[Federal Register Volume 64, Number 33 (Friday, February 19, 1999)]
[Notices]
[Pages 8448-8461]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-4080]



[[Page 8447]]

_______________________________________________________________________

Part II





Department of Education





_______________________________________________________________________



Bilingual Education: State Grant Program; Inviting Applications for New 
Awards for Fiscal Year 1999; Notice

  Federal Register / Vol. 64, No. 33 / Friday, February 19, 1999 / 
Notices  

[[Page 8448]]


-----------------------------------------------------------------------


DEPARTMENT OF EDUCATION

[CFDA No.: 84.194Q]


Bilingual Education: State Grant Program; Notice Inviting 
Applications for New Awards for Fiscal Year (FY) 1999.

    Note to Applicants: This notice is a complete application 
package. Together with the statute authorizing the program and 
applicable regulations governing the program, including the 
Education Department General Administrative Regulations (EDGAR), 
this notice contains all of the information, application forms, and 
instructions needed to apply for an award under this competition. 
The statutory authorization for this program and the application 
requirements that apply to this competition are contained in section 
7134 of the Elementary and Secondary Education Act of 1965, as 
amended by the Improving America's Schools Act of 1994 (Pub. L. 103-
382, enacted October 20, 1994 (the Act) (20 U.S.C. 7454)).

Purpose of Program

    This program provides grants to State educational agencies to--(1) 
assist local educational agencies in the State with program design, 
capacity building, assessment of student performance, and program 
evaluation; and (2) collect data on the State's limited English 
proficient (LEP) population and the educational programs and services 
available to that population. However, a State is exempt from the 
requirements to collect data if it did not, as of October 20, 1994, 
have a system in place for collecting the data.
    Eligible Applicants: State Educational Agencies.
    Deadline for Transmittal of Applications: March 22, 1999.
    Deadline for Intergovernmental Review: May 21, 1999.
    Available Funds: $2,080,000.
    Estimated Number of Awards: 11.

    Note: The Department is not bound by any estimates in this 
notice.

    Project Period: 36 months.
    Applicable Regulations: (a) The Education Department General 
Administrative Regulations in 34 CFR Parts 74, 75, 77, 79, 80, 81, 82, 
85, and 86; and (b) the regulations in 34 CFR Part 299.

Description of Program

    Funds under this program are to be used to assist local educational 
agencies in the State with program design, capacity building, 
assessment of student performance, and program evaluation. In addition, 
grantees are required to collect data on the State's LEP population and 
the educational programs and services available to that population 
unless a grantee's State did not, as of October 20, 1994, have a system 
for collecting data in place. However, a State that develops a system 
for collecting data on the educational programs and services available 
to all LEP students in the State subsequent to October 20, 1994 must 
meet this requirement. A grantee may also use funds provided under this 
program for the training of State educational agency personnel in 
educational issues affecting limited English proficient children and 
youth.

Selection Criteria

    (a)(1) The Secretary uses the following selection criteria under 34 
CFR 75.209 and 75.210 of EDGAR and section 7134 of the Act to evaluate 
applications for new grants under this competition.
    (2) The maximum score for all of these criteria is 100 points.
    (3) The maximum score for each criterion is indicated in 
parentheses.
    (b) The criteria.--(1) Providing for the education of children and 
youth with limited English proficiency. (20 points) The Secretary 
reviews each application to determine how effectively the applicant 
provides, through its own programs and other Federal education 
programs, for the education of limited English proficient children 
within its State.
    (2) Need for the project. (15 points) (i) The Secretary considers 
the need for the proposed project.
    (ii) In determining the need for the proposed project, the 
Secretary considers the magnitude of the need for the services to be 
provided or the activities to be carried out by the proposed project.
    (3) Quality of the project design. (25 points) (i) The Secretary 
considers the quality of the design of the proposed project.
    (ii) In determining the quality of the design of the proposed 
project, the Secretary considers the following factors:
    (A) The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable.
    (B) The extent to which the proposed project is designed to build 
capacity and yield results that will extend beyond the period of 
Federal financial assistance.
    (C) The extent to which the proposed project will be coordinated 
with similar or related efforts, and with other appropriate community, 
State, and Federal resources.
    (4) Quality of project services. (15 points) (i) The Secretary 
considers the quality of the services to be provided by the proposed 
project.
    (ii) In determining the quality of the services to be provided by 
the proposed project, the Secretary considers the quality and 
sufficiency of strategies for ensuring equal access and treatment for 
eligible project participants who are members of groups that have 
traditionally been underrepresented based on race, color, national 
origin, gender, age, or disability.
    (iii) In addition, the Secretary considers the following factors:
    (A) The extent to which the services to be provided by the proposed 
project are appropriate to the needs of the intended recipients or 
beneficiaries of those services.
    (B) The extent to which entities that are to be served by the 
proposed technical assistance project demonstrate support for the 
project.
    (C) The extent to which the technical assistance services to be 
provided by the proposed project involve the use of efficient 
strategies, including the use of technology, as appropriate, and the 
leveraging of non-project resources.
    (5) Quality of project personnel. (10 points) (i) The Secretary 
considers the quality of the personnel who will carry out the proposed 
project.
    (ii) In determining the quality of project personnel, the Secretary 
considers the extent to which the applicant encourages applications for 
employment from persons who are members of groups that have 
traditionally been underrepresented based on race, color, national 
origin, gender, age, or disability.
    (iii) In addition, the Secretary considers the following factors:
    (A) The qualifications, including relevant training and experience, 
of the project director or principal investigator.
    (B) The qualifications, including relevant training and experience, 
of key project personnel.
    (6) Adequacy of resources: (5 points) (i) The Secretary considers 
the adequacy of resources for the proposed project.
    (ii) In determining the adequacy of resources for the proposed 
project, the Secretary considers the following factors:
    (A) The adequacy of support, including facilities, equipment, 
supplies, and other resources, from the applicant organization or the 
lead applicant organization.
    (B) The extent to which the budget is adequate to support the 
proposed project.
    (C) The extent to which the costs are reasonable in relation to the 
objectives, design, and potential significance of the proposed project.

