CFDA: 11.552; Telecommunications and Information Infrastructure Assistance Program

DEPARTMENT OF COMMERCE

National Telecommunications and Information Administration

Docket No. 970103002-7304-03

RIN: 0660-ZA02

CFDA: 11.552; Telecommunications and Information Infrastructure

Assistance Program

AGENCY: National Telecommunications and Information Administration,

Commerce.

ACTION: Notice of availability of funds.

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SUMMARY: The National Telecommunications and Information Administration

(NTIA) issues this notice describing the conditions under which

applications will be received under the Telecommunications and

Information Infrastructure Assistance Program (TIIAP) and how NTIA will

determine which applications it will fund. TIIAP assists eligible

organizations by promoting 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, multimedia information infrastructure that is accessible

to all Americans, in rural as well as urban areas.

DATES: Complete applications for the Fiscal Year 1998 TIIAP 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 12, 1998.

ADDRESSES: Applications must be mailed to:

Telecommunications and Information Infrastructure Assistance 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:

Telecommunications and Information Infrastructure Assistance 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

Telecommunications and Information Infrastructure Assistance Program,

Telephone: 202/482-2048. Fax: 202/501-5136. E-mail: [email protected].

SUPPLEMENTARY INFORMATION:

Program Purposes

NTIA announces the fifth annual round of a competitive matching

grant program, the Telecommunications and Information Infrastructure

Assistance Program (TIIAP). TIIAP was created to promote the

development, widespread availability, and use of advanced

telecommunications and information technologies to serve the public

interest.

To accomplish this objective, TIIAP will provide matching grants to

state, local, and tribal 1 governments; non-profit health

care providers and public health institutions; schools; libraries;

museums; colleges; universities; public safety providers; non-profit

community-based organizations; and other non-profit entities. TIIAP

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

access to, cultural, education, 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

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

development within communities, both rural and urban.

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\1\ American Indian Tribes and Alaska Native Villages.

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Authority

Title II of the Department of Commerce, Justice and State, the

Judiciary and Related Agencies Appropriations Act of 1998 (set out in

Pub L. 105-119, 111 Stat 2440).

Funding Availability

Approximately $17 million is available for federal assistance. A

small amount of additional funds that has been deobligated from grants

awarded in previous fiscal years may also be available for Fiscal Year

1998 grants. Based on past experience, NTIA expects this year's grant

round to be highly competitive. In Fiscal Year 1997, NTIA received more

than 900 applications collectively requesting $354 million in grant

funds. From these applications, the Department of Commerce announced 55

TIIAP awards totaling $20.9 million in federal funds.

Based on previous grant rounds, TIIAP anticipates that the average

size of a grant award will be approximately $350,000. An applicant may

request up to $750,000 in total federal support over a period of up to

three years.

Eligible Organizations

State, local, and tribal governments; colleges and universities;

and non-profit entities are eligible to apply. Although individuals and

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

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. Federal funds (such as grants) generally may not be used as

matching funds, except as provided by federal statute. If funds from a

federal agency are to be used, the applicant 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.

Universal Service Discounts

On May 8, 1997, the Federal Communications Commission (FCC)

released a Report and Order on Universal Service. Section 254(h) of the

Communications Act of 1934 (the Act), also known as the Snowe-

Rockefeller-Exon-Kerrey Amendment, requires that schools, libraries,

and public and non-profit rural health care providers receive access to

telecommunications services at discounted rates. NTIA requires that all

TIIAP awardees eligible for the discounts under section 254(h) of the

Act apply for all available discounts prior to purchasing

telecommunications services with grant funds. Neither federal funds nor

matching funds may be used to cover costs that could be avoided through

the use of available discounts. In addition, the discounts received

through the Universal Service Fund may not be used as matching

contributions.

Use of Program Income

Applicants are advised that any program income generated by a

proposed project is subject to special conditions. Anticipated program

income

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must be documented appropriately in the project budget. In addition,

should an application be funded, unanticipated program income must be

reported to TIIAP 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 regulations prohibit any recipient or subrecipient receiving

federal funds from using 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.

