|
Technology Opportunities Program Guidelines for Preparing Applications Fiscal Year 2001 |
A. Introduction to the Guidelines
The Guidelines for Preparing Applications–Fiscal Year 2001 (Guidelines) is designed to help you address the review criteria identified in the Notice of Availability of Funds (Notice) and complete your application for the Technology Opportunities Program (TOP). Where appropriate, we have included recommendations from TOP grantees based on the lessons they have learned developing network projects.
Please note that the suggestions presented here are not a prescription for a successful application, nor should they be considered the only way to address the review criteria described in the Notice. The ultimate goal is to present your project in a clear and compelling manner with the understanding that reviewers will rate your project based on how well you address the review criteria.
Finally, where appropriate, the Guidelines includes pointers to online resources available through the TOP home page at
http://www.ntia.doc.gov/otiahome/top/. If you have difficulty accessing the home page, please give our staff a call at (202) 482-2048.
B. Application Deadline and Delivery to NTIA
Complete applications for the Fiscal Year 2001 TOP grant program must be received by the National Telecommunications and Information Administration (NTIA) no later than Thursday, 8:00 P.M. EST, March 22, 2001. When submitting your application, please keep in mind the following:
- NTIA will not accept any materials (including letters of support) submitted after the deadline.
- NTIA will not accept applications or portions of applications via fax or electronic mail.
- Postmark date is not sufficient.
Unfortunately, every year the Department of Commerce rejects applications that arrive after the deadline. Therefore, we urge you to allow sufficient time for the delivery of your application. As described in the Notice, requests to waive the application deadline will not be considered until after receipt of the application by NTIA. Please see section on waiver instructions.
Applications that have been provided to a delivery service on or before March 21, 2001, indicating that "delivery guaranteed before 8:00 P.M. on March 22, 2001," will be accepted for review. To ensure that we accept your application, you should document that the application was provided to the delivery service with delivery to the address listed below guaranteed prior to the closing date and time. To assure timely delivery of your application, we strongly suggest that you do not depend on last minute pick up and delivery.
Applications must be mailed to:
Technology Opportunities Programor hand-delivered to:
National Telecommunications and Information Administration
U.S. Department of Commerce
1401 Constitution Avenue, NW
HCHB, Room 4092
Washington, D.C. 20230
Technology Opportunities ProgramRoom 1874 is located at entrance #10 on 15th Street, NW, between Pennsylvania and Constitution Avenues. Click here to view a detailed map for hand-deliveries. Note: The map is in .PDF format. To view and/or print it, you must have the Adobe Acrobat™ "plug-in" installed on your browser; click here for more details.
National Telecommunications and Information Administration
U.S. Department of Commerce
1401 Constitution Avenue, NW
HCHB, Room 1874
Washington, D.C. 20230
NTIA will provide a written acknowledgment of the receipt of each application and will publish a list of applicants on the TOP home page. If you send your application by carrier, please retain a copy of your package tracking information to confirm delivery of your application and prove that the carrier received your application.
C. General Instructions for Preparing Applications
A complete TOP application includes the following items, and for ease of processing, should be assembled in the following order:
- Standard Form 424, Application for Federal Assistance (Place on top)
- Table of Contents (Optional, does not count against overall page limit)
- Executive Summary (1 page, no more than 350 words; does not count against page limit)
- Project Narrative (Up to 8 pages)
- Appendix (Up to 27 pages)
- Standard Form 424A, Budget Information Non-Construction Programs
- Budget Narrative (Does not count against overall page limit)
- Statement of Matching Funds
- Standard Form 424B, Assurances
- Standard Form CD-511, Certifications
- Standard Form LLL, Disclosure of Lobbying Activities (if applicable)
Signatures
Original signatures are required in the following places in the application:
- bottom (box 18d) of Standard Form 424, Application for Federal Assistance
- back page of Standard Form 424B, Assurances
- bottom of back page of Standard Form CD-511, Certifications
- bottom of Standard Form LLL, Disclosure of Lobbying Activities (if applicable)
Standard forms 424, 424B, CD-511, and LLL should be signed by someone who is authorized to commit the applicant organization, such as the Chief Executive Officer, Chief Financial Officer, President, or Executive Director. Original signatures should be in blue ink so that the original can be easily distinguished from the copies.
|
Failure to submit a complete TOP application with the appropriate signatures by the application deadline will result in the application being rejected by the Department of Commerce.
|
Page Limits
Your Project Narrative must not exceed eight (8) pages. The Project Narrative is the core component of your application. You may provide up to twenty-seven (27) pages of appendices that include tables, timelines, organizational charts, memoranda of understanding, technical designs, illustrations, maps, letters of support, résumés, supporting documents, etc. However, do not include CD-ROMs, disks, videos or audio tapes in your application.
The page limit does not include the executive summary, standard forms, a table of contents, or budget information.
It is important to stay within your page limits. Reviewers will be instructed to ignore any portion of your application that extends beyond the prescribed page limits.
Page Formats
The application should be typed, single-sided, single-spaced, on 8½" x
11" paper. Your text should be a font of no less than 12 points with margins
of no less than one inch (1").
|
font size smaller than this in your application. |
You should also number the pages of your application consecutively, starting with the first page of the Project Narrative through the appendices. Please number the Budget Narrative and the Statement of Matching Funds separately, beginning with 424A-1, 424A-2, 424A-3, etc.
Total Number of Copies
NTIA requests that each applicant submit one (1) signed, original application and five (5) copies, unless doing so would present a financial hardship, in which case the applicant may submit one original and two copies of the application. The application with original signatures should be clearly marked "Original." Each duplicate should be clearly marked "Copy."
To assist in the review process, the original application (marked "Original") and one of the five copies of the application should be secured with a binder clip (see illustration). The remaining four copies, which will be sent to the peer reviewers, should each be stapled.
Also, be sure to include copies of the standard forms 424B, CD-511, LLL in one of the binder clipped copies. You do not need to include these forms in the four stapled reviewer copies.
Submission of Materials or Amendments after Application Deadline
NTIA will not accept amendments to an application, corrected pages, letters of support, or any additional materials submitted after the application deadline. However, if the contact information submitted in Box 5 of the Standard Form 424 changes after submission, you should immediately notify TOP in writing.
Waiver Requests
As stated in the Notice, NTIA does not intend to waive any provisions of the Notice. However, under extraordinary circumstances, NTIA may, on its own initiative or when requested, waive certain provisions in the Notice.
NTIA cannot waive requirements that are statutory, only those that are discretionary. As described in the Notice, requests to waive the application deadline will not be considered until after receipt of the application by NTIA.
- If you plan to request a waiver prior to the application deadline, you must write a letter addressed to TOP c/o the address listed at the beginning of this document (or on the inside front cover of the printed Application Kit) stating clearly (1) which provision(s) you are asking to be waived, and (2) the extraordinary circumstances that necessitate the request. The request must be clearly identified as a "Waiver Request." NTIA cannot guarantee that it will be able to resolve waiver requests before the application deadline.
- If you are requesting a waiver at the same time that you submit your application, you must insert a document stating clearly (1) which provision(s) you are asking to be waived, and (2) the extraordinary circumstances that necessitate the request. In order to ensure the timely processing of your waiver request, the request must be clearly identified as a "Waiver Request" and inserted immediately after the Standard Form 424, Application for Federal Assistance.
D. Instructions for Preparing the Executive Summary
Every application should begin with a concise executive summary, not to exceed one (1) page or 350 words.
Your executive summary should be factual, brief, and focused on your proposed efforts. The executive summary should briefly cover the core aspects of the project and should help the reader answer the following questions:
What are the goal(s) of the project?
What services will you provide through the project and to whom?
What are the anticipated outcomes and impact of the project?
How many sites are there and where are they located?
What technologies are to be employed?
What will users do with the technology?
Who are the communities to be served?
What organizations are participating as project partners?
Below is a sample executive summary adapted from a FY 2000 grantee's application.
"The Help Maine (ME) Project will use technology to help alleviate domestic violence, which Maine's governor has called the state's number one priority. The project will use Internet-based technology to create a secure private wide-area network linking domestic violence shelters to courtrooms. The network will allow victims of domestic violence to obtain court-ordered protection from the safety of a sheltered location, to enforce other legal rights important to their future safety and well being, and to access legal services.
"Maine's Judicial Department has agreed to permit submission of video affidavits from three domestic violence shelters (located in Lewiston, Rockland, Brunswick) to two coastal Maine court houses. The video technology will allow judges to communicate face-to-face with victims from the safety of the domestic violence shelter.
"The Help ME Project is the first known example of a court jurisdiction in a rural area using Internet-based technology to help victims of domestic violence. This project will serve as a model for the use of technology to overcome the barriers that often discourage victims from pursuing court orders. Video technology placed in domestic violence shelters can overcome barriers such as fear of encountering the abuser, poor literacy skills necessary for completing court forms, lack of transportation to the courthouse, little awareness of available legal assistance, and lack of access to American Sign Language interpreters for the hearing-impaired.
