[Federal Register Volume 59, Number 43 (Friday, March 4, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-5006]
[[Page Unknown]]
[Federal Register: March 4, 1994]
_______________________________________________________________________
Part VI
Department of Commerce
_______________________________________________________________________
National Telecommunications and Information Administration
_______________________________________________________________________
Telecommunications and Information Infrastructure Assistance Program
(TIIAP); Notice
DEPARTMENT OF COMMERCE
National Telecommunications and Information Administration
[Docket Number: 940118-4018]
RIN 0660-AA04
Telecommunications and Information Infrastructure Assistance
Program (TIIAP)
AGENCY: National Telecommunications and Information Administration,
Commerce.
ACTION: Notice of availability of funds.
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SUMMARY: The National Telecommunications and Information Administration
(NTIA) announces the availability of funds for planning and
demonstration projects to promote the goals of development and
widespread availability of advanced telecommunications technologies; to
enhance the delivery of social services and generally serve the public
interest; to promote access to government information and increase
civic participation; and to support the advancement of an advanced
nationwide telecommunications and information infrastructure.
DATES: Applications for the TIIAP must be mailed or hand-carried to the
address indicated below and received by NTIA on or before 5 p.m., May
12, 1994. NTIA anticipates that it will take between three to four
months to process all applications and make final funding
determinations.
ADDRESSES: Office of Telecommunications and Information Applications,
Department of Commerce, National Telecommunications and Information
Administration, 14th Street and Constitution Avenue, NW., room H-4889,
Washington, DC 20230.
FOR FURTHER INFORMATION CONTACT: Dr. Charles M. Rush, Acting Director
of the Office of Telecommunications and Information Applications,
Telephone: (202) 482-2048; fax: (202) 482-2156; e-mail:
tiiap@ntia.doc.gov Information on the program may also be downloaded
from the NTIA Bulletin Board. Modem should be set at either 2400 or
9600 baud, 8 data bits, 1 stop bit: (202) 482-1199.
SUPPLEMENTARY INFORMATION:
Authority
The National Telecommunications and Information Administration
(NTIA), Department of Commerce, serves as the President's principal
adviser on telecommunications and information policy. NTIA's functions
were codified as part of the Telecommunications Authorization Act of
1992, Public Law 102-538, 106 Stat. 3533, 47 U.S.C. 901-04 (1993).
The Departments of Commerce, Justice, and State, the Judiciary and
Related Agencies Appropriations Act of 1993, Public Law 103-121, 107
Stat. 1153 (1993), provides the Department of Commerce $26 million in
assistance for public telecommunications facilities under 47 U.S.C.
390-393A (1991), to be used for the planning and construction of
telecommunications networks for the provision of educational, cultural,
health care, public information, public safety or other social services
(notwithstanding the requirements of 47 U.S.C. 392 (a) and (c)).
Program Description
NTIA announces a competitive grant program, the TIIAP, created to
advance the goals of the Administration's National Information
Infrastructure (NII) initiative. Major goals of the NII initiative
include: The promotion of private sector investment through appropriate
tax and regulatory policies; the extension of universal service so that
information is available to all at affordable prices, using the widest
variety of appropriate technologies; the promotion of technological
innovation and new applications; wider access to government
information; and guarantees of information security and network
reliability.
For details of the NII initiative, see The National Information
Infrastructure: Agenda for Action, 58 FR 49025 (September 21, 1993).
This document is available on Internet, in ASCII format through both
FTP and Gopher. The FTP file name is ``niiagenda.asc.'' Address:
``ftp.ntia.doc.gov.'' Login as ``anonymous''. Use your e-mail address
or guest as the password. Change directory to ``pub.'' The Gopher
address is ``gopher.nist.gov.'' Login as ``gopher.'' Choose the menu
item ``DOC Documents.'' Choose ``ntiaagenda.asc.''
