fy13rfa.pdf

OMB CONTROL NUMBER – 0584-0512

Food and Nutrition Service

National School Lunch Program Fiscal Year 2013

REQUEST FOR APPLICATIONS

DIRECT CERTIFICATION

IMPROVEMENT GRANTS

States are required to use this solicitation to apply for the Direct Certification Improvement Grants

Grant Type Application Due Date

(if funds remain available) Maximum per Award

TIER 1 – Simplified Application for

Limited-Scope Planning & Implementation Grants

(up to 1 year grants)

February 1, 2013 March 1, 2013 April 1, 2013

May 1, 2013 June 3, 2013 July 1, 2013

$150,000

TIER 2

Application for

Full-Scope Implementation Grants

(1 to 3 year grants)

April 1, 2013

$1,000,000

Catalog of Federal Domestic Assistance (CFDA) Number 10.579

OMB BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0584-0512. The time required to complete this information collection is estimated to average 60 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

Request for Applications for Direct Certification Improvement Grants

TABLE OF CONTENTS

I. OVERVIEW

A. Background and Authority

B. Purpose of Grant Funding

C. FNS Collaboration with State Grantees

II. DIRECT CERTIFICATION IMPROVEMENT GRANT TYPES

A. Tier 1: Limited-Scope Planning and Implementation Grants - up to $150,000

B. Tier 2: Full-Scope Implementation Grants – Up to $1,000,000

III. WHO MAY APPLY

IV. CRITICAL DATES AND AWARD PERIODS

A. Critical Dates

B. Award Periods

V. HOW TO SUBMIT AN APPLICATION FOR FUNDING

VI. WHAT TO INCLUDE IN THE APPLICATION PACKAGE

A. Tier 1: Limited-Scope Planning and Implementation Grant Applications

B. Tier 2: Full-Scope Implementation Grant Applications

VII. APPLICATION FORMAT

VIII. APPLICATION REVIEW AND GRANT AWARD PROCESS

A. Initial Screening

B. Panel Review

C. Selection for Awards

D. Determination of Award Amounts

IX. ADMINISTRATIVE REQUIREMENTS AND TERMS AND CONDITIONS

A. Administrative Requirements

B. Funding

C. Assurances and Disclosures

D. Reporting

X. CHECKLIST FOR THE APPLICATION PACKAGE

APPENDIX A: Links to Resources

A. OMB Cost Principles 2 CFR 225

B. FY 2010-2012 Direct Certification Grant Summaries

C. Request for Applications and Standard Application Forms

D. 2012 Direct Certification Report to Congress

E. Child Nutrition Division’s PartnerWeb Policy Community

APPENDIX B: Grant Project Budget Checklist

SEPARATE DOCUMENTS:

APPENDIX C: Tier 1 Limited-Scope Grant Proposal Template & Instructions

APPENDIX D: Tier 2 Full-Scope Grant Proposal Template & Instructions

Request for Applications for Direct Certification Improvement Grants

I. OVERVIEW

The USDA Food and Nutrition Service invites State agencies that administer the National School Lunch Program (NSLP) and School Breakfast Program (SBP) to apply for Direct Certification Improvement Grants to fund the costs of improving their direct certification rates with the Supplemental Nutrition Assistance Program (SNAP), and other assistance programs as allowed under Federal statute and regulations. Under this request for applications (RFA), approximately $8 million is available for grants to NSLP State agencies to fund direct certification improvement projects.

A. Background and Authority The Child Nutrition and WIC Reauthorization Act of 2004, Public Law 108-265, required all local educational agencies (LEAs) to establish, by school year (SY) 2008-2009, a system to directly certify children as eligible for free school meals when they are members of households that receive SNAP benefits. Under direct certification, children are approved for school meal benefits automatically without an application from the child’s household. Direct certification normally is accomplished through data matching between school enrollment records and public assistance program eligibility records.

The Food, Conservation, and Energy Act of 2008 (2008 Farm Bill, P.L.110-246) required FNS to assess the effectiveness of State and local efforts to directly certify children for free school meals when they are members of households receiving SNAP, and to provide annual reports to Congress indicating State progress in this area. Each year since 2008, FNS has computed direct certification rates for each State using estimates of the number of school-age SNAP participants (between ages 5 and 17) and the number of children from SNAP households directly certified as eligible for free school meals. These rates have been published in the annual Report to Congress: Direct Certification in the National School Lunch Program: State Implementation Progress. The national average direct certification rate for children in SNAP households for SY 2011-2012 was calculated as 86 percent, an increase of 9 percentage points from the 77 percent reported for the previous school year. The Reports to Congress for 2008 through 2012 are available at: http://www.fns.usda.gov/ora/menu/Published/CNP/cnp.htm.

