[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]
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DEPARTMENT OF EDUCATION
[CFDA Nos.: 84.133A, 84.133B, and 84.133D]
Office of Special Education and Rehabilitative Services, National
Institute on Disability and Rehabilitation Research; Notice Inviting
Applications for New Awards Under Certain Programs for Fiscal Year 1997
NOTE TO APPLICANTS: This notice is a complete application package.
Together with the statute authorizing the programs and applicable
regulations governing the programs, including the Education Department
General Administrative Regulations (EDGAR), this notice contains
information, application forms, and instructions needed to apply for a
grant under these competitions.
These programs support the National Education Goal that calls for
all Americans to possess the knowledge and skills necessary to compete
in a global economy and exercise the rights and responsibilities of
citizenship.
The estimated funding levels in this notice do not bind the
Department of Education to make awards in any of these categories, or
to any specific number of awards or funding levels, unless otherwise
specified in statute.
Applicable Regulations:
The Education Department General Administrative Regulations
(EDGAR), 34 CFR Parts 74, 75, 77, 80, 81, 82, 85, and 86; and the
following program regulations:
(a) Research and Demonstration Projects (R&D)--34 CFR Parts 350 and
351;
(b) Knowledge Dissemination and Utilization Program (D&U)--34 CFR
Parts 350 and 355; and
(c) Rehabilitation Research and Training Centers (RRTCs)--34 CFR
Parts 350 and 352.
Program Title: Research and Demonstration Projects
CFDA Number: 84.133A
Purpose of Program: The Research and Demonstration Projects program
is designed to support discrete research, demonstration, training, and
related projects to develop methods, procedures, and technology that
maximize the full inclusion and integration into society, independent
living, employment, family support, and economic and social self-
sufficiency of individuals with disabilities, especially those with the
most severe disabilities. In addition, the R&D program supports
discrete research, demonstration, and training projects that
specifically address the implementation of Titles I, III, VI, VII, and
VIII of the Rehabilitation Act, with emphasis on projects to improve
the effectiveness of these programs and to meet the needs described in
State Plans submitted to the Rehabilitation Services Administration by
State vocational rehabilitation agencies.
Eligible Applicants
Parties eligible to apply for grants under this program are public
and private nonprofit and for-profit agencies and organizations,
including institutions of higher education and Indian tribes and tribal
organizations.
Program Authority: 29 U.S.C. 761a and 762.
Program Title: Knowledge Dissemination and Utilization Program
CFDA Number: 84.133D
Purpose of Program: The Knowledge Dissemination and Utilization is
designed to support activities that will ensure that rehabilitation
knowledge generated from projects and centers funded by NIDRR and from
other sources is fully utilized to improve the lives of individuals
with disabilities and their families.
Eligible Applicants: Parties eligible to apply for grants under
this program are public and private nonprofit and for-profit agencies
and organizations, including institutions of higher education and
Indian tribes and tribal organizations.
Program Authority: 29 U.S.C. 761a and 762.
Application Notice for Fiscal Year 1997--Research and Demonstration Projects, CFDA No. 84.133A, Knowledge
Dissemination and Utilization Program, CFDA No. 84.133D
----------------------------------------------------------------------------------------------------------------
Maximum award
Deadline for Estimated amount (per
Funding priority transmittal of number of year in Project period (months)
applications awards dollars)*
----------------------------------------------------------------------------------------------------------------
Burn Injury Rehabilitation Model System 6/23/97 4 295,000 60
84.133A.
Traumatic Brain Injury Model Systems 6/23/97 5 345,000 Up to 60 **
84.133A.
Improving the Utilization of 6/23/97 1 500,000 60
Rehabilitation Technology in
Rehabilitation 84.133D.
----------------------------------------------------------------------------------------------------------------
Applications Available: May 9, 1997.
* Note 1: The Secretary will reject without consideration or evaluation any application that proposes a project
funding level that exceeds the stated maximum award amount (See 34 CFR 75.104(b)).
** Note 2: Applicants should submit proposals covering a 60 month project period. The Secretary will assess,
during the third year of the project period, whether the model as described in the TBI Model Systems Priority
is the most appropriate approach and whether revisions are needed in the model. Based on this determination
the Secretary will determine whether there is a continuing need to provide funding beyond 36 months.
Research and Demonstration Projects and Knowledge Dissemination and
Utilization Program Selection Criteria
The Secretary uses the following selection criteria to evaluate
applications under the R&D and D&U programs.
(a) Potential Impact of Outcomes: Importance of Program (Weight
3.0). The Secretary reviews each application to determine to what
degree--
(1) The proposed activity relates to the announced priority;
(2) The research is likely to produce new and useful information
(research activities only);
(3) The need and target population are adequately defined;
(4) The outcomes are likely to benefit the defined target
population;
(5) The training needs are clearly defined (training activities
only);
(6) The training methods and developed subject matter are likely to
meet the defined need (training activities only); and
(7) The need for information exists (utilization activities only).
[[Page 25771]]
(b) Potential Impact of Outcomes: Dissemination/Utilization (Weight
3.0). The Secretary reviews each application to determine to what
degree--
(1) The research results are likely to become available to others
working in the field (research activities only);
(2) The means to disseminate and promote utilization by others are
defined;
(3) The training methods and content are to be packaged for
dissemination and use by others (training activities only);
(4) The utilization approach is likely to address the defined need
(utilization activities only); and
(5) There is likely to be widespread dissemination of the results,
in a usable and effective manner, to all appropriate target
populations, including individuals with disabilities and their family
members.