The TIIAP will provide matching grants to state and local
governments, non-profit health care providers, school districts,
libraries, universities, public safety services, and other non-profit
entities. Grants will be awarded after a competitive merit review
process and will be used to fund projects to connect institutions to
existing networks and systems, enhance communications networks and
systems that are currently operational, establish new network
capabilities, permit users to interconnect among different networks and
systems, and bring more users on-line. Equally important, they will
help leverage the resources and creativity of the private sector to
devise new applications and uses of the NII. The success of these pilot
projects will create an ongoing process that will generate more
innovative approaches each year.
Funding Availability
Congress appropriated $26 million for competitive information
infrastructure grants in fiscal year 1994 for the planning and
construction of telecommunications networks for the enhancement of
equal opportunity and the provision of educational, cultural, health
care, public information, library, public safety or other social
services. NTIA expects that the level of competition will be extremely
high. The overall level of funding will place obvious limits on the
amount of funding available for individual grants, although NTIA
anticipates receiving a wide range of grant proposals.
Currently, there is pending legislation to authorize an
infrastructure grant program for fiscal years 1995 and 1996 that would
continue to advance the goals of the grant program described in this
Notice for fiscal year 1994 funds. NTIA anticipates that the pending
authorization legislation will, if enacted, prescribe standards fully
consistent with the criteria set forth in this Notice (criteria that
are set as a matter of NTIA's administrative discretion, consistent
with NTIA's existing statutory authorities; see 47 U.S.C. 392 (1991)).
Nevertheless, it must be emphasized that, until new authorizing
legislation is enacted, NTIA cannot unequivocally state what specific
criteria it will apply in evaluating grant applications for fiscal
years 1995 and 1996. Accordingly, the criteria described below apply
only to fiscal year 1994 project proposals.
Matching Requirements
Grant recipients under this program will be required to provide
matching funds toward the total project cost. NTIA will provide up to
fifty per cent (50%) of the total project cost, unless extraordinary
circumstances warrant a grant of up to seventy-five per cent (75%). A
project will not be considered grantable unless the applicant can
document a capacity both to supply matching funds, and to sustain the
project beyond the period of the award. Cash matching is highly
desirable; however, NTIA will allow in-kind matching on a case-by-case
basis. Federal funds may not be used as matching monies. Grant funds
under this program will be released in direct proportion to local
matching funds raised and/or documented.
Type of Funding Instrument
The funding instrument for awards under this program shall be a
grant.
Eligibility Criteria
The fiscal year 1994 grant cycle of the TIIAP is divided into two
separate categories. Category One supports the efforts of all eligible
applicants (state and local governments, as well as non-profit
entities) to develop their information infrastructures through
demonstration projects. NTIA considers this to be the principal funding
category. Category Two focuses on planning grants, and is further
divided into two subcategories. The first subcategory supports planning
efforts that project a statewide, multi-state, or national impact. The
second subcategory supports the planning efforts with an intrastate or
local impact. State and local governments, as well as multi-state and/
or non-profit entities are eligible to apply in all categories.
Award Period
Successful applicants will have between six and eighteen months to
complete their projects. The actual time will vary depending on the
complexity of any particular project. During the award period, NTIA has
a duty to monitor and evaluate the projects it funds through the TIIAP.
Typically, monitoring will involve site visits by NTIA staff and
designated evaluators, informal telephone contact, and evaluation of
the grantees' written reports. NTIA also expects that grantees, working
with NTIA, will evaluate the results of their projects, and formalize
and disseminate information about the lessons learned therefrom.
Further information on NTIA's duty to monitor funded projects, as well
as NTIA's evaluation expectations, is contained in the grant
application kit.
Indirect Costs
The total dollar amount of the indirect costs proposed in an
application under this program must not exceed the indirect cost rate
negotiated and approved by a cognizant Federal agency prior to the
proposed effective date of the award or one hundred per cent (100%) of
the total proposed direct costs dollar amount in the application,
whichever is less.
Application Forms and Kit
Standard Forms 424, Application for Federal Assistance; 424A,
Budget Information--Non-Construction Programs; and 424B, Assurances--
Non-Construction Programs, (Rev 4-88), shall be used in applying for
financial assistance. The forms used in the Application are subject to
the Paperwork Reduction Act, and have been cleared by the Office of
Management and Budget under Control Numbers 0348-0043, 0348-0044, and
0348-0040. Application kits may be obtained by writing to the address
listed in the ADDRESSES section above.