Section 749(h) of the Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act of 2010 (P.L. 111-80) provided $22 million that the Food and Nutrition Service (FNS) must issue as grants to State agencies that administer the NSLP and have the lowest rates of children directly certified for free meals, for the purpose of improving those rates. State agencies may use grant funds, in accordance with FNS requirements, to pay costs associated with improving their direct certification rates. Under this appropriation, in July 2010, FNS announced an RFA for State agencies to apply for Direct Certification planning and implementation grants. Applications in response to the 2010 RFA were accepted on a quarterly basis from November 2010 through July 2012, and FNS awarded 31 grants to 21 State agencies, totaling approximately $14 million in grant funding. FNS now is issuing a new Direct http://www.fns.usda.gov/ora/menu/Published/CNP/cnp.htm

Certification Improvement Grant opportunity to make available to States approximately $8 million in remaining funds to be used for direct certification improvements.

B. Purpose of Grant Funding The Healthy Hunger-Free Kids Act (HHFKA) of 2010 (P.L. 111-296) amended the Richard B.

Russell National School Lunch Act (NSLA) to add provisions intended to encourage States to improve program access through direct certification, including:

1. Requiring States to reach percentage benchmarks for direct certification rates for children in households receiving assistance under SNAP according to the following timelines:

80% for SY 2011-2012;

90% for SY 2012-2013; and 95% for SY 2013-2014 and each school year thereafter.

2. Requiring States that fall below the benchmark for the previous school year to develop and implement continuous improvement plans (CIPs) to describe: 1) specific measures that the State will use to identify more children who are eligible for direct certification, including improvements or modifications to technology, information systems, or databases; 2) a timeline for the State to implement those measures; and 3) goals for the State to improve direct certification results.

The purpose of the Direct Certification Improvement Grants described in this RFA is to fund State agency activities in planning and implementing direct certification improvement projects that will help them reach and maintain the direct certification rate benchmarks mandated by the HHFKA. Funds may be used for:

1. Making technology improvements;

2. Providing technical assistance to LEAs; or

3. Implementing new or revised State or LEA direct certification systems.

In addition, the grants are intended to fund improvements in direct certification with other public programs where there is statutory authority for direct certification, such as Temporary Assistance to Needy Families (TANF), Food Distribution Program on Indian Reservations (FDPIR), foster care, migrants, homeless, etc. Ultimately, FNS intends for the grants to assist States in improving access, increasing accuracy, and reducing paperwork in the NSLP and SBP by simplifying the certification process for free school meals.

Using Grant Funds for Direct Certification with Medicaid Applicants may propose to use a portion of the grant funds for activities related to direct certification with Medicaid. However, the use of grant funds for this purpose will be restricted to State agencies that apply for a grant to improve their direct certification rate with SNAP and are selected to participate in the demonstration projects to evaluate direct certification with Medicaid, as described in FNS Memorandum SP 8-2013, Request for Applications for Participation in Demonstration Projects to Evaluate Direct Certification with Medicaid. This memorandum, along with attachments, is located at http://www.fns.usda.gov/cnd/governance/policy.htm.

http://www.fns.usda.gov/cnd/governance/policy.htm

C. FNS Collaboration with State Grantees FNS intends to work collaboratively with grant applicants and grantees throughout the application process and the life of grants awarded through this RFA. Accordingly, within approximately three weeks of this RFA’s publication, FNS will conduct a webinar with all State agencies and FNS regional offices to review the RFA and address questions regarding the application process. Notification of the webinar date, time and call-in information will be communicated to State agencies via the Child Nutrition Division’s PartnerWeb community at https://www.partnerweb.usda.gov.

FNS anticipates awarding the funds as cooperative agreements to allow FNS more active participation with the cooperator during both project development and project execution.

Examples of FNS participation include activities such as the following:

1. Ongoing evaluation of quarterly progress and financial reports to monitor the grantee’s project activities to ensure that the objectives, terms and conditions of the agreement are met;

2. Periodic on-site and off-site technical assistance to provide evaluation and guidance on project activities and outputs as they relate to child nutrition program objectives, including: providing program guidance on curriculum development; evaluation of training materials and websites; evaluation of technology improvements; review of project plans and milestones; review of procurement documents for sub-grantee involvement (i.e., requests for proposals, contracts, statements of work, and project plans) and other technical assistance related to project objectives; and

3. Periodic collaborative meetings for multiple grantees for the purposes of technical assistance, training, problem solving and sharing successful or promising practices.

Meetings may be conducted as webinars, teleconferences or training workshops at a program related conference.

Summaries of Direct Certification grants that were awarded under the previous 2010 RFA are located on the FNS Child Nutrition Division grants website at:

http://www.fns.usda.gov/cnd/Grants/2010dc_grantsummaries.htm.

II. DIRECT CERTIFICATION IMPROVEMENT GRANT TYPES

The FY 2013 Direct Certification Improvement Grant award process involves two types of awards. State agencies may apply for only one grant award under this RFA.

1. Tier 1: Limited-scope planning and implementation projects - up to $150,000

2. Tier 2: Full-scope implementation projects - up to $1,000,000

State agencies may apply for only one grant award under this RFA.

