Foa_Content_of_HHS-2024-ACL-AOA-EJIG-0014.pdf

Signature Date

Administration for Community Living

Administration on Aging

FY2024 Grants to Highest State Courts to Improve Guardianship

HHS-2024-ACL-AOA-EJIG-0014

Application Due Date will be submitted as: date based on the value specified for Due Date for Applications

Table of Contents Executive Summary

Additional Overview Content/Executive Summary

I. Funding Opportunity Description

II. Award Information

III. Eligibility Information

1. Eligible Applicants

2. Cost Sharing or Matching

3. Responsiveness and Screening Criteria

IV. Application and Submission Information

1. Address to Request Application Package

2. Content and Form of Application Submission

Letter of Intent

Project Narrative

Project Abstract

A. Project Relevance and Current Need

B. Approach/Proposed Activities

C. Special Target Populations and Organizations

D. Measurable Outcomes, Impact, and Evaluation

E. Organizational Capability and Capacity

Bibliography/Works Cited

Budget Narrative/Justification

Project Work Plan

Letters of Commitment from Key Participating Organizations and Agencies

3. Unique Entity Identifier and System for Award Management (SAM)

4. Submission Dates and Times

5. Intergovernmental Review

6. Funding Restrictions

7. Other Submission Requirements

V. Application Review Information

1. Criteria

2. Review and Selection Process

3. Anticipated Announcement Award Date

VI. Award Administration Information

1. Award Notices

2. Administrative and National Policy Requirements

3. Reporting

4. FFATA and FSRS Reporting

VII. Agency Contacts

VIII. Other Information

The Paperwork Reduction Act of 1995 (P.L. 104-13)

Appendix

Instructions for Completing Required Forms

Budget Narrative/Justification- Sample Format

Instructions for Completing the Project Summary/ Abstract

ACL Center:

Administration on Aging Funding Opportunity Title:

FY2024 Grants to Highest State Courts to Improve Guardianship Funding Opportunity Number:

HHS-2024-ACL-AOA-EJIG-0014

Primary CFDA Number:

93.747 Due Date for Letter of Intent:

Date will be generated on synopsis publication Due Date for Applications:

Application Due Date will be submitted as: date based on the value specified for Due Date for Applications Date for Informational Conference Call:

05/01/2024 Applications that fail to meet the application due date will not be reviewed and will receive no further consideration. You are strongly encouraged to submit your application a minimum of 3-5 days prior to the application closing date. Do not wait until the last day in the event you encounter technical difficulties, either on your end or, with https://www.grants.gov. Grants.gov can take up to 48 hours to notify you of a successful submission.

Executive Summary

Additional Overview Content/Executive Summary The Elder Justice Innovation Grants program supports the development and advancement of knowledge and approaches in new and emerging issues related to elder justice. Funded projects https://www.grants.gov/ contribute to the improvement of the field of adult maltreatment prevention and intervention at large by undertaking initiatives such as developing programs, interventions, and materials, or by establishing and/or contributing to the evidence base of knowledge. Through this funding opportunity announcement, the Administration for Community Living (ACL) plans to award up to six (6) cooperative agreements to highest state courts to assess and implement improvements in the handling of the adult guardianship and conservatorship process by state courts. This includes enhancing the fairness, effectiveness, timeliness, safety, and integrity of adult guardianship/conservatorship proceedings. It also entails addressing in judicial proceedings lesser restrictive pathways and methods to improving the experience of adults proposed for, or at risk of guardianship/conservatorship. These pathways may include limited guardianship/conservatorship, diversion strategies, or revocation pathways. Cooperative agreements will be awarded ranging from $250,000 - $500,000 per year for up to three (3) years.

I. Funding Opportunity Description Background

Guardianships and conservatorships (hereinafter referred to as “guardianships”) are irrefutably one of the most impactful legal proceedings because vulnerable adults, or “protected persons,” lose their right to make fundamental life choices. Court-appointed guardians and conservators (hereinafter referred to as “guardians”) – who may be family members, friends, professionals, private non-profit or for-profit agencies, or public agencies – are legally imbued with authority to make a wide array of decisions that govern a protected person’s life, often for an infinite amount of time. This substantial authority means a protected person loses basic human rights, such as the right to make decisions about where and how they live, vote, marry, conduct relationships, buy or sell real estate, make decisions about their medical care or finances, or enter into other contractual agreements.

State law defines guardianship systems, and state courts manage the system. Each guardianship system includes numerous steps and proceedings, such as determining a protected person’s ability to make decisions, appointing the guardian, monitoring the guardianship, removing/reappointing a guardian, and ending the guardianship. These steps often exclude, either by rule or practice, the proposed protected person from participating in the proceedings. State law generally requires that guardianships (1) be an option of last resort after less-restrictive options have been considered, (2) limit the guardian’s authority to necessary powers, and (3) be regularly monitored for abuse and accountability. [i]

However, guardianship laws, policies, and procedures are not always consistently enforced or followed within or across states. Additionally, the various steps and moving parts create opportunities for fraud and abuse of the system and the protected person. States often lack the capacity or processes in place to adequately detect and address fraud and abuse and other diminution of the rights of protected persons. While many guardians exercise their duty honorably, others abuse the guardianship system, causing significant financial, physical, and other harms to individuals in their care. Further, lesser-restrictive options for ensuring decision supports and protection of an adult’s personal and property interests are often not considered.

