Technology Opportunities Program (formerly known as the Telecommunications and Information Infrastructure Assistance Program)

DEPARTMENT OF COMMERCE

National Telecommunications and Information Administration

DOCKET NUMBER: [981203295-9313-03; CFDA 11.552]

RIN 0660-ZA06

Technology Opportunities Program (formerly known as the

Telecommunications and Information Infrastructure Assistance Program)

AGENCY: National Telecommunications and Information Administration,

Commerce.

ACTION: Notice of Availability of Funds.

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

SUMMARY: The National Telecommunications and Information Administration

(NTIA) issues this Notice describing the conditions under which

applications will be received under the Technology Opportunities

Program (TOP) and how NTIA will determine which applications it will

fund. 1 TOP promotes the widespread use and availability of

advanced telecommunications and information technologies in the public

and non-profit sectors. By providing matching grants for information

infrastructure projects, this program will help develop a nationwide,

interactive, broadband information infrastructure that is accessible to

all Americans, in rural as well as urban areas.

\1\ Please note that TOP was formerly known as the

Telecommunications and Information Infrastructure Assistance Program

(TIIAP).

DATES: Complete applications for the Fiscal Year 2000 TOP grant program

must be mailed or hand-carried to the address indicated below and

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

received by NTIA no later than 9:00 p.m. EST, March 16, 2000.

ADDRESSES: Applications must be mailed to: Technology Opportunities

Program National Telecommunications and Information Administration U.S.

Department of Commerce 1401 Constitution Avenue, NW HCHB, Room 4092,

Washington, D.C. 20230.

or-hand-delivered to:

Technology Opportunities Program, National Telecommunications and

Information Administration, U.S. Department of Commerce, Room 1874,

Herbert Clark Hoover Building 1401 Constitution Avenue, NW, Washington,

D.C. 20230.

Room 1874 is located at entrance #10 on 15th Street NW, between

Pennsylvania and Constitution Avenues.

FOR FURTHER INFORMATION, CONTACT:

Stephen J. Downs, Director of the Technology Opportunities Program.

Telephone: 202/482-2048; fax: 202/501-5136; e-mail: [email protected].

SUPPLEMENTARY INFORMATION:

Program Purposes

NTIA announces the seventh annual round of a competitive matching

grant program, the Technology Opportunities Program (TOP). TOP promotes

the development, widespread availability, and use of advanced

telecommunications and information technologies to serve the public

interest.

To accomplish this objective, TOP will provide matching grants to

state, local, and tribal governments; 2 non-profit

community-based organizations; non-profit health care providers and

public health institutions; schools; libraries; museums; colleges;

universities; public safety providers; and other non-profit entities.

TOP will support projects that improve the quality of, and the public's

access to, cultural, educational, and training resources; reduce the

cost, improve the quality, and/or increase the accessibility of health

care and public health services; promote responsive public safety

services; improve the effectiveness and efficiency of government and

public services; and foster communication, resource-sharing, and

economic development within communities, both rural and urban.

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

\2\ American Indian Tribes and Alaska Native Villages.

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

Authority

Title II of the Commerce, Justice, and State Appropriations Act for

Fiscal Year 2000, Incorporated by Reference in the Consolidated

Appropriations Act for FY 2000, Pub. L. No. 106-113, ``Division B,

Section 1000(a)(1).''

Funding Availability

Approximately $12.5 million is available for federal assistance. A

small amount of funds that have been deobligated from grants awarded in

previous fiscal years may also be available for Fiscal Year 2000

grants. Based on past experience, NTIA expects this year's grant round

to be very competitive. In Fiscal Year 1999, NTIA received over 700

applications collectively requesting more than $250 million in grant

funds. From these applications, the Department of Commerce announced 43

awards totaling $17.6 million in federal funds.

An applicant may request up to $600,000 in total federal support.

Based on previous grant rounds, TOP anticipates that the average size

of a grant award will be approximately $375,000 with a grant period

lasting between two and three years.

Eligible Organizations

Non-profit entities; state, local, and tribal governments; and

colleges and universities are eligible to apply. Although individuals

and for-profit organizations are not eligible to apply, they are

encouraged to participate as project partners.

Matching Funds Requirements

Grant recipients under this program will be required to provide

matching funds toward the total project cost. Applicants must document

their capacity to provide matching funds. Matching funds may be in the

form of cash or in-kind contributions. Grant funds under this program

are usually released in direct proportion to local matching funds

utilized and documented as having been expended. NTIA will provide up

to 50 percent of the total project cost, unless the applicant can

document extraordinary circumstances warranting a grant of up to 75

percent.

Generally, federal funds may not be used as matching funds, except

as provided by federal statute. If you plan to use funds from a federal

agency, you should contact the federal agency that administers the

funds in question and obtain documentation from that agency's Office of

General Counsel to support the use of federal funds for matching

purposes.