A. Tier 1: Limited-Scope Planning and Implementation Grants - up to $150,000 Tier 1 grants may be awarded for up to $150,000 under a simplified application process to fund short term projects of limited scope for the distinct purpose of improving direct certification rates.

Please note that funding is limited to no more than $75,000 for planning activities. If a State agency proposes to conduct both planning and implementation activities under the grant, the https://www.partnerweb.usda.gov/ http://www.fns.usda.gov/cnd/Grants/2010dc_grantsummaries.htm proposed budget must clearly delineate between the costs associated with planning and the costs associated with implementation to ensure that planning costs do not exceed $75,000.

Tier 1 grants may have a performance period of up to one year and are intended to pay the costs of direct certification improvement activities, such as one or a combination of the following:

1. Planning activities (limited to no more than $75,000 in costs for planning only), including acquiring expert assistance in:

• assessing and analyzing direct certification processes and systems to identify and prioritize needed improvements and plan for implementation; and

• developing continuous improvement plans (CIPs), as required for States that do not meet the mandated direct certification benchmarks;

2. Upgrades, add-ons or other enhancements to existing direct certification systems and processes;

3. Purchase of new software or hardware for direct certification purposes;

4. Training LEAs to target specific known problem areas in the direct certification process;

or

5. Some combination of the above.

For example, a State agency may have a good direct certification system in place, but needs to engage in short-term projects of limited scope to add a new feature or make one or more adjustments, such as, but not limited to:

1. Increasing match frequency;

2. Adding data elements or new algorithms for more accurate data matching;

3. Adding/improving online lookup capability;

4. Improving data exchange processes with SNAP and TANF agencies;

5. Creating/updating software and reporting tools;

6. Making changes necessary to comply with revised Federal reporting requirements for direct certification data;

7. Simplifying LEA access to data matches;

8. Adding or improving ability to identify other children in the household who are categorically eligible for free meals due to SNAP/TANF/FDPIR eligibility of at least one household member;

9. Prioritizing unmatched results for easier processing;

10. Purchasing hardware or software for direct certification purposes. Software and hardware purchases may be for use by the NSLP State agency, by LEAs within their State, or by SNAP/TANF agencies for the purpose of direct certification;

11. Conducting training with LEAs to improve performance in accessing and processing data matches timely and accurately;

12. Adding or improving monitoring capability so the State agency can assess direct certification performance; or

13. Other targeted efforts to improve current direct certification systems and processes.

To develop an application for a Tier 1 grant, State agencies must address the questions in the Appendix C: Tier 1 Limited-Scope Grant Proposal Template & Instructions. The instructions are designed to assist State agencies in developing fully responsive Tier 1grant applications for viable projects of limited scope and to bring consistency to the proposal process for evaluation purposes.

The maximum amount of any single Tier 1 grant is $150,000. However, FNS retains authority to award less than the amount requested in the application. Tier 1 grant applications proposing planning activities may not include more than $75,000 in the project budget for costs related to planning activities and these costs must be clearly explained and separated from implementation activities in the project budget. Regardless of the activities proposed, applicants must provide sufficient documentation to explain and justify all grant project cost estimates to establish that they are reasonable, necessary, allowable and allocable to the purpose of these grants.

B. Tier 2: Full-Scope Implementation Grants – Up to $1,000,000 Tier 2 full-scope implementation grants may be awarded for up to $1,000,000 to fund direct certification implementation projects with a performance period of one to three years. These grants are for the purpose of supporting State agencies in carrying out projects of significant scope to improve direct certification performance. Tier 2 grants are intended for States that already know what they need to do to improve, but lack the resources to implement the improvements. Planning activities, such as system analysis, process assessments, and CIP development are not acceptable activities for these full-scope implementation grants. In order to develop a reasonable proposal for a project of this larger scope, FNS assumes that State agencies already have completed assessment and planning activities and are prepared to move forward with an implementation project.

Tier 2 grants may fund major training and technology improvements (for example, a major re-write of the State’s direct certification system to move from district-level matching to State-level matching, or similar scope) or combinations of improvement activities that will exceed $150,000 in total cost. Potential uses of Tier 2 grant funds include any of the implementation activities listed in Section II-A for Tier 1 grants (except for planning activities), as well as more extensive implementation projects to implement new direct certification technologies and training.

Applicant agencies must address the questions in the Appendix D: Tier 2 - Full-Scope Grant Proposal Template & Instructions to develop an implementation grant application. Appendix D instructions and tips are designed to 1) guide applicants in thinking through all aspects of implementing proposed solutions, with particular emphasis on reducing risks associated with technology related aspects of their proposals, and 2) assist applicants in considering and capturing budget items such as, but not limited to, costs for personnel, contractors, purchasing equipment, developing training, supplies and travel. Following the guidance will assist State agencies to develop fully responsive implementation grant applications, and help to bring consistency to the proposal process for evaluation purposes.