[[Page 8449]]

    (7) Quality of the project evaluation. (10 points) (i) The 
Secretary considers the quality of the evaluation to be conducted of 
the proposed project.
    (ii) In determining the quality of the evaluation, the Secretary 
considers the following factors:
    (A) The extent to which the methods of evaluation are thorough, 
feasible, and appropriate to the goals, objectives, and outcomes of the 
proposed project.
    (B) The extent to which the methods of evaluation are appropriate 
to the context within which the project operates.

Intergovernmental Review of Federal Programs

    This program is subject to the requirements of Executive Order 
12372 (Intergovernmental Review of Federal Programs) and the 
regulations in 34 CFR Part 79.
    The objective of the Executive order is to foster an 
intergovernmental partnership and to strengthen federalism by relying 
on State and local processes for State and local government 
coordination and review of proposed Federal financial assistance.
    Applicants must contact the appropriate State Single Point of 
Contact to find out about, and to comply with, the State's process 
under Executive Order 12372. Applicants proposing to perform activities 
in more than one State should immediately contact the Single Point of 
Contact for each of those States and follow the procedure established 
in each State under the Executive order. If you want to know the name 
and address of any State Single Point of Contact, see the list 
published in the Federal Register on November 3, 1998 (63 FR 59452 
through 59455).
    In States that have not established a process or chosen a program 
for review, State, areawide, regional, and local entities may submit 
comments directly to the Department.
    Any State Process Recommendation and other comments submitted by a 
State Single Point of Contact and any comments from State, areawide, 
regional, and local entities must be mailed or hand-delivered by the 
date indicated in this notice to the following address: The Secretary, 
E.O. 12372-CFDA# 84.194Q, U.S. Department of Education, Room 6213, 400 
Maryland Avenue, SW., Washington, D.C. 20202-0124.
    Proof of mailing will be determined on the same basis as 
applications (see 34 CFR 75.102). Recommendations or comments may be 
hand-delivered until 4:30 p.m. (Washington, D.C. time) on the date 
indicated in this notice.
    Please note that the above address is not the same address as the 
one to which the applicant submits its completed application. Do not 
send applications to the above address. Instructions for transmittal of 
applications:
    (a) If an applicant wants to apply for a grant, the applicant 
shall--
    (1) Mail the original and one copy of the application on or before 
the deadline date to: U.S. Department of Education, Application Control 
Center, Attention: (CFDA 84.194Q), Washington, D.C. 20202-4725 or
    (2) Hand deliver the original and one copy of the application by 
4:30 p.m. (Washington, D.C. time) on or before the deadline date to: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA# 84.194Q), Room #3633, Regional Office Building #3, 7th and D 
Streets, SW., Washington, D.C.
    (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) The Application Control Center will mail a Grant Application 
Receipt Acknowledgement 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 
U.S. Department of Education Application Control Center at (202) 
708-9495.
    (3) The applicant must indicate on the envelope and--if not 
provided by the Department--in Item 3 of the Application for Federal 
Assistance (Standard Form 424) the CFDA Number--and suffix letter, 
if any--of the competition under which the application is being 
submitted.