"Project Help ME will: (1) yield a 10% increase in the number of emergency protection from abuse orders providing issued in the service area; (2) demonstrate cost savings for courts and shelters as use of video technology facilitates face to face meetings with local judges, reducing travel and scheduling inefficiencies; and (3) provide an increase in use of legal service advocates by victims of domestic abuse.
"Statewide partners in project Help ME are the Maine Judicial Department, the Maine Coalition to End Domestic Violence, Pine Tree Legal Assistance, and the Maine Bar Foundation. Technology assistance will be provided by CommTel Internet."
E. Instructions for Preparing the Project Narrative
The Project Narrative is your opportunity to convince readers that your project meets the review criteria. It is the one place in the application where you speak in your own voice–not filling out a form, not explaining budget details–but speaking directly about the goals of your project, how you expect to achieve your goals, the partners you plan to involve, and the people affected by the project.
Readers will review your presentation from the perspective of how well you address the review criteria defined in the Notice. Therefore, you should carefully review the six review criteria described in the Notice before preparing your Project Narrative.
Please Note: In the program funding priorities section of the Notice, TOP describes specific areas of interest. While it is helpful to highlight those aspects of your project that address TOP's areas of interest, an application does not need to address any of the areas to be competitive. Moreover, addressing TOP's priorities is not a guarantee that your application will be selected for funding. NTIA will continue to support a wide range of projects.
General Suggestions
- Use TOP's online resources to prepare your application: TOP has a wealth of information on its home page that can help you learn what works, compare your efforts to others, and develop or refine your project. Case studies, reports, narratives of successful applications, contact information for and links to current grantees, and evaluation tools and workbooks can be found at
http://www.ntia.doc.gov/otiahome/top/.
- Be clear and succinct: Because of page limitations, you should discuss your project clearly and succinctly. Reviewers are less interested in jargon and exaggeration and more interested in learning what you are proposing and how well you respond to the six review criteria published in the Notice.
- Find an impartial proofreader: One of the biggest mistakes applicants make in writing the Project Narrative is to treat each of the review criteria as a separate and distinct writing task. Even though each section of the Project Narrative should correspond to the six review criteria, the criteria should be viewed as stages in a coherent and convincing presentation. Reviewers have frequently noted that various parts of a single narrative appear to have been written by different people, and that no one appears to have read the narrative all the way through to check for spelling mistakes, stylistic inconsistencies, redundancies, factual omissions, and unexplained assumptions. Therefore, before you submit your application to TOP, a good strategy is to let someone who is not familiar with the project, but understands network technology, read and critique the Project Narrative.
- Do not use pointers to online resources: Because World Wide Web pages or other online resources can be altered after the close of the grant round, you cannot use pointers to online resources to augment your application. Reviewers will be instructed to ignore pointers to online resources. If you want to include documentation available on the Internet, you should print the material and include it in your appendix.
- Use appendices to expand your presentation: Please keep in mind that you are writing to a diverse group of readers–independent reviewers, TOP staff, and the NTIA selecting official. You should not assume that the people who are reading your application know any information about you, your organization, your project, or the individuals in the communities you are trying to impact. Use the 27 pages allocated for appendices to expand upon the points you want to discuss in greater detail. To aid in the analysis of your application, reviewers recommend that you reference any appendices in the Project Narrative.
- Check each copy of the original application: During previous grant rounds, a few applicants did not include all of the required documents in each of the copies. Reviewers can only evaluate applications using the documentation that you provide. It is your responsibility to ensure that the one original and five copies you submit include the required material.
Addressing the Review Criteria
Since reviewers will evaluate your project based on the six review criteria published in the Notice, we suggest that you build the sections of your Project Narrative to correspond to the six review criteria — Project Purpose; Innovation; Diffusion Potential; Project Feasibility; Community Involvement; and Evaluation. The sections that follow were developed with the assistance of feedback from external evaluators, peer reviewers, and grantees. Each section provides information, suggestions, and examples on how to address the six review criteria.
- Project Purpose (20%)
(View the discussion of Project Purpose from the Notice.)
You should use the Project Purpose section to discuss clearly the problem(s) you are trying to solve, the solution(s) you propose, and the outcomes you expect. In writing this section, it is important to describe the underserved community or communities your project targets and demonstrate how your project will affect those communities.
Defining a specific need or problem. A compelling application defines a problem or set of needs that can be addressed through the use of digital network technology. There may be specific economic, cultural, or geographic issues–such as the lack of a skilled workforce, business disinvestment in the area, limited access to high quality medical care, or high unemployment–that will be the focus of your project. In defining a need, you may wish to include baseline data that characterizes the population(s) to be served by the project (e.g., community demographics, income levels, crime rates). Providing baseline data allows you to compare the problem to be remedied prior to project implementation against the results of the project. For instance, if your project is to address the lack of a skilled workforce, you could provide data to describe current skill levels, specific jobs, age, race, gender of the population and provide socioeconomic status of intended end users (i.e., the individuals who use the technology).
The following passage is adapted from a successful application from a previous grant round:
"Hunger in America is real. Despite a growing economy and shrinking welfare rolls, over 21 million Americans sought emergency food assistance in 1997. Furthermore, charitable feeding programs across the country report that demand is still rising. In fact, the US Conference of Mayors has documented increased demands for emergency food assistance across the country since 1983 including a 16 percent increase in 1997 alone. While the lines at pantries and kitchens are rising, food waste continues to warrant concern. In a 1997 report, the USDA estimated that 96 billion pounds of consumable food are wasted each year. This includes 5.4 billion pounds at the retail level and 91 billion pounds at the food service and consumer level (Appendix A, page 9). Our organization's goal is to access this recoverable food and distribute it through our network of 188 food banks across the country (Appendix B, page 10) to over 50,000 charitable feeding programs such as food pantries and soup kitchens. This network makes food available to needy adults and children in every county in America, both urban and rural. Hunger in America can be solved. We need to develop the means to access and distribute available food more effectively and efficiently."
Proposing a credible solution that employs network technologies. Next, you should discuss how network technology and information resources will provide your community or organization with a realistic and effective mechanism for addressing the problem(s) you defined in the preceding section. Competitive applications always demonstrate a logical link between the problem(s) they define and the solution(s) they propose. The successful TOP applicant cited on the previous page continues:
"In order to more fully access available products and more effectively distribute them across the country, we with our food bank partners will undertake Project Enterprise. Project Enterprise seeks to lay the technological infrastructure and tools necessary for food banks in all regions of the country to serve needy Americans better. While the project entails hardware and software components at local food banks, as well as at our national office, we seek funding for the wide area network (WAN) that will enable the coordination of food demands between local food banks, food donors and our national office. This detailed data sharing will help the food bank network more effectively distribute available product to areas with the greatest demand for that product. While local food banks will continue to solicit and distribute food within their service areas, the creation of a WAN will enable a virtual, national warehouse."
Identifying realistic, measurable outcomes that you expect to result from carrying out the project. There should be a compelling reason to believe that the project you propose will make a difference. The nature of that difference can best be described by the outcomes you expect to result from the project. When describing project outcomes, it is helpful to keep in mind the distinction between outputs and outcomes. Outputs may be thought of as a unit of service or product of the project's activities, e.g., number of training classes held, number of "hits" to your home page, number of client referrals, or number of sites established. Such data are important because they often lead to the desired or expected outcome(s). Outcomes are the benefits derived from the project activity or the consequences of project participation. Outcomes reflect a changed state or condition of the project's target population or beneficiaries, e.g., improved level of literacy, more efficient delivery of social services, or improved emergency services in rural communities.
Your anticipated outcomes should be tied to your problem statement and include a range of measurements that actually help determine that the underlying need has been addressed. When developing your outcomes, some useful questions to consider include: What do you expect to change in your community? Who will be affected? What specific, realistic outcomes do you expect to occur within the grant award period? Looking beyond the grant award period, what longer term effects that you can expect to occur? The following passage is adapted from the TOP applicant cited above:
"This virtual warehouse will affect local communities, service providers, and food donors in several important ways. First, local, regional, and national food solicitation can be tailored to meet individual community needs. The data stored in the virtual warehouse will enable effective resource sharing so that no community will be overlooked when there is available food to meet those needs in another location. Second, when a donor offers a specific item on the network, the network will help recipients respond to the offer in a timely and efficient manner. This timeliness will strengthen donor-recipient relationships and will encourage future donations. Specific goals for the project include: (1) a 10% reduction in the time needed for food recipients to identify and receive food donations; (2) demonstrated cost savings for service providers and food donors; and (3) a significant reduction in food spoilage in storage facilities. For more details on our anticipated project outcomes, please see the evaluation matrix in Appendix C, pages 13 - 15."
Targeting Underserved Communities. An important element of your Project Purpose is a description of the underserved community you propose to help. Reviewers will assess the challenges the community or communities face and the degree to which your project will benefit them. Therefore, you should consider presenting a profile of the community or communities to be served and the intended beneficiaries of the project, citing supporting statistics (e.g., per capita income, percent of households living in poverty, population density, size of the region, prevalence of health problems) as appropriate. To bolster your presentation, you can use specific quantitative data to document the nature and extent of the community's needs. For example, if you purpose to address hunger, you could provide a sample of the annual statistics on the level of hunger in the specific communities where the project will be piloted. You may also wish to append materials such as maps and other geographical representations to illustrate the scope of the project.