The maximum amount of any single full-scope implementation grant is $1,000,000. However, FNS retains authority to award less than the amount requested by an applicant. The size of implementation grants will likely vary, based on differences in project scope, the responsiveness of application packages (see Section VI, What to Include in the Application Package), and clarity of demonstrated need. Regardless of the activities proposed, applicants must provide sufficient documentation to explain and justify all grant project cost estimates to establish that they are reasonable, necessary, allowable and allocable to the purpose of these grants.

III. WHO MAY APPLY

Per Section 749(h) of the Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act of 2010 (P.L. 111-80), grants are available to State agencies that administer the NSLP and have the lowest direct certification rates for children who are members of households receiving SNAP benefits. Because of the statutory mandate under the Healthy, Hunger-Free Kids Act for States to reach and maintain direct certification rates with SNAP of at least 95 percent, and due to the number of recent and upcoming changes in direct certification policy and procedures which may require adjustments to State and local direct certification systems (i.e., elimination of SNAP letter method as a method of direct certification, pending changes in direct certification reporting requirements, mandated increase in frequency for running matches, continuous improvement plans, etc.), this grant opportunity is extended to all States, as follows:

1. All NSLP State agencies are eligible to apply for Tier 1 Direct Certification Improvement Grants, even if they were awarded grant(s) under the 2010 Direct Certification Grant RFA. However, applications must clearly demonstrate the State’s need for grant funds to enable it to reach and maintain SNAP direct certification rates at the 95 percent level.

2. All NSLP State agencies are eligible to apply for Tier 2 Direct Certification Improvement Grants, even if they were awarded grant(s) under the 2010 Direct Certification Grant RFA. However, State agencies with direct certification rates with SNAP that are already at 95 percent or higher, as reported in the 2012 Direct Certification Report to Congress, must present a compelling case in their application proposals as to why improvements in their direct certification system or processes are necessary for them to maintain rates at or above the mandated 95 percent benchmark. (The 2012 Report to Congress can be viewed at http://www.fns.usda.gov/ora/MENU/Published/CNP/cnp.htm).

3. FNS will accept only one grant application from any State agency under this RFA.

However, if funds remain available at the end of the RFA period (July 1, 2013), FNS reserves the right to extend the RFA and reconsider this application restriction at that time.

Non-Competitive Grant awards under this RFA will not be competitive as long as sufficient funding is available to fund all fully responsive applications with potential to significantly improve direct certification performance. If sufficient funding is not available to award grants to all applicants, FNS reserves the right to give preference to applications from States with the lowest direct certification rates with SNAP, as reported in the 2012 Direct Certification Report to Congress.

http://www.fns.usda.gov/ora/MENU/Published/CNP/cnp.htm

Preference also may be given based on the amount of grant funding already awarded to the applicant agencies for direct certification improvement purposes under the 2010 Direct Certification Grant RFA announced in July 2010 (see http://www.fns.usda.gov/cnd/Grants/Grants2012.htm). FNS reserves the right to close the RFA and accept no further applications at any point that available funds are exhausted.

IMPORTANT: The CND grants website at http://www.fns.usda.gov/cnd/grants.htm will be updated monthly to show the approximate amount of funds remaining available following the most recent application deadline. If funds are exhausted before July 1, 2013 (the final application deadline), the RFA will be closed and the closure information will display as a notice on this public website. Potential applicants should check the website to ensure that funds are available before submitting an application.

IV. CRITICAL DATES AND AWARD PERIODS

A. Critical Dates

1. Tier 1 Grants – Simplified Application: There will be six monthly application deadlines for Tier 1 grants in 2013, all on the first workday of the given month— February 1, March 1, April 1, May 1, June 3 and July 1, 2013. Applications received after July 1, 2013 will not be considered for awards. FNS will process Tier 1 applications within approximately 45 days from the application deadline by which it was received.

2. Tier 2 Grants – Full Application: A State agency may apply for a Tier 2 grant at one of two deadline opportunities – April 1, 2013 and July 1, 2013. Applications received after July 1, 2013 will not be considered for awards. FNS will process Tier 2 applications to make awards within approximately 90 days from the application deadline by which it was received.

FNS reserves the right to close this RFA at any time that available funds are exhausted.

B. Award Periods The award period for the FY 2013 Tier 1 grants will be as follows, beginning from the date of the award:

• Tier 1 limited-scope grants will be awarded for up to one year; and

• Tier 2 full-scope implementation grants will be awarded for one to three years.

All grant funds must be obligated and all program activities under the grant (other than activities relating to the close out of the grant) must be completed by the end of award period.

The close out of the grant must occur no later than 90 days following the end of the award period, and all obligations incurred under the grant must be liquidated by this date. Any funds that are not liquidated within 90 days following the end of the award period must be returned to FNS. In addition, the final progress reports are due to FNS no later than 90 days following the end of the award period. Please see Section IX, Administrative Requirements and Terms and Conditions, for additional reporting requirements.

http://www.fns.usda.gov/cnd/Grants/Grants2012.htm http://www.fns.usda.gov/cnd/grants.htm

V. HOW TO SUBMIT AN APPLICATION FOR FUNDING

Applicants may obtain the RFA package by downloading the application from the FNS website http://www.fns.usda.gov/cnd/grants.htm or by downloading the application from the “Grants.gov” website at http://www.grants.gov/. Applications submitted via mail service, facsimile or e-mail will not be considered for funding.