Exploitation by guardians and conservators has received significant state and national attention, yet it is also widely acknowledged that more needs to be done to reform guardianship and protect those under guardianships from maltreatment. [ii] In November 2016, the U.S. Government

Accountability Office (GAO) released a report titled “Elder Abuse: The Extent of Abuse by Guardians is Unknown, but Some Measures Exist to Help Protect Older Adults,” and the U.S.

Senate Special Committee on Aging held hearings called “Trust Betrayed: Financial Abuse of Older Americans by Guardians and Others in Power.” Yet although recognized as a serious and pervasive problem, much remains unknown about the extent of the problem and effective methods to monitor guardianships and prevent guardianship abuse. In 2017, the Elder Justice Prevention and Prosecution Act amended the Elder Justice Act to add Section 2042(c)(2)(E), which authorizes grants to the highest state courts to better understand and remedy these issues.

In 2018, the U.S. Senate Special Committee on Aging conducted a study on guardianship and recommended several key areas for reform, including improving: oversight of guardians and guardianship arrangements, alternatives to guardianship and restoration of rights, and data collection. [iii] Most recently, in 2022, the National Institute of Justice published a study titled “Environmental Scan of Guardianship Abuse and Fraud.” The study reiterated the inability determine the scope and prevalence of abuse by guardians, primarily due to a substantial lack of guardianship data. [iv].

Current Challenges

Despite the recognized need for change, there are several challenges to guardianship reform, including the significant differences between court and state practices, variations in the way courts collect data, the inherent complexity of guardianship cases, and the lack of funding to improve processes. [v, vi]. Gaps in knowledge and practice, as well, have been noted consistently across multiple efforts as a barrier to improvement. For example, multiple GAO studies conducted between 2004 and 2016 examined issues in guardianship systems, including abuse by guardians, and existing supports in place to protect older adults [vii]. In particular, the 2016 study noted a lack of knowledge about the extent of elder abuse by guardians due to limited data on key factors, such as the number of guardians appointed to serve older adults at a given time, the number of older adults in guardianships, and the number of cases involving elder abuse by a guardian. [viii] Further, the 2022 National Institute of Justice study identified numerous challenges in state data systems including inaccessible information (i.e., data “trapped” in case files), dated or non-centralized case management systems, lack of resources and burdens on courts, coding complications and privacy concerns, and reluctance to change. [ix].

Progress

Progress is being made, notwithstanding the multifaceted issues and the complex systems that differ by state. Through grantmaking, education, and stakeholder engagement and collaboration with aging and disability networks, ACL has been at the forefront of guardianship reform efforts for older adults and adults with disabilities. ACL has provided leadership on matters related to guardianship reform and alternatives through supporting the development and implementation of Working Interdisciplinary Networks of Guardianship Stakeholders (WINGS). WINGS are predominantly chaired and hosted by highest state courts, and they aim to prevent unnecessary and overbroad guardianships in favor of less-restrictive options. They also seek to prevent, detect, and address abuses in the system. WINGS is the prevailing national model for guardianship reform and the identification of appropriate alternatives to guardianship throughout our country. [x] ACL also has promoted and provided technical assistance and trainings to partners and stakeholders on empowering self-determined decision-making by adults. Further, in federal fiscal years 2021 and 2022, ACL awarded grants to highest state courts to undertake activities to better understand, monitor, and reform guardianship proceedings. Current grantees are undertaking activities, such as:

• Developing systems to audit conservator and guardian accountings to verify accuracy, completeness, and the appropriateness of expenditures;

• Creating and maintaining case management systems to track cases for timely adjudication and monitoring of the well-being of wards;

• Establishing and producing judicial training programs and curricula;

• Undertaking efforts to identify and implement initiatives to avoid and/or mitigate abuse by conservators and guardians;

• Creating independent ombudsman programs for wards to voice concerns and seek redress from abuse; and

• Reviewing and considering guardianship reforms based on the research and models developed by WINGS and other capacity building methods, including those developed by ACL’s National Center for Law and Elder Rights (NCLER).

Funding Overview

The purpose of this funding opportunity is to enhance the fairness, effectiveness, timeliness, safety, and integrity of adult guardianship/conservatorship proceedings in states. Adequate court oversight and resources are critical to manage the guardianship system to ensure that guardianship is applied appropriately as a last resort, and in accordance with state law and established judicial standards of review. Appropriate supports enable judicial systems to improve guardianship adjudication processes, including recognizing the decisional rights and self-determination interests of adults proposed for or subject to guardianship; monitoring conduct of guardians and conservators to mitigate the potential for fraud and abuse; and developing effective data sets that inform and advance these efforts. With adequate resources and training, states are more able to thoroughly assess each case and ensure state judicial guardianship systems serve to fully preserve, to the extent possible, the decisional rights of persons proposed for and those subject to guardianship.