Project Funding Priorities
Funding under the TIIAP will be awarded to support projects that
most effectively enhance economic opportunity, the provision of
education, culture, health care, public information, library, public
safety, social services, or other efforts to meet public needs; and
that support the further development of a nationwide, high-speed,
interactive infrastructure, incorporating the widest variety of
information technologies. The number of proposals that will receive
funding in each of the two categories will depend, in large measure, on
the total number of applications that NTIA receives. Because the
aggregate funding level of individual grants cannot be determined in
advance, applicants must justify the amounts requested.
NTIA anticipates that approximately sixty per cent (60%) of the
funds appropriated for this grant program will be devoted to
demonstration projects, with approximately forty per cent (40%) of the
funds devoted to planning grants for states, local governments,
regional entities, and non-profit entities. Details of funding
priorities within these categories are as follows:
Priority in Category One--Demonstration Projects
A priority for demonstration project grants is that the project
develop a model that others can follow. An important element of this
model is a plan for disseminating the knowledge gained as a result of
carrying out the project. In NTIA's view, this nation's
telecommunications infrastructure should reinforce the values of
American democracy, and the TIIAP should support projects that empower
citizens, promote equal opportunity, protect individuals' rights, and
strengthen democratic institutions.
Therefore, within the context of this category, all applications in
the public interest are candidates for support; however, principal
consideration will be given to telecommunications and information
applications that promote economic opportunity and the effective
provision of education, health care, public safety, libraries,
community information services, creation of information empowerment
zones, and other approaches that foster public participation in the
political process and civic life.
Priorities in Category Two--Planning Grants
Statewide, Regional, and National Planning Grants
Priority consideration will be given to projects whose impact will
be statewide, regional (multi-state), or national. A component of this
category will be support for states to engage in comprehensive
telecommunications infrastructure planning, particularly those states
that have not yet developed detailed strategies for their respective
information infrastructures. NTIA will also consider, but with a lower
priority, applications from states that have developed comprehensive
plans, but seek further improvement in these plans. NTIA also
encourages proposals from multi-state consortia, as well as from
organizations, or coalitions of organizations, for regional or national
telecommunications infrastructure planning.
Local and Intrastate Planning Grants
NTIA will deem most competitive those projects that clearly and
demonstrably further the goals of this program at a community, county,
or multi-county level. While the focus of this subcategory is local,
NTIA encourages collaborations among counties, communities, and public
and private organizations at the local or regional level, as well as
coordination with state agencies involved with telecommunications
infrastructure planning and implementation.
Evaluation Criteria
A. General Criteria
As a network of networks, the telecommunications component of the
National Information Infrastructure will never be a single entity. In
fact, telecommunications networks and systems in the United States have
been growing and evolving for more than a century. This trend will
continue (and supporting it is a primary policy goal of the NII
initiative), driven by technological innovation, market forces, and the
elaboration of increasingly sophisticated and varied information
delivery systems throughout the world. Applicants should be aware of
this trend, and configure their proposed projects to take advantage of
existing and emerging standards for interoperability.
The success of any grant program depends upon its ability to fund
only those projects that are well thought out and comprehensively
planned. Therefore, no funds will be expended under this program unless
the project demonstrates the most economic and efficient use of scarce
Federal resources. Other general criteria that all applicants should
address are:
1. Technical Considerations
A major goal of the NII is the integration of networks. The TIIAP
will not foster stand-alone, ``dedicated networks,'' that are
incapable, for either technical or practical reasons, of
interconnecting with other networks and systems. In part, applicants
will be judged on the extent to which they plan to coordinate
information infrastructure activities in their state, in neighboring
states, or in the region. Applicants should address the technical
aspects of their information infrastructure projects. Proposals should
address interconnectivity, the capacity of one system to easily
transfer digital information to another system, at the state, regional,
national, and international level, as appropriate. Whether the
information infrastructure will be expandable is another important
issue. The standards, codes, and protocols that will allow for
interoperability should be addressed in this section. Finally, the
capacity for interactivity should be described in detail.