State agencies have the option of applying for either a Tier 1 grant or a Tier 2 grant, but not both.

Only one grant application in response to this solicitation will be accepted from any State during the life of the RFA.

1. Tier 1 simplified applications (see Appendix C for narrative proposal template) for limited-scope planning and implementation projects may be submitted to Grants.gov for six application deadlines. Applications must be received by 11:59 pm eastern time on the application due date. Applications submitted after a given deadline will be held and processed with those received at the next deadline. Applications received after the July 1, 2013 deadline will not be processed. The application deadline schedule for Tier 1 applications is as follows:

• February 1, 2013

• March 1, 2013

• April 1, 2013

• May 1, 2013

• June 3, 2013

• July 1, 2013

2. Tier 2 applications (see Appendix D for narrative proposal template) for full-scope implementation projects may be submitted to Grants.gov at two application deadlines.

Applications must received by 11:59 pm eastern time on the application due date.

• April 1, 2013: Tier 2 applications received prior to the April 1 deadline will be held for processing until April 1, 2013.

• July 1, 2013: Tier 2 applications submitted after April 1, 2013, but before the July 1 deadline will be held for processing until July 1, 2013.

Electronic Submission The complete application must be uploaded on the Grants.gov website at www.grants.gov by 11:59 PM, eastern time on an application deadline date, as provided in the schedule above.

Applications submitted after a given deadline will be held and processed with those received at the next deadline (if funds remain available). Applications received after the July 1, 2013, the final deadline or Tier 1 and Tier 2 grants, will be deemed ineligible and will not be reviewed or considered. FNS will not consider any additions or revisions to an application once it is received.

FNS will not accept mailed, faxed, or hand-delivered applications.

In order to submit your application via www.grants.gov, you must have obtained a Data Universal Numbering System (DUNS) number and registered in both the new Systems for http://www.fns.usda.gov/cnd/grants.htm http://www.grants.gov/

Award Management (SAM) and on Grants.gov. The applicant is strongly advised to allow ample time to initiate its grants.gov application submission. All applicants must have current CCR status at the time of application submission and throughout the duration of a Federal Award in accordance with 2 CFR Part 25. Please visit the following websites to obtain additional information on how to obtain a DUNS number (www.dnb.com) and register in SAM (https://www.sam.gov/portal/public/SAM/).

What is SAM?

The System for Award Management (SAM) is combining federal procurement systems and the Catalog of Federal Domestic Assistance into one new system. This consolidation is being done in phases. The first phase of SAM incorporated the functionality from several systems, including the Central Contractor Registry (CCR).

For additional information regarding SAM see the following link:

https://www.acquisition.gov/SAM_Guides/Quick%20Guide%20for%20Grants%20Registrations %20v1.pdf

Below is some additional information that should assist the applicant through this process:

DUNS Number: In order to obtain a DUNS number, if your organization does not have one, or if you are unsure of your organization’s number you can contact Dun and Bradstreet via the internet at http://fedgov.dnb.com/webform or by calling 1-888-814-1435, Monday thru Friday, 8am-9pm EST. There is no fee associated with obtaining a DUNS number. Obtaining a DUNS number may take several days to obtain.

SAM Registration: If you were registered in the CCR, your organization’s information is already in SAM and you will just need to set up a SAM account to update any information. To register in SAM you will need both your organization’s DUNS and your entity’s Tax ID Number (TIN) and taxpayer name (as it appears on your last tax return). Registration should take 3-5 days. If you do not receive confirmation that your SAM registration is complete, please contact SAM at https://www.fsd.gov/app/answers/list.

Grants.gov Registration: In order to apply for a grant, your organization must have completed the above registrations as well as register on Grants.gov. The Grants.gov registration process can be accessed at www.grants.gov/applicants/get_registered.jsp . Generally, the registration process takes between 3-5 business days.

If you are a new Grants.gov user, please ensure that your organization’s Point of Contact (POC) has designated you as an Authorized Organization Representative (AOR). If you are not designated as an AOR, you will be unable to submit your application into Grants.gov.

Allow your entity ample time to complete the necessary steps for the submission of your grant application package on grants.gov.