- Innovation (20%)
(View the discussion of Innovation from the Notice.)
Once you have established what you intend to do, you should describe the innovative aspects of your proposed project. As discussed in the Notice, innovations can take many forms, such as projects that involve imaginative partnerships, the introduction of new business processes designed to offer more effective services, untested strategies for overcoming access barriers, or new techniques that transform inter-organizational relationships.
You should describe in detail the aspects of your project that are unusual or innovative. Simply stating that a particular approach has not been tried in your community is only a start. Each application should provide insight on the use of digital network technologies that can be shared with the rest of the nation. Therefore, it is helpful to place your efforts in a national context by comparing and contrasting your project to other efforts or projects in your field. Successful applications have researched case studies, various reports, and the activities of TOP grantees and other projects and documented how their project complemented and built on what has been learned.
In order to gain a better understanding of current uses of information infrastructure, you should use the Internet and other resources to search for comparable efforts and projects. As a start, TOP maintains a home page on the Internet, accessible via
http://www.ntia.doc.gov/otiahome/top/,
that contains descriptions of grantees' projects, project narratives of the 1999 and 2000 grantees, links to projects funded in previous grant rounds, 36 detailed case studies, and other reports.
In the past, successful applicants have used the resources above to discuss specifics of how their proposed project compared with and differed from existing projects and efforts. Last year, a successful TOP applicant provided the following discussion of innovation in its application:
"The Portland Area Housing Clearing House will utilize emerging broad bandwidth technology to link housing agencies with a continuum of housing resources that are updated regularly by project participants. The Portland Area Housing Clearing House builds upon the success of other projects like the Cleveland Housing Network by providing comprehensive information about available housing and services through an interactive system structured around barriers to stable housing. Many communities, including Portland, currently use network technology to house basic information and referral systems. This project moves beyond information and referral systems to provide state and local government employees and their clients new tools for problem-solving and case work management. From our survey of housing authority networks in five different states (please see Appendix D, page 21 for a brief description of these projects), the proposed Portland Area Housing Clearing House is unique in that it will speed users into and through the system of services by making needed appointments, searching for appropriate housing, and assisting with problem assessment and solution."
- Diffusion Potential (20%)
(View the discussion of Diffusion Potential from the Notice.)
In this section, you have an opportunity to identify those aspects of your project that enable its adaptation to or replication by other communities and the plans you have to ensure that the lessons learned from your project are shared as broadly as possible.
To establish the diffusion potential of your project, you can highlight elements of your project that enable its replication. You may want to discuss how prevalent the problems or needs you hope to address are common to other communities. If many communities face the same problem, the likelihood that they would be interested in your approach is increased. For example, if you propose to address local needs for the underfed in your community, you should identify how acute hunger is in other communities across the country.
You may also want to highlight those aspects of your project that are improvements upon existing approaches. For example, if your project is proposing to use high-resolution video streaming over the Internet for training, you could note the advantages streaming video has for the learning process as compared to video conferencing systems that use fixed, dedicated network connections.
In terms of making a case for the ease of replication, you can highlight the cost-effectiveness and simplicity of your approach versus other alternatives. You can also discuss the aspects that make your solution accessible to other communities, especially underserved communities constrained by geographic, physical, or financial barriers.
In this section you should also discuss plans for actively sharing information about your project. Such plans may include presenting at professional conferences, workshops, and symposia; hosting regional conferences; spending time at sites in other locations to aid in their adaptation of your project; and publishing findings in professional journals, reports, or creating a World Wide Web site which describes the project and provides a "how-to" guide for others.
It is helpful to include the name of the publications, journals, and associations you intend to use for dissemination purposes. Since reviewers will also assess the degree to which you dedicate sufficient resources for the activities you propose, you should clearly describe the staff time or resources dedicated to dissemination in your Budget Narrative.
|
Tip from Grantees: Grantees have commented that it is helpful at project outset to develop (and share with your partners) a communication plan that will make it easier to demonstrate the value of the service to other community stakeholders.
|
- Project Feasibility (15%)
- Interoperability is the condition achieved among communication systems when information (i.e., data, voice, image, audio, or video) can be easily and cost-effectively shared across equipment; acquisition, transmission, and presentation technologies; and services. With respect to interoperability, you should describe as concretely as possible how your system will, or could, work with other relevant networks or services. For example, if you are planning to deploy a network that would be used to transmit medical images among several institutions, you should describe how your network would or could be integrated with other information systems at those institutions, or elsewhere in the community. You should also discuss your use of standards, and if you have chosen any proprietary, "closed" solutions when standards-based solutions are available, you should provide justification.
- With respect to technical alternatives, you should describe why the technical approach you propose best meets your goals. It is helpful to explain to reviewers what alternatives approaches you considered. Your project should take advantage of existing infrastructure and commercially available telecommunications services, or if this is not the case, you should show why extraordinary circumstances require the construction of new network facilities.
- You should also describe your plans for maintaining the system you deploy and for upgrading the technology (if applicable) or capacity to exploit new opportunities made possible by advances in technology.
- Scalability refers to the ability of a system to accommodate a significant growth size (i.e., new services provided or additional end users served) without the need for substantial redesign. On the issue of scalability, you should discuss how the system you intend to deploy can accommodate growth beyond the scale defined for the grant period. This growth could be a growth in the number of users within the community, a growth in the geographic area to be served, or a growth in the services that would be offered with the system (i.e., discuss the capability to add services to those that will be provided initially).
(View the discussion of Project Feasibility from the Notice.)
Once you have clearly and systematically demonstrated that the project you propose can serve as an innovative model, you should demonstrate that your team can actually do it. In this section, you should show how you will carry out your project by discussing the following issues:
Technical Approach. You should describe in detail the technology that you will employ in your project, your rationale in selecting this particular technology, and how the various components will be organized and work together.
You should try to be as specific as you can in this section so that there will be no confusion among the reviewers as to what the technology you are proposing will do and how it will work. Often the easiest way to explain or flesh out a technical approach is to append diagrams and other pictorial materials that allow reviewers to "see" what you are describing.[1] In order to understand how your project will build on the existing resources, TOP reviewers recommend that applicants describe the network technologies, resources, and services currently available to the end users.
When discussing the technical approach, you should specify in detail not only how the proposed technical and organizational system will work, but also (1) how it would operate with other systems; (2) the technological alternatives that you have examined and the reason why you considered the approach you have chosen superior to others; (3) your plans for maintaining and/or upgrading the system; and (4) how it can grow to accommodate additional users.
Applicant Qualifications. In developing this section, you have an opportunity to provide evidence that the applicant team has the ability to deal effectively with both the technical complexity and the organizational challenges associated with managing the project. When describing your organization's and partner's qualifications, it is helpful to show that all team members have both the commitment and experience necessary to undertake the project and complete it within the proposed time schedule. You should address all of the participants' experience with digital network technology projects, in serving the communities or populations targeted by the project, and with project management. You may want to include brief biographies for the key project personnel from both partner organizations and your own in the appendix. In many cases, you will hire individuals to fill positions once the grant is awarded. If that is the case, it is helpful to append a description of the qualifications of the people you seek to fill those positions.
Budget. Reviewers will carefully examine all the budget materials to assess whether the budget is appropriate and clearly related to the tasks you propose in the Project Narrative. You can use this section to provide a brief overview of your budget. One common error in presenting budgets noted by reviewers in previous rounds is the inclusion of only one budget category in the application. Reviewers look to see if budgets include all the necessary categories to support the project. For example, you should not present a budget for equipment without funds for personnel, software, training, system support, etc.
Implementation. Reviewers will carefully examine your application to ensure you allow enough time for the project to be developed, carried out, and fully evaluated during the grant period. In year's past, reviewers have strongly recommended that applicants carefully estimate the time required to conduct a project and complete a thorough evaluation. Reviewers also encouraged applicants to present an implementation schedule that identifies major project tasks and milestones. If space is a concern in the Project Narrative, you can append a timeline.
|
Tip from Grantees: Data collected from TOP grantees show that a commonly reported problem is the underestimation of the time and resources needed to complete particular project tasks. Grantees recommend that you develop a realistic time line that allows sufficient time to correct errors, trouble shoot, and deal with unexpected obstacles.
|
Privacy. You should discuss your plans for protecting the privacy of the end users and beneficiaries of the project. For example, if you are proposing a project dealing with individually identifiable information (student grades, medical records, etc.), you should describe in detail both the technological mechanisms you will employ to maintain system security and unauthorized access to information and the policy mechanisms (e.g., staff education and usage guidelines) to deter improper use. If you believe that privacy and confidentiality are not important issues in your project, you should state so clearly and discuss your reasoning.
Sustainability. To be competitive, a project should exhibit economic and organizational viability beyond the grant period. You should therefore present a credible plan that includes a discussion of anticipated ongoing expenses and potential sources of non-federal funds to sustain the project. You may also want to address the question of whether you expect start-up partners and their responsibilities for various segments of the project to remain the same or change over time.
|
Tip from Grantees: Grantees note that staff turnover can harm a project in many ways. At a minimum it can delay a project's progress. If the problem persists, the loss of key staff can severely impede a project's ability to keep pace with end users' demands. Grantees recommend that projects remain aware of the potential for staff turnover and devise creative methods for overcoming the high cost of maintaining computer specialists and other essential personnel.
|
- Community Involvement (15%)
(View the discussion of Community Involvement from the Notice.)