Completeness of Application

TOP will initially review all applications to determine whether all

required elements are present and clearly identifiable. The required

elements are listed and described in the Guidelines for Preparing

Applications--Fiscal Year 2000. Each of the required elements must be

present and clearly identified. Failure to do so may result in

rejection of the application.

Application Deadline

As noted above, complete applications for the Fiscal Year 2000 TOP

grant program must be received by NTIA no later than 9:00 P.M. EST,

March 16, 2000. A postmark date is not sufficient. Applications which

have been provided to a delivery service on or before March 15, 2000,

with ``delivery guaranteed'' before 9:00 P.M. on March 16, 2000, will

be accepted for review if the applicant can document that the

application was provided to the delivery service with delivery to the

address listed above guaranteed prior to the closing date and time.

Applications will not be accepted via facsimile

[[Page 683]]

machine transmission or electronic mail. NTIA anticipates that it will

take approximately six months to complete the review of applications

and make final funding decisions.

Program Funding Priorities

NTIA supports innovative and exemplary projects that can serve as

models for using information infrastructure in the public and non-

profit sectors and thereby contribute to the development of an

advanced, nationwide network that will ultimately offer broadband

communication services to all.3

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

\3\ ``Information infrastructure'' includes telecommunication

networks, computers, other end-user devices, software, standards,

and skills that collectively enable people to connect to each other

and to a vast array of services and information resources.

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

NTIA believes that every project supported under TOP should be a

nationally significant demonstration of how telecommunications and

information technologies can be used to extend valuable services and

opportunities to all Americans, especially the underserved.4

In addition, the development of an advanced information infrastructure

accessible by all depends upon the contribution of a wide variety of

skills, ideas, and perspectives. Therefore, TOP-supported projects

should, to the greatest degree possible, reach out to all members of a

community and catalyze partnerships to help reduce the digital

divide.5 Because important networking efforts may also occur

outside of the United States, TOP projects may benefit from linkages to

international efforts.

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

\4\ ``Underserved'' refers to individuals and communities that

are subject to barriers that limit or prevent their access to the

benefits of network technologies or vital services. These barriers

may be technological, geographic, economic, physical, linguistic, or

cultural.

\5\ More details on the growing gap in access to

telecommunications and information technology in America can be

found in NTIA's report, Falling through the Net: Defining the

Digital Divide. This report is available on the Internet at NTIA's

home page, http://www.ntia.doc.gov.

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

TOP defines innovation broadly. It can encompass, but is not

restricted to, a demonstration of broadband or other cutting edge

technologies, a new application of proven technologies, a creative

strategy for overcoming traditional barriers to access, a new

configuration of existing information resources, or the use of network

technologies in a unique setting.

NTIA also expects each TOP project to serve as a national model and

offer new and practical insights into the use of network technologies.

TOP emphasizes the application of technology to meet people's needs,

and not simply on the technology as an end in itself. Therefore, each

project should identify specific problems or needs in a community, use

network technologies to offer concrete solutions, and produce

measurable outcomes.

A TOP project is more than simply adding technology to address a

problem, or incrementally modify an existing process. Projects are

expected to apply technology creatively and, in so doing, bring about

meaningful changes in how services are provided and in the

relationships between an organization and its partners and clients.

For FY 2000, TOP is especially interested in projects developed by

smaller, locally-based organizations that both serve and represent

underserved communities across the nation. For example, these

organizations may include but are not limited to: community-based

organizations; small non-profits; colleges and universities serving

rural communities; Minority Serving Institutions; and organizations

representing Empowerment Zones and Enterprise Communities.6

TOP wants to build the capacity of organizations that work closely with

underserved communities. These non-profits often are able to understand

the local dynamics that are helpful in defining the problems and

creating community-driven, successful solutions.

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

\6\ Minority Serving Institutions include Historically Black

Colleges and Universities, Hispanic Serving Institutions, and Tribal

Colleges and Universities.

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

For the FY 2000 grant competition, TOP is also especially

interested in projects that propose to use advanced network

technologies to enhance the quality and efficiency of services

delivered through non-profit organizations. Driven by research efforts

in the private sector, academia, and the federal government,

technological advances promise to improve significantly the quality of

today's networks. For example, broadband networks will afford the

opportunity to deliver immense amounts of data quickly to the desktop,

and emerging wireless networks will give end users greater flexibility

in how and when they can access information. TOP encourages applicants

to explore creatively the potential of these and other advanced

technologies.

In previous fiscal years, NTIA supported planning projects whose

primary goal was to develop strategies for the development of

information infrastructure applications. Due to the limited amount of

funds available to the program, the emphasis for Fiscal Year 2000 is on

projects that deploy, use, and evaluate the use of information

infrastructure applications. NTIA will, however, support projects that

incorporate some planning activities as part of the proposed project.

