|
 NTIA from 1998 to 2004 ran a "Technology Opportunities Program." There's $500M+ in the stimulus for community technology and outreach projects directly. I also believe that infrastructure projects that incorporate outreach will have a far better chance of success. So I'm studying how that program worked, and suggest anyone hoping for a grant look closely as well.
Their sample grant application from Mulnomah County suggests what could be positives for our chances. Multnomah included "Project Partners" such as the Portland School District, the Oregon Community Health Information Network, the county government, and a local health care agency.
They carefully outlined the goals of the project, including "Improve quality/efficiency of social services," "Improve the quality of (or access to) health care," and "Enhance k-12 educational performance." They also pointed to several items that were not goals of this paticular project, including "Increase employment," "Reduce poverty," and "Improve the effectiveness of public safety services."
Perhaps most important for an agency dedicated to measuring results, Mulnomah included "Information about each measurable outcome that your project will be using to demonstrate progress toward achieving your community change goals."
The first was "Improved utilization of services and programs offered by school-based health centers. Improvement will be measured by comparison of utilization rates before and after implementation of the network technologies. Separately, use of advanced telecommunications technology will be measured by demonstrating the numbers of hits to the web site and the numbers of new students who access the web site." Many more measurements were also promised.
The "Project Implementation" was broken down into a series of activities and milestones, starting with "Recruit and hire Technical Coordinator and Health Educator." They would ""Collect and organize baseline client satisfaction data," "Initiate the collection and analysis of evaluation data" and "Convene Student Empowerment Team." Finally, the "Project Director and evaluator will attend the National Assembly of School-Based Health Centers to present project."
They were also expected to report ""Project Evaluation""The party with primary responsibility for conducting the project's evaluation." The activities the project will be using to assess its implementation, effectiveness, success, and impact, User satisfaction surveys, Website monitoring, and much more.
Frankly, lots of that seems to me like CYA paperwork, and more direct measures would be better. But it may suggest to you the direction to take.
Here's some of the documentation from TOP, copied from the NTIA website.
About TOP
As a part of the National Telecommunications and Information Administration (NTIA) of the U.S. Department of Commerce, the Technology Opportunities Program (TOP) promoted the widespread availability and use of digital network technologies in the public and non-profit sectors through grants for model projects demonstrating innovative uses of network technologies.
Grants: From 1994 to 2004, TOP made 610 matching grants to state, local and tribal governments, health care providers, schools, libraries, police departments, and community-based non-profit organizations. The Grants section of this site provides information on the type of projects, offers a searchable database of all the grants, links to websites of nearly 300 TOP grantees in 49 states and territories, and connects to a resource center for current TOP grantees.
Research and Evaluation: Individual TOP project evaluation reports and reports of external assessments of TOP are provided in the Research and Evaluation section. Evaluation Guides are included as aids for evaluation planning and design. Also included are reports of research projects funded under TOP’s 1998 Broad Agency Announcement.
Communications: The impact of the TOP program has been detailed in many speeches, single-page summaries of the types of grants, research and evaluations reports, "news from the field," and a series of reports on such topics as rural networking, community connections, children, safety nets, and networks for people. From 1999 to 2001, TOP conducted three "Networks for People" conferences in Washington, DC. All reports and details from the conferences are available here.
TOP Legacy: In November 2004, the University of Michigan and the University of Illinois at Urbana-Champaign created the TOP Legacy Project to document, preserve, and provide greater public access to the results of the Technology Opportunities Program. For more information, contact Dr. Kate Williams.
Grants
As a part of the National Telecommunications and Information Administration (NTIA) of the U.S. Department of Commerce, the Technology Opportunities Program (TOP) promoted the widespread availability and use of digital network technologies in the public and non-profit sectors through grants for model projects demonstrating innovative uses of network technologies.
Types of Projects: From 1994 to 2004, TOP made matching grants to state, local and tribal governments, health care providers, schools, libraries, police departments, and community-based non-profit organizations. TOP projects demonstrate how digital networks support lifelong learning for all Americans, help public safety officials protect the public, assist in the delivery of health care and public health services, and foster communication, resource-sharing, and economic development within rural and urban communities.
Grants Database: To date, TOP has awarded 610 grants, in all 50 states, Puerto Rico, the District of Columbia, and the U.S. Virgin Islands, totaling $233.5 million and leveraging $313.7 million in local matching funds. Information about these grants are available through a searchable grants database.
Grantee Websites: Links to the websites of nearly 300 TOP grantees in 49 states and territories are also searchable by state.
Grants Management: As a resource to current TOP grantees, this page provides online access to handbooks, standard forms, and additional links and information.
Grantee Project Evaluations
Beginning in 1998 the Technology Opportunities Program (TOP) required all grant recipients to conduct evaluations of their projects. Evaluations are based on project goals and objectives and were intended to aid in self-monitoring that allowed mid- course corrections, assessment of short-term impacts, and development of indicators of long-range impact.
Individual project evaluation reports provide useful information to those interested in replicating, or adapting, TOP projects. Taken collectively, evaluations should provide practitioners in different programmatic areas with guidance in the development of new projects. In addition, individual project evaluations provided TOP feedback for program planning and improvement.
The views, findings, opinions, and recommendations expressed in these reports are solely those of the project evaluator(s), and do not represent the official views, opinions, or policies of the United States Department of Commerce or any of its individual agency components.
All research complies with federal Protection of Human Subjects guidelines.
To read a specific project's final evaluation report, go to the Grants Database and select the type of project by keyword and/or state. Click on the name of the Grantee for the Executive Summary of the project. At the bottom of the summary, you'll see a link for the "Project Evaluation -- PDF Version" under "Additional Project Resources."
Example Start Up Documentation submitted by grantee
Section A:� The Grant Recipient
Information about the Grant Recipient
Organization Name: County of Multnomah�
Name of Primary Contact: Mr. Steven Bardi
Department/Division: Multnomah County Health Department�
Address: 426 SW Stark Street, 2nd Floor�
Portland, OR� 97204-2347
Organization Type of the Primary Grant Recipient
County goverment agency�
Key Personnel
Name Project/Job Title Phone Fax Email
Mr. Steven Bardi Project Director� 503-988-4424� 503-988-4464� steven.c.bardi@co.multnomah.or.us�
Ms. Colleen Russell Medicaid Eligibility Screening Manager� 503-988-3056� 503-988-3015� colleen.m.russell@co.multnomah.or.us�
Ms. Jill Daniels SBHC Program Clinical Systems Manager� 503-988-4424� 503-988-4464� jill.a.daniels@co.multnomah.or.us�
Ms. Valerie Whittlesey SBHC Program Administrator� 503-988-4424� 503-988-4464� valerie.l.whittlesey@co.multnomah.or.us�
Ms. Consuelo Saragoza Neighborhood Health Division Director� 503-988-3674� 503-988-3676� consuelo.c.saragoza@co.multnomah.or.us�
Mr. Tim Rowan Information Services Manager� 503-988-3056� 503-988-3015� tim.n.rowan@co.multnomah.or.us�
Mr. Tom Fronk Strategic Officer� 503-988-3674� 503-988-3676� tom.r.fronk@co.multnomah.or.us�
Mr. Mike Stark Principal Investigator� 503-731-4291� 503-731-8602� mike.j.stark@state.or�
Ms. Debbi Patton Network Analyst� 503-988-3749� 503-988-5009� debbi.a.patton@co.multnomah.or.us�
Section B:� Project Partners
Information about the Project Partners
Partner Organization Name of Primary Contact Organization Type Address Info
(Show All)
Portland Public Schools� Mr. R. Patrick Burk K-12 school or school system� Click Here
Parkrose School District� Mr. Michael Taylor K-12 school or school system� Click Here
David Douglas School District� Mr. Robert Chudek K-12 school or school system� Click Here
Multnomah Education Service District� Ms. Barbara Neely Other education� Click Here
Oregon Community Health Information Network� Mr. Michael Leahy Other nonprofit organization� Click Here
Multnomah County Information Services Division� Mr. Rick Jacobson County goverment agency� Click Here
Outside In� Ms. Kathy Oliver Health Care Organizations� Click Here
National Assembly on School-Based Health Care� Mr. John Schlitt Association� Click Here
Section C:� Project Subrecipients
Information about the Project Subrecipients
Subrecipient Organization Name of Primary Contact Phone Address Info
(Show All)
Section D:� Project Purpose and Outcomes
Information about the overall purpose of the project
Goal Major Goal Minor Goal Not a Goal
Improve quality/efficiency of social services � �
Increase employment � �
Reduce poverty � �
Promote economic/community development � �
Improve the quality of (or access to) health care � �
Improve the effectiveness of public safety services � �
Improve adult training and learning opportunities � �
Enhance k-12 educational performance � �
Enhance post-secondary educational performance � �
Information about each measurable outcome that your project will be using to demonstrate progress toward achieving your community change goals
Project Outcome: Improved utilization of services and programs offered by school-based health centers.
