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Code · REGISTER · 2006-10-26 · SECURITIES AND EXCHANGE COMMISSION · Notices

Notices. Notice

23,161 words·~105 min read·/register/2006/10/26/06-8890

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BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-54622; File No. SR-FICC-2006-13] Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve's National Settlement Service October 18, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on July 11, 2006, Fixed Income Clearing Corporation (“FICC”) filed with the Securities and Exchange Commission (“Commission”) and on August 4, 2006, amended, the proposed rule change as described in Items I, II, and III below, which items have been prepared primarily by FICC.
The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The proposed rule change would amend the rules of FICC's Mortgage-Backed Securities Division (“MBSD”) to require clearing participants to satisfy their cash settlement amounts ultimately through the Federal Reserve's National Settlement Service (“NSS”). 2 2 The Commission previously approved a proposed rule change filed by FICC to make a similar amendment to the rules of its Government Securities Division (“GSD”).
Securities Exchange Act No. 52853 (November 29, 2005), 70 FR 72682 (December 6, 2005) [File No. SR-FICC-2005-14]. FICC's affiliates, The Depository Trust Company (“DTC”) and the National Securities Clearing Corporation (“NSCC”) also use NSS in their funds settlement processes. However, DTC and NSCC do not currently use NSS for the payment of credit. FICC is proposing to have the MBSD process both the debits and credits of its cash settlement process through the NSS, as is the case for the GSD.
For a description of NSS, refer to *www.frbservices.org/Wholesale/natsettle.html.* II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, FICC included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. FICC has prepared summaries, set forth in sections (A), (B), and
(C)below, of the most significant aspects of such statements. 3 3 The Commission has modified parts of these statements.
(A)Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change Currently, the MBSD cash settlement process, which is contained in Rule 8 of Article II of the MBSD's rules, works as follows. On a daily basis, FICC computes a cash balance, which is either a debit amount or a credit amount, per participant account and nets the cash balances across aggregated accounts. Unlike at GSD where cash settlement occurs on a daily basis, at MBSD there are specific dates on which debits and credits are required to be made. Settlement dates at MBSD are based upon the settlement dates of the different classes of MBSD-eligible securities. There is a time deadline for the payment of debits to FICC as announced by the MBSD from time to time. All payments of cash settlement amounts by a clearing participant to FICC and all collections of cash settlement amounts by a clearing participant from FICC are done through depository institutions that are designated by MBSD participant and by FICC to act on their behalf with regard to such payments and collections. All payments are made by fund wires from one depository institution to the other. Under the proposal, the required payment mechanism for the satisfaction of cash settlement amounts would be the NSS. FICC would appoint The Depository Trust Company (“DTC”) as its settlement agent for purposes of interfacing with the NSS. 4 4 DTC currently performs this service for the GSD and NSCC. In order to satisfy their cash settlement obligations through the NSS process, each MBSD clearing participant would have to appoint a “cash settling bank.” An MBSD clearing participant that qualifies may act as its own cash settling bank. The MBSD would establish a limited membership category for the cash settling banks. Banks or trust companies that are DTC settling banks (as defined in DTC's rules and procedures), GSD funds-only settling bank members (as defined in the GSD's rules), or clearing participants with direct access to a Federal Reserve Bank and NSS would be eligible to become MBSD cash settling bank participants by executing the requisite membership agreements for this purpose. Banks or trust companies that do not fall into these categories and that desire to become MBSD cash settling bank participants would need to apply to FICC. Such banks or trust companies would also need to have direct access to a Federal Reserve Bank and the NSS as well as satisfy the financial responsibility standards and operational capability imposed by FICC from time to time. Initially, these applicants would be required to meet and to maintain a Tier 1 capital ratio of 6 percent. 5 5 This is the same financial requirement for GSD funds-only settling banks that fall into a similar category. As with the GSD, FICC would retain the authority and discretion to change this financial criterion by providing advanced notice to the settling banks and the netting members through an important notice. In addition to the membership agreement, each MBSD participant and the cash settling bank it has selected would be required to execute an agreement whereby the participant would appoint the bank to act on its behalf for cash settlement purposes. The bank would also be required to execute any agreements that may be required by the Federal Reserve Bank for participation in the NSS for FICC's cash settlement process. The cash settling banks would be required to follow the procedures for cash settlement payment processing set forth in the proposed rule changes. This would include, for example, providing FICC or its settlement agent with the requisite acknowledgement of the bank's intention to settle the cash settlement amounts of the clearing participant(s) it represents on a timely basis and to participate in the NSS process. Cash settling banks would have the right to refuse to settle for a particular participant and would also be able to opt out of NSS for one business day if they were experiencing extenuating circumstances. 6 In such a situation, the clearing participant would be responsible for ensuring that its cash settlement debit was wired to the depository institution designated by FICC to receive such payments by the payment deadline. The proposed rule change makes clear that the obligation of a clearing participant to fulfill its cash settlement would remain at all times with the clearing participant. 6 These procedures are consistent with the GSD, NSCC, and DTC procedures in this respect. As FICC's settlement agent, DTC would submit instructions to have the Federal Reserve Bank accounts of the cash settlement banks charged for the debit amounts and credited for the credit amounts. Utilization of NSS would eliminate the need for the initiation of wire transfers in satisfaction of MBSD settlement amounts, and FICC believes that it would therefore reduce the risk that the clearing participant that designated the bank would incur a late payment fine due to delay in wiring funds. The proposal would also reduce operational burden for the operations staff of FICC and of the participants. The NSS is governed by the Federal Reserve's Operating Circular No. 12 (“Circular”). Under the Circular, DTC, as FICC's settlement agent, has certain responsibilities with respect to an indemnity claim made by a relevant Federal Reserve Bank as a result of the NSS process. FICC would apportion the entirety of any such liability to the clearing participant or clearing participants for whom the cash settling bank to which the indemnity claim relates is acting. This allocation would be done in proportion to the amount of each participants' cash settlement amounts on the business day in question. If for any reason such allocation would not be sufficient to fully satisfy the Federal Reserve Bank's indemnity claim, then the remaining loss would be allocated among all clearing participants in proportion to their relative usage of the facilities of the MBSD based on fees for services during the period in which loss is incurred. The proposed rule change also amends the GSD's rules regarding the use of the NSS. An additional category for eligible funds-only settling banks would be added to include MBSD cash settling banks. This means that an MBSD cash settling bank would be able to become a GSD funds-only settling bank by signing the requisite agreements. FICC believes that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder because the proposed rule change would enhance the current operation of the MBSD's cash settlement payment process by promoting the timely processing of funds payments and credits. As such, the proposed rule change would support the prompt and accurate clearance and settlement of securities transactions.
(B)Self-Regulatory Organization's Statement on Burden on Competition FICC does not believe that the proposed rule change would have any impact or impose any burden on competition.
(C)Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments relating to the proposed rule change have not yet been solicited or received. FICC will notify the Commission of any written comments received by FICC. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 35 days of the date of publication of this notice in the **Federal Register** or within such longer period
(i)as the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding, or
(ii)as to which the self-regulatory organization consents, the Commission will:
(A)By order approve the proposed rule change, or
(B)Institute proceedings to determine whether the proposed rule change should be disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ) or • Send an e-mail to *rule-comments@sec.gov.* Please include File Number SR-FICC-2006-13 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-FICC-2006-13. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Section, 100 F Street, NE., Washington, DC 20549. Copies of such filing also will be available for inspection and copying at the principal office of FICC and on FICC's Web site at *www.ficc.com.* All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-FICC-2006-13 and should be submitted on or before November 16, 2006. For the Commission by the Division of Market Regulation, pursuant to delegated authority. 7 7 17 CFR 200.3(a)(12). Nancy M. Morris, Secretary. [FR Doc. E6-17913 Filed 10-25-06; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-54628; File No. SR-NYSEArca-2006-74] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Vanguard Emerging Markets Stock Index Fund October 19, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on October 10, 2006, NYSE Arca, Inc. (“Exchange”), through its wholly owned subsidiary NYSE Arca Equities, Inc. (“NYSE Arca Equities” or the “Corporation”), filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons and is approving the proposal on an accelerated basis. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is proposing to substitute the index tracked by a class of exchange-traded securities (formerly referred to as Vanguard Emerging Market VIPERs, the “ETF Shares”) issued by the Vanguard Emerging Markets Stock Index Fund (“Fund”). 3 3 In addition to the ETF Shares, the Fund offers a class of shares that are not exchange-traded, which are referred to as “Investor Shares.” II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item III below. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose On August 8, 2005, the Commission approved the Exchange's filing proposing to trade the ETF Shares pursuant to unlisted trading privileges (“UTP”). 4 The Commission had previously approved the original listing and trading of the ETF Shares by the American Stock Exchange LLC (“Amex”). 5 The Exchange is filing this proposal to obtain the Commission's approval of the substitution of the index tracked by the ETF Shares issued by the Fund. The Amex has recently filed a similar proposal. 6 4 *See* Securities Exchange Act Release No. 34-52221 (August 8, 2005), 70 FR 48222 (August 16, 2005) (SR-PCX-2005-74) (the “Approval Order”). The Exchange expanded the hours during which the ETF Shares are eligible to trade on the NYSE Arca Marketplace (f/k/a the Archipelago Exchange) in December 2005. *See* Securities Exchange Act Release No. 34-52927 (December 8, 2005), 70 FR 74397 (December 15, 2005) (SR-PCX-2005-128). 5 *See* Securities Exchange Act Release No. 50189 (August 12, 2004), 69 FR 51723 (August 20, 2004) (SR-Amex-2005-04) (the “Amex Approval Order”). 6 *See* SR-Amex-2006-95 (September 29, 2006) (the “Amex Proposal”). The ETF Shares originally sought to track, as closely as possible, the performance of the Select Emerging Markets Index (“Select Index”), a regional index compiled by Morgan Stanley Capital International (MSCI®) 7 (“MSCI”). Pursuant to the Fund's prospectus for the ETF Shares and the Amex Approval Order, the Fund has the right to substitute a different index for the Select Index, provided, that the reason for the substitution is determined in good faith, the substitute index measures the same general market as the Select Index and investors are notified of the index substitution. The Vanguard Group, Inc., as investment adviser to the Fund (“Vanguard”), recently decided to substitute the Select Index with the Vanguard® Emerging Markets Index (“Emerging Markets Index”) and issued a press release announcing such substitution. 8 7 MSCI® is a service mark of Morgan Stanley & Co. Incorporated. 8 See *http://onlinepressroom.net/vanguard/* . According to the Amex Proposal, the Select Index 9 is modeled on the more expansive Emerging Markets Index with certain adjustments designed to reduce risk including the exclusion of countries because of concerns about illiquidity, repatriation of capital, or entry barriers to those markets. As of June 13, 2006, Colombia, Egypt, Jordan, Malaysia, Morocco, Pakistan, Russia, Sri Lanka, and Venezuela were excluded from the Select Index due to the above noted concerns. Because emerging markets, such as Russia and Malaysia, have become more liquid and accessible, Vanguard believes that additional emerging market countries now warrant inclusion in the Fund. The addition of these emerging markets to the Select Index would result in a benchmark that is effectively the same as the Emerging Markets Index. As a result, it is proposed that the Emerging Markets Index be substituted for the Select Index. 9 The Select Index includes approximately 668 common stocks of companies located in Argentina, Brazil, Chile, China, Czech Republic, Hungary, India, Indonesia, Israel, Korea, Mexico, Peru, Philippines, Poland, South Africa, Taiwan, Thailand and Turkey. The Emerging Markets Index provides exposure to 25 emerging market countries whereas the Select Index only provides exposure to 18 emerging market countries. As of August 24, 2006, the Emerging Markets Index was comprised of 848 constituents with the top five constituents representing the following weights: 4.07%, 2.84%, 2.1%, 1.84% and 1.77%. Countries represented in the Emerging Markets Index include Argentina, Brazil, Chile, China, Colombia, the Czech Republic, Egypt, Hungary, India, Indonesia, Israel, Jordan, Malaysia, Mexico, Morocco, Pakistan, Peru, the Philippines, Poland, Russia, South Africa, South Korea, Taiwan, Thailand, and Turkey. MSCI periodically adjusts the list of included countries to keep pace with the evolution in world markets (such adjustments are made on a forward-looking basis, so past performance of the Emerging Markets Index always reflects actual country representation during the relevant period). MSCI ( *http://www.msci.com* ) administers the Emerging Markets Index exclusively. Similar to the Select Index, the Emerging Markets Index is a capitalization-weighted index whose component securities are adjusted for available float and must meet objective criteria for inclusion in the Index. The Emerging Markets Index aims to capture 85% of the publicly available total market capitalization in each emerging market included in the Emerging Markets Index. The Emerging Markets Index is rebalanced quarterly, calculated in U.S. Dollars on a real time basis, and disseminated every 60 seconds during market trading hours. The Fund's investment objectives, policies and methodology, MSCI's index maintenance procedures and standards and the dissemination of Index information as described in the Approval Order and the Amex Approval Order will not be affected by the index substitution. For example, the Fund will continue to employ a “representative sampling” methodology to track the Emerging Markets Index, which means that the Fund invests in a representative sample of securities in the Index that have a similar investment profile as the Index. 10 The Exchange believes that the Fund's investment policies will continue to prevent the Fund from being excessively weighted in any single security or small group of securities and significantly reduce concerns that trading in the ETF Shares could become a surrogate for trading in unregistered securities. It is also expected that the expense ratios of the ETF Shares will remain at 0.30% and the Fund will not generate any capital gains as a result of the substitution. 10 As of August 24, 2006, the Fund was comprised of 851 constituents, according to the Amex Proposal. The aggregate percentage weighting of the top 5, 10, and 20 constituents in the Fund were 11.07%, 18.17% and 28.09%, respectively. The Exchange has reviewed the Emerging Markets Index and believes that sufficient mechanisms exist that would provide the Exchange with adequate surveillance and regulatory information with respect to the Index. Specifically, the Exchange represents that it will rely on existing surveillance procedures governing derivative products trading on the Exchange. In addition, the Exchange, Vanguard, and MSCI have a general policy prohibiting the distribution of material, non-public information by their employees. Due to MSCI's role as a broker-dealer that maintains the Index, MSCI has represented that a functional separation, such as a firewall, exists between its trading desk and the research persons responsible for maintaining the Index. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) 11 of the Act, in general, and furthers the objectives of Section 6(b)(5) 12 in particular in that it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, and to remove impediments to and perfect the mechanisms of a free and open market and a national market system. 11 15 U.S.C. 78f(b). 12 15 U.S.C. 78f(b)(5). In addition, the proposed rule change is consistent with Rule 12f-5 13 under the Act because it deems the Shares to be equity securities, thus rendering the Shares subject to the Exchange's rules governing the trading of equity securities. 13 17 CFR 240.12f-5. B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments on the proposed rule change were solicited or received. III. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov* . Please include File Number SR-NYSEArca-2006-74 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, Station Place, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-NYSEArca-2006-74. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room. Copies of such filing also will be available for inspection and copying at the principal offices of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-NYSEArca-2006-74 and should be submitted on or before November 16, 2006. IV. Commission's Findings and Order Granting Accelerated Approval of Proposed Rule Change The Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange. 14 In particular, the Commission finds that the proposed rule change is consistent with Section 6(b)(5) of the Act, 15 which requires that an exchange have rules designed, among other things, to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and in general to protect investors and the public interest. 14 In approving this rule change, the Commission notes that it has considered the proposed rule's impact on efficiency, competition, and capital formation. *See* 15 U.S.C. 78c(f). 15 15 U.S.C. 78f(b)(5). The Commission finds good cause for approving this proposed rule change before the thirtieth day after the publication of notice thereof in the **Federal Register** . As noted above, the Commission previously found that the trading of these ETF Shares on the Exchange is consistent with the Act. 16 Substituting the Emerging Markets Index for the Select Index does not change the Commission's analysis, and the Commission believes accelerating approval of this proposed rule change is appropriate. 16 *See* Approval Order, *supra* note 4. V. Conclusion It is therefore ordered, pursuant to Section 19(b)(2) of the Act, that the proposed rule change (SR-NYSEArca-2006-74), is hereby approved on an accelerated basis. 17 17 15 U.S.C. 78s(b)(2). 18 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 18 Nancy M. Morris, Secretary. [FR Doc. E6-17989 Filed 10-25-06; 8:45 am] BILLING CODE 8011-01-P SOCIAL SECURITY ADMINISTRATION [Document No. 2006 SSA-0088] Office of the Commissioner; Cost-of-Living Increase and Other Determinations for 2007 AGENCY: Social Security Administration. ACTION: Notice. SUMMARY: The Commissioner has determined—
