[Federal Register Volume 64, Number 221 (Wednesday, November 17, 1999)]
[Notices]
[Pages 62920-62941]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-30031]



[[Page 62919]]

_______________________________________________________________________

Part IV





Department of Education





English Literacy and Civics Education Demonstration Grants; Inviting 
Applications for New Awards for Fiscal Year 1999 Funds; Notice

  Federal Register / Vol. 64, No. 221 / Wednesday, November 17, 1999 / 
Notices  

[[Page 62920]]



DEPARTMENT OF EDUCATION

[CFDA No. 84.191]


English Literacy and Civics Education Demonstration Grants; 
Notice Inviting Applications for New Awards for Fiscal Year (FY) 1999 
Funds

    Note to Applicants: This notice is a complete application 
package. Together with the statute authorizing these grants and the 
Education Department General Administrative Regulations (EDGAR), 
this notice contains all of the information, application forms, and 
instructions needed to apply for a grant under this competition. 
These grants are authorized by Title II, section 243 of the 
Workforce Investment Act of 1998 (20 U.S.C. 9253).

    Purpose of program: The purpose of the English Literacy (EL) and 
Civics Education (EL/Civics education) program is to support projects 
that demonstrate effective practices in providing, and increasing 
access to, English literacy programs linked to civics education.
    Eligible applicants: Postsecondary educational institutions, and 
public or private organizations and agencies are eligible to receive 
grants under this program. A group of eligible entities, such as a 
consortium, is also eligible to receive a grant if the group follows 
the procedures for group applications in 34 CFR 75.127-129 of EDGAR.
    Deadline for transmittal of Applications: January 18, 2000.

    Note: See information on Technical Assistance Workshops under 
``Supplementary Information.''

    Deadline for Intergovernmental Review: March 16, 2000.
    Estimated Available Funds: $7,000,000.

    Note: The Secretary intends to reserve up to $200,000 from these 
funds for technical assistance and evaluation activities.

    Estimated Range of Awards: $180,000-$350,000 each year.
    Estimated Average Size of Awards: $265,000.
    Estimated Number of Awards: 20 to 25.
    Project Period: Up to 36 months.
    Please note that applicants for multi-year awards are required to 
provide detailed budget information for the total grant period 
requested. The Department will determine at the time of the initial 
award the funding levels for each year of the grant award.

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

    Page Limits: The application narrative is where an applicant 
addresses the selection criteria that are used by reviewers in 
evaluating the application. An applicant must limit the application 
narrative to the equivalent of not more than 30 double-spaced pages, or 
40 double-spaced pages for a group application. Information concerning 
the standards for page size and text is found in the Instructions for 
the Application Narrative in the Appendix to this notice. Applicants 
should note that if an application narrative exceeds these page limits, 
the application will not be reviewed.
    Applicable Regulations: The Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 80, 81, 
82, 85, and 86.

SUPPLEMENTARY INFORMATION: To become full participants in American life 
and to be successful as workers, parents and family members, and 
citizens, adults in the United States must be able to read and 
communicate in English. Evidence indicates that individuals with 
limited English proficiency are eager to learn English and the other 
skills needed to succeed in U.S. society. English literacy instruction 
is the fastest growing component of adult education, with enrollment in 
English literacy classes having increased 105 percent over the past 10 
years.
    In addition to learning English, to participate fully in American 
life, individuals must be able to understand and navigate governmental, 
educational, and workplace systems and key American institutions, such 
as banking and health care. The increasing number of individuals 
seeking citizenship has stimulated growth and interest in citizenship 
preparation classes. Many adults with limited proficiency in English, 
including migrant adults, have never attended high school in the United 
States and therefore have limited or no institutional civics education 
experience. The General Accounting Office estimates that high school 
dropout rates among migrant and seasonal farm workers range from 45 to 
90 percent. Additionally, the U.S. Department of Education's Office of 
Migrant Education reports that an increasing proportion of migrant 
workers are Hispanic, and, according to the National Center for 
Education Statistics, in 1997 the Hispanic population had the highest 
high school dropout rate of 25 percent.
    The growing demand for English literacy and civics education 
programs and services surpasses the availability of instruction. Some 
States have long waiting lists for these programs, and others simply 
turn away learners because there are no available classes. The demand 
for English literacy programs can be attributed in part to immigration 
and welfare reform efforts. Citizenship naturalizations have reached 
record highs, and applicants for citizenship must meet strict English 
literacy and civics requirements. Because of welfare reform efforts, 
several States are now providing employment-related English classes 
that help learners increase their English language skills while 
improving job-related skills. Although Federal and State grants for 
adult education programs provide funding for English literacy programs, 
citizenship classes, and related educational activities, additional 
services are needed to meet the high and increasing demand for English 
literacy and civics education programs.
    Research on teaching adults with limited English proficiency 
indicates that the use of a variety of instructional methods is 
effective in achieving successful outcomes. Such methods include the 
use of trained teachers and a variety of instructional teaching methods 
in contexts such as family and workplace that focus on meaningful 
activities that meet the language, literacy, and cultural needs of 
students. Diversity in teaching methods and support services has helped 
programs improve quality, provide more access to instruction, and 
increase learner and program outcomes to improve accountability. Some 
States have replicated and disseminated promising and effective 
practices, but there is a need for additional models of effective EL/
Civics education programs and services.

