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Frequently Asked Questions
BACKGROUND
How long has TOP been in existence?
How many projects has TOP funded since its inception?
Is TOP the only grant program at NTIA?
Who is eligible to apply?
Can organizations from other countries apply? What about U.S. territories?
What kinds of projects does TOP support?
Is there a specific budget set-aside for, say, health projects?
PROCESS
Do I have to use TOP's online tools for my forms?
How much money is available for grants this year?
Is there more than one deadline each year?
What's the maximum amount TOP awards for a grant?
What is the average size of a grant?
Are grant awards multi-year, or must grantees reapply every year?
How long does the application process take?
If we are awarded a grant, when does the funding begin?
We are a faith-based organization. Are we eligible to apply?
Is it possible to look at examples of successful applications?
Does TOP only fund Internet-related projects?
Can an organization submit more than one application for different projects?
Can we include an international component in our application?
Does TOP review rough drafts of applications?
Does an applicant have to be a major research university to be competitive?
TOP supports "innovative" projects; we don't even have decent phone service.
Since innovation counts for so much in the FY2004 competition, will a project that is not on the absolute cutting edge make it past the initial review process?
If training and curriculum development are ruled out as projects, what kinds of "educational" projects do qualify for support?
TOP encourages "partnerships." What exactly constitutes a partnership?
Can you clarify the distinction between "end users" and "beneficiaries?"
What are our responsibilities with regard to HIPAA?
EVALUATION
Where can I find basic information on evaluation?
How do I find an evaluator who can help me on my project?
BUDGET
Can we submit multiple budgets?
Is there a matching requirement?
Does the match have to be in cash?
Does the match have to be in-hand at the time of application?
Does TOP ever make exceptions to the matching requirement?
If we spend funds before October 1, 2003, can we use it as matching funds?
Our organization hasn't yet negotiated an Indirect Cost Rate.
Does TOP fund any kind of construction?
What kinds of things are eligible as in-kind matching?
How do I budget for discounts?
Who owns the rights to software we develop?
Contacting TOP
BACKGROUND
How long has TOP been in existence?
TOP awarded its first grants in Fiscal Year 1994.
How many projects has TOP funded since its inception?
To date, TOP has awarded 583 grants, in all 50 states, Puerto Rico, the District of Columbia, and the U.S. Virgin Islands, totaling $218.9 million and leveraging $297 million in local matching funds.
Is TOP the only grant program at NTIA?
No. NTIA also administers the Public Telecommunications Facilities Program (PTFP), which supports construction of public radio and television facilities in areas not already served, expansion of public television and radio signals into unserved areas, and replacement of essential public broadcasting facilities. PTFP also supports distance learning projects. For more information on the PTFP, please see their homepage at: www.ntia.doc.gov/ptfp/index.html
Who is eligible to apply?
Non-profit entities, public sector organizations as well as state, local, and tribal governments. Eligible applicants include, but are not limited to, faith-based organizations, national organizations and associations, non-profit community-based organizations, non-profit health care providers, schools, libraries, museums, colleges, universities, public safety providers, or other providers of social services. For-profit organizations and individual persons are NOT eligible to apply
Can organizations from other countries apply?
According to TOP's Announcement of Federal Funding Opportunity, "Non-profit entities, public sector organizations as well as state, local, and tribal governments eligible to apply." Therefore, international organizations are not eligible to apply.
With regard to the definition of "state" for the purposes of the TOP Program, 47 U.S.C. 397 provides that the term "State" includes the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Northern Mariana Islands, and the Trust Territory of the Pacific Islands. However, as of October, 1994, the United States no longer maintains a trustee relationship with the former Trust Territories of the Pacific Islands. Therefore, organizations from the former Trust Territories of the Pacific Islands are not eligible to apply.
What kinds of projects does TOP support?