(1)A 3.3 percent cost-of-living increase in Social Security benefits under title II of the Social Security Act (the Act), effective for December 2006;
(2)An increase in the Federal Supplemental Security Income
(SSI)monthly benefit amounts under title XVI of the Act for 2007 to $623 for an eligible individual, $934 for an eligible individual with an eligible spouse, and $312 for an essential person;
(3)The student earned income exclusion to be $1,510 per month in 2007 but not more than $6,100 in all of 2007;
(4)The dollar fee limit for services performed as a representative payee to be $34 per month ($66 per month in the case of a beneficiary who is disabled and has an alcoholism or drug addiction condition that leaves him or her incapable of managing benefits) in 2007;
(5)The dollar limit on the administrative-cost assessment charged to attorneys representing claimants to be $77 in 2007;
(6)The national average wage index for 2005 to be $36,952.94;
(7)The Old-Age, Survivors, and Disability Insurance (OASDI) contribution and benefit base to be $97,500 for remuneration paid in 2007 and self-employment income earned in taxable years beginning in 2007;
(8)The monthly exempt amounts under the Social Security retirement earnings test for taxable years ending in calendar year 2007 to be $1,080 and $2,870;
(9)The dollar amounts (“bend points”) used in the primary insurance amount benefit formula for workers who become eligible for benefits, or who die before becoming eligible, in 2007 to be $680 and $4,100;
(10)The dollar amounts (“bend points”) used in the formula for computing maximum family benefits for workers who become eligible for benefits, or who die before becoming eligible, in 2007 to be $869, $1,255, and $1,636;
(11)The amount of taxable earnings a person must have to be credited with a quarter of coverage in 2007 to be $1,000;
(12)The “old-law” contribution and benefit base to be $72,600 for 2007;
(13)The monthly amount deemed to constitute substantial gainful activity for statutorily blind individuals in 2007 to be $1,500, and the corresponding amount for non-blind disabled persons to be $900;
(14)The earnings threshold establishing a month as a part of a trial work period to be $640 for 2007; and
(15)Coverage thresholds for 2007 to be $1,500 for domestic workers and $1,300 for election workers. FOR FURTHER INFORMATION CONTACT: Jeffrey L. Kunkel, Office of the Chief Actuary, Social Security Administration, 6401 Security Boulevard, Baltimore, MD 21235,
(410)965-3013. Information relating to this announcement is available on our Internet site at *www.socialsecurity.gov/OACT/COLA/index.html.* For information on eligibility or claiming benefits, call 1-800-772-1213 or TTY 1-800-325-0778, or visit our Internet site, Social Security Online, at *www.socialsecurity.gov.* SUPPLEMENTARY INFORMATION: In accordance with the Act, the Commissioner must publish within 45 days after the close of the third calendar quarter of 2006 the benefit increase percentage and the revised table of “special minimum” benefits (section 215(i)(2)(D)). Also, the Commissioner must publish on or before November 1 the national average wage index for 2005 (section 215(a)(1)(D)), the OASDI fund ratio for 2006 (section 215(i)(2)(C)(ii)), the OASDI contribution and benefit base for 2007 (section 230(a)), the amount of earnings required to be credited with a quarter of coverage in 2007 (section 213(d)(2)), the monthly exempt amounts under the Social Security retirement earnings test for 2007 (section 203(f)(8)(A)), the formula for computing a primary insurance amount for workers who first become eligible for benefits or die in 2007 (section 215(a)(1)(D)), and the formula for computing the maximum amount of benefits payable to the family of a worker who first becomes eligible for old-age benefits or dies in 2007 (section 203(a)(2)(C)). Cost-of-Living Increases General The next cost-of-living increase, or automatic benefit increase, is 3.3 percent for benefits under titles II and XVI of the Act. Under title II, OASDI benefits will increase by 3.3 percent for individuals eligible for December 2006 benefits, payable in January 2007. This increase is based on the authority contained in section 215(i) of the Act (42 U.S.C. 415(i)). Under title XVI, Federal SSI payment levels will also increase by 3.3 percent effective for payments made for the month of January 2007 but paid on December 29, 2006. This is based on the authority contained in section 1617 of the Act (42 U.S.C. 1382f). Automatic Benefit Increase Computation Under section 215(i) of the Act, the third calendar quarter of 2006 is a cost-of-living computation quarter for all the purposes of the Act. The Commissioner is, therefore, required to increase benefits, effective for December 2006, for individuals entitled under section 227 or 228 of the Act, to increase primary insurance amounts of all other individuals entitled under title II of the Act, and to increase maximum benefits payable to a family. For December 2006, the benefit increase is the percentage increase in the Consumer Price Index for Urban Wage Earners and Clerical Workers from the third quarter of 2005 to the third quarter of 2006. Section 215(i)(1) of the Act provides that the Consumer Price Index for a cost-of-living computation quarter shall be the arithmetic mean of this index for the 3 months in that quarter. We round the arithmetic mean, if necessary, to the nearest 0.1. The Department of Labor's Consumer Price Index for Urban Wage Earners and Clerical Workers for each month in the quarter ending September 30, 2005, is: for July 2005, 191.0; for August 2005, 192.1; and for September 2005, 195.0. The arithmetic mean for this calendar quarter is 192.7. The corresponding Consumer Price Index for each month in the quarter ending September 30, 2006, is: for July 2006, 199.2; for August 2006, 199.6; and for September 2006, 198.4. The arithmetic mean for this calendar quarter is 199.1. Thus, because the Consumer Price Index for the calendar quarter ending September 30, 2006, exceeds that for the calendar quarter ending September 30, 2005 by 3.3 percent (rounded to the nearest 0.1), a cost-of-living benefit increase of 3.3 percent is effective for benefits under title II of the Act beginning December 2006. Section 215(i) also specifies that an automatic benefit increase under title II, effective for December of any year, will be limited to the increase in the national average wage index for the prior year if the “OASDI fund ratio” for that year is below 20.0 percent. The OASDI fund ratio for a year is the ratio of the combined assets of the Old-Age and Survivors Insurance and Disability Insurance Trust Funds at the beginning of that year to the combined expenditures of these funds during that year. (The expenditures in the ratio's denominator exclude transfer payments between the two trust funds, and reduce any transfers to the Railroad Retirement Account by any transfers from that account into either trust fund.) For 2006, the OASDI fund ratio is assets of $1,858,660 million divided by estimated expenditures of $560,000 million, or 331.9 percent. Because the 331.9-percent OASDI fund ratio exceeds 20.0 percent, the automatic benefit increase for December 2006 is not limited. Title II Benefit Amounts In accordance with section 215(i) of the Act, in the case of workers and family members for whom eligibility for benefits (i.e., the worker's attainment of age 62, or disability or death before age 62) occurred before 2007, benefits will increase by 3.3 percent beginning with benefits for December 2006 which are payable in January 2007. In the case of first eligibility after 2006, the 3.3 percent increase will not apply. For eligibility after 1978, benefits are generally determined using a benefit formula provided by the Social Security Amendments of 1977 (Pub. L. 95-216), as described later in this notice. For eligibility before 1979, we determine benefits by means of a benefit table. The table is available on the Internet at *www.socialsecurity.gov/OACT/ProgData/tableForm.html* , or by writing to: Social Security Administration, Office of Public Inquiries, Windsor Park Building, 6401 Security Boulevard, Baltimore, MD 21235. Section 215(i)(2)(D) of the Act requires that, when the Commissioner determines an automatic increase in Social Security benefits, the Commissioner will publish in the **Federal Register** a revision of the range of the primary insurance amounts and corresponding maximum family benefits based on the dollar amount and other provisions described in section 215(a)(1)(C)(i). We refer to these benefits as “special minimum” benefits. These benefits are payable to certain individuals with long periods of relatively low earnings. To qualify for such benefits, an individual must have at least 11 “years of coverage.” To earn a year of coverage for purposes of the special minimum benefit, a person must earn at least a certain proportion of the “old-law” contribution and benefit base (described later in this notice). For years before 1991, the proportion is 25 percent; for years after 1990, it is 15 percent. In accordance with section 215(a)(1)(C)(i), the table below shows the revised range of primary insurance amounts and corresponding maximum family benefit amounts after the 3.3 percent automatic benefit increase. Special Minimum Primary Insurance Amounts and Maximum Family Benefits Payable for December 2006 Number of years of coverage Primary insurance amount Maximum family benefit 11 $34.20 $52.00 12 69.50 105.10 13 105.00 158.10 14 140.10 210.80 15 175.10 263.60 16 210.60 316.90 17 246.00 370.10 18 281.30 422.90 19 316.50 475.90 20 351.90 528.60 21 387.30 582.00 22 422.30 634.80 23 458.20 688.50 24 493.40 741.10 25 528.60 793.50 26 564.50 847.50 27 599.30 900.20 28 634.70 953.00 29 669.90 1,006.30 30 705.20 1,058.70 Title XVI Benefit Amounts In accordance with section 1617 of the Act, maximum SSI Federal benefit amounts for the aged, blind, and disabled will increase by 3.3 percent effective January 2007. For 2006, we derived the monthly benefit amounts for an eligible individual, an eligible individual with an eligible spouse, and for an essential person—$603, $904, and $302, respectively—from corresponding yearly unrounded Federal SSI benefit amounts of $7,240.56, $10,859.62, and $3,628.58. For 2007, these yearly unrounded amounts increase by 3.3 percent to $7,479.50, $11,217.99, and $3,748.32, respectively. Each of these resulting amounts must be rounded, when not a multiple of $12, to the next lower multiple of $12. Accordingly, the corresponding annual amounts, effective for 2007, are $7,476, $11,208, and $3,744. Dividing the yearly amounts by 12 gives the corresponding monthly amounts for 2007—$623, $934, and $312, respectively. In the case of an eligible individual with an eligible spouse, we equally divide the amount payable between the two spouses. Title VIII of the Act provides for special benefits to certain World War II veterans residing outside the United States. Section 805 provides that “[t]he benefit under this title payable to a qualified individual for any month shall be in an amount equal to 75 percent of the Federal benefit rate [the maximum amount for an eligible individual] under title XVI for the month, reduced by the amount of the qualified individual's benefit income for the month.” Thus the monthly benefit for 2007 under this provision is 75 percent of $623, or $467.25. Student Earned Income Exclusion A blind or disabled child, who is a student regularly attending school, college, or university, or a course of vocational or technical training, can have limited earnings that are not counted against his or her SSI benefits. The maximum amount of such income that may be excluded in 2006 is $1,460 per month but not more than $5,910 in all of 2006. These amounts increase based on a formula set forth in regulation 20 CFR 416.1112. To compute each of the monthly and yearly maximum amounts for 2007, we increase the corresponding unrounded amount for 2006 by the latest cost-of-living increase. If the amount so calculated is not a multiple of $10, we round it to the nearest multiple of $10. The unrounded monthly amount for 2006 is $1,464.95. We increase this amount by 3.3 percent to $1,513.29, which we then round to $1,510. Similarly, we increase the unrounded yearly amount for 2006, $5,905.21, by 3.3 percent to $6,100.08 and round this to $6,100. Thus the maximum amount of the income exclusion applicable to a student in 2007 is $1,510 per month but not more than $6,100 in all of 2007. Fee for Services Performed as a Representative Payee Sections 205(j)(4)(A)(i) and 1631(a)(2)(D)(i) of the Act permit a qualified organization to collect from an individual a monthly fee for expenses incurred in providing services performed as such individual's representative payee. Currently the fee is limited to the lesser of:
(1)10 percent of the monthly benefit involved; or
(2)$33 per month ($64 per month in any case in which the individual is entitled to disability benefits and the Commissioner has determined that payment to the representative payee would serve the interest of the individual because the individual has an alcoholism or drug addiction condition and is incapable of managing such benefits). The dollar fee limits are subject to increase by the automatic cost-of-living increase, with the resulting amounts rounded to the nearest whole dollar amount. Thus we increase the current amounts by 3.3 percent to $34 and $66 for 2007. Attorney Assessment Fee Under sections 206(d) and 1631(d) of the Act, whenever a fee for services is required to be paid to an attorney who has represented a claimant, the Commissioner must impose on the attorney an assessment to cover administrative costs. Such assessment shall be no more than 6.3 percent of the attorney's fee or, if lower, a dollar amount that is subject to increase by the automatic cost-of-living increase. We derive the dollar limit for December 2006 by increasing the unrounded limit for December 2005, $75.00, by 3.3 percent, which gives $77.47. We then round $77.47 to the next lower multiple of $1. The dollar limit effective for December 2006 is thus $77. National Average Wage Index for 2005 General Under various provisions of the Act, several amounts increase automatically with annual increases in the national average wage index. The amounts are:
(1)The OASDI contribution and benefit base;
(2)the exempt amounts under the retirement earnings test;
(3)the dollar amounts, or “bend points,” in the primary insurance amount and maximum family benefit formulas;
(4)the amount of earnings required for a worker to be credited with a quarter of coverage;
(5)the “old-law” contribution and benefit base (as determined under section 230 of the Act as in effect before the 1977 amendments);
(6)the substantial gainful activity amount applicable to statutorily blind individuals; and
(7)the coverage threshold for election officials and election workers. Also, section 3121(x) of the Internal Revenue Code requires that the domestic employee coverage threshold be based on changes in the national average wage index. In addition to the amounts required by statute, two amounts increase automatically under regulatory requirements. The amounts are
(1)the substantial gainful activity amount applicable to non-blind disabled persons, and
(2)the monthly earnings threshold that establishes a month as part of a trial work period for disabled beneficiaries. Computation The determination of the national average wage index for calendar year 2005 is based on the 2004 national average wage index of $35,648.55 announced in the **Federal Register** on October 25, 2005 (70 FR 61677), along with the percentage increase in average wages from 2004 to 2005 measured by annual wage data tabulated by the Social Security Administration (SSA). The wage data tabulated by SSA include contributions to deferred compensation plans, as required by section 209(k) of the Act. The average amounts of wages calculated directly from these data were $34,197.63 and $35,448.93 for 2004 and 2005, respectively. To determine the national average wage index for 2005 at a level that is consistent with the national average wage indexing series for 1951 through 1977 (published December 29, 1978, at 43 FR 61016), we multiply the 2004 national average wage index of $35,648.55 by the percentage increase in average wages from 2004 to 2005 (based on SSA-tabulated wage data) as follows, with the result rounded to the nearest cent. Amount Multiplying the national average wage index for 2004 ($35,648.55) by the ratio of the average wage for 2005 ($35,448.93) to that for 2004 ($34,197.63) produces the 2005 index, $36,952.94. The national average wage index for calendar year 2005 is about 3.66 percent greater than the 2004 index. OASDI Contribution and Benefit Base General The OASDI contribution and benefit base is $97,500 for remuneration paid in 2007 and self-employment income earned in taxable years beginning in 2007. The OASDI contribution and benefit base serves two purposes:
(a)It is the maximum annual amount of earnings on which OASDI taxes are paid. The OASDI tax rate for remuneration paid in 2007 is 6.2 percent for employees and employers, each. The OASDI tax rate for self-employment income earned in taxable years beginning in 2007 is 12.4 percent. (The Hospital Insurance tax is due on remuneration, without limitation, paid in 2007, at the rate of 1.45 percent for employees and employers, each, and on self-employment income earned in taxable years beginning in 2007, at the rate of 2.9 percent.)
