fy 2011 national capacity building foa - 1 24 2011 final.pdf

U.S. Citizenship and Immigration Services Office of Citizenship

OVERVIEW INFORMATION

FY 2011 Citizenship and Integration National Capacity Building Grant Program

Funding Opportunity Number: DHS-11-CIS-010-003 Modification # 1, January 24, 2011

Catalog of Federal Domestic Assistance (CFDA) Number(s): 97.010

Due Dates

Application Deadline: April 1, 2011

MODIFICATION NOTES:

The purpose of this modification is to correct:

1. the e-mail address for the DHS Grants Office (pages 2 and 38); and

2. the definition of Unauthorized Practice of Immigration Law (pages 51-52).

U.S. Citizenship and Immigration Services Office of Citizenship

Funding Opportunity

DHS-11-CIS-010-003

OVERVIEW INFORMATION

General Information

Applicable Catalog of Federal Domestic Assistance (CFDA) Number:

97.010

Program Title:

Citizenship and Integration National Capacity Building Grant Program

Synopsis of Program:

The Citizenship and Integration National Capacity Building Grant Program offered through the Office of Citizenship (OoC), within U.S. Citizenship and Immigration Services (USCIS), Department of Homeland Security (DHS), will provide approximately $3,000,000 to eligible national, regional, or statewide organizations with multiple sites to build capacity among their affiliates/members to provide direct citizenship preparation services to Lawful Permanent Residents (LPRs). An anticipated five (5) grants of up to $600,000 each will fund national, regional, or statewide organization program management costs, organizational capacity building costs, and technical assistance costs, as well as costs for affiliates/members to develop and implement sustainable local citizenship preparation programs.

The national, regional, or statewide organization that submits the application will be referred to in this funding announcement as “the principal applicant.” The affiliates/members included in the proposal will be referred to as “sub-applicants.”

Principal applicants must propose four (4) sub-applicants within the grant application. The principal applicant should select the sub-applicants based on their need for, and potential to benefit from, the capacity building and technical assistance services provided by the principal applicant. The objective of this funding opportunity is to build the long-term capacity of sub-applicants to provide direct citizenship instruction and naturalization application services to LPRs. The four (4) sub-applicants may not be located in the same city or locality. DHS reserves the right to approve funding for some or all of the proposed sub-applicant programs.

USCIS/DHS Contacts:

USCIS Program Office (Office of Citizenship):

Send all questions to citizenshipgrantprogram@dhs.gov. The Office of Citizenship staff will respond within five (5) business days. You may also refer to the Citizenship and Integration Grant Program Questions and Answers by going to www.uscis.gov/grants, and clicking on “Questions and Answers.”

DHS Grants Office: Stephanie Dawkins

Email: CisGrants@dhs.gov

Eligibility Information

Eligible principal applicants are national, regional, or statewide organizations with demonstrated recent experience providing capacity building and technical assistance to organizations to develop direct citizenship preparation programs. Eligible principal applicants must have proven subject-matter expertise in citizenship instruction and naturalization application services.

Principal applicants must be public or private non-profit organizations with an established multi-site network of affiliates or members to serve as sub-applicants. Sub-applicants included by the principal applicant in this funding announcement are not eligible to apply for either of the Fiscal Year 2011 Citizenship and Integration Direct Services Grant Programs (DHS-11-CIS-010-001 and DHS-11-CIS-010-002).

Award Information

• Anticipated Type of Award: Grant

• Estimated Number of Awards: 5

• Anticipated Funding Amount: Subject to the availability of funds, DHS estimates that

$3,000,000 composed of five (5) grants of up to $600,000 each will be available. The principal applicant may reserve up to $150,000 of the total approved grant funding for their management and programmatic activities. The remaining up to $450,000 shall be used to fund the four (4) sub-applicant direct citizenship mailto:citizenshipgrantprogram@dhs.gov http://www.uscis.gov/grants mailto:CisGrants@dhs.gov preparation programs. The maximum budget for each sub-applicant program is $150,000.

• Performance Period: A mandatory two-year performance period from October 1, 2011 to September 30, 2013

• Application Due Date April 1, 2011

• Anticipated Award Date: September 2011

• Period of Performance Start: October 1, 2011

• Maximum Grant Award: $600,000

FULL PROGRAM DESCRIPTION

TABLE OF CONTENTS

I. Funding Opportunity Description…………………………………………………………… 5 II. Award Information…………………………………………………………………………… 9

A. Type of Award…………………………………………………………………… B. Authority…………………………………………………………………………… C. Estimated Number of Awards…………………………………………………………. 9 D. Estimated Funding…………………………………………………………………….. 9 E. Performance Period……………………………………………………………… F. Data Universal Numbering System (DUNS) and Central Contractor Registration

(CCR) Requirement……………………………………………………………………10 G. Federal Financial Accountability and Transparency Act (FFATA) Sub-award and

Executive Compensation Reporting Requirement………………………..… III. Eligibility Information………………………………………………………………