In FY 2000, TOP will support projects in four application areas:

Community Networking and Services, Lifelong Learning and the Arts,

Health, and Public Safety.7 Each application will be

reviewed with other applications in the same area. TOP is especially

interested in projects that cut across application areas to better

serve the needs of individuals and communities. Because multiple

organizations often share the same end users, TOP encourages

applications in which the use of network technology enables partners in

different disciplines (e.g., health, education, and public safety) to

share information. For example, local government and community-based

organizations that work to serve the same families could benefit by

increasing coordination and information sharing through the use of

network technology.

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

\7\ Please note that this year, TOP has combined the FY 1999

application areas of Community Networking and Public Services into a

single application area.

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

The four application areas are described below.

Community Networking and Services

Community Networking and Services encompasses Community Networking

and Public Services which, in previous years, constituted separate

application areas.

Projects in this area provide innovative approaches to strengthen

communities, deliver services to people in need, and address the needs

of special communities, such as seniors or individuals with

disabilities. Community Networking and Services focuses on an array of

projects that enable a broad range of community residents and

organizations to communicate and share information; to improve the

delivery of vital social and administrative services to individuals

with a range of needs; to enhance economic and community development

through the coordination, delivery, and redefinition of vital services;

and to participate in civic activities.

Examples of Community Networking and Services projects may include,

but would not be limited to: community information systems that allow

end users to draw upon an expanding variety of information resources

and customize the output to meet specific goals; online mechanisms for

social services delivery that allow multiple

[[Page 684]]

stakeholder organizations to link services, where appropriate, and

thereby reduce overall administrative burdens on themselves and their

clients; innovative access models that create mechanisms for reaching

out to populations whose access to information tools may have been

limited, or prevented, by geographic barriers, economic distress,

linguistic or acculturation problems, age, or simple distance; economic

development models that use information technologies to promote self-

sufficiency among individuals and families and or employ emerging

technologies to capture and share demographic and/or environmental

information to allow community groups and individuals to devise

creative strategies for economic revitalization.

Lifelong Learning and the Arts

Projects in this area seek to improve education and training for

learners of all ages and provide cultural enrichment through the use of

information infrastructure in both traditional and non-traditional

settings. While TOP will continue to support a full range of projects

in the Lifelong Learning and the Arts application area, this year TOP

is particularly interested in projects which use network-based

technology to deliver training and instruction to lifelong learners in

non-traditional settings such as homes, community centers, and

workplaces.

Examples of Lifelong Learning and the Arts projects may include,

but would not be limited to: projects that explore creative

partnerships among schools, libraries, museums, colleges, or

universities to deliver network-based learning resources; projects

linking workplaces and job-training sites to educational institutions;

projects that enrich communities by delivering on-line informational,

educational, and cultural services from public libraries, museums, and

other cultural centers; and projects that allow users to collaborate in

the creation of cultural works or participate actively in meaningful

on-line learning exchanges.

Health

Projects in this area involve the use of information infrastructure

in the delivery of health care and public health services.

Examples of Health projects may include, but would not be limited

to: systems that improve the social and medical models of care to

consumers in their place of residence; telemedicine systems that offer

integrated approaches to extending and integrating medical and dental

expertise to rural or underserved urban areas or non-traditional

settings; projects designed to improve communication, collaboration and

knowledge among and between health care providers and patients to

empower consumers to participate jointly in their health care; projects

to improve access and timeliness of care for those in emergency

situations and explore various methods to extend services beyond the

emergency room; projects that integrate technology to assess community

needs and develop innovative health technology models of care delivery

across the care continuum; projects that integrate triage mechanisms

into improving care delivery for the uninsured, under insured, and low

income populations; and networks or information services aimed at

disease prevention and health promotion.

Public Safety

Projects in this area will seek to increase the effectiveness of

law enforcement agencies, the court system, emergency, rescue, and fire

departments, or other entities involved in providing safety services

that respond to, prevent, or intervene in crises.

Examples of Public Safety projects may include, but would not be

limited to: projects that facilitate information exchange among public

safety agencies located in single or multiple geographic areas to

increase efficiency and share resources, including spectrum resources;

projects that provide information in a timely manner to ``first-

response officials'' and assist agencies in on-the-spot situation

analysis; projects that advance the capabilities of public safety

agencies to identify individuals involved in incidents; applications

that reduce risks to responding units and the public; projects that

help public safety agencies provide community outreach services; and

projects that aim to increase the safety and security of children and

reduce domestic violence.

Limitations on Project Scope

Projects funded by TOP must meet the Program Funding Priorities

described in this Notice. Projects must involve innovative approaches

to the delivery of useful, practical services in real-world

environments within the grant award period. Listed below are types of

projects TOP will not support in Fiscal Year 2000.

(1) One-Way Networks. TOP will not support construction or

extensions of one-way networks, that is, networks that deliver

information to a passive audience; all networks and services proposed

for TOP support must be interactive.8 For example, TOP will

not fund one-way broadcast systems, tape duplication and/or delivery

projects, or any project that does not permit the end user in some

fashion to select the information he or she will receive.