Application Instructions and Forms

    The appendix to this notice contains the following forms and 
instructions, plus a statement regarding estimated public reporting 
burden, a notice to applicants regarding compliance with section 427 of 
the General Education Provisions Act, various assurances and 
certifications, checklist for applicants, and required documentation:
    a. Application for Federal Assistance (Standard Form 424 (Rev. 4-
88)) and instructions.
    b. Budget Information--Non-Construction Programs (ED Form No. 524) 
and instructions.
    c. Instructions for the Application Narrative.
    d. Estimated Public Reporting Burden Statement.
    e. Assurances--Non-Construction Programs (Standard Form 424B) and 
instructions.
    f. Certifications Regarding Lobbying; Debarment, Suspension and 
Other Responsibility Matters; and Drug-Free Workplace Requirements (ED 
80-0013) and instructions.
    g. Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions (ED 80-0014, 9/90) 
and instructions. (NOTE: This form is intended for the use of grantees 
and should not be transmitted to the Department.)
    h. Disclosure of Lobbying Activities (Standard Form LLL) (if 
applicable) and instructions.
    i. Notice to All Applicants.
    j. Checklist for Applicants.
    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.
    All applicants must submit one original signed application, 
including ink signatures on all forms and assurances, and one copy of 
the application. Please mark each application as ``original'' or 
``copy.'' No grant may be awarded unless a completed application form 
has been received.
FOR FURTHER INFORMATION CONTACT: Luis A. Catarineau, U.S. Department of 
Education, 400 Maryland Avenue, SW., room 5623, Switzer Building, 
Washington, D.C. 20202-6510. Telephone: (202) 205-9907. Individuals who 
use a telecommunications device for the deaf (TDD) may call the Federal 
Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8 
p.m., Eastern time, Monday through Friday.
    Individuals with disabilities may obtain this notice in an 
alternate format (e.g., Braille, large print, audiotape, or computer 
diskette) on request to the contact person listed in the preceding 
paragraph. Please note, however, that the Department is not able to 
reproduce

[[Page 8450]]

in an alternate format the standard forms included in the notice.

Electronic Access to This Document

    Anyone may view this document, as well as all other Department of 
Education documents published in the Federal Register, in text or 
portable document format (pdf) on the World Wide Web at either of the 
following sites:

http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/news.html

    To use the pdf you must have the Adobe Acrobat Reader Program with 
Search, which is available free at either of the preceding sites. If 
you have questions about using the pdf, call the U.S. Government 
Printing Office toll free at 1-888-293-6498.
    Anyone may also view these documents in text copy only on an 
electronic bulletin board of the Department. Telephone: (202) 219-1511 
or, toll free, 1-800-222-4922. The documents are located under Option 
G--Files/Announcements, Bulletins and Press Releases.

    Note: The official version of this document is the document 
published in the Federal Register.

    Program Authority: 20 U.S.C. 7454.

    Dated: February 12, 1999.
Delia Pompa,
Director, Office of Bilingual Education and Minority Languages Affairs.

Estimated Public Reporting Burden Statement

    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 OMB control number for this 
information collection is 1885-0541. Expiration date: December 31, 
2001. The time required to complete this information collection is 
estimated to average 60 hours per response, including the time to 
review instructions, search existing data resources, gather the data 
needed, and complete and review the information collection. If you have 
any comments concerning the accuracy of the time estimate or 
suggestions for improving this form, please write to: U. S. Department 
of Education, Washington, D.C. 20202-4651.
    If you have comments or concerns regarding the status of your 
individual submission of this form, write directly to: Office of 
Bilingual Education and Minority Languages Affairs, U. S. Department of 
Education, 400 Maryland Avenue, SW., Room 5623, Mary E. Switzer 
Building, Washington, D. C. 20202-6510.

Instructions for the Application Narrative

Abstract

    The narrative section should begin with an abstract that includes a 
short description of the LEP population in the State, project 
objectives, and planned project activities.

Selection Criteria

    The narrative should address fully all aspects of the selection 
criteria in the order listed and should give detailed information 
regarding each criterion. Do not simply paraphrase the criteria.

Table of Contents

    The application should include a table of contents listing the 
sections in the order required.

Budget

    Budget line items must support the goals and objectives of the 
proposed project and must be directly related to the instructional 
design and all other project components.

Checklist for Applicants

    The following forms and other items must be included in the 
application in the order listed below:
    1. Application for Federal Assistance Form (SF 424).
    2. Budget Information Form (ED Form No. 524)
    3. Itemized budget for each year.
    4. Assurances--Non-Construction Programs Form (SF 424B)
    5. Certifications, Regarding Lobbying; Debarment, Suspension and 
Other Responsibility Matters; and Drug-Free Workplace Requirements Form 
(ED 80-0013).
    6. Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions (ED 80-0014) (if 
applicable).
    7. Disclosure of Lobbying Activities Form (SF-LLL)
    8. Notice to All Applicants (OMB Control No. 1801-0004)--
Information that addresses section 427 of the General Education 
Provisions Act.
    9. Table of Contents.
    10. Application Narrative, including abstract.
    11. One original and one copy of the application for transmittal to 
the Education Department's Application Control Center.

