[Federal Register: May 9, 1997 (Volume 62, Number 90)] [Notices] [Page 25770-25784] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr09my97-194] ----------------------------------------------------------------------- DEPARTMENT OF EDUCATION [CFDA Nos.: 84.133A, 84.133B, and 84.133D] Office of Special Education and Rehabilitative Services, National Institute on Disability and Rehabilitation Research; Notice Inviting Applications for New Awards Under Certain Programs for Fiscal Year 1997 NOTE TO APPLICANTS: This notice is a complete application package. Together with the statute authorizing the programs and applicable regulations governing the programs, including the Education Department General Administrative Regulations (EDGAR), this notice contains information, application forms, and instructions needed to apply for a grant under these competitions. These programs support the National Education Goal that calls for all Americans to possess the knowledge and skills necessary to compete in a global economy and exercise the rights and responsibilities of citizenship. The estimated funding levels in this notice do not bind the Department of Education to make awards in any of these categories, or to any specific number of awards or funding levels, unless otherwise specified in statute. Applicable Regulations: The Education Department General Administrative Regulations (EDGAR), 34 CFR Parts 74, 75, 77, 80, 81, 82, 85, and 86; and the following program regulations: (a) Research and Demonstration Projects (R&D)--34 CFR Parts 350 and 351; (b) Knowledge Dissemination and Utilization Program (D&U)--34 CFR Parts 350 and 355; and (c) Rehabilitation Research and Training Centers (RRTCs)--34 CFR Parts 350 and 352. Program Title: Research and Demonstration Projects CFDA Number: 84.133A Purpose of Program: The Research and Demonstration Projects program is designed to support discrete research, demonstration, training, and related projects to develop methods, procedures, and technology that maximize the full inclusion and integration into society, independent living, employment, family support, and economic and social self- sufficiency of individuals with disabilities, especially those with the most severe disabilities. In addition, the R&D program supports discrete research, demonstration, and training projects that specifically address the implementation of Titles I, III, VI, VII, and VIII of the Rehabilitation Act, with emphasis on projects to improve the effectiveness of these programs and to meet the needs described in State Plans submitted to the Rehabilitation Services Administration by State vocational rehabilitation agencies. Eligible Applicants Parties eligible to apply for grants under this program are public and private nonprofit and for-profit agencies and organizations, including institutions of higher education and Indian tribes and tribal organizations. Program Authority: 29 U.S.C. 761a and 762. Program Title: Knowledge Dissemination and Utilization Program CFDA Number: 84.133D Purpose of Program: The Knowledge Dissemination and Utilization is designed to support activities that will ensure that rehabilitation knowledge generated from projects and centers funded by NIDRR and from other sources is fully utilized to improve the lives of individuals with disabilities and their families. Eligible Applicants: Parties eligible to apply for grants under this program are public and private nonprofit and for-profit agencies and organizations, including institutions of higher education and Indian tribes and tribal organizations. Program Authority: 29 U.S.C. 761a and 762. Application Notice for Fiscal Year 1997--Research and Demonstration Projects, CFDA No. 84.133A, Knowledge Dissemination and Utilization Program, CFDA No. 84.133D ---------------------------------------------------------------------------------------------------------------- Maximum award Deadline for Estimated amount (per Funding priority transmittal of number of year in Project period (months) applications awards dollars)* ---------------------------------------------------------------------------------------------------------------- Burn Injury Rehabilitation Model System 6/23/97 4 295,000 60 84.133A. Traumatic Brain Injury Model Systems 6/23/97 5 345,000 Up to 60 ** 84.133A. Improving the Utilization of 6/23/97 1 500,000 60 Rehabilitation Technology in Rehabilitation 84.133D. ---------------------------------------------------------------------------------------------------------------- Applications Available: May 9, 1997. * Note 1: The Secretary will reject without consideration or evaluation any application that proposes a project funding level that exceeds the stated maximum award amount (See 34 CFR 75.104(b)). ** Note 2: Applicants should submit proposals covering a 60 month project period. The Secretary will assess, during the third year of the project period, whether the model as described in the TBI Model Systems Priority is the most appropriate approach and whether revisions are needed in the model. Based on this determination the Secretary will determine whether there is a continuing need to provide funding beyond 36 months. Research and Demonstration Projects and Knowledge Dissemination and Utilization Program Selection Criteria The Secretary uses the following selection criteria to evaluate applications under the R&D and D&U programs. (a) Potential Impact of Outcomes: Importance of Program (Weight 3.0). The Secretary reviews each application to determine to what degree-- (1) The proposed activity relates to the announced priority; (2) The research is likely to produce new and useful information (research activities