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

\8\ ``Interactivity'' is defined as the capacity of a

communications system to allow end users to communicate directly

with other users, either in real time (as in a video teleconference)

or on a store-and-forward basis (as with electronic mail), or to

seek and gain access to information on an on-demand basis, as

opposed to a broadcast basis.

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

(2) Single-Organization Projects. TOP will not support projects

whose primary emphasis is on the internal communications needs of a

single organization, even if the organization has a considerable number

of offices in different cities or regions of the country. For example,

TOP will not consider projects that create or expand Local Area

Networks or internal e-mail systems whose end users are principally, or

exclusively, staff members of a single organization. However, TOP will

support applications that extend communications among multiple

organizations and agencies within a governmental jurisdiction. Projects

should, to the maximum degree feasible, include appropriate

partnerships, with plans for inter-organizational communications among

the partners.

(3) Replacement or Upgrade of Existing Facilities. TOP will not

support any projects whose purpose is to upgrade or replace existing

systems, add workstations or servers to existing networks, or complete

the installation of a network.

In addition, TOP will not support projects whose primary purpose is

to develop content, hardware, or software, to provide training on the

use of the information infrastructure, or to build voice-based systems.

(1) Content Development Projects. Many projects necessarily involve

some modification or development of content.9 Therefore, TOP

will support projects in which the creation or conversion of content is

part of a larger effort to utilize information infrastructure

technologies to address real-world problems. However, TOP will not

support projects whose primary purpose is to develop data resources, or

in any other way produce information content. For example, TOP will not

consider projects which are designed only to develop curriculum, create

databases, convert existing paper-based information to a digital

format, digitize

[[Page 685]]

existing graphics collections, or establish World Wide Web sites.

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

\9\ ``Content development'' refers to the creation of

information resources, such as databases or World Wide Web sites,

for the purpose of dissemination through one or more on-line

services.

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

(2) Hardware or Software Development Projects. Some projects may

require limited software development or the customization or

modification of existing software or hardware in order to meet

particular end-user requirements or to enable the exchange of

information across networks. However, the creation of a software or

hardware product cannot be a project's primary purpose.

(3) Training Projects. While TOP does consider training to be an

essential aspect of most implementation projects, TOP will not support

projects whose primary purpose is to provide training in the use of

software applications, Internet use, or other use of information

infrastructure.

(4) Voice-based Systems. Two-way, interactive voice networks are an

important element of the existing information infrastructure. Voice as

a means for conveying information and voice input tools play critical

roles in ensuring people with disabilities have access to network

technology. However, TOP will not support projects whose primary

purpose is to either build or install voice-based communication

networks such as call centers, two-way radio networks, or 800 MHz radio

systems.

Review Criteria

Reviewers will review and rate each application using the following

criteria. The relative weights of each criterion are identified in

parentheses.

1. Project Purpose (15%)

Each application will be judged on the overall purpose of the

proposed project and its potential impact on a community. In assessing

the ``Project Purpose,'' reviewers will examine the degree to which the

applicant clearly: defines the problem(s) within the community to be

served and describes its severity; proposes creative and practical

means of addressing the community's problem(s) employing network

technologies; and identifies anticipated outcomes and potential impacts

that are both realistic and measurable. Reviewers will also assess the

degree to which an applicant convincingly links the three major

elements--problem(s), solution(s), and outcomes.

Reviewers will assess the degree to which the project targets

underserved communities and populations, and the degree to which the

proposed project will address the circumstances and levels of distress

(such as poverty, high unemployment, low educational achievement, high

crime rate, poor health status, etc.) they face.

2. Innovation (15%)

As noted in the section on ``Program Funding Priorities,''

reviewers will assess innovation broadly, examining both the technology

to be used and the application of technology in a particular setting,

to serve a particular population, or to solve a particular problem.

Reviewers will also assess the degree to which the project would bring

about new and practical changes in how the applicant provides services

and enhances relationships between its partners and clients.

When rating the degree to which an application demonstrates

innovation, reviewers will use their experience as experts in their

respective fields to determine whether a proposed project introduces a

unique or new approach and extends the state-of-the-art in a given

application area. Reviewers will examine each project in a national

context and ask: (1) how an application compares with, complements, or

improves upon other activities in a given application area, and (2)

what insight(s) a proposed project could add to what is known about

using network technologies in a given application area.

3. Diffusion Potential (15%)

The innovations and approaches to be demonstrated in any proposed

project should contain the potential to be diffused broadly throughout

the country. NTIA expects that each awarded project will serve as a

model for other communities to follow.

To assess this potential for diffusion, reviewers will consider

four factors:

(1) the degree to which the problem identified by the applicant is

common to many communities;

(2) the relative advantage of the project's innovations over

established approaches to addressing the specified problems;

(3) the ease of replication and adaptation, based on considerations

such as cost and complexity; and

(4) the applicant's plans to disseminate actively the knowledge

gained from the project's successes and failures.