Completeness of Application

TIIAP 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 1998. 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 1998

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

EST, March 12, 1998. Postmark date is not sufficient. Applications

which have been provided to a delivery service on or before March 11,

1998, with ``delivery guaranteed'' before 9:00 P.M. on March 12, 1998,

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 machine transmission or

electronic mail. NTIA anticipates that it will take between four and

six months to complete the review of applications and make final

funding decisions.

Scope of Proposed Project

Projects funded by TIIAP 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. In Fiscal Year 1998, TIIAP

will not support the following kinds of projects:

One-Way Networks

TIIAP will not support construction or augmentation of one-way

networks, that is, networks which deliver information to a passive

audience; all networks and services proposed for TIIAP support must be

interactive.2 For example, TIIAP will not fund one-way

broadcast systems, tape duplication and/or delivery projects, or any

project which does not permit the end user in some fashion to select

the information he or she will receive.

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\2\ ``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.

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Single-Organization Projects

TIIAP will not support projects whose primary emphasis is on the

internal communications needs of a single organization, even if the

organization may have a considerable number of offices in different

cities or regions of the country. For example, TIIAP 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, TIIAP 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,3 with plans for

inter-organizational communications among the partners.

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\3\ A ``partner'' is defined as an organization that supplies

cash or in kind resources and/or plays an active role in the

planning and implementation of the project.

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Replacement or Upgrade of Existing Facilities

TIIAP 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, NTIA will not support projects whose primary purpose

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

the use of the information infrastructure.4 TIIAP will,

however, support projects that include elements of content

development,5 training, and hardware and software

development, as long as they are integral to a broader project that

will deploy and use information infrastructure to address community

problems.

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\4\ ``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.

\5\ ``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.

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Content Development Projects

Many projects necessarily involve some modification or development

of content. Therefore, TIIAP 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, TIIAP will not support projects whose primary activity is to

develop data resources, or in any other way produce information

content. For example, TIIAP will not consider projects which are

designed only to develop curriculum, create databases, convert existing

paper-based information to a digital format, digitize existing graphics

collections, or establish World Wide Web sites.

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 activity.

Training Projects

TIIAP will not support projects whose primary activity is to

provide training in the use of information infrastructure technology.

TIIAP does consider training to be an essential aspect of most

implementation projects; therefore, a training component is, in most

cases, a necessity. However, TIIAP will not support projects which

propose nothing more than instruction on software

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applications, Internet use, or other use of information infrastructure.

Program Funding Priorities

NTIA is committed to supporting 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 National Information Infrastructure (NII).6

NTIA believes that every project supported under TIIAP 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. Underserved

refers to individuals and communities that are subject to barriers that

limit or prevent their access to the benefits of information

infrastructure technologies and services. In terms of information

infrastructure, these barriers may be technological, geographic,

economic, physical, linguistic, or cultural. For example, a rural

community may be physically isolated from circuits adequate to allow

for data access; inner city neighborhoods may contain large numbers of

potential end users for whom ownership of computer hardware is

unlikely; or individuals with disabilities may have the need for

different types of interfaces when manipulating hardware and software.

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\6\ The National Information Infrastructure (NII) is a federal

policy initiative to facilitate and accelerate the development and

utilization of the nation's information infrastructure. The

Administration envisions the NII as a seamless web of communications

networks, computers, databases, and consumer electronics that will

put vast amounts of information at users' fingertips. For more

information on various aspects of the NII initiative, see The

National Information Infrastructure: Agenda for Action, 58 FR 49,025

(September 21, 1993).

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Each project should identify specific problems or needs in a

community, use information infrastructure services and technologies to

offer concrete solutions, and target measurable outcomes. TIIAP's

emphasis is on the application of technology to meet the needs of end

users, and not simply on the technology as an end in itself. In

addition, the development of the NII depends upon the contribution of a

wide variety of skills, ideas, and perspectives. Therefore, TIIAP-

supported projects should, to the greatest degree possible, reach out

to all members of a community and catalyze partnerships to help erase

the distinction between information ``haves'' and ``have-nots.''