Once you have presented a coherent and convincing discussion of the project and shown that what you propose is feasible, you will want to show that the communities to be served by the project support it and will participate in its development. In this section, you should discuss your partners, the steps you have taken and will take to involve the community (or communities), and your plans for involving and supporting the project's end users. In addition, to the greatest extent possible, you should work to understand the needs and requirements of all potential end users, including those with disabilities.
Partnerships. You should present a clear discussion of who your partners will be, what their respective roles in the project will be, what benefits each expects to receive, and what specific contributions each partner will make to the project in the form of financial support, equipment, personnel, or other resources. You should also describe plans for maintaining the partnerships during the grant. Partnerships should be clearly defined, mutually beneficial, and the commitments (including both cash and in-kind contributions) well documented in the application. It is helpful to append letters of commitment from the partners describing in detail their roles and quantifying their contributions, or if you prefer, memoranda of understanding.
|
Tip from Grantees: The experiences of the grantees surveyed for case studies demonstrate the importance of ensuring that the grant recipients' and partners' roles are mutually agreed upon and put in writing in advance of project inception. This not only generates project support and buy-in on the part of all stakeholders, but it provides a guide for implementation and a commitment by all parties throughout the project.
|
If you have worked with these partners on projects in the past, it is helpful to discuss the nature and results of those projects and the project responsibilities assumed by each collaborator. Never assume that reviewers will know who a proposed partner is, what that partner is capable of or willing to commit to the project, or why the partner wants to help.
|
Tip from Grantees: Grantees repeatedly comment on the importance of developing alliances with organizations that are capable of performing their assigned roles. They suggest that applicants take the time to learn the limitations of their proposed partners, and that they select partners that can clearly devote the necessary time and resources to the project.
|
Obtaining and sustaining community involvement. In explaining the involvement of your community in the project, you will want to describe the steps you have taken to include a wide variety of community stakeholders in the planning and development processes. For example, have you held open meetings, conducted surveys, used focus groups, met with representatives of different community groups, or developed a steering committee or advisory panel that involves end users and other key stakeholders? Letters from potential end users indicating how they intend to use the proposed services and describing the benefits that they envision are often very persuasive.
|
Tip from Grantees: Among grantees visited for case studies, the most successful appeared to have involved community stakeholders in their design and development phases. The inclusive approach contributed to technology initiatives that met the needs of (and were therefore used by) their intended beneficiaries. Conversely, projects that failed to involve stakeholders and end users often found themselves struggling to gain community support for their overall approach.
|
The following passage describes one previously successful applicant's approach to involving its community:
"As we considered the scope of the project, we started with the assumption that the community had diverse ethnic, racial, and economic populations. We also assumed that the community needed better communications to overcome a general feeling of low self-esteem because of crime, joblessness, poor housing, and lack of a sense of community.
"To test our assumptions, the staff surveyed local churches, libraries, business groups, and local press to determine which local organizations and community leaders would make the best partners for the project. We then met with the partners and community organizations to discuss strategies for seeking community input, and to establish project goals and objectives within the timetable once the assumptions were confirmed. We concluded that the best way to do this was for the partners and community organizations to disseminate information to community residents explaining who the partners were, and what the proposed project was about. Subsequently, we created a needs assessment survey and carried out door-to-door surveys. Additionally, we invited the residents to attend a series of five focus group sessions in their neighborhoods. 165 members of the community attended these meetings. They represented all segments of the community. Most of the assumptions about community needs and the demand for the proposed services were confirmed in the survey and focus group results. Copies of the surveys and a summary of the focus group discussions are attached in Appendix D."
Support for end users. A competitive application will show careful attention to the needs, skills, working conditions, and living environments of the targeted end users. You should identify and describe the end users. You should also discuss how you will work with them to ensure that they can use the services that the project will enable. How have they been involved in the design of the project? How will they be recruited? How will they be trained? How will you provide ongoing technical support?
|
Tip from Grantees: Grantees suggest that the need for training on the use of new systems and technologies is constant and is often more than they originally anticipated. They recommend allocating enough resources to cover the cost for training time, materials, and trainers that can work directly with the trainees. Some grantees also found that integrating instructional activities into normal work duties (rather than offering training on a voluntary basis or as an additional requirement) to be a helpful approach.
|
You should also discuss how the end users will interact with the technology. One way of describing this interaction is to offer a scenario of how the services will be used. For example:
"Bob Jones, an elderly patient, arrives at the emergency room complaining of a chronic cough. A preliminary diagnosis reveals evidence of tuberculosis. An automated tuberculosis protocol recommends appropriate antibiotics, further tests, and an isolation room. A message is sent over the network to the city Department of Health, reporting that a likely case of tuberculosis has been found. After two weeks, the patient's fever and cough have subsided. The physician contacts the department electronically to arrange for him to be followed by the Department for Directly Observed Therapy; with the his permission, relevant clinical data are transferred electronically to the department. Since the patient is unable to attend the public health clinic, a public health assistant visits him and uses a hand-held computer to report on his condition. His condition can be tracked over a period of months, and subsequent diagnoses can be made, using the same hand-held device. When Mr. Jones is well enough to visit the public health clinic, he can access the tuberculosis information kiosk in the waiting area, which will provide valuable information related to his condition. To support his use of the system, a trainer will spend up to 5 hours teaching Mr. Jones to navigate the screens. The trainer will also be available to answer technical support calls from 8-5 P.M., Monday through Friday."
- Evaluation (10%)
- Evaluation Questions: What questions will the evaluation seek to answer? What do you expect to learn from your project? These questions should tie directly to the outcomes mentioned in your Project Purpose. The project goals, implementation plan, and anticipated outcomes provide the basis for formulating evaluation questions. As you develop your evaluation plan, place yourself in the position of the recipient of your final evaluation report and ask yourself what questions you would like to have answered.
- Evaluation Strategy: What approach will you take to find answers to the evaluation questions? If you include a formative evaluation, how often will evaluation reports be provided to you? What populations will be included in your evaluation? How will you collect baseline data on these populations?
- Data Collection: What kind of measurement instruments will be used? Will there be a mix of quantitative and qualitative data identified and collected? At what points in the project will information be collected? A data collection plan helps readers understand when and how you will collect information over the course of the project. It would also be helpful to explain how information will be collected from the various project sites and end users.
- Data Analysis: If possible, you should describe the method that you propose to use to analyze data. These techniques should be appropriate for the types of data to be collected. For example, open-ended interview schedules often require extensive and careful coding of responses and tend to employ qualitative analyses.
- Evaluator(s): Specify the individuals or groups who will be involved in conducting the evaluation. Therefore, you should describe the qualifications and responsibilities of key personnel involved with the project evaluation, both internally and externally.
- Donated equipment, supplies, and/or rental of building space. Please Note: If your organization is planing to utilize equipment or resources for which it does not hold legal title, then the equipment or resources must be accounted for according to the "use value" of the item. For more details
on the "use value," please see
OMB Circular A-122, Cost Principles for
Non-Profit Organizations. An illustration of the "use value" calculation is also provided below in the equipment example.
- Contributions of services from individuals such as professional consultants, engineers, attorneys, programmers, software engineers, systems professionals, etc.
- Contributions of services from organizations such as telephone companies, network access providers, Internet Service Providers, satellite companies, cable television operators, etc.
- The value of the use of existing equipment, computers, or telecommunications facilities.
- $34,683 in salary and fringe for the trainer
- $720 for travel
- $375 for supplies
- $20,000 for contractual costs
- $13,800 for other costs
- $12,230 in indirect charges
- Standard Form 424, Application for Federal Assistance
- Standard Form 424B, Assurances
- CD-511, Certification
- SF-LLL, Disclosure of Lobbying Activities
-
Standard Form 424, Application for Federal Assistance
-
Standard Form 424A, Budget Information — Non-Construction Programs
-
Standard Form 424B, Assurances
-
CD-511, Certifications Regarding Debarment, Suspension, and Other Responsibility Matters;
Drug-Free Workplace Requirements and Lobbying
-
SF-LLL, Disclosure of Lobbying Activities
- Materials that support or amplify the Project Narrative, such as technical diagrams, organizational charts, maps, or letters of support, can be included in appendices. Please note that there is a 27 page limit on appendices.
- Please note that there are several methods to calculate the use value of
an item. See the depreciation and use allowance sections of the relevant
OMB Circulars. Most of the OMB circulars can be read online and/or downloaded from the OMB website.
(View the discussion of Evaluation from the Notice.)
Under Project Purpose, you were asked to offer a realistic estimate of your project outcomes. Here is your opportunity to present a clearly defined plan to evaluate the degree to which the project achieves these outcomes.
In addition, as indicated in the Notice, your application should include provisions for a final evaluation report on the project that will be completed by an independent evaluator or team of evaluators. The independent evaluator(s) must be individual(s) outside the direct reporting structure of your organization. In other words, while a subordinate of your staff would not qualify as an independent evaluator, a representative from another department or office would qualify as an independent evaluator.