4. Project Feasibility (15%)

In assessing the feasibility of each application, reviewers will

focus on four issues: the technical approach, the qualifications of the

project staff, the proposed budget and the implementation schedule, and

the applicant's plan for sustaining the project beyond the grant

period.

In assessing technical approach, reviewers will examine how the

proposed system would work, how it would operate with other systems,

technological alternatives that have been considered, designs for

system maintenance, periodic upgrades, and plans to adapt to unforeseen

developments. Applicants are expected to make use of existing

infrastructure and commercially available telecommunications services,

unless extraordinary circumstances require the construction of new

network facilities.

In assessing the qualifications of the project team, reviewers will

assess the applicant and its partners to determine if they have the

resources, expertise, and experience necessary to undertake, evaluate,

and complete the project and disseminate results within the proposed

period.

Reviewers will analyze the budget in terms of clarity and cost-

effectiveness. The proposed budget should be appropriate to the tasks

proposed and sufficiently detailed so that reviewers can easily

understand the relationship of items in the budget to the project

narrative. Reviewers also will assess the degree to which the

implementation process is comprehensive and reasonable.

Finally, reviewers will examine the potential long-term viability

of the applicant's plans. Reviewers will consider the economic

circumstances of the community or communities to be served by the

proposed project and the applicant's strategies to sustain the project

after the completion of the grant.

5. Community Involvement (15%)

Each application will be rated on the overall level of community

involvement in the development and implementation of the proposed

project. Reviewers will examine the breadth of community involvement to

ensure it includes the development of partnerships among unaffiliated

organizations, from the public, non-profit, or private sectors, as an

integral part of each project.10 TOP considers partners to

be organizations that supply cash or in-kind resources and/or play an

active role in the planning and implementation of the project.

Reviewers will:

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

\10\ ``Unaffiliated'' organizations are institutions that do not

have formal associations or existing relationships with the

applicant.

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

(1) examine the steps the applicant has taken to engage and sustain

the involvement of a variety of community stakeholders. Reviewers will

look for evidence of demand, from the community, the end users, and the

[[Page 686]]

potential beneficiaries, for the services proposed by the project;

(2) consider the degree of attention paid to the needs, skills,

working conditions, and living environments of the targeted end

users.11 Reviewers will also consider the extent to which

applicants involve representatives from a broad range of potential

users in both the design and implementation of the project and consider

the varying degrees of abilities of all end users, including

individuals with disabilities;

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

\11\ An ``end user'' is one who customarily employs or seeks

access to, rather than provides, information infrastructure. An end

user may be a consumer of information (e.g., a member of the public

employing a touch-screen public access terminal); may be involved in

an interactive communication with other end users; or may use

information infrastructure to provide services to the public.

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

(3) assess the applicant's plans for training end users, upgrading

their skills, and building community awareness and knowledge of the

project;

(4) evaluate the steps applicants have taken to involve and

document the support of a variety of stakeholder groups and

organizations; and

(5) examine the applicant's efforts to safeguard the privacy of the

project's end users and beneficiaries.12 In circumstances

where proprietary or sensitive individual data are involved, reviewers

will closely examine the applicant's strategies for addressing the

privacy and confidentiality of user information.

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

\12\ Project beneficiaries are those individuals or

organizations deriving benefits from a project's outcome(s). A

project beneficiary may also, but not necessarily, be a project end

user.

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

6. Reducing Disparities (15%)

Reviewers will assess the degree to which each application

addresses barriers which limit a community's or a group's access to the

information infrastructure. These barriers may be technological,

geographic, economic, physical, linguistic, or cultural. For example,

(1) a rural community may be geographically isolated from

information resources and lack local technical expertise to help

install and manage the network infrastructure;

(2) an inner city neighborhood may contain large numbers of

potential end users who lack the technical expertise and financial

resources to access the information infrastructure; or

(3) people with disabilities may need a variety of special hardware

or software interfaces to facilitate their use of the information

infrastructure.

Reviewers will assess evidence of community need in terms of access

to telecommunications and network resources and the applicant's

proposed strategies for overcoming barriers to the access and use of

information technologies. Reviewers will focus on the applicant's

strategies for reaching out to targeted groups and for tailoring

services which address the learning mechanisms, attitudes, abilities,

and customs of the community.

7. Evaluation and Documentation (10%)

Each application will be rated on its potential to evaluate and

document the effectiveness and efficiency of the proposed solution(s)

and anticipated outcome(s) of the project.

Reviewers will assess the degree to which the evaluation links to

the overall formulation of project goals and objectives (i.e., the

problem, solution, and anticipated outcomes identified in the ``Project

Purpose'' section) and the Review Criteria treated below.