(b)It is the maximum annual amount of earnings used in determining a person's OASDI benefits. Computation Section 230(b) of the Act provides the formula used to determine the OASDI contribution and benefit base. Under the formula, the base for 2007 shall be the larger of:
(1)The 1994 base of $60,600 multiplied by the ratio of the national average wage index for 2005 to that for 1992; or
(2)the current base ($94,200). If the resulting amount is not a multiple of $300, it shall be rounded to the nearest multiple of $300. Amount Multiplying the 1994 OASDI contribution and benefit base amount ($60,600) by the ratio of the national average wage index for 2005 ($36,952.94 as determined above) to that for 1992 ($22,935.42) produces the amount of $97,637.11. We round this amount to $97,500. Because $97,500 exceeds the current base amount of $94,200, the OASDI contribution and benefit base is $97,500 for 2007. Retirement Earnings Test Exempt Amounts General We withhold Social Security benefits when a beneficiary under the normal retirement age
(NRA)has earnings in excess of the applicable retirement earnings test exempt amount. (NRA is the age of initial benefit entitlement for which the benefit, before rounding, is equal to the worker's primary insurance amount. The NRA is age 65 for those born before 1938, and it gradually increases to age 67.) A higher exempt amount applies in the year in which a person attains his/her NRA, but only with respect to earnings in months prior to such attainment, and a lower exempt amount applies at all other ages below NRA. Section 203(f)(8)(B) of the Act, as amended by section 102 of Public Law 104-121, provides formulas for determining the monthly exempt amounts. The corresponding annual exempt amounts are exactly 12 times the monthly amounts. For beneficiaries attaining NRA in the year, we withhold $1 in benefits for every $3 of earnings in excess of the annual exempt amount for months prior to such attainment. For all other beneficiaries under NRA, we withhold $1 in benefits for every $2 of earnings in excess of the annual exempt amount. Computation Under the formula applicable to beneficiaries who are under NRA and who will not attain NRA in 2007, the lower monthly exempt amount for 2007 shall be the larger of:
(1)The 1994 monthly exempt amount multiplied by the ratio of the national average wage index for 2005 to that for 1992; or
(2)the 2006 monthly exempt amount ($1,040). If the resulting amount is not a multiple of $10, it shall be rounded to the nearest multiple of $10. Under the formula applicable to beneficiaries attaining NRA in 2007, the higher monthly exempt amount for 2007 shall be the larger of:
(1)The 2002 monthly exempt amount multiplied by the ratio of the national average wage index for 2005 to that for 2000; or
(2)the 2006 monthly exempt amount ($2,770). If the resulting amount is not a multiple of $10, it shall be rounded to the nearest multiple of $10. Lower Exempt Amount Multiplying the 1994 retirement earnings test monthly exempt amount of $670 by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1992 ($22,935.42) produces the amount of $1,079.49. We round this to $1,080. Because $1,080 is larger than the corresponding current exempt amount of $1,040, the lower retirement earnings test monthly exempt amount is $1,080 for 2007. The corresponding lower annual exempt amount is $12,960 under the retirement earnings test. Higher Exempt Amount Multiplying the 2002 retirement earnings test monthly exempt amount of $2,500 by the ratio of the national average wage index for 2005 ($36,952.94) to that for 2000 ($32,154.82) produces the amount of $2,873.05. We round this to $2,870. Because $2,870 is larger than the corresponding current exempt amount of $2,770, the higher retirement earnings test monthly exempt amount is $2,870 for 2007. The corresponding higher annual exempt amount is $34,440 under the retirement earnings test. Computing Benefits After 1978 General The Social Security Amendments of 1977 provided a method for computing benefits which generally applies when a worker first becomes eligible for benefits after 1978. This method uses the worker's “average indexed monthly earnings” to compute the primary insurance amount. We adjust the computation formula each year to reflect changes in general wage levels, as measured by the national average wage index. We also adjust, or “index,” a worker's earnings to reflect the change in general wage levels that occurred during the worker's years of employment. Such indexation ensures that a worker's future benefit level will reflect the general rise in the standard of living that will occur during his or her working lifetime. To compute the average indexed monthly earnings, we first determine the required number of years of earnings. Then we select that number of years with the highest indexed earnings, add the indexed earnings, and divide the total amount by the total number of months in those years. We then round the resulting average amount down to the next lower dollar amount. The result is the average indexed monthly earnings. For example, to compute the average indexed monthly earnings for a worker attaining age 62, becoming disabled before age 62, or dying before attaining age 62, in 2007, we divide the national average wage index for 2005, $36,952.94, by the national average wage index for each year prior to 2005 in which the worker had earnings. Then we multiply the actual wages and self-employment income, as defined in section 211(b) of the Act and credited for each year, by the corresponding ratio to obtain the worker's indexed earnings for each year before 2005. We consider any earnings in 2005 or later at face value, without indexing. We then compute the average indexed monthly earnings for determining the worker's primary insurance amount for 2007. Computing the Primary Insurance Amount The primary insurance amount is the sum of three separate percentages of portions of the average indexed monthly earnings. In 1979 (the first year the formula was in effect), these portions were the first $180, the amount between $180 and $1,085, and the amount over $1,085. We call the dollar amounts in the formula governing the portions of the average indexed monthly earnings the “bend points” of the formula. Thus, the bend points for 1979 were $180 and $1,085. To obtain the bend points for 2007, we multiply each of the 1979 bend-point amounts by the ratio of the national average wage index for 2005 to that average for 1977. We then round these results to the nearest dollar. Multiplying the 1979 amounts of $180 and $1,085 by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1977 ($9,779.44) produces the amounts of $680.15 and $4,099.82. We round these to $680 and $4,100. Accordingly, the portions of the average indexed monthly earnings to be used in 2007 are the first $680, the amount between $680 and $4,100, and the amount over $4,100. Consequently, for individuals who first become eligible for old-age insurance benefits or disability insurance benefits in 2007, or who die in 2007 before becoming eligible for benefits, their primary insurance amount will be the sum of
(a)90 percent of the first $680 of their average indexed monthly earnings, plus
(b)32 percent of their average indexed monthly earnings over $680 and through $4,100, plus
(c)15 percent of their average indexed monthly earnings over $4,100. We round this amount to the next lower multiple of $0.10 if it is not already a multiple of $0.10. This formula and the rounding adjustment described above are contained in section 215(a) of the Act (42 U.S.C. 415(a)). Maximum Benefits Payable to a Family General The 1977 amendments continued the long established policy of limiting the total monthly benefits that a worker's family may receive based on his or her primary insurance amount. Those amendments also continued the then existing relationship between maximum family benefits and primary insurance amounts but did change the method of computing the maximum amount of benefits that may be paid to a worker's family. The Social Security Disability Amendments of 1980 (Pub. L. 96-265) established a formula for computing the maximum benefits payable to the family of a disabled worker. This formula applies to the family benefits of workers who first become entitled to disability insurance benefits after June 30, 1980, and who first become eligible for these benefits after 1978. For disabled workers initially entitled to disability benefits before July 1980, or whose disability began before 1979, we compute the family maximum payable the same as the old-age and survivor family maximum. Computing the Old-Age and Survivor Family Maximum The formula used to compute the family maximum is similar to that used to compute the primary insurance amount. It involves computing the sum of four separate percentages of portions of the worker's primary insurance amount. In 1979, these portions were the first $230, the amount between $230 and $332, the amount between $332 and $433, and the amount over $433. We refer to such dollar amounts in the formula as the “bend points” of the family-maximum formula. To obtain the bend points for 2007, we multiply each of the 1979 bend-point amounts by the ratio of the national average wage index for 2005 to that average for 1977. Then we round this amount to the nearest dollar. Multiplying the amounts of $230, $332, and $433 by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1977 ($9,779.44) produces the amounts of $869.09, $1,254.51, and $1,636.15. We round these amounts to $869, $1,255, and $1,636. Accordingly, the portions of the primary insurance amounts to be used in 2007 are the first $869, the amount between $869 and $1,255, the amount between $1,255 and $1,636, and the amount over $1,636. Consequently, for the family of a worker who becomes age 62 or dies in 2007 before age 62, we will compute the total amount of benefits payable to them so that it does not exceed
(a)150 percent of the first $869 of the worker's primary insurance amount, plus
(b)272 percent of the worker's primary insurance amount over $869 through $1,255, plus
(c)134 percent of the worker's primary insurance amount over $1,255 through $1,636, plus
(d)175 percent of the worker's primary insurance amount over $1,636. We then round this amount to the next lower multiple of $0.10 if it is not already a multiple of $0.10. This formula and the rounding adjustment described above are contained in section 203(a) of the Act (42 U.S.C. 403(a)). Quarter of Coverage Amount General The amount of earnings required for a quarter of coverage in 2007 is $1,000. A quarter of coverage is the basic unit for determining whether a worker is insured under the Social Security program. For years before 1978, we generally credited an individual with a quarter of coverage for each quarter in which wages of $50 or more were paid, or with 4 quarters of coverage for every taxable year in which $400 or more of self-employment income was earned. Beginning in 1978, employers generally report wages on an annual basis instead of a quarterly basis. With the change to annual reporting, section 352(b) of the Social Security Amendments of 1977 amended section 213(d) of the Act to provide that a quarter of coverage would be credited for each $250 of an individual's total wages and self-employment income for calendar year 1978, up to a maximum of 4 quarters of coverage for the year. Computation Under the prescribed formula, the quarter of coverage amount for 2007 shall be the larger of:
(1)The 1978 amount of $250 multiplied by the ratio of the national average wage index for 2005 to that for 1976; or
(2)the current amount of $970. Section 213(d) further provides that if the resulting amount is not a multiple of $10, it shall be rounded to the nearest multiple of $10. Quarter of Coverage Amount Multiplying the 1978 quarter of coverage amount ($250) by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1976 ($9,226.48) produces the amount of $1,001.27. We then round this amount to $1,000. Because $1,000 exceeds the current amount of $970, the quarter of coverage amount is $1,000 for 2007. “Old-Law” Contribution and Benefit Base General The “old-law” contribution and benefit base for 2007 is $72,600. This is the base that would have been effective under the Act without the enactment of the 1977 amendments. The “old-law” contribution and benefit base is used by:
(a)The Railroad Retirement program to determine certain tax liabilities and tier II benefits payable under that program to supplement the tier I payments which correspond to basic Social Security benefits,
(b)the Pension Benefit Guaranty Corporation to determine the maximum amount of pension guaranteed under the Employee Retirement Income Security Act (as stated in section 230(d) of the Social Security Act),
(c)Social Security to determine a year of coverage in computing the special minimum benefit, as described earlier, and
(d)Social Security to determine a year of coverage (acquired whenever earnings equal or exceed 25 percent of the “old-law” base for this purpose only) in computing benefits for persons who are also eligible to receive pensions based on employment not covered under section 210 of the Act. Computation The “old-law” contribution and benefit base shall be the larger of:
(1)The 1994 “old-law” base ($45,000) multiplied by the ratio of the national average wage index for 2005 to that for 1992; or
(2)the current “old-law” base ($69,900). If the resulting amount is not a multiple of $300, it shall be rounded to the nearest multiple of $300. Amount Multiplying the 1994 “old-law” contribution and benefit base amount ($45,000) by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1992 ($22,935.42) produces the amount of $72,502.81. We round this amount to $72,600. Because $72,600 exceeds the current amount of $69,900, the “old-law” contribution and benefit base is $72,600 for 2007. Substantial Gainful Activity Amounts General A finding of disability under titles II and XVI of the Act requires that a person, except for a title XVI disabled child, be unable to engage in substantial gainful activity (SGA). A person who is earning more than a certain monthly amount (net of impairment-related work expenses) is ordinarily considered to be engaging in SGA. The amount of monthly earnings considered as SGA depends on the nature of a person's disability. Section 223(d)(4)(A) of the Act specifies a higher SGA amount for statutorily blind individuals under title II while Federal regulations (20 CFR 404.1574 and 416.974) specify a lower SGA amount for non-blind individuals. Both SGA amounts increase in accordance with increases in the national average wage index. Computation The monthly SGA amount for statutorily blind individuals under title II for 2007 shall be the larger of:
