[Federal Register Volume 65, Number 3 (Wednesday, January 5, 2000)]
[Notices]
[Pages 682-688]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-234]



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Part VI





Department of Commerce





_______________________________________________________________________



National Telecommunications and Information Administration



_______________________________________________________________________



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

  Federal Register / Vol. 65, No. 3, Wednesday, January 5, 2000 / 
Notices  

[[Page 682]]


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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.

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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 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 
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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.
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    \2\  American Indian Tribes and Alaska Native Villages.
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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
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    \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.
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    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.
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    \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.
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    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.
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    \6\ Minority Serving Institutions include Historically Black 
Colleges and Universities, Hispanic Serving Institutions, and Tribal 
Colleges and Universities.
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    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.
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    \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.
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    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

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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.
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    \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.
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    (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

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existing graphics collections, or establish World Wide Web sites.
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    \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.
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    (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:
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    \10\ ``Unaffiliated'' organizations are institutions that do not 
have formal associations or existing relationships with the 
applicant.
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    (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

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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;
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    \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.
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    (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.
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    \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.
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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
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    \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).''
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    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.
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    \14\ See discussion of ``Eligible Costs'' and ``Matching Funds 
Requirements'' in this Notice.
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    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