials to 
be disseminated are likely to be in formats that are accessible to the 
appropriate populations.
    (d) Probability of Achieving Proposed Outcomes: Key Personnel 
(Weight 4.0). The Secretary reviews each application to determine to 
what degree--
    (1) The principal investigator and other key staff have adequate 
training and/or experience and demonstrate appropriate potential to 
conduct the proposed research, demonstration, training, development, or 
dissemination activity;
    (2) The principal investigator and other key staff are familiar 
with pertinent literature and/or methods;
    (3) All required disciplines are effectively covered;
    (4) Commitments of staff time are adequate for the project; and
    (5) The applicant is likely, as part of its non-discriminatory 
employment practices, to encourage applications for employment from 
persons who are members of groups that traditionally have been 
underrepresented, such as--
    (i) Members of racial or ethnic minority groups;
    (ii) Women;
    (iii) Handicapped persons; and
    (iv) The elderly.
    (e) Probability of Achieving Proposed Outcomes: Evaluation Plan 
(Weight 1.0). The Secretary reviews each application to determine to 
what degree--
    (1) There is a mechanism to evaluate plans, progress and results;
    (2) The evaluation methods and objectives are likely to produce 
data that are quantifiable; and
    (3) The evaluation results, where relevant, are likely to be 
assessed in a service setting.
    (f) Program/Project Management: Plan of Operation (Weight 2.0). The 
Secretary reviews each application to determine to what degree--
    (1) There is an effective plan of operation that insures proper and 
efficient administration of the project(s);
    (2) The applicant's planned use of its resources and personnel is 
likely to achieve each objective;
    (3) Collaboration between institutions, if proposed, is likely to 
be effective; and
    (4) There is a clear description of how the applicant will include 
eligible project participants who have been traditionally 
underrepresented, such as--
    (i) Members of racial or ethnic minority groups;
    (ii) Women;
    (iii) Handicapped persons; and
    (iv) The elderly.
    (g) Program/Project Management: Adequacy of Resources (Weight 1.0). 
The Secretary reviews each application to determine to what degree--
    (1) The facilities planned for use are adequate;
    (2) The equipment and supplies planned for use are adequate; and
    (3) The commitment of the applicant to provide administrative 
support and adequate facilities is evident.
    (h) Program/Project Management: (Budget and Cost Effectiveness 
(Weight 1.0). The Secretary reviews each application to determine to 
what degree--
    (1) The budget for the project(s) is adequate to support the 
activities;
    (2) The costs are reasonable in relation to the objectives of the 
projects(s); and
    (3) The budget for subcontracts (if required) is detailed and 
appropriate.
    Program Title: Rehabilitation Research and Training Centers
    CFDA Number: 84.133B
    Purpose of Program: RRTCs conduct coordinated and advanced programs 
of research on disability and rehabilitation that will produce new 
knowledge that will improve rehabilitation methods and service delivery 
systems, alleviate or stabilize disabling conditions, and promote 
maximum social and economic independence for individuals with 
disabilities. RRTCs provide training to service providers at the pre-
service, in-service training, undergraduate, and graduate levels, to 
improve the quality and effectiveness of rehabilitation services. They 
also provide advanced research training to individuals with 
disabilities and those from minority backgrounds, engaged in research 
on disability and rehabilitation. RRTCs serve as national and regional 
technical assistance resources, and provide training for service 
providers, individuals with disabilities and families and 
representatives, and rehabilitation researchers.

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      Application Notice for Fiscal Year 1997 Rehabilitation Research and Training Centers CFDA No. 84.133B     
----------------------------------------------------------------------------------------------------------------
                                                                                      Maximum award             
                                                         Deadline for    Estimated     amount (per     Project  
                   Funding priority                     transmittal of   number of       year in        period  
                                                         applications      awards       dollars)*      (months) 
----------------------------------------------------------------------------------------------------------------
Effective Interventions for Children and Youth Who                                                              
 Exhibit Severe Problem Behaviors.....................         6/23/97            1         600,000           60
Aging with Spinal Cord Injury.........................         6/23/97            1         650,000           60
----------------------------------------------------------------------------------------------------------------
Applications Available: May 9, 1997.                                                                            
*Note: The Secretary will reject without consideration or evaluation any application that proposes a project    
  funding level that exceeds the stated maximum award amount (See 34 CFR 75.104(b)).                            