 Description of Program

    The EL/Civics education program is authorized under section 243 of 
the Adult Education and Family Literacy Act, which authorizes the 
Secretary to carry out a program of national leadership activities to 
enhance the quality of adult education and literacy programs 
nationwide, including grants to support demonstration programs.
    The EL/Civics education program provides financial assistance to 
establish or expand projects that demonstrate effective practices in 
providing English literacy programs that incorporate civics education 
and related support services into an integrated and coordinated program 
for individuals of limited English proficiency.
    Grants may be used to support a variety of activities and costs 
related to English language and civics education instruction, including 
the costs of staff and instructors, materials, staff training, and 
support services such as child care

[[Page 62921]]

and transportation costs for program participants.
    Under this program, the Secretary is especially interested in 
receiving applications that propose projects in the following areas:
    (a) Projects that demonstrate successful partnerships with local 
agencies, organizations, or institutions, such as institutions of 
higher education, community-based organizations, and local education 
agencies, in providing EL/civics education and related support 
services.
    (b) Projects that demonstrate effective innovative approaches in 
providing EL/civics instruction, such as integrating technology into 
curriculum, establishing work- or community-based instruction sites, 
and providing flexible scheduling of classes and services.
    (c) Projects that demonstrate effective strategies for professional 
development opportunities to help teachers develop networks to share 
ideas and best practices, promote effective use of technology, and 
develop contextualized and content-based curricula linked to 
appropriate assessments.
    (d) Projects that demonstrate development of effective materials, 
such as curricula and assessment instruments, that address emerging 
areas in EL/Civics education, such as preparation for citizenship 
interviews, the naturalization process, life skills curricula, 
employability skills from a cross-cultural perspective, and learning 
disabilities.
    Applicants should note that applications must include, for the 
overall project and each budget year, project goals, measurable 
objectives and outcomes, and performance measures and indicators of 
success in meeting the goals and objectives. If appropriate, these 
measures should include the performance measures described under Title 
II of WIA, such as the educational achievement of learners and the 
number of learners who earned secondary school credentials or obtained 
or retained employment. Other measures may include the number who 
prepared for and passed the citizenship test.

Technical Assistance Workshops

    We will hold technical assistance workshops, including a satellite 
teleconference, to assist applicants in preparing grant applications 
for the EL/Civics education program. The dates, times, locations, and 
other information about the workshops will be announced in the Federal 
Register and on the web page of the U.S. Department of Education, 
Office of Vocational and Adult Education at the following sites:

http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/offices/OVAE

    Waiver of Proposed Rulemaking: In accordance with the 
Administrative Procedure Act (5 U.S.C. 553), it is the practice of the 
Secretary to offer interested parties the opportunity to comment on 
proposed rules. Ordinarily, this practice would have applied to the 
priorities in this notice. Section 437(d)(1) of the General Education 
Provisions Act (GEPA), however, exempts rules that apply to the first 
competition under a new or substantially revised program from this 
requirement. The EL/Civics education program was funded for the first 
time under the Emergency Supplemental Appropriations Act of 1999 
(Public Law 106-31). As this competition is the first competition under 
the program, it therefore qualifies as a new competitive grants 
program. The Secretary, in accordance with section 437(d)(1) of GEPA, 
to ensure timely awards, has decided to forego public comments with 
respect to the competitive priorities. The competitive priorities will 
apply only to the fiscal year 1999 grant competition.
    Competitive Priorities: The Secretary will give preference to 
applications that meet one or both of the competitive priorities in the 
next two paragraphs. (34 CFR 75.105 (b)(2)(iii) and (c)(2)(i))
    Competitive Priority 1--Projects that serve areas with a 
significant unmet demand for EL/civics education programs as 
demonstrated by indicators such as waiting lists for programs, growth 
in the number of individuals with limited English proficiency in a 
community, a large concentration of adults in unserved or underserved 
language groups, and limited accessibility to nontraditional class 
schedules and locations. The Secretary will award three additional 
points to an application that meets this priority. These points would 
be in addition to any points the applicant earns under the selection 
criteria.
    Competitive Priority 2--Projects that provide a non-federal 
contribution in cash or in kind of 25 percent of the cost of activities 
assisted under each year of the grant. The Secretary will award two 
additional points to an application that meets this priority. These 
points would be in addition to any points the applicant earns under the 
selection criteria.
    Definition: In addition to definitions in the statute and EDGAR, 
the following definition applies:
    Civics education means an educational program that emphasizes 
contextualized instruction on the rights and responsibilities of 
citizenship, naturalization procedures, civic participation, and U.S. 
history and government to help students acquire the skills and 
knowledge to become active and informed parents, workers, and community 
members.
    Selection Criteria: (a)(1) The Secretary uses the following 
selection criteria to evaluate applications for grants under this 
competition. In all instances where the word ``project'' appears in the 
selection criteria, the reference to an EL/civics education program 
should be made.
    (2) The maximum composite score for all of these criteria is 100 
points.
    (3) The maximum score for each criterion is indicated in 
parentheses. Within each criterion, the Secretary evaluates each factor 
equally.
    (a) Need for project. (15 points) (1) The Secretary considers the 
need for the proposed project.
    (2) In determining the need for the proposed project, the Secretary 
considers the following factors:
    (i) The magnitude of the need for the services to be provided or 
the activities to be carried out by the proposed project.
    (ii) The extent to which specific gaps or weaknesses in services, 
infrastructure, or opportunities have been identified and will be 
addressed by the proposed project, including the nature and magnitude 
of those gaps or weaknesses.
    (b) Significance. (20 points) (1) The Secretary considers the 
significance of the proposed project.
    (2) In determining the significance of the proposed project, the 
Secretary considers the following factors:
    (i) The extent to which the proposed project is likely to build 
local capacity to provide, improve, or expand services that address the 
needs of the target population.
    (ii) The extent to which the proposed project involves the 
development or demonstration of promising new strategies that build on, 
or are alternatives to, existing strategies.
    (iii) The potential replicability of the proposed project or 
strategies, including, as appropriate, the potential for implementation 
in a variety of settings.
    (c) Quality of the project design. (25 points) (1) The Secretary 
considers the quality of the design of the proposed project.
    (2) In determining the quality of the design of the proposed 
project, the Secretary considers the following factors:
    (i) The extent to which the goals, objectives, and outcomes to be 
achieved

[[Page 62922]]

by the proposed project are clearly specified and measurable.
    (ii) The extent to which the design for implementing and evaluating 
the proposed project will result in information to guide possible 
replication of project activities or strategies, including information 
about the effectiveness of the approach or strategies employed by the 
project.
    (iii) 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.
    (iv) The extent to which the design of the proposed project 
reflects up-to-date knowledge from research and effective practice.
    (v) The extent to which the proposed project will establish 
linkages with other appropriate agencies and organizations providing 
services to the target population.
    (d) Quality of project personnel. (10 points) (1) The Secretary 
considers the quality of the personnel who will carry out the proposed 
project.
    (2) 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.
    (3) In addition, the Secretary considers the following factor:
    (i) The qualifications, including relevant training and experience, 
of key project personnel.
    (e) Adequacy of resources. (5 points) (1) The Secretary considers 
the adequacy of resources for the proposed project.
    (2) In determining the adequacy of resources for the proposed 
project, the Secretary considers the following factors:
    (i) The extent to which the costs are reasonable in relation to the 
objectives, design, and potential significance of the proposed project.
    (ii) The potential for continued support of the project after 
Federal funding ends, including, as appropriate, the demonstrated 
commitment of appropriate entities to such support.
    (f) Quality of the management plan. (10 points) (1) The Secretary 
considers the quality of the management plan for the proposed project.
    (2) In determining the quality of the management plan for the 
proposed project, the Secretary considers one or more of the following 
factors:
    (i) The adequacy of the management plan to achieve the objectives 
of the proposed project on time and within budget, including clearly 
defined responsibilities, timelines, and milestones for accomplishing 
project tasks.
    (ii) The adequacy of procedures for ensuring feedback and 
continuous improvement in the operation of the proposed project.
    (g) Quality of the project evaluation. (15 points) (1) The 
Secretary considers the quality of the evaluation to be conducted of 
the proposed project.
    (2) In determining the quality of the evaluation, the Secretary 
considers the following factors:
    (i) The extent to which the methods of evaluation include the use 
of objective performance measures that are clearly related to the 
intended outcomes of the project and will produce quantitative and 
qualitative data to the extent possible.
    (ii) The extent to which the methods of evaluation will provide 
performance feedback and permit periodic assessment of progress toward 
achieving intended outcomes.
    (iii) The extent to which the evaluation will provide guidance 
about effective strategies suitable for replication or testing in other 
settings.