According to the Announcement, TOP "promotes the use of advanced telecommunications and information technologies in the non-profit and public sectors. TOP provides organizations with the opportunity to explore the possibilities that new interactive technologies offer to improve the provision of "educational, health care, or public information." These projects encourage the deployment of broadband infrastructure, services, and applications throughout the Nation."
To accomplish this objective, TOP provides matching grants to state, local, and tribal governments and non-profit entities for model projects that demonstrate innovative uses of digital network technologies in underserved communities. TOP projects address specific challenges and realize opportunities in such areas as lifelong learning, community and economic development, government and public services, safety, health, and culture and the arts.
Is there a specific budget set-aside for, say, health projects?
Since the purpose of TOP funding is to support a broad variety of innovative applications of digital network technology, there are no specific set-asides for particular kinds of projects (e.g., health, public safety, education).
PROCESS
Do I have to use TOP's online tools for my forms
No, TOP's online tools are designed to assist you. You can prepare your forms using TOP's application kit; OMB's Grants Management page (which contains copies of all Federal forms); TOP's .pdf forms; or by contacting TOP and asking for copies of the forms.
How much money is available for grants this year?
For Fiscal Year 2004, approximately $12.9 million is available.
Is there more than one deadline each year?
There is one deadline for submission of applications. The deadline for postmark of applications for Fiscal Year 2004 is Tuesday, April 27, 2004. Note: This is a postmark deadline; for applications hand-delivered to the Department of Commerce, they must be delivered no later than 5:00 P.M. Eastern Standard Time.
What's the maximum amount TOP awards for a grant?
For FY2004, an applicant can request up to a total of $700,000 in funds from NTIA. However, for each application, applicants must match their request for federal funds at least dollar-for-dollar with matching funds. Therefore, if an applicant requested $700,000 in federal funds, they would have been required to match with at least $700,000.
What is the average size of a grant?
In FY2003, the average size of an award was approximately $460,600.
Are grant awards multi-year, or must grantees reapply every year?
Awards are made for the life of the project which can extend up to 3 years. Once you have won a grant, the money is obligated for the grant. Therefore, there is no need to reapply each year.
How long does the application process take from deadline to announcement of award?
Approximately 6 months.
If we are awarded a grant, when does the funding begin?
As a TOP grantee, you would be eligible to receive funds and begin spending matching funds as early as October 1 of the year in which the grant was awarded. For Fiscal Year 2004, the official start date of projects funded should be October 1, 2004.
We are a faith-based organization. Are we eligible to apply?
Yes. There is a policy in TOP, to which we have rigorously adhered since the inception of the program, of not supporting projects whose emphasis or content is wholly or primarily sectarian. However, faith-based organizations, particularly in partnership with other non-profits and/or educational institutions, have participated in a number of TOP-supported projects. As indicated in the Announcement of Federal Funding Opportunity, "while religious activities cannot be the essential thrust of a grant, an application will be eligible where sectarian activities are only incidental or attenuated to the overall project purpose for which funding is requested. Applicants for whom this policy may be relevant should read the policy that was published in the Federal Register at 60 FR 66491, Dec. 22, 1995.
The test with respect to sectarian activities has always been the purpose for which the network is being put in place; a community network, for example, that has a number of training sites at local churches would probably be an eligible project because the outcomes of the project would be community-related outcomes (e.g., development of employment skills among a disadvantaged population) and not religious ones (e.g., increased participation in church-related activities).
TOP program staff are always available to discuss proposed projects and offer advice on questions of eligibility.
Is it possible to look at examples of successful applications?
There are a number of ways to access information on successful applications. The most convenient method is to use the TOP homepage's searchable database of all awarded projects. Previously funded projects are searchable by key word, state, and year. Beginning with the awards for fiscal year 1999, TOP has placed copies of grantees' project narrative section of their applications at the bottom of the project description. In addition, the project descriptions also contains links to grantee websites, if available.
The TOP home page also contains links to:
Finally, all applications are available through the Freedom of Information Act. If you come across a grantee whose application is not available on our home page, you can email TOP at top@ntia.doc.gov or fax 202-501-8009 requesting a copy of the application under the Freedom of Information Act. Your request should include the full name of the grantee, and if possible their nine digit award number, and your mailing address.