BILLING CODE 4000-01-P

[[Page 8451]]

[GRAPHIC] [TIFF OMITTED] TN19FE99.000


BILLING CODE 4000-01-C

[[Page 8452]]

Instructions for ED 424

    1. Legal Name and Address. Enter the legal name of applicant and 
the name of the primary organizational unit which will undertake the 
assistance activity.
    2. D-U-N-S Number. Enter the applicant's D-U-N-S Number. If your 
organization does not have a D-U-N-S Number, you can obtain the 
number by calling 1-800-333-0505 or by completing a D-U-N-S Number 
Request Form. The form can be obtained via the Internet at the 
following URL: http://www.dnb.com/dbis/aboutdb/intlduns.htm.
    3. Catalog of Federal Domestic Assistance (CFDA) Number. Enter 
the CFDA number and title of the program under which assistance is 
requested.
    4. Project Director. Name, address, telephone and fax numbers, 
and e-mail address of the person to be contacted on matters 
involving this application.
    5. Federal Debt Delinquency. Check ``Yes'' if the applicant's 
organization is delinquent on any Federal debt. (This question 
refers to the applicant's organization and not to the person who 
signs as the authorized representative. Categories of debt include 
delinquent audit disallowances, loans and taxes.) Otherwise, check 
``No.''
    6. Type of Applicant. Enter the appropriate letter in the box 
provided.
    7. Novice Applicant. Check ``Yes'' only if assistance is being 
requested under a program that gives special consideration to novice 
applicants and you meet the program requirements for novice 
applicants. By checking ``Yes'' the applicant certifies that it 
meets the novice applicant requirements specified by ED. Otherwise, 
check ``No.''
    8. Type of Submission. Self-explanatory.
    9. Executive Order 12372. Check ``Yes'' if the application is 
subject to review by Executive Order 12372. Also, please enter the 
month, date, and four (4) digit year (e.g., 12/12/2000). Applicants 
should contact the State Single Point of Contact (SPOC) for Federal 
Executive Order 12372 to determine whether the application is 
subject to the State intergovernmental review process. Otherwise, 
check ``No.''
    10. Proposed Project Dates. Please enter the month, date, and 
four (4) digit year (e.g., 12/12/2000).
    11. Human Subjects. Check ``Yes'' or ``No''. If research 
activities involving human subjects are not planned at any time 
during the proposed project period, check ``No.'' The remaining 
parts of item 11 are then not applicable.
    If research activities involving human subjects, whether or not 
exempt from Federal regulations for the protection of human 
subjects, are planned at any time during the proposed project 
period, either at the applicant organization or at any other 
performance site or collaborating institution, check ``Yes.'' If all 
the research activities are designated to be exempt under the 
regulations, enter, in item 11a, the exemption number(s) 
corresponding to one or more of the six exemption categories listed 
in ``Protection of Human Subjects in Research'' attached to this 
form. Provide sufficient information in the application to allow a 
determination that the designated exemptions in item 11a, are 
appropriate. Provide this narrative information in an ``Item 11/
Protection of Human Subjects Attachment'' and insert this attachment 
immediately following the ED 424 face page. Skip the remaining parts 
of item 11.
    If some or all of the planned research activities involving 
human subjects are covered (nonexempt), skip item 11a and continue 
with the remaining parts of item 11, as noted below. In addition, 
follow the instructions in ``Protection of Human Subjects in 
Research'' attached to this form to prepare the six-point narrative 
about the nonexempt activities. Provide this six-point narrative in 
an ``Item 11/Protection of Human Subjects Attachment'' and insert 
this attachment immediately following the ED 424 face page.
    If the applicant organization has an approved Multiple Project 
Assurance of Compliance on file with the Grants Policy and Oversight 
Staff (GPOS), U.S. Department of Education, or with the Office for 
Protection from Research Risks (OPRR), National Institutes of 
Health, U.S. Department of Health and Human Services, that covers 
the specific activity, enter the Assurance number in item 11b and 
the date of approval by the Institutional Review Board (IRB) of the 
proposed activities in item 11c. This date must be no earlier than 
one year before the receipt date for which the application is 
submitted and must include the four (4) digit year (e.g., 2000). 
Check the type of IRB review in the appropriate box. An IRB may use 
the expedited review procedure if it complies with the requirements 
of 34 CFR 97.110. If the IRB review is delayed beyond the submission 
of the application, enter ``Pending'' in item 11c. If your 
application is recommended/selected for funding, a follow-up 
certification of IRB approval from an official signing for the 
applicant organization must be sent to and received by the 
designated ED official within 30 days after a specific formal 
request from the designated ED official. If the applicant 
organization does not have on file with GPOS or OPRR an approved 
Assurance of Compliance that covers the proposed research activity, 
enter ``None'' in item 11b and skip 11c. In this case, the applicant 
organization, by the signature on the application, is declaring that 
it will comply with 34 CFR 97 within 30 days after a specific formal 
request from the designated ED official for the Assurance(s) and IRB 
certifications.
    12. Project Title. Enter a brief descriptive title of the 
project. If more than one program is involved, you should append an 
explanation on a separate sheet. If appropriate (e.g., construction 
or real property projects), attach a map showing project location. 
For preapplications, use a separate sheet to provide a summary 
description of this project.
    13. Estimated Funding. Amount requested or to be contributed 
during the first funding/budget period by each contributor. Value of 
in-kind contributions should be included on appropriate lines as 
applicable. If the action will result in a dollar change to an 
existing award, indicate only the amount of the change. For 
decreases, enclose the amounts in parentheses. If both basic and 
supplemental amounts are included, show breakdown on an attached 
sheet. For multiple program funding, use totals and show breakdown 
using same categories as item 13.
    14. Certification. To be signed by the authorized representative 
of the applicant. A copy of the governing body's authorization for 
you to sign this application as official representative must be on 
file in the applicant's office.
    Be sure to enter the telephone and fax number and e-mail address 
of the authorized representative. Also, in item 14e, please enter 
the month, date, and four (4) digit year (e.g., 12/12/2000) in the 
date signed field.