(1)Such amount for 1994 multiplied by the ratio of the national average wage index for 2005 to that for 1992; or
(2)such amount for 2006. The monthly SGA amount for non-blind disabled individuals for 2007 shall be the larger of:
(1)Such amount for 2000 multiplied by the ratio of the national average wage index for 2005 to that for 1998; or
(2)such amount for 2006. In either case, if the resulting amount is not a multiple of $10, it shall be rounded to the nearest multiple of $10. SGA Amount for Statutorily Blind Individuals Multiplying the 1994 monthly SGA amount for statutorily blind individuals ($930) by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1992 ($22,935.42) produces the amount of $1,498.39. We then round this amount to $1,500. Because $1,500 is larger than the current amount of $1,450, the monthly SGA amount for statutorily blind individuals is $1,500 for 2007. SGA Amount for Non-Blind Disabled Individuals Multiplying the 2000 monthly SGA amount for non-blind individuals ($700) by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1998 ($28,861.44) produces the amount of $896.25. We then round this amount to $900. Because $900 is larger than the current amount of $860, the monthly SGA amount for non-blind disabled individuals is $900 for 2007. Trial Work Period Earnings Threshold General During a trial work period, a beneficiary receiving Social Security disability benefits may test his or her ability to work and still be considered disabled. We do not consider services performed during the trial work period as showing that the disability has ended until services have been performed in at least 9 months (not necessarily consecutive) in a rolling 60-month period. In 2006, any month in which earnings exceed $620 is considered a month of services for an individual's trial work period. In 2007, this monthly amount increases to $640. Computation The method used to determine the new amount is set forth in our regulations at 20 CFR 404.1592(b). Monthly earnings in 2007, used to determine whether a month is part of a trial work period, is such amount for 2001 ($530) multiplied by the ratio of the national average wage index for 2005 to that for 1999, or, if larger, such amount for 2006. If the amount so calculated is not a multiple of $10, we round it to the nearest multiple of $10. Amount Multiplying the 2001 monthly earnings threshold ($530) by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1999 ($30,469.84) produces the amount of $642.77. We then round this amount to $640. Because $640 is larger than the current amount of $620, the monthly earnings threshold is $640 for 2007. Domestic Employee Coverage Threshold General The minimum amount a domestic worker must earn so that such earnings are covered under Social Security or Medicare is the domestic employee coverage threshold. For 2007, this threshold is $1,500. Section 3121(x) of the Internal Revenue Code provides the formula for increasing the threshold. Computation Under the formula, the domestic employee coverage threshold amount for 2007 shall be equal to the 1995 amount of $1,000 multiplied by the ratio of the national average wage index for 2005 to that for 1993. If the resulting amount is not a multiple of $100, it shall be rounded to the next lower multiple of $100. Domestic Employee Coverage Threshold Amount Multiplying the 1995 domestic employee coverage threshold amount ($1,000) by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1993 ($23,132.67) produces the amount of $1,597.44. We then round this amount to $1,500. Accordingly, the domestic employee coverage threshold amount is $1,500 for 2007. Election Worker Coverage Threshold General The minimum amount an election worker must earn so that such earnings are covered under Social Security or Medicare is the election worker coverage threshold. For 2007, this threshold is $1,300. Section 218(c)(8)(B) of the Act provides the formula for increasing the threshold. Computation Under the formula, the election worker coverage threshold amount for 2007 shall be equal to the 1999 amount of $1,000 multiplied by the ratio of the national average wage index for 2005 to that for 1997. If the amount so determined is not a multiple of $100, it shall be rounded to the nearest multiple of $100. Election Worker Coverage Threshold Amount Multiplying the 1999 election worker coverage threshold amount ($1,000) by the ratio of the national average wage index for 2005 ($36,952.94) to that for 1997 ($27,426.00) produces the amount of $1,347.37. We then round this amount to $1,300. Accordingly, the election worker coverage threshold amount is $1,300 for 2007. (Catalog of Federal Domestic Assistance: Program Nos. 96.001 Social Security-Disability Insurance; 96.002 Social Security-Retirement Insurance; 96.004 Social Security-Survivors Insurance; 96.006 Supplemental Security Income) Dated: October 19, 2006. Jo Anne B. Barnhart, Commissioner, Social Security Administration. [FR Doc. E6-17939 Filed 10-25-06; 8:45 am] BILLING CODE 4191-02-P DEPARTMENT OF STATE [Public Notice 5593] Bureau of Educational and Cultural Affairs
(ECA)Request for Grant Proposals: Iraqi Young Leaders Exchange Program *Announcement Type:* New Grant. *Funding Opportunity Number:* ECA/PE/C/PY-07-10. *Catalog of Federal Domestic Assistance Number:* 00.000. *Application Deadline:* December 13, 2006. *Executive Summary:* The Office of Citizen Exchanges, Youth Programs Division, of the Bureau of Educational and Cultural Affairs announces an open competition for the Iraqi Young Leaders Exchange Program. Public and private non-profit organizations meeting the provisions described in Internal Revenue Code section 26 U.S.C. 501(c)(3) will submit proposals to recruit and select English-speaking high school students in Iraq and conduct month-long projects in the United States for student groups that focus on leadership development and civic education. I. Funding Opportunity Description *Authority:* Overall grant making authority for this program is contained in the Mutual Educational and Cultural Exchange Act of 1961, Public Law 87-256, as amended, also known as the Fulbright-Hays Act. The purpose of the Act is “to enable the Government of the United States to increase mutual understanding between the people of the United States and the people of other countries * * *; to strengthen the ties which unite us with other nations by demonstrating the educational and cultural interests, developments, and achievements of the people of the United States and other nations * * * and thus to assist in the development of friendly, sympathetic, and peaceful relations between the United States and the other countries of the world.” The funding authority for the program above is provided through legislation. *Purpose:* The Iraqi Young Leaders Exchange Program is being introduced to offer youth from Iraq an opportunity to learn about the United States, to develop their leadership skills, and to develop friendships. The Office of Citizen Exchanges' Youth Programs Division, through the Iraqi Young Leaders Exchange Program, will sponsor approximately 200 Iraqi exchange participants, ages 15-17, in a series of intensive one-month-long projects in the summers of 2007 and 2008. Programs will be designed to provide educational and recreational opportunities to experience a democratic and free society firsthand. The Office of Citizen Exchanges' Youth Programs Division will bring 100 young people from Iraq to the United States through a series of month-long programs in the summer of 2007 and a minimum of 100 students in the summer of 2008. The grant recipient organizations will recruit, screen, and select the exchange participants, in consultation with, but without reliance on the U.S. Embassy in Baghdad. The grantee organization will prepare the students for both the content and the logistics of the exchange. Students will travel to the United States in groups of 20 to 30 with adult accompaniment. Grant recipient organizations will be responsible for the entire cycle of each program to include: Recruitment, screening and selection of Iraqi and American students; management of travel documents, international and domestic airline reservations for students and adult chaperones; preparation and oversight of all programmatic components in the U.S.; provision of follow on activities and support for grantee alumni. For each summer's program, an applicant organization will plan to recruit between 20 and 100 exchange participants in Iraq. There is no limit on the number of groups each applicant plans to organize. However, since a delegation will include between 20 and 30 students, any organization that plans to recruit more than 30 participants will also need to propose to arrange U.S. program activity for more than one delegation. ECA intends to award multiple grants in order for 100 students to travel to the U.S. for each summer's program. Applicant organizations will be responsible for arranging all activities in the U.S. directly or in collaboration with partner organizations, which must be identified in the proposal. The applicant will take into account that Iraqi students may have little or no prior knowledge of the United States and varying degrees of experience in expressing their opinions in a classroom setting, therefore, component activities will be tailored accordingly. Every effort will be made to encourage active student participation in all aspects of a program. Components for each program group will include:
(A)A two-week period of community stays with activities designed to enhance student leadership skills, expose students to grass-roots democratic institutions and processes, and strengthen English language proficiency;
(B)a week at a camp or other summer program site where students can have structured interaction with American youth and with each other; and
(C)a civic education week in Washington, DC for Iraqi students only. Follow-up activities in Iraq for alumni from each grant recipient alumni will be designed to reinforce the lessons learned on the exchange and enable the alumni to apply their new skills in their community. A successful project will be one that nurtures a cadre of students to be actively engaged in addressing issues in their schools and communities upon their return home and that equips students with the knowledge, skills, and confidence to do so. By the end of the program, students will also have developed relationships with their peers in the United States and within their delegation, will have gained an accurate impression of the people of the U.S., and will have an understanding of the values of democracy and freedom and the role they play in how Americans conduct their lives. *Goals:* • To promote mutual understanding between the United States and the people of Iraq; • To develop a sense of civic responsibility and commitment to community development among youth; and • To foster relationships among youth from different ethnic, religious, and national groups. Applicants will identify their own specific program objectives as well as measurable outcomes based on the program goals and specifications provided in this solicitation. Applicants will outline their capacity for doing projects of this nature, focusing on three areas of competency:
(1)Provision of leadership and civic education programming,
(2)age-appropriate programming for youth, and
(3)prior work with individuals from the Middle East. *Iraq-based Activity:* Recipients of the grant will demonstrate a capacity to work effectively in Iraq and manage the following activities in consultation with, but without reliance on the U.S. Embassy in Baghdad.
(1)Recruit, screen, and select 20 to 100 Iraqi high school students, ages 15-17, for month-long programs in the United States during summer 2007, with an additional, similar cycle of recruitment for programs in the summer of 2008. Recruitment and selection will be coordinated in partnership with the Public Affairs Section
(PAS)at the U.S. Embassy in Baghdad.
(2)Assist selected participants with obtaining J-1 visas to the United States with sufficient lead-time. Submit requests for DS-2019 forms and U.S. visa applications to the Youth Programs Division of the Bureau of Educational and Cultural Affairs and U.S. Embassy in Baghdad at least 100 days before the beginning of travel to the United States.
(3)Provide pre-departure orientations in a third country for all Iraqi students chosen to participate.
(4)Serve as liaison with natural parents.
(5)Provide international roundtrip travel arrangements to Washington, DC for students and adult chaperones.
(6)Coordinate with and oversee partner organizations that will be providing context for U.S. program activity.
(7)Manage in-country follow-on activities designed for grantee organization alumni.
(8)Consult with and make alumni contact information available to the organization selected to implement the All-Alumni Conference.
(9)Create and manage an online communication portal for grantee organization alumni to continue dialogue and carry out action plans that promote program objectives. The portal can also be used to track alumni addresses, and will take every precaution to safeguard student security. *U.S.-based Activity:* The grant recipients will be responsible for the following by administering the activities directly or through partner organizations.
(1)Recruit and select American youth who will participate in the camp.
(2)Recruit and select American host families.
(3)Provide orientations for American families and youth, and a welcome orientation for Iraqi participants.
(4)Design and plan activities that provide a substantive program on civic education and leadership through both academic and extracurricular components.
(5)Manage logistical arrangements, disburse stipends/per diem, and arrange domestic travel, and ground transportation travel between sites.
