Funding for U.S. Internet Connections

Jim Beach beach at HUH.HARVARD.EDU
Fri Mar 4 13:13:16 CST 1994

This funding program may be of interest to institutions looking for funds
for direct Internet connections.

Jim Beach
Harvard University


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.

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
5:00 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.

Director of the Office of Telecommunications and Information
Applications, Telephone: (202) 482-2048; fax: (202) 482-2156;
e-mail: tiiap at  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)


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, Pub.L.No.
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, Pub.L. No.
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 Fed. Reg. 49,025 (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: ""  Login as
"anonymous".  Use your e-mail address or guest as the password.
Change directory to "pub."  The Gopher address is
""  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.

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

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.


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

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

     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


     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

     Will the plan stimulate demand for new telecommunications

     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.


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

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

     Will service provider and/or end-user acceptance of new or
expanded telecommunications services present any special

(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

(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.


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 C.F.R. Part 26, Section 105) are
subject to 15 C.F.R. 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 C.F.R. Part
26, Section 605) are subject to 15 C.F.R. 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 C.F.R. Part 28,
Section 105) are subject to the lobbying provisions of 31 U.S.C.
 1352, "Limitation on use of appropriated funds to influence
certain Federal contracting and financial transactions," and the
lobbying section of the certification form prescribed above
applies to applications/bids for grants, cooperative agreements,
and contracts for more 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 C.F.R. 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.

Dated: March 1, 1994

Larry Irving
Assistant Secretary for Communications and Information


More information about the Taxacom mailing list