Applicants will be rated on the extent to which their documentation

plans include effective record keeping strategies that will assist in

the applicant's assessment of the project and facilitate future

evaluations of the applicant's efforts.

When examining an applicant's proposed evaluation efforts,

reviewers will assess the evaluation design, the implementation plan

for the evaluation, and the allocation of resources (i.e., budget,

staff, and management) for evaluation. Reviewers will also analyze the

evaluation questions; the methodological approach for answering the

evaluation questions; how data will be collected; and how the data will

be analyzed. Finally, reviewers will assess the qualifications of any

proposed evaluators.

Eligible Costs

Eligible Costs. Allowable costs incurred under approved projects

shall be determined in accordance with applicable federal cost

principles, i.e., OMB Circular A-21, A-87, A-122, or Appendix E of 45

C.F.R. Part 74. If included in the approved project budget, TOP will

allow costs for personnel; fringe benefits; computer hardware,

software, and other end-user equipment; telecommunication services and

related equipment; consultants, evaluators, and other contractual

services; travel; rental of office equipment, furniture, and space; and

supplies. All costs must be reasonable and directly related to the

project.

Indirect Costs. The total dollar amount of the indirect costs

proposed in an application under this program must not exceed the

indirect cost rate negotiated and approved by a cognizant federal

agency or 100 percent of the total proposed direct costs dollar amount

in the application, whichever is less.

Ineligible Costs

Costs associated with the construction or major renovation of

buildings are not eligible. While costs for the construction of new

network facilities are eligible costs, applicants are expected to make

use of existing infrastructure and commercially available

telecommunications services. Only under extraordinary circumstances

will the construction of new network facilities be approved. Costs of

the professional services, such as instruction, counseling, or medical

care, provided via a network supported through this program are not

eligible.

Note that costs that are ineligible for TOP support may not be

included as part of the applicant's matching fund contribution.

In addition, the Appropriations for Fiscal Year 2000 places

restrictions on eligible costs for applicants that are recipients of

Universal Service Fund discounts and applicants receiving assistance

from the Department of Justice's Regional Information Sharing Systems

Program as part of the project costs. This statute provides:

That notwithstanding any other provision of law, no entity that

receives telecommunications services at preferential rates under

section 254(h) of the Act (47 U.S.C. 254(h)) or receives assistance

under the regional information sharing systems grant program of the

Department of Justice under part M of title I of the Omnibus Crime

Control and Safe Streets Act of 1968 (42 U.S.C. 3796h) may use funds

under a grant under this heading to cover any costs of the entity that

would otherwise be covered by such preferential rates or such

assistance, as the case may be.13

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

\13\ Title II of the Commerce, Justice, and State Appropriations

Act for Fiscal Year 2000, Incorporated by Reference in the

Consolidated Appropriations Act for FY 2000, Pub. L. No. 106-113,

``Division B, Section 1000(a)(1).''

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

Accordingly, recipients of the above-described preferential rates

or assistance are prohibited from including any costs that would be

covered by such preferential rates or assistance in their proposed TOP

grant budget.

Award Period

Successful applicants will have between 12 and 36 months to

complete their projects. While the completion time will vary depending

on the complexity of the project, NTIA has found that most grant

recipients require at least two years to complete and fully evaluate

their projects. Accordingly,

[[Page 687]]

NTIA encourages applicants to propose projects that last two to three

years.

Selection Process

NTIA will publish a notice in the Federal Register listing all

applications received by TOP. Listing an application in such a notice

merely acknowledges receipt of an application that will compete for

funding with other applications. Publication does not preclude

subsequent return or disapproval of the application, nor does it ensure

that the application will be funded. The selection process will last

approximately six months and involves four stages:

(1) During the first stage, each eligible application will be

reviewed by a panel of outside readers, who have demonstrated expertise

in both the programmatic and technological aspects of the application.

The review panels will evaluate applications according to the review

criteria provided in this Notice and make non-binding written

recommendations to the program.

(2) Upon completion of the external review process, program staff

may analyze applications as necessary. Program staff analysis will be

based on the degree to which a proposed project meets the program's

funding scope as described in the section entitled ``Limitations on

Project Scope;'' the eligibility of costs and matching funds included

in an application's budget; and the extent to which an application

complements or duplicates projects previously funded or under

consideration by NTIA or other federal programs.14 The

analysis of program staff will be provided to the TOP Director in

writing.

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

\14\ See discussion of ``Eligible Costs'' and ``Matching Funds

Requirements'' in this Notice.

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

The TOP Director then prepares and presents a slate of recommended

grant awards to the Office of Telecommunications and Information

Applications' (OTIA) Associate Administrator for review and

approval.15 The Director's recommendations and the Associate

Administrator's review and approval will take into account the

following selection factors:

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

\15\ The Office of Telecommunication and Information

Applications is the division of the National Telecommunications and

Information Administration that supervises NTIA's grant awards

programs.