A. Eligible Applicants………………………………………………………………… B. Cost Sharing……………………………………………………………………… C. Non-Responsive Applications………………………………………………………

IV. Application and Submission Information……………………………………………… A. How to Find an Application Package…………………………………………… B. How to Submit an Application………………………………………………………… 14 C. Content and Form of Application……………………………………………………… 15

1. Form SF-424- Application for Federal Assistance……………………………

2. Form SF-424A- Budget……………………………………………………

3. Certifications/Assurances……………………………………………………...…… 15

4. Budget Narrative …………………………………………………………………... 16

5. Project Abstract…..……………………………………………………………

6. Project Narrative………………………………………………………………

7. Project Plan………………………………………………………………………….24

8. Documentation of Non-profit and/or Public Status………………………………… 25

9. Other Attachments………………………………………………………………….. 26

D. Submission Dates and Times……………………………………………………… E. Intergovernmental Review………………………………………………………… F. Eligible and Ineligible Funding Purposes……………………………………………... 27

V. Review Process and Selection Criteria………………………………………………………. 28 A. Review Process…………………………………………………………………………28 B. Evaluation Criteria………………………………………………………………… C. Strategic Program Priorities…………………………………………………………… 31

VI. Award Administration Information…………………………………………………… A. Notice of Award…………………………………………………………………… B. Administrative and National Policy Requirements……………………………………. 31 C. Reporting Requirements……………………………………………………………….. 36 D. Monitoring……………………………………………………………………………... 38

VII. Department of Homeland Security Contacts………………………………………...……. 38 VIII. Other Information……………………………………………………………………… Attachments:

A. Application Submission Checklist………………………………………………… B. Certification Regarding Drug-Free Workplace………………………………………... 41 C. Certification Regarding Debarment and Suspension……………………………… Glossary…………………………………………………………………………………………

I. FUNDING OPPORTUNITY DESCRIPTION

PROGRAM DESCRIPTION:

The Office of Citizenship (OoC), within U.S. Citizenship and Immigration Services (USCIS), Department of Homeland Security (DHS), is charged with promoting the rights and responsibilities of citizenship. Naturalization is not only a benefit in itself, but also a mechanism to foster immigrant integration. Naturalization provides civic and economic opportunities for new citizens, and strengthens our communities and nation as a whole. Through preparing for naturalization, applicants will gain the tools to be vested citizens – ready to exercise their rights and meet their responsibilities as United States citizens.

The goals of this grant program are to expand the availability of high quality citizenship preparation programs across the nation through the creation of new programs within existing organizations, strengthen emerging citizenship preparation programs, and build long-term capacity of local organizations to provide direct citizenship preparation services to LPRs in communities most in need of those services. At the end of the grant performance period, the sub-applicant organizations should be well-prepared to manage and execute all aspects of successful citizenship instruction and naturalization application service programs.

Request for Proposals

The Citizenship and Integration National Capacity Building Grant Program offered through the Office of Citizenship will provide approximately $3,000,000 to eligible national, regional, or statewide organizations with multiple sites to build capacity among their affiliates/members to provide direct citizenship preparation services to LPRs. An anticipated five (5) grants of up to $600,000 each will fund national, regional, or statewide organization program management costs, organizational capacity building costs, and technical assistance costs, as well as costs for sub-applicants to develop and implement sustainable local citizenship preparation programs.

The principal applicant must propose four (4) sub-applicants to receive comprehensive organizational capacity building and technical assistance services tailored to their specific citizenship instruction and naturalization application service program development needs. The principal applicant may reserve up to $150,000 of the grant funds for program management costs and for the costs associated with providing capacity building and technical assistance services to the sub-applicants. The remainder of the funds must be designated as part of the direct citizenship preparation program development budget for each of the four (4) sub-applicants.

DHS reserves the right to approve funding for some or all of the principal applicant’s proposed sub-applicants.

The Role of the National, Regional or Statewide Organization (Principal Applicant)

The principal applicant must be a national, regional, or statewide organization with an identified headquarters or central office from which network-wide activities are planned, controlled, and managed. The principal applicant’s organization must include a pre-existing and established multi-site network of offices, agencies, branches, affiliates, or members at which such activities are carried out. The principal applicant must have demonstrated recent experience providing capacity building and technical assistance to organizations to develop direct citizenship preparation programs. The principal applicant must also have proven subject-matter expertise in citizenship instruction and naturalization application services.

The principal applicant must:

a. Select four (4) sub-applicants based on (a) an initial assessment of their need for, and potential to benefit from, the capacity building and technical assistance services provided by the principal applicant; and (b) the demonstrated need for expanded citizenship preparation services for LPRs in the sub-applicants’ communities.

b. Conduct a formal needs assessment of each sub-applicant after receiving the award.

c. Create a Program Development Plan tailored to each sub-applicant’s identified needs, which details how the sub-applicant will gain the technical knowledge and ability to develop and implement a direct citizenship preparation program and the capability to effectively manage the program in the future. After the OoC approves the principal applicant’s Program Development Plan for each sub-applicant, they will become part of the official grant award document.

d. Provide ongoing capacity building and technical assistance to sub-applicants during the implementation of the Program Development Plans.

e. Provide overall programmatic and fiscal management of all grant-funded activities, including management of sub-applicants’ program performance and outcomes based on their Program Development Plans.

f. Conduct ongoing and final program evaluations, including tracking and reporting data.

g. Ensure that sub-applicants verify and document that only LPRs receive services funded by this grant.