Paperwork Burden Statement

    According to the Paperwork Reduction Act of 1995, no persons are 
required to respond to a collection of information unless such 
collection displays a valid OMB control number. The valid OMB 
control number for this information collection is 1875-0106. The 
time required to complete this information collection is estimated 
to average between 15 and 45 minutes per response, including the 
time to review instructions, search existing data resources, gather 
the data needed, and complete and review the information collection. 
If you have any comments concerning the accuracy of the estimate(s) 
or suggestions for improving this form, please write to: U.S. 
Department of Education, Washington, D.C. 20202-4651. If you have 
comments or concerns regarding the status of your individual 
submission of this form write directly to: Joyce I. Mays, 
Application Control Center, U.S. Department of Education, 7th and D 
Streets, S.W. ROB-3, Room 3633, Washington, D.C. 20202-4725.

Protection of Human Subjects in Research (Attachment to ED 424)

I. Instructions to Applicants About the Narrative Information That Must 
Be Provided if Research Activities Involving Human Subjects are Planned

    If you marked item 11 on the application ``Yes'' and designated 
exemptions in 11a, (all research activities are exempt), provide 
sufficient information in the application to allow a determination 
that the designated exemptions are appropriate. Research involving 
human subjects that is exempt from the regulations is discussed 
under II.B. ``Exemptions,'' below. The Narrative must be succinct. 
Provide this information in an ``Item 11/Protection of Human 
Subjects Attachment'' and insert this attachment immediately 
following the ED 424 face page.
    If you marked ``Yes'' to item 11 on the face page, and 
designated no exemptions from the regulations (some or all of the 
research activities are nonexempt), address the following six points 
for each nonexempt activity. In addition, if research involving 
human subjects will take place at collaborating site(s) or other 
performance site(s), provide this information before discussing the 
six points. Although no specific page limitation applies to this 
section of the application, be succinct. Provide the six-point 
narrative and discussion of other performance sites in an ``Item 11/
Protection of Human Subjects

[[Page 8453]]

Attachment'' and insert this attachment immediately following the ED 
424 face page.
    (1) Provide a detailed description of the proposed involvement 
of human subjects. Describe the characteristics of the subject 
population, including their anticipated number, age range, and 
health status. Identify the criteria for inclusion or exclusion of 
any subpopulation. Explain the rationale for the involvement of 
special classes of subjects, such as children, children with 
disabilities, adults with disabilities, persons with mental 
disabilities, pregnant women, prisoners, institutionalized 
individuals, or others who are likely to be vulnerable.
    (2) Identify the sources of research material obtained from 
individually identifiable living human subjects in the form of 
specimens, records, or data. Indicate whether the material or data 
will be obtained specifically for research purposes or whether use 
will be made of existing specimens, records, or data.
    (3) Describe plans for the recruitment of subjects and the 
consent procedures to be followed. Include the circumstances under 
which consent will be sought and obtained, who will seek it, the 
nature of the information to be provided to prospective subjects, 
and the method of documenting consent. State if the Institutional 
Review Board (IRB) has authorized a modification or waiver of the 
elements of consent or the requirement for documentation of consent.
    (4) Describe potential risks (physical, psychological, social, 
legal, or other) and assess their likelihood and seriousness. Where 
appropriate, describe alternative treatments and procedures that 
might be advantageous to the subjects.
    (5) Describe the procedures for protecting against or minimizing 
potential risks, including risks to confidentiality, and assess 
their likely effectiveness. Where appropriate, discuss provisions 
for ensuring necessary medical or professional intervention in the 
event of adverse effects to the subjects. Also, where appropriate, 
describe the provisions for monitoring the data collected to ensure 
the safety of the subjects.
    (6) Discuss why the risks to subjects are reasonable in relation 
to the anticipated benefits to subjects and in relation to the 
importance of the knowledge that may reasonably be expected to 
result.

II. Information on Research Activities Involving Human Subjects

A. Definitions

    A research activity involves human subjects if the activity is 
research, as defined in the Department's regulations, and the 
research activity will involve use of human subjects, as defined in 
the regulations.

--Is It a Research Activity?

    The ED Regulations for the Protection of Human Subjects, Title 
34, Code of Federal Regulations, Part 97, define research as ``a 
systematic investigation, including research development, testing 
and evaluation, designed to develop or contribute to generalizable 
knowledge.'' If an activity follows a deliberate plan whose purpose 
is to develop or contribute to generalizable knowledge, such as an 
exploratory study or the collection of data to test a hypothesis, it 
is research. Activities which meet this definition constitute 
research whether or not they are conducted or supported under a 
program which is considered research for other purposes. For 
example, some demonstration and service programs may include 
research activities.