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

1. the evaluations of the outside reviewers;

2. the analysis of program staff;

3. the degree to which the proposed grants meet the program's

priorities as described in the section entitled ``Program Funding

Priorities;''

4. the geographic distribution of the proposed grant awards;

5. the variety of technologies and strategies employed by the

proposed grant awards;

6. the extent to which the proposed grant awards represent a

reasonable distribution of funds across application areas;

7. the promotion of access to and use of the information

infrastructure by rural communities and other underserved groups;

8. avoidance of redundancy and conflicts with the initiatives of

other federal agencies; and

9. the availability of funds.

(3) Upon approval by the OTIA Associate Administrator, the

Director's recommendations will then be presented to the Selecting

Official, the NTIA Administrator. The NTIA Administrator selects the

applications to be negotiated for possible grant award taking into

consideration the Director's recommendations and the degree to which

the slate of applications, taken as a whole, satisfies the selection

factors described above and the program's stated purposes as set forth

in the section entitled ``Program Purposes.''

(4) After applications have been selected in this manner,

negotiations will take place between TOP staff and the applicant. These

negotiations are intended to resolve any differences that exist between

the applicant's original request and what TOP proposes to fund, and if

necessary, to clarify items in the application. Not all applicants who

are contacted for negotiation will necessarily receive a TOP award.

Final selections made by the Administrator will be based upon the

recommendations by the Director and the OTIA Associate Administrator

and the degree to which the slate of applications, taken as a whole,

satisfies the program's stated purposes as set forth in the section

entitled ``Program Purposes,'' upon the conclusion of negotiations.

Use of Program Income

Applicants are advised that any program income generated by a

proposed project is subject to special conditions. Anticipated program

income must be documented appropriately in the project budget. In

addition, should an application be funded, unanticipated program income

must be reported to TOP, and the budget for the project must be

renegotiated to reflect receipt of this program income. Program income

means gross income earned by the recipient that is either directly

generated by a supported activity, or earned as a result of the award.

In addition, federal policy prohibits any recipient or subrecipient

receiving federal funds from the use of equipment acquired with these

funds to provide services to non-federal outside organizations for a

fee that is less than private companies charge for equivalent services.

This prohibition does not apply to services provided to outside

organizations at no cost.

Policy on Sectarian Activities

Applicants are advised that on December 22, 1995, NTIA issued a

notice in the Federal Register on its policy with regard to sectarian

activities. Under NTIA's policy, while religious activities cannot be

the essential thrust of a grant, an application will not be ineligible

where sectarian activities are only incidental or attenuated to the

overall project purpose for which funding is requested. Applicants for

whom this policy may be relevant should read the policy that was

published in the Federal Register at 60 FR 66491, Dec. 22, 1995.

Waiver Authority

It is the general intent of NTIA not to waive any of the provisions

set forth in this Notice. However, under extraordinary circumstances

and when it is in the best interest of the federal government, NTIA,

upon its own initiative or when requested, may waive the provisions in

this Notice. Waivers may only be granted for requirements that are

discretionary and not mandated by statute. Any request for a waiver

must set forth the extraordinary circumstances for the request and be

included in the application or sent to the address provided in the

Addresses section above. NTIA will not consider a request to waive the

application deadline for an application until the application has been

received.

Other Information

Electronic Information. Information about NTIA and TOP, including

this document and the Guidelines for Preparing Applications--Fiscal

Year 2000, can be retrieved electronically via the Internet using the

World Wide Web. Use http://www.ntia.doc.gov to reach the NTIA home page

and follow directions to ``Grants.'' TOP can also be reached via

electronic mail at [email protected]

Application Forms. Standard Forms 424 (OMB Approval Number 0348-

0044), Application for Federal Assistance; 424A (OMB Approval Number

0348-0043), Budget Information--Non-Construction Programs; and 424B

(OMB Approval Number 0348-0040), Assurances--Non-

[[Page 688]]

Construction Programs, (Rev 4-92), and other Department of Commerce

forms shall be used in applying for financial assistance. These forms

are included in the Guidelines for Preparing Applications--Fiscal Year

2000, which can be obtained by contacting NTIA by telephone, fax, or

electronic mail, as described in the ADDRESSES section above. TOP

requests one original and five copies of the application. Applicants

for whom the submission of five copies presents financial hardship may

submit one original and two copies of the application. Notwithstanding

any other provision of law, no person is required to respond to nor

shall a person be subject to a penalty for failure to comply with a

collection of information subject to the requirements of the Paperwork

Reduction Act unless that collection of information displays a

currently valid OMB control number. In addition, all applicants are

required to submit a copy of their application to their state Single

Point of Contact (SPOC) offices, if they have one. For information on

contacting state SPOC offices, refer to the Guidelines for Preparing

Applications--Fiscal Year 2000.