In this funding opportunity, ACL seeks proposals from the highest courts of States to achieve the following goal:

Improve the fairness, effectiveness, timeliness, safety, and integrity of adult guardianship proceedings and improve the experiences of individuals at risk of guardianship in the state in a manner that emphasizes alternatives to guardianship, improving the performance of court-appointed public and private guardians, and limits or revokes guardianship.

Strong applications will propose advancements, programs, or innovations that address the issues in court processes as identified by the applicants for the state, and will address at least one of the following objectives:

1. Collect and utilize accurate data on relevant demographic and procedural factors that can support better understanding of guardianship within a jurisdiction, and pathways to improvements in key areas.

2. Implement procedural and substantive safeguards to ensure the rights of persons proposed for, or under, guardianship are protected in judicial proceedings and after orders are entered. These considerations may include, but are not limited to, guaranteeing the older adult’s right to counsel or an advocate; supporting diversion to less restrictive alternatives through decisional support tools, services, or both; and limiting the scope of guardianships or terminating guardianships that are no longer necessary.

3. Implement systems to better screen, train, track, and monitor guardians to enhance the court's ability to prevent fraud and abuse and identify discrepancies in guardianship accountings and reports.

Examples of activities that meet the goals and objectives of this opportunity are listed below.

These examples are illustrative only. Applicants should propose the appropriate activities for their project. Applicant scores will not be affected by whether an application includes an activity listed here or proposes others.

• Provide trainings and certifications to those involved in the guardianship process

• Improve collection and analysis of guardianship data

• Improve courts’ ability to detect fraud and abuse of adults under guardianship

• Improve the performance monitoring of court-appointed guardians

• Improve accounting of guardian qualifications and conduct

• Increase the availability and use of guardianship diversion programs and less-restrictive alternatives to guardianship

• Develop collaborations between state and local organizations, such as Working

Interdisciplinary Networks of Guardianship Stakeholders (WINGS), to identify and address the decisional rights of protected persons and guardianship issues

• Implement a guardianship decision-making tool (i.e., worksheet or bench card)

• Conduct outreach and education about how to report abuse by guardians and how the state’s guardianship system addresses abuse.

The applicant’s proposed project goals, objectives, and activities should be addressed in the application narrative, for which detailed instructions can be found in Section IV.2 of this opportunity.

Additional Requirements

Grantee Meetings

ACL plans to convene a one-day in-person grantee meeting during each budget period (a total of three in-person meetings over the three-year project period). Meetings will be convened in the Washington, D.C. Metro area, or in another venue to be determined by ACL that would be convenient for grantees and ACL. Grantees are required to attend these meetings, and grant funds can be used for expenses to attend this required meeting. If an applicant plans to use grant funds to cover expenses related to these required, in-person meetings, the planned expenditure should be included in the proposed budget.

Evaluation

Applications must include a description of how they will measure the success of the project in achieving its proposed goal(s), objective(s), and outcomes. Information about the proposed outcomes and the methods that will be used to measure them should be included in the project narrative, and in the budget if there is an associated cost or in-kind contribution. Please Note:

Grantee evaluations of their projects facilitate the government in assessing whether programs are effective in producing positive change. Therefore, ACL is committed to providing technical assistance to grantees with the refinement and carrying out of a project’s evaluation plan.

Technical assistance to the grantees will be provided primarily by ACL program staff via regular conference calls and email correspondence. Applicants should be prepared to include progress and information/data on the project’s progress towards its outcomes in semi-annual reports and at other times as agreed upon by the grantee and ACL.

Final Report

HHS grants policy requires all recipients of grant funding to submit a final project report. In addition to this report, grantees must submit to ACL a final report, document, or briefing paper that discusses the funded project, its results, and implications for replication.

References

i. ABA Commission on Law and Aging. (2020) WINGS Briefing Paper Advancing Guardianship Reform and Promoting Less Restrictive Options. Retrieved on January 11, 2024 from 2020-wings-briefing-paper.pdf (americanbar.org).

ii. U.S. Senate Special Committee on Aging. (November 2018). Ensuring Trust Strengthening State Efforts to Overhaul the Guardianship Process and Protect Older Americans. Retrieved January 11, 2024 from SCA_Aging Report- Ensuring Trust Guardianship2018.pdf (senate.gov).

iii. U.S. Special Committee on Aging. (November 2018). Ensuring Trust: Strengthening State Efforts to Overhaul the Guardianship Process and Protect Older Americans.

iv. National Institute of Justice. (September 2022). Environmental Scan of Guardianship Abuse and Fraud, Full Report. Retrieved January 11, 2024 from Environmental Scan of Guardianship Abuse and Fraud, Full Report | National Institute of Justice (ojp.gov).

v. GAO. (March 22, 2011). Elder Justice: Stronger Federal Leadership Could Enhance National Response to Elder Abuse. Washington, D.C. Retrieved January 11, 2024 from https://www.gao.gov/assets/gao-11-208.pdf.

vi. National Institute of Justice. (September 2022). Environmental Scan of Guardianship Abuse and Fraud, Full Report.

vii. Multiple GAO studies on guardianship:

• GAO. (July 2004). Guardianships: Collaboration Needed to Protect Incapacitated Elderly People. Washington, D.C. Retrieved January 11, 2024 from Guardianships: Collaboration Needed to Protect Incapacitated Elderly People | U.S. GAO.