(6)Organize a closing session in Washington, DC to summarize program activities and prepare the Iraqi participants for their return home. *Participants:* Selection will focus on teenagers, aged 15-17, from across Iraq who represent the ethnic, religious, and geographic diversity of the Iraqi population. Students should speak sufficient English to be able to communicate without interpretation. They should demonstrate an interest in the project theme and exhibit maturity, flexibility, and open-mindedness. Each program will also include American students, also aged 15-17, who will be recruited and selected by the grant recipient organization or their partner organization. The American students will have a demonstrated interest in the project theme and will exhibit maturity, flexibility, and open-mindedness. Each program will involve a delegation from Iraq of between 20-30 participants. They will be joined by a delegation of American students for the camp component; these may or may not be the same American students who are involved in the community stay component. The group of selected American teenagers will be at least half the size of the Iraqi delegation ( *e.g.* , a delegation of 30 Iraqis will be joined by 15 American students). Applicants will specify the size and composition of each delegation in their proposal. Each delegation will have adult accompaniment on the international flight to the United States, and adult staff will be available to support the participants during the course of each component of the exchange. *U.S. Program:* Each of the month-long programs will begin and end in Washington, DC, starting with a two-day orientation and wrapping up with a civic education workshop and a one-day debriefing session. The homestay and camp experiences will allow Iraqi and American students to build relationships and will combine both recreational and substantive elements on such topics as conflict management, participatory democracy, community service, media literacy, ethics and accountability, and free enterprise. The U.S. program will focus primarily on interactive activities, practical experiences, and other hands-on opportunities to explore such topics. The activities of the project could include a mix of workshops, simulations and role-playing, meetings, classroom visits, shadowing, tours, training, and social time among peers. The civic education workshop will include briefings, simulations, and discussions on citizen participation and the fundamentals of the American democratic system of government. The primary components are described here in more detail. Two weeks of community stay will take place after orientation sessions in Washington, DC to be followed by a one-week camp component. The civic education workshop in Washington, DC will take place during the last week of the exchange. Proposals will demonstrate how each program component links to the identified theme. 1. *Community stay:* During community stays, the Iraqi students will live with American families and witness everyday life in the United States. Members of the delegation can be placed in one or more community but will be clustered in small groups so that program activities are planned together. Brief English language sessions will be built into morning activities to build vocabulary and students can practice with their host families in the evening. Social, recreational, and cultural activities with host families will be balanced with supplementary activities organized by the grantee organization to provide an understanding of how a community works and local examples of democratic practices. Examples of activities include site visits to a courthouse, a media outlet, and/or a school; meetings with local government officials, non-profit organizations, and business leaders; or shadowing opportunities. At least one day each of leadership development training and of community service is required. Opportunities for students to interact with American teenagers will be included whenever appropriate. [Two weeks] 2. *Camp:* The venue for this “camp” may be an actual camp, but can also be a college campus, residential hotel, or other site that allows selected Iraqi and American students to build relationships in a relatively sheltered environment. During the week, students will explore in-depth a topic of interest to be identified by the applicant in its proposal. This topic of interest will be conflict management, participatory democracy, rule of law, media literacy, ethics and accountability, free enterprise, and/or other topics selected and justified by the applicant. Applicants are encouraged to include innovative activities or events in sports, math and science, and the arts that provide a cultural context regarding the topic being explored. [One week] 3. *Civic education workshop:* The civic education workshop in Washington, DC for Iraqi students only will include briefings, workshops, simulations, and discussions on citizen participation and the fundamentals of the American democratic system of government. Students will learn about the three branches of government and federalism, and in turn see how a system of checks and balances protects the rights of minorities for people of the country. Visits with Congressional and Executive branch representatives will be included. [One week] The U.S. program activities must take place in any month-long period between *June 20 and September 10, 2007* and in the same time period in summer 2008. Applicants will propose the periods of the exchanges, but the exact timing of each program may be altered through mutual agreement with the Department of State. *OPTIONAL All-Alumni Conference:* Applicants may propose to implement an All-Alumni Conference, a follow-on gathering in a third country, for all 200 alumni approximately four to six months after the set of programs during summer 2008. Only one applicant will be selected to conduct the conference. The organization selected for the final follow-on gathering will be assigned responsibility to coordinate with other grantee organizations to track and support all alumni. Approximate funding available is $250,000. Note: A proposal that includes an All-Alumni Conference will have this component reviewed separately from the other three mandatory program components, using the same published review criteria. The activity will help reinforce the lessons of the exchanges, acquaint both summer cohorts of alumni with each other, and demonstrate the impact of the program. A conference or seminar setting is preferred and will also include some additional practical skills training, although that will be secondary to reinforcing the topics of the U.S. programs. The activity will have several purposes, including
(1)to ensure that alumni have an opportunity to engage with each other in activities that will help them continue their experience; and
(2)to provide a resource that can be used to expand and enhance the U.S. programs. II. Award Information *Type of Award:* Grant Agreement. *Fiscal Year Funds:* Prior year USAID resources transferred to ECA for obligation in FY-2007. *Approximate Total Funding:* $2,312,500. *Approximate Number of Awards:* Three. *Floor of Award Range:* $400,000. *Ceiling of Award Range:* $2,312,500. *Anticipated Award Date:* March 15, 2007, pending availability of funds. *Anticipated Project Completion Date:* Approximately 24 months after start date. *Additional Information:* Pending successful implementation of this program and the availability of funds in subsequent fiscal years, it is ECA's intent to renew these grants for two additional fiscal years before openly competing them again. III. Eligibility Information III.1. Eligible Applicants Applications may be submitted by public and private non-profit organizations meeting the provisions described in Internal Revenue Code section 26 U.S.C. 501(c)(3). III.2. Cost Sharing or Matching Funds There is no minimum or maximum percentage required for this competition. However, the Bureau encourages applicants to provide maximum levels of cost sharing and funding in support of its programs. When cost sharing is offered, it is understood and agreed that the applicant must provide the amount of cost sharing as stipulated in its proposal and later included in an approved grant agreement. Cost sharing may be in the form of allowable direct or indirect costs. For accountability, you must maintain written records to support all costs that are claimed as your contribution, as well as costs to be paid by the Federal government. Such records are subject to audit. The basis for determining the value of cash and in-kind contributions must be in accordance with OMB Circular A-110, (Revised), Subpart C.23—Cost Sharing and Matching. In the event you do not provide the minimum amount of cost sharing as stipulated in the approved budget, ECA's contribution will be reduced in like proportion. III.3. Other Eligibility Requirements a. Bureau grant guidelines require that organizations with less than four years experience in conducting international exchanges be limited to $60,000 in Bureau funding. ECA anticipates awarding grant in amounts over $60,000 to support program and administrative costs required to implement this exchange program. Therefore, organizations with less than four years experience in conducting international exchanges are ineligible to apply under this competition. The Bureau encourages applicants to provide maximum levels of cost sharing and funding in support of its programs. IV. Application and Submission Information Note: Please read the complete announcement before sending inquiries or submitting proposals. Once the RFGP deadline has passed, Bureau staff may not discuss this competition with applicants until the proposal review process has been completed. IV.1 Contact Information To Request an Application Package Please contact the Youth Programs Division (ECA/PE/C/PY), Room 224, U.S. Department of State, SA-44, 301 4th Street, SW., Washington, DC 20547, Telephone
(202)453-8149, Fax
(202)453-8169, E-mail: *LevensteinsAI@state.gov* to request a Solicitation Package. Please refer to the Funding Opportunity Number (ECA/PE/C/PY-07-10) located at the top of this announcement when making your request. Alternatively, an electronic application package may be obtained from *http://www.grants.gov/* . Please see section IV.3f for further information. The Solicitation Package contains the Proposal Submission Instruction
(PSI)document, which consists of required application forms and standard guidelines for proposal preparation. It also contains the Project Objectives, Goals and Implementation
(POGI)document, which provides specific information, award criteria, and budget instructions tailored to this competition. Please specify Bureau Program Officer Astrida Levensteins and refer to the Funding Opportunity Number located at the top of this announcement on all other inquiries and correspondence. IV.2. To Download a Solicitation Package Via Internet The entire Solicitation Package may be downloaded from the Bureau's Web site at *http://exchanges.state.gov/education/rfgps/menu.htm* , or from the Grants.gov Web site at *http://www.grants.gov* . Please read all information before downloading. IV.3. Content and Form of Submission Applicants must follow all instructions in the Solicitation Package. The application should be submitted per the instructions under IV.3f. “Application Deadline and Methods of Submission” section below. IV.3a. You are required to have a Dun and Bradstreet Data Universal Numbering System
(DUNS)number to apply for a grant or cooperative agreement from the U.S. Government. This number is a *nine-digit* identification number, which uniquely identifies business entities. Obtaining a DUNS number is easy and there is no charge. To obtain a DUNS number, access *http://www.dunandbradstreet.com* or call 1-866-705-5711. Please ensure that your DUNS number is included in the appropriate box of the SF-424 form that is part of the formal application package. IV.3b. All proposals must contain an executive summary, proposal narrative and budget. Please Refer to the Solicitation Package. It contains the mandatory Proposal Submission Instructions
(PSI)document and the Project Objectives, Goals and Implementation
(POGI)document for additional formatting and technical requirements. IV.3c. You must have nonprofit status with the IRS at the time of application. If your organization is a private nonprofit which has not received a grant or cooperative agreement from ECA in the past three years, or if your organization received nonprofit status from the IRS within the past four years, you must submit the necessary documentation to verify nonprofit status as directed in the PSI document. Failure to do so will cause your proposal to be declared technically ineligible. IV.3d. Please take into consideration the following information when preparing your proposal narrative: *IV.3d.1 Adherence To All Regulations Governing The J Visa.* The Office of Citizen Exchanges of the Bureau of Educational and Cultural Affairs is the official program sponsor of the exchange program covered by this RFGP, and an employee of the Bureau will be the Responsible Officer for the program under the terms of 22 CFR part 62, which covers the administration of the Exchange Visitor Program (J visa program). Under the terms of 22 CFR part 62, organizations receiving grants under this RFGP will be third parties “cooperating with or assisting the sponsor in the conduct of the sponsor's program.” The actions of grantee program organizations shall be “imputed to the sponsor in evaluating the sponsor's compliance with” 22 CFR part 62. Therefore, the Bureau expects that any organization receiving a grant under this competition will render all assistance necessary to enable the Bureau to fully comply with 22 CFR part 62 et seq. The Bureau of Educational and Cultural Affairs places great emphasis on the secure and proper administration of Exchange Visitor (J visa) Programs and adherence by grantee program organizations and program participants to all regulations governing the J visa program status. Therefore, proposals should *explicitly state in writing* that the applicant is prepared to assist the Bureau in meeting all requirements governing the administration of Exchange Visitor Programs as set forth in 22 CFR part 62. If the applicant organization has experience as a designated Exchange Visitor Program Sponsor, the applicant should discuss its record of compliance with 22 CFR part 62 et. seq., including the oversight of their Responsible Officers and Alternate Responsible Officers, screening and selection of program participants, provision of pre-arrival information and orientation to participants, monitoring of participants, proper maintenance and security of forms, record-keeping, reporting and other requirements. The Office of Citizen Exchanges of ECA will be responsible for issuing DS-2019 forms to participants in this program. Requests for DS-2019 forms will be submitted to Bureau Program Officer Astrida Levensteins at least 100 days before the beginning of travel to the U.S. A copy of the complete regulations governing the administration of Exchange Visitor
(J)programs is available at *http://exchanges.state.gov* or from: United States Department of State, Office of Exchange Coordination and Designation, ECA/EC/ECD—SA-44, Room 734, 301 4th Street, SW., Washington, DC 20547. Telephone:
(202)203-5029. FAX:
(202)453-8640. *IV.3d.2 Diversity, Freedom and Democracy Guidelines.* Pursuant to the Bureau's authorizing legislation, programs must maintain a non-political character and should be balanced and representative of the diversity of American political, social, and cultural life. “Diversity” should be interpreted in the broadest sense and encompass differences including, but not limited to ethnicity, race, gender, religion, geographic location, socio-economic status, and physical challenges. Applicants are strongly encouraged to adhere to the advancement of this principle both in program administration and in program content. Please refer to the review criteria under the “Support for Diversity” section for specific suggestions on incorporating diversity into your proposal. Public Law 104-319 provides that “in carrying out programs of educational and cultural exchange in countries whose people do not fully enjoy freedom and democracy,” the Bureau “shall take appropriate steps to provide opportunities for participation in such programs to human rights and democracy leaders of such countries.” Public Law 106-113 requires that the governments of the countries described above do not have inappropriate influence in the selection process. Proposals should reflect advancement of these goals in their program contents, to the full extent deemed feasible. *IV.3d.3. Program Monitoring and Evaluation.* Proposals must include a plan to monitor and evaluate the project's success, both as the activities unfold and at the end of the program. The Bureau recommends that your proposal include a draft survey questionnaire or other technique plus a description of a methodology to use to link outcomes to original project objectives. The Bureau expects that the grantee will track participants or partners and be able to respond to key evaluation questions, including satisfaction with the program, learning as a result of the program, changes in behavior as a result of the program, and effects of the program on institutions (institutions in which participants work or partner institutions). The evaluation plan should include indicators that measure gains in mutual understanding as well as substantive knowledge. Successful monitoring and evaluation depend heavily on setting clear goals and outcomes at the outset of a program. Your evaluation plan should include a description of your project's objectives, your anticipated project outcomes, and how and when you intend to measure these outcomes (performance indicators). The more that outcomes are “smart” (specific, measurable, attainable, results-oriented, and placed in a reasonable time frame), the easier it will be to conduct the evaluation. You should also show how your project objectives link to the goals of the program described in this RFGP. Your monitoring and evaluation plan should clearly distinguish between program *outputs* and *outcomes* . *Outputs* are products and services delivered, often stated as an amount. Output information is important to show the scope or size of project activities, but it cannot substitute for information about progress towards outcomes or the results achieved. Examples of outputs include the number of people trained or the number of seminars conducted. *Outcomes* , in contrast, represent specific results a project is intended to achieve and is usually measured as an extent of change. Findings on outputs and outcomes should both be reported, but the focus should be on outcomes. We encourage you to assess the following four levels of outcomes, as they relate to the program goals set out in the RFGP (listed here in increasing order of importance): 1. Participant satisfaction with the program and exchange experience. 2. Participant learning, such as increased knowledge, aptitude, skills, and changed understanding and attitude. Learning includes both substantive (subject-specific) learning and mutual understanding. 3. Participant behavior, concrete actions to apply knowledge in work or community; greater participation and responsibility in civic organizations; interpretation and explanation of experiences and new knowledge gained; continued contacts between participants, community members, and others. 4. Institutional changes, such as increased collaboration and partnerships, policy reforms, new programming, and organizational improvements. Please note: Consideration should be given to the appropriate timing of data collection for each level of outcome. For example, satisfaction is usually captured as a short-term outcome, whereas behavior and institutional changes are normally considered longer-term outcomes. Overall, the quality of your monitoring and evaluation plan will be judged on how well it
(1)specifies intended outcomes;
(2)gives clear descriptions of how each outcome will be measured;
(3)identifies when particular outcomes will be measured; and
(4)provides a clear description of the data collection strategies for each outcome (i.e., surveys, interviews, or focus groups). (Please note that evaluation plans that deal only with the first level of outcomes [satisfaction] will be deemed less competitive under the present evaluation criteria.) Grantees will be required to provide reports analyzing their evaluation findings to the Bureau in their regular program reports. All data collected, including survey responses and contact information, must be maintained for a minimum of three years and provided to the Bureau upon request. IV.3e. Please take the following information into consideration when preparing your budget: IV.3e.1. Applicants must submit a comprehensive budget for the entire program. Awards may not exceed the amount specified. There must be a summary budget as well as breakdowns reflecting both administrative and program budgets. Applicants applying to implement more than one project must provide separate subbudgets for each. Please refer to the other documents in the Solicitation Package for complete budget guidelines and formatting instructions. *IV.3f. Application Deadline and Methods of Submission:* *Application Deadline Date:* December 13, 2006. *Reference Number:* ECA/PE/C/PY-07-10. *Methods of Submission* Applications may be submitted in one of two ways: 1. In hard-copy, via a nationally recognized overnight delivery service (i.e., DHL, Federal Express, UPS, Airborne Express, or U.S. Postal Service Express Overnight Mail, etc.), or 2. Electronically through *http://www.grants.gov.* Along with the Project Title, all applicants must enter the above Reference Number in Box 11 on the SF-424 contained in the mandatory Proposal Submission Instructions
(PSI)of the solicitation document. *IV.3f.1 Submitting Printed Applications.* Applications must be shipped no later than the above deadline. Delivery services used by applicants must have in-place, centralized shipping identification and tracking systems that may be accessed via the Internet and delivery people who are identifiable by commonly recognized uniforms and delivery vehicles. Proposals shipped on or before the above deadline but received at ECA more than seven days after the deadline will be ineligible for further consideration under this competition. Proposals shipped after the established deadlines are ineligible for consideration under this competition. ECA will *not* notify you upon receipt of application. It is each applicant's responsibility to ensure that each package is marked with a legible tracking number and to monitor/confirm delivery to ECA via the Internet. Delivery of proposal packages *may not* be made via local courier service or in person for this competition. Faxed documents will not be accepted at any time. Only proposals submitted as stated above will be considered. Important note: When preparing your submission please make sure to include one extra copy of the completed SF-424 form and place it in an envelope addressed to “ECA/EX/PM”. The original, one fully-tabbed copy, and six copies of the application with Tabs A-E (for a total of 8 copies) should be sent to: U.S. Department of State, SA-44, Bureau of Educational and Cultural Affairs, Ref.: ECA/PE/C/PY-07-10, Program Management, ECA/EX/PM, Room 534, 301 4th Street, SW., Washington, DC 20547. Applicants must also submit the executive summary, proposal narrative, budget section, and any important appendices as e-mail attachments in Microsoft Word and Excel to the following e-mail address: *LeventeinsAI@state.gov.* In the e-mail message subject line, include the name of the applicant organization and the partner country. *IV.3f.2 Submitting Electronic Applications.* Applicants have the option of submitting proposals electronically through Grants.gov ( *http://www.grants.gov* ). Complete solicitation packages are available at Grants.gov in the “Find” portion of the system. Please follow the instructions available in the “Get Started” portion of the site ( *http://www.grants.gov/GetStarted* ). Applicants have until midnight (12 a.m.) Washington, DC time of the closing date to ensure that their entire application has been uploaded to the Grants.gov site. Applications uploaded to the site after midnight of the application deadline date will be automatically rejected by the grants.gov system, and will be technically ineligible. Applicants will receive a confirmation e-mail from Grants.gov upon the successful submission of an application. ECA will not notify you upon receipt of electronic applications. *IV.3g. Intergovernmental Review of Applications:* Executive Order 12372 does not apply to this program. V. Application Review Information V.1. Review Process The Bureau will review all proposals for technical eligibility. Proposals will be deemed ineligible if they do not fully adhere to the guidelines stated herein and in the Solicitation Package. All eligible proposals will be reviewed by the program office, as well as the Public Diplomacy section overseas. Eligible proposals will be subject to compliance with Federal and Bureau regulations and guidelines and forwarded to Bureau grant panels for advisory review. Proposals may also be reviewed by the Office of the Legal Adviser or by other Department elements. Final funding decisions are at the discretion of the Department of State's Assistant Secretary for Educational and Cultural Affairs. Final technical authority for assistance awards (grants) resides with the Bureau's Grants Officer. Review Criteria Please see the review criteria in the accompanying Project Objectives, Goals, and Implementation
(POGI)document. VI. Award Administration Information VI.1a. Award Notices Final awards cannot be made until funds have been appropriated by Congress, allocated and committed through internal Bureau procedures. Successful applicants will receive an Assistance Award Document
(AAD)from the Bureau's Grants Office. The AAD and the original grant proposal with subsequent modifications (if applicable) shall be the only binding authorizing document between the recipient and the U.S. Government. The AAD will be signed by an authorized Grants Officer, and mailed to the recipient's responsible officer identified in the application. Unsuccessful applicants will receive notification of the results of the application review from the ECA program office coordinating this competition. VI.2 Administrative and National Policy Requirements Terms and Conditions for the Administration of ECA agreements include the following: Office of Management and Budget Circular A-122, “Cost Principles for Nonprofit Organizations.” Office of Management and Budget Circular A-21, “Cost Principles for Educational Institutions.” OMB Circular A-87, “Cost Principles for State, Local and Indian Governments”. OMB Circular No. A-110 (Revised), Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and other Nonprofit Organizations. OMB Circular No. A-102, Uniform Administrative Requirements for Grants-in-Aid to State and Local Governments. OMB Circular No. A-133, Audits of States, Local Government, and Non-profit Organizations. Please reference the following websites for additional information: *http://www.whitehouse.gov/omb/grants. http://exchanges.state.gov/education/grantsdiv/terms.htm#articleI.* VI.3. Reporting Requirements You must provide ECA with a hard copy original plus one copy of the following reports:
(1)A final program and financial report no more than 90 days after the expiration of the award;
(2)Interim reports, as required in the Bureau grant agreement. Grantees will be required to provide reports analyzing their evaluation findings to the Bureau in their regular program reports. (Please refer to IV. Application and Submission Instructions (IV.3.d.3) above for Program Monitoring and Evaluation information. All data collected, including survey responses and contact information, must be maintained for a minimum of three years and provided to the Bureau upon request. All reports must be sent to the ECA Grants Officer and ECA Program Officer listed in the final assistance award document. VI.4. Program Data Requirements Organizations awarded grants will be required to maintain specific data on program participants and activities in an electronically accessible database format that can be shared with the Bureau as required. As a minimum, the data must include the following:
(1)Name, address, contact information and biographic sketch of all persons who travel internationally on funds provided by the grant or who benefit from the grant funding but do not travel.