Given the importance TOP places on evaluation, you should clearly identify in the Budget Narrative the amount of money and time allocated for conducting evaluation activities. Reviewers will assess whether you have provided sufficient resources and expertise to evaluate your project thoroughly. Although evaluation plans are highly dependent on the specifics of the project, evaluation experts recommend that you allocate approximately 10% of the total project budget for these efforts.
However, preparing a competitive evaluation is more than simply allocating a percentage of your budget to contract for an independent evaluation. In order to respond to the evaluation criterion, you should discuss at least the basics of your overall research design and methodology. Some helpful topics to consider as you build your evaluation are:
|
Tip from Grantees: Grantees recommend that applicants involve an evaluator early in the development of designing the project and preparing the application. Responding to our evaluation studies, many of the grantees indicated that, in hindsight, they would have benefited from giving more thought to evaluation at the outset of their project.
|
Ultimately, your evaluation should provide timely feedback that helps you to manage your project more effectively, and perhaps of greater benefit, it should yield valid and reliable results and information that you can use to sustain or enhance your project.
To help you develop your evaluation plans, TOP has created an Internet resource that contains descriptions and links to valuable assessment and evaluation information including case studies, reports, and evaluation guides. The evaluation guides are especially helpful because they provide worksheets and simple, clear exercises on how to integrate program planning, evaluation, and program implementation for greater success. To access these evaluation resources, go to TOP's home page, accessible via
http://www.ntia.doc.gov/otiahome/top/, and follow links to evaluation resources. If you don't have Internet access, feel free to contact TOP staff.
F. Instructions for Preparing a Budget Request
As a component of the Project Feasibility review criterion, reviewers will
analyze your budget request in terms of its clarity, cost-effectiveness, and
consistency with the goals and objectives described in your Project
Narrative. 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 activities. The following
section is intended to guide you through the process of preparing a budget
for your application. It includes information on identifying and clarifying
eligible costs and examples to help you prepare the required budget
documentation.
Identifying Costs
In order for the reviewers and program staff to evaluate your budget, you should fully explain each budget item, including both the federal and non-federal shares of the total project cost. The budget must be reasonable for the tasks proposed, and the relationship of items in the budget to the Project Narrative, especially the project objectives, should be clearly defined and communicated.
As discussed in the Notice, TOP will provide up to 50% of the total project cost unless extraordinary circumstances warrant a grant of up to 75%. When the grant award is made, you are committed to the share of the total project cost proposed in the application. Therefore, be sure that all matching funds proposed in an application are allowable, achievable, and defensible.
TOP will support most costs associated with an information technology project. TOP allows 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 allowable under the applicable cost principles. The only cost category specifically excluded is construction costs (see the Eligible Costs section of the Notice). A chart of the applicable
OMB Circulars is provided below.
| Organization Type | Refer to Cost Principles in . . . | Universities and Colleges | OMB Circular A-21, Cost Principles for Educational Institutions | State, local, or federally-recognized Indian tribal governments; public schools; city and county libraries, etc. | OMB Circular A-87, Cost Principles for States, Local, and Indian Tribal Governments | Community-based organizations, libraries, private K-12 institutions, museums, etc. | OMB Circular A-122, Cost Principles for Non-Profit Organizations | Research Institutions and Hospitals | Appendix E of 45 CFR Part 74, Principles for Determining Costs Applicable to R&D under Grants and Contracts with Hospitals |
Matching Funds: Matching funds may be in the form of cash or in-kind donations. The federal government defines in-kind contributions as non-cash donations to a project that may count toward satisfying the non-federal matching requirement of a project's total budget. Both cash and in-kind contributions may come from third parties.
| The same administrative requirements, cost principles, and audit requirements apply to the use of both federal funds and the funds and contributions provided as the non-federal share. |
The value of an in-kind contribution must be documentable and
defensible. In general, in-kind contributions might include the
following:
Third-party in-kind contributions may count towards satisfying the non-federal matching requirement of a project budget only in those instances where, if the party receiving the contributions were to pay for them, the payments would be considered allowable costs. Grant recipients may not count an item or a service as an in-kind contribution simply because it has value. In general, an item or service may be considered as an in-kind contribution only if it (1) is an allowable project expense, (2) appears as a projected expenditure in the project budget, (3) is being donated to the project, and (4) is being used to meet the project objectives.
Discounts: You should also be aware that the value of products or services must reflect the fully discounted price to your organization. For instance, if you can receive a 70% discount on computer equipment, then the value of the equipment should appear in the budget as the actual amount you will pay (i.e., 30% of the total pre-discount cost of the computer equipment). In addition, you cannot use the discount on an item or service as an in-kind contribution from the provider.
Program Income: As indicated in the Notice, any program income generated by a proposed project is subject to special conditions and needs to be identified appropriately in the Standard Form 424 and the Statement of Matching Funds.
Restrictions on Funds: The legislative authority to award TOP grants places restrictions on eligible costs for applicants which are recipients of Universal Service Fund discounts (also known as "e-rate" discounts) and applicants receiving assistance from the Department of Justice's Regional Information Sharing Systems Program (RISS) as part of the project costs. The statute states:
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.
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. For example, if you are an entity eligible to receive a discount on network line charges under the Universal Service Fund, you can use neither federal funds nor matching funds to cover the cost of the network line charges.
Because the rules of both the Universal Service Fund and RISS programs are subject to change at any time, we encourage you to refer to the appropriate agencies to learn eligibility requirements and the availability of discounts.
The Universal Service Administrative Company (USAC) is a private, not for profit organization and is responsible for providing every state and territory in the United States with access to affordable telecommunications services through the Universal Service Fund. Public and private schools, public libraries, rural health care providers are eligible to seek discounts for communications services from the Universal Service Fund. For further information, the USAC maintains a home page at
http://www.universalservice.org/.
The RISS Program is funded by the Department of Justice's Bureau Of Justice Assistance (BJA) and offers information sharing and data analysis on criminal activity, telecommunications and investigative support, and specialized equipment sharing. For further information, the BJA maintains a home page at
http://www.ojp.usdoj.gov/BJA/.
Instructions for Preparing Budget Documentation
TOP requires that applicants submit three documents to support the budget request: a Budget Narrative, a Statement of Matching Funds, and a Standard Form 424A, Budget Information–Non-Construction Programs. Instructions for preparing these documents are provided below. If you use a spreadsheet to prepare your budget, you may include it as additional documentation.
Instructions for Preparing a Budget Narrative
The Budget Narrative is required for all applicants. As noted above, the clarity with which you present your budget information is a factor that reviewers will consider when examining your application. We recommend that you follow our suggested budget categories described below.
Within each category, budget items should be fully described. For ease of review and reference, you can number your Budget Narrative pages as 424A-1, 424A-2, 424A-3, etc.
Personnel–Line 6a of Standard Form 424A
TOP will support salary expenses for positions directly related to the proposed project. Do not include costs of consultants or staff of contractor organizations here; these should be included in the "Contractual" line.
It is also important to distinguish between: (1) personnel costs, such as project management, network engineering, and training, associated with the development or maintenance of a network; and (2) costs associated with professional services, such as teaching, counseling, or medical care, that are delivered over the network that your project has created. Personnel costs associated with development or maintenance of a network are eligible; payment for ongoing professional services is not eligible. For example, if the project is to create a telemedicine network, the costs of setting up and maintaining the network are eligible, but payment for the time or services of physicians or other health professionals providing care over the network is not an eligible cost.
You should list each staff position for which expenses will be claimed, by name and/or by position title. Each listing should contain: (1) the position's expected level of effort (e.g., 75%, or 30 hours per week); (2) the duration of the position's involvement (e.g., 18 months), (3) the position's base salary or wage rate (e.g., $35,000 per year, $12 per hour); and, (4) a description of the activities to be performed by the person in that position for the proposed project. A breakdown of federal and non-federal funds for each position should be included. The final tally in each category should include separate totals for both federal and non-federal funds, and a combined total for the entire category. See example below:
| PERSONNEL | ||||
| Project Director. The Project Director will oversee all aspects of the grant. Responsibilities will include ensuring that budget and timetable targets are met, selecting contractors, putting together an advisory committee, preparing project reports, and supervising the project staff. The Project Director will work 50% of the time for 18 months. Based on an annual salary of $30,000, the cost to the project will be $22,500. | ||||
| Federal Funds: $22,500 | Matching Funds: $0 | Total: $22,500 | ||
| Trainer. The Trainer will design and develop curricula, and conduct training classes for end users at each of the 12 project sites. The Trainer will be assigned 100% of the time to the project for the first 12 months and 50% for the remaining 6 months. Based on an annual salary of $24,000, the total project cost will be $30,000. | ||||
| Federal Funds: $8,000 | Matching Funds: $22,000 | Total: $30,000 | ||
| ||||
Fringe Benefits–Line 6b
This section should include only the fringe benefits, such as health insurance, social security, workers compensation, and retirement benefits, that apply to the personnel claimed in the section on personnel costs. Note that if fringe benefits are included in the organization's overall indirect cost rate, then they should not be included in this section, but presented with "Indirect Charges." Costs for fringe benefits are typically expressed as a percentage of the base salary or as actual costs. Applicants should list the benefits included in the total fringe calculation. See example below:
| FRINGE BENEFITS | ||||
| Fringe benefits are calculated as 28.5% of base salary. Benefits include health care, Social Security, workers compensation, short term disability, and retirement benefits. | ||||
| Project Director 28.5% of $22,500 for $6,413 | ||||
| Federal Funds: $0 | Matching Funds: $6,413 | Total: $6,413 | ||
| Trainer. 28.5% of $30,000 for $8,550 | ||||
| Federal Funds: $2,280 | Matching Funds: $6,270 | Total: $8,550 | ||
| ||||
Travel–Line 6c
TOP will support travel costs directly related to the project. You must itemize these costs in the budget narrative. Do not include consultant travel costs here, describe these costs in the "Contractual" section.