Evidence Measurement of school based health center utilization will be based on the use of specific services provided. Improvement will be measured by comparison of utilization rates before and after implementation of the network technologies. Separately, use of advanced telecommunications technology will be measured by demonstrating the numbers of hits to the web site and the numbers of new students who access the web site. Utilization, defined as how often students are using SBHC and its services, will be measured as accessed by use of advanced telecommunications technology and compared to utilization of services accessed through traditional means. Specifically, we propose collecting utilization information in order to: Assess the numbers and demographic characteristics of students who access SBHC. Assess the numbers of services which are used by students accessing SBHC as shown by the dates of the visits and reasons for each visit; measure the increase in use of the following specific services: A. immunization programs, including the Hepatitis B, measles, mumps, and rubella, and tetanus and diphtheria B. Health guidance in the areas of tobacco and substance use, dental health, injury prevention, exercise, growth and development, and nutrition; C. Mental health services as provided by the mental health consultant (MHC) including diagnostic evaluations, therapy, crisis management, and community referrals related to issues such as depression, school performance, stress, and self esteem; D. Counseling on violence and safety issues; E. Age-appropriate reproductive health services ranging from education and counseling to annual reproductive health examination and birth control prescriptions; F. HIV counseling and testing G. Diagnosis and treatment of STDs. �
� �
Project Outcome: Increased student participation in the design and implementation of the school-based health services.
Evidence During the formative stages of the project, the project evaluator will conduct interviews with students who are serving to assist in the design and implementation of the project. In these interviews data will be collected about students’ perceptions of their ideas being listened to and the extent of their contribution to project development and implementation. The evaluator will also solicit students’ sense of satisfaction with the process of project design and implementation. In addition, interviews will be conducted with these same students during the first project year and once each year thereafter as the project progresses. The evaluator would also participate in the meetings in which student input is solicited, to assist in guiding discussions as well as focusing responses in order to assimilate information gathered in a way that could be measured and later analyzed. �
� �
� �
Section E:� Characteristics of Project End Users and Beneficiaries
The geographic distribution of the project's intended end users
� In a single city, town, or county�
The geographic distribution of the project's intended indirect beneficiaries
� In a single city, town, or county�
Congressional District in which the grant recipient organization is located
�
3
The population characteristics of the area(s) affected by your project
� Predominately urban (communities of 25,000 or more)�
All direct end users who will be using the project's equipment or resources
All categories of people who will be indirect beneficiaries of the project's equipment or resources
Disadvantaged or underserved populations (specify) family members of students/youth�
Providers of a community service (specify) enhance overall safety net provider network�
Consumers of a community service (specify) youth receiving services from community organizations�
� General public or community at large (specify) �
Section F:� Project Implementation
Activity / Milestone: Anticipated Completion Date:
Recruit and hire Technical Coordinator and Health Educator. � 12 / 2001
Finalize the project evaluation plan. � 01 / 2002
Plan and design layout of the WAN. � 03 / 2002
Collect and organize baseline client satisfaction data. � 03 / 2002
Negotiate agreements for access to network equipment at school sites. � 04 / 2002
Initiate the website planning process. � 04 / 2002
Purchase, install and test WAN equipment. � 06 / 2002
Establish connention with AT&T Broadband Service.� 07 / 2002
Initiate the web page design process.� 07 / 2002
Initiate the collection and analysis of evaluation data.� 07 / 2002
Activate the web page in two phases. � 08 / 2002
Conduct an assessment of school-based staff to determine the extent and intensity of their training needs. � 08 / 2002
Create and integrate databases associated with clinic operations into the practice management system. � 02 / 2003
Assure project implementation. � 09 / 2004
Convene “Student Empowerment Team."� 09 / 2004
Convene "Project Advisory Team.” � 09 / 2004
Coordinate activities with project partners and contractors. � 09 / 2004
Near-term and long-term maintenance services are in place.� 09 / 2004
Design and initiate an advertising and promotion campaign. � 09 / 2004
Secure Webmaster for ongoing site maintenance.� 09 / 2004
Secure on-going training and technical support for staff.� 09 / 2004
Technical Coordinator and Health Educator serve as in-house experts for practice management system.� 09 / 2004
Project Director and evaluator will attend the National Assembly of School-Based Health Centers to present project. � 06 / 2005
Section G:� Project Evaluation
The party with primary responsibility for conducting the project's evaluation
� Project staff �
An outside individual or group (specify) Program Design and Evaluation Services�
� Combination of project staff and an outside individual or group (specify) �
The activities the project will be using to assess its implementation, effectiveness, success, and impact
� Surveys (e.g., of staff associated with the project)
User satisfaction surveys
� Site visits/case studies
� Participant observation
Interviews
Focus groups
� Document review
Website monitoring
Monitoring of information requests
Tabulated information from existing databases (e.g., crime statistics)
� Pre/post-testing
� Other (specify):� �
Section H:� Other
Disadvantaged or underserved populations (specify) under-insured and un-insured students/youth�
Providers of a community service (specify) health care providers�
Consumers of a community service (specify) students/youth�
General public or community at large (specify) any youth that has access to the Internet�
Other (specify) public health officials�
Narrative description of any significant activities that were conducted or milestones that were achieved during the previous reporting period. Two activities/milestones were achieved during this past quarter (January-March 2002). After establishing the fiscal tracking method and structure for the project budget (completed 12/2001) I moved forward to identify and secure our department’s matching funds to purchase the PCs and printers designated by the project proposal and required to implement the project. These funds have been shifted into the project account and are slated to be spent by the end of our fiscal year June 30th.
--------
I couldn't resist including the instructions for grantees. Overblown, but ou need to be ready.
TOP GRANTEE HANDBOOK
FISCAL YEAR 2004
Technology Opportunities Program
CONTENTS
* Introduction
* Important Reminders
* Where to Send Required Reports
* ASAP.gov
* Allowable Transmission Methods for Grant-Related Actions
* Contacting TOP
* Contacting NIST
* Understanding Your Grant Award Document
o CD-450: Financial Assistance Award
o U.S. Dept. of Commerce Financial Assistance Standard Terms and Conditions
+ Financial Requirements
+ Programmatic Requirements
+ Other Requirements
o U.S. Dept. of Commerce Financial Assistance Special Award Conditions
o Financial Reporting Forms
o Regulations, Circulars, and Policies Related to Your Grant Award Document
* Using TOP's Online Grants Management System & Performance Reporting System
o Introduction to PRS
o PRS Basics
o Logging On and Using the PRS
o TOP Review and Acceptance
o PRS Help Desk
* Project Start-Up Documentation
o Due Date
o Content
o Additional Hints
* Quarterly Performance Reports
o Due Date
o Content
* Financial Reports and Forms
o SF-269: Financial Status Report
o CD-281: Report of Government Property in Possession of Contractor
* Special Award Conditions
o Types of Special Award Condition Documentation Submitted to TOP
+ Acceptable Use Policies
+ Protecting Human Subjects
+ Privacy and Security Safeguards Plan
o Types of Special Award Condition Documentation Submitted to NIST
+ Universal Service Discount Certification
+ Certification of Financial Management System Adequacy
o Other Special Award Conditions
+ Program Income
+ Assessing Fees for Grant-Supported Services
+ Evaluation
* Project Amendments
o Types of Amendment Requests Permitted by TOP
+ Changes in Project Scope or Focus
+ No-Cost Budget Amendments
+ Changes in Key Personnel
o A Note of Caution
+ Federal and Non-Federal Cost Share Ratio
+ Unauthorized Expenditures
* Extensions of the Grant Award Period
* Project Closeout Requirements
o Final Project Report
+ Project Outcomes
+ Project Accomplishments
+ Partnerships
+ Community Impact
+ Lessons Learned
+ Project Expansion
+ Project Spin-Off Activities
+ Future Plans
o Final Outside Project Evaluation
o List of Project Expenditures
o CD-281: Report of Government Property in Possession of Contractor
o Other Studies, Publications, Reports and/or Other Work Products Generated by the Project
* Facilitating Communication Among TOP Grant Recipients
o TOP Website
+ Evaluation Materials
+ Description of Funded TOP Projects and Contacts
+ Get Updates
* Audit Requirements
* Appendix
o Links to Standard Forms
o Accessibility Guide
Return to Top
INTRODUCTION
Congratulations on your recent Grant Award from the Technology Opportunities Program (TOP)!
This TOP Grant Recipient Handbook (Handbook) is designed to assist you in understanding the basic responsibilities of TOP grant recipients, and to provide you with information and guidance in the preparation of required reports and documents. We recommend that you carefully review this Handbook, and keep it available for easy reference throughout the period that your grant is active.
Read your entire Financial Assistance Award document carefully; it contains additional information on requirements and conditions of your Grant Award. Pay particular attention to the Special Award Conditions (SACs) that are included with the Grant Award Document.
Your TOP Program Officer is responsible for programmatic and technical matters related to your Grant Award, and your National Institute for Standards and Technology, Grants and Agreements Management Division, (NIST) Grants Specialist is responsible for the financial and administrative aspects of your award. Knowing and understanding the difference can help you avoid delays in processing various aspects of your award.
Below you will find two Important Reminders and Due Dates checklists with which you can track your compliance with various TOP and NIST deadlines. All of the items on the two checklists are important to the responsible management of your TOP Grant Award, and we encourage you to review and refer to them frequently to ensure that your organization remains in compliance with the terms and conditions of your Grant Award. Should you have questions regarding any of these requirements, please contact your TOP Program Officer or your NIST Grants Specialist.