Selection Criteria

    The Secretary uses the following selection criteria to evaluate 
applications under this program.
    (a) Relevance and importance of the research program (20 points). 
The Secretary reviews each application to determine to what degree--
    (1) The proposed activities are responsive to a priority 
established by the Secretary and address a significant need of a 
disabled target population and rehabilitation service providers;
    (2) The overall research program of the Center includes appropriate 
interdisciplinary and collaborative research activities, is likely to 
lead to new and useful knowledge in the priority area, and is likely to 
become a nationally recognized source of scientific knowledge; and
    (3) The applicant demonstrates that all component activities of the 
Center are related to the overall objective of the Center, and will 
build upon and complement each other to enhance the likelihood of 
solving significant rehabilitation problems.
    (b) Quality of the research design (35 points). The Secretary 
reviews each application to determine to what degree--
    (1) The applicant proposes a comprehensive research program for the 
entire project period, including at least three interrelated research 
projects;
    (2) The research design and methodology of each proposed activity 
are meritorious in that--
    (i) The literature review is appropriate and indicates familiarity 
with current research in the field;
    (ii) The research hypotheses are important and scientifically 
relevant;
    (iii) The sample populations are appropriate and significant;
    (iv) The data collection and measurement techniques are appropriate 
and likely to be effective;
    (v) The data analysis methods are appropriate; and
    (vi) The applicant assures that human subjects, animals, and the 
environment are adequately protected; and
    (3) The application discusses the anticipated research results and 
demonstrates how those results would satisfy the original hypotheses 
and could be used for planning future research, including generation of 
new hypotheses where applicable.
    (c) Quality of the training and dissemination program (25 points). 
The Secretary reviews each application to determine the degree to 
which--
    (1) The proposed plan for training and dissemination provides 
evidence that research results will be effectively disseminated and 
utilized based on the identification of appropriate and accessible 
target groups; the proposed training materials and methods are 
appropriate; the proposed activities are relevant to the regional and 
national needs of the rehabilitation field; and the training materials 
and dissemination packages will be developed in alternate media that 
are usable by people with various types of disabilities.
    (2) The proposed plan for training and dissemination provides for--
    (i) Advanced training in rehabilitation research;
    (ii) Training rehabilitation service personnel and other 
appropriate individuals to improve practitioner skills based on new 
knowledge derived from research;
    (iii) Training packages that make research results available to 
service providers, researchers, educators, individuals with 
disabilities, parents, and others;
    (iv) Technical assistance or consultation that is responsive to the 
concerns of service providers and consumers;
    (v) Dissemination of research findings through publication in 
professional journals, textbooks, and consumer and other publications, 
and through other appropriate media such as audiovisual materials and 
telecommunications.
    (vi) Widespread dissemination of findings and other appropriate 
materials to providers of rehabilitation and other relevant services to 
individuals with disabilities, family members of individuals with 
disabilities, and other authorized representatives, advocates, and 
organizations that provide information and support to individuals with 
disabilities and their families; and
    (vii) Dissemination of research findings and other materials in 
appropriate formats and accessible media for use by individuals with 
various disabilities.
    (d) Quality of the organization and management (20 points). The 
Secretary reviews each application to determine the degree to which--
    (1) The staffing plan for the Center provides evidence that the 
project director, research director, training director, principal 
investigators, and other personnel have appropriate training and 
experience in disciplines required to conduct the proposed activities; 
the commitment of staff time is adequate to conduct all proposed 
activities; and the Center, as part of its nondiscriminatory employment 
practices, will ensure that its personnel are selected for employment 
without regard to race, color, national origin, gender, age, or 
handicapping conditions;
    (2) The budgets for the Center and for each component project are 
reasonable, adequate, and cost-effective for the proposed activities;
    (3) The facilities, equipment, and other resources are adequate and 
are appropriately accessible to persons with disabilities;
    (4) The plan of operations is adequate to accomplish the Center's 
objectives and to ensure proper and efficient management of the Center;
    (5) The proposed relationships with Federal, State, and local 
rehabilitation service providers and consumer organizations are likely 
to ensure that the Center program is relevant and applicable to the 
needs of consumers and service providers;
    (6) The past performance and accomplishments of the applicant 
indicate an ability to complete successfully the proposed scope of 
work;
    (7) The application demonstrates appropriate commitment and support 
by

[[Page 25773]]

the host institution and opportunities for interdisciplinary activities 
and collaboration with other institutions and organizations; and
    (8) The plan for evaluation of the Center provides for an annual 
assessment of the outcomes of the research, the impact of the training 
and dissemination activities on the target populations, and the extent 
to which the overall objectives have been accomplished.