2. Partnerships
NTIA will look favorably on joint applications from partnerships of
two or more entities. For this reason, applicants should be aware of
other relevant information infrastructure projects in the state or
region. To the extent possible, applicants should plan to coordinate
their projects with other relevant projects.
3. Innovation and Experimentation
An overriding goal of the TIIAP is to foster innovation and
experimentation in the uses and benefits that accrue from information
infrastructure, while at the same time rewarding those projects which
display innovative approaches to the problem of ensuring individual
privacy. For this reason, the program will carefully assess projects
from the perspective of technology or technologies deployed, current
applications supported, and the potential for growth in the range of
services provided. As noted above, NTIA expects applicants to consider
carefully the status of the existing infrastructure; however,
applicants should be willing, when appropriate, to experiment with new
uses and applications of the information infrastructure supported under
this program.
4. Privacy
As noted above, NTIA expects applicants to consider carefully
safeguards for the privacy of the information flowing through the
information infrastructure funded through this grant program. While not
mandating specifics, NTIA expects applicants to demonstrate a high
level of respect for the privacy of users' information and data.
Applicants proposing projects dealing with individually identifiable
information will be required to prescribe mechanisms for protecting
individual privacy. In addition, NTIA expects applicants to comply
fully with all applicable privacy laws.
5. Eliminating Disparity of Access
One of the key roles for government in the NII is to promote equity
of access, so that the information age does not create information
``haves'' and ``have nots.'' Applicants should address how they intend
to support the goal of promoting widespread access, and eliminating or
reducing disparities in access, to the information infrastructure,
consistent with the scope of the project. For purposes of this grant
cycle, NTIA will look favorably on proposals that enable ordinary
Americans to learn how to use, or benefit from, information
infrastructure, without unreasonable burden or expense. Applicants
should also consider how to train end-users in the use of information
technologies. This section should address questions such as:
How will the applicant's proposal help ensure end-user ease of
access to the telecommunications infrastructure?
How will the planning or implementation process encourage
community development?
How will the planning or implementation process address the
issue of access to the information infrastructure by minorities,
disadvantaged, or otherwise under-served populations?
6. Role of Existing Information Infrastructure
By a variety of measures, the United States' existing information
infrastructure is the most advanced in the world. Therefore, if an
applicant requests support to construct new transmission capacity,
there should be a clear discussion of why utilization of existing
networks and systems cannot be relied upon efficiently and economically
to meet the project's needs. A proposal should address whether
incorporation of existing information infrastructure into the overall
plan is feasible. Under this section, applicants should address
questions such as:
What information infrastructure is currently available to the
applicant? How can commercial and non-commercial providers of
telecommunications and information services help the applicant meet
its information needs?
7. Accommodation of Future Technology and Flexibility
As communications and information technologies rapidly evolve and
improve, existing technology can quickly become obsolete. For this
reason, all applicants should consider how they intend to address this
issue. The capacity for upgrades and improvements, as well as the
flexibility to accommodate changes in the volume or types of uses,
should be considered from the beginning of any planning or development
process.
8. Contribution to the Formation of the National Information
Infrastructure
Applicants should explain how their proposed projects can make a
contribution to the development of the National Information
Infrastructure. Some questions that an applicant could consider are:
What applications and services are being provided through the
existing information infrastructure?
How will the project ensure connectivity to other systems
outside the immediate state or community?
What monitoring or evaluation plan will be utilized?
B. Specific Evaluative Criteria
1. Category One--Demonstration Projects
a. Eligibility. This category is open to any state or local
government, or any non-profit entity. For purposes of this notice, a
``local government'' is any branch of government below the state level.
This term also includes special purpose subdivisions, or government-
funded entities that have responsibilities beyond the political
boundaries of a single state, and Indian Tribal governments. A ``non-
profit'' entity is any foundation, association, or corporation, no part
of the net earnings of which inures, or may lawfully inure, to the
benefit of any private shareholder or individual. This is the same
definition used in 47 U.S.C. 397 (1991).
b. Evaluative criteria. A major criterion under this category will
be the capability of the applicant actually to carry out the proposed
project and/or the applicant's ability to deliver the proposed service
or services. In addition to the general evaluative criteria set forth
above, applicants for demonstration projects should address the
following criteria in their applications: (1) Connection to end-users.