only); (3) The need and target population are adequately defined; (4) The outcomes are likely to benefit the defined target population; (5) The training needs are clearly defined (training activities only); (6) The training methods and developed subject matter are likely to meet the defined need (training activities only); and (7) The need for information exists (utilization activities only). [[Page 25771]] (b) Potential Impact of Outcomes: Dissemination/Utilization (Weight 3.0). The Secretary reviews each application to determine to what degree-- (1) The research results are likely to become available to others working in the field (research activities only); (2) The means to disseminate and promote utilization by others are defined; (3) The training methods and content are to be packaged for dissemination and use by others (training activities only); (4) The utilization approach is likely to address the defined need (utilization activities only); and (5) There is likely to be widespread dissemination of the results, in a usable and effective manner, to all appropriate target populations, including individuals with disabilities and their family members. (c) Probability of Achieving Proposed Outcomes; Program/ Project Design (Weight 5.0). The Secretary reviews each application to determine to what degree-- (1) The objectives of the project(s) are clearly stated; (2) The hypothesis is sound and based on evidence (research activities only); (3) The project design/methodology is likely to achieve the objectives; (4) The measurement methodology and analysis is sound (research and development/demonstration activities only); (5) The conceptual model (if used) is sound (development/ demonstration activities only); (6) The sample populations are correct and significant (research and development/demonstration activities only); (7) The human subjects are sufficiently protected (research and development/demonstration activities only); (8) The device(s) or model system is to be developed in an appropriate environment; (9) The training content is comprehensive and at an appropriate level (training activities only); (10) The training methods are likely to be effective (training activities only); (11) The new materials (if developed) are likely to be of high quality and uniqueness (training activities only); (12) The target populations are linked to the project (utilization activities only); (13) The format of the dissemination medium is the best to achieve the desired result (utilization activities only); and (14) The materials to be used in the project and the materials to be disseminated are likely to be in formats that are accessible to the appropriate populations. (d) Probability of Achieving Proposed Outcomes: Key Personnel (Weight 4.0). The Secretary reviews each application to determine to what degree-- (1) The principal investigator and other key staff have adequate training and/or experience and demonstrate appropriate potential to conduct the proposed research, demonstration, training, development, or dissemination activity; (2) The principal investigator and other key staff are familiar with pertinent literature and/or methods; (3) All required disciplines are effectively covered; (4) Commitments of staff time are adequate for the project; and (5) The applicant is likely, as part of its non-discriminatory employment practices, to encourage applications for employment from persons who are members of groups that traditionally have been underrepresented, such as-- (i) Members of racial or ethnic minority groups; (ii) Women; (iii) Handicapped persons; and (iv) The elderly. (e) Probability of Achieving Proposed Outcomes: Evaluation Plan (Weight 1.0). The Secretary reviews each application to determine to what degree-- (1) There is a mechanism to evaluate plans, progress and results; (2) The evaluation methods and objectives are likely to produce data that are quantifiable; and (3) The evaluation results, where relevant, are likely to be assessed in a service setting. (f) Program/Project Management: Plan of Operation (Weight 2.0). The Secretary reviews each application to determine to what degree-- (1) There is an effective plan of operation that insures proper and efficient administration of the project(s); (2) The applicant's planned use of its resources and personnel is likely to achieve each objective; (3) Collaboration between institutions, if proposed, is likely to be effective; and (4) There is a clear description of how the applicant will include eligible project participants who have been traditionally underrepresented, such as-- (i) Members of racial or ethnic minority groups; (ii) Women; (iii) Handicapped persons; and (iv) The elderly. (g) Program/Project Management: Adequacy of Resources (Weight 1.0). The Secretary reviews each application to determine to what degree-- (1) The facilities planned for use are adequate; (2) The equipment and supplies planned for use are adequate; and (3) The commitment of the applicant to provide administrative support and adequate facilities is evident. (h) Program/Project Management: (Budget and Cost Effectiveness (Weight 1.0). The Secretary reviews each application to determine to what degree-- (1) The budget for the project(s) is adequate to support the activities; (2) The costs are reasonable in relation to the objectives of the projects(s); and (3) The budget for subcontracts (if required) is detailed and appropriate. Program Title: Rehabilitation Research and Training Centers CFDA Number: 84.133B Purpose of Program: RRTCs conduct coordinated and advanced programs of research on disability and rehabilitation that will produce new knowledge that will