Eligible Applicants

    Institutions of higher education and public or private agencies and 
organizations collaborating with institutions of higher education, 
including Indian tribes and tribal organizations, are eligible to apply 
for awards under this program.

    Program Authority: 29 U.S.C. 762.

Instructions for Application Narrative

    The Secretary strongly recommends that applicants include a one-
page abstract in their application. The Secretary strongly recommends 
that the narrative for Research and Demonstration Projects applications 
and Knowledge Dissemination and Utilization Program applications be 
limited to no more than 50 double-spaced, typed pages (on one side 
only), not including appendices. The Secretary strongly recommends that 
the narrative for Rehabilitation Research and Training Center 
applications be limited to no more than 100 double-spaced, typed pages 
(on one side only), not including appendices. These recommended page 
limits apply only to the narrative and not to the abstract, application 
forms, assurances, certifications and attachments to those forms, 
assurances, and certifications.

Instructions for Transmittal of Applications

    (a) If an applicant wants to apply for a grant, the applicant 
shall--
    (1) Mail the original and two copies of the application on or 
before the deadline date to: U.S. Department of Education, Application 
Control Center, Attention: (CFDA # [Applicant must insert number and 
letter]), Washington, DC. 20202-4725, or
    (2) Hand deliver the original and two copies of the application by 
4:30 p.m. [Washington, DC time] on or before the deadline date to: U.S. 
Department of Education, Application Control Center, Attention: (CFDA # 
[Applicant must insert number and letter]), Room #3633, Regional Office 
Building #3, 7th and D Streets, SW., Washington, DC.
    (b) An applicant must show one of the following as proof of 
mailing:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (4) Any other proof of mailing acceptable to the Secretary.
    (c) If an application is mailed through the U.S. Postal Service, 
the Secretary does not accept either of the following as proof of 
mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.

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

    (2) An applicant wishing to know that its application has been 
received by the Department must include with the application a stamped 
self-addressed postcard containing the CFDA number and title of this 
program.
    (3) The applicant must indicate on the envelope and--if not 
provided by the Department--in Item 10 of the Application for Federal 
Assistance (Standard Form 424) the CFDA number--and letter, if any--of 
the competition under which the application is being submitted.

Application Forms and Instructions

    The appendix to this application is divided into four parts. These 
parts are organized in the same manner that the submitted application 
should be organized. These parts are as follows:
    PART I: Application for Federal Assistance (Standard Form 424 (Rev. 
4-88)) and instructions.
    PART II: Budget Form--Non-Construction Programs (Standard Form 
524A) and instructions.
    PART III: Application Narrative. Additional Materials
    Estimated Public Reporting Burden.
    Assurances--Non-Construction Programs (Standard Form 424B).
    Certification Regarding Lobbying, Debarment, Suspension, and Other 
Responsibility Matters: and Drug-Free Work-Place Requirements (ED Form 
80-0013).
    Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion: Lower Tier Covered Transactions (ED Form 80-0014) 
and instructions.

    Note: ED Form GCS-014 is intended for the use of primary 
participants and should not be transmitted to the Department.

    Disclosure of Lobbying Activities (Standard Form LLL (if 
applicable) and instructions; and Disclosure Lobbying Activities 
Continuation Sheet (Standard Form LLL-A).
    An applicant may submit information on a photostatic copy of the 
application and budget forms, the assurances, and the certifications. 
However, the application form, the assurances, and the certifications 
must each have an original signature. No grant may be awarded unless a 
completed application form has been received.

FOR APPLICATIONS CONTACT: The Grants and Contracts Service Team, 
Department of Education, 600 Independence Avenue S.W., Switzer 
Building, 3317, Washington, D.C. 20202, or call (202) 205-8207. 
Individuals who use a telecommunications device for the deaf (TDD) may 
call the TDD number at (202) 205-9860. The preferred method for 
requesting information is to FAX your request to (202) 205-8717.
    Information about the Department's funding opportunities, including 
copies of application notices for discretionary grant competitions, can 
be viewed on the Department's electronic bulletin board (ED Board), 
telephone (202) 260-9950; on the Internet Gopher Server (at gopher://
gcs.ed.gov); or on the World Wide Web (at http://gcs.ed.gov). However, 
the official application notice for a discretionary grant competition 
is the notice published in the Federal Register.