    Note: In accordance with EDGAR 34 CFR 75.118, 75.590, 75.720, 
and 80.40, grant recipients must submit an annual performance report 
that provides the most current performance and financial expenditure 
information on project activities, including the recipient's 
progress in achieving the objectives in its approved application. If 
a recipient fails to submit a performance report that meets these 
requirements, the Secretary denies continued funding for the grant.

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 procedures established 
in each State under the Executive Order.
    If you want to know the name and address of any State Single Point 
of Contact (SPOC), see the list published in the Federal Register on 
April 28, 1999 (64 FR 22963) or; you may view the latest SPOC list on 
the OMB Web site at the following address: http://www.whitehouse.gov/
omb/grants.
    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 #84.191, U.S. Department of Education, Room 7E200, 400 
Maryland Avenue, SW., Washington, DC 20202-0125.
    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, DC 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 
must--
    (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 #84.191), 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 
#84.191), 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.

[[Page 62923]]

    (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 Acknowledgment to each applicant. If an applicant fails to 
receive the notification of application receipt within 15 days from 
the date of mailing the application, the applicant should call the 
U.S. Department of Education Application Control Center at (202) 
708-9494.
    (3) The applicant must indicate on the envelope and--if not 
provided by the Department--in Item 3 of the Application for Federal 
Assistance (ED 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 all required forms and 
instructions, including instructions for preparing the application 
narrative, a statement regarding estimated public reporting burden, a 
notice to applicants regarding compliance with section 427 of the 
General Education Provisions Act (GEPA), various assurances and 
certifications, a list of relevant definitions from the authorizing 
statute and EDGAR, and a checklist for applicants.
    To apply for an award under this competition, your application must 
be organized in the following order and include the following four 
parts. The parts and additional materials are as follows:
    Part I: Application for Federal Assistance (ED 424, Exp. 06/30/
2001) and instructions.
    Part II: Budget Information-Non-Construction Programs (ED Form No. 
524) and instructions. An applicant for a multi-year project must 
provide a budget narrative that provides budget information for each 
budget period of the proposed project period.
    Part III: Application Narrative. Notice to All Applicants.
    Part IV: Assurances and Certifications:
    a. Assurances-Non-Construction Programs (Standard Form 424B).
    b. Certifications Regarding Lobbying; Debarment, Suspension, and 
Other Responsibility Matters; and Drug-Free Workplace Requirements (ED 
80-0013) and instructions.
    c. Certifications regarding Debarment, Suspension, Ineligibility 
and Voluntary Exclusion-Lower Tier Covered Transactions (ED 80-0014, 9/
90) and instructions.

    Note: ED Form 80-0014 is intended for the use of grantees and 
should not be transmitted to the Department.

    d. Disclosure of Lobbying Activities (Standard Form LLL) (if 
applicable) and instructions.
    An applicant may submit information on photostatic copies of the 
application, budget forms, assurances, and certifications as printed in 
this notice in the Federal Register. However, the application form, 
assurances, and certifications must each have an original signature. 
All applicants are required to submit ONE original signed application, 
including ink signatures on all forms and assurances, and TWO copies of 
the application, one bound and one unbound copy suitable for 
photocopying. Please mark each application as ``original'' or ``copy''. 
To aid with the review of applications, the Department encourages 
applicants to submit three additional paper copies and one electronic 
copy (in Department of Education standard program format) of the 
application. The Department will not penalize applicants who do not 
provide additional copies. No grant may be awarded unless a completed 
application form, including the signed assurances and certifications, 
has been received.