Please note that failure to provide required reports and other information on time and in full creates an unnecessary burden for your organization and for TOP and NIST staff. This situation also places your project out of compliance with the terms and conditions of your TOP Grant Award, a serious situation that may result in suspension or termination of your grant, establishment of an Account Receivable for all Federal funds paid to your organization from this award, and/or denial of future grants to your organization.
Return to Top
IMPORTANT REMINDERS
Project Start-Up Documentation, Quarterly Performance Reports, and the Final Project Report Must be Submitted to TOP in Electronic Form.
Project Start-Up Documentation, all Quarterly Performance Reports, and the Final Project Report must be submitted to TOP electronically via TOP's web-based Online Reporting System. Information and instructions on using the Online Reporting System are included in this Handbook. Please remember to submit all other required hardcopy documents and any other supporting materials (including newspaper articles, press releases, etc.) to TOP in duplicate (one original and one copy).
Please submit your Final Evaluation Report, which is part of your closeout documentation, in TRIPLICATE, along with an electronic version (in WORD or WordPerfect format).
Please remember to submit all required forms and reports to NIST in hardcopy form in TRIPLICATE (one original and two copies).
Grant Award Number
Always put your full NIST 12-character Grant Award number (for example, "TOP Grant #55-60-I04001") on all forms or other materials that you submit to TOP or NIST. This helps ensure that your materials will not be misfiled or misdirected, and that action on your request will not be delayed.
Valid Street Mailing Address
If you did not do so during the application process — or if your address has changed — you must provide TOP and NIST with a complete and valid street address for your organization. Remember also to include all applicable Suite and Room numbers. Registered and express mail correspondence from TOP and NIST cannot be delivered to a Post Office box number.
Changes in Address
Please make certain that the address on file with TOP and NIST for your organization is current and correct. Please notify both TOP and NIST immediately of any address changes.
Due Dates Checklist
* Startup Documentation
* Acceptable Use Policy
* Privacy and Security Safeguards
* First Quarterly Report
* Second Quarterly Report
* Third Quarterly Report
* Fourth Quarterly Report
* Human Subjects Research
November 30, 2004
November 30, 2004
November 30, 2004
April 30
July 31
October 31
January 31
April 1, 2005
IMPORTANT NOTE: Your initial quarterly report covers the period October 1 through December 31,
and is due no later than January 31, 2005.
Return to Top
WHERE TO SEND REQUIRED REPORTS AND ASAP.gov
Your Technology Opportunities Program (TOP) Program Officer (listed in the Special Awards Conditions section of your Grant Award document) is the initial contact for all programmatic and technical matters related to your Grant Award. The information that you will submit to TOP includes:
* Special Award Condition Documentation
* Project Start-Up Documentation (Submitted Electronically)
* Quarterly Performance Reports (Submitted Electronically)
* Requests for Extension of a Grant Award Period (Submitted Electronically)
* Requests for Change in Personnel
* Requests for Change in Project Focus (Submitted Electronically)
* Requests for No-Cost Budget Amendments (Submitted Electronically)
* Closeout Documentation (Submitted Electronically)
* Final Outside Project Evaluation
Any additional materials such as newspaper articles, press releases, conference reports, photos, videos, etc. should be sent to your TOP Program Officer at the following address:
U.S. Department of Commerce/NTIA
TOP, Room 4096
1401 Constitution Avenue, NW
Washington, DC 20230
The National Institute for Standards and Technology, Grants and Agreements Management Division, (NIST) is the Federal Grants Office within the Department of Commerce that is responsible for all administrative and financial matters related to your TOP Grant Award. The reports, forms, and other documents you will submit to your NIST Grants Specialist (listed in the Special Awards Conditions section of your Grant Award document) include:
* SF-269: Financial Status Report (long form)
* Universal Service Discount
* Certification of Financial Management System Adequacy (if applicable)
Three copies of the materials listed above should be mailed to your NIST Grants Specialist at the following address:
National Institute for Standards and Technology
Director for Administration and the Chief Financial Officer
Grants and Agreements Management Division
Mailstop 3580
Gaithersburg, MD 20899-3580
Attn: Joyce Brigham, Grants Officer
The Payment Process and Procedures Have Changed: ASAP.gov
All grant award funds obligated under the NTIA's Technology Opportunity Program (TOP) will be disbursed using the Department of Treasury's (Treasury) Automated Standard Application for Payments (ASAP) system. This payment system allows grant and cooperative agreement recipients to withdraw funding directly from an established ASAP account for each award. Withdrawn amounts are deposited directly into the bank account identified by the recipient during the enrollment process. Several TOP recipients are already using the ASAP system.
The ASAP enrollment process is managed by the Department of Treasury. The NIST Grants and Agreements Management Division (GAMD) will provide a list of TOP recipient organizations to Treasury. Treasury will then contact each TOP recipient organization, usually via email, and provide a complete enrollment package. It is very important that the enrollment package be completed as soon as possible and that you follow all the instructions provided.
Once Treasury has accepted your enrollment package, they will inform the organization and NIST's GAMD of the recipient and payment requestor id numbers (IDs). GAMD will then establish an account in ASAP for each award that your organization has with TOP. Once GAMD establishes and certifies the account in ASAP, the organization's payment requestor should have access to the funds immediately.
If you are already enrolled to use the ASAP system with another agency, Treasury will not need the organization to enroll again; however, they will confirm that the banking information for the TOP award remains unchanged.
All FY 2004 new awards contain a Special Award Condition similar to Exhibit 1. All funds obligated under those awards will be disbursed through ASAP. There is no need to submit an SF-270, Request for Advance or Reimbursement, or a SF-272, Federal Cash Transaction Report.
Grants Made Prior to FY 2004:
All awards that were obligated prior to FY 2004 and expire after June 30, 2004, and for which an unliquidated balance remains, will be transferred to the ASAP system for all remaining disbursements. These recipients will follow the enrollment procedures described above. An amendment to each award document will be executed and will contain a Special Award Condition similar to that found in Exhibit 1. The amount of funds that will be made available in ASAP for withdrawal will be equal to the agreed upon unliquidated balance of the grant at the time the ASAP account is established. The GAMD grant specialist will confirm the unliquidated balance with the recipient and the NIST accounts payable department before certifying the funds in ASAP. Recipients can continue to send an SF-270, Request for Advance or Reimbursement, to the GAMD Grant Specialist until they receive their ASAP IDs.
For more information regarding ASAP go to http://www.fms.treas.gov/asap/index.html. If you have any questions regarding implementation of ASAP, please contact Melinda Chukran, Grants Specialist, at 301-975-5266 or via email at Melinda.chukran@nist.gov or the NIST Grant Specialist named in your award document.
Allowable Transmission Methods for Grant-Related Actions
The Department of Commerce will accept some types of documentation in email or fax from grantees, obviating the need for transmission of a signed original. The table below summarizes which types of documentation may be submitted electronically, and which types of documentation must be sent in hard copy with original signatures on letterhead.
With respect to items sent electronically, grantees do not need to send the original version to TOP. However, they should maintain original versions in their files.
Type of Documentation Electronic Submission OK Hard Copy Required
Project Start-Up Documentation X
Quarterly Performance Reports X
SAC: Universal Service Discount X
SAC: Acceptable Use X
SAC: Privacy/Security X
SAC: Human Subjects Research X
Amendment: Change of Focus/Scope X
Amendment: No-Cost Budget Amendment X
Amendment: Request for Extension X
Amendment: Change in Personnel
(CD-346 Not Required) X
Amendment: Change in Personnel
(CD-346 Required) X
Amendment: Transfer of Grant Recipient X
Amendment: Change in Grant Recipient Organization's Name X
Closeout Documentation X
Evaluation Plan X
Return to Top
CONTACTING TOP
TOP WEB PAGE: www.ntia.doc.gov/top/
TELEPHONE: TOP Main Office (202) 482-2048
FAX: TOP Main Office
TOP Program Officers (202) 501-8009
(202) 501-5136
EMAIL: TOP Main Office
TOP Director:
Anthony G. Wilhelm, Ph.D.
TOP Evaluation Specialist:
Francine Jefferson, Ph.D.
TOP Program Officers:
Amy Borgstrom
Don Druker
Bart Forbes
Thomas Hardy
Judith Sparrow
TOP Grantee Specialists:
Sean Lilly
Edna McCormick
TOP Grants Assistant:
Marius Morgan
TOP@ntia.doc.gov
awilhelm@ntia.doc.gov
fjefferson@ntia.doc.gov
aborgstrom@ntia.doc.gov
ddruker@ntia.doc.gov
bforbes@ntia.doc.gov
thardy@ntia.doc.gov
jsparrow@ntia.doc.gov
slilly@ntia.doc.gov
emccormick@ntia.doc.gov
mmorgan@ntia.doc.gov
send an email to someone at TOP:
Recipient:
Your Name:
Your Email:
Priority:
Subject:
Message:
�
CONTACTING THE GRANTS OFFICE (NIST)
TELEPHONE: NIST Main Office (301) 975-6328
FAX: NIST Main Office (301) 926-6458
EMAIL: Joyce Brigham, Grants Officer joyce.brigham@nist.gov
Richard Barron, Grants Specialist richard.barron@nist.gov
Judy Murphy, Grants Specialist judy.murphy@nist.gov
Sharon Farinholt, Grants Specialist sharon.farinholt@nist.gov
Return to Top
UNDERSTANDING YOUR GRANT AWARD DOCUMENT
Your TOP Grant Award document package contains all of the materials and information necessary for your organization to remain in full compliance with the terms and conditions of your award. Read all of these materials and keep them at hand for reference during the months that your project is active. Even though your organization may have had previous experience with other Federal grants, each Federal agency and grant program is different, and each has its own distinct reporting requirements.