In formulating their proposals, applicants should be mindful of the
needs of eventual end-users. Any system or network proposed for NTIA
funding should include capacity for providing a range of information
services, consistent both with the mission of the entity and the
present and future requirements of end-users. Questions applicants
might address are:
To what degree does the project duplicate other services
available to users in the projected service area?
To what degree does the project include provisions for
multifunctional activities--such as education, health care,
community information services, etc.--and access to related
information sources?
Will the project be structured to respond to increased demands
for services from users?
(2) Efficiency and economy. In this era of limited fiscal
resources, it is essential that each dollar be spent in the most
efficient and economical manner possible. Some questions that the
applicant might consider under this criterion are:
Is the proposed acquisition of information infrastructure, with
NTIA grant funds, the most efficient and economical?
Why is the applicant's choice of technology the most appropriate
to the proposal?
How will the system or equipment funded by NTIA be maintained?
Is its operation assured for a reasonable amount of time after
installation?
How does the applicant intend to deal with rapidly changing
technology and issues of obsolescence?
What role will available commercial services play in the
proposed project?
(3) End-user support. A large barrier to more successful
utilization of information infrastructure is the end-user's inability
to employ it. Therefore, applicants should consider how end-users will
be trained to use the equipment and network. Some questions that the
applicant might address are:
Are there specialized training requirements for the system?
Who is best qualified to provide the training?
Can end-users use the system to produce and disseminate
information, as well as gain access to information?
Is the system or network user friendly, so that it does not
discourage new users, or those who are not ``computer literate?''
c. Financial information. Grant funds may be spent on purchase of
telecommunications infrastructure equipment, long-term lease of
services, end-user support, and other expenses reasonably related to
the project.
2. Category Two--Planning Grants
Statewide, Regional, and National Planning Grants
a. Eligibility
For purposes of this section--Statewide, Regional, and National
Planning Grants--eligible applicants are any of the fifty states, the
District of Columbia, Guam, Puerto Rico, the Virgin Islands, America
Samoa, and the Marianas Islands, as well as multi-state consortia,
coalitions of organizations, or national entities.
b. Evaluative Criteria
In addition to the general evaluative criteria set forth above,
applicants for planning projects should address the following criteria
in their applications: (1) Objectives. Proposals should be consistent
with the long range NII objective of fostering seamless, multi-
functional networks. Accordingly, applicants should consider the
concept of ``interoperability,'' the view that every system, no matter
its level of sophistication or geographic extent, is part, ultimately,
of a global communication system that allows one end-user to
communicate ``transparently'' with another end-user, irrespective of
distance or time.
(2) End-users. In their proposals, applicants should identify the
end-users of the information infrastructure. Considerations of numbers
of users, the diversity of anticipated end-users, and what social good
the applicant expects from implementation of its plan may help
determine what strategies states will adopt. Under this section,
applicants could address questions such as:
How will the widespread availability of telecommunications and
information infrastructure capabilities be promoted within the
proposal?
How should the costs of ensuring adequate access be allocated?
Will the plan stimulate demand for new telecommunications services?
How will the plan address the needs of previously disenfranchised
potential users?
What steps are necessary to ensure end-user ease of access? What
are the respective roles of the state and private sector in taking
these steps?
(3) Incorporation of broad input. There are many individuals and
sectors of society with a stake in the information infrastructure. How
an applicant intends to incorporate their opinions and concerns into
the final plan is crucial to the eventual successful implementation of
the plan. Applicants should address how they intend to incorporate
comments from the public into the planning process. The breadth and
depth of representation, including a balanced representation of rural
and urban, professional, socioeconomic, ethnic, cultural and other
relevant interests, is important. Some questions for an applicant to
address under this section are:
To what extent will the applicant work to promote public/private
partnerships?
What procedures will ensure that individuals and entities can
provide input?
What state and national agencies and private sector entities
will be involved, and at what levels?