• GAO. (September 2010). Guardianships: Cases of Financial Exploitation, Neglect, and Abuse of Seniors. Washington, D.C. Retrieved January 11, 2024, from Guardianships:

Cases of Financial Exploitation, Neglect, and Abuse of Seniors | U.S. GAO.

• GAO. (November 16, 2016). The Extent of Abuse by Guardians Is Unknown, but Some Measures Exist to Help Protect Older Adults. Washington, D.C. Retrieved January 11, 2024, from Elder Abuse: The Extent of Abuse by Guardians Is Unknown, but Some Measures Exist to Help Protect Older Adults | U.S. GAO.

https://www.americanbar.org/content/dam/aba/administrative/law_aging/2020-wings-briefing-paper.pdf https://www.americanbar.org/content/dam/aba/administrative/law_aging/2020-wings-briefing-paper.pdf https://www.aging.senate.gov/imo/media/doc/SCA_Aging%20Report-%20Ensuring%20Trust%20Guardianship2018.pdf https://nij.ojp.gov/library/publications/environmental-scan-guardianship-abuse-and-fraud-full-report https://nij.ojp.gov/library/publications/environmental-scan-guardianship-abuse-and-fraud-full-report https://www.gao.gov/assets/gao-11-208.pdf https://www.gao.gov/products/gao-04-655 https://www.gao.gov/products/gao-04-655 https://www.gao.gov/products/gao-10-1046 https://www.gao.gov/products/gao-10-1046 https://www.gao.gov/products/gao-17-33

viii. GAO. (November 16, 2016). The Extent of Abuse by Guardians Is Unknown, but Some Measures Exist to Help Protect Older Adults. Washington, D.C. Retrieved January 11, 2024, from Elder Abuse: The Extent of Abuse by Guardians Is Unknown, but Some Measures Exist to Help Protect Older Adults | U.S. GAO.

ix. National Institute of Justice. (September 2022). Environmental Scan of Guardianship Abuse and Fraud, Full Report.

x. Commission on Law and Aging – American Bar Association. Working Interdisciplinary Networks of Guardianship Stakeholders: Wings State Replication Guide 2019. Retrieved January 11, 2024, from 2019-wings-replication-guide.pdf (americanbar.org).

Statutory Authority The statutory authority for grants under this Program Announcement is contained in Sections 201(e)(2) and 411 of the Older Americans Act, as amended, and Title XX of the Social Security Act, Subtitle B, the Elder Justice Act of 2009, Section 2042(a)(1) and (c)(2)-(3).

II. Award Information

Funding Instrument Type:

CA (Cooperative Agreement) Estimated Total Funding:

$5,825,000 Expected Number of Awards:

Award Ceiling:

$500,000 Per Budget Period

Award Floor:

$250,000 Per Budget Period

Length of Project Period:

36-month project period with three 12-month budget periods Additional Information on Project Periods and Explanation of 'Other' This funding opportunity is one of three under ACL's Elder Justice Innovation Grants (EJIG) program. The total funding available for the EJIG program is $5,825,000. Under this competition, ACL will award approximately six (6) new, cooperative agreements ranging from $250,000 - $500,000 each. The project period will be for 36-months (or, three (3) years), and the budget periods will be three (3), 12-month periods. Applications for continuation funding beyond the initial year will be reviewed on a non-competitive basis, subject to the availability of funds, contingent on satisfactory progress of the grantee, and a determination by ACL that continued funding will be in the best interest of the government.

Cooperative Agreement Terms

All awards under this Notice of Funding Opportunity will be new cooperative agreements. As provided by the terms of the Federal Grant and Cooperative Agreement Act of 1977 (P.L. 95-https://www.gao.gov/products/gao-17-33 https://www.americanbar.org/content/dam/aba/administrative/law_aging/2019-wings-replication-guide.pdf

224), these require collaboration with and substantial involvement by ACL. Both you and ACL will have a role in the project. Throughout the life of your project, ACL staff will be there to help and work with you. The following cooperative agreement terms and conditions apply to all recipients:

Grantee Role

By accepting an award under this funding opportunity announcement, the grantee agrees to execute the responsibilities outlined below:

1. Fulfill all requirements of the grant initiative as outlined in this program announcement, identify a project director, and carry out project activities as reviewed, approved, and awarded.

2. Collaborate with the Administration for Community Living (ACL) in the execution of the work plan and collaborate with ACL in understanding the programmatic and budgetary issues of the project. Based on these negotiations and emerging issues in the field, if necessary, the grantee will revise the project work plan and/or budget detailing expectations for major activities and products during the grant period.