--Is It a Human Subject?

    The regulations define human subject as ``a living individual 
about whom an investigator (whether professional or student) 
conducting research obtains (1) data through intervention or 
interaction with the individual, or (2) identifiable private 
information.'' (1) If an activity involves obtaining information 
about a living person by manipulating that person or that person's 
environment, as might occur when a new instructional technique is 
tested, or by communicating or interacting with the individual, as 
occurs with surveys and interviews, the definition of human subject 
is met. (2) If an activity involves obtaining private information 
about a living person in such a way that the information can be 
linked to that individual (the identity of the subject is or may be 
readily determined by the investigator or associated with the 
information), the definition of human subject is met. [Private 
information includes information about behavior that occurs in a 
context in which an individual can reasonably expect that no 
observation or recording is taking place, and information which has 
been provided for specific purposes by an individual and which the 
individual can reasonably expect will not be made public (for 
example, a school health record).]

B. Exemptions

    Research activities in which the only involvement of human 
subjects will be in one or more of the following six categories of 
exemptions are not covered by the regulations:
    (1) Research conducted in established or commonly accepted 
educational settings, involving normal educational practices, such 
as (a) research on regular and special education instructional 
strategies, or (b) research on the effectiveness of or the 
comparison among instructional techniques, curricula, or classroom 
management methods.
    (2) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures or observation of public behavior, unless: (a) 
information obtained is recorded in such a manner that human 
subjects can be identified, directly or through identifiers linked 
to the subjects; and (b) any disclosure of the human subjects' 
responses outside the research could reasonably place the subjects 
at risk of criminal or civil liability or be damaging to the 
subjects' financial standing, employability, or reputation. If the 
subjects are children, this exemption applies only to research 
involving educational tests or observations of public behavior when 
the investigator(s) do not participate in the activities being 
observed. [Children are defined as persons who have not attained the 
legal age for consent to treatments or procedures involved in the 
research, under the applicable law or jurisdiction in which the 
research will be conducted.]
    (3) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures or observation of public behavior that is not exempt 
under section (2) above, if the human subjects are elected or 
appointed public officials or candidates for public office; or 
federal statute(s) require(s) without exception that the 
confidentiality of the personally identifiable information will be 
maintained throughout the research and thereafter.
    (4) Research involving the collection or study of existing data, 
documents, records, pathological specimens, or diagnostic specimens, 
if these sources are publicly available or if the information is 
recorded by the investigator in a manner that subjects cannot be 
identified, directly or through identifiers linked to the subjects.
    (5) Research and demonstration projects which are conducted by 
or subject to the approval of department or agency heads, and which 
are designed to study, evaluate, or otherwise examine: (a) public 
benefit or service programs; (b) procedures for obtaining benefits 
or services under those programs; (c) possible changes in or 
alternatives to those programs or procedures; or (d) possible 
changes in methods or levels of payment for benefits or services 
under those programs.
    (6) Taste and food quality evaluation and consumer acceptance 
studies, (a) if wholesome foods without additives are consumed or 
(b) if a food is consumed that contains a food ingredient at or 
below the level and for a use found to be safe, or agricultural 
chemical or environmental contaminant at or below the level found to 
be safe, by the Food and Drug Administration or approved by the 
Environmental Protection Agency or the Food Safety and Inspection 
Service of the U.S Department of Agriculture.
    Copies of the Department of Education's Regulations for the 
Protection of Human Subjects, 34 CFR Part 97 and other pertinent 
materials on the protection of human subjects in research are 
available from the Grants Policy and Oversight Staff (GPOS) Office 
of the Chief Financial and Chief Information Officer, U.S. 
Department of Education, Washington, D.C., telephone: (202) 708-
8263, and on the U.S. Department of Education's Protection of Human 
Subjects in Research Web Site at http://ocfo.ed.gov/humansub.htm.

BILLING CODE 4000-01-P

[[Page 8454]]

[GRAPHIC] [TIFF OMITTED] TN19FE99.001



[[Page 8455]]

[GRAPHIC] [TIFF OMITTED] TN19FE99.002


BILLING CODE 4000-01-C

[[Page 8456]]

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

Instructions for ED Form No. 524

General Instructions

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

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

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

Section B--Budget Summary: Non-Federal Funds

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

Section C--Other Budget Information: Pay Attention to Applicable 
Program Specific Instructions, if Attached.

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

Assurances--Non-Construction Programs (OMB Approval No. 0348-0040)

    Public reporting burden for this collection of information is 
estimated to average 15 minutes per response, including 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 the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0040), 
Washington, DC 20503.
    Please do not return your completed form to the Office of 
Management and Budget. Send it to the address provided by the 
sponsoring agency.