All questions regarding the application and electronic submission notification should be referred to the FNS Grant Officer, Carla Garcia via e-mail at Carla.Garcia@fns.usda.gov. Please be aware that the grants.gov system provides several confirmation notices; you need to be sure that you have confirmation that the application was accepted. If the applicant has not received confirmation of a successful submission or needs technical assistance; please contact the Grants.gov helpline at 1-800-518-4726 or email the help desk at support@grants.gov.

http://www.dnb.com/ https://www.acquisition.gov/SAM_Guides/Quick%20Guide%20for%20Grants%20Registrations%20v1.pdf https://www.acquisition.gov/SAM_Guides/Quick%20Guide%20for%20Grants%20Registrations%20v1.pdf http://fedgov.dnb.com/webform https://www.fsd.gov/app/answers/list http://www.grants.gov/applicants/get_registered.jsp mailto:Carla.Garcia@fns.usda.gov mailto:support@grants.gov

VI. WHAT TO INCLUDE IN THE APPLICATION PACKAGE

To be considered complete, Direct Certification Improvement Grant applications must include all the required documents and information listed in the following sections for the specific type of grant -- Tier 1 or Tier 2.

A. Tier 1: Limited-Scope Planning and Implementation Grant Applications To be considered complete, application packages for Tier 1 grants must include all information listed in the following table. Failure to provide any item on the list could result in your application being removed from competition.

Table 1 – Checklist for TIER 1 Simplified Application Package

Application Due Dates (if funds remain available)

Maximum per Award

TIER 1 – Simplified Application for

Limited-Scope Planning & Implementation Grants

February 1, 2013 March 1, 2013 April 1, 2013

May 1, 2013 June 3, 2013

$150,000

Required Documents and Information Explanation

1. Tier 1: Limited-Scope Grant Proposal Template (or similar format) - Appendix C

12-page limit for responses to Questions 1-6k

Make sure pages are numbered

For a Tier 1 grant project proposal narrative to be considered complete, applicants must structure and develop their proposal narrative by completing the Cover Page and answering all questions listed in Appendix C: Tier 1 Limited-Scope Grant Proposal Template & Instructions.

Applicants should address all questions in the order they are listed. The instructions are intended to simplify both the narrative development for applicants and the evaluation process for reviewers.

See Appendix A for link to OMB Cost Principles at 2 CFR 225.

2. Form SF-424 Application for Federal Assistance

Link to form at http://www.fns.usda.gov/cnd/grants.htm

3. Form SF-424A, Budget Information – Non-Construction Programs

Link to form at http://www.fns.usda.gov/cnd/grants.htm

4. Form SF-424B, Assurances – Non-Construction Programs

Link to form at http://www.fns.usda.gov/cnd/grants.htm

5. Form SF-LLL, Disclosure of Lobbying Activities

Link to form at http://www.fns.usda.gov/cnd/grants.htm

6. Indirect Cost Rate Agreement If Indirect Costs are included in the budget, applicants must provide a copy of their agency’s signed Indirect Cost Rate Agreement with a Federal agency.

http://www.fns.usda.gov/cnd/grants.htm http://www.fns.usda.gov/cnd/grants.htm

Table 1 – Checklist for TIER 1 Simplified Application Package

7. Justification for Sole Source

Contracts If contractual costs are included in the budget estimate and the contractor is (or will be) acquired without competition, the applicant must provide a justification for a sole source contract with copies/references to State statutes, regulations and policies that support the sole source decision.

B. Tier 2: Full-Scope Implementation Grant Applications To be considered complete, application packages for Tier 2 grants must include all information listed in the following table. Failure to provide any item on the list could result in your application being removed from competition.

Table 2 – Checklist for TIER 2 Full Application Package

Application Due Date (if funds remain available)

Maximum per Award

TIER 2

Application for Full-Scope

Implementation Grants

April 1, 2013

$1,000,000

Required Documents and Information Explanation

1. Tier 2: Full-Scope Implementation Grant Proposal Template (or similar format) – Appendix D

35-page limit for responses to Questions 1-22

Make sure pages are numbered

For Tier 2 implementation project proposal narrative to be considered complete, applicants must structure and develop their project proposal by completing the Cover Page and answering all questions in Appendix D: Tier 2 Full-Scope Implementation Grant Proposal Template & Instructions.

The template is designed to guide applicants in thinking through all aspects of proposed solutions, with particular emphasis on reducing risks associated with technology related aspects of their proposals prior to the grant award.

Applicants should address all questions in the order they are listed.

See Appendix A for link to OMB Cost Principles at 2 CFR 225.

2. Form SF-424 Application for Federal Assistance

Link to form at http://www.fns.usda.gov/cnd/grants.htm

3. Form SF-424A, Budget Information – Non-Construction Programs

Link to form at http://www.fns.usda.gov/cnd/grants.htm

4. Form SF-424B, Assurances – Non-Construction Programs

Link to form at http://www.fns.usda.gov/cnd/grants.htm

5. Form SF-LLL, Disclosure of Lobbying Activities

Link to form at http://www.fns.usda.gov/cnd/grants.htm http://www.fns.usda.gov/cnd/grants.htm http://www.fns.usda.gov/cnd/grants.htm

Table 2 – Checklist for TIER 2 Full Application Package

6. Indirect Cost Rate Agreement If Indirect Costs are included in the budget, applicants must provide a copy of their agency’s signed Indirect Cost Rate Agreement with a Federal agency.