The Role of the Affiliate/Member (Sub-Applicant)

The selected four (4) sub-applicants are affiliates or members of the principal applicant’s network with an identified need for assistance in developing a direct citizenship preparation program. The sub-applicant does not need to currently provide citizenship instruction and naturalization application services or have experience or expertise in these areas. However, the sub-applicant must have the potential, under the direction and with the assistance of the principal applicant, to build its capacity and expertise to develop, implement, and sustain a direct citizenship preparation program.

The role of the sub-applicant is to develop and implement a direct citizenship preparation program in conjunction with the principal applicant. The sub-applicant’s citizenship preparation program that will be developed or strengthened through this grant funding must include:

1. Citizenship instruction to prepare LPRs for the civics and English (reading, writing, and speaking) components of the naturalization test. This must include both (a) U.S. history and government (i.e., civics) instruction; and (b) civics-focused English as a Second Language (ESL) instruction.

2. Naturalization application services, within the scope of authorized practice of immigration law, to support the naturalization application and interview process.

National Capacity Building Program Phases

Below are the three (3) major phases of the National Capacity Building Grant Program that will occur after the grant award. The phases begin when the performance period commences. While these activities do not start until after receiving the award, the principal applicant should include these requirements as planned activities in the Project Plan (see Section IV.C.7).

Phase 1: Needs Assessment and Program Development Plan

Needs Assessment

In the first quarter of the performance period, the principal applicant must conduct a formal needs assessment of each sub-applicant. First, the principal applicant must develop a needs assessment tool (e.g., survey or questionnaire) and conduct an assessment of each sub-applicant. Before beginning the needs assessment, the principal applicant must obtain approval of the needs assessment tool from OoC no later than October 31, 2011. After completing the needs assessment of all sub-applicants, the principal applicant must submit a needs assessment report to OoC by November 30, 2011.

Program Development Plan After completing the formal needs assessment process, the principal applicant must use this information to create a Program Development Plan for each sub-applicant, which specifies the capacity building and technical assistance activities required to meet each sub-applicant’s identified needs in the areas of citizenship instruction and naturalization application services program development and implementation. The Program Development Plan should be reflective of the technical knowledge and subject matter expertise of the principal applicant, as well as the needs and potential of each sub-applicant. The objective of the Program Development Plan is for each sub-applicant to develop their organizational capacity and subject matter expertise to effectively manage its direct citizenship preparation program for LPRs beyond the performance period of the grant. Program Development Plans are due prior to the end of the first quarter of the performance period, no later than December 31, 2011. The OoC will review and approve/reject these Program Development Plans. Once the Program Development Plans have been approved, they will become part of the official grant award document.

The principal applicant must use its subject-matter expertise and capacity building experience to address the sub-applicants’ identified program development needs in the following four areas:

a. Organizational Development: This may include strengthening fiscal oversight capabilities; enhancing volunteer recruitment and training; improving staff professional development; acquiring financial management systems; providing assistance obtaining non-profit status documentation; improving record keeping and data collection systems; or any other activities to enable sub-applicants to manage and sustain a direct citizenship preparation program.

b. Citizenship Instruction Program Development: This may include developing the staff expertise and qualifications to provide citizenship instruction; recruiting and training a qualified project manager; and strengthening the infrastructure to implement and manage all aspects of a citizenship instruction program, such as teaching and learning resources, student assessments, student recruitment, and student intake processes to ensure that only LPRs will receive services through this grant-funded program.

c. Naturalization Application Services Program Development: This may include developing the staff expertise and qualifications to provide naturalization application services; recruiting and training a qualified project manager; and strengthening the infrastructure to implement and manage all aspects of a naturalization application services program, such as client outreach, intake and referral processes, case management systems, and other activities to help LPRs complete the naturalization application and interview process.

d. Program Evaluation Development: This may include establishing a formal program evaluation process and assessing program outcomes; developing data tracking, analysis and reporting methods; developing effective performance measures; identifying and incorporating promising practices; and replicating effective program models.

Phase 2: Capacity Building, Technical Assistance, and Direct Services Program

Implementation

Phase 2 will cover most of the performance period. In this phase, the principal applicant will implement the Program Development Plans by providing capacity building and technical assistance tailored to the specific needs of each sub-applicant. The capacity building activities should increase the sustainability of the sub-applicant’s direct citizenship preparation program and enhance its ability to manage an effective direct citizenship preparation program. The principal applicant should provide technical assistance in the form of consultation and training that is specifically tailored to the needs of the selected four (4) sub-applicants, as identified in the needs assessment and defined in the Program Development Plans. Technical assistance activities must produce measurable results for the organizations served. Sub-applicant citizenship instruction and naturalization application services must continue to be provided through the end of the performance period.