Does TOP only fund Internet-related projects?
No, TOP supports projects that use a wide range of digital network technologies.
Can an organization submit more than one application for different projects?
Organizations may submit more than one application; however, since the applications are reviewed competitively, an organization may be put in the position of being in competition with itself for relatively scarce grant funds.
Can we include an international component in our application?
Yes, because important networking efforts may also occur outside of the United States, TOP projects may benefit from linkages to international efforts. While TOP projects may include international components, all grant recipients, subrecipients, and TOP-funded personnel and equipment must be domestically based. Also, as indicated in the Notice, costs that are ineligible for TOP support may not be included as part of your matching fund contribution.
Does TOP review rough drafts of applications and make preliminary recommendations?
TOP staff members do not review rough drafts of applications, since the actual applications will be reviewed by review panels. Staff members do, however, provide extensive technical assistance through presentations and question-and-answer sessions at professional meetings and conferences, and one-on-one in person and over the phone.
TOP staff can answer general program questions, grant round inquiries, and specifics regarding the application process.
Does an applicant have to be a major research university to be competitive, or do smaller organizations have a shot at TOP funding?
Smaller organizations certainly have as much chance of receiving TOP support as do major research institutions.
You say TOP supports "innovative" projects, but we don't even have decent phone service in our community. Can you help us with that?
TOP may not be the best grant program to approach if what you are seeking is support for basic telecommunications access. Each year, TOP supports a relatively small number of projects, selected competitively from between 600 and 800 applications. Any application that receives support has to propose more than basic access. Remember that TOP's mandate has always been to support innovative models that can be replicated by other communities. Other funders have different mandates, and a number of them focus on more basic access issues. TOP staff try to stay informed about other funding opportunities in the field of telecommunications and information infrastructure, so that if a project you propose does not represent a "fit" with TOP's priorities, we can sometimes direct you to other potential sources of support.
Innovation counts for more in FY2004 than in previous years. TOP has always stressed innovation, but in FY2004, it looks as if a project that is not on the cutting edge won't make it past the initial review process. Is this true?
Innovation does count for more in FY2004 (thirty percent of the overall score). As the Announcement states, TOP-supported projects "are expected to serve as national models, even though the applicant may propose to pilot the project at the local level." In addition, TOP will be placing a priority on "projects that address problems of national significance, expand economic opportunities, enhance productivity, increase worker skills, and create jobs for American workers." With this in mind, it is logical that TOP would be looking for the most innovative projects, those that have the strongest probability of being replicated in other communities throughout the United States. Now, innovation does not necessarily mean that the project must employ the most cutting-edge technologies; the technologies employed should not be so widely diffused that they are probably being used for similar or identical projects to the one you are proposing.
If, as the Announcement says, "training" and "curriculum development" projects are ineligible, then what kinds of "education" projects are eliglble?
Training is not ruled out as a component of a TOP-supported project. The Announcement does state clearly that project "whose primary or sole purpose is to provide training in the use of software applications, Internet use, or other network technologies" will not be considered eligible. Similarly, "projects whose primary purpose is to create curricula for K-12 students" will not be considered eligible. However, that still leaves a lot of room for projects that deploy networking technologies to create new ways of reaching students and adult learners. Training and/or curriculum development may be aspects of these projects; but the projects themselves must meet the primary criterion of "demonstrat[ing] innovative applications of technology to pressing needs in the public and non-profit sectors." A project, for example, that focuses on workforce retraining or some other aspect of local economic development would obviously need to have a substantial training component; but if the project were simply to teach basic computer skills, then it would fall short of the Innovation criterion and be considered, at best, non-competitive.
TOP says it encourages "partnerships." What exactly constitutes a partnership?