7. Justification for Sole Source Contracts

If Contractual costs are included in budget estimate and the contractor is (or will be) acquired without competition, the applicant must provide a justification for a sole source contract with copies/references to State statutes, regulations and policies that support the sole source decision.

VII. APPLICATION FORMAT

Applications should meet the following formatting guidelines:

1. 12-page maximum length for Tier 1 grant narrative response to questions Appendix C;

2. 35-page maximum length for Tier 2 grant narrative response to Appendix D;

3. Page restrictions apply only to content of the narrative proposals (i.e., responses to questions in Appendix C and Appendix D, not including instructions and cover pages) and do not apply to other required forms and supporting documents, such as the SF-424, SF-424A, SF-424B, SF-LLL, indirect cost rate agreement, resumes, letters of support, and assurance forms);

4. 8 ½” by 11” paper;

5. 12 point Times New Roman or Arial font size (smaller font may be used in tables, charts and graphs as long as they are clearly readable);

6. Numbered pages.

VIII. APPLICATION REVIEW AND GRANT AWARD PROCESS

FNS will evaluate the applications in accordance with the criteria outlined in this section to select applications for awards. The actual number of awards will depend on the quality of the applications and the availability of funds. Funds will be made available via a Cooperative Agreement award document following the award announcements.

A. Initial Screening FNS will screen all applications to ensure they are eligible and fully responsive. Eligible and responsive applications are those that meet the following requirements:

1. Submitted by eligible applicants (see Section III, Who May Apply);

2. Submitted on or before the required deadline (see Section IV, Critical Dates and Award Periods);

3. Are complete (see Section VI, What to Include in the Application Package); and

4. Are in the required format (see Section VII, Application Format).

Ineligible or nonresponsive applications will be removed from further consideration for grant funds. Thereafter, FNS will review and consider eligible applications in accordance with the evaluation process described in the following paragraphs.

B. Panel Review After initial screening, FNS will convene an evaluation panel of FNS staff to consider the merit of each grant application. Each application that passes initial screening will be given to the panel to be evaluated as to how well it addresses each application component. The panel will determine if all questions are addressed adequately and identify any areas that need further clarification. If further clarification is needed to determine the merit of the application, FNS will notify the applicant in writing and describe any information that is needed to make the award decision. Applicants will be given an opportunity to provide additional information and documentation needed to clarify the proposal content.

1. Evaluation of Tier 1 Proposals (Simplified application for funding up to $150,000)

The panel review for Tier 1 applications will focus, at a minimum, on the following components:

• Project Purpose and Impact on Direct Certification

- The significance of the problem(s) to be addressed is clearly demonstrated and proposed activities are appropriate to address the problem(s) identified.

- The project goals and objectives are in line with the purpose of the funding described in Section I-B, Purpose of Grant Funding.

- The project activities to be completed during the grant period clearly support sustainable improvements that will likely increase direct certification rates with SNAP (and other public programs, if applicable). Proposed activities are in line with the examples given for Tier 1 projects in Section II-A, Tier 1: Limited- Scope Planning and Implementation Project.

• Project Timeline and Sustainability

- The scope and timeline proposed for the project are reasonable and attainable during the proposed grant time frame.

- The applicant demonstrates that the State agency has the capacity to implement and sustain the program improvements resulting from the grant activities after the Direct Certification Improvement Grant funding ends.

• Budget Plan

- The proposal includes a completed Form SF-424A.

- A line item budget narrative which demonstrates how funds will be spent, by, whom and for what purpose.

- The total funding amount requested is appropriate for the scope of the project;

- Proposed costs are reasonable, necessary, allowable and allocable to carry out the project's goals and objectives;

- The budget includes a line item description for every estimated cost and shows how it supports the project goals.

- Budget calculations and documentation show clearly how the budget components were developed and costs estimated.

- If indirect costs are included in the budget expenses, the applicant agency's Indirect Cost Rate Agreement with a Federal agency is provided and the indirect cost rate is applied correctly to allowable direct costs.

- If contractual costs are included in budget estimate and the contractor is (or will

be) acquired without competition, the applicant has provided strong justification for a sole source contract with copies/references to State statutes, regulations and policies that support the sole source decision.

- If applicable, the budget must show how the costs are allocated among the benefiting programs, and demonstrate that this grant is only going to fund its share.

- There should be adequate justification for budget costs based on current industry costs/standards. If necessary, information on costs should be obtained from applicable organizations or from online sources.

- The proposal is cost effective – it demonstrates that the anticipated results are commensurate with the cost of the project.

2. Evaluation of Tier 2 Proposals (Full application for funding up to $1,000,000) The panel review for Tier 2 applications will focus, at a minimum, on the following components:

• Project Purpose, Goals and Impact on Direct Certification

- The significance of the problem(s) to be addressed is clearly demonstrated and proposed implementation activities are appropriate to address the problem(s) identified.

- The project goals and objectives are in line with the purpose of the funding described in Section I-B, Purpose of Grant Funding.

