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New Technology Research & Development Program Application Workshop for FY 2005 Funding. Introduction . Purpose – to assist potential grantees in the development of the best grant applications possible. The State of Texas wants and needs your good ideas!

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New Technology Research& Development Program Application Workshop for FY 2005 Funding

FY 2005 Workshop - 06/16/04


Introduction l.jpg
Introduction

  • Purpose – to assist potential grantees in the development of the best grant applications possible.

  • The State of Texas wants and needs your good ideas!

  • Innovative “reach-out” program created by the 77th legislature has created funding possibilities for many with no prior experience with State of Texas financial assistance.

FY 2005 Workshop - 06/16/04


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The FY 2005 NTRD Application

  • The application is the first step in forging a bold new partnership for our mutual benefit, and the benefit of generations of Texans to come.

  • The FY 2005 application has been refined. You must use the application form posted with the current request for grant applications.

FY 2005 Workshop - 06/16/04


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Overview - The NTRD Application Consists of Six (6) Major Parts:

  • Part A – applicant information and certifications - who are you and what is your idea?

  • Part B – project summary - what is your proposal?

  • Part C – scope of work - how do you propose to carry out your project?

FY 2005 Workshop - 06/16/04


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Overview (Continued) Parts:

  • Part D – ability to perform - why are you the best qualified party to conduct this project?

  • Part E – proposal financial summary - what is the cost of your proposal?

  • Part F – confidential information - do you need to submit any proprietary or confidential information to support technical review of your proposal?

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights

  • Section 1.3 – consideration for future funding

    3. Projects may be selected for funding several times each year. Please check here if you wish for your application to continue to be considered in subsequent selection periods, if your project is not initially selected for funding: ______

    Note: Applications not selected for funding must be resubmitted after the end of each fiscal year (August 31).

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 2.1 – there is only one right answer

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 2.4 – keyword here is brief (details go in parts B and C)

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 2.5 – amount of NTRD funds requested

  • Section 2.6 – applicant’s future funding contribution(s), if any; show only from award date, not prior investment by applicant in product development

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 3 – ownership classification and information

  • Section 4 – designation of grant officials

These sections are fairly self-explanatory, but feel free to ask questions during this workshop or contact the NTRD staff at your convenience.

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 5 – Subsections 1-4 present projected emission reduction benefits in tabular form; some or all of this data will appear in narrative form in Part B

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 5 (continued) - Subsection 5 also presents the specific sources from which the benefits listed in Subsections 1-4 will derive; some or all of this data will also appear in narrative form in Part B

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 6.2 – TCEQ will apply UGMS to all contracts for consistency, regardless of the type(s) of entity(ies) or the manner in which the good/service is procured.

Uniform Grant Management Standards. It (grantee) will comply with the Uniform Grant Management Standards (UGMS), adopted by the Texas Office of the Governor, in accordance with Chapter 783, Texas Government Code.

http://www.governor.state.tx.us/divisions/stategrants/guidelines

Procurement of Goods and Services. In procuring goods and services, it will comply with UGMS, Part II. Cost Principles for State and Local Governments and Other Affected Parties and UGMS, Part III. State Uniform Administrative Requirements. All procurement transactions will be conducted in a manner providing full and open competition. Where multiple quotes or bids are not feasible, it will prepare and keep on file a written cost/price analysis to document how it determined that the costs or prices were reasonable.

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 7 – all emissions-reducing technology projects must certify their likelihood to reach commercialization not later than five years after the date of this application

The applicant hereby assures and certifies compliance with all state statutes, regulations, policies, guidelines, and requirements as they relate to the application, acceptance, and use of funds for this project. The applicant further assures and, if this application is for emissions-reducing technology for TERP-eligible projects or for other new technology projects, further certifies that:

 1. The proposed technology project has a strong commercialization plan and organization.

AND EITHER:

2a. The technology proposed for funding is likely to be offered for commercial sale in this state as soon as practicable but no later than five years after the date of the application for funding and once commercialized, will offer opportunities for projects eligible for funding under TERP.