Phase 3: Final Program Evaluation

The principal applicant must conduct a formal program evaluation to analyze the effectiveness of the capacity building and technical assistance activities and the gains achieved by the sub-applicants, based on a comparison of the identified needs and the capacity and expertise demonstrated at the conclusion of the performance period. This evaluation must include a report detailing promising practices and lessons learned from the project, suitable for public dissemination. This evaluation is a mandatory requirement, which should be adequately described in the principal applicant’s Project Narrative and Project Plan. This final program evaluation is due September 30, 2013.

See below for a representation of the phases:

Phase 2

Capacity Building, Technical Assistance, and Direct Services

Program Implementation

January 1, 2012 – September 30, Phase 3

Formal Program Evaluation

Due September 30, Phase 1

Needs Assessment and Program

Development Plan

October 1, 2011 – December 31, 2011

The required elements for the proposal and how to submit a proposal are identified under Section IV of this funding announcement.

Supplantation/Maintenance of Effort

Requests for funds under this announcement shall not be used to take the place of activities described in the application that are currently supported with other funding. Grant funds shall not be used to support activities that are a normal part of the organization’s operations.

II. AWARD INFORMATION

A. Type of Award: Grant

B. Authority: Public Law 111-83 (Department of Homeland Security Appropriations Act, 2010); Public Law 111-242 (Continuing Appropriations Act of 2011).

C. Estimated Number of Awards: 5

D. Estimated Funding: Subject to the availability of funds, DHS estimates that $3,000,000 in grant funding will be available. DHS anticipates maximum grant awards of $600,000 (direct and indirect costs) to each principal applicant.

E. Performance Period:

1. The performance period is two years fully funded at the outset of the award.

2. Extensions to the performance period may be granted, but are not guaranteed and will not include increased funding.

F. Data Universal Numbering System (DUNS) and Central Contractor Registration

(CCR) Requirement

NEW REQUIREMENTS: Final guidance provided by the Office of Management and Budget (OMB) in a Federal Register notice on September 14, 2010 established requirements for all financial assistance applicants, recipients and sub-recipients to maintain and use a DUNS number, and to require that applicants maintain a registration in the CCR.

1. Pursuant to 2 CFR Part 25, any entity applying through this Funding Opportunity Announcement (FOA) that is not exempt under 2 CFR 25.110 is required to:

a. Be registered in the CCR prior to submitting an application or plan;

b. Provide its DUNS number in each application or plan it submits to DHS. A DUNS number is the nine-digit number established and assigned by Dun & Bradstreet, Inc. (D&B) to uniquely identify business entities. You may obtain a DUNS number from D&B by telephone (currently 866–705–5711) or the Internet (currently at http://fedgov.dnb.com/webform); and

c. Maintain an active CCR registration with current information at all times during which it has an active award or an application or plan under consideration by DHS. To remain registered in the CCR database after the initial registration, you must review and update on an annual basis from the date of initial registration or subsequent updates its information in the CCR database to ensure it is current, accurate, and complete.

2. Effect of non-compliance.

a. Applicant: If, at time of award, the intended recipient has not complied with the requirements to provide a DUNS number and maintain an active CCR registration with current information, DHS will determine that the applicant is not qualified to receive an award; and will use that determination as a basis for making an award to another applicant.

b. Sub-recipients: A sub-recipient is any entity that receives sub-awards directly from a recipient of DHS awards; and is accountable to the award recipient for the use of the federal funds provided by the sub-award.

i. Applicants that receive awards must notify potential sub-recipients that no entity may receive a sub-award from the applicant unless the proposed sub-recipient has provided its DUNS number to the applicant.

http://fedgov.dnb.com/webform

ii. Applicants that receive awards may not make a sub-award to an entity unless the proposed sub-recipient has provided its DUNS number to the applicant.

iii. DHS will request the DUNS number(s) of proposed sub-recipients when an applicant has been selected for funding. DHS reserves the right to limit, restrict or otherwise place special conditions on an award under this Funding Opportunity Announcement to ensure that sub-recipients have DUNS numbers.

3. All new grant and cooperative agreement awards issued by DHS will contain an award term that implements the OMB guidance.

G. Federal Financial Accountability and Transparency Act (FFATA) Sub-award and

Executive Compensation Reporting Requirement

NEW REQUIREMENTS: Interim final guidance provided by OMB in a Federal Register notice on September 14, 2010 established requirements for recipients’ reporting of information on sub-awards and executives’ total compensation, as required by the Federal Funding Accountability and Transparency Act of 2006. This guidance applies to all entities that apply for or receive DHS awards, or receive sub-awards under those awards, with certain exemptions, and exceptions.

1. Exemption: If, in the previous tax year, your organization had gross income, from all sources, under $300,000, you are exempt from the requirements to report sub-awards, and the total compensation of the five most highly compensated executives of any sub-recipient. DHS reserves the right to request authoritative documentation that would support a request to exercise this exemption.