3. Evaluate the impact of project activities Include progress and information/data on the project’s measurable outcomes in semi-annual reports, and at other times as agreed upon by the grantee and ACL.

4. Meet with the ACL project officer at least once each month, or at such other times as agreed upon, to improve the effectiveness of the activities carried out under this Agreement.

5. Create products and/or materials under this award that are accurate, objective, and unbiased, and that do not violate federal, departmental, or agency grant rules. Before publicly disseminating materials developed under this grant, the grantee will provide the ACL project officer a copy of the final product for review. The ACL project officer must have at least 15 business days to ensure the product meets the requirements set forth in the program announcement and cooperative agreement.

6. Submit to the ACL project officer a final, clean copy of all data developed or supported with these grant funds, in the format in which it was developed or produced, as provided for in the HHS Grants Policy Statement and referenced in the Notice of Award and in compliance with federal and state privacy laws. The HHS Grants Policy Statement defines “data” as: “recorded information, regardless of the form or media on which it may be recorded, and includes writings, films, sound recordings, pictorial reproductions, drawings, designs or other graphic representations, procedural manuals, forms, diagrams, work flow charts, equipment descriptions, data files, data processing or computer programs (software), statistical records, and other research data” (HHS Grants Policy Statement, Part II, “Rights in Data”, page II-69).

7. Include the following disclaimer on all products produced using grant funding, including those produced by sub-awards: “This [project/publication/program/website, etc.] [is/was] supported by the Administration for Community Living (ACL), U.S. Department of Health and Human Services (HHS) as part of a financial assistance award totaling $XX with XX percentage funded by ACL/HHS and $XX amount and XX percentage funded by non-government source(s). The contents are those of the author(s) and do not necessarily represent the official views of, nor an endorsement, by ACL/HHS, or the U.S.

Government.”

ACL Role

The ACL project officer will execute the responsibilities outlined below:

1. Perform the day-to-day federal responsibilities of managing a grant initiative and will work with the grantee to ensure that the minimum requirements for the grant are met.

2. Work cooperatively with the grantee to clarify the programmatic and budgetary issues to be addressed by the grantee project, and, as necessary, negotiate with grantee to achieve a mutually agreed upon solution to any needs identified by the grantee or ACL.

3. Assist the grantee project leadership in understanding the policy concerns and/or priorities of ACL, and the Department of Health and Human Services by conducting periodic briefings and by carrying out ongoing consultations. ACL will also share information with the grantee about other federally sponsored projects and activities relevant to the interests of the grantee and their activities.

4. Provide technical assistance to grantee with the refinement and carrying out of the project’s evaluation plan via regular conference calls and email correspondence.

5. Provide technical advice on grantee work products to ensure they are accurate, objective, unbiased, and of high professional quality, and that they do not violate federal, departmental, or agency grant rules. Before publicly disseminating materials developed under this grant, grantee will provide the ACL project officer a copy of the final product, and within 15 business days, the ACL project officer will provide guidance and feedback on whether the product meets the requirements set forth in the program announcement and this cooperative agreement.

6. Provide consultation to the grantee in identifying emerging issues and modifying work plan as necessary.

7. Meet with the grantee project director at least once each month, or at such other times as are agreed upon, to improve the effectiveness of the activities carried out under this Agreement.

Once a cooperative agreement is in place, requests to modify or amend it or the work plan may be made by ACL or the awardee at any time as long as it stays within the original confines of the proposed project description. Major changes may affect the integrity of the competitive review process. Modifications and/or amendments of the Cooperative Agreement or work plan shall be effective upon the execution of an award notice. When an award is issued the cooperative agreement terms and conditions from the program announcement are incorporated by reference unless ACL is authorized under the Terms and Conditions of award, 45 CFR Part 75, or other applicable regulation or statute to make unilateral amendments.

III. Eligibility Information

1. Eligible Applicants For FY 2024 the below guidance is provided to advance the Administration’s policy, as stated in E.O. 13985, to “pursue a comprehensive approach to advancing equity for all, including people of color and others who have been historically underserved, marginalized, and adversely affected by persistent poverty and inequality.” This guidance is intended to begin to address inequities in HHS programs, processes, and policies that may serve as barriers to equal opportunity. By advancing equity in our NOFOs, we can “create opportunities for the improvement of communities that have been historically underserved, which benefits everyone.”

Eligibility is limited to the highest courts of state per Title XX of the Social Security Act, Subtitle B, the Elder Justice Act of 2009, Section 2042(c)(2)-(3). Former grantees are eligible to apply. However, the application must be for a new project/initiative or an expansion of the prior project, and not a continuation of an existing project.

2. Cost Sharing or Matching

Cost Sharing / Matching Requirement:

Yes For awards that do not require matching or cost sharing by statute, recipients are not expected to provide cost sharing or matching. However, recipients are allowed to voluntarily propose a commitment of non-federal resources. If an applicant decides to voluntarily contribute non-federal resources towards project costs and the costs are accepted by ACL, the non-federal resources will be included in the approved project budget. The applicant will be held accountable for all proposed non-federal resources as shown in the Notice of Award (NOA). A recipient's failure to meet the voluntary amount of non-federal resources that was accepted by ACL as part of the approved project costs and that was identified in the approved budget in the NOA, may result in the disallowance of federal funds. Recipients will be required to report these funds in the Federal Financial Reports.