OR

2b. The technology proposed for funding is likely to be offered for commercial sale in this state as soon as practicable but no later than five years after the date of the application for funding and once commercialized, will offer opportunities for other new technologies that show promise for commercialization.

Signature of Authorized Official: ____________________ Date: _________________

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 8 – an applicant is one, and only one, of these single audit certification classes

Local governments and non-profit entities that expend $500,000 or more per year in state funding are required to submit an annual single audit by an independent auditor in accordance with the State of Texas Single Audit Circular, incorporated into the Uniform Grant Management Standards (UGMS).

All applicants should complete the following certification (check only one):

_____ The applicant is not a local government and therefore is not required to submit an annual single audit. The applicant understands and agrees, however, that the TCEQ may contract for or conduct an audit of a grant recipient’s grant-funded programs.

_____ The applicant is a local government and currently expends combined state funding of less than $500,000 per year and, therefore, is not required to submit an annual single audit. The applicant understands and agrees, however, that the TCEQ may contract for or conduct an audit of a grant recipient’s grant-funded programs.

_____ The applicant is a local government and currently expends state funding of $500,000 or more per year and, therefore, is required to submit an annual single audit to the Grant Manager by an independent auditor made in accordance with the UGMS. The applicant understands and agrees that, in addition to the single audit requirements, the TCEQ may also contract for or conduct an audit of a grant recipient’s grant-funded program.

FY 2005 Workshop - 06/16/04


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Part A – Applicant Information and Certifications Highlights (Continued)

  • Section 9 – Applicant must certify awareness of any safety, health or environmental impacts related to the proposed technology

FY 2005 Workshop - 06/16/04


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Expand on the brief description you provided in part A, section 2.4

This part should clearly demonstrate the relationship of your proposed project to the NTRD eligibility criteria

Data presented should be consistent with that provided in part A, sections 3 and 5

Part B – Project Summary Highlights

FY 2005 Workshop - 06/16/04


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Part C – Scope of Work Highlights section 2.4

Section 1. Project Abstract. Please provide an abstract of the project suitable for posting to the TCEQ web site. The statement should be a self-contained description of the project (no longer than 200 words) that would result if the proposal were funded and should demonstrate the potential impact of the project on meeting the goals and objectives. The abstract should be informative to other persons working in the same or related fields, and insofar as possible, understandable to a technically literate lay reader.

  • The abstract is very important as it will be posted on our web site

  • Abstract should be concise and relevant to NTRD goals and objectives

FY 2005 Workshop - 06/16/04


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Part C – Scope of Work Highlights (Continued) section 2.4

  • Detailed scope of work will be used to develop contract

Section 2. Scope of Work. Please provide a complete, detailed scope of work for the project. The scope should include an introduction, project objectives, project schedule, and a work statement for each task under the project. The project should be broken down into a set of logical, discrete tasks that are carried out sequentially or in parallel.

  • Consider developing large projects in logical phases in the event funding the entire project from one request period is not deemed feasible

FY 2005 Workshop - 06/16/04


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Part C – Scope of Work Highlights (Continued) section 2.4

  • The work statement for each task should explicitly identify the following elements:

  • a detailed description of the work to be carried out under the task;

  • the parties responsible for completing the task;

  • the task’s completion date (i.e. the due date for deliverables); and

  • the grant deliverables for each task.

  • The scope of work must also include the preparation and submission of detailed quarterly progress reports and a final project report.

  • Task scheduling MUST provide for adequate review/approval time both during and at completion of each task

FY 2005 Workshop - 06/16/04


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Part D – Ability to Perform Highlights section 2.4

  • Applicant should clearly demonstrate qualifications for the proposed project

  • Relevant prior experience of key personnel, especially with CARB or EPA verification, should be emphasized

  • Similar information, and letters of commitment, should be included for all proposed subcontractors

FY 2005 Workshop - 06/16/04


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Only section 2.4 the budget categories shown in the application may be used

This is a cost reimbursement grant program and no fee or profit charges may be included in the base grant (this does not apply to subcontracts)

Any decision to allow indirect charges, as well as maximum rates, rests solely with TCEQ

Please note the limitations and TCEQ prior approval requirements throughout this section, especially where prior written approval is stipulated

Part E – Proposal Financial Information Highlights

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

  • Travel reimbursements for contractors and subcontractors are limited to amounts allowed under the State of Texas travel guidelines for state employees

  • TCEQ has elected to apply UGMS to all agreements and subagreements in this program, UGMS general applicability guidance notwithstanding

  • Provide details, if applicable, for any matching funds or in-kind services proposed, regardless of source

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

This is the budget for only those dollars you are requesting.