2. Exception: 2 CFR 170.110 provides an exception from the executive compensation reporting requirements by a primary award recipient, or a sub-recipient’s organization (in the case of reporting executive compensation for sub-recipient executives).

None of the requirements regarding reporting names and total compensation of an entity’s five most highly compensated executives apply unless in the entity’s preceding fiscal year, it received:

a. 80 percent or more of its annual gross revenue in federal procurement contracts (and sub-contracts) and federal financial assistance awards subject to the Transparency Act, as defined at 2 CFR 170.320 (and sub-awards); AND

b. $25,000,000 or more in annual gross revenue from federal procurement contracts (and sub-contracts) and federal financial assistance awards subject to the Transparency Act, as defined at 2 CFR 170.320; AND

c. The public does not have access to information about the compensation of the senior executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986.

DHS reserves the right to request authoritative documentation that would support a request to exercise this exception.

Reporting of sub-awards is still required even if your organization meets these tests:

3. Sub-award reporting: Unless your organization is exempt from reporting (see 1 above), you must report each action that obligates $25,000 or more in federal funds for a sub-award to an entity. The $25,000 threshold does not include Recovery funds (as defined in the American Recovery and Reinvestment Act of 2009, Pub. L. 111–5).

You will report sub-award information at http://www.fsrs.gov.

4. Reporting Executive Compensation - Primary award recipient. If your organization does not meet all of the requirements for the exception (see 2 above), you must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year. You will report this information as part of your registration profile at http://www.ccr.gov.

5. Reporting Executive Compensation – Sub-award recipients. For each sub-award recipient that does not meet all of the requirements for the exception (see 2 above), you must report the names and total compensation of each of the sub-recipient’s five most highly compensated executives for the sub-recipient’s preceding completed fiscal year. You will report sub-award recipient executive compensation information at http://www.fsrs.gov.

6. All prime recipients awarded through this Funding Opportunity Announcement who do not have an exemption under 2 CFR 170.110 are required to have the necessary processes and systems in place to comply with the reporting requirements. DHS encourages you to visit www.fsrs.gov, which is the reporting portal for sub-recipient and executive compensation information. In addition, www.usaspending.gov has many resources available on the sub-recipient and executive compensation reporting requirements.

7. All new grant and cooperative agreement awards issued by DHS will contain an award term that implements the OMB guidance.

http://www.fsrs.gov/ http://www.usaspending.gov/

III. ELIGIBILITY INFORMATION

A. Eligible Applicants

Eligible principal applicants are national, regional, or statewide organizations with demonstrated recent experience providing capacity building and technical assistance to organizations to develop direct citizenship preparation programs. Eligible principal applicants must have proven subject-matter expertise in citizenship instruction and naturalization application services. Principal applicants must be public or private non-profit organizations with an established multi-site network of affiliates or members to serve as sub-applicants. Sub-applicants included by the principal applicant in this funding announcement are not eligible to apply for either of the Fiscal Year 2011 Citizenship and Integration Direct Services Grant Programs (DHS-11-CIS-010-001 and

DHS-11-CIS-010-002).

B. Cost Sharing

There is no cost share requirement for this program. However, projects that supplement government funding with in-kind contributions are encouraged. In addition, applicants may use their own funds to increase the capacity of the project. Applicants should clearly identify which budget items are to be supported by the federal grant and which are to be supported by in-kind contributions and/or other funding sources, together with an estimate of the value of these non-federal funding sources.

C. Non-Responsive Applications

An application will be deemed non-responsive and not considered for review if:

1. The total requested funding exceeds the grant award maximum of $600,000 (including direct and indirect costs);

2. The facility rental costs for the principal applicant exceed 20% of the total funding requested for the principal applicant;

3. The facility rental costs for any sub-applicant exceed 20% of the total funding requested for that sub-applicant;

4. The Project Narrative exceeds 20 double-spaced pages (the page limit does not include any of the “Other Attachments” or forms);

5. The Project Narrative does not include one or more of the specified headings in the specified order identified in Section IV.C.6.;

6. The application does not include one or more of the required forms or documents listed under Section IV.C. The required forms and documents are:

a. Form SF-424 – Application for Federal Assistance

b. Form SF-424A – Budget

c. Form SF-424B – Assurances – Non-Construction Programs

d. Certification Regarding Lobbying

e. Budget Narrative for the principal applicant and all sub-applicants

f. Project Abstract

g. Project Narrative

h. Project Plan

i. Documentation of non-profit or public status for the principal applicant

IV. APPLICATION AND SUBMISSION INFORMATION

A. How to Find an Application Package

Use the Grants.gov website to obtain application forms and instructions. Go to http://www.grants.gov, click “Apply for Grants,” and then click “Download a Grant Application Package and Instructions.” Enter the funding opportunity number DHS-10- CIS-010-003 and click the “Download Application Package” button. Click the “download” link for this opportunity and then follow the prompts to download the application package and the instructions package (if applicable).