FOR FURTHER INFORMATION CONTACT: Rebecca Moak or Ursula Lord, EL/Civics 
Education Program, Division of Adult Education and Literacy, Office of 
Vocational and Adult Education, U.S. Department of Education, 400 
Maryland Avenue, SW., Room 4428, Switzer Building, Washington, DC 
20202-7240. Telephone: (202) 260-9279 (Rebecca Moak) or (202) 205-9233 
(Ursula Lord). E-mail: [email protected] or [email protected]. 
Individuals who use a telecommunications device for the deaf (TDD) may 
call the Federal Information Relay Service (FIRS) at 1-800-877-8339.
    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 in an alternate format the standard forms included in the 
notice.

Electronic Access to This Document

    You may view this document, as well as all other Department of 
Education documents published in the Federal Register, in text or Adobe 
Portable Document Format (PDF) on the Internet 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 previous sites. If you 
have questions about using the PDF, call the U.S. Government Printing 
Office at (202) 512-1530 or, toll free, at 1-888-293-6498.

    Note: The official version of this document is the document 
published in the Federal Register. Free Internet access to the 
official edition of the Federal Register and the Code of Federal 
Regulations is available on GPO Access at: http://
www.access.gpo.gov/nara/index.html
    Program Authority: 20 U.S.C. 9253.

    Dated: November 12, 1999.
Robert Muller,
Acting Assistant Secretary for Vocational and Adult Education.

Appendix--Instructions for the Application Narrative

    The narrative is the section of the application where the 
selection criteria used by reviewers in evaluating the application 
are addressed. The narrative must encompass each function or 
activity for which funds are being requested. Before preparing the 
application narrative, an applicant should read carefully the 
description of the program and the selection criteria the Secretary 
uses to evaluate applications.
    Applicants should note the page limits for the application 
narrative stated in this notice under ``Page Limits''. The following 
standards apply: (1) A ``page'' is 8.5'' x 11'' (one side only) with 
one-inch margins (top, bottom, and sides). (2) All text in the 
application narrative, including titles, headings, footnotes, 
quotations, references, and captions, as well as all text in charts, 
tables, figures, and graphs, must be double-spaced (no more than 
three lines per vertical inch). If using a proportional computer 
font, use no smaller than a 12-point font, and an average character 
density no greater than 18 characters per inch. If using a 
nonproportional font or a typewriter, do not use more than 12 
characters to the inch.
    The page limit does not apply to the cover sheet, the one-page 
abstract, budget section, appendices, and forms and assurances. 
However, all of the application narrative must be included in the 
narrative section. If an application narrative uses a smaller print 
size, spacing, or margin that would make the narrative exceed the 
equivalent of the page limit, the application will not be reviewed.
    1. Begin with a one-page Abstract summarizing the proposed EL/
Civics education project, including a short description of the 
population to be served by the project and, if available, data on 
project participants' educational attainment and race/ethnicity. 
Also include a description of project objectives and activities.
    2. Include a table of contents listing the parts of the 
narrative in the order of the

[[Page 62924]]

selection criteria and the page numbers where the parts of the 
narrative are found. Be sure to number the pages.
    3. Describe how the applicant meets the competitive priorities, 
if applicable.
    4. Describe fully the proposed project in light of the selection 
criteria in the order in which the criteria are listed in the 
application package. Do not simply paraphrase the criteria.
    5. Provide the following in response to the attached ``Notice to 
all Applicants'': (1) A reference to the portion of the application 
in which information appears as to how the applicant is addressing 
steps to promote equitable access and participation, or (2) a 
separate statement that contains that information.
    6. If the application is from a group, attach the group's 
agreement. When applying for funds as a group, such as a consortium, 
individual eligible applicants must enter into an agreement signed 
by all members of the group. The group's agreement must detail the 
activities each member of the group plans to perform, and must bind 
each member to every statement and assurance made in the group's 
application. The designated applicant must submit the group's 
agreement with its application.
    7. Applicants may include supporting documentation as appendices 
to the narrative. This material should be concise and pertinent to 
the competition. Note that the Secretary considers only information 
contained in the application in ranking applications for funding 
consideration. Letters of support sent separately from the formal 
application package are not considered in the review by the 
technical review panels. (34 CFR 75.217)
    8. Attach copies of all required assurances and forms.