CD-450: Financial Assistance Award
The first item in your TOP Grant Award package is the one-page Financial Assistance Award (CD-450) document, the formal award signed and dated by the NIST Grants Officer that constitutes an obligation of Federal funding for your project. Your package contains three identical copies of the CD-450, each of which must be signed and dated by an authorized official from your organization. In signing these documents, your organization agrees to comply with the provisions, terms and conditions of the Grant Award. Once the CD-450 has been signed and dated, two copies must be returned to the NIST Grants Officer within 30 days of receipt, and the third copy retained by your organization. If the two signed copies are not returned to NIST within the 30-day period, the Grants Officer may declare your Grant Award to be null and void.
Please check to make sure that the information contained on the CD-450 is complete and accurate. If you believe that an item is incorrect, contact the NIST Grants Specialist who is listed on the first page of the Special Award Conditions packet. Do not attempt to make any changes to the award document on your own.
U.S. Department of Commerce Financial Assistance Standard Terms and Conditions
The Department of Commerce Financial Assistance Standard Terms and Conditions document contained in your Grant Award package describes a number of general financial, programmatic and other Departmental award requirements with which your organization must comply.
Among the items covered in the Standard Terms and Conditions document are the following:
* Financial Requirements: 1) a description of the Financial Reports that your organization will be required to submit to NIST; 2) an explanation of how your organization should request a payment from your TOP award; 3) a clarification of the Federal and non-Federal cost sharing rule; 4) a discussion of general guidelines governing budget changes and transfers of funds among budget categories on your award; 5) a warning about incurring costs and/or obligating Federal funds beyond the project expiration date; and 6) a note about grant-related tax refunds.
* Programmatic Requirements: 1) a description of the reports and closeout documentation that your organization will be required to submit to TOP; 2) a discussion of general guidelines regarding programmatic changes related to your award; 3) a note regarding actions that might be taken in the event of unsatisfactory performance on your Grant Award; and 4) a statement regarding your obligation to notify TOP in the event that your organization receives other Federal awards relative to the scope of work of your TOP project.
* Other Requirements: 1) an explanation of the applicability of provisions of your award to subrecipients, subawards, contracts and subcontracts; 2) a description of organization-wide and project-related audit requirements; 3) a note regarding payment of debts owed to the Federal government; 4) an explanation of various regulations regarding non-discrimination, government-wide debarment and suspension, lobbying restrictions, name checks and other requirements related to your award.
U.S. Department of Commerce Financial Assistance Special Award Conditions
The Department of Commerce Financial Assistance Special Award Conditions document in your Grant Award package contains specific information related to your particular award, reiterates some of the requirements contained in the Standard Terms and Conditions, and describes a number of requirements that must be met before Federal funds from your Grant Award can be released to your organization.
The Special Awards Conditions document lists the names, addresses and telephone numbers of your organization's TOP Program Officer, NIST Grants Officer, and NIST Grants Specialist, as well as the primary contact individual for your organization. The document also describes the general nature of your funded project, and lists the agreed-upon line-item budget figures for your project by Federal and non-Federal share. In addition, it identifies the required components of the Quarterly Performance Reports and Closeout Documentation package that your organization will be required to submit to TOP.
For a description of the Special Award Conditions that may be specifically required of your organization, please see the Special Award Conditions section of this Handbook.
Return to Top
Financial Reporting Forms
Your Grant Award package will contain a number of blank forms that are to be used in submitting required financial information to NIST. Both of the forms may be reproduced as often as necessary. These forms are as follows:
* SF-269: Financial Status Report (long form)
* CD-281: Report of Government Property in Possession of Contractor
Each of these required Financial Reports and Forms is discussed in the Financial Reports and Forms section of this Handbook.
Regulations, Circulars, and Policies Related to Your Grant Award Document
The front page of your Financial Assistance Award document (CD-450) contains a list of regulations, circulars and policies that may apply to your TOP Grant Award.
Those that have checks appearing in front of them specifically apply to your organization's award. Copies of each of these are included with your Grant Award package. For online versions of the circulars, please see:
www.whitehouse.gov/omb/circulars/.
Return to Top
USING TOP'S ONLINE
GRANTS MANAGEMENT SYSTEM
and
ELECTRONIC PERFORMANCE REPORTING SYSTEM
("Online Reporting System")
Introduction to PRS
TOP's web-based Online Grants Management and Performance Reporting Systems (PRS) ["Online Reporting Systems"] were developed to improve grantees' ability to collect data and document project start-up, operation, and ongoing progress in a timely and efficient way. This data provides grantees with a valuable tool for ongoing self-assessment and monitoring. Also, the Online Reporting Systems enhance the Program's ability to collect relevant data, monitor project progress, and conduct ongoing analyses of projects and their impact.
The Online Reporting Systems are a tool for grantees and for TOP Program Officers, providing improved, increased, and more timely communication between grantees and TOP. In addition, by collecting results data from the field in a structured format, TOP can better aggregate and assess the information provided by different projects. The resulting analyses assist TOP in understanding and sharing lessons learned by the projects.
TOP assesses the nature and degree of the effects that TOP-supported projects are having at the local, state, and national levels. The Online Reporting System helps grantees and TOP measure the degree to which TOP-supported projects affect the organizations implementing the projects, other organizations that are involved with the projects, individuals and populations served, and communities.
The Online Reporting System consists of the following data collection elements:
* Start-up Documentation
* Quarterly Progress Reports
* Special Award Conditions
* Amendment and Extension Requests
* Close-Out Documentation.
Each will be explained in subsequent sections of the Handbook.
PRS Basics
The Online Reporting System is a web-based reporting tool which allows grantees to submit action requests, monitoring, and evaluation data electronically to TOP.
To use the Online Reporting Systems you need Microsoft Internet Explorer or Netscape Browser 4.0 or higher. If you are using a dial-up connection, we recommend, at least, a 56K modem.
There are several key features to the system that are intended to simplify your reporting requirements:
* Work-in-progress. The system is designed to allow you to work on an entry, save your work in progress, leave the system, and return later to pick up where you left off. This allows you to work incrementally on your reports and/or make whatever revisions and updates are necessary until you complete and submit your entire report. An Online session is limited to a maximum of 4 hours. To avoid losing your work, we strongly advise that you "save" your data periodically by clicking the Submit button.
* Report Roll-over. The system is designed to roll data from your previous report into subsequent reports. This minimizes the time you need to spend keying data into the system. You are able to edit essential contact information.
* Internal edit checks. The system contains several internal edit checks that will help you fill out the items completely and accurately.
Logging On and Using the Online Reporting Systems
Your organization will receive one set of access/submit codes for the Online Reporting System. The access codes are composed of a ten-digit alpha-numeric ID and Password. You will also be issued a ten digit Close Password. Once you log on, you can change both your ID and your password.
The ID and Password provide read and write access to the system. The Close Password is required to submit a completed report to TOP for review and acceptance. Sending your final submittal will freeze your data for that report. Until final submittal, you may leave and return to the Online Reporting System as often as you like. After final submittal, you may return to the site as often as like to view a read-only version of your report.
If you have lost or forgotten your Access/Submit codes, please contact your Program Officer. They will see that your organization is provided with new codes. If you think that an unauthorized user has gained access to your records, please contact your Program Officer immediately, and we will provide you with new codes.
TOP Review and Acceptance
Once you have submitted a completed report to TOP, your Program Officer reviews your report. Your Program Officer may have questions about your report and may request that you modify your submission. If that is the case, your Program Officer re-opens your report, allowing you to edit your submission. When you have completed your edits, resubmit your report (using your Close Password).
The Program Director gives each report a final review and accepts them. At this point the system rolls to the next reporting cycle. After the Program Director's acceptance, you will be able to begin to enter data for your next report. It takes approximately 30 days to process reports.
PRS Help Desk
If you need help with the system, telephone support (via 202-482-2048) will be available Monday through Friday, 8:00 a.m. to 4:30 p.m., Eastern Standard Time. Please indicate to the receptionist the nature of your technical question (can't access the site, receiving an error message, etc.).
Technical matters will be referred to our technical support staff. If you prefer email, technical questions can be sent to our email support at PRSHelp@ntia.doc.gov. In your email, always include the following:
1. your award number
2. your organization name, and
3. a phone number where you can be reached.
For programmatic questions (i.e., not certain who should be listed under "key personnel," not certain what TOP is looking for in the "Outcomes" section, etc.), please contact your TOP Program Officer.
Return to Top
PROJECT START-UP DOCUMENTATION
You are required to submit project Start-Up Documentation that provides initial background information regarding your project. The purpose of the Start-Up Documentation is to establish an initial framework of information from which your Program Officer will be able to assess the progress being made on your project during the period that it is active.
This data also provides you with an opportunity to verify the information about the project that may have changed during or since negotiations. The data entered in this report is important in filling out the quarterly reports and the final project report.