Recipients will match 20% of the project’s total cost with non-federal resources. ACL must hold recipients of federal funds accountable for their projected commitments of non-federal resources.

This includes those at or above the statutory requirement. ACL places match commitments in the Notice of Award (NOA). Not meeting the committed match amount may result in the disallowance of federal funds. You will need to report matching funds in Federal Financial Reports.

Under this ACL program, ACL will fund no more than 80% of the project’s total cost, which means the applicant must cover at least 20% of the project’s total cost. In other words, for every four (4) dollars received in federal funding, the applicant must contribute at least one (1) dollar in non-federal resources toward the project’s total cost. This “four-to-one” ratio is reflected in the formula included under Item 18 in the “Instructions for Completing Requested Forms.” You can use this formula to calculate your minimum required match. A common applicant error is to match 20% of the federal share, rather than 20% of the project’s total cost. The statutory authority to require a match can be found in Section 431(a) of the Older American’s Act.

There are two types of match: 1) non-federal cash and 2) non-federal in-kind. In general, costs borne by the applicant and cash contributions of any and all third parties involved in the project, including sub-grantees, contractors, and consultants, are considered matching funds. Volunteered time and use of facilities to hold meetings or conduct project activities may be considered in-kind (third party) donations. Examples of non-federal cash match includes budgetary funds provided from the applicant agency’s budget for costs associated with the project. ACL encourages you to not exceed the minimum match requirements. Applications with a match greater than the minimum required will not receive additional consideration under the review.

Match is not one of the responsiveness criteria as noted in Section III.3 below – Application Responsiveness and Screening Criteria.

3. Responsiveness and Screening Criteria

Application Responsiveness Criteria Applications that do not meet the following responsiveness criteria will be administratively eliminated and will not be reviewed.

Eligible applicants are defined by Title XX of the Social Security Act, Subtitle B, the Elder Justice Act of 2009, Section 2042(c)(2)-(3). Applications will be deemed to have met the initial responsiveness criteria by demonstrating all of the following:

1. The applicant is the highest state court of the state, which may be an office within the highest state court of the state that conducts administrative and/or policy functions (and a letter of commitment is included from the Chief Judge or Presiding Justice).

2. The applicant has documented its authority to implement changes to the statewide guardianship system, including relationships and collaborations necessary to support changes affecting members of the judiciary, members of the Bar, and guardians.

3. The applicant is substantively and meaningfully involved in the activities of the project and does not appear to be serving as a “conduit” or “pass through” for funding.

4. Letters of Commitment are included, as required per Section IV.2 “Letters of Commitment from Key Participating Organizations and Agencies.”

5. CVs/Resumes are included for each person identified as “key personnel.”

6. Application includes a budget, as required, covering each of the three years (36 months) of the project.

7. Application includes a work plan, as required, covering each of the three years (36 months) of the project.

Application Screening Criteria All applications will be screened to assure a level playing field for all applicants. Applications that fail to meet the three screening criteria described below will not be reviewed and will receive no further consideration.

In order for an application to be reviewed, it must meet the following screening requirements:

1. All Applications must be submitted electronically via http://www.grants.gov by 11:59 p.m., Eastern Time, by the due date listed in Section IV.4Submission Dates and Times.

2. The Project Narrative section of the application must be double-spaced, on 8.5” x 11” plain white paper with 1” margins on both sides, and a standard font size of no less than 11 point, preferably Times New Roman or Arial.

3. The Project Narrative must not exceed 20 pages. Project Narratives that exceed 20 pages will have the additional pages removed and only the first 20 pages of the Project http://www.grants.gov/

Narrative will be provided to the merit reviewers for funding consideration. NOTE: The Project Abstract, Project Work Plan, Bibliography/Works Cited, Letters of Commitment, Vitae of Key Project Personnel, Logic Model, and Budget are NOT counted for purposes of the 20 page limit.

Unsuccessful submissions will require authenticated verification from http://www.grants.gov indicating system problems existed at the time of your submission. For example, you will be required to provide an http://www.grants.gov submission error notification and/or tracking number in order to substantiate missing the application deadline.

IV. Application and Submission Information

1. Address to Request Application Package Application materials can be obtained from https://www.grants.gov or https://www.acl.gov/grants/applying-grants.

Please note, ACL requires applications for all announcements to be submitted electronically through http://www.grants.gov in Workspace. Grants.gov Workspace is the standard way for organizations and individuals to apply for federal grants in Grants.gov. An overview and training on Grants.gov Workspace can be found here at:

https://www.grants.gov/web/grants/applicants/workspace-overview.html

The Grants.gov registration process can take several days. If your organization is not currently registered, please begin this process immediately. For assistance with https://www.grants.gov, please contact them at support@grants.gov or 800-518-4726 between 7:00 a.m. and 9:00 p.m.