Estimated Public Reporting Burden

    According to the Paperwork Reduction Act of 1995, no persons are 
required to respond to a collection of information unless it displays a 
valid OMB Control Number. The valid OMB control number for this 
information collection is 1830-0540, (Expiration Date: 09-30-2000). The 
time required to complete this information collection is estimated to 
average 40 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, DC 20202-4651.
    If you have comments or concerns regarding the status of your 
individual submission of this form, write directly to: EL/Civics 
Education Program, Division of Adult Education and Literacy, Office of 
Vocational and Adult Education, U.S. Department of Education, 400 
Maryland Avenue, SW., Washington, DC 20202-7240.

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 (ED 424).
    2. Budget Information--Non-Construction Programs ED Form No. 524) 
and budget narrative.
    3. Application Narrative, including information that addresses 
section 427 of the General Education Provisions Act (see the section 
entitled ``NOTICE TO ALL APPLICANTS''), and relevant appendices.
    4. Group agreement, if applicable.
    5. Assurances--Non-Construction Programs (SF 242B).
    6. Certifications Regarding Lobbying; Debarment, Suspension, and 
Other Responsibility Matters; and Drug-Free Workplace Requirements (ED 
80-0013).
    7. Disclosure of Lobbying Activities (Standard Form LLL).

Relevant Definitions

    Sec. 203, Definitions, Title II, Workforce Investment Act of 1998:
    1. English literacy program--The term ``English literacy program'' 
means a program of instruction designed to help individuals of limited 
English proficiency achieve competence in the English language.
    2. Individual of limited English proficiency--The term ``individual 
of limited English proficiency'' means an adult or out-of-school youth 
who has limited ability in speaking, reading, writing, or understanding 
the English language, and--
    (A) whose native language is a language other than English; or
    (B) who lives in a family or community environment where a language 
other than English is the dominant language.
    3. Literacy--The term ``literacy'' means an individual's ability to 
read, write, and speak in English, compute, and solve problems, at 
levels of proficiency necessary to function on the job, in the family 
of the individual, and in society.
    4. Postsecondary educational institution--The term ``postsecondary 
educational institution'' means--
    (A) an institution of higher education that provides not less than 
a 2-year program of instruction that is acceptable for credit toward a 
bachelor's degree;
    (B) a tribally controlled community college; or
    (C) a nonprofit educational institution offering certificate or 
apprenticeship programs at the postsecondary level.
    EDGAR Part 77, Definitions:
    5. Private, as applied to an agency, organization, or institution, 
means that it is not under Federal or public supervision or control.
    6. Public, as applied to an agency, organization, or institution, 
means that the agency, organization, or institution is under the 
administrative supervision or control of a government other than the 
Federal Government.

Notice to all Applicants

    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 Dies This Provision Apply?

    Section 427 of GEPA affects applicants for new grant awards under 
this program. All APPLICANTS FOR NEW AWARDS 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 or 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 need. 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

[[Page 62925]]

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.
    (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.

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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 
mouth, 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 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 when the 
remaining parts of item 11, as noted below. In addition, follow the 
instructions ``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 request 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 representatives 
of the applicant. A copy of the governing body's authorization for you 
to sign this application as official representatives 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 filed.

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, DC 20202-4651. If you have comments

[[Page 62928]]

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, DC 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 
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 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 or 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

[[Page 62929]]

reasonably place the subjects at risk of criminal or civil liability or 
be damaging to the subjects' finaicial 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 
envionmental 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, DC, 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.


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BILLING CODE 4000-01-U

[[Page 62934]]

    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 per response, including the time 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 DC 20503.

Instructions for ED Form 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.

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[[Page 62939]]

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 a 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). Included 
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.

Note: 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.

State Single Point of Contact

(As of April 22, 1999)

    Note: In accordance with Executive Order 12372, 
Intergovernmental Review of Federal Programs, this listing 
represents the designated State Single Points of Contact (SSPOCs). 
Because participation is voluntary, some States and Territories no 
longer participate in the process. These include: Alabama, Alaska, 
American Samoa, Colorado, Connecticut, Hawaii, Idaho, Kansas, 
Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey, 
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, 
Vermont, Virginia, and Washington.