Due Date
Project Start-Up Documentation is to be submitted to TOP electronically via the TOP web-based Online Grants Management System within 60 days of the award start date.
Content
Your organization is expected to provide TOP with the following information and data in your project Start-Up Documentation:
* Basic Contact Information: Name, address, phone, fax, email, organization type, etc.
* Background Information Regarding your Organization: Primary contact, etc.
* All Project Partners and/or Subrecipients Associated with your Project
* Project Purpose and Outcomes: The community impacts that your project is ultimately designed to achieve, and the measurable changes in your community that can realistically and logically be expected from your project.
* Project Scope: The overall range and spectrum of activities encompassed by your project and the characteristics of your project's intended end users and indirect beneficiaries.
* Project Implementation: The key activities and specific milestones that you expect to complete during the period that the grant is active.
* Project Evaluation: The specific methods that will be used to evaluate your project's impact and the group that will have primary responsibility for conducting project-related evaluation activities.
Additional Hints
A particularly troublesome section of the start-up documentation is the section on Partners and Subrecipients. Partners are organizations contributing financially to the project, either with cash or in-kind contributions. The Subrecipient category is used rarely, and only when you are making grants of Federal funds to other organizations. A Partner cannot be listed as a Subrecipient, nor can a Subrecipient be listed as a Partner. A Vendor is a contractor paid to accomplish a specific task. Vendors are never listed as Subrecipients, although they may be listed as Partners if they are contributing something for which they are not paid. Some additional tips for completing this section correctly are:
* Each partner organization should only be listed once. Do not list each person involved as a partner, so that the same organization appears several times in the partner list.
* The grantee's organization should not be listed in the partners list.
* Don't include vendors/contractors as partners unless they are contributing something for which they are not paid.
* Don't include vendors/contractors in the subrecipients.
Your Program Officer will assist you in identifying outputs vs. outcomes and making sure the outcomes are operationalized. In particular, check that the outcomes are defined in measurable terms; that they are focused clearly on target groups; and that it is clear what behaviors and changes will be examined to determine progress, and the standard against which that progress will be measured. In the evidence section make sure you have included some mention of how the data will be collected and analyzed. Finally, make sure you have included evaluation milestones in the Activities and Milestones Section.
The start-up documentation is based on the information you provided in your application. Any discrepancies need to be discussed and resolved with your Program Officer. Changes that have occurred since the application was submitted need to be noted in Section H, Other.
Return to Top
QUARTERLY PERFORMANCE REPORTSTOP requires your organization to submit a Quarterly Performance Report that describes project-related activities that have taken place during each calendar quarter that the project is active. The purpose of the Quarterly Performance Report is to allow TOP to track the progress being made on your project, and to provide your organization with an opportunity to document your achievements and the lessons that have been learned from your project to date. The Report also gives you the opportunity to discuss any difficulties or obstacles that you may encounter so that your Program Officer can help you avoid more serious problems at a later date.
Due Dates
Quarterly Performance Reports are submitted to TOP electronically via the TOP web-based Online Grants Management System within 30 days after the end of each calendar quarter as follows:
* For the Quarter ending Dec. 31, the report is due to TOP no later than January 31.
* For the Quarter ending March 31, the report is due to TOP no later than April 30.
* For the Quarter ending June 30, the report is due to TOP no later than July 31.
* For the Quarter ending Sept. 30, the report is due to TOP no later than October 31.
It is extremely important that your organization submit all Quarterly Performance Reports on time. Failure to submit Reports in a timely fashion places your organization out of compliance with the terms and conditions of your Grant Award, and may result in the suspension of payments associated with the grant, an effort to recover funds that have already been disbursed, and/or termination of the Grant Award.
If the Project Period End Date for your grant falls before the last day of a quarter, your organization is not required to submit a Quarterly Performance Report for that particular quarter. Instead, these final activities are reported in the Final Report that is included with your Closeout Documentation. If the Project Period End Date falls on the last day of a quarter — which is more typically the case — you submit both a Quarterly Performance Report for that quarter and a Final Report.
Content
The content of your Quarterly Performance Report reflects the current status of your project, and should be confined to the months in the specific quarter being reported. When you are working on your report, do not report events and developments that will occur in the month after the quarter is over. Similarly, each Quarterly Report does not need to provide a complete history of your project, although you may wish to refer to some items included in previous reports in order to provide a context. The following information is required in each Quarterly Performance Report:
* Key Project Personnel: Changes in key project staff during the quarter being reported.
* Project Partners and/or Subrecipients: Changes in project partners and/or subrecipients associated with your project during the quarter being reported.
* Project Implementation: Significant activities conducted or milestones achieved during the quarter being reported; the extent to which your project was able to complete the key activities and specific milestones that it was expected to complete during the quarter; project changes or modifications that may need to be addressed in upcoming months; and the implementation status of local TOP sites.
* Problems and Obstacles: Any problems, obstacles or unanticipated events that your project encountered during the quarter being reported.
* Outreach Activities: Any outreach activities that your organization used to publicize or disseminate information about your project during the quarter being reported.
* Project Feedback: Your thoughts and recommendations on how the TOP program can improve the quality and usefulness of its technical assistance and the quarterly reporting process.
In addition, Quarterly Performance Reports submitted for the Quarter ending September 30 of each year must contain information on two additional items:
* Publications: Any articles, reports, conference presentations, video clips or other materials that discuss your TOP project during the preceeding year. Please mail copies of this information directly to your TOP Program Officer. Note: We suggest that you use an express delivery service to avoid delays caused by DoC security measures.
* Project Outcomes: Any significant breakthroughs that your project achieved during the previous 12 months in implementing your proposed approach, attaining specific outcomes, expanding the number of end-users utilizing a particular technology, and/or expanding the general public's access to new information technologies.
The information in your Quarterly Performance Report helps TOP staff document the steps that individual grant recipients are taking to implement their projects. Within TOP, this information is used for routine program monitoring, for identifying projects in need of technical assistance, and for identifying potentially promising practices that warrant more intensive study and/or adaption by other projects.
Return to Top
FINANCIAL REPORTS AND FORMS
During the period that your TOP grant is active, your organization is required to submit a series of financial reports and forms to NIST. The Financial Assistance Standard Terms and Conditions section of your TOP grant award document contains detailed information regarding these reports and other financial requirements related to your award, as well as instructions on how to request award payments.
The principal financial reports and forms that your organization will be required to submit to NIST are described below. Links to each of the forms listed below can be found in the Appendix of this Handbook; most of the forms are available online at www.FedForms.gov.
SF-269: Financial Status Report (long form)
Your organization is required to submit a Financial Status Report (Standard Form 269 [SF-269]) semi-annually to NIST for the periods ending March 31 and September 30, or any portion thereof, whether there was financial activity during that period or not. Financial Status Reports are due no later than 30 days following the end of each reporting period.
Your organization is also required to submit a final Financial Status Report to NIST within 90 days following the expiration of your project's Grant Award Period.
A link to a Financial Status Report form can be found in the Appendix, and is also available online at www.FedForms.gov. Several blank Financial Status Report forms are also included in your grant award document package.
Completed original copies of Financial Status Reports are sent to NIST, not to TOP. All Financial Status Reports must be submitted in triplicate (one original and two copies).
CD-281: Report of Government Property in Possession of Contractor
When your TOP project has been completed, a Report of Government Property in Possession of Contractor (Commerce Department Form 281 [CD-281]) must be submitted to TOP as part of the closeout documentation for the Grant Award. The CD-281 is an inventory of all equipment acquired under the grant with both Federal and non-Federal funds.
A link to a Report of Government Property in Possession of Contractor form can be found in the Appendix, and is also available online at www.osec.doc.gov/forms/pdf/cd281fll.pdf. See also www.doc.gov/forms for all necessary forms.
Should you have questions regarding the preparation of any of these Financial Reports, please contact your NIST Grants Specialist.
Return to Top
SPECIAL AWARD CONDITIONS
Your award document may contain one or more Special Award Conditions (SACs) that require the submission of specific documents to TOP or to NIST before Federal funds can be released to your organization. Special Award Conditions regarding the release of Federal funds are generally listed in the first eight pages of your award document. Read them thoroughly, paying particular attention to the date on which each item is due.
Special Award Condition Documentation to be Submitted to TOP
Should you have questions regarding the preparation of any of the items listed below, please contact your TOP Program Officer.
Acceptable Use Policies
All TOP awards contain a provision that the organization submit a detailed plan describing the policies and technical mechanisms that your group employs to encourage "acceptable use" to online resources, including the Internet. Your Acceptable Use Plan must be submitted to TOP within 60 days after the award start date.
Your organization's Acceptable Use Plan should offer reasonable assurances that safeguards will be in place to ensure that end users (especially minors) do not encounter inappropriate material or dangerous situations while online. The plan may include, but need not be limited to, the use of specialized filtering software, the development of guidelines for acceptable conduct and activities on the network, or a discussion of monitoring steps that will be taken to verify compliance with the organization's policies.
Protecting Human Subjects
Background
Freely given consent to participate in research is the cornerstone of ethical experimentation involving human subjects. For more information on human subject research protections, the Department of Health and Human Services Office of Human Research Protection has created a guidebook available at:
http://www.hhs.gov/ohrp/m.