Eastern Time.

• At the https://www.grants.gov website, you will find information about submitting an application electronically through the site, including the hours of operation. ACL strongly recommends that you do not wait until the application due date to begin the application process because of the time involved to complete the registration process.

• All applicants must have a UEI and be registered with the System for Award Management (SAM, www.sam.gov) and maintain an active SAM registration until the application process is complete, and should a grant be made, throughout the life of the award. Effective June 11, 2018, when registering or renewing your registration, you must submit a notarized letter appointing the authorized Entity Administrator. Please be sure to read the FAQs located at www.sam.gov to learn more. Applicants should allot sufficient time prior to the application deadline to finalize a new, or renew an existing registration. This action should allow you time to resolve any issues that may arise. Failure to comply with these requirements may result in your inability to submit your application or receive an award. Maintain documentation (with dates) of your efforts to register or renew at least two weeks before the deadline. See the SAM Quick Guide for Grantees at:

https://www.sam.gov/SAM/pages/public/help/samQUserGuides.jsf.

Note: Once your SAM registration is active, allow 24 to 48 hours for the information to be available in Grants.gov before you can submit an application through Grants.gov. This action http://www.grants.gov/ http://www.grants.gov/ https://www.grants.gov/ https://www.acl.gov/grants/applying-grants http://www.grants.gov/ https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/ mailto:support@grants.gov https://www.grants.gov/ http://www.sam.gov/ https://www.sam.gov/SAM/pages/public/help/samQUserGuides.jsf should allow you time to resolve any issues that may arise. Failure to comply with these requirements may result in your inability to submit your application or receive an award.

• Note: Failure to submit the correct EIN Suffix can lead to delays in identifying your organization and access to funding in the Payment Management System.

• Effective October 1, 2010, HHS requires all entities that plan to apply for and ultimately receive federal grant funds from any HHS Operating/Staff Division (OPDIV/STAFFDIV) or receive subawards directly from the recipients of those grant funds to:

1. Register in SAM prior to submitting an application or plan;

2. Maintain an active SAM registration with current information at all times during which it has an active award or an application or plan under consideration by an OPDIV; and

3. Provide its UEI number in each application or plan to submit to the OPDIV.

Additionally, all first-tier subaward recipients must have a UEI number at the time the subaward is made.

• The Federal Government will transition from the DUNS Number to the New Unique Entity Identifier. As of April of 2022, the federal government stopped using the DUNS number to uniquely identify entities. At that point, entities doing business with the federal government will use a Unique Entity Identifier (SAM) created in SAM.gov. It is entered on the SF-424. It is a unique, nine-digit identification number, which provides unique identifiers of single business entities.

• You must submit all documents electronically, including all information included on the SF424 and all necessary assurances and certifications. In accordance with the Federal Government’s efforts to reduce reporting burden for recipients of federal financial assistance, the general certification and representation requirements contained in the Standard Form 424B (SF-424B) – Assurances – Non-Construction Programs, and the Standard Form 424D (SF-424D) – Assurances – Construction Programs, have been standardized federal-wide.

Effective January 1, 2020, the updated common certification and representation requirements will be stored and maintained within SAM. Organizations or individuals applying for federal financial assistance as of January 1, 2020, must validate the federally required common certifications and representations annually through SAM located at SAM.gov.

• After you electronically submit your application, you will receive an automatic acknowledgment from https://www.grants.gov that contains https://www.grants.gov tracking number. The Administration for Community Living will retrieve your application form from https://www.grants.gov.

Sara Planthaber

U.S. Department of Health and Human Services Administration for Community Living

Sara.Planthaber@acl.hhs.gov https://www.grants.gov https://www.grants.gov https://www.grants.gov

2. Content and Form of Application Submission

Letter of Intent Date will be generated on synopsis publication Applicants are requested, but not required, to submit a letter of intent to apply for this funding opportunity to assist ACL in planning for the application independent review process. The purpose of the letter of intent is to allow our staff to estimate the number of independent reviewers needed and to avoid potential conflicts of interest in the review. Letters of intent should be sent to:

Send your letter of intent to:

Sara Planthaber

Sara.Planthaber@acl.hhs.gov

Project Narrative The Project Narrative must be double-spaced, on 8.5” x 11” paper with 1” margins on both sides, and a standard font size of no less than 11 point, preferably Times New Roman or Arial. You can use smaller fonts to fill in the Standard Forms and Sample Formats. The suggested length for the Project Narrative is 12 to 15 pages; 20 pages is the maximum length allowed. Project Narratives that exceed 20 pages will have the additional pages removed and only the first 20 pages of the Project Narrative will be provided to the merit reviewers for funding consideration.

The Project Narrative is the most important part of the application since it will be used as the primary basis to determine whether your project meets the minimum requirements for this funding opportunity. The Project Narrative should provide a clear and concise description of our project. Your Project Narrative will be reviewed and scored based on the components below.