A partner is any organization or entity that is actually going to contribute materially to your project, either in the form of financial support, donations of equipment or personnel, or other resources. A partner takes an active role in the realizing of the project, and may receive benefits in return for whatever contribution it makes. Partnerships should be clearly defined, mutually beneficial, and the commitments (including both cash and in-kind contributions) well documented in the application. TOP recommends that your application contain letters of commitment from the partners describing in detail their roles and quantifying their contributions, or if you prefer, memoranda of understanding.
TOP grantees repeatedly stress the importance of ensuring that you and your partners agree, and put in writing, what your roles will be. This not only generates project support and buy-in on the part of all stakeholders, but it provides a guide for implementation and a commitment by all parties throughout the project. Quite often, partners are entities with whom you have worked on past projects. This is useful because it helps your to select partners for new projects who can clearly devote the necessary time and resources to the project.
Can you clarify the distinction between "end users" and "beneficiaries?"
Normally, the "end user" — the person who logs onto a network, downloads information, receives a service, etc. — is also the beneficiary. The relationship is straightforward: he or she uses the network and derives a benefit. There are situations, however, in which someone who uses a network may not be the principal beneficiary. He or she may be acting on behalf of a group of beneficiaries, none of whom are likely to log onto the network themselves.
Consider the example of a network that links a number of service providers. There may be ten organizations linked in the network, and each organization may have ten employees. That means that there will be a maximum of 100 "end users." But each organization in the network may serve as many as 10,000 clients. And these clients are the ones who will benefit from the existence of the network because they will be receiving improved services.
So in this example, there are 100 end users and, potentially, 10,000 beneficiaries. It is important to distinguish between the two groups when describing a project because the distinction will have an impact on a number of review criteria.
What are our responsibilities with regard to HIPAA?
Any organization that works with health-related information is probably subject to the Health Insurance Portability and Accountability Act (HIPAA), which sets out standards for protecting the privacy of health records. The Department of Health and Human Services has set up a website containing fact sheets on HIPAA, useful links, and a variety of educational materials. The website is located at: http://www.dhhs.gov/ocr/hipaa/
EVALUATION
Where can I find basic information on evaluation?
TOP maintains a link to evaluation resources on its homepage.
In addition, another helpful basic resource is the United States Department of Health and Human Services Administration on Children, Youth, and Families (ACYF) Program Manager's Guide to Evaluation.
How do I find an evaluator who can help me on my project?
A useful resource for locating potential evaluators in your area is Western Michigan University's Directory of Evaluators. The directory provides basic contact information from and about evaluators. The directory includes both individuals and organizations and may be searched by name, area of specialty, or geographic location.
In addition, the Innovation Network, Inc. (InnoNet) is a non-profit organization that offers a number of free services and resources for groups seeking evaluation and strategic planning assistance.
Other sources useful for finding an evaluator include the following:
- Local agencies that have used outside evaluators. Agencies in your community that are like yours are a good source of information about potential outside evaluators. These agencies may be able to recommend a good evaluator, suggest methods of advertising, and provide other useful information. This is one of the best ways to find an evaluator who understands your program and is sensitive to the community you serve.
- Evaluation divisions of state or local agencies. Most state or local government agencies have planning and evaluation departments. You may be able to use individuals from these agencies to work with you on your evaluation. Some evaluation divisions are able to offer their services at no cost as an "in-kind" service. If they are unable to respond to a request for proposal or provide you with in-kind services, staff members from these divisions may be able to direct you toward other organizations that are interested in conducting outside evaluations.
- Local colleges and universities. Departments of sociology, psychology, social work/social welfare, education, public health, and public administration, and university-based research centers are possible sources within colleges and universities. Well-known researchers affiliated with these institutions may be readily identifiable. If they cannot personally assist you, they may be able to refer you to other individuals interested in performing local program evaluations.
- Technical assistance providers. Some federal grant programs include a national or local technical assistance provider. If your agency is participating in this kind of grant program, assistance in identifying and selecting an evaluator is an appropriate technical assistance request.