Your Responsibilities
By law, the Department of Commerce must certify that the research elements of your project adequately protect human subjects. Federal policy defines a "human subject" as an individual about whom an investigator conducting research obtains:
* data through intervention or interaction with an individual (e.g., videotaping people, observing children using new software, surveying personnel regarding a new delivery of service to a client) or
* identifiable private information through patient records, a company's customer data, web use logs, etc.
Recognizing that many applicants do not have their research and evaluation procedures fully developed by the time of award, TOP created the "Deferral of Review of Use of Human Subjects" Special Award Condition (SAC). For FY2004 recipients, by April 1, 2005, you must ask TOP to certify that your procedures are either: (1) exempt from Human Subject Research Protections or (2) approved by an Institutional Review Board (IRB).
Either the exemption request or the request for acceptance of IRB approval must be accompanied by your Evaluation Plan.
In order to determine whether an exemption or IRB approval is needed, please use TOP's Human Subjects Research Checklist. While you assess your research and evaluation procedures, you are permitted to begin work on other aspects of project implementation. In addition, you are also permitted to develop research plans, evaluation questions, or survey instruments as you seek IRB approval or exemption status. However, you cannot conduct any research involving human subjects until documentation substantiating an exemption or IRB approval has been submitted to and approved by TOP.
If you believe your research is exempt, you should first contact your TOP Program Officer and discuss your justification. With respect to TOP projects, exemptions are provided for:
* Research conducted in established or commonly accepted educational settings, involving normal educational practices, such as (i) research on regular and special education instructional strategies, or (ii) research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods.
* Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures, or observation of public behavior, unless (1) information obtained is recorded in such a manner that human subjects can be identified, directly or through identifiers linked to the subjects; or (2) any disclosure of the human subjects' responses outside the research could reasonably place the subjects at risk of criminal or civil liability, or be damaging to the subjects' financial standing, employability, or reputation.
* Research involving the collection or study of existing data, documents, records, pathological specimens, or diagnostic specimens, if these sources are publicly available, or if the information is recorded by the investigator in such a manner that subjects cannot be identified, directly or through identifiers linked to the subjects.
If you and your Program Officer determine an exemption is warranted, she/he will ask that you prepare an exemption request.
If you and your Program Officer determine IRB approval of your research is required, you will need to submit your research procedures, proposed protections, and evaluation instruments to an IRB that has been approved by the U.S. Department of Health and Human Services. If your organization does not have an IRB, many local colleges and universities have approved IRBs that will conduct reviews of your research for a nominal fee (typically less than $900). The Department of Human Services Office of Human Research Protections maintains an updated list of approved IRBs at:
http://ohrp.cit.nih.gov/search/asearch.asp#ASUR.
Once the IRB has reviewed and approved your research and evaluation procedures, you will need to send your TOP Program Officer information on IRB approval.
Finally, protecting human subjects is an ongoing activity. For those projects that seek IRB approval, your certification needs to be updated annually. For those projects that are exempt, the exemption is only valid as long as the research on which it is based remains unchanged. In other words, if your project is certified as being exempt, and subsequently your evaluator decides to alter the research methodology or include subjects from special classes, you need to contact your TOP Program Officer and resubmit the modified research protocol for either an exemption or IRB approval.
Privacy and Security Safeguards Plan
Your TOP Grant Award may contain a Special Award Condition that requires your organization to submit a detailed plan describing the policies and technical mechanisms that your group will employ to protect network security and safeguard the privacy of individuals associated with your project. Your organization is required to submit such a Privacy and Security Safeguards Plan to TOP within 60 days after the award start date.
Your organization's Privacy and Security Safeguards Plan should contain a detailed description of the technical mechanisms your organization plans to employ to safeguard the confidentiality of information and the privacy of any individuals involved with the project, either as end-users or as information providers. Your plan should also discuss specific policies and procedures that your organization plans to use to accomplish this goal, such as non-disclosure agreements, verification procedures, access authorization mechanisms, and the training of staff and end-users regarding the nature of security and privacy issues. In addition, you should indicate how you plan to safeguard the integrity of your own system, and to protect it from viruses, hackers, and other outside threats.
Special Award Condition Documentation to be Submitted to NIST
Should you have questions regarding any of the items listed below, please contact your NIST Grants Specialist.
Universal Service Discount Certification
Under the Universal Service Discounts provisions of Section 254 of the Telecommunications Act of 1996, eligible schools, libraries, and public and rural not for-profit health care providers are allowed discounts on the purchase of all commercially available telecommunications services, Internet access and internal connections.
If your organization or any of your partners and/or subrecipients is eligible, your TOP Grant Award may contain a Special Award Condition requiring your organization to submit certification to TOP that: 1) your organization will expeditiously apply for and accept any discounts, currently available or for which you may later become eligible, under the Universal Service Discounts provisions of the Act; and that 2) you will advise all partners and/or subrecipients participating in your Grant Award that they are expected to apply for and to accept any discounts available under the Act.
More information on universal service discounts and eligibility requirements can be found on the Universal Service Administrative Company's website at www.universalservice.org.
Certification of Financial Management System Adequacy
Your TOP Grant Award document may contain a Special Award Condition requiring that your organization submit a letter from an independent Certified Public Accountant to NIST within 60 days of the award start date stating that your organization's financial management system is adequate to meet the standards prescribed in 15 CFR Part 14, §14.21.
Other Special Award Conditions
* Program Income: All TOP awards contain a Special Award Condition that reads:
"Program income earned during the award period shall be retained by the Recipient and shall be added to funds committed to the award and used for the purposes and under the conditions applicable to the use of award funds."
Program income means gross income earned by a grant recipient that is directly generated by a supported activity or earned as a result of the award. If your organization is assessing fees to outside organizations or individuals for services, such as training, Internet access, or webpage hosting, and the costs of providing those services are included in the project budget (in either the Federal or non-Federal share), then your project is earning program income.
If your project is earning program income, then your organization, as the recipient, must use the funds for a purpose that is consistent with the purposes of the award. Typically, this would involve using the funds to expand the scope of the project, or for other uses identified at the time of award negotiation. The funds must be obligated during the award period. The use of program income is subject to audit.
All of the responsibilities relating to program income also apply to all subrecipients of an award. For example, if the grant has paid for equipment that your organization transfers to a third party and the third party uses the equipment to provide a service that generates income, then your organization must report the income.
* Assessing Fees for Grant-Supported Services: All TOP awards contain a Special Award Condition stating that grant recipients must not use equipment acquired with Federal or matching funds to provide services to non-Federal outside organizations for a fee that is less than private companies charge for equivalent services. This requirement extends throughout the period that the Government retains an interest in the equipment.
This Special Award Condition only applies to services provided for a fee. Services provided to outside organizations or to the public free of charge are not affected by this requirement.
Any TOP recipient that is assessing fees for grant-supported services that can also be obtained from private businesses must ensure that the rates charged for those services are not less than what private companies generally charge for "equivalent" services. If you are unsure whether or not your organization is in compliance with these provisions, it is imperative that you contact your TOP Program Officer immediately to discuss the services in question.
This Special Award Condition is in effect for as long as any equipment, such as servers, routers, personal computers, and modems, is used to provide services to outside organizations or to the public for a fee. It applies to TOP awards that have been completed as well as to those that remain active. The equipment in question refers not only to equipment purchased with Federal funds, but to all equipment included in the project budget, including that owned by third-parties.
* Evaluation: All TOP awards contain a provision stating that the grant recipient agrees to participate in third-party independent evaluations of TOP-funded projects. These evaluations may be conducted either during the life of the project or after the project has closed. Participation in these evaluations may take the form of mail or telephone surveys, case studies, site visit interviews, and/or examination of project records. To ensure full participation of project members, you may also be asked to provide independent evaluators with appropriate names, addresses, and telephone numbers of project staff, partners, and end users. Any reports resulting from the evaluations will be made available to you.
Return to Top
PROJECT AMENDMENTS
During the months that your TOP project is active, you may occasionally find that some aspects of your project plan are in need of modification. In such situations, you are required to inform TOP in advance of possible project modifications, to discuss these with your TOP Program Officer, and, in some cases, to formally request and receive prior approvals from TOP and NIST before such changes can take place. Examples of such situations include instances in which: 1) a project appears to be shifting away from its originally stated objectives and scope; 2) key personnel are about to leave a project; and/or 3) a project budget seems to be in need of re-alignment. In such cases, it may be necessary for you formally request a Project Amendment in order to complete the project.
After you have consulted with your TOP Program Officer and you decide that an Amendment Request is warranted, prepare an Amendment Request and submit it via the Online Grants Management System to TOP at least 30 days before the end of the Grant Award period. [Note: Even if a No-Cost Budget Amendment Request has merit, it is often impossible to process the request and to seek necessary internal approvals prior to the formal expiration date of the award if it is received any later.]
Amendment Requests should not be sought retroactively. The request should be clearly labeled as an Amendment Request, and should not be combined with any other submission. The online Amendment Request should state clearly what changes your organization wishes to make to the project and the reasons for them. All relevant cost figures must be included. In addition, it is important that your request contain a statement to the effect that your Amendment Request will not result in any additional cost to the Federal government.