improve rehabilitation methods and service delivery systems, alleviate or stabilize disabling conditions, and promote maximum social and economic independence for individuals with disabilities. RRTCs provide training to service providers at the pre- service, in-service training, undergraduate, and graduate levels, to improve the quality and effectiveness of rehabilitation services. They also provide advanced research training to individuals with disabilities and those from minority backgrounds, engaged in research on disability and rehabilitation. RRTCs serve as national and regional technical assistance resources, and provide training for service providers, individuals with disabilities and families and representatives, and rehabilitation researchers. [[Page 25772]] Application Notice for Fiscal Year 1997 Rehabilitation Research and Training Centers CFDA No. 84.133B ---------------------------------------------------------------------------------------------------------------- Maximum award Deadline for Estimated amount (per Project Funding priority transmittal of number of year in period applications awards dollars)* (months) ---------------------------------------------------------------------------------------------------------------- Effective Interventions for Children and Youth Who Exhibit Severe Problem Behaviors..................... 6/23/97 1 600,000 60 Aging with Spinal Cord Injury......................... 6/23/97 1 650,000 60 ---------------------------------------------------------------------------------------------------------------- Applications Available: May 9, 1997. *Note: The Secretary will reject without consideration or evaluation any application that proposes a project funding level that exceeds the stated maximum award amount (See 34 CFR 75.104(b)). Selection Criteria The Secretary uses the following selection criteria to evaluate applications under this program. (a) Relevance and importance of the research program (20 points). The Secretary reviews each application to determine to what degree-- (1) The proposed activities are responsive to a priority established by the Secretary and address a significant need of a disabled target population and rehabilitation service providers; (2) The overall research program of the Center includes appropriate interdisciplinary and collaborative research activities, is likely to lead to new and useful knowledge in the priority area, and is likely to become a nationally recognized source of scientific knowledge; and (3) The applicant demonstrates that all component activities of the Center are related to the overall objective of the Center, and will build upon and complement each other to enhance the likelihood of solving significant rehabilitation problems. (b) Quality of the research design (35 points). The Secretary reviews each application to determine to what degree-- (1) The applicant proposes a comprehensive research program for the entire project period, including at least three interrelated research projects; (2) The research design and methodology of each proposed activity are meritorious in that-- (i) The literature review is appropriate and indicates familiarity with current research in the field; (ii) The research hypotheses are important and scientifically relevant; (iii) The sample populations are appropriate and significant; (iv) The data collection and measurement techniques are appropriate and likely to be effective; (v) The data analysis methods are appropriate; and (vi) The applicant assures that human subjects, animals, and the environment are adequately protected; and (3) The application discusses the anticipated research results and demonstrates how those results would satisfy the original hypotheses and could be used for planning future research, including generation of new hypotheses where applicable. (c) Quality of the training and dissemination program (25 points). The Secretary reviews each application to determine the degree to which-- (1) The proposed plan for training and dissemination provides evidence that research results will be effectively disseminated and utilized based on the identification of appropriate and accessible target groups; the proposed training materials and methods are appropriate; the proposed activities are relevant to the regional and national needs of the rehabilitation field; and the training materials and dissemination packages will be developed in alternate media that are usable by people with various types of disabilities. (2) The proposed plan for training and dissemination provides for-- (i) Advanced training in rehabilitation research; (ii) Training rehabilitation service personnel and other appropriate individuals to improve practitioner skills based on new knowledge derived from research; (iii) Training packages that make research results available to service providers, researchers, educators, individuals with disabilities, parents, and others; (iv) Technical assistance or consultation that is responsive to the concerns of service providers and consumers; (v) Dissemination of research findings through publication in professional journals, textbooks, and consumer and other publications, and through other appropriate media such as audiovisual materials and telecommunications. (vi) Widespread dissemination of findings and other appropriate materials to providers of rehabilitation and other relevant services to individuals with disabilities, family members of individuals with disabilities, and other authorized representatives, advocates, and organizations that provide information and support to individuals with disabilities and their families; and (vii) Dissemination of research