(c) Probability of Achieving Proposed Outcomes; Program/ Project
Design (Weight 5.0). The Secretary reviews each application to
determine to what degree--
(1) The objectives of the project(s) are clearly stated;
(2) The hypothesis is sound and based on evidence (research
activities only);
(3) The project design/methodology is likely to achieve the
objectives;
(4) The measurement methodology and analysis is sound (research and
development/demonstration activities only);
(5) The conceptual model (if used) is sound (development/
demonstration activities only);
(6) The sample populations are correct and significant (research
and development/demonstration activities only);
(7) The human subjects are sufficiently protected (research and
development/demonstration activities only);
(8) The device(s) or model system is to be developed in an
appropriate environment;
(9) The training content is comprehensive and at an appropriate
level (training activities only);
(10) The training methods are likely to be effective (training
activities only);
(11) The new materials (if developed) are likely to be of high
quality and uniqueness (training activities only);
(12) The target populations are linked to the project (utilization
activities only);
(13) The format of the dissemination medium is the best to achieve
the desired result (utilization activities only); and
(14) The materials to be used in the project and the materials to
be disseminated are likely to be in formats that are accessible to the
appropriate populations.
(d) Probability of Achieving Proposed Outcomes: Key Personnel
(Weight 4.0). The Secretary reviews each application to determine to
what degree--
(1) The principal investigator and other key staff have adequate
training and/or experience and demonstrate appropriate potential to
conduct the proposed research, demonstration, training, development, or
dissemination activity;
(2) The principal investigator and other key staff are familiar
with pertinent literature and/or methods;
(3) All required disciplines are effectively covered;
(4) Commitments of staff time are adequate for the project; and
(5) The applicant is likely, as part of its non-discriminatory
employment practices, to encourage applications for employment from
persons who are members of groups that traditionally have been
underrepresented, such as--
(i) Members of racial or ethnic minority groups;
(ii) Women;
(iii) Handicapped persons; and
(iv) The elderly.
(e) Probability of Achieving Proposed Outcomes: Evaluation Plan
(Weight 1.0). The Secretary reviews each application to determine to
what degree--
(1) There is a mechanism to evaluate plans, progress and results;
(2) The evaluation methods and objectives are likely to produce
data that are quantifiable; and
(3) The evaluation results, where relevant, are likely to be
assessed in a service setting.
(f) Program/Project Management: Plan of Operation (Weight 2.0). The
Secretary reviews each application to determine to what degree--
(1) There is an effective plan of operation that insures proper and
efficient administration of the project(s);
(2) The applicant's planned use of its resources and personnel is
likely to achieve each objective;
(3) Collaboration between institutions, if proposed, is likely to
be effective; and
(4) There is a clear description of how the applicant will include
eligible project participants who have been traditionally
underrepresented, such as--
(i) Members of racial or ethnic minority groups;
(ii) Women;
(iii) Handicapped persons; and
(iv) The elderly.
(g) Program/Project Management: Adequacy of Resources (Weight 1.0).
The Secretary reviews each application to determine to what degree--
(1) The facilities planned for use are adequate;
(2) The equipment and supplies planned for use are adequate; and
(3) The commitment of the applicant to provide administrative
support and adequate facilities is evident.
(h) Program/Project Management: (Budget and Cost Effectiveness
(Weight 1.0). The Secretary reviews each application to determine to
what degree--
(1) The budget for the project(s) is adequate to support the
activities;
(2) The costs are reasonable in relation to the objectives of the
projects(s); and
(3) The budget for subcontracts (if required) is detailed and
appropriate.
Program Title: Rehabilitation Research and Training Centers
CFDA Number: 84.133B
Purpose of Program: RRTCs conduct coordinated and advanced programs
of research on disability and rehabilitation that will produce new
knowledge that will improve rehabilitation methods and service delivery
systems, alleviate or stabilize disabling conditions, and promote
maximum social and economic independence for individuals with
disabilities. RRTCs provide training to service providers at the pre-
service, in-service training, undergraduate, and graduate levels, to
improve the quality and effectiveness of rehabilitation services. They
also provide advanced research training to individuals with
disabilities and those from minority backgrounds, engaged in research
on disability and rehabilitation. RRTCs serve as national and regional
technical assistance resources, and provide training for service
providers, individuals with disabilities and families and
representatives, and rehabilitation researchers.
[[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
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BILLING CODE 4000-01-C
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Public reporting burden for these collections of information is
estimated to average 30 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information.
Send comments regarding this burden estimate or any other aspect
of these collections of information, including suggestions for
reducing this burden, to: the U.S. Department of Education,
Information Management and Compliance Division, Washington, D.C.
20202-4651; and to the Office of Management and Budget, Paperwork
Reduction Project 1820-0027, Washington, D.C. 20503.
Research and Demonstration Projects (CFDA No. 84.133A) 34 CFR
Parts 350 and 351.
Rehabilitation Research and Training Center (CFDA No. 84.133B)
34 CFR Parts 350 and 352.
Knowledge Dissemination and Utilization Program (CFDA No.
84.133D) 34 CFR Parts 350 and 355.
Assurances--Non-Construction Programs
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance, and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290dd-3 and 290ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination
in the sale, rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply with the provisions of the Hatch Act (5 U.S.C.
Secs. 1501-1508 and 7324-7328) which limit the political activities
of employees whose principal employment activities are funded in
whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) Institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401
et seq.); (g) protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered
Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
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Signature of Authorized Certifying Official
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Title
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Applicant Organization
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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)
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----------------------------------------------------------------------
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.
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Name of Applicant
----------------------------------------------------------------------
PR/Award Number and/or Project Name
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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.
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Name of Applicant
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PR/Award Number and/or Project Name
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Printed Name and Title of Authorized Representative
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Signature
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Date
BILLING CODE 4000-01-P
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[FR Doc. 97-12258 Filed 5-8-97; 8:45 am]
BILLING CODE 4000-01-C