NTIA realizes that not every model will work equally well in every

situation or region; therefore, TIIAP will continue to support a

variety of model projects among different application areas, geographic

regions, and underserved populations. However, as already noted, each

application must be innovative in its application of technology.

Innovation can be conceived broadly: it can involve the use of new or

untested network technologies that extend end-user capabilities or

enhance service delivery; an imaginative partnership or organizational

model; a new application of proven technologies; a creative strategy

for overcoming traditional barriers to access; or a new configuration

of existing information resources. As a program with a national focus,

TIIAP expects each project to offer potentially new and useful insights

into the use of network technologies.

Projects must also be exemplary in the sense that they serve as

genuine models that can be emulated, replicated, or adapted to local

conditions by other organizations and communities facing similar

challenges. For this reason, many excellent projects proposed to TIIAP

may not be considered competitive either because they (1) focus on a

problem or issue that confronts only a single applicant organization;

(2) can only be replicated at a prohibitively high cost; or (3) propose

a conventional approach that, while new to the applicant, has been

demonstrated or attempted in similar circumstances. Moreover, in order

to add to the national understanding of how the NII can be used to

benefit the public and facilitate widespread diffusion of lessons

learned from TIIAP projects, each application must include a rigorous

evaluation plan and effective documentation and dissemination

strategies.

In some previous fiscal years, TIIAP has supported planning

projects whose primary goal was to develop strategies for the enhanced

application of existing NII technologies, rather than for the actual

deployment or use of information infrastructure. Due to the limited

amount of funds available to the program, the emphasis for Fiscal Year

1998 is on projects that deploy, use, and evaluate the use of

information infrastructure applications. NTIA will, however, also

consider allocating a limited amount of funds to support outstanding

planning projects that explore potential uses of next generation

network technologies in an application area. Applications for such

projects will be evaluated against the same criteria applied to all

other applications.

In Fiscal Year 1998, TIIAP will support projects in five

application areas: Community Networking; Education, Culture, and

Lifelong Learning; Health; Public Safety; and Public Services. Each

application will be reviewed with other applications in the same area.

NTIA recognizes that many innovative projects cross the boundaries

defined by these application areas and involve services and

partnerships that combine different application areas. NTIA encourages

the formation of such cross-cutting linkages.

Community Networking

This area focuses on multi-purpose projects that enable a broad

range of community residents and organizations to communicate, share

information, promote community economic development, and participate in

civic activities. Community Networking projects typically involve

multiple stakeholder organizations that wish to link services, reduce

duplicative record-keeping, simplify and/or expand end-user access to a

variety of information resources, engage in initiatives that would not

have been possible without networking technologies, or provide

information across various application areas within a specific

geographic region.

Examples of Community Networking projects may include, but would

not be limited to: community-wide information and communication

services available to residents of a local community; projects enabling

a diverse array of organizations to share information infrastructure

and resources; and networks or information services that promote

community or regional economic development.

Education, Culture, and Lifelong Learning

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.

Examples of Education, Culture, and Lifelong Learning projects may

include, but would not be limited to: projects that explore creative

approaches to integrating computer-based learning and network resources

in the classroom; projects that forge stronger links among educators,

students, parents, and others in the community; projects linking

workplaces and job-training sites to educational institutions;

innovative distance learning networks providing educational, training,

and literacy opportunities in remote areas; projects that enrich

communities by delivering on-line informational, educational, and

cultural services from public libraries,

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museums, and other cultural centers; and projects that allow users to

collaborate in the creation of artistic works or participate actively

in meaningful online cultural exchanges.

Health

Projects in this area involve the use of information infrastructure

in the delivery of health and home health care services and the

performance of core public health functions.