    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 cost) 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 19 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. Secs. 290 dd-3 and ee-
3), as amended, relating to confidentiality of alcohol and drug 
abuse patient records; (h) Title VIII of the Civil Rights Act of 
1968 (42 U.S.C. Sec. 3601 et seq.), as amended, relating to 
nondiscrimination in the sale, rental or financing of housing; (i) 
any other nondiscrimination provisions in the specific statute(s) 
under which application for Federal assistance is being made; and 
(j) the requirements of any other nondiscrimination statute(s) which 
may apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply, as applicable, 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

[[Page 8457]]

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. 
Secs. 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. 1721 et seq.) related to protecting components or 
potential components of the national wild and scenic river system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1996, as 
amended (16 U.S.C. Sec. 470), EO 11593 (identification and 
protection of historic properties), and the Archaeological and 
Historic Preservation Act of 1974 (16 U.S.C. Secs. 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. Secs. 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 
leadbased 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 Amendments 
of 1996 and OMB Circular No. A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations.''
    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---------------------------------------------------------
-----------------------------------------------------------------------


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

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

1. Lobbying

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

2. Debarment, Suspension, and Other Responsibility Matters

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

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

    As required by the Drug-Free Workplace Act of 1988, and 
implemented at 34 CFR Part 85, Subpart F, for grantees, as defined 
at 34 CFR Part 85, Sections 85.605 and 85.610--
    A. The applicant certifies that it will or will continue to 
provide a drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an on-going drug-free awareness program to 
inform employees about--
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will--
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for 
a violation of a criminal drug statute occurring in the workplace no 
later than five calendar days after such conviction;
    (e) Notifying the agency, in writing, within 10 calendar days 
after receiving notice under

[[Page 8458]]

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 
Policy and Oversight Staff, U.S. Department of Education, 600 
Independence Avenue, S.W. (Room 3652, GSA Regional Office Building 
No. 3), Washington, DC 20202-4248. 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 [  ] if there are workplaces on file that are not 
identified here.

Drug-Free Workplace (Grantees Who Are Individuals)

    As required by the Drug-Free Workplace Act of 1988, and 
implemented at 34 CFR Part 85, Subpart F, for grantees, as defined 
at 34 CFR Part 85, Sections 85.605 and 85.610--
    A. As a condition of the grant, I certify that I will not engage 
in the unlawful manufacture, distribution, dispensing, possession, 
or use of a controlled substance in conducting any activity with the 
grant; and
    B. If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, I will 
report the conviction, in writing, within 10 calendar days of the 
conviction, to: Director, Grants Policy and Oversight Staff, 
Department of Education, 600 Independence Avenue, S.W. (Room 3652, 
GSA Regional Office Building No. 3), Washington, DC 20202-4248. 
Notice shall include the identification number(s) of each affected 
grant.
    As the duly authorized representative of the applicant, I hereby 
certify that the applicant will comply with the above 
certifications.
----------------------------------------------------------------------
Name of applicant

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

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

Signature--------------------------------------------------------------

Date-------------------------------------------------------------------

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

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

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
lower tier participant is providing the certificate 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

[[Page 8459]]

[GRAPHIC] [TIFF OMITTED] TN19FE99.003


BILLING CODE 4000-01-C

[[Page 8460]]

Instructions for Completion of SF-LLL, Disclosure of Lobbying 
Activities

    This disclosure form shall be completed by the reporting entity, 
whether subawardee or prime Federal recipient, at the initiation or 
receipt of a covered Federal action, or a material change to a 
previous filing, pursuant to title 31 U.S.C. section 1352. The 
filing of a form is required for each payment or agreement to make 
payment to any lobbying entity 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 a covered Federal action. 
Complete all items that apply for both the initial filing and 
material change report. Refer to the implementing guidance published 
by the Office of Management and Budget for additional information.
    1. Identify the type of covered Federal action for which 
lobbying activity is and/or has been secured to influence the 
outcome of a covered Federal action.
    2. Identify the status of the covered Federal action.
    3. Identify the appropriate classification of this report. If 
this is a followup report caused by a material change to the 
information previously reported, enter the year and quarter in which 
the change occurred. Enter the date of the last previously submitted 
report by this reporting entity for this covered Federal action.
    4. Enter the full name, address, city, State and zip code of the 
reporting entity. Include Congressional District, if known. Check 
the appropriate classification of the reporting entity that 
designates if it is, or expects to be, a prime or subaward 
recipient. Identify the tier of the subawardee, e.g., the first 
subawardee of the prime is the 1st tier. Subawards include but are 
not limited to subcontracts, subgrants and contract awards under 
grants.
    5. If the organization filing the report in item 4 checks 
``Subawardee,'' then enter the full name, address, city, State and 
zip code of the prime Federal recipient. Include Congressional 
District, if known.
    6. Enter the name of the federal agency making the award or loan 
commitment. Include at least one organizational level below agency 
name, if known. For example, Department of Transportation, United 
States Coast Guard.
    7. Enter the Federal program name or description for the covered 
Federal action (item 1). If known, enter the full Catalog of Federal 
Domestic Assistance (CFDA) number for grants, cooperative 
agreements, loans, and loan commitments.
    8. Enter the most appropriate Federal identifying number 
available for the Federal action identified in item 1 (e.g., Request 
for Proposal (RFP) number; Invitations for Bid (IFB) number; grant 
announcement number; the contract, grant, or loan award number; the 
application/proposal control number assigned by the Federal agency). 
Include prefixes, e.g., ``RFP-DE-90-001.''
    9. For a covered Federal action where there has been an award or 
loan commitment by the Federal agency, enter the Federal amount of 
the award/loan commitment for the prime entity identified in item 4 
or 5.
    10. (a) Enter the full name, address, city, State and zip code 
of the lobbying registrant under the Lobbying Disclosure Act of 1995 
engaged by the reporting entity identified in item 4 to influence 
the covered Federal action.
    (b) Enter the full names of the individual(s) performing 
services, and include full address if different from 10(a). Enter 
Last Name, First Name, and Middle Initial (MI).
    11. The certifying official shall sign and date the form, print 
his/her name, title, and telephone number.
    According to the Paperwork Reduction Act, as amended, no persons 
are required to respond to a collection of information unless it 
displays a valid OMB control Number. The valid OMB control number 
for this information collection is OMB No. 0348-0046. Public 
reporting burden for this collection of information is estimated to 
average 10 minutes per response, including 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 the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0046), 
Washington, DC 20503.