Travel expenses must be itemized and calculations shown in detail. You should provide strong justification for any travel expenses proposed for the project. Such justification must show that the proposed travel is necessary to the eventual success of the project. For air travel, the origin, destination, and the estimated air fare should be included. Lodging expenses should include the nightly rate and the number of nights. Meals should be broken out on a per day or per meal basis, as appropriate. Automobile travel should include a standard mileage rate and estimated mileage. The purpose of each travel item must be explained. See example below:
| TRAVEL | ||||
| Conference Attendance. In the project's second year, the Project Manager will travel from Akron, OH to Chicago, IL, to present project findings at the Association for Networking's annual conference. Round trip airfare is $400. Two nights lodging @ $90 per night is $180. Per diem of $50/day for meals, for total of $100. Ground transportation $40. | ||||
| Federal Funds: $720 | Matching Funds: $0 | Total: $720 | ||
| Training. The Trainer will make 6 round trips to each of the 12 sites to conduct training classes for a total of 72 trips. Based on an average of 40 miles round-trip driving at our organization's standard rate of $0.25 per mile, the total cost is $720. | ||||
| Federal Funds: $0 | Matching Funds: $720 | Total: $720 | ||
| Meeting with Project Consultants. The Project will fly in 2 Directors from the remote locations at Akron, OH, to Durham, NH, for a Regional Conference to discuss the lessons learned from the project. The estimated round-trip air fare is $900. Two nights lodging @ $90 per day is $180. Two days of meals at $38 per day is $76. Ground transportation to and from the hotel will be $50. Total cost: $1,206. | ||||
| Federal Funds: $1,206 | Matching Funds: $0 | Total: $1,206 | ||
| ||||
Equipment–Line 6d
Equipment typically includes computer and telecommunications hardware (e.g., computers, modems, routers, and video teleconferencing systems). Software should be listed under "Other." Floppy disks and other recordable media should be listed under "Supplies." All expected equipment purchases should be itemized in this section. If detailed information, such as the manufacturer and model number or configuration details, is available, it should be included. However, as shown in the example below, exhaustive detail is not required. Each equipment item (or set of items) should be described and justified. See example below:
| EQUIPMENT | ||||||
| Personal Computers. 1 personal computer will be installed at each of 12 sites for public access to the network. Each computer will be configured with at least 128 MB of RAM, a 500 MHz processor, 6 GB hard drive, and a modem, and will cost $1,500. | ||||||
| Federal Funds: $0 | Matching Funds: $18,000 | Total: $18,000 | ||||
| Laptop Computers. 1 Miniman Laptop will be available for the project coordinators at each of the 12 sites. These laptops were purchased in Jan. 1999 for $3,750 per unit. The use value of the laptops will be calculated using the federal use allowance[2] on existing equipment: (6.666% per year) (the acquisition cost of $3,750) (the 2 year period of use) for a total of $6,000. | ||||||
| Federal Funds: $0 | Matching Funds: $6,000 | Total: $6,000 | ||||
| Network Server. A GreatServer 2000 network server will be located at the project headquarters. The server will be the repository of the local information files and will manage the electronic mail communication among the sites. The server will have at least a 10 GB hard drive, 128 MB of RAM, and a magnetic tape drive for backup purposes. Cost: $14,498. | ||||||
| Federal Funds: $14,498 | Matching Funds: $0 | Total: $14,498 | ||||
| Network Router. A network router will be located at the headquarters of the site. The router will manage communications with the external network and will cost $3,500. | ||||||
| Federal Funds: $3,500 | Matching Funds: $0 | Total: $3,500 | ||||
| ||||||
| ||||||
Supplies-Line 6e
To the extent practicable, costs for any needed office supplies should be itemized. See example below:
| SUPPLIES | ||
| Office supplies such as paper, pens and pencils, computer diskettes, laser printer cartridges, file folders, etc. are estimated at $750. | ||
|
Contractual-Line 6f
All contractual services, including services provided by individual consultants, should be described in this section. Each service should be described in detail and conform to competitive procurement rules in accordance with the appropriate OMB Circulars. The costs should be explained and justified. See example below:
Any proposed sole source procurement for $100,000 or more under the award must be stipulated and a complete sole source justification must be provided. The sole source justification should be based on the unique nature of the contractor service. It may be that the contractor provides the only hardware or software that is compatible with your system. It may be that a specific vendor may be the only one able to deliver the item or service in a timely way. The sole source provisions of these Guidelines also apply to all contracts, including those with individual consultants. Familiarity with the vendor, or past performance is not adequate justification for a sole-source contract.
| CONTRACTUAL | ||||
| Network Installation and Maintenance. A vendor will be competitively selected to install and provide 12 months of ongoing maintenance for the project's network. Installation will include the assembly and configuration of the public access computers, the server, the router, connection to network circuits, and overall system testing. Based on inquiries to local vendors, it is estimated that 100 hours, at $75 per hour will be required for the installation and a 24-hour response maintenance contract is estimated at $200 per month. Total cost: $9,900. | ||||
| Federal Funds: $9,900 | Matching Funds: $0 | Total: $9,900 | ||
| Independent Evaluation Consultant. An evaluation consultant will be competitively selected to work with project staff to provide ongoing assessment support and project monitoring. The selected consultant will refine the evaluation plan, design the evaluation survey instruments, collect and analyze evaluation data, and prepare the final evaluation report. It is estimated that the consultant will work for 20 days in Year 1 and 30 days in Year 2 at a rate of $400 per day. Total cost: $20,000. | ||||
| Federal Funds: $0 | Matching Funds: $20,000 | Total: $20,000 | ||
| Volunteers. One welfare-to-work volunteer will work as a data entry clerk. The volunteer will work 20 hours per week for 18 months. Based on our research of local labor market, the value of the volunteer's efforts is $5.00/hour. The total value of the volunteer's services is $ 7,200. | ||||
| Federal Funds: $0 | Matching Funds: $14,400 | Total: $14,400 | ||
| ||||
Construction–Line 6g
Your Budget Narrative should not include construction costs. As stated in the Notice, costs associated with the construction or major renovation of buildings are not eligible.
Other-Line 6h
Examples of costs appropriately detailed in this section include: purchase of off-the-shelf software; charges for telecommunication services, such as leased data lines or Internet access; charges for information services, such as subscriptions to on-line databases; telephone charges, postage, photocopying and printing needs; office space, office equipment and/or furniture (if being leased); or advertising and/or publicity expenses directly related to the project.
All costs must be itemized–miscellaneous or contingency costs are not allowed. Each item must be justified and its relationship to the project's completion explained. See example below:
| OTHER | ||||
| Telephone service for help desk. 12 months @ $25 per month, for a total of $300. | ||||
| Federal Funds: $300 | Matching Funds: $0 | Total: $300 | ||
|
Software for network server. The network server will require a single
license of each of the following software packages in order to run the
community network: CoolMail mail handler: $1,000 Manage-My-Net network management software: $495 | ||||
| Federal Funds: $1,495 | Matching Funds: $0 | Total: $1,495 | ||
| Leased T-1 circuit. Each of the five sites currently pay on-going multiple line charges for T-1 service to connect to an Internet service provider. After discount, the cost of the leased T-1 service for five (5) sites is $460 per month. Total cost per site for 12 months is $27,600. The Information Systems Division at the central site estimates that 50% of the traffic on the network during the 2 year grant period will be exclusively dedicated to project activities. Therefore the total value of the leased T-1 service as a contribution to the project is $13,800. | ||||
| Federal Funds: $0 | Matching Funds: $13,800 | Total: $13,800 | ||
| Photocopier. A leased copier for 18 months @ $50 per month, for a total of $900. | ||||
| Federal Funds: $900 | Matching Funds: $0 | Total: $900 | ||
| Conference Materials. Handouts and name badges for estimated 250 attendees at Regional Lessons Learned Conference are estimated at $10 per person for a total of $2,500. | ||||
| Federal Funds: $1,250 | Matching Funds: $1,250 | Total: $2,500 | ||
| ||||
Indirect Charges–Line 6j
Your organization may already have an indirect cost rate negotiated with a federal agency. That rate may be applied to your TOP grant if it is current. If it is not current, it must be updated. The old rate may still be applied to the TOP grant, with the understanding that the new negotiated rate will apply if an award is made.