findings and other materials in appropriate formats and accessible media for use by individuals with various disabilities. (d) Quality of the organization and management (20 points). The Secretary reviews each application to determine the degree to which-- (1) The staffing plan for the Center provides evidence that the project director, research director, training director, principal investigators, and other personnel have appropriate training and experience in disciplines required to conduct the proposed activities; the commitment of staff time is adequate to conduct all proposed activities; and the Center, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or handicapping conditions; (2) The budgets for the Center and for each component project are reasonable, adequate, and cost-effective for the proposed activities; (3) The facilities, equipment, and other resources are adequate and are appropriately accessible to persons with disabilities; (4) The plan of operations is adequate to accomplish the Center's objectives and to ensure proper and efficient management of the Center; (5) The proposed relationships with Federal, State, and local rehabilitation service providers and consumer organizations are likely to ensure that the Center program is relevant and applicable to the needs of consumers and service providers; (6) The past performance and accomplishments of the applicant indicate an ability to complete successfully the proposed scope of work; (7) The application demonstrates appropriate commitment and support by [[Page 25773]] the host institution and opportunities for interdisciplinary activities and collaboration with other institutions and organizations; and (8) The plan for evaluation of the Center provides for an annual assessment of the outcomes of the research, the impact of the training and dissemination activities on the target populations, and the extent to which the overall objectives have been accomplished. Eligible Applicants Institutions of higher education and public or private agencies and organizations collaborating with institutions of higher education, including Indian tribes and tribal organizations, are eligible to apply for awards under this program. Program Authority: 29 U.S.C. 762. Instructions for Application Narrative The Secretary strongly recommends that applicants include a one- page abstract in their application. The Secretary strongly recommends that the narrative for Research and Demonstration Projects applications and Knowledge Dissemination and Utilization Program applications be limited to no more than 50 double-spaced, typed pages (on one side only), not including appendices. The Secretary strongly recommends that the narrative for Rehabilitation Research and Training Center applications be limited to no more than 100 double-spaced, typed pages (on one side only), not including appendices. These recommended page limits apply only to the narrative and not to the abstract, application forms, assurances, certifications and attachments to those forms, assurances, and certifications. Instructions for Transmittal of Applications (a) If an applicant wants to apply for a grant, the applicant shall-- (1) Mail the original and two copies of the application on or before the deadline date to: U.S. Department of Education, Application Control Center, Attention: (CFDA # [Applicant must insert number and letter]), Washington, DC. 20202-4725, or (2) Hand deliver the original and two copies of the application by 4:30 p.m. [Washington, DC time] on or before the deadline date to: U.S. Department of Education, Application Control Center, Attention: (CFDA # [Applicant must insert number and letter]), Room #3633, Regional Office Building #3, 7th and D Streets, SW., Washington, DC. (b) An applicant must show one of the following as proof of mailing: (1) A legibly dated U.S. Postal Service postmark. (2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service. (3) A dated shipping label, invoice, or receipt from a commercial carrier. (4) Any other proof of mailing acceptable to the Secretary. (c) If an application is mailed through the U.S. Postal Service, the Secretary does not accept either of the following as proof of mailing: (1) A private metered postmark. (2) A mail receipt that is not dated by the U.S. Postal Service. Notes: (1) The U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, an applicant should check with its local post office. (2) An applicant wishing to know that its application has been received by the Department must include with the application a stamped self-addressed postcard containing the CFDA number and title of this program. (3) The applicant must indicate on the envelope and--if not provided by the Department--in Item 10 of the Application for Federal Assistance (Standard Form 424) the CFDA number--and letter, if any--of the competition under which the application is being submitted. Application Forms and Instructions The appendix to this application is divided into four parts. These parts are organized in the same manner that the submitted application should be organized. These parts are as follows: PART I: Application for Federal Assistance (Standard Form 424 (Rev. 4-88)) and instructions. PART II: Budget Form--Non-Construction Programs (Standard Form 524A) and instructions. PART III: Application Narrative. Additional Materials Estimated Public Reporting Burden. Assurances--Non-Construction Programs (Standard Form 424B). Certification Regarding Lobbying, Debarment, Suspension, and Other Responsibility Matters: and Drug-Free Work-Place Requirements (ED Form 80-0013). Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion: Lower Tier Covered Transactions (ED Form 80-0014) and instructions. Note: ED Form GCS-014 is intended for the use of primary participants and should not be transmitted to the Department. Disclosure of Lobbying Activities (Standard Form LLL (if applicable) and instructions; and Disclosure Lobbying Activities Continuation Sheet (Standard Form LLL-A). An applicant may submit information on a photostatic copy of the application and budget forms, the assurances, and the certifications. However, the application form, the assurances, and the certifications must each have an original signature. No grant may be awarded unless a completed application form has been received. FOR APPLICATIONS CONTACT: The Grants and Contracts Service Team, Department of Education, 600 Independence Avenue S.W., Switzer Building, 3317, Washington, D.C. 20202, or call (202) 205-8207. Individuals who use a telecommunications device for the deaf (TDD) may call the TDD number at (202) 205-9860. The preferred method for requesting information is to FAX your request to (202) 205-8717. Information about the Department's funding opportunities, including copies of application notices for discretionary grant competitions, can be viewed on the Department's electronic bulletin board (ED Board), telephone (202) 260-9950; on the Internet Gopher Server (at gopher:// gcs.ed.gov); or on the World Wide Web (at http://gcs.ed.gov). However, the official application notice for a discretionary grant competition is the notice published in the Federal Register. Program Authority: 29 U.S.C. 760-762. Dated: May 6, 1997. Judith E. Heumann, Assistant Secretary for Special Education and Rehabilitative Services. Appendix Application Forms and Instructions Applicants are advised to reproduce and complete the application forms in this Section. Applicants are required to submit an original and two copies of each application as provided in this Section. Frequent Questions 1. CAN I GET AN EXTENSION OF THE DUE DATE? No! On rare occasions the Department of Education may extend a closing date for all applicants. If that occurs, a notice of the revised due date is published in the Federal Register. However, there are no extensions or exceptions to the due date made for individual applicants. 2. WHAT SHOULD BE INCLUDED IN THE APPLICATION? The application should include a project narrative, vitae of key personnel, and a budget, as well as the Assurances forms included in this package. Vitae of staff or consultants should include the individual's title and role in the proposed project, and other information that is specifically pertinent to this proposed project. The budgets for both the first year and all subsequent project years should be included. [[Page 25774]] If collaboration with another organization is involved in the proposed activity, the application should include assurances of participation by the other parties, including written agreements or assurances of cooperation. It is not useful to include general letters of support or endorsement in the application. If the applicant proposes to use unique tests or other measurement instruments that are not widely known in the field, it would be helpful to include the instrument in the application. Many applications contain voluminous appendices that are not helpful and in many cases cannot even be mailed to the reviewers. It is generally not helpful to include such things as brochures, general capability statements of collaborating organizations, maps, copies of publications, or descriptions of other projects completed by the applicant. 3. WHAT FORMAT SHOULD BE USED FOR THE APPLICATION? NIDRR generally advises applicants that they may organize the application to follow the selection criteria that will be used. The specific review criteria vary according to the specific program, and are contained in this Consolidated Application Package. 4. MAY I SUBMIT APPLICATIONS TO MORE THAN ONE NIDRR PROGRAM COMPETITION OR MORE THAN ONE APPLICATION TO A PROGRAM? Yes, you may submit applications to any program for which they are responsive to the program requirements. You may submit the same application to as many competitions as you believe appropriate. You may also submit more than one application in any given competition. 5. WHAT IS THE ALLOWABLE INDIRECT COST RATE? The limits on indirect costs vary according to the program and the type of application. An applicant for a project in the R&D or D&U grant programs is limited to the organization's approved indirect cost rate. If the organization does not have an approved indirect cost rate, the application should include an estimated actual rate. An applicant for a project in the RRTC program is limited to an indirect cost rate of 15 percent. 6. CAN PROFITMAKING BUSINESSES APPLY FOR GRANTS? Yes. However, for-profit organizations will not be able to collect a fee or profit on the grant, and in some programs will be required to share in the costs of the project. 7. CAN INDIVIDUALS APPLY FOR GRANTS? No. Only organizations are eligible to apply for grants under NIDRR programs. However, individuals are the only entities eligible to apply for fellowships. 8. CAN NIDRR STAFF ADVISE ME WHETHER MY PROJECT IS OF INTEREST TO NIDRR OR LIKELY TO BE FUNDED? No. NIDRR staff can advise you of the requirements of the program in which you propose to submit your application. However, staff cannot advise you of whether your subject area or proposed approach is likely to receive approval. 9. HOW DO I ASSURE THAT MY APPLICATION WILL BE REFERRED TO THE MOST APPROPRIATE PANEL FOR REVIEW? Applicants should be sure that their applications are referred to the correct competition by clearly including the competition title and CFDA number, including alphabetical code, on the Standard Form 424, and including a project title that describes the project. 