Notice to All Applicants (OMB Control No. 1801-0004 (Exp. 8/31/2001))

    The purpose of this enclosure is to inform you about a new 
provision in the Department of Education's General Education 
Provisions Act (GEPA) that applies to applicants for new grant 
awards under Department programs. This provision is Section 427 of 
GEPA, enacted as part of the Improving America's Schools Act of 1994 
(Pub. L. 103-382).

To Whom Does This Provision Apply?

    Section 427 of GEPA affects applicants for new grant awards 
under this program. All applicants for new awards must include 
information in their applications to address this new provision in 
order to receive funding under this program.
    (If this program is a State-formula grant program, a State needs 
to provide this description only for projects or activities that it 
carries out with funds reserved for State-level uses. In addition, 
local school districts or other eligible applicants that apply to 
the State for funding need to provide this description in their 
applications to the State for funding. The State would be 
responsible for ensuring that the school district or other local 
entity has submitted a sufficient section 427 statement as described 
below.)

What Does This Provision Require?

    Section 427 requires each applicant for funds (other than an 
individual person) to include in its application a description of 
the steps the applicant proposes to take to ensure equitable access 
to, and participation in, its Federally-assisted program for 
students, teachers, and other program beneficiaries with special 
needs.
    This provision allows applicants discretion in developing the 
required description. The statute highlights six types of barriers 
that can impede equitable access or participation: gender, race, 
national origin, color, disability, or age. Based on local 
circumstances, you should determine whether these or other barriers 
may prevent your students, teachers, etc. from such access or 
participation in, the Federally-funded project or activity. The 
description in your application of steps to be taken to overcome 
these barriers need not be lengthy; you may provide a clear and 
succinct description of how you plan to address those barriers that 
are applicable to your circumstances. In addition, the information 
may be provided in a single narrative, or, if appropriate, may be 
discussed in connection with related topics in the application.
    Section 427 is not intended to duplicate the requirements of 
civil rights statutes, but rather to ensure that, in designing their 
projects, applicants for Federal funds address equity concerns that 
may affect the ability of certain potential beneficiaries to fully 
participate in the project and to achieve to high standards. 
Consistent with program requirements and its approved application, 
an applicant may use the Federal funds awarded to it to eliminate 
barriers it identifies.

What Are Examples of How an Applicant Might Satisfy the Requirement 
of This Provision?

    The following examples may help illustrate how an applicant may 
comply with Section 427.
    (1) An applicant that proposes to carry out an adult literacy 
project serving, among others, adults with limited English 
proficiency, might describe in its application how it intends to 
distribute a brochure about the proposed project to such potential 
participants in their native language.

[[Page 8461]]

    (2) An applicant that proposes to develop instructional 
materials for classroom use might describe how it will make the 
materials available on audio tape or in braille for students who are 
blind.
    (3) An applicant that proposes to carry out a model science 
program for secondary students and is concerned that girls may be 
less likely than boys to enroll in the course, might indicate how it 
intends to conduct ``outreach'' efforts to girls, to encourage their 
enrollment.
    We recognize that many applicants may already be implementing 
effective steps to ensure equity of access and participation in 
their grant programs, and we appreciate your cooperation in 
responding to the requirements of this provision.

Estimated Burden Statement for GEPA Requirements

    The time required to complete this information collection is 
estimated to vary from 1 to 3 hours per response, with an average of 
1.5 hours, including the time to review instructions, search 
existing data resources, gather and maintain the data needed, and 
complete and review the information collection. If you have any 
comments concerning the accuracy of the time estimate(s) or 
suggestions for improving this form, please write to: U.S. 
Department of Education, Washington, DC 20202-4651.

[FR Doc. 99-4080 Filed 2-18-99; 8:45 am]
BILLING CODE 4000-01-P