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

to: systems that improve the care and treatment of patients in the home

environment; telemedicine systems that offer new approaches to

extending medical expertise to rural or underserved urban areas or non-

traditional settings such as schools; projects designed to improve

communication between health care providers and patients and enable

consumers to participate more actively in their health care; projects

to improve treatment of patients in emergency situations and extend

trauma care services beyond the emergency room; 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, emergency, rescue, and fire departments, or

other entities involved in providing safety services that effectively

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 a single or multiple geographic area to

increase efficiency and share resources; projects that provide

information in a timely manner to ``first-response officials,'' such as

police officers, emergency medical technicians, and firefighters;

projects that help public safety agencies provide community outreach

services; projects that develop innovative ways to share scarce

spectrum resources; and projects that aim to increase the safety and

security of children and reduce domestic violence.

Public Services

Projects in this area aim to improve the delivery of services to

people or organizations with a range of social service needs. This area

includes, for example, housing, child welfare, food assistance,

employment counseling, and other services typically delivered by state,

tribal, and local governments or by community-based non-profit

organizations.

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

limited to: projects that use information technology creatively to

promote self-sufficiency among individuals and families; networks that

facilitate coordination and collaboration among public and/or

community-based agencies; electronic information and referral services

that provide information on a variety of community-based or government

services; projects that make public agencies more accessible and

responsive to community residents; electronic benefits transfer

projects; projects that employ geographic information systems to study

demographic or environmental trends and target community strategies;

and projects that focus on the needs of special communities, such as

individuals with disabilities.

Review Criteria

Reviewers will review and rate each application using the following

equally weighted criteria:

1. Project Purpose

Each application will be judged on the overall purpose of the

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

the purpose of the project, applicants must (1) identify a specific

problem(s) or need(s) within the community to be served; (2) propose a

workable and achievable means of addressing the community's problem(s)

employing information infrastructure services and technologies; and (3)

identify anticipated outcomes that are both realistic and measurable.

The project purpose must convincingly link the three major elements--

problem, solution, and outcomes--so that reviewers understand not only

what the applicant proposes to do, but also (1) why the project needs

to be done, (2) how the application will respond to the needs of

targeted end users, and (3) how the community might be changed as a

result of successful implementation of the project.

2. Significance

Each application will be rated on the degree to which the proposed

project demonstrates innovation and is exemplary.

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 novel approach and extends the state-of-the-art in a given

application area. 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 examine each project in a national

context and ask what insight a proposed project will add to what is

known about using network technologies in a given application area and

how a project complements and/or improves upon other activities in

their field.

With respect to identifying exemplary projects, reviewers will

assess the degree to which a project has the potential for widespread

replication. Applicants should describe how the needs or problems they

propose to address are common or of interest to other organizations and

communities. Reviewers will also assess the degree to which a project

can be easily duplicated by or adapted to other organizations and

communities. Applicants should discuss why a project would be easy to

replicate and what types of organizations would be interested in

copying the project.

3. Project Feasibility

Each application will be rated on the overall feasibility of the

proposed project and its plan of implementation. In assessing project

feasibility, reviewers will focus on the following issues: the

technical approach; the qualifications of the applicant team; the

proposed budget and implementation schedule; and the applicant's plan

for sustaining the project beyond the grant period.

The technical approach should be consistent with the vision of a

nationwide, seamless, interactive network of networks and must

therefore address issues of interoperability 7 and

scalability.8 Applications must specify in detail how the

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

the technological alternatives that have been examined, and the plans

for the maintenance and/or upgrading of the system. Applicants are

expected to make use of existing infrastructure and commercially

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available telecommunications services, unless extraordinary

circumstances require the construction of new network facilities.

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\7\ ``Interoperability'' refers to the condition achieved among

information and communication systems when information (i.e., data,

voice, image, audio, or video) can be easily and cost-effectively

shared across acquisition, transmission, and presentation

technologies, equipment, and services.

\8\ ``Scalability'' refers to the ability of a system to

accommodate a significant growth in the size of the system (i.e.,

services provided, end users served) without the need for

substantial redesign. A scalable approach that is demonstrated on a

small scale can also be applied on a larger scale.

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Applicants must describe the qualifications of the project team,

including the applicant and its partners, to show that they have the

resources, expertise, and experience necessary to undertake the project

and complete it within the proposed period.