(2)Itineraries of international and domestic travel, providing dates of travel and cities in which any exchange experiences take place. Final schedules for in-country and U.S. activities must be received by the ECA Program Officer at least three workdays prior to the official opening of the activity. VII. Agency Contacts For questions about this announcement, contact: Astrida Levensteins, Program Officer, Youth Programs Division (ECA/PE/C/PY), Room 224, U.S. Department of State, SA-44, 301 4th Street, SW., Washington, DC 20547, Telephone
(202)453-8149, Fax
(202)453-8169, E-mail: *LevensteinsAI@state.gov.* All correspondence with the Bureau concerning this RFGP should reference the above title and number ECA/PE/C/PY-07-10. Please read the complete announcement before sending inquiries or submitting proposals. Once the RFGP deadline has passed, Bureau staff may not discuss this competition with applicants until the proposal review process has been completed. VIII. Other Information Notice The terms and conditions published in this RFGP are binding and may not be modified by any Bureau representative. Explanatory information provided by the Bureau that contradicts published language will not be binding. Issuance of the RFGP does not constitute an award commitment on the part of the Government. The Bureau reserves the right to reduce, revise, or increase proposal budgets in accordance with the needs of the program and the availability of funds. Awards made will be subject to periodic reporting and evaluation requirements per section VI.3 above. Dated: October 18, 2006. Dina Habib Powell, Assistant Secretary for Educational and Cultural Affairs, Department of State. [FR Doc. E6-17977 Filed 10-25-06; 8:45 am] BILLING CODE 4710-05-P DEPARTMENT OF STATE [Public Notice 5594] Bureau of Educational and Cultural Affairs
(ECA)Request for Grant Proposals: Study of the United States Institutes on American Civilization, Journalism and Media, and for Secondary Educators *Announcement Type:* New Cooperative Agreement. *Funding Opportunity Number:* ECA/A/E/USS-07-SUSI. *Catalog of Federal Domestic Assistance Number:* 19.418. *Key Dates:* *Application Deadline:* December 8, 2006. *Executive Summary:* The Branch for the Study of the United States, Office of Academic Exchange Programs, Bureau of Educational and Cultural Affairs, invites proposal submissions for the design and implementation of three Study of the United States Institutes to take place over the course of six weeks beginning in June 2007. These institutes should provide a multinational group of experienced educators with a deeper understanding of U.S. society, culture, values and institutions. Two of these institutes will be for groups of 18 university level faculty each, one with a focus on American Civilization, the other on Journalism and Media. The third institute will be a general survey course on the study of the United States, for a group of 30 secondary educators. Prospective applicants may only submit proposals to host one institute listed under this competition. I. Funding Opportunity Description Authority Overall grant making authority for this program is contained in the Mutual Educational and Cultural Exchange Act of 1961, Public Law 87-256, as amended, also known as the Fulbright-Hays Act. The purpose of the Act is “to enable the Government of the United States to increase mutual understanding between the people of the United States and the people of other countries* * *; to strengthen the ties which unite us with other nations by demonstrating the educational and cultural interests, developments, and achievements of the people of the United States and other nations * * * and thus to assist in the development of friendly, sympathetic and peaceful relations between the United States and the other countries of the world.” The funding authority for the program above is provided through legislation. *Purpose:* Study of the United States Institutes are intensive academic programs whose purpose is to provide foreign university faculty, secondary educators, and other scholars the opportunity to deepen their understanding of American society, culture and institutions. The ultimate goal is to strengthen curricula and to improve the quality of teaching about the United States in academic institutions abroad. The Bureau is seeking detailed proposals for three different Study of the United States Institutes from U.S. colleges, universities, consortia of colleges and universities, and other not-for-profit academic organizations that have an established reputation in a field or discipline related to the specific program themes. *Overview:* Each program should be six weeks in length; participants will spend approximately four weeks at the host institution, and approximately two weeks on the educational study tour, including two to three days in Washington, DC, at the conclusion of the Institute. The educational travel component should directly complement the academic program, and should include visits to cities and other sites of interest in the region around the grantee institution, as well as to another geographic region of the country. The grantee institution will also be expected to provide participants with guidance and resources for further investigation and research on the topics and issues examined during the institute after they return home. The Study of the U.S. Institute on American Civilization should provide a multinational group of 18 experienced and highly-motivated foreign university faculty and other specialists with a deeper understanding of U.S. society, culture, values and institutions. The institute should examine some of the critical historical epochs, movements, issues and conflicts that have influenced the development of the nation and its people, and should also include a strong contemporary component, particularly current political, social, and economic issues and debates. The complexity and heterogeneous nature of American society should be highlighted, as should the institutions and values that enable the nation to accommodate that diversity. The program should draw from a diverse disciplinary base, and should itself provide a model of how a foreign university might approach the study of the United States. One award of up to $275,000 will support this institute. The Study of the U.S. Institute on Journalism and Media should provide a multinational group of 18 experienced and highly-motivated foreign journalism instructors and other related specialists with a deeper understanding of journalism's and the media's roles in U.S. society. The institute should examine major topics in journalism, including the concept of a “free press,” First Amendment rights, and the media's relationship to the public interest. The legal and ethical questions posed by journalism should be incorporated into every aspect of the institute. The institute should cover strategies for teaching students of journalism the basics of the tradecraft: researching, reporting, writing and editing. The program should also highlight technology's impact on journalism, addressing the influence of the Internet, the globalization of the news media, the growth of satellite television and radio networks, and other advances in media that are transforming the profession. One award of up to $275,000 will support this institute. The Study of the U.S. Institute for Secondary Educators should provide a multinational group of 30 experienced secondary school educators (teachers, teacher trainers, curriculum developers, textbook writers, education ministry officials) with a deeper understanding of U.S. society, education, and culture, past and present. The institute should be organized around a central theme or themes in U.S. civilization and should have a strong contemporary component. Through a combination of traditional, multi-disciplinary and interdisciplinary approaches, program content should be imaginatively integrated in order to elucidate the history and evolution of U.S. educational institutions and values, broadly defined. The program should also serve to illuminate contemporary political, social, and economic debates in American society. One award of up to $340,000 will support this institute. *Program Design:* Each Study of the U.S. Institute should be designed as an intensive, academically rigorous seminar for an experienced group of educators from abroad. Each institute should be organized through an integrated series of lectures, readings, seminar discussions, regional travel and site visits, and should also include sessions that expose participants to U.S. pedagogical philosophy and practice for teaching the discipline. Each institute should also include some opportunity for limited but well-directed independent research. Applicants are encouraged to design thematically coherent programs in ways that draw upon the particular strengths, faculty and resources of their institutions as well as upon the nationally recognized expertise of scholars and other experts throughout the United States. *Program Administration:* Each Institute should designate an academic director who will be present throughout the program to ensure the continuity, coherence and integration of all aspects of the academic program, including the study tour. In addition to the academic director(s), an administrative director or coordinator should be assigned to oversee all participant support services, including close oversight of the program participants, and budgetary, logistical, and other administrative arrangements. *Participants:* Participants will be nominated by U.S. Embassies and Fulbright Commissions, with final selection made by the Bureau's Branch for the Study of the United States. Every effort will be made to select a balanced mix of male and female participants. Participants will be drawn from all regions of the world and will be diverse in terms of age, professional position, and experience abroad. All participants will have a good knowledge of English. Participants may come from educational institutions where the study of the U.S. is relatively well-developed, or they may be pioneers in this field within their home institutions. Some participants may not have visited the United States previously, while others may have had sustained professional contact with American scholars and American scholarship as well as prior study and travel experience in the U.S. In all cases, participants will be accomplished teachers and scholars who will be prepared to participate in an intellectually rigorous academic seminar that offers a collegial atmosphere conducive to the exchange of ideas. *Program Dates:* The Institutes should be a maximum of 44 days in length (including participant arrival and departure days) and should begin in June 2007. *Program Guidelines:* While the conception and structure of the institute agenda is the responsibility of the organizers, it is essential that proposals provide a detailed and comprehensive narrative describing the objectives of the institute; the title, scope and content of each session; planned site visits; and how each session relates to the overall institute theme. A syllabus must be included that indicates the subject matter for each lecture, panel discussion, group presentation or other activity. The syllabus should also confirm or provisionally identify proposed speakers, trainers, and session leaders, and clearly show how assigned readings will advance the goals of each session. A calendar of all program activities must be included in the proposal, as well as a description of plans for public and media outreach in connection with the Institute. Overall, proposals will be reviewed on the basis of their responsiveness to RFGP criteria, coherence, clarity, and attention to detail. Please note: In a cooperative agreement, the Branch for the Study of the United States is substantially involved in program activities above and beyond routine grant monitoring. The Branch will assume the following responsibilities for the Institute: participate in the selection of participants; oversee the Institute through one or more site visits; debrief participants in Washington, DC at the conclusion of the Institute; and engage in follow-on communication with the participants after they return to their home countries. The Branch may request that the grantee institution make modifications to the academic residency and/or educational travel components of the program. The recipient will be required to obtain approval of significant program changes in advance of their implementation. II. Award Information *Type of Award:* Cooperative Agreement. ECA's level of involvement in this program is detailed in the previous paragraph. *Fiscal Year Funds:* FY-2007 (pending availability of funds). *Approximate Total Funding:* $900,000. *Approximate Number of Awards:* 3. *Approximate Average Award:* Two awards of $275,000 for 18 participants each; one award of $340,000 for 30 participants Floor of Award Range: $275,000. *Ceiling of Award Range:* $340,000. *Anticipated Award Date:* Pending availability of funds, March 1, 2007. *Anticipated Project Completion Date:* August 2007. *Additional Information:* Pending successful implementation of this program and the availability of funds in subsequent fiscal years, it is ECA's intent to renew these cooperative agreements for two additional fiscal years, before openly competing them again. III. Eligibility Information *III.1. Eligible applicants:* Applications may be submitted by public and private non-profit organizations meeting the provisions described in Internal Revenue Code section 26 U.S.C. 501(c)(3). *III.2. Cost Sharing or Matching Funds:* There is no minimum or maximum percentage required for this competition. However, the Bureau strongly encourages applicants to provide maximum levels of cost sharing and funding in support of its programs. When cost sharing is offered, it is understood and agreed that the applicant must provide the amount of cost sharing as stipulated in its proposal and later included in an approved grant agreement. Cost sharing may be in the form of allowable direct or indirect costs. For accountability, you must maintain written records to support all costs that are claimed as your contribution, as well as costs to be paid by the Federal Government. Such records are subject to audit. The basis for determining the value of cash and in-kind contributions must be in accordance with OMB Circular A-110, (Revised), Subpart C.23—Cost Sharing and Matching. In the event you do not provide the minimum amount of cost sharing as stipulated in the approved budget, ECA's contribution will be reduced in like proportion. *III.3. Other Eligibility Requirements:* a. Grants awarded to eligible organizations with less than four years of experience in conducting international exchange programs will be limited to $60,000. ECA anticipates awarding three grants in amounts over $60,000 to support program and administrative costs required to implement this exchange program. Therefore, organizations with less than four years experience in conducting international exchanges are ineligible to apply under this competition. b. Technical Eligibility: It is the Bureau's intent to award three separate cooperative agreements to three different institutions under this competition. Therefore prospective applicants may only submit one proposal under this competition. All applicants must comply with this requirement. Should an applicant submit multiple proposals under this competition, all proposals will be declared technically ineligible and given no further consideration in the review process. IV. Application and Submission Information Note: Please read the complete announcement before sending inquiries or submitting proposals. Once the RFGP deadline has passed, Bureau staff may not discuss this competition with applicants until the proposal review process has been completed. *IV.1. Contact Information to Request an Application Package:* Please contact the Branch for the Study of the United States, ECA/A/E/USS, Room 314, U.S. Department of State, SA-44, 301 4th Street, SW., Washington, DC 20547; tel.