    The jurisdictions not listed no longer participate in the process. 
However, an applicant is still eligible to apply for a grant or grants 
even if its respective State, Territory, Commonwealth, etc. does not 
have a SSPOC.
ARIZONA
Ms. Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, 
Fourteenth Floor, Phoenix, Arizona 85012, Telephone: (602) 280-1315, 
FAX: (602) 280-8144, [email protected]
ARKANSAS
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of 
Intergovernmental Services, Department of Finance and Administration, 
1515 W. 7th St., Room 412, Little Rock, Arkansas 72203, Telephone: 
(501) 682-1074, FAX: (501) 682-5206, [email protected]
CALIFORNIA
Grant Coordination, State Clearinghouse, Office of Planning and 
Research, 1400 10th Street, Room 121, Sacramento, California 95814, 
Telephone: (916) 445-0613, FAX: (916) 323-3018, No e-mail address
DELAWARE
Executive Department, Office of the Budget, 540 S. Dupont Highway, 
Suite 5, Dover, Delaware 19901, Telephone: (302) 739-3326, FAX: (302) 
739-5661, No e-mail address
DISTRICT OF COLUMBIA
Mr. Charles Nichols, State Single Point of Contact, Office of Grants 
Management and Development, 717 14th Street, N.W.--Suite 1200, 
Washington, DC 20005, Telephone: (202) 727-1700 (direct), FAX: (202) 
727-6537 (secretary), FAX: (202) 727-1617, No e-mail address
FLORIDA
Florida State Clearinghouse, Department of Community Affairs, 2555 
Shumard Oak Blvd., Tallahassee, Florida 32399-2100, Telephone: (850) 
922-5438, FAX: (850) 414-0479, Contact: Ms. Cherie Trainor, (850) 414-
5495, [email protected]
GEORGIA
Ms. Deborah Stephens, Coordinator, Georgia State Clearinghouse, 270 
Washington, Street, S.W.--8th Floor, Atlanta, Georgia 30334, Telephone: 
(404) 656-3855, FAX: (404) 656-7901, [email protected]

[[Page 62940]]

ILLINOIS
Ms. Virginia Bova, Single Point of Contact, Illinois Department of 
Commerce and Community Affairs, James R. Thompson Center, 100 West 
Randolph, Suite 3-400, Chicago, IL 60601, Telephone: (312) 814-6028, 
FAX: (312) 814-1800
INDIANA
Ms. Allison Becker, State Budget Agency, 212 State House, Indianapolis, 
Indiana 46204-2796, Telephone: (317) 232-7221 (direct line), FAX: (317) 
233-3323, No e-mail address
IOWA
Mr. Steven R. McCann, Division for Community Assistance, Iowa 
Department of Economic Development, 200 East Grand Avenue, Des Moines, 
Iowa 50309, Telephone: (515) 242-4719, FAX: (515) 242-4809, 
[email protected]
KENTUCKY
Mr. Kevin J. Goldsmith, Director, Sandra Brewer, Executive Secretary, 
Intergovernmental Affairs, Office of the Governor, 700 Capitol Avenue, 
Frankfort, Kentucky 40601, Telephone: (502) 564-2611, , FAX: (502) 564-
0437, [email protected], [email protected]
MAINE
Ms. Joyce Benson, State Planning Office, 184 State Street, 38 State 
House Station, Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: 
(207) 287-6489, [email protected]
MARYLAND
Ms. Linda Janey, Manager, Plan & Project Review, Maryland Office of 
Planning, 301 W. Preston Street--Room 1104, Baltimore, Maryland 21201-
2365, Telephone: (410) 767-4490, FAX: (410) 767-4480, 
[email protected]
MICHIGAN
Mr. Richard Pfaff, Southeast Michigan Council of Governments, 660 Plaza 
Drive--Suite 1900, Detroit, Michigan 48226, Telephone: (313) 961-4266, 
FAX: (313) 961-4869, [email protected]
MISSISSIPPI
Ms. Cathy Mallette, Clearinghouse Officer, Department of Finance and 
Administration, 550 High Street, 303 Walters Sillers Building, Jackson, 
Mississippi 39201-3087, Telephone: (601) 359-6762, FAX: (601) 359-6758, 
No e-mail address
MISSOURI
Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of 
Administration, P.O. Box 809, Jefferson Building, Room 915, Jefferson 
City, Missouri 65102, Telephone: (573) 751-4834, FAX: (573) 522-4395, 
[email protected]
NEVADA
Department of Administration, State Clearinghouse, 209 E. Musser 
Street, Room 200, Carson City, Nevada 89710, Telephone: (702) 684-0222, 
FAX: (702) 684-0260, Contact: Ms. Heather Elliot, (702) 684-0209, 
[email protected]
NEW HAMPSHIRE
Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State 
Planning, Attn: Intergovernmental Review Process, Mr. Mike Blake, 2\1/
2\ Beacon Street, Concord, New Hampshire 03301, Telephone: (603) 271-
4991, FAX: (603) 271-1728, No e-mail address
NEW MEXICO
Mr. Nick Mandell, Local Government Division, Room 201 Bataan Memorial 
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-4991, FAX: 
(505) 827-4984, No e-mail address
NEW YORK
New York State Clearinghouse, Division of the Budget, State Capitol, 
Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-1217, 
No e-mail address
NORTH CAROLINA
Ms. Jeanette Furney, North Carolina Department of Administration, 116 
West Jones Street--Suite 5106, Raleigh, North Carolina 27603-8003, 
Telephone: (919) 733-7232, FAX: (919) 733-9571, 
[email protected]
NORTH DAKOTA
North Dakota Single Point of Contact, Office of Intergovernmental 
Assistance, 600 East Boulevard Avenue, Department 105, Bismarck, North 
Dakota 58505-0170, Telephone: (701) 328-2094, FAX: (701) 328-2308, No 
e-mail address
RHODE ISLAND
Mr. Kevin Nelson, Review Coordinator, Department of Administration, 
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode 
Island 02908-5870, Telephone: (401) 222-1220 (secretary), FAX: (401) 
222-2093 (direct), [email protected]
SOUTH CAROLINA
Ms. Omeagia Burgess, State Single Point of Contact, Budget and Control 
Board, Office of State Budget, 1122 Ladies Street--12th floor, 
Columbia, South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 
734-0645, No e-mail address
TEXAS
Mr. Tom Adams, Governors Office, Director, Intergovernmental 
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 
463-1771, FAX: (512) 936-2681, [email protected]
UTAH
Ms. Carolyn Wright, Utah State Clearninghouse, Office of Planning and 
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114, Telephone: 
(801) 538-1535 (direct), FAX: (801) 538-1547, [email protected]
WEST VIRGINA
Mr. Fred Cutlip, Director, Community Development Division, W. Virginia 
Development Office, Building #6, Room 553, Charleston, West Virginia 
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248, [email protected]
WISCONSIN
Mr. Jeff Smith, Section Chief, Federal/State Relations, Wisconsin 
Department of Administration, 101 East Wilson Street--6th Floor, P.O. 
Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267, FAX: 
(608) 267-6931, [email protected]
WYOMING
Ms. Sandy Ross, State Single Point of Contact, Department of 
Administration and Information, 2001 Capitol Avenue, Room 214, 
Cheyenne, WY 82002, Telephone: (307) 777-5492, FAX: (307) 777-3696, 
[email protected]
Territories
GUAM*
Mr. Joseph Rivera, Acting Director, Bureau of Budget and Management 
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96932,