The components of the Project Narrative counted as part of the 20-page limit are:

A. Project Relevance and Current Need B. Approach/Proposed Activities C. Special Target Populations D. Measurable Outcomes, Impact, and Evaluation E. Organizational Capability

The components of the Project Narrative that are required but not counted as part of the 20-page limit include:

• Project Abstract

• Bibliography/Works Cited

• Budget Narrative & Justification

• Project Work Plan

• Vitae of Key Personnel

• Letters of Commitment

Project Abstract This section will not count toward the 20-page limit.

This section should include a brief (265 words maximum) description of the proposed project, including: goal(s), objectives, outcomes, and products to be developed. Detained instructions for completing the summary/abstract are included in the “Instructions for Completing the Project Summary/Abstract.”

A. Project Relevance and Current Need This section should describe the nature and scope of the problem or issue the proposed project is designed to address within the state’s current guardianship system. Strong applications will demonstrate that the proposed project is justified in terms of the most recent, relevant, and available information, evidence-informed and/or evidence-based practices, or new and cutting-edge research. Applicants should focus on the specific considerations bearing on the issue, rather than providing a broad or sweeping historical overview that is not directly related to the proposed interventions and activities.

For this funding opportunity, applicants should detail how the project addresses one or more of the goals and objectives discussed in the “Funding Overview” found in Section I.

B. Approach/Proposed Activities This section should include the following:

Goals and Objectives

Applications should describe their proposed project’s goal(s) and major objectives and discuss how they align with the goals and objectives ACL has identified in the “Funding Overview” found in Section I. Goals include the project’s overall purpose, like a mission statement that says what you want to do and where you want to be after the project. Objectives are narrow, specific, and clear steps towards your goals. Applications are free to propose more than the goals and objectives listed by ACL, and to propose more than one (1). However, application scores will not be based on, nor correspond to, the number of proposed goals or objectives.

Proposed Activities

Applications should provide a clear and concise description of the activities proposed to meet the goals and objectives of this funding opportunity (i.e., how they will be achieved). Applications should explain the rationale for using a particular approach or intervention (i.e., why they were chosen). There should be a clear connection between identified system gaps/needs discussed in the “Project Relevance and Current Need” and the proposed activities. Further, this section should identify any major barriers that are anticipated, and how the project will be able to overcome those barriers.

Project Deliverables and Dissemination

Applications should describe what deliverables and products they expect to produce through, and as a result of, this grant. ACL expects that nationwide dissemination of products and knowledge will occur, and ACL will facilitate dissemination of information by posting to ACL-hosted websites.

*Please Note: In addition to any grantee-proposed deliverables, all grantees under the Elder Justice Innovation Grants program must submit to ACL a final report, document, or briefing paper for dissemination and sharing that discusses the funded project, its results, and implications and suggestions for furthering the knowledge base on the topic addressed. This deliverable does not replace, but is in addition to, the final project report required by HHS grants policy for all recipients of grant funding.

C. Special Target Populations and Organizations This section should describe how the proposed intervention will target disadvantaged populations, including people of color and others such as with limited-English proficiency, those residing in rural areas and individuals with low-income who have been historically underserved, marginalized, and adversely affected by persistent poverty and inequality. Please describe how you plan to reach underserved/under-resourced communities including but not limited to individuals who are Black, Latino, and Indigenous and Native American persons, Asian Americans and Pacific Islanders, and other persons of color; members of religious minorities;

lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; and persons who live in rural areas.

D. Measurable Outcomes, Impact, and Evaluation Applications will be scored on the nature of the proposed outcomes and the clarity with which the applicant describes how the outcomes will be measured/evaluated, as explained below, not on the quantity/number of outcomes cited.

Measurable Outcomes

This section of the project narrative must identify the measurable outcomes that will result from the project. Keep the focus of this section on describing what outcomes and what impact will be produced by the project. ACL will not fund any project that does not include measurable outcomes. Applicants should outline how the project will improve outcomes for adults who are or are at risk of guardianship or who are currently under guardianship. This section also should describe how the project’s findings and results could assist other states address similar problems in their guardianship systems. Outcomes and project impact should be described in clear and realistic terms and should be consistent with the objectives and purpose of the project and funding opportunity. Measurable outcomes may also be included in the work plan grid (“Project Work Plan – Sample Template”).

Outcomes are the measurable results of a project that can include changes in clients, systems, organizations, and communities. A measurable outcome could be a change in the responsiveness or cost-effectiveness of a service delivery system; a new model of support or care that can be replicated; new knowledge; a measurable increase in community awareness; or a measurable increase in quality. A measurable outcome could also describe a change in the degree to which consumers exercise autonomous choice over the types of services they receive, or whether they are satisfied with the way a service is delivered.

A measurable outcome is not a measurable “output”. An output is a count of something produced or done. Examples of “outputs” include: the number of clients served; the number of training sessions held; or the number of service units provided.

Evaluation

In this section, describe how the outcomes will be measured and reported. This section should describe the method(s), techniques, and tools that will be used to determine whether the proposed interventions achieved anticipated outcomes and document the “lessons…