10. HOW SOON AFTER SUBMITTING MY APPLICATION CAN I FIND OUT IF IT WILL BE FUNDED? The time from closing date to grant award date varies from program to program. Generally speaking, NIDRR endeavors to have awards made within five to six months of the closing date. Unsuccessful applicants generally will be notified within that time frame as well. For the purpose of estimating a project start date, the applicant should estimate approximately six months from the closing date, but no later than the following September 30. 11. CAN I CALL NIDRR TO FIND OUT IF MY APPLICATION IS BEING FUNDED? No. When NIDRR is able to release information on the status of grant applications, it will notify applicants by letter. The results of the peer review cannot be released except through this formal notification. 12. IF MY APPLICATION IS SUCCESSFUL, CAN I ASSUME I WILL GET THE REQUESTED BUDGET AMOUNT IN SUBSEQUENT YEARS? No. Funding in subsequent years is subject to availability of funds and project performance. 13. WILL ALL APPROVED APPLICATIONS BE FUNDED? No. It often happens that the peer review panels approve for funding more applications than NIDRR can fund within available resources. Applicants who are approved but not funded are encouraged to consider submitting similar applications in future competitions. BILLING CODE 4000-01-P [[Page 25775]] [GRAPHIC] [TIFF OMITTED] TN09MY97.004 [[Page 25776]] [GRAPHIC] [TIFF OMITTED] TN09MY97.005 [[Page 25777]] [GRAPHIC] [TIFF OMITTED] TN09MY97.006 [[Page 25778]] [GRAPHIC] [TIFF OMITTED] TN09MY97.007 [[Page 25779]] [GRAPHIC] [TIFF OMITTED] TN09MY97.008 ..................................................................... BILLING CODE 4000-01-C [[Page 25780]] Public reporting burden for these collections of information is estimated to average 30 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of these collections of information, including suggestions for reducing this burden, to: the U.S. Department of Education, Information Management and Compliance Division, Washington, D.C. 20202-4651; and to the Office of Management and Budget, Paperwork Reduction Project 1820-0027, Washington, D.C. 20503. Research and Demonstration Projects (CFDA No. 84.133A) 34 CFR Parts 350 and 351. Rehabilitation Research and Training Center (CFDA No. 84.133B) 34 CFR Parts 350 and 352. Knowledge Dissemination and Utilization Program (CFDA No. 84.133D) 34 CFR Parts 350 and 355. Assurances--Non-Construction Programs Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified. As the duly authorized representative of the applicant I certify that the applicant: 1. Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non-Federal share of project costs) to ensure proper planning, management and completion of the project described in this application. 2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. 3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. Secs. 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F). 6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. Secs. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. Sec. 794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the requirements of any other nondiscrimination statute(s) which may apply to the application. 7. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. 8. Will comply with the provisions of the Hatch Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9. Will comply, as applicable, with the provisions of the Davis- Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding labor standards for federally assisted construction subagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. 11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) Institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93- 523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93-205). 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. Secs. 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.). 14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. 16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1984. 18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program. ---------------------------------------------------------------------- Signature of Authorized Certifying Official ---------------------------------------------------------------------- Title ---------------------------------------------------------------------- Applicant Organization ---------------------------------------------------------------------- Date submitted Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; and Drug-Free Workplace Requirements Applicants should refer to the regulations cited below to determine the certification to which they are required to attest. Applicants should also review the instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance with certification requirements under 34 CFR Part 82, ``New Restrictions on Lobbying,'' and 34 [[Page 25781]] CFR Part 85, ``Government-wide Debarment and Suspension (Nonprocurement) and Government-wide Requirements for Drug-Free Workplace (Grants).'' The certifications shall be treated as a material representation of fact upon which reliance will be placed when the Department of Education determines to award the covered transaction, grant, or cooperative agreement. 