All Amendment Requests will be reviewed by TOP and NIST prior to issuing written approval or denial of your request. If your Amendment Request is approved, the Grants Officer will provide written notification to your organization; if it is denied, the Grants Officer will send a letter notifying you of this fact. Amendment approvals are not considered official until formal notification has been signed by the Grants Officer.
It is important to remember that no matter what anyone may tell you, including TOP Staff, if you do not receive written approval from the Grants Officer, your request for an amendment is not approved. If your organization decides to purchase items of equipment listed in the Amendment Request prior to receiving written approval, you do so at your own risk. If the Amendment Request is eventually turned down, your organization will have to bear the entire cost of the unauthorized purchase. In other words, if purchases are made before written approval is received, the Amendment Request may be denied or the approval rescinded.
Types of Project Amendment Requests Permitted by TOP
Changes in Project Scope or Focus
As TOP grant recipients begin work on their projects, some may find that unanticipated circumstances intervene over time to cause subtle shifts in the overall focus and/or scope of their projects. For example, an organization may come to realize that a technology different from the one proposed in the award document could be used to achieve project goals more effectively. Another grant recipient might decide that the number of locations served by a project should be increased or decreased; that the number of services provided should be expanded; and/or that the planned project sites should be changed.
Some proposed modifications to the scope or focus of a project are relatively minor and do not require a formal amendment to the Grant Award. However, in instances where the scope or focus of the project may undergo significant modification, grant recipients are required to request and seek prior written approval before they can undertake such a revision in the program plan. A decision to request a project Scope or Focus Amendment should be made only after you have thoroughly discussed the proposed modifications and the need for such an amendment with your TOP Program Officer. Amendment approvals may not be sought retroactively for changes in project scope or focus.
Be aware that at some point a requested change in project scope or focus may represent such a departure from the original nature of the project that it cannot be approved by the Grants Officer.
No-Cost Budget Amendments
Occasionally it may be necessary for a TOP grant recipient to request modification of a project's budget in order to complete a project. Such budget amendment requests usually involve the transfer of specific amounts budgeted for one or more categories to one or more other categories in order to absorb unanticipated expenses. As noted in the OMB Circulars, grantees may shift up to 10% of the Total Project Cost (less indirect charges) between and among primary budget categories without seeking approval from the Federal government. However, once the 10% threshold is reached, or if the grantee believes the line item changes to be significant, the grantee must submit a request for a No-Cost Budget Amendment.
Procedures for Submission of a No-Cost Budget Amendment
When submitting a No-Cost Budget Amendment Request, the grantee may use the Online Grants Management System, including: (1) a memo explaining the proposed changes; (2) a revised Budget Narrative delineating the proposed modifications; (3) an updated Statement of Matching Funds; and (4) a revised Standard Form 424A (SF-424A, Budget Information — Non-Construction Programs).
Even if the modification alters the grantee's share of the estimated funding, grant recipients need not submit a revised Standard Form 424 (SF-424).
Before considering any amendment to your project's budget, it is important to remember that your organization was awarded a TOP grant to complete a specific project at an agreed-upon Total Project Cost, with a further understanding that the Federal share would not exceed the amount of the specified Federal award. Therefore, requests for a No-Cost Budget Amendments cannot seek additional Federal funds.
Budget amendments are also required if you would like to pay for an item not listed in your approved budget. In addition, your organization does not have authorization to spend funds to purchase more items than what you listed in your approved budget. For example, if the original approved budget for your project included the purchase of six computers, and these computers actually cost only half of what had been budgeted, your organization does not have authorization to buy additional computers. If your project can be completed for less than the cost that was estimated in the award document, then both your organization and the Federal government have saved money. [Note: Funds returned to TOP in this manner may be awarded as grants in subsequent grant rounds.]
OMB Circular A-110, "Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations," discusses the revision of budget and program plans. With respect to budget revisions, the circular indicates:
"(f) The Federal awarding agency may, at its option, restrict the transfer of funds among direct cost categories or programs, functions and activities for awards in which the Federal share of the project exceeds $100,000 and the cumulative amount of such transfers exceeds or is expected to exceed 10 percent of the total budget as last approved by the Federal awarding agency. No Federal awarding agency shall permit a transfer that would cause any Federal appropriation or part thereof to be used for purposes other than those consistent with the original intent of the appropriation."
The term "cumulative amount of transfers" indicates a cumulative change between cost categories. For example, if the total budget is $1M and you take $60K out of equipment and put it into personnel, then the rules say that you have made $120K (or 12%) of changes and must submit an amendment request.
Any decision to request a No-Cost Budget Amendment should be made only after you have discussed the need for the amendment with your TOP Program Officer. Such requests require the prior written approval of the Grants Officer. No-Cost Budget Amendments cannot be approved retroactively for items purchased or expenses incurred without prior written authorization.
Changes in Key Project Personnel
Your organization must also provide written notification and formally request an amendment for any change in the key person(s) specified in your project's application or award document. While sudden personnel changes cannot always be anticipated in time to seek prior approval from TOP and NIST, such an amendment is required if the principal administrative oversight and responsibility for a project is going to be shifted from one individual to another within the grant recipient organization. A request for an amendment of this type should be sought as soon as possible, and must be accompanied by a CD-346 — Applicant for Funding Assistance and résumé for each key project individual listed. [Note: A CD-346 is not required of state and local government entities, including school districts and public libraries, or of accredited colleges and universities. Also, this Amendment Request requires an original signature.]
A Note of Caution
Federal and Non-Federal Cost Share Ratio
In accepting the Federal award, your organization is committed to provide the matching funds identified in the approved budget. Therefore, budget amendments that result in a decrease of the non-Federal matching share will result in a corresponding decrease in the Federal share of the award.
The non-Federal share of your award, whether in cash or in-kind contributions, is expected to be paid out at the same general rate as the Federal share. Exceptions to this requirement may be granted by the Grants Officer based on sufficient documentation demonstrating previously determined plans for, or later commitment of, cash or in-kind contributions.
Unauthorized Expenditures
Items, services, or equipment that do not appear in the award document or have not been the subject of an approved amendment will be removed from the project budget by TOP and NIST at the time of closeout. If this occurs, your organization may be required to refund Federal funds previously paid to your organization.
Return to Top
EXTENSIONS OF THE GRANT AWARD PERIOD
The Grant Award Period is the time during which your organization can obligate your Federal grant funds to complete your approved project. The Grant Award Period for your TOP grant appears on the first page of your CD-450 award document. All project activities must be completed by the end of the Grant Award Period.
Occasionally a grant recipient organization may consider it necessary to request a one-time extension of a Grant Award period in order to complete a project. A number of factors beyond the control of the organization may lead them to believe that such an extension is necessary, including slow delivery of equipment from vendors, delays in connecting project sites, unexpected turnover of key project personnel and related causes.
Extension Requests should be made only after you have thoroughly discussed the need for such an extension with your TOP Program Officer. Extension Requests may be submitted through the Online Grants Management System at least 30 days before the end of the Grant Award period. This allows a request to be given full consideration before the Grant Award Period expires. Extension Requests may not be honored retroactively. The request should be clearly labeled as an Extension Request, and should not be combined with a Quarterly Performance Report.
Extension Request memos should contain a full explanation of what has happened to make a project extension necessary and how the extension will favorably affect the outcome(s) of the project. Generally TOP will look for causes beyond the grant recipient's control in considering an Extension Request, and it may request supporting documentation to accompany the request. TOP does not look favorably upon requests that appear to result from simple inactivity on the part of the grant recipient organization. The request must include: (1) a statement that the extension does not seek additional Federal funding; (2) the length of time requested for the extension; and (3) a revised project timetable.
All Extension Requests will be reviewed by TOP and NIST prior to issuing written approval or denial of requests. If an Extension Request is approved, the Grants Officer will send an Amendment to Financial Assistance Award (CD-451) Form to the grant recipient organization; if it is denied, the Grants Officer will send a letter notifying the recipient of this fact. Extension approvals are not considered official until the CD-451 Form has been (1) signed by both the Grants Officer and the authorized signatory from a grant recipient organization, and (2) received by the grants officer. No matter what an organization may be told, if it does not receive written approval from NIST, its request for an extension is not approved.
Return to Top
PROJECT CLOSEOUT REQUIREMENTS
Your organization is required to provide TOP with closeout documentation for your project within ninety (90) days following project completion or the expiration of your Grant Award period, whichever comes first. Closeout documentation includes the following components:
Final Project Report
The final report is your best opportunity to assess the successes, challenges, surprises, and other significant experiences you encountered during your project. The final report should reflect what you learned, what worked, what did not work as planned, and what you might do differently. Please remember that TOP is a national demonstration program — your experiences are of interest to the program and to communities across the country. As you complete the final report, try to put yourself in the position of a colleague who has not yet had your opportunity, but who would like to embark on a similar project in another community.
Your organization's final project report must be submitted to TOP electronically via the TOP web-based Online Reporting System. Prior to the submission of your final quarterly report, your Program Officer will seek confirmation that you will not request an extension of the closing date of your award. Your organization will be expected to provide TOP with the following information and data in your final project report:
* Project Outcomes: Progress that your organization made toward achieving the original long-term outcomes and goals identified for the project in the start-up documentation. Additional outcomes that the project may have achieved, as well as outcomes the project expected to achieve but did not, are also required to be documented.