- The public library. Reference librarians may be able to direct you to new sources. They can help identify local research firms and may be able to provide you with conference proceedings that list program evaluators who were presenters.
- Research institutes and consulting firms. Many experienced evaluators are part of research institutes and consulting firms. They are sometimes listed in the yellow pages under "Research" or "Marketing Research." They also can be located by contacting your State human services departments to get a listing of the firms that have bid on recent contracts for evaluations of State programs.
- National advocacy groups and local foundations, such as The United Way, the Urban League, etc. The staff and board members of these organizations may be able to provide you with names of local evaluators. They may also be able to offer insight on evaluations that were done well or evaluators especially suited to your needs.
- Professional associations, such as the American Evaluation Association, American Sociological Association, and the Society for Research on Child Development. Many evaluators belong to the American Evaluation Association. These organizations can provide you with a list of members in your area for a fee and may have tips on how you should advertise to attract an evaluator that best meets your needs.
BUDGET
Should we submit separate budgets for each organization's part of the overall project?
It often happens that several organizations collaborate on a proposal. Each will be responsible for a different aspect of the project. Under these circumstances, it would seem logical for the applicant to submit a separate budget for each organization's activities.
The problem is that, for any proposal, only one organization can be the grantee. From this it follows that there can only be one Total Project Budget, since the project budget is, in essence, the basis for a contractual relationship between that single organization (the grantee) and TOP. So, the short answer is that you need to submit one budget, not several. However, your Budget Narrative can include separate budgets for different aspects of the project, if this clarifies how the funds are actually going to be expended.
One way to deal with a situation of multiple budgets is to create a separate spreadsheet, or a separate page in a spreadsheet "book," for each participant's budget, and then create a master spreadsheet that incorporates all of the costs. The master spreadsheet would then be the basis for filling in the various forms (SF-424A, SF-424), and the separate spreadsheets would clarify how the overall figures were arrived at.
This may also be a way to deal with the problem of several organizations participating in a project, each with its own Indirect Cost Rate.
Is there a matching requirement?
Grant awards generally do not exceed 50 percent of the total project cost, with matching funds coming from non-federal sources.
Does the match have to be in cash, or can it include in-kind as well?
Matching funds may be any combination of cash and in-kind contributions.
Does the match have to be in-hand at the time of application?
Although it is alway a plus for an organization to have the matching share in-hand at the time of application, this rarely, if ever, happens. Far more frequently, an organization has a portion of the match in cash on hand and a commitment from partners to provide the rest of the match, either in cash or in kind, once the project receives TOP support. Similarly, an applicant may have one or more proposals pending with private foundations; and the foundations are waiting to see what TOP's recommendation will be. In this case, the applicant expects TOP funding to leverage the private funds.
Whatever the actual status of the non-federal share, a grantee is generally given two months from the starting date of the project to certify that the matching share has been committed — i.e., either that the matching funds are now in-hand, or that a partner has promised to provide the projected in-kind support.
In most cases, the best that an applicant can do with respect to the proposed budget is to provide a reasonable estimate of costs and matching support. Part of the review process will involve a discussion, based on the evidence provided in the proposal, of how reasonable the expectation of matching support is.
Does TOP ever make exceptions to the matching requirement for poor communities or organizations?
Although funds awarded by TOP for a project generally do not exceed 50 percent of the total project cost, TOP can waive the fifty/fifty matching requirement under extraordinary circumstances. This does not happen very often, but it does happen. Organizations seeking a waiver of the fifty/fifty matching ratio must provide evidence at the time of application that the requirement will impose an unreasonable hardship.
If we spend funds before the official start date of the project, can we use them as matching funds?
With respect to using funds to pay for costs incurred prior to the October 1, 2004, start date of TOP awards in Fiscal Year 2004, the OMB Circulars define the expenditure of funds prior to the official project start dates as "Pre-Award Costs." What this means is that any costs incurred prior to October 1, 2004, whether Federal or non-Federal matching costs, are unallowable unless they have been specifically authorized in the special award conditions of each award document.