B. How to Submit an Application

Applications must be submitted electronically through Grants.gov.

To submit an application through Grants.gov, applicants must use Adobe Reader. You must use a compatible version of Adobe Reader. Adobe Reader is available from Grants.gov at no charge.

The principal applicant and all proposed sub-applicants must have a DUNS number to submit an application through Grants.gov. In addition, the principal applicant must be registered with the Central Contractor Registry (CCR) and must be authorized at Grants.gov in order to submit an application through Grants.gov. See Grants.gov for information on how to obtain a DUNS number, how to register with the CCR, and how to obtain authorization. DHS strongly encourages applicants to obtain or update all registrations related to Grants.gov well in advance of the April 1, 2011 deadline.

If the applicant encounters difficulties, contact the Grants.gov Help Desk at 1-800-518- 4726 to report the problem and obtain assistance with the system. The Help Desk is available 24 hours a day, seven days a week.

For assistance with using Grants.gov, click here for the Grants.gov Applicant User Guide: http://grants.gov/assets/ApplicantUserGuide.pdf. Click here for additional applicant resources: http://grants.gov/applicants/resources.jsp.

We may request that you provide original signatures on forms at a later date.

http://www.grants.gov/ http://grants.gov/assets/ApplicantUserGuide.pdf http://grants.gov/applicants/resources.jsp

C. Content and Form of Application

Principal applicants must submit all required forms and required documents as listed in this section. Applications missing any of the required forms or documents listed in this section will be deemed non-responsive and will not be considered for review.

REQUIRED FORMS:

Complete the required forms listed below and other forms in accordance with the application instructions on Grants.gov. If submitting any information that is deemed proprietary, privileged or confidential commercial or financial, please denote the beginning and ending of such information with asterisks (***).

1. Form SF-424 – Application for Federal Assistance

Complete the SF-424 application form. This form may be completed on the Grants.gov website or it can be completed offline in its entirety. NOTE:

Applications submitted through Grants.gov must use the SF-424 provided by Grants.gov. The SF-424 application form can only be viewed and downloaded once Adobe Reader has been installed. The SF-424 application form on Grants.gov is formatted so applicants are only required to complete fields which are indicated with an asterisk (*) and color coded. Once the application is complete, close the document (you will then be prompted to save changes or not).

2. Form SF-424A – Budget

Applicants must complete the budget in its entirety. Applicants must provide budgets by object class (salaries, fringe, travel, indirect, etc.). Funds may be requested as long as the item and amount are necessary to perform the proposed work and are not precluded by the cost principles or program funding restrictions (see Section IV.F for Eligible and Ineligible Funding Purposes).

Additional guidance on how to complete the Form SF-424A can be found at:

http://www.grants.gov/assets/DraftInstructionsSF424%20A_DOL.pdf.

3. Certifications/Assurances

Principal applicants must submit:

a. Form SF-424B – Assurances – Non-Construction Programs; and

b. Certification Regarding Lobbying. If paragraph two of the certification applies, then complete and submit the SF-LLL Disclosure of Lobbying which is provided as an optional form in the application package.

http://www.grants.gov/assets/DraftInstructionsSF424%20A_DOL.pdf

By signing and submitting an application under this announcement, the applicant is providing: Certification Regarding Drug-Free Workplace Requirements (see Attachment B); Certification Regarding Debarment, Suspension, and Other Responsibility Matters – Primary Covered Transactions (see Attachment C); and Certification that the applicant is not delinquent on any federal debt.

REQUIRED DOCUMENTS:

4. Budget Narrative (Double-spaced, no page limit)

Provide a budget narrative for the principal applicant and a separate budget narrative for each of the four (4) sub-applicants. Attach each budget narrative to the form named “Budget Narrative” in the application package. The sub-applicant budget narrative should provide the same level of detail as that of the principal applicant. If you need to add more documents than this form will allow (i.e., sub-applicant budgets), please use the “Attachments” form to attach the additional files.

Show the total of all requested federal grant funds (not to exceed $600,000). This total should match the total listed in the Project Abstract. This total should not include any in-kind costs. The in-kind contribution total should be listed separately. Funds reserved for the principal applicant’s costs should not exceed $150,000.

Refer to Section IV.F for Eligible and Ineligible Funding Purposes applicable to this program.

Provide budget information in the order listed below. Budget detail is required for:

a. In-Kind Costs: The dollar value assigned to non-cash donations to the project. These donations may be in the form of space, supplies, salaries, etc.

The costs should be calculated at the verifiable fair-market value.

b. Personnel: Costs of employee salaries and wages. Identify the project manager, if known. For each staff person, provide the title, time commitment to the project as a percentage of a full-time equivalent (FTE), annual salary, grant funded salary, wage rates, etc. Do not include the costs of consultants.