    Program Authority: 29 U.S.C. 760-762.

    Dated: May 6, 1997.
Judith E. Heumann,
Assistant Secretary for Special Education and Rehabilitative Services.

Appendix

Application Forms and Instructions

    Applicants are advised to reproduce and complete the application 
forms in this Section. Applicants are required to submit an original 
and two copies of each application as provided in this Section.

Frequent Questions

    1. CAN I GET AN EXTENSION OF THE DUE DATE?
    No! On rare occasions the Department of Education may extend a 
closing date for all applicants. If that occurs, a notice of the 
revised due date is published in the Federal Register. However, 
there are no extensions or exceptions to the due date made for 
individual applicants.
    2. WHAT SHOULD BE INCLUDED IN THE APPLICATION?
    The application should include a project narrative, vitae of key 
personnel, and a budget, as well as the Assurances forms included in 
this package. Vitae of staff or consultants should include the 
individual's title and role in the proposed project, and other 
information that is specifically pertinent to this proposed project. 
The budgets for both the first year and all subsequent project years 
should be included.

[[Page 25774]]

    If collaboration with another organization is involved in the 
proposed activity, the application should include assurances of 
participation by the other parties, including written agreements or 
assurances of cooperation. It is not useful to include general 
letters of support or endorsement in the application.
    If the applicant proposes to use unique tests or other 
measurement instruments that are not widely known in the field, it 
would be helpful to include the instrument in the application.
    Many applications contain voluminous appendices that are not 
helpful and in many cases cannot even be mailed to the reviewers. It 
is generally not helpful to include such things as brochures, 
general capability statements of collaborating organizations, maps, 
copies of publications, or descriptions of other projects completed 
by the applicant.
    3. WHAT FORMAT SHOULD BE USED FOR THE APPLICATION?
    NIDRR generally advises applicants that they may organize the 
application to follow the selection criteria that will be used. The 
specific review criteria vary according to the specific program, and 
are contained in this Consolidated Application Package.
    4. MAY I SUBMIT APPLICATIONS TO MORE THAN ONE NIDRR PROGRAM 
COMPETITION OR MORE THAN ONE APPLICATION TO A PROGRAM?
    Yes, you may submit applications to any program for which they 
are responsive to the program requirements. You may submit the same 
application to as many competitions as you believe appropriate. You 
may also submit more than one application in any given competition.
    5. WHAT IS THE ALLOWABLE INDIRECT COST RATE?
    The limits on indirect costs vary according to the program and 
the type of application.
    An applicant for a project in the R&D or D&U grant programs is 
limited to the organization's approved indirect cost rate. If the 
organization does not have an approved indirect cost rate, the 
application should include an estimated actual rate.
    An applicant for a project in the RRTC program is limited to an 
indirect cost rate of 15 percent.
    6. CAN PROFITMAKING BUSINESSES APPLY FOR GRANTS?
    Yes. However, for-profit organizations will not be able to 
collect a fee or profit on the grant, and in some programs will be 
required to share in the costs of the project.
    7. CAN INDIVIDUALS APPLY FOR GRANTS?
    No. Only organizations are eligible to apply for grants under 
NIDRR programs. However, individuals are the only entities eligible 
to apply for fellowships.
    8. CAN NIDRR STAFF ADVISE ME WHETHER MY PROJECT IS OF INTEREST 
TO NIDRR OR LIKELY TO BE FUNDED?
    No. NIDRR staff can advise you of the requirements of the 
program in which you propose to submit your application. However, 
staff cannot advise you of whether your subject area or proposed 
approach is likely to receive approval.
    9. HOW DO I ASSURE THAT MY APPLICATION WILL BE REFERRED TO THE 
MOST APPROPRIATE PANEL FOR REVIEW?
    Applicants should be sure that their applications are referred 
to the correct competition by clearly including the competition 
title and CFDA number, including alphabetical code, on the Standard 
Form 424, and including a project title that describes the project.
    10. HOW SOON AFTER SUBMITTING MY APPLICATION CAN I FIND OUT IF 
IT WILL BE FUNDED?
    The time from closing date to grant award date varies from 
program to program. Generally speaking, NIDRR endeavors to have 
awards made within five to six months of the closing date.
    Unsuccessful applicants generally will be notified within that 
time frame as well. For the purpose of estimating a project start 
date, the applicant should estimate approximately six months from 
the closing date, but no later than the following September 30.
    11. CAN I CALL NIDRR TO FIND OUT IF MY APPLICATION IS BEING 
FUNDED?
    No. When NIDRR is able to release information on the status of 
grant applications, it will notify applicants by letter. The results 
of the peer review cannot be released except through this formal 
notification.
    12. IF MY APPLICATION IS SUCCESSFUL, CAN I ASSUME I WILL GET THE 
REQUESTED BUDGET AMOUNT IN SUBSEQUENT YEARS?
    No. Funding in subsequent years is subject to availability of 
funds and project performance.
    13. WILL ALL APPROVED APPLICATIONS BE FUNDED?
    No. It often happens that the peer review panels approve for 
funding more applications than NIDRR can fund within available 
resources. Applicants who are approved but not funded are encouraged 
to consider submitting similar applications in future competitions.