If you expect to use equipment or other items as in-kind matching contributions, it is important to remember that these items, if purchased prior to October 1, 2004, cannot be considered "new." As "existing" equipment, or other items, you can count as a match only the portion of the item that is "used" over the life of the project. This "use value" is the depreciated value of the item over the life of the grant. More details on how to calculate the "use value" are available in our Application Kit in the Budget Section at:
http://www.ntia.doc.gov/top/grants/documents/guidelines2004.html#F-BudgRequest.
Our organization hasn't yet negotiated an Indirect Cost Rate. Who can we talk to about this?
The Office of the Inspector General in Atlanta, (404)-730-2780, is the one to contact for guidance on establishing an Indirect Cost Rate. There is also a great deal of information on Indirect Cost Rates in several of the Office of Management and Budget circulars, particularly OMB publications A-102, A-110, and A-133.
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Does TOP fund any kind of construction?
TOP does not support construction of any kind. If you are looking for funds to build a new building or lay fiber optic cable, TOP is not the right grant program. However, minor modifications to a space which will house a computer training facility or an online access center may be eligible for TOP support.
What kinds of things are eligible as in-kind matching?
This is the most frequent of the frequently asked questions, and the one that seems to cause the most confusion. However, the rule on in-kind matching is actually very simple: If someone gives you an item or a service for which you would otherwise have to expend actual funds, the item or the service can be counted as an in-kind match. The crucial determining factor is eligibility: an item or a service donated to the project only counts as an in-kind donation if that particular item or service actually appears in the budget as a legitimate project cost. In other words, you cannot "use" something as an in-kind match simply because it has value.
Take the case of a building [see the item above on "Construction"]. How could you include the value of a building as a match if the actual cost of constructing the building is an ineligible project cost and would never have been allowed in the project budget? The answer is, obviously, that you cannot use the value of a building as a match.
Therefore, it is never a good practice to load all of the actual project costs into the Federal share of the budget and search for items of value that can be used as match. The best practice is to prepare a budget, and then decide which of the items in the budget will be paid for with Federal funds, which with local matching funds, and which will be donated, rather than purchased.
Finally, remember that equipment purchased prior to the grant start date — the start date for all grants in Fiscal Year 2004 will be October 1, 2004 — which you actually own (i.e., you hold title to) can be used toward the match, but the value is based on depreciation or use allowance for that equipment.
A computer company wants to give us a discount on equipment. How do I account for this in my budget?
As stated in the Guidelines, you cannot count the discount for service and equipment as an in-kind contribution from the donor. However, you can work with the donor to ensure that the "value" of the discount is not lost. For example, if a local computer vendor was willing to give you a 50% discount on 10 computers, you should document the contribution as two line items in your budget. See illustration below:
Personal Computers
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Local PC, Inc. will donate 5 computers to the project. The market value of these personal computers is $1,000. |
| Federal Funds: $0 |
Matching Funds: $5,000 |
Total: $5,000 |
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We will purchase 5 personal computers from Local PC, Inc. The market value of these personal computers is $1,000. |
| Federal Funds: $0 |
Matching Funds: $5,000 |
Total: $5,000 |
We and our partners will be modifying some software as part of the project. Who owns the rights to license the software?
Even if you have developed, patented, and/or copyrighted an element of your project, the government still has rights to use the technology. The rights vested with the grant recipient are described in 15 Code of Federal Regulations (CFR) Part 14, Section 14.36 Intangible Property.
Contacting TOP
For more information about the program please contact us via:
Email: top@ntia.doc.gov
Fax: (202) 501-5136
Phone: (202) 482-2048
U.S. Postal Address:
Technology Opportunities Program
Office of Telecommunications and Information Applications
National Telecommunications and Information Administration
U.S. Department of Commerce
1401 Constitution Avenue, NW
Room 4096
Washington, DC 20230
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