In this section of the Budget Narrative, you should explain how the indirect rate is applied to the direct costs. In the simplest case, the indirect rate is a percentage that is applied to all direct costs. However, some organizations apply indirect costs only to certain categories of direct costs, in which case an explanation of how the total amount is derived is helpful. If you have a negotiated indirect cost rate, a copy of the agreement must be attached to the Budget Narrative.
If you do not have a negotiated rate, but would like to include indirect costs, you should estimate your indirect rate and include it in your budget request. Typically, if an award is made, the applicant will have ninety (90) days from the award start date to submit documentation needed to establish a rate with the federal government. Please note, if the subsequent negotiated rate is lower than the estimated rate in the budget, you will be held to the lower rate in your award.
It is important to note that, in some instances, contracted service expenditures include indirect charges as part of the cost. Indirect costs for contracted services should be included under the "Contractual" section in the Budget and Budget Narrative, not under the "Indirect Charges" section. The "Indirect Charges" section should only include indirect costs to be charged. See example below:
| INDIRECT CHARGES | ||
| The Southern Regional Rehabilitation Center applies an indirect cost rate of 22.5% to all direct cost categories except equipment. A copy of the Southern Regional Rehabilitation Center's current negotiated indirect cost rate with the U.S. Department of Health and Human Services is attached. | ||
|
||
|
Instructions for Preparing Statement of Matching Funds
This statement is required for all applicants. The Statement of Matching Funds is essential for reviewers and TOP staff to understand which project costs identified in Standard Forms 424 and 424A and in the Budget Narrative will be supported by which organizations.
In addition, applicants requesting more than the standard NTIA share of 50% of the project cost should use the Statement of Matching Funds to explain fully their reasons for the request and to provide appropriate supporting documentation.
All funds listed in the Statement of Matching Funds must correspond exactly to cost items discussed in the Budget Narrative. Matching funds should be itemized with the same level of detail as the federal costs. With respect to in-kind donations, it is essential to remember that an item which is not eligible for federal support cannot be included as a match. You should indicate whether the funds will be available at the time of award or they are to be collected at a later date. Finally, if the funds are to be raised through mechanisms such as service or registration fees or other anticipated program income, this should be indicated (and included on the SF 424A). A sample Statement of Matching Funds for the applicant "Carry Forward" appears below:
|
Statement of Matching Funds
Carry Forward's contributions
Total Carry Forward contribution: $81,808
Other Contributions
CompuDonate will provide 12 new personal computers, valued at $1,500 each, for a total contribution of $18,000.
Total contributions from others: $25,200 |
Instructions for Completing Standard Form 424A, Budget Information — Non-Construction Programs
This form is required for all applicants. Please make sure that the figures and totals on the form are consistent with the numbers in your Budget Narrative. Please note, TOP only asks that you complete the front page of the form, sections A - B. Sections C - F you may leave blank.
| Section A-BUDGET SUMMARY | |
| Line 1: | Enter the total funds requested from NTIA on line 1, column (e). This number should match the amount entered in Box 15a of the 424. Enter the amount of non-federal funds, including those from the applicant, state or local governments, or other non-federal sources, on line 1, column (f).
Enter the sum of columns (e) and (f) in column (g). Leave columns (c) and (d) blank. |
| Lines 2-4: | Leave Blank |
| Line 5: | Enter the same amounts entered on line 1. |
| Section B–BUDGET CATEGORIES | |
| Column (1): | Enter the NTIA request for each budget category. Note that the total entered in 6k (1) should equal the amount entered in 1 (e) from Section A. |
| Column (2): | Enter the non-federal contribution for each budget category. The total entered in 6k (2) should equal the amount entered in 1 (f) from Section A. |
| Columns (3), (4): | Leave blank. |
| Column (5): | Enter the sums of columns (1) and (2). |
| Line 7: | Leave blank. |
| Sections C-F | Leave blank. |
| Click here to view a sample Standard Form 424A in .PDF format. | |
G. Instructions for Completing Additional Standard Forms
This section provides information on how to fill out the following Standard
Forms:
Standard Form 424, Application for Federal Assistance
Required for all applicants
Standard Form 424 is required by the Office of Management and Budget as a facesheet to all applications for federal assistance. It asks for information about your organization and your project. Failure to submit a complete 424 with an original signature will result in the rejection of your application.
Below are box-by-box instructions about how to fill out Standard
Form 424:
| Box 2: | Enter the date on which the application is being submitted. |
| Box 3, 4: | Please leave blank. |
| Box 5: | In the section labeled "Legal Name," enter the legal name of the organization that is applying for a grant. Do not enter the legal name of the individual who is applying on behalf of the organization.
In the section labeled "Organizational Unit," enter the name of the department, division, or other organizational unit that will perform the proposed project. For example, the legal name may be the "ABC County Hospital," and the organizational unit may be the "Department of Information Services."
In the section labeled "Address," please enter a street address if possible, not a post office box number. Also, please remember to include the name of the county — it is used for administrative purposes. In the section labeled "Name and Telephone," please include a fax number and an electronic mail address, if available, of the contact person. |
| Box 6: | The Employer Identification Number (EIN) is assigned by the Internal Revenue Service. Every employer should have one. |
| Box 7: | Enter the most appropriate letter in the box. If you are a non-profit organization to which none of the labels applies, please enter "N" for "Other" and type in "Non-Profit." Individuals and for-profit organizations are not eligible to apply. |
| Box 11: | On the first line of this box, enter a descriptive title of the project. Do not enter a summary of the project. |
| Box 12: | List the cities and/or counties affected by the project. If a project is statewide or involves multiple states, please list only the states. If a project is nationwide in scope, please enter "nationwide." |
| Box 13: | In the section labeled "Start Date," enter the date "10/01/01" — the official start date of all awarded projects. Note that the project may begin at any time after the application deadline, but applicants should read the caution about premature obligation of funds. In the section labeled "End Date," enter the date on which the project will terminate. This date may not be more than 36 months from the date entered as the start date. |
| Box 14: | In the section labeled "Applicant," enter the state and district number, e.g., "Nebraska - 2." Do not enter the name of the Congressional representative. Only one district should be listed; it should correspond to the address of the applicant listed in Box 5. In the section labeled "Project," enter the state (or states) and the Congressional district (or districts) that will be directly affected by the project. |
| Box 15a: | Enter the funding request from NTIA for the entire duration of the project. |
| Box 15b: | Enter the estimated funding (both cash and in-kind contributions) to be provided by the applicant. |
| Box 15c: | Enter the estimated funding (cash and in-kind contributions) to be provided by a state government or governments. If the applicant is a state government entity, enter the estimated funding in Box 15b as an applicant contribution, and leave this box blank. |
| Box 15d: | Enter the estimated funding (both cash and in-kind contributions) to be provided by a local government or governments. If the applicant is a local government entity, enter the estimated funding in Box 15b as an applicant contribution, and leave this box blank. |
| Box 15e: | Enter the estimated funding (both cash and in-kind contributions) to be provided by other sources (e.g., foundations, private sector contributors). |
| Box 15f: | Leave blank. |
| Box 15g: | Enter the total of Boxes 15a - 15e. |
| Box 16: | TOP is covered by Executive Order 12372. All applicants are required to submit a copy of their application to their state Single Point of Contact (SPOC). Please see names and addresses of state SPOC offices listed in Appendix II. Applicants should indicate the date on which a copy of the application was submitted to the state SPOC office. If the application is from a state that does not have a SPOC office or if a state has for some reason declined to review the application, check the box next to "or program has not been selected by state for review." Do not check the box next to "program is not covered by E.O. 12372." |
| Box 17: | Unless your organization is delinquent on a federal debt, be sure to check "No." If your organization is delinquent on a federal debt, explain the circumstances on a separate sheet attached to this form. |
| Box 18: | Enter the name, title and telephone number of someone who is authorized to commit the applicant organization. Have the authorized representative sign the form in blue ink so the original signature can be distinguished from the copies. Do not forget to date the signature. |
| Click here to view a sample Standard Form 424 in .PDF format. | |
Standard Form 424B, Assurances
Required for all applicants
The Department of Commerce requires that all applicants provide assurance that they are eligible to receive federal assistance and that they will comply with applicable federal regulations.
An original signature is required on the back page of form 424B, Assurances. Include the date signed. This form should be signed by the same person that signs the form 424.
CD-511, Certifications Regarding Debarment, Suspension, and Other
Responsibility Matters; Drug-Free Workplace Requirements and Lobbying
Required for all applicants
The Department of Commerce requires that all applicants certify that they are complying with certain conditions put on the award of federal assistance.
An original signature is required on the back page of form CD-511, Certifications. Include the date signed. This form should be signed by the same person that signs the form 424.
SF-LLL, Disclosure of Lobbying Activities
Required only for those applicants who engage in lobbying Congress or the federal government on behalf of their application
This form is used to disclose any lobbying activities in which the applicant is engaged on behalf of the application.
The filing of the form is required for each payment or agreement to make a payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the application.
The instructions for completing Standard Form LLL are provided on the back of the form.