Consultants are to be included under Contractual.

c. Fringe Benefits: Costs of employee fringe benefits unless treated as part of an approved indirect cost rate. Provide the method used to calculate the proposed rate amount. If a fringe benefit has been negotiated with, or approved by, a cognizant federal agency, provide a copy of the agreement. If no rate agreement exists, provide a breakdown of the amounts and percentages that comprise fringe benefit costs such as health insurance, FICA, retirement insurance, taxes, etc. Identify the base for allocating these fringe benefit expenses.

d. Travel: Costs of project-related travel by employees of the principal applicant organization (do not include costs of sub-contractor or consultant travel). For each proposed trip, provide the purpose, number of travelers, travel origin and destination, number of days, and a breakdown of costs for airfare, lodging, meals, car rental, and incidentals. The basis for the airfare, lodging, meals, car rental, and incidentals must be provided, such as past trips, current quotations, Federal Travel Regulations, etc. Do not include foreign travel.

NOTE: The principal applicant must include costs for one staff member from the principal applicant and one staff member from each sub-applicant to attend a mandatory two-day grant recipient orientation training in Washington, D.C. The principal applicant must also include costs for at least one site visit to each sub-applicant organization.

e. Equipment: Any article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost which equals or exceeds the lesser of (a) the capitalization level established by the organization for financial statement purposes, or (b) $5,000. For each type of equipment requested, provide a description of the equipment, the cost per unit, the number of units, the total cost, and a plan for use on the project, as well as use or disposal of the equipment after the project ends. An applicant organization that uses its own definition for equipment should provide a copy of its policy or section of its policy which includes the equipment definition

NOTE 1: Acquisition cost means the net invoice unit price of an item of equipment, including the cost of any modifications, attachments, accessories, calibration and maintenance services, or auxiliary apparatus necessary to make it usable for the purpose for which it is acquired. Ancillary charges, such as taxes, duty, protective in-transit insurance, freight, and installation shall be included in or excluded from acquisition cost in accordance with the organization's regular written accounting practices.

NOTE 2: Prior to the purchase of equipment in the amount of $5,000 or more per unit cost, the Recipient must obtain the written approval from DHS. The Recipient shall maintain an annual inventory, which will include a brief description of the item, serial number and amount of purchase for equipment purchased with grant funds, or received under a grant or cooperative agreement, and having a $5,000 or more per unit cost. The inventory must also identify the sub-award under which the equipment was purchased.

Maintenance and insurance will be the responsibility of the Recipient. Title of equipment will remain with the Recipient until closeout when disposition will be provided in writing by DHS within 120 days of submission of final reports.

f. Supplies: Costs of all tangible personal property other than that included under the equipment category. Specify general categories of supplies and their costs. Show computations and provide other information which supports the amount requested.

g. Contractual: Costs of all contracts for services and goods except for those that belong under other categories such as equipment, supplies, construction, etc. Include third party evaluation contracts (if applicable) and contracts with secondary recipient organizations.

Demonstrate that all procurement transactions will be conducted in a manner to provide, to the maximum extent practical, open and free competition.

Identify proposed sub-contractor work and the cost of each sub-contractor.

Provide a detailed budget for each sub-contractor that is expected to perform work estimated to be $25,000 or more, or 50% of the total work effort, whichever is less.

• Identify each planned subcontractor and its total proposed budget. Each subcontractor's budget and supporting detail should be included as part of the applicant's budget narrative.

• In addition, the applicant shall provide the following information for each planned subcontract: a brief description of the work to be subcontracted;

the number of quotes solicited and received, if applicable; the cost or price analysis performed by the applicant; names and addresses of the subcontractors tentatively selected and the basis for their selection; e.g., unique capabilities (for sole source subcontracts), low bidder, delivery schedule, technical competence; type of contract and estimated cost and fee or profit; and, affiliation with the applicant, if any.

• Recipient may be required to make pre-award review and procurement documents available to DHS, including request for proposals or invitations for bids, independent cost estimates, etc. This may include procurements expected to exceed the simplified acquisition threshold fixed at 41 USC 403(11) (currently set at $100,000) and expected to be awarded without competition or only one bid or offer is received in response to a solicitation.

• All required flow down provisions in the award must be included in any subcontract.

NOTE: Organizations may propose to sub-contract specific tasks that the organization does not have the expertise to perform. However, the sub-applicants must directly provide the citizenship instruction, and the principal applicant must demonstrate its ability to successfully manage all aspects of the grant-funded project, including financial management.

h. Other Direct Costs: Any other items proposed as direct costs. Provide an itemized list with costs, and state the basis for each proposed item.

i. Indirect Costs: Provide a copy of the latest rate agreement negotiated with a cognizant federal agency. If the applicant organization is in the process of initially developing or renegotiating a rate, upon notification that an award will be made, it should immediately develop a tentative indirect cost rate proposal based on its most recently completed fiscal year, in accordance with the cognizant agency's guidelines for establishing indirect cost rates, and submit it to the cognizant agency. Applicants awaiting approval of their indirect cost proposals may also request indirect costs. When an indirect cost rate is requested, those costs included in the indirect cost pool should not also be charged as direct costs to the award. Also, if the applicant is requesting a rate which is less than what is allowed under the program, the authorized representative of the applicant organization must submit a signed acknowledgement that the applicant is accepting a lower rate than allowed.