What monitoring or evaluation plan will be utilized?
c. Financial information. Grant funds may be spent on information
collection, salaries, travel, lodging, and other expenses reasonably
related to planning activities.
Local and Intrastate Planning Grants
a. Eligibility
This section supports development of planning and/or implementation
strategies of local governments, intrastate multi-community or multi-
county entities, and local non-profit organizations.
b. Evaluative Criteria
Many of the evaluative criteria applied to the previous planning
grant category--questions of interoperability, identification of end-
users, and incorporation of broad input--are germane to Local and
Intrastate Planning Grant applications.
(1) Objectives
Although the focus of this subcategory is considerably less
``global'' than for Statewide, Regional, and National Planning Grants,
proposals in this subcategory should nevertheless exhibit the same
consistency with the long range NII objective of fostering seamless,
multi-functional networks. Accordingly, questions of interoperability
and connectivity should be carefully considered.
Within the context of this subcategory, a number of questions
become especially relevant:
What provisions in the plan have been made to address crucial
``last mile'' connectivity questions?
Is sufficient technical and operational expertise available at
the local level to ensure efficient planning and subsequent
implementation?
Will service provider and/or end-user acceptance of new or
expanded telecommunications services present any special
difficulties?
(2) Formation of Partnerships
NTIA will consider favorably applications that demonstrate a
partnership among groups of communities or entities for the purpose of
pooling and leveraging resources. This does not mean that these groups
should come together merely for the purpose of obtaining a federal
grant. This partnership or coalition should demonstrate that it will
continue to function and operate effectively once the NTIA grant is
concluded.
Can the local resources of national or regional organizations,
both public and private, be enlisted in support of the planning
effort?
What unique linguistic, social, cultural, political, or economic
impediments exist locally that might hinder the planning effort?
(3) Innovation and Experimentation
Information infrastructure has evolved and been used in
unanticipated ways. Similarly, many of the most valuable
telecommunications services (such as the Internet) and facilities now
in use were once experimental. NTIA is seeking applications for
planning grants that will foster and encourage experimentation with use
of NII technologies at the grass roots level, build the capacity of the
public to participate in the emerging NII, or address specific
objectives underlying the deployment of the NII as identified in the
Agenda for Action (September 21, 1993). For this reason, projects
supported under Category Two should be those that are more likely to
lead to the development of innovative methods, practices, or policies
that will ensure that the NII activities reach a broad population. The
objective is to build both the technical and human infrastructure
needed to make the NII useful to citizens. These plans can serve as
models for similar projects that are most likely to lead to the
development of systems, projects, and policies that can stimulate
similar initiatives in other areas of the country.
(4) Support
Applicants should clearly define the administrative or
institutional support that has been generated to advance any planning
effort.
Can national sources of public and private funding be leveraged
in support of a local planning effort?
Since many local initiatives tend to rely heavily in the initial
stages on volunteer energies, how will questions of continuity be
addressed?
c. Financial Information
Grant funds may be spent on information collection, salaries,
travel, lodging, and other expenses reasonably related to planning
activities.
Selection Procedures
Categories of projects warranting support under the TIIAP are
described above. The priorities described at the beginning of each
specific category sets out those types of projects that NTIA is most
interested in supporting. These criteria will enable NTIA to ascertain
the competitiveness of projects within certain priorities.
All applications will be subject to a thorough peer review process.
Panels composed of individuals fully conversant with the technical and
operational aspects of advanced telecommunications technologies and
services will review the proposals and make non-binding recommendations
to the agency. The final decision on successful applications will be
made by the Assistant Secretary for Communications and Information, who
also administers NTIA. All applicants should address the general
criteria described above, regardless of the category to which they are
applying. Specific criteria apply only within that category (i.e., a
local government should not address the specific criteria for State
Planning). While all criteria carry equal weight, not all criteria will
be equally applicable to every proposal. Even if the applicability or
lack of applicability of a particular criterion may appear obvious, an
applicant should take care to explain why that criterion does not apply
to its proposal.
Other Information
Federal Policies and Procedures
Recipients and subrecipients are subject to all applicable Federal
laws and Federal and Department of Commerce policies, regulations, and
procedures applicable to Federal financial assistance awards.