(202)453-8540; fax
(202)453-8533 to request a Solicitation Package. Please refer to the Funding Opportunity Number ECA/A/E/USS-07-SUSI located at the top of this announcement when making your request. Alternatively, an electronic application package may be obtained from grants.gov. Please see section IV.3f. for further information. The Solicitation Package contains the Proposal Submission Instruction
(PSI)document, which consists of required application forms and standard guidelines for proposal preparation. It also contains the Project Objectives, Goals and Implementation
(POGI)document, which provides specific information, award criteria and budget instructions tailored to this competition. For specific questions on the Institutes on American Civilization or for Secondary Educators, please specify Jennifer Phillips, *PhillipsJA@state.gov.* For specific questions on the Institute on Journalism and Media, specify Adam Van Loon, *VanLoonAE@state.gov* and refer to the Funding Opportunity Number ECA/A/E/USS-07-SUSI located at the top of this announcement on all other inquiries and correspondence. *IV.2. To Download a Solicitation Package via Internet:* The entire Solicitation Package may be downloaded from the Bureau's Web site at: *http://exchanges.state.gov/education/rfgps/menu.htm* , or from the Grants.gov Web site at *http://www.grants.gov.* Please read all information before downloading. *IV.3. Content and Form of Submission:* Applicants must follow all instructions in the Solicitation Package. The application should be submitted per the instructions under section IV.3f, “Application Deadline and Methods of Submission,” below. IV.3a. You are required to have a Dun and Bradstreet Data Universal Numbering System
(DUNS)number to apply for a grant or cooperative agreement from the U.S. Government. This number is a nine-digit identification number, which uniquely identifies business entities. Obtaining a DUNS number is easy and there is no charge. To obtain a DUNS number, access *http://www.dunandbradstreet.com* or call 1-866-705-5711. Please ensure that your DUNS number is included in the appropriate box of the form SF-424 which is part of the formal application package. IV.3b. All proposals must contain an executive summary, proposal narrative and budget. Please refer to the Solicitation Package. It contains the mandatory PSI document and the POGI document for additional formatting and technical requirements. IV.3c. You must have nonprofit status with the IRS at the time of application. If your organization is a private nonprofit which has not received a grant or cooperative agreement from ECA in the past three years, or if your organization received nonprofit status from the IRS within the past four years, you must submit the necessary documentation to verify nonprofit status as directed in the PSI document. Failure to do so will cause your proposal to be declared technically ineligible. IV.3d. Please take into consideration the following information when preparing your proposal narrative: *IV.3d.1. Adherence to all regulations governing the J visa:* The Bureau of Educational and Cultural Affairs is placing renewed emphasis on the secure and proper administration of Exchange Visitor (J visa) Programs and adherence by grantees and sponsors to all regulations governing the J visa. Therefore, proposals should demonstrate the applicant's capacity to meet all requirements governing the administration of the Exchange Visitor Programs as set forth in 22 CFR 62, including the oversight of Responsible Officers and Alternate Responsible Officers, screening and selection of program participants, provision of pre-arrival information and orientation to participants, monitoring of participants, proper maintenance and security of forms, record-keeping, reporting and other requirements. ECA will be responsible for issuing DS-2019 forms to participants in this program. A copy of the complete regulations governing the administration of Exchange Visitor
(J)programs is available at *http://exchanges.state.gov* or from: United States Department of State, Office of Exchange Coordination and Designation, ECA/EC/ECD—SA-44, Room 734, 301 4th Street, SW., Washington, DC 20547, *Telephone:*
(202)203-5029, *Fax:*
(202)453-8640. Please refer to Solicitation Package for further information. IV.3d.2. *Diversity, Freedom and Democracy Guidelines:* Pursuant to the Bureau's authorizing legislation, programs must maintain a non-political character and should be balanced and representative of the diversity of American political, social, and cultural life. “Diversity” should be interpreted in the broadest sense and encompass differences including, but not limited to ethnicity, race, gender, religion, geographic location, socio-economic status, and disabilities. Applicants are strongly encouraged to adhere to the advancement of this principle both in program administration and in program content. Please refer to the review criteria under the “Support for Diversity” section (V.2.) for specific suggestions on incorporating diversity into your proposal. Public Law 104-319 provides that “in carrying out programs of educational and cultural exchange in countries whose people do not fully enjoy freedom and democracy,” the Bureau “shall take appropriate steps to provide opportunities for participation in such programs to human rights and democracy leaders of such countries.” Public Law 106-113 requires that the governments of the countries described above do not have inappropriate influence in the selection process. Proposals should reflect advancement of these goals in their program contents, to the full extent deemed feasible. IV.3d.3. *Program Monitoring and Evaluation:* Proposals must include a plan to monitor and evaluate the project's success, both as the activities unfold and at the end of the program. The Bureau strongly recommends that your proposal include a draft survey questionnaire or other technique plus a description of a methodology to use to link outcomes to original project objectives. The Bureau expects that the grantee will track participants or partners and be able to respond to key evaluation questions, including satisfaction with the program, learning as a result of the program, changes in behavior as a result of the program, and effects of the program on institutions (institutions in which participants work or partner institutions). The evaluation plan should include indicators that measure gains in mutual understanding as well as substantive knowledge. Successful monitoring and evaluation depend heavily on setting clear goals and outcomes at the outset of a program. Your evaluation plan should include a description of your project's objectives, your anticipated project outcomes, and how and when you intend to measure these outcomes (performance indicators). The more that outcomes are “smart” (specific, measurable, attainable, results-oriented, and placed in a reasonable time frame), the easier it will be to conduct the evaluation. You should also show how your project objectives link to the goals of the program described in this RFGP. Your monitoring and evaluation plan should clearly distinguish between program *outputs* and *outcomes.* *Outputs* are products and services delivered, often stated as an amount. Output information is important to show the scope or size of project activities, but it cannot substitute for information about progress towards outcomes or the results achieved. Examples of outputs include the number of people trained or the number of seminars conducted. *Outcomes,* in contrast, represent specific results a project is intended to achieve and is usually measured as an extent of change. Findings on outputs and outcomes should both be reported, but the focus should be on outcomes. We encourage you to assess the following four levels of outcomes, as they relate to the program goals set out in the RFGP (listed here in increasing order of importance): 1. Participant satisfaction with the program and exchange experience. 2. Participant learning, such as increased knowledge, aptitude, skills, and changed understanding and attitude. Learning includes both substantive (subject-specific) learning and mutual understanding. 3. Participant behavior, concrete actions to apply knowledge in work or community; greater participation and responsibility in civic organizations; interpretation and explanation of experiences and new knowledge gained; continued contacts between participants, community members, and others. 4. Institutional changes, such as increased collaboration and partnerships, policy reforms, new programming, and organizational improvements. Please note: Consideration should be given to the appropriate timing of data collection for each level of outcome. For example, satisfaction is usually captured as a short-term outcome, whereas behavior and institutional changes are normally considered longer-term outcomes. Overall, the quality of your monitoring and evaluation plan will be judged on how well it
(1)specifies intended outcomes;
(2)gives clear descriptions of how each outcome will be measured;
(3)identifies when particular outcomes will be measured; and
(4)provides a clear description of the data collection strategies for each outcome (i.e., surveys, interviews, or focus groups). (Please note that evaluation plans that deal only with the first level of outcomes [satisfaction] will be deemed less competitive under the present evaluation criteria.) Grantees will be required to provide reports analyzing their evaluation findings to the Bureau in their regular program reports. All data collected, including survey responses and contact information, must be maintained for a minimum of three years and provided to the Bureau upon request. IV.3d.4. Describe your plans for overall program management, staffing, and coordination with Branch for the Study of the United States. The Branch considers these to be essential elements of your program; please be sure to give sufficient attention to them in your proposal. Please refer to the Technical Eligibility Requirements and the POGI in the Solicitation Package for specific guidelines. IV.3e. Please take the following information into consideration when preparing your budget: IV.3e.1. Applicants must submit a comprehensive budget for the entire program. Awards for the Institutes on American Civilization and Journalism and Media may not exceed $275,000, and administrative costs should be approximately $90,000. The award for the Institute for Secondary Educators may not exceed $340,000, and administrative costs should be approximately $110,000. There must be a summary budget as well as breakdowns reflecting both administrative and program budgets. Applicants may provide separate sub-budgets for each program component, phase, location, or activity to provide clarification. IV.3e.2. Allowable costs for the program include the following:
(1)Institute staff salary and benefits.
(2)Participant housing and meals.
(3)Participant travel and per diem.
(4)Textbooks, educational materials and admissions fees.
(5)Honoraria for guest speakers. Please refer to the Solicitation Package for complete budget guidelines and formatting instructions. IV.3f. *Application Deadline and Methods of Submission:* *Application Deadline Date:* December 8, 2006. *Reference Number:* ECA/A/E/USS-07-SUSI. *Methods of Submission:* Applications may be submitted in one of two ways: 1. In hard-copy, via a nationally recognized overnight delivery service (i.e., DHL, Federal Express, UPS, Airborne Express, or U.S. Postal Service Express Overnight Mail, etc.), or 2. Electronically through *http://www.grants.gov.* Along with the Project Title, all applicants must enter the above Reference Number in Box 11 on the SF-424 contained in the mandatory Proposal Submission Instructions
(PSI)of the solicitation document. IV.3f.1. *Submitting Printed Applications.* Applications must be shipped no later than the above deadline. Delivery services used by applicants must have in-place, centralized shipping identification and tracking systems that may be accessed via the Internet and delivery people who are identifiable by commonly recognized uniforms and delivery vehicles. Proposals shipped on or before the above deadline but received at ECA more than seven days after the deadline will be ineligible for further consideration under this competition. Proposals shipped after the established deadlines are ineligible for consideration under this competition. ECA will *not* notify you upon receipt of application. It is each applicant's responsibility to ensure that each package is marked with a legible tracking number and to monitor/confirm delivery to ECA via the Internet. Delivery of proposal packages *may not* be made via local courier service or in person for this competition. Faxed documents will not be accepted at any time. Only proposals submitted as stated above will be considered. Important note: When preparing your submission please make sure to include one extra copy of the completed SF-424 form and place it in an envelope addressed to “ECA/EX/PM”. The original and eight
(8)copies of the application should be sent to: U.S. Department of State, SA-44, Bureau of Educational and Cultural Affairs, Program Management, ECA/EX/PM, Room 534, 301 4th Street, SW., Washington, DC 20547. *Reference Number:* ECA/A/E/USS-07-SUSI. Applicants submitting hard-copy applications must also submit the “Executive Summary” and “Proposal Narrative” sections of the proposal in text (.txt) format on a PC-formatted disk. The Bureau will provide these files electronically to regional bureaus and Public Affairs Sections at U.S. embassies and for their review, as appropriate. IV.3f.2. *Submitting Electronic Applications.* Applicants have the option of submitting proposals electronically through *Grants.gov* ( *http://www.grants.gov* ). Complete solicitation packages are available at *Grants.gov* in the “Find” portion of the system. Please follow the instructions available in the “Get Started” portion of the site ( *http://www.grants.gov/GetStarted* ). Applicants have until midnight (12:00 a.m.), Washington, DC time of the closing date to ensure that their entire application has been uploaded to the *grants.gov* site. Applications uploaded to the site after midnight of the application deadline date will be automatically rejected by the *grants.gov* system, and will be technically ineligible. Applicants will receive a confirmation e-mail from *grants.gov* upon the successful submission of an application. ECA will *not* notify you upon receipt of electronic applications. IV.3g. *Intergovernmental Review of Applications:* Executive Order 12372 does not apply to this program. V. Application Review Information V.1. *Review Process:* The Bureau will review all proposals for technical eligibility. Proposals will be deemed ineligible if they do not fully adhere to the guidelines stated herein and in the Solicitation Package. All eligible proposals will be reviewed by the ECA program office and the Public Affairs Sections, where appropriate. Eligible proposals will be subject to compliance with Federal and Bureau regulations and guidelines and forwarded to Bureau grant panels for advisory review. Proposals may also be reviewed by the Office of the Legal Adviser or by other Department elements. Final funding decisions are at the discretion of the Department of State's Assistant Secretary for Educational and Cultural Affairs. Final technical authority for cooperative agreements resides with the Bureau's Grants Officer. V.2. *Review Criteria:* Technically eligible applications will be competitively reviewed according to the criteria stated below. These criteria are not rank ordered and all carry equal weight in the proposal evaluation: 1. *Quality of Program Idea/Plan:* Proposals should exhibit originality, substance, precision, and relevance to the Bureau's mission. Detailed agenda and relevant work plan should demonstrate substantive undertakings and logistical capacity. 2. *Ability to Achieve Overall Program Objectives:* Objectives should be reasonable, feasible, and flexible. Proposals should clearly demonstrate how the institution will meet the program's objectives and plan. 3. *Support for Diversity:* Proposals should demonstrate substantive support of the Bureau's policy on diversity. Achievable and relevant features should be cited in both program administration (program venue, study tour venue, and program evaluation) and program content (orientation and wrap-up sessions, site visits, program meetings and resource materials). 4. *Evaluation and Follow-Up:* Proposals should include a plan to evaluate the Institute's success, both as the activities unfold and at the end of the program. A draft survey questionnaire or other technique plus description of a methodology to use to link outcomes to original institute objectives is strongly recommended. Proposals should also discuss provisions made for follow-up with returned grantees as a means of establishing longer-term individual and institutional linkages. 5. *Cost-effectiveness/Cost-sharing:* The overhead and administrative components of the proposal, including salaries and honoraria, should be kept as low as possible. All other items should be necessary and appropriate. Proposals should maximize cost-sharing through other private sector support as well as institutional direct funding contributions. 6. *Institutional Track Record/Ability:* Proposals should demonstrate an institutional record of successful exchange programs, including responsible fiscal management and full compliance with all reporting requirements for past Bureau grants as determined by Bureau Grants Staff. The Bureau will consider the past performance of prior recipients and the demonstrated potential of new applicants. Proposed personnel and institutional resources should be fully qualified to achieve the Institute's goals. VI. Award Administration Information VI.1. *Award Notices:* Final awards cannot be made until funds have been appropriated by Congress, allocated and committed through internal Bureau procedures. Successful applicants will receive an Assistance Award Document
(AAD)from the Bureau's Grants Office. The AAD and the original grant proposal with subsequent modifications (if applicable) shall be the only binding authorizing document between the recipient and the U.S. Government. The AAD will be signed by an authorized Grants Officer, and mailed to the recipient's responsible officer identified in the application. Unsuccessful applicants will receive notification of the results of the application review from the ECA program office coordinating this competition. VI.2. *Administrative and National Policy Requirements:* Terms and Conditions for the Administration of ECA agreements include the following: Office of Management and Budget Circular A-122, “Cost Principles for Nonprofit Organizations.” Office of Management and Budget Circular A-21, “Cost Principles for Educational Institutions.” OMB Circular A-87, “Cost Principles for State, Local and Indian Governments.” OMB Circular No. A-110 (Revised), Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and other Nonprofit Organizations. OMB Circular No. A-102, Uniform Administrative Requirements for Grants-in-Aid to State and Local Governments. OMB Circular No. A-133, Audits of States, Local Government, and Non-profit Organizations. Please reference the following Web sites for additional information: *http://www.whitehouse.gov/omb/grants; http://exchanges.state.gov/education/grantsdiv/terms.htm#articleI.* VI.3. *Reporting Requirements:* You must provide ECA with a hard copy original plus one
(1)copy of the final program and financial report no more than 90 days after the expiration of the award. Grantees will be required to provide reports analyzing their evaluation findings to the Bureau in their regular program reports. Please refer to Application and Submission Instructions (IV.3d.3) above for Program Monitoring and Evaluation information. All data collected, including survey responses and contact information, must be maintained for a minimum of three years and provided to the Bureau upon request. All reports must be sent to the ECA Grants Officer and ECA Program Officer listed in the final assistance award document. VII. Agency Contacts For questions about this announcement, contact: Branch for the Study of the United States, ECA/A/E/USS, Room 314, U.S. Department of State, SA-44, 301 4th Street, SW., Washington, DC 20547; tel.