NOTE: If no indirect cost rate agreement is included, no indirect costs should be listed in the proposed budget.

5. Project Abstract (three single-spaced page maximum)

Provide the information requested below in a separate document suitable for public dissemination. The abstract must not include any proprietary/confidential information. Attach the Project Abstract to the “Project Abstract” form.

A. Provide the following information for the principal applicant:

1. Organization Legal Name

2. Organization Legal Address (Number and street, city, state, zip code)

3. Head of the Organization (Name, title, address, phone number, email address)

4. Authorized Official, the person at the organization authorized to sign to receive award (Name, title, address, phone number, email address)

5. Grant Project Manager, the person who will manage the operations of the grant project and will serve as USCIS’ primary point of contact (Name, title, address, phone number, email address)

6. Type of Organization (e.g., community-based organization, faith-based organization, state government agency, etc.)

7. Project Description (250 words or less) Provide a short summary of the following:

• The principal applicant’s qualifications and experience to implement this program;

• The proposed four (4) sub-applicants and locations (city and state);

• Proposed grant project activities and desired outcomes.

8. Total Federal Funding Requested (Not to exceed $600,000)

9. Total Federal Funding Requested for Principal Applicant (Not to exceed

$150,000)

10. Congressional District of Principal Applicant (based on the legal address of the organization)

11. Estimated Total Number of LPR Students to be Enrolled in Citizenship

Classes Provide a total for all sub-applicants.

12. Estimated Total Number of LPR Clients to be Served with Naturalization

Legal Services Provide a total for all sub-applicants.

13. Number of Full-Time Equivalents (FTEs) for Principal Applicant

Provide the number of intended grant-funded FTEs for the principal applicant.

Include part-time work paid for with grant funds as percentages of FTEs.

B. Provide the following for each of the four (4) sub-applicants:

1. Organization Legal Name

2. Organization Legal Address (number and street, city, state, zip)

3. Sub-Applicant Project Manager, the person who will manage the operations of the grant project and will serve as USCIS’ primary point of contact (Name, title, address, phone number, email address)

4. Total Federal Funding Requested (Not to exceed $150,000)

5. Geographic Areas/Communities where services will be provided

6. Congressional District of Sub-Applicant (based on the legal address of each organization)

7. Countries of Origin of most LPRs to be served

8. Number of Full-Time Equivalents (FTEs) for Sub-Applicants Provide the number of intended grant-funded FTEs. Include part-time work as percentages of FTEs.

6. Project Narrative (20 double-spaced page maximum)

Use this section to provide a comprehensive description of all aspects of the proposed program, addressing all required elements in response to the evaluation criteria. Items 6.a. – 6.c. below are the mandatory elements that must be included in the Project Narrative. You must follow the order specified below, using the title headings provided below to identify each element.

Required Headings:

a. Sub-Applicant and Community Need

b. National Capacity Building Program Design

c. Principal Applicant’s Organizational Qualifications and Experience

An application that does not include each required element listed in the order provided in this section and/or is in excess of 20 double-spaced pages will be deemed non-responsive and will not be considered.

Format Requirements

• Include the title “Project Narrative” at the top of the first page.

• Ensure that the application can be printed on 8 ½” x 11” single-sided paper.

• Use double-spacing.

• Do not include any marks from the “Track Changes” tool in Microsoft Word.

• Font size must be at least 12 point, preferably Times New Roman font.

• Margins must be at least one (1) inch at the top, bottom, left and right of the paper.

• Project narrative pages must be numbered “1” of “XX.”

• Pages should be numbered consecutively and are limited to a total of 20 pages.

• Attach the completed Project Narrative to the “Project Narrative Attachment” form.

Required Project Narrative Sections

a. Sub-Applicant and Community Need

Use this section to provide a justification for the selection of each of the four (4) sub-applicants. The justification should be based on the need in each sub-applicant’s community for citizenship preparation services and the sub-applicant’s organizational and program development needs.

Provide sound data to support your claims. Describe:

• The need for citizenship instruction and naturalization application services in the sub-applicants’ geographic locations, including the types of citizenship preparation services otherwise available in the community. Provide details on any targeted underserved populations (i.e., low income, low education level, age, etc.)

• The sub-applicant organizations, including size, management structure, and services currently provided. Attach a current organizational chart for each sub-applicant to the “Other Attachments” form.

• The organizational and program development needs of the four (4) sub-applicants and their potential to expand and manage a citizenship preparation program in the long-term.

b. National Capacity Building Program Design

Describe the proposed national capacity building program design. Explain how the program design meets the identified sub-applicant and community needs. NOTE: Once implemented, the sub-applicants’ citizenship preparation program must include both citizenship instruction and naturalization application services. Describe:

• The organizational and oversight relationship between the principal applicant and the sub-applicants.