1. Lobbying As required by Section 1352, Title 31 of the U.S. Code, and implemented at 34 CFR Part 82, for persons entering into a grant or cooperative agreement over $100,000, as defined at 34 CFR Part 82, Sections 82.105 and 82.110, the applicant certifies that: (a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal grant or cooperative agreement; (b) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,'' in accordance with its instructions; (c) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subgrants, contracts under grants and cooperative agreements, and subcontracts) and that all suberscripients shall certify and disclose accordingly. 2. Debarment, Suspension, and Other Responsibility Matters As required by Executive Order 12549, Debarment and Suspension, and implemented at 34 CFR Part 85, for prospective participants in primary covered transactions, as defined at 34 CFR Part 85, Sections 85.105 and 85.110-- A. The applicant certifies that it and its principles: (a) Are not presently debarred, suspended, proposed for debarment, declared intelligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicated for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transactions (Federal, State, or local) terminated for cause or default; and B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 3. Drug-Free Workplace (Grantees Other Than Individuals) As required by the Drug-Free Workplace Act of 1988, and implemented at 34 CFR Part 85, Subpart F, for grantees, as defined at 34 CFR Part 85, Sections 85.605 and 85.610-- A. The applicant certifies that it will or will continue to provide a drug-free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing an on-going drug-free awareness program to inform employees about-- (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employees assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will-- (1) Abide by the terms of the statement; and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; (e) Notifying the agency, in writing, within 10 calendar days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to: Director, Grants and Contracts Service, U.S. Department of Education, 400 Maryland Avenue, SW., (Room 3124, GSA Regional Office Building No. 3), Washington, DC 20202-4571. Notice shall include the identification number(s) of each affected grant; (f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted-- (1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug- free workplace through implementation of paragraphs (a), (b), (c), (d), (e), and (f). B. The grantee may insert in the space provided below the site(s) for the performance of work done in connection with the specific grant: Place of Performance (Street address, city, county, state, zip code) ---------------------------------------------------------------------- ---------------------------------------------------------------------- ---------------------------------------------------------------------- Check {time} if there are workplaces on file that are not identified here. Drug-Free Workplace (Grantees who are Individuals) As required by the Drug-Free Workplace Act of 1988, and implemented at 34 CFR Part 85, Subpart F, for grantees, as defined in at 34 CFR Part 85, Sections 85.605 and 85.610-- A. As a condition of the grant, I certify that I will not engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in conducting any activity with the grant; and B. If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any grant activity, I will report the conviction, in writing, within 10 calendar days of the conviction, to: Director, Grants and Contracts Service, U.S. Department of Education, 400 Maryland Avenue, SW., (Room 3124, GSA Regional Office Building No. 3), Washington, DC 20202-4571. Notice shall include the identification number(s) of each affected grant. As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above certifications. ---------------------------------------------------------------------- Name of Applicant ---------------------------------------------------------------------- PR/Award Number and/or Project Name ---------------------------------------------------------------------- Printed Name and Title of Authorized Representative ---------------------------------------------------------------------- Signature ---------------------------------------------------------------------- Date Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions This certification is required by the Department of Education regulations implementing Executive Order 12549, Debarment and Suspension, 34 CFR Part 85, for all lower tier transactions meeting the [[Page 25782]] threshold and tier requirements stated at Section 85.110. Instructions for Certification 1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms ``covered transaction,'' ``debarred,'' ``suspended,'' ``ineligible,'' ``lower tier covered transaction,'' ``participant,'' ``person,'' ``primary covered transaction,'' ``principal,'' ``proposal,'' and ``voluntarily excluded,'' as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause titled ``Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower Tier Covered Transactions,'' without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification (1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. ---------------------------------------------------------------------- Name of Applicant ---------------------------------------------------------------------- PR/Award Number and/or Project Name ---------------------------------------------------------------------- Printed Name and Title of Authorized Representative ---------------------------------------------------------------------- Signature ---------------------------------------------------------------------- Date BILLING CODE 4000-01-P [[Page 25783]] [GRAPHIC] [TIFF OMITTED] TN09MY97.009 [[Page 25784]] [GRAPHIC] [TIFF OMITTED] TN09MY97.010 [FR Doc. 97-12258 Filed 5-8-97; 8:45 am] BILLING CODE 4000-01-C