(202)453-8540; fax
(202)453-8533. For specific questions on the Institutes on American Civilization or for Secondary Educators, contact Jennifer Phillips at *PhillipsJA@state.gov.* For specific questions on the Institute on Journalism and Media, contact Adam Van Loon at *VanLoonAE@state.gov.* All correspondence with the Bureau concerning this RFGP should reference the title “Study of the U.S. Institutes” and number ECA/A/E/USS-07-SUSI. Please read the complete **Federal Register** announcement before sending inquiries or submitting proposals. Once the RFGP deadline has passed, Bureau staff may not discuss this competition with applicants until the proposal review process has been completed. VIII. Other Information *Notice:* The terms and conditions published in this RFGP are binding and may not be modified by any Bureau representative. Explanatory information provided by the Bureau that contradicts published language will not be binding. Issuance of the RFGP does not constitute an award commitment on the part of the Government. The Bureau reserves the right to reduce, revise, or increase proposal budgets in accordance with the needs of the program and the availability of funds. Awards made will be subject to periodic reporting and evaluation requirements per section VI.3 above. Dated: October 19, 2006. Dina Habib Powell, Assistant Secretary for Educational and Cultural Affairs, Department of State. [FR Doc. E6-17970 Filed 10-25-06; 8:45 am] BILLING CODE 4710-05-P DEPARTMENT OF STATE [Public Notice 5595] STATE-72 Identity Management System
(IDMS)*Summary:* Notice is hereby given that the Department of State proposes to create a new system of records, STATE-72, pursuant to the provisions of the Privacy Act of 1974, as amended (5 U.S.C. 552a), and Office of Management and Budget Circular No. A-130, Appendix I. The Department's report was filed with the Office of Management and Budget on October 23, 2006. It is proposed that the new system will be named “Identity Management System.” This system description is proposed in order to support the Bureau of Diplomatic Security's
(DS)administration of the Homeland Security Presidential Directive 12 Program that directs the use of a common identification credential for both logical and physical access to federally controlled facilities and information systems. The system description will reflect the DS personal identity verification
(PIV)card record-keeping system, and Department of State identification card issuance activities and operations. Any persons interested in commenting on this new system of records may do so by submitting comments in writing to Margaret P. Grafeld, Director; Office of Information Programs and Services; A/ISS/IPS; Department of State, SA-2; Washington, DC 20522-8100. This system of records will be effective 40 days from the date of publication, unless we receive comments that will result in a contrary determination. This new system description, “Identity Management System, State-72,” will read as set forth below. Raj Chellaraj, Assistant Secretary for the Bureau of Administration, Department of State. STATE-72 SYSTEM NAME: Identity Management System
(IDMS)SECURITY CLASSIFICATION: Sensitive But Unclassified SYSTEM LOCATION: Data covered by this system is maintained at the following locations: Department of State; 2201 C Street, NW.; Washington, DC 20520; domestic and overseas posts. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The system will cover
(1)Current and former Department of State, U.S. Agency for International Development (AID), and Peace Corps employees;
(2)other individuals who require regular, ongoing access to agency facilities, including but not limited to certain applicants for employment or contracts; federal employees of other agencies; contractors; students; interns; volunteers; affiliates and other individuals authorized to perform or use services provided in agency facilities (e.g., Credit Union, Fitness Center, etc.), and
(3)individuals formerly in any of these positions. The system does not apply to occasional visitors or short-term guests to whom the Department of State will issue temporary identification and credentials. CATEGORIES OF RECORDS IN THE SYSTEM: Records maintained on individuals issued identification by the Department of State include the following data fields: full name; Social Security number; date of birth; image (photograph); fingerprints; organization/office of assignment; company name; telephone number; Personal Identity Verification
(PIV)card issue and expiration dates; personal identification number (PIN); PIV request form; PIV registrar approval signature; PIV card number; emergency responder designation (if applicable); copies of documents used to verify identification or information derived from those documents such as document title, document issuing authority, document number, document expiration date and other document information; level of national security clearance and date granted; computer system user name; authentication certificates; digital signature information. Records maintained on card holders entering Department of State facilities or using Department of State systems include: Name; PIV Card number; date, time, and location of entry and exit; company name; level of national security clearance and expiration date; digital signature information; and computer networks/applications/data accessed. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301; Federal Information Security Act (Pub. L. 104-106, sec. 5113); Electronic Government Act (Pub. L. 104-347, sec. 203); the Paperwork Reduction Act of 1995 (44 U.S.C. § 3501); and the Government Paperwork Elimination Act (Pub. L. 105-277, 44 U.S.C. 3504); Homeland Security Presidential Directive
(HSPD)12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 27, 2004; Federal Property and Administrative Act of 1949, as amended. PURPOSE: The primary purposes of the system are:
(a)To ensure the safety and security of Department of State facilities, systems, or information, and our occupants and users;
(b)to verify that all persons entering federal facilities, using federal information resources, or accessing classified information are authorized to do so;
(c)to track and control PIV cards issued to persons entering and exiting the facilities, using systems, or accessing classified information. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: Information about covered individuals may be disclosed without consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
(1)To a Federal, State, or local agency, or other appropriate entities or individuals, or through established liaison channels to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities under the National Security Act of 1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333 or any successor order, applicable national security directives, or classified implementing procedures approved by the Attorney General and promulgated pursuant to such statutes, orders or directives.
(2)To notify another federal agency when, or verify whether, a PIV card is no longer valid.
(3)To the news media or the general public, factual information the disclosure of which would be in the public interest and which would not constitute an unwarranted invasion of personal privacy, consistent with Freedom of Information Act standards. Also see “Routine Uses” of Prefatory Statement published in the **Federal Register** . POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are stored in electronic media and in paper files. RETRIEVABILITY: Records are retrievable by name; Social Security number; other identification number; PIV card number; image (photograph) and fingerprint. SAFEGUARDS: Paper records are kept in locked cabinets in secure facilities and access to them is restricted to individuals whose role requires use of the records. The computer servers in which records are stored are located in facilities that are secured by alarm systems and off-master key access. The computer servers themselves are password-protected. Access to individuals working at guard stations is password-protected; each person granted access to the system at guard stations must be individually authorized to use the system. A Privacy Act Warning Notice appears on the computer screen prior to display of records containing information about individuals. Data exchanged between the servers and the client at the guard stations and badging office are encrypted. Backup tapes are stored in a locked and controlled room in a secure, off-site location. An audit trail is maintained and reviewed periodically to identify unauthorized access. Persons given roles in the PIV process must complete training specific to their roles to ensure they are knowledgeable about how to protect individually identifiable information. RETENTION AND DISPOSAL: Records relating to persons' access covered by this system are retained, retired and destroyed in accordance with Department of State Records Disposition Schedules approved by NARA. More information may be obtained by writing the Director; Office of Information Programs and Services; SA-2, Department of State; 515 22nd Street; Washington, DC; 20522-8100. In accordance with HSPD-12, Department of State Identification Cards are deactivated within 18 hours of cardholder separation, loss of card, or expiration. Department of State Identification Cards are destroyed by cross-cut shredding no later than 90 days after deactivation. SYSTEM MANAGER(S) AND ADDRESS: Director; Domestic Facility Protection; Bureau of Diplomatic Security; Department of State; 2201 C Street, NW., 20522. NOTIFICATION PROCEDURES: An individual can determine if this system contains a record pertaining to him/her by sending an originally signed request in writing, to the Director; Office of Information Programs and Services (address above). The individual must specify that he or she wants the Bureau of Diplomatic Security's Identity Management System to be checked. When requesting notification of or access to records covered by this Notice, an individual should provide his/her full name, date and place of birth, current mailing address and zip code, signature, brief description of the circumstances which may have caused the creation of the record, agency name, and work location in order to establish identity. RECORDS ACCESS PROCEDURES: Same as notification procedures. Requesters should also reasonably specify the record contents being sought. Rules regarding access to Privacy Act records appear in 22 CFR part 171. If additional information or assistance is required, contact the Director (address above). CONTESTING RECORD PROCEDURES: Same as notification procedures. Requesters should also reasonably identify the record, specify the information they are contesting, state the corrective action sought and the reasons for the correction along with supporting justification showing why the record is not accurate, timely, relevant, or complete. Rules regarding amendment of Privacy Act records appear in 22 CFR part 171. If additional information or assistance is required, contact the Director; Office of Information Programs and Services (address above). RECORD SOURCE CATEGORIES: Employee, contractor, or applicant; sponsoring agency; former sponsoring agency; other federal agencies; contract employer; and former employer. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. [FR Doc. E6-17973 Filed 10-25-06; 8:45 am] BILLING CODE 4710-24-P DEPARTMENT OF TRANSPORTATION Federal Aviation Administration Advisory Circular 33.88A, Turbine Engine Vibration Test AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Notice of issuance of advisory circular. SUMMARY: This notice announces the issuance of Advisory Circular
(AC)33.83A, Turbine Engine Vibration Test. This advisory circular
(AC)provides guidance and acceptable methods, but not the only methods, that may be used to demonstrate compliance with the vibration test requirements of § 33.83 of Title 14 of the Code of Federal Regulations (14 CFR part 33). This AC cancels AC 33.83, dated February 14, 1997. DATES: Advisory Circular 33.83A was issued by the Manager of the Engine and Propeller Directorate, Aircraft Certification Service, on September 29, 2006. FOR FURTHER INFORMATION CONTACT: The Federal Aviation Administration, Attn: Dorina Mihail, Engine and Propeller Standards Staff, ANE-110, 12 New England Executive Park, Burlington, MA 01803-5299; telephone:
(781)238-7153; fax:
(781)238-7199; e-mail: *dorina.mihail@faa.gov.* We have filed in the docket all substantive comments received, and a report summarizing them. If you wish to review the docket in person, you may go to the above address between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. If you wish to contact the above individual directly, you can use the above telephone number or e-mail address provided. *How to Obtain Copies:* A paper copy of AC 33.83A may be obtained by writing to the U.S. Department of Transportation, Subsequent Distribution Office, DOT Warehouse, SVC-121.23, Ardmore East Business Center, 3341Q 75th Ave., Landover, MD 20785, telephone 301-322-5377, or by faxing your request to the warehouse at 301-386-5394. The AC will also be available on the Internet at *http://www.faa.gov/regulations_policies/* (then click on “Advisory Circulars”). (Authority: 49 U.S.C. 106(g), 40113, 44701-44702, 44704.) Issued in Burlington, Massachusetts, on September 29, 2006. Francis A. Favara, Manager, Engine and Propeller Directorate, Aircraft Certification Service. [FR Doc. 06-8890 Filed 10-25-06; 8:45 am]
Connectionstraces to 19
Traces to 19 documents
15 references not yet in our index
  • 17 CFR 200.3(a)(12)
  • 17 CFR 240.19
  • 17 CFR 240.12
  • Pub. L. 95-216
  • Pub. L. 104-121
  • Pub. L. 96-265
  • Pub. L. 87-256
  • 22 CFR 62
  • Pub. L. 104-319
  • Pub. L. 106-113
  • Pub. L. 104-106
  • Pub. L. 104-347
  • Pub. L. 105-277
  • 22 CFR 171
  • 14 CFR 33
Citation graph
cites case law
Notices
Notice
U.S.C.§ 78s
U.S.C.§ 552
U.S.C.§ 78f
U.S.C.§ 78c
C.F.R.§ 200.30-3
U.S.C.§ 415
U.S.C.§ 1382f
C.F.R.§ 416.1112
U.S.C.§ 403
Cite17 CFR 200.3(a)(12)
Cite17 CFR 240.19
Cite17 CFR 240.12
Cites 34 · showing 12Cited by 0 across 0 sources
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