[[Page 62941]]

Telephone: (671) 475-9411 or 9412, FAX: (671) 472-2825
---------------------------------------------------------------------------

    *Guam and the Virgin Islands are not confirmed.
---------------------------------------------------------------------------

PUERTO RICO
Ms. Elsa Luis, Director, Federal Proposals Division, 1100 17th Street, 
NW, Suite 800 Washington, DC 20036, Telephone: (202) 778-0750, FAX: 
(202) 530-5559
NORTH MARIANA ISLANDS
Mr. Alvaro A. Santos, Executive Officer, Office of Management and 
Budget, Office of the Governor, Saipan, MP 96950, Telephone: (670) 664-
2256, FAX: (670) 664-2272

    Contact person: Ms. Jacoba T. Seman, Federal Programs Coordinator, 
Telephone: (670) 664-2289, FAX: (670) 664-2272.
VIRGIN ISLANDS*
Nellon Bowry, Director, Office of Management and Budget, #41 Norregade 
Emancipation Garden Station, Second Floor, Saint Thomas, Virgin Islands 
00802

    Please direct all questions and correspondence about 
intergovernmental review to: Linda Clarke, Telephone: (809) 774-0750, 
FAX: (809) 776-0069.

    Note: This list is based on the most current information 
provided by the States. Information on any changes or apparent 
errors should be provided to Sherron Duncan at the Office of 
Management and Budget (202) 395-3914 and to the State in question. 
Changes to the list will only be made upon formal notification by 
the State. The list is updated every six months and is also 
published biannually in the Catalog of Federal Domestic Assistance. 
The last changes made were to Delaware, Indiana, Missouri, New 
Mexico, Puerto Rico, Rhode Island, Utah, and Wisconsin.

[FR Doc. 99-30031 Filed 11-16-99; 8:45 am]
BILLING CODE 4000-01-U