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

effectiveness. The proposed budget must 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. In addition to a clear and well-justified budget proposal,

each application should contain a proposed implementation schedule that

identifies major project tasks and milestones.

Reviewers will also examine the potential viability of the proposed

project beyond the grant period. Applicants should therefore present a

credible plan, including a discussion of anticipated ongoing expenses

and potential sources of non-federal funds, to sustain the project

after completion of the grant. In evaluating the plan, reviewers will

consider the economic circumstances of the community or communities to

be served by the proposed project.

4. Community Involvement

Each application will be rated on the overall level of community

involvement in the development of the project and the implementation of

the proposed project. Reviewers will pay particular attention to the

partnerships involved, the strength and diversity of support for the

project within the community, and the support for the project's end

users.9

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\9\ 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.

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Community involvement must include the development of partnerships

among unaffiliated organizations, from the public, non-profit, or

private sectors, as an integral part of each project. Partnerships must

be clearly defined, mutually beneficial, and the commitments (including

both cash and in-kind contributions) well documented in the

application. Partners are defined as organizations that supply cash or

in-kind resources and/or play an active role in the planning and

implementation of the project.

Reviewers will examine the steps the applicant has taken to involve

a wide variety of community stakeholders in the planning of the project

and the plans for ongoing community involvement in the project. Each

application should contain evidence of demand, from the community, the

end users, and the potential beneficiaries, for the services proposed

by the project.

Reviewers will consider the degree of attention paid to the needs,

skills, working conditions, and living environments of the targeted end

users. Reviewers will also consider the extent to which applicants

involve representatives from a broad range of potential users and

consider the varying degrees of abilities of all end users, including

individuals with disabilities.

Plans for training end users, upgrading their skills, and building

community awareness and knowledge of the project must be clearly

delineated. The application should also include evidence of a

significant degree of end-user involvement in the design and planning

of projects. NTIA expects applicants to safeguard the privacy of the

end users and beneficiaries 10 of the project. Where

relevant, applications must address the privacy and confidentiality of

user data. For example, an applicant proposing a project dealing with

individually identifiable information (e.g., student grades, medical

records, etc.) will be required to describe the technical and policy

mechanisms to be used for protecting the confidentiality of such

information and the privacy of the individuals involved.

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\10\ 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.

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5. Reducing Disparities

Every project proposed to TIIAP should target underserved

communities specifically and/or reach out to underserved groups within

a broader community. Underserved refers to individuals and communities

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

benefits of information infrastructure and services. In terms of

information infrastructure, these barriers may be technological,

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

rural community may be geographically isolated from information

resources and lack local technical expertise to help install and manage

the network infrastructure; inner city neighborhoods may contain large

numbers of potential end users who lack the financial resources to

access the information infrastructure; or people with disabilities may

need a variety of special hardware or software interfaces to facilitate

their use of the information infrastructure.

Each application will be rated according to the degree to which the

proposed project will serve to reduce disparities in access to

information infrastructure. Reviewers will assess each application by

examining evidence of community need and the applicant's proposed

strategies for overcoming traditional barriers to access. Disparities

in access must be clearly described and supported by specific

quantitative data. Beyond providing service to underserved communities,

each application should also propose strategies for reaching out to

targeted groups and for tailoring any services to their specific needs

and circumstances. These strategies should reflect an understanding of

why the barriers currently exist and a sensitivity to the learning

mechanisms, attitudes, abilities, and customs of the community.

6. Evaluation, Documentation, and Dissemination

Each application will be rated on the quality of its plans for

evaluation, documentation, and dissemination and their potential to

measure both the effectiveness and efficiency of the proposed

solution(s) and the anticipated outcomes of the project. Applications

must include the qualifications of any proposed evaluators and provide

sufficient funds and resources to evaluate the project, document

project activities, and disseminate project findings and lessons

learned.