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

This is the total cost of the proposed project, inclusive of your Section 1 request and any identified matching funds or in-kind services.

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

Note TCEQ pre-approval requirement; this refers to qualified project-critical personnel

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

Remember, travel reimbursements for contractors and subcontractors are limited to amounts allowed under the State of Texas travel guidelines for state employees

Note the TCEQ pre-approval requirements

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

Supplies are defined as non-construction related costs for goods and materials having a unit acquisition cost (including sales tax and delivery) of less than $5,000. Other items such as telephones, tools (wrenches, screwdrivers, etc.), office supplies, etc. are considered to be a cost of doing business and will not be covered.

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

Equipment is defined as non-construction related, tangible personal property having a unit acquisition cost of $5,000 or more (including sales tax and delivery) with an estimated useful life of over one year. Equipment to be purchased must be identified and may become the property of TCEQ.

Note the prior written authorization requirement for equipment purchases not fully identified in the application

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

Please note the first sentence. This means no reimbursable subcontractor/consultant expenses may be incurred prior to receipt of written acceptance by TCEQ of the terms and conditions of the subagreement.

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

Construction expenses are defined as the costs for the enhancement or building of permanent facilities. Appropriate costs to include under construction include:

1. Cost of planning, design, and engineering;

2. Materials and labor connected with the construction;

3. Equipment attached to the permanent structure; and

4. Any subcontracts, including contracts for services, in connection with the construction.

FY 2005 Workshop - 06/16/04


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Part E – Proposal Financial Information Highlights (Continued)

Other expenses not falling under any of the previous cost definitions should be included in this category. Note the requirement for TCEQ prior written approval.

FY 2005 Workshop - 06/16/04


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Part F – Confidential Information Highlights (Continued)

  • Any information the proposer wishes to protect from public disclosureMUSTbe submitted clearly marked “Confidential/ Proprietary: inform applicant & seek AG opinion before releasing” on every page and MUST be submitted in a brown envelope in Part F of the application and nowhere else. Do not include confidential/proprietary information on your electronic copy.

  • TCEQ will inform the applicant of the request for the Attorney General’s decision, but will make no arguments in support of the request. It is the responsibility of the applicant to explain the basis for its claim that the information is confidential to the Attorney General.

FY 2005 Workshop - 06/16/04


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* (Continued)Commitment *

  • Seventy-four (74) applications were received by the March 31, 2004 deadline for the initial NTRD Request for Grant Applications (RFGA). Between February 17, when the RFGA was issued, and March 31, when it closed, staff provided technical assistance with regard to completing applications to over half of the applicants. In the weeks following the closing, staff worked with many applicants to clarify their proposals.

  • The NTRD staff is privileged to provide support to any and all applicants to achieve the best new technologies to benefit Texans, and others, for generations to come. This is an innovative state program without precedent and your interest and participation are sincerely appreciated.

  • Please feel free to contact any of us if we may be of assistance to you. Our services are available whether you apply for one of our NTRD Program grants or would just like some information about our program.

FY 2005 Workshop - 06/16/04


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NTRD Staff Contacts (Continued)

NTRD Senior Planner: Joe Walton

(512) 239-4143

[email protected]

NTRD Grant Manager: Randy Baylor

(512) 239-0225

[email protected]

NTRD Program Financial Analyst: Jan White

(512) 239-1418

[email protected]

TERP/NTRD Administrative Assistant: Leslie Schmidt

(512) 239-2934

[email protected]

Implementation Grants Section Manager: Lynne Haase

(512) 239-6088

[email protected]

FY 2005 Workshop - 06/16/04


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