Because of the high level of public interest in projects supported

by TOP, the program anticipates receiving requests for copies of

successful applications. Applicants are hereby notified that the

applications they submit are subject to the Freedom of Information Act.

To assist NTIA in making disclosure determinations, applicants may

identify sensitive information and label it ``confidential.''

Type of Funding Instrument. The funding instrument for awards under

this program shall be a grant.

Federal Policies and Procedures. Recipients and subrecipients are

subject to all applicable federal laws and federal and Department of

Commerce policies, regulations, and procedures applicable to federal

financial assistance awards.

Pre-Award Activities. If an applicant incurs any project costs

prior to the project start date negotiated at the time the award is

made, it does so solely at its own risk of not being reimbursed by the

government. Applicants are hereby notified that, notwithstanding any

oral or written assurance that they may have received, there is no

obligation on the part of the Department of Commerce to cover pre-award

costs.

No Obligation for Future Funding. If an application is selected for

funding, the Department of Commerce has no obligation to provide any

additional future funding in connection with that award. Renewal of an

award to increase funding or extend the period of performance is at the

total discretion of the Department of Commerce.

Past Performance. Unsatisfactory performance of an applicant under

prior federal financial assistance awards may result in that

applicant's proposal not being considered for funding.

Delinquent Federal Debts. No award of federal funds shall be made

to an applicant who has an outstanding delinquent federal debt until:

1. The delinquent account is paid in full;

2. A negotiated repayment schedule is established and at least one

payment is received; or

3. Other arrangements satisfactory to the Department of Commerce

are made.

Purchase of American Made Products. Applicants are hereby notified

that any equipment or products authorized to be purchased with funding

provided under this program must be American-made to the maximum extent

feasible.

Name Check Review. All non-profit applicants are subject to a name

check review process. Name checks are intended to reveal if any key

individuals associated with the applicant have been convicted of or are

presently facing criminal charges such as fraud, theft, perjury, or

other matters that significantly reflect on the applicant's management,

honesty, or financial integrity.

Primary Applicant Certifications. All primary applicants must

submit a completed Form CD-511, ``Certifications Regarding Debarment,

Suspension and Other Responsibility Matters; Drug-Free Workplace

Requirements and Lobbying,'' and the following explanations are hereby

provided:

1. Nonprocurement Debarment and Suspension--Prospective

participants (as defined at 15 CFR part 26, section 105) are subject to

15 CFR part 26, ``Nonprocurement Debarment and Suspension'' and the

related section of the certification form prescribed above applies;

2. Drug-Free Workplace--Grantees (as defined at 15 CFR part 26,

section 605) are subject to 15 CFR part 26, subpart F, ``Government

wide Requirements for Drug-Free Workplace (Grants)'' and the related

section of the certification form prescribed above applies;

3. Anti-Lobbying--Persons (as defined at 15 CFR part 28, section

105) are subject to the lobbying provisions of 31 U.S.C. 1352,

``Limitation on use of appropriated funds to influence certain federal

contracting and financial transactions,'' and the lobbying section of

the certification form prescribed above applies to applications/bids

for grants, cooperative agreements, and contracts for more than

$100,000, and loans and loan guarantees for more than $150,000, or the

single family maximum mortgage limit for affected programs, whichever

is greater; and

4. Anti-Lobbying Disclosure--Any applicant that has paid or will

pay for lobbying in connection with a covered federal action, such as

the awarding of any federal contract, the making of any federal grant,

the making of any federal loan, the entering into of any cooperative

agreement, or the extension, continuation, renewal, amendment, or

modification of any federal contract, grant, loan, or cooperative

agreement using any funds must submit an SF-LLL, ``Disclosure of

Lobbying Activities'' (OMB Control Number 0348-0046), as required under

15 CFR part 28, appendix B.

Lower Tier Certifications. Recipients shall require applicants/

bidders for subgrants, contracts, subcontracts, or other lower tier

covered transactions at any tier under the award to submit, if

applicable, a completed Form CD-512, ``Certifications Regarding

Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier

Covered Transactions and Lobbying'' and disclosure form SF-LLL,

``Disclosure of Lobbying Activities.'' Form CD-512 is intended for the

use of recipients and should not be transmitted to DOC. SF-LLL

submitted by any tier recipient or subrecipient should be submitted to

DOC in accordance with the instructions contained in the award

document.

False Statements. A false statement on an application is grounds

for denial or termination of funds and grounds for possible punishment

by a fine or imprisonment as provided in 18 U.S.C. 1001.

Intergovernmental Review. Applications under this program are

subject to Executive Order 12372, ``Intergovernmental Review of Federal

Programs.'' It has been determined that this notice is a ``not

significant'' rule under Executive Order 12866.

Bernadette McGuire-Rivera,

Acting Deputy Assistant Secretary for Communications and Information.

[FR Doc. 00-234 Filed 1-4-00; 8:45 am]

BILLING CODE 3510-60-P