Appendix I. Application Forms
This section contains links to the following forms needed to complete TOP
application. [Note: The forms are in .PDF format. To view and/or print them,
you must have the Adobe Acrobat™ "plug-in" installed on
your browser; click
here for more details.]:
Please use photocopies of these forms for your application and save the original copies for use in case the TOP requests revisions during its review.
In addition, TOP maintains copies of blank forms on its Internet home page that can be printed and used in your application.
Appendix II: State Single Point of Contact (SPOC) List for 2001
| ALABAMA | No State SPOC Office |
| ALASKA | No State SPOC Office |
| AMERICAN SAMOA | No State SPOC Office |
| ARIZONA | No State SPOC Office |
| ARKANSAS | Tracy L. Copeland, Manager State Clearinghouse Office of Intergovernmental Services Dept. Of Finance and Administration 1515 West 7th Street, Room 412 Little Rock, Arkansas 72203 (501) 682-1074 (501) 682-5206 (FAX) tlcopeland@dfa.state.ar.us |
| CALIFORNIA | Grants Coordinator Office of Planning and Research P. O. Box 3044, Room 222 Sacramento, California 95812-3044 (916) 445-0613 (916) 323-3018 (FAX) state.clearinghouse@opr.ca.gov |
| COLORADO | No State SPOC Office |
| CONNECTICUT | No State SPOC Office |
| DELAWARE | Charles H. Hopkins Executive Department Office of the Budget 540 S. Dupont Highway, 3rd Floor Dover, Delaware 19901 (302) 739-3323 (302) 739-5661 (FAX) chopkins@state.de.us |
| DISTRICT OF COLUMBIA | Ron Seldon Office of Grants Management and Development 717 14th Street, NW Suite 1200 Washington, DC 20005 (202) 727-1705 (202) 727-1617 (FAX) ogmd-ogmd@dcgov.org |
| FLORIDA | Cherie L. Trainor Florida State Clearinghouse Department of Community Affairs 2555 Shumard Oak Blvd. Tallahassee, Florida 32399-2100 (850) 922-5438 (850) 414-5495 (direct) (850) 414-0479 (FAX) cherie.trainor@dca.state.fl.us |
| GEORGIA | Georgia State Clearinghouse 270 Washington Street, SW Atlanta, Georgia 30334 (404) 656-3855 (404) 656-7901 (FAX) gach@mail.opb.state.ga.us |
| GUAM | Director Bureau of Budget and Management Research Office of the Governor P.O. Box 2950 Agana, Guam 96910 011-671-472-2285 011-671-472-2825 (FAX) jer@ns.gov.gu |
| HAWAII | No State SPOC Office |
| IDAHO | No State SPOC Office |
| ILLINOIS | Virginia Bova State Single Point of Contact Department of Commerce and Community Affairs James R. Thompson Center 100 West Randolph, Suite 3-400 Chicago, Illinois 60601 (312) 814-6028 (312) 814-8485 (FAX) vbova@commerce.state.il.us |
| INDIANA | No State SPOC Office |
| IOWA | Steven R. McCann Division for Community Assistance Iowa Dept. of Economic Development 200 East Grand Avenue Des Moines, Iowa 50309 (515) 242-4719 (515) 242-4809 (FAX) steve.mccann@ided.state.ia.us |
| KANSAS | No State SPOC Office |
| KENTUCKY | Ron Cook Department for Local Government Kentucky State Clearinghouse 1024 Capital Center Drive, Suite 340 Frankfort, Kentucky 40601 (502) 573-2382 (502) 573-0175 (FAX) ron.cook@mail.state.ky.us |
| LOUISIANA | No State SPOC Office |
| MAINE | Joyce Benson State Planning Office 184 State Street 38 State House Station Augusta, Maine 04333 (207) 287-3261 (207) 287-6489 (FAX) joyce.benson@state.me.us |
| MARYLAND | Linda Janey Manager, Clearinghouse and Plan Review Unit Maryland Office of Planning 301 West Preston Street - Room 1104 Baltimore, Maryland 21201-2305 (410) 767-4490 (410) 767-4480 (FAX) linda@mail.op.state.md.us |
| MASSACHUSETTS | No State SPOC Office |
| MICHIGAN | Richard W. Pfaff Southeast Michigan Council of Gov't. 660 Plaza Drive Suite 1900 Detroit, Michigan 48226 (313) 961-4266 (313) 961-4869 (FAX) pfaff@semcog.org |
| MINNESOTA | No State SPOC Office |
| MISSISSIPPI | Cathy Mallette Clearinghouse Officer Department of Finance and Administration 550 High Street 303 Walter Sillers Bldg. Jackson, Mississippi 39201-3807 (601) 359-6762 (601) 359-6758 (FAX) |
| MISSOURI | Lois Pohl, Coordinator Federal Assistance Clearinghouse Office of Administration P.O. Box 809 Room 915, Jefferson Bldg. Jefferson City, Missouri 65102 (573) 751-4834 (573) 522-4395 (FAX) pohll_@mail.oa.state.mo.us |
| MONTANA | No State SPOC Office |
| NEBRASKA | No State SPOC Office |
| NEVADA | Heather Elliott Department of Administration State Clearinghouse 209 E. Musser Street, Room 200 Carson City, Nevada 89701 (775) 684-0209 (775) 684-0260 (FAX) helliott@govmail.state.nv.us |
| NEW HAMPSHIRE | Jeffrey H. Taylor New Hampshire Office of State Planning Attn: Intergovernmental Review Process Mike Blake 2½ Beacon Street Concord, New Hampshire 03301 (603) 271-2155 (603) 271-1728 (FAX) jtaylor@osp.state.nh.us |
| NEW JERSEY | No State SPOC Office |
| NEW MEXICO | Ken Hughes Local Government Division Room 201 Bataan Memorial Building Santa Fe, New Mexico 87503 (505) 827-4370 (505) 827-4948 (FAX) khughes@dfa.state.nm.us |
| NEW YORK | No State SPOC Office |
| NORTH CAROLINA | Jeanette Furney (Grants) Department of Administration 1302 Mail Service Center Raleigh, North Carolina 27699-1302 (919) 807-2323 (919) 733-9571 (FAX) jeanette.furney@ncmail.net |
| NORTH DAKOTA | Jim Boyd Division of Community Services 600 East Boulevard Ave, Dept 105 Bismarck, North Dakota 58505-0170 (701) 328-2094 (701) 328-2308 (FAX) jboyd@state.nd.us |
| NORTHERN MARIANA ISLANDS | Ms. Jacoba T. Seman Federal Programs Coordinator Office of Management and Budget Office of the Governor Saipan, MP 96950 (670) 664-2289 (670) 664-2272 (FAX) omb.jseman@saipan.com |
| OHIO | No State SPOC Office |
| OKLAHOMA | No State SPOC Office |
| OREGON | No State SPOC Office |
| PENNSYLVANIA | No State SPOC Office |
| PUERTO RICO | Jose Caballero/Mayra Silva Puerto Rico Planning Board Federal Proposals Review Office Minillas Government Center P.O. Box 41119 San Juan, Puerto Rico 00940-1119 (787) 723-6190 (787) 722-6783 (FAX) |
| RHODE ISLAND | Kevin Nelson Department of Administration Statewide Planning Program One Capitol Hill Providence, Rhode Island 02908-5870 (401) 222-2093 (401) 222-2083 (FAX) knelson@doa.state.ri.us |
| SOUTH CAROLINA | Omeagia Burgess Budget and Control Board Office of State Budget 1122 Ladies Street, 12th Floor Columbia, South Carolina 29201 (803) 734-0494 (803) 734-0645 (FAX) aburgess@budget.state.sc.us |
| SOUTH DAKOTA | No State SPOC Office |
| TENNESSEE | No State SPOC Office |
| TEXAS | Denise S. Francis Governor's Office of Budget and Planning P.O. Box 12428 Austin, Texas 78711 (512) 305-9415 (512) 936-2681 (FAX) dfrancis@governor.state.tx.us |
| UTAH | Carolyn Wright Utah State Clearinghouse Governor's Office of Planning and Budget State Capitol, Room 114 Salt Lake City, Utah 84114 (801) 538-1535 (801) 538-1547 (FAX) cwright@gov.state.ut.us |
| VERMONT | No State SPOC Office |
| VIRGIN ISLANDS | Ira Mills Director, OMB #41 Norre Gade Emancipation Garden Station, Second Floor Saint Thomas, Virgin Islands 00802 (340) 774-0750 (340) 776-0069 (FAX) lrmills@usvi.org |
| VIRGINIA | No State SPOC Office |
| WASHINGTON | No State SPOC Office |
| WEST VIRGINIA | Fred Cutlip, Director Community Development Division West Virginia Development Office Building #6, Room 553 Charleston, West Virginia 25305 (304) 558-4010 (304) 558-3248 (FAX) fcutlip@wvdo.org |
| WISCONSIN | Jeff Smith Section Chief, Federal/State Relations Wisconsin Department of Administration 101 East Wilson Street - 6th Floor P.O. Box 7868 Madison, Wisconsin 53707 (608) 266-0267 (608) 267-6931 (FAX) jeffrey.smith@doa.state.wi.us |
| WYOMING | No State SPOC Office |
FOOTNOTES