Past Performance
Unsatisfactory performance under prior Federal financial assistance
awards may result in an application not being considered for funding.
Pre-Award Activities
If applicants incur any costs prior to an award being made, they do
so solely at their own risk of not being reimbursed by the government.
Applicants are hereby notified that, notwithstanding any verbal or
written assurance that they may have received, there is no obligation
on the part of Department of Commerce or NTIA to cover pre-award costs.
No Obligation For Future Funding
If an application is selected for funding, the Department of
Commerce has no obligation to provide any additional future funding in
connection with that award. Renewal of an award to increase funding or
extend the period of performance is at the total discretion of the
Department of Commerce. Receipt of a TIIAP grant, however, will not
eliminate the recipient from consideration for future funding.
Delinquent Federal Debts
No award of Federal funds shall be made to an applicant who has an
outstanding delinquent Federal debt until either: 1. The delinquent
account is paid in full;
2. A negotiated repayment schedule is established and at least one
payment is received; or
3. Other arrangements satisfactory to the Department of Commerce
are made.
Name Check Review
All non-profit and for-profit applicants are subject to a name
check review process. Name checks are intended to reveal if any key
individuals associated with the applicant have been convicted of or are
presently facing criminal charges such as fraud, theft, perjury, or
other matters that significantly reflect on the applicant's management
honesty or financial integrity.
Primary Applicant Certifications
All primary applicants must submit a completed Form CD-511,
``Certifications Regarding Debarment, Suspension and Other
Responsibility Matters; Drug-Free Workplace Requirements and
Lobbying,'' and the following explanations are hereby provided: 1.
Nonprocurement Debarment and Suspension--Prospective participants (as
defined at 15 CFR 26.105) are subject to 15 CFR part 26,
``Nonprocurement Debarment and Suspension'' and the related section of
the certification form prescribed above applies;
2. Drug-Free Workplace--Grantees (as defined at 15 CFR 26.605) are
subject to 15 CFR part 26, subpart F, ``Governmentwide Requirements for
Drug-Free Workplace (Grants)'' and the related section of the
certification form prescribed above applies;
3. Anti-Lobbying--Persons (as defined at 15 CFR 28.105) are subject
to the lobbying provisions of 31 U.S.C. 1352, ``Limitation on use of
appropriated funds to influence certain Federal contracting and
financial transactions,'' and the lobbying section of the certification
form prescribed above applies to applications/bids for grants,
cooperative agreements, and contracts for more that $100,000, and loans
and loan guarantees for more than $150,000, or the single family
maximum mortgage limit for affected programs, whichever is greater; and
4. Anti-Lobbying Disclosure--Any applicant that has paid or will
pay for lobbying in connection with a covered Federal action, such as
the awarding of any Federal contract, the making of any Federal grant,
the making of any Federal loan, the entering into of any cooperative
agreement, or the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative
agreement using any funds must submit an SF-LLL, ``Disclosure of
Lobbying Activities,'' as required under 15 CFR part 28, appendix B.
Lower Tier Certifications
Recipients shall require applicants/bidders for subgrants,
contracts, subcontracts, or other lower tier covered transactions at
any tier under the award to submit, if applicable, a completed Form CD-
512, ``Certifications Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion--Lower Tier Covered Transactions and Lobbying''
and disclosure form SF-LLL, ``Disclosure of Lobbying Activities.'' Form
CD-512 is intended for the use of recipients and should not be
transmitted to DOC. SF-LLL submitted by any tier recipient or
subrecipient should be submitted to DOC in accordance with the
instructions contained in the award document.
False Statements
A false statement on an application is grounds for denial or
termination of funds and grounds for possible punishment by a fine or
imprisonment as provided in 18 U.S.C. 1001.
Intergovernmental Review
Applications under this program are subject to Executive Order
12372, ``Intergovernmental Review of Federal Programs.'' This notice
was reviewed by the Office of Management and Budget under Executive
Order 12866.
Larry Irving,
Assistant Secretary for Communications and Information.
[FR Doc. 94-5006 Filed 3-3-94; 8:45 am]
BILLING CODE 3510-60-P