BILLING CODE 4000-01-P

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BILLING CODE 4000-01-C

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    Public reporting burden for these collections of information is 
estimated to average 30 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information.
    Send comments regarding this burden estimate or any other aspect 
of these collections of information, including suggestions for 
reducing this burden, to: the U.S. Department of Education, 
Information Management and Compliance Division, Washington, D.C. 
20202-4651; and to the Office of Management and Budget, Paperwork 
Reduction Project 1820-0027, Washington, D.C. 20503.
    Research and Demonstration Projects (CFDA No. 84.133A) 34 CFR 
Parts 350 and 351.
    Rehabilitation Research and Training Center (CFDA No. 84.133B) 
34 CFR Parts 350 and 352.
    Knowledge Dissemination and Utilization Program (CFDA No. 
84.133D) 34 CFR Parts 350 and 355.

Assurances--Non-Construction Programs

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

    As the duly authorized representative of the applicant I certify 
that the applicant:
    1. Has the legal authority to apply for Federal assistance, and 
the institutional, managerial and financial capability (including 
funds sufficient to pay the non-Federal share of project costs) to 
ensure proper planning, management and completion of the project 
described in this application.
    2. Will give the awarding agency, the Comptroller General of the 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 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. 290dd-3 and 290ee-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 Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401 
et seq.); (g) protection of underground sources of drinking water 
under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered 
Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

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

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

----------------------------------------------------------------------
Applicant Organization
----------------------------------------------------------------------
Date submitted

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

    Applicants should refer to the regulations cited below to 
determine the certification to which they are required to attest. 
Applicants should also review the instructions for certification 
included in the regulations before completing this form. Signature 
of this form provides for compliance with certification requirements 
under 34 CFR Part 82, ``New Restrictions on Lobbying,'' and 34

[[Page 25781]]

CFR Part 85, ``Government-wide Debarment and Suspension 
(Nonprocurement) and Government-wide Requirements for Drug-Free 
Workplace (Grants).'' The certifications shall be treated as a 
material representation of fact upon which reliance will be placed 
when the Department of Education determines to award the covered 
transaction, grant, or cooperative agreement.

1. Lobbying

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

2. Debarment, Suspension, and Other Responsibility Matters

    As required by Executive Order 12549, Debarment and Suspension, 
and implemented at 34 CFR Part 85, for prospective participants in 
primary covered transactions, as defined at 34 CFR Part 85, Sections 
85.105 and 85.110--
    A. The applicant certifies that it and its principles:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared intelligible, 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 indicated 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 employees 
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 
in at 34 CFR Part 85, Sections 85.605 and 85.610--
    A. As a condition of the grant, I certify that I will not engage 
in the unlawful manufacture, distribution, dispensing, possession, 
or use of a controlled substance in conducting any activity with the 
grant; and
    B. If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, I will 
report the conviction, in writing, within 10 calendar days of the 
conviction, to: Director, Grants and Contracts Service, U.S. 
Department of Education, 400 Maryland Avenue, 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

[[Page 25782]]

threshold and tier requirements stated at Section 85.110.

Instructions for Certification

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

Certification

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

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

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

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

Date

BILLING CODE 4000-01-P

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[FR Doc. 97-12258 Filed 5-8-97; 8:45 am]
BILLING CODE 4000-01-C