* Project Accomplishments: Information regarding your project's most significant accomplishment or achievement; impacts that your project may have had on the community-at-large; ways in which your project may have changed the way in which end-users perform their jobs and/or carry out other activities; any unanticipated benefits or problems that resulted from the project; and the number of individuals who may have directly or indirectly benefitted from TOP-related equipment or resources since the beginning of the project.
* Partnerships: Your assessment of the overall success of your project's partnerships; factors that may have facilitated or hindered the success of these partnerships; and the extent to which your organization's relationship with your partner organizations may have changed as a result of their participation in your TOP project.
* Community Impact: Your organization's assessment of the impact that your TOP grant had on your ability to implement your planned initiative or activity.
* Lessons Learned: Any lessons that your organization learned from this project that might be of interest and use to other organizations attempting similar projects.
* Project Expansion: Information on efforts to serve additional end-users in locations or organizations beyond those targeted in the TOP proposal.
* Project Spin-Off Activities: Information, new projects, products, project adaptations that have resulted from the TOP project.
* Future Plans: Plans that your organization has for the project now that the TOP grant has been completed.
Final Outside Evaluation Report
A Final Outside Evaluation Report is to be prepared by an independent evaluator(s). Neither the project director nor any project staff is permitted to author, or co-author, the final outside evaluation report.
The Final Outside Evaluation Report should include:
* Overview of the Project. Provide a brief statement of the problem that the project was designed to solve and the expected outcomes. Give a description of the project that was implemented. Describe and explain any deviations from the proposed project, including changes in expected outcomes.
* Evaluation Design. Give details of the research/evaluation design, including the research questions, methodology, data collection, and data analysis procedures.
* Findings. Give an analysis and an account of the results of the evaluation, and provide conclusions and recommendations.
* Appendices. The following items should be appended:
o copies of data collection instruments, e.g., survey forms, interview schedules, focus group outlines;
o interview and focus group transcripts; and
o copies of forms used by participants, e.g., informed-consent, privacy statements, agreements to participate.
Submit three copies and an electronic version (either WordPerfect or Word) of the Final Outside Evaluation Report to your Program Officer. Please consult the Program Officer and the Evaluation Specialist if you are having problems.
List of Project Expenditures
Closeout documentation includes a complete listing of project-related expenditures by object class category. The list is organized according to the format of the approved budget contained in the Financial Assistance Award document. Also, provide brief explanations for any aspect of the expenditures that are unusual, or that do not appear on either the originally negotiated project budget or on any subsequently amended budgets. This will greatly facilitate TOP review of your closeout materials. A spreadsheet template is available to assist you.
The total expenditures reported must equal the total project cost reported on the final Financial Status Report (SF 269, long form) submitted to NIST.
Please also remember that your organization is subject to the auditing requirements described in the Special Terms and Conditions section of your Grant Award document. Audit requirements are discussed later in this Handbook.
CD-281: Report of Government Property in Possession of Contractor
A Report of Government Property in Possession of Contractor (Commerce Department Form 281 [CD-281]) must be submitted to TOP as part of the closeout documentation for your Grant Award. The CD-281 is an inventory listing of all equipment that your organization acquired under the grant with both Federal and non-Federal funds.
Copies of CD-281 forms are included in your Grant Award packet. A link to a CD-281 form can be found in the Appendix, is also available online at www.osec.doc.gov/forms/pdf/cd281fll.pdf.
Should you have questions regarding the preparation of the CD-281, please contact your Program Officer.
Other Studies, Publications, Reports and/or Other Work Products Generated by the Project
Please include with the closeout documentation copies of any final reports, studies, publicity coverage, letters from the public, awards, etc. that were generated as a result of and that relate to your project. Please do not submit duplicate copies of materials that you previously submitted to TOP along with your Quarterly Performance Reports.
Return to Top
FACILITATING COMMUNICATION
AMONG TOP GRANT RECIPIENTS
TOP encourages the active exchange of information between grant recipients, program staff, and the public. In addition, TOP staff play a larger role than strictly monitoring projects for compliance with paperwork obligations. The staff actively seek your input and knowledge and, in turn, can provide you with assistance on the issues you face as you implement your project.
TOP Website
TOP also has its own Website at www.ntia.doc.gov/TOP/. The following items on the TOP Website are apt to be of particular interest to TOP grant recipients:
Evaluation Materials
The TOP website contains project evaluation reports from completed projects. These evaluations have been prepared by a variety of evaluators, ranging from independent university specialists to internal staff evaluators. Some of the evaluations are large and detailed, while others are smaller, but just as effective.
The views, findings, opinions, and recommendations expressed in these reports are solely those of the project evaluator(s) and do not represent the official views, opinions, or policies of the United States Department of Commerce or any of its individual agency components.
Descriptions of Funded TOP Projects and Contacts
This section contains a description of all TOP projects funded since the program began in 1994, and includes names of project contacts, award amounts and other data pertaining to each project.
Get Updates
TOP has inaugurated a broadcast email list to provide interested parties with updates and other information about the program. The list streamlines the process of communications with grantees. Anyone may join the list by click on Get Updates in the footer of any page on TOP's website.
Return to Top
AUDIT REQUIREMENTS
All TOP grant recipients are subject to audit requirements contained in Office of Management and Budget (OMB) Circular A-133, revised June 30, 1997. A copy of the A-133 is included in your Grant Award package.
OMB Circular A-133 requires that non-profit organizations, government agencies, Indian tribes and educational institutions expending more than $500,000 in Federal funds during a one-year period conduct an audit in accordance with guidelines outlined in the A-133. These audits are to be performed in one of two ways. A TOP-specific audit may be performed if the organization receives Federal funds solely from TOP. If the organization receives funds from more than one Federal source during the year that the audit is conducted, an organization-wide audit must be performed.
In general, A-133 requires TOP grant recipients to obtain annual audits. [Note: Exceptions are made in the case of some non-profit organizations and some state and local governments in which biennial audits are permitted. See Subpart B, Section __.220 of OMB Circular A-133 (revised June 30, 1997).] Copies of such audits must be provided to each Federal agency that provides funds to your organization. The copy of the audit report is provided to the Department of Commerce at the following address:
Mr. William F. Bedwell, Jr.
Supervisory Auditor
Office of Audits — Regional Audits
Office of Inspector General
U.S. Department of Commerce, Suite 2342
401 West Peachtree Street, NW
Atlanta, GA 30308
A second copy of the audit report is sent to the Bureau of the Census, which has been designated by OMB as a central clearinghouse. The address is as follows:
Federal Audit Clearinghouse
Bureau of the Census
1201 E. 10th Street
Jeffersonville, IN 47132
All TOP grant recipients are also required to send a copy of the audit transmittal letter to their NIST Grants Specialist.
We urge you to read and to review the A-133 audit requirements with your accountant.
The Department of Commerce Financial Assistance Standard Terms and Conditions addresses the subject of audits in Section D (pp. 7-9). Should you have questions related to audit requirements, please contact your NIST Grants Specialist.
Return to Top
APPENDIX
Links to Standard Forms
In addition, under the Government Paperwork Elimination Act (GPEA), the Regulatory Information Service Center (RISC) maintains the Fedforms website, which provides immediate access to most of the Federal forms used by the public. Please note that TOP does not provide technical support for the FedForms site or for any site other than its own:
* Form SF-269: Financial Status Report (long form)
* Form CD-281: Report of Government Property in Possession of Contractor
* Form CD-346: Applicant for Funding Assistance
* Sample Text of Revised Budget Narrative
* Guidance for Protection of Human Subjects
o Human Subjects Research Checklist
o Sample Exemption Request
o Sample IRB Approval Letter
Return to Top
Accessibility Guide
Here are some resources you can use to become more aware of and accommodate the various needs of the people you serve. These links are provided for informational purposes only, and no endorsement of commercial products is intended.
* Alliance for Technology Access (ATA) provides a guide called "Starting Points: An Introduction to Creating Access for People with Disabilities in Community-Based Organizations." An on-line version is located at www.ataccess.org/resources/acaw/startingpoints.html.
* Computer Operating System Access Features are available for the Windows operating system and Macintosh OS.
* Sign Language Interpreters and Assistive Listening Devices allow people with hearing loss to participate in classed and events. Interpreters can be found by contacting the Registry of Interpreters for the Deaf, (301) 608-0050 or your local Independent Living Center.
* Telephone Relay Services can be utilized for people who are deaf. For more information, see www.fcc.gov/cgb/dro/trs/con_trs.html. The FCC also provides a national directory of relay services.
* U.S. Department of Justice provides an ADA Home Page with the complete text of the Americans with Disability Act (including specific standards for accessible facilities), other federal agencies with ADA responsibilities, general publications, an ADA guide for local governments, and more.
* U.S. Equal Employment Opportunity Commission's Facts About the Americans with Disabilities Act provides a good overview of the ADA and a link to the full text.
* Web Accessibility Design Guides are available from the World Wide Web Consortium (W3C) through their Web Accessibility Initiative (WAI) and WebABLE Solutions.
* Web Accessibility Evaluation Tools are available from Bobby, The Center for Applied Special Technology; A-Prompt, The Adaptive Technology Resource Centre at the University of Toronto; and The Wave, The Pennsylvania Initiative on Assistive Technology (PIAT).
[ Last update: Thursday August 25, 2005 ]
|