First, each evaluation plan must include an evaluation design, an

implementation plan for the evaluation, and a discussion of how

resources will be allocated for evaluation (i.e., budget, staffing, and

management). The evaluation design should address the evaluation

questions; the methodological approach for answering the evaluation

questions; how data will be collected; how the data will be analyzed;

and how the evaluation findings will be reported and disseminated. The

evaluation should be linked to the overall formulation of project goals

and objectives; it should relate directly to the problem, solution, and

anticipated outcomes identified in the ``Project Purpose'' section.

Finally, the research questions and data collection plan should take

into account each of the ``Review Criteria'' treated above.

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Documentation includes the basic record keeping for a project that

will be required for analysis of the data and for meaningful reporting

about the project. However, documentation goes beyond data collection

to include information relevant to project history. The documentation

plan should enhance evaluation and aid in information dissemination

about the project. This plan should detail the methods and procedures

of documentation. Although relevant documentation will vary with

program type and application area, documentation should include, for

example, demographic and background information on the population(s) to

be served, implementation barriers, characteristics and descriptions of

project partners, external databases, activity logs, and outreach

efforts. Documentation will be very useful in the preparation of

quarterly and final reports.

Applicants are also required to submit a plan for disseminating the

knowledge gained as a result of implementing their projects. Such plans

may include presentations at professional conferences, workshops, and

symposia; hosting site visits and conferences; publications of findings

in professional journals and World Wide Web sites; and other

dissemination methods.

Selection Process

NTIA will publish a notice in the Federal Register listing all

applications received by TIIAP. 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 selecting process will last

four to 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 ``Scope of Proposed

Projects''; the eligibility of costs and matching funds included in an

application's budget; 11 and the extent to which an

application complements or duplicates projects previously funded or

under consideration by NTIA or other federal programs. The analysis of

program staff will be provided to the TIIAP Director in writing.

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\11\ See discussion of ``Eligible Costs'' and ``Matching Funds

Requirements'' in this notice.

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The TIIAP Director then prepares and presents a slate of

recommended grant awards to the Office of Telecommunications and

Information Applications' (OTIA) 12 Associate Administrator

for review and approval. The Director's recommendations and the

Associate Administrator's review and approval will take into account

the following selection factors:

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\12\ The Office of Telecommunication and Information

Applications is the division of the National Telecommunications and

Information Administration that supervises NTIA's grant awards

programs.

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1. The evaluations of the outside reviewers;

2. The analysis of program staff;

3. The degree to which a proposed project meets 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 TIIAP staff and the applicant.

These negotiations are intended to resolve any differences that exist

between the applicant's original request and what TIIAP proposes to

fund and, if necessary, to clarify items in the application. Not all

applicants who are contacted for negotiation will necessarily receive a

TIIAP 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.

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

CFR part 74. If included in the approved project budget, TIIAP will

allow costs for personnel, fringe benefits, computer hardware and

software, other end-user equipment, telecommunication services and

related equipment, consultants and other contractual services, travel,

rental of office equipment, furniture and space, supplies, etc. that

are reasonable and directly related to the project. 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 TIIAP support may not be

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

also requires that all TIIAP awardees eligible for the discounts under

section 254(h) of the Communications Act of 1934 (the Act) apply for

all available discounts prior to purchasing telecommunications services

with grant funds. In addition, the discounts received through the

Universal Service Fund may not be used as matching contributions.

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

[[Page 364]]

amount in the application, whichever is less.

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 applicants

require at least two years to complete and fully evaluate their

projects. Accordingly, NTIA encourages applicants to propose projects

lasting between two to three years.

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 TIIAP, including this document and the

Guidelines for Preparing Applications--Fiscal Year 1998, 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 locating information about TIIAP. TIIAP 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-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 1998, which can be obtained by

contacting NTIA by telephone, fax, or electronic mail, as described in

the Addresses section above. TIIAP 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 1998.

Because of the high level of public interest in projects supported

by TIIAP, 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

[[Page 365]]

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.

Larry Irving,

Assistant Secretary for Communications and Information.

[FR Doc. 98-41 Filed 1-2-98; 8:45 am]

BILLING CODE 3510-60-P