- The project activities to be completed during the grant period clearly support sustainable improvements that will likely increase direct certification rates with SNAP (and other public programs, if applicable). Proposed activities are in line with the examples given for Tier 2 projects in Section II-B, Full-Scope Implementation Projects.

- The performance measures used to assess success are realistic, measureable and clearly defined.

• Project Planning, Design and Management

- The project organization, project management approach (including staffing, procurement of contractors, communications planning, quality assurance planning, risk management planning, system development lifecycle process planning where applicable, partnering with appropriate stakeholders, tracking timelines, measuring performance, monitoring progress, etc.) indicate that the applicant has the capacity to manage and execute the implementation project successfully to meet the goals of the project.

- The scope and timeline proposed for the project are reasonable and attainable during the grant time frame.

• Budget Plan

- The total funding amount requested is appropriate for the scope of the project;

- Proposed costs are reasonable, necessary, allowable and allocable to carry out the project's goals and objectives;

- The budget includes a line item description for every estimated cost and shows how it supports the project goals.

- Budget calculations and documentation show clearly how the budget components were developed and costs estimated.

- If indirect costs are included, the applicant agency's Indirect Cost Rate Agreement with a Federal agency is provided and the indirect cost rate is applied correctly to allowable direct costs.

- If contractual costs are included in budget estimate and the contractor is (or will

be) acquired without competition, the applicant has provided strong justification for a sole source contract with copies/references to State statutes, regulations and policies that support the sole source decision.

• Sustainability and Transferability

- The proposed implementation project is likely to produce outcomes and information that not only will aid the applicant State agency in accomplishing direct certification improvements, but also will produce knowledge that is transferable to other State agencies for similar improvement projects.

- The applicant demonstrates that the State agency has the capacity to implement and sustain the program improvements resulting from the grant activities after the Direct Certification Improvement Grant funding ends.

C. Selection for Awards Grant awards under this RFA will not be competitive as long as sufficient funding is available to fund all fully responsive applications. If sufficient funding is not available to award grants to all applicants, FNS reserves the right to give preference to applications from States with the lowest direct certification rates with SNAP, as reported in the 2012 Direct Certification Report to Congress. Preference also may be given based on the amount of grant funding already awarded to the applicant agencies for direct certification improvement purposes under the 2010 Direct Certification Grant RFA announced in July 2010 (see http://www.fns.usda.gov/cnd/Grants/Grants2012.htm).

The Selection Official has ultimate authority to decide which applications are approved and funded, and generally will adhere to the recommendations made by the reviewers, provided that funding is available. However, the Selection Official reserves the right to deviate from those http://www.fns.usda.gov/cnd/Grants/Grants2012.htm recommendations to take other factors into account when granting awards and/or not awarding a particular award. Other USDA or FNS priorities the Selection Official may consider include, but are not limited to: the innovation demonstrated in an application; agency priorities; and the evaluation by the technical review panel.

Note: FNS may request additional information from the grantee or require the grantee to complete additional forms at any time during the grant solicitation process.

D. Determination of Award Amounts As part of the technical review process, FNS will review applicants’ budgets to ensure that all costs are reasonable, necessary, allowable and allocable to the purposes of this RFA.

Applications selected and approved for funding with budgets that are realistic, well justified, and supported will likely be funded at the requested amounts. However, FNS reserves the right to fund applications out of rank order to achieve priorities identified earlier; or at lesser amounts if FNS determines that the project can be implemented with less funding; or at lesser amounts if Federal funding is not sufficient to fully fund all applications that merit awards. This is subject to availability of funds.

FNS will review and consider the merit of each grant application and reserves the right to fund only those applications that are able to demonstrate the applicant’s capability to improve their State’s direct certification processes and rates. Additionally, FNS may adjust the amounts requested in the application to ensure that funds are made available at appropriate levels. FNS also reserves the right to suspend or terminate an award for materially failing to perform in accordance with a State agency’s application.

IX. ADMINISTRATIVE REQUIREMENTS AND TERMS AND CONDITIONS

A. Administrative Requirements

The grant program will be awarded and administered in accordance with the following Federal and program regulations and the corresponding OMB Circulars.

Reporting Sub-award and Executive Compensation Information 2 CFR Part 170:

The Federal Funding Accountability and Transparency Act (FFATA) of 2006 (Public Law 109– 282), as amended by Section 6202 of Public Law 110–252 requires primary grantees of Federal grants and cooperative agreements to report information on sub-grantee obligations and executive compensation. FFATA promotes open government by enhancing the Federal Government’s accountability for its stewardship of public resources. This is accomplished by making Government information, particularly information on Federal spending, accessible to the general public. Primary grantees, including State agencies, are required to report actions taken on or after October 1, 2010, that obligates $25,000 or more in Federal grant funds to first- tier sub-grantees. This information must be reported in the Government-wide FFATA Sub-Award Reporting System (FSRS). In order to access FSRS a current CCR registration is required. A primary grantee and first-tier sub-grantees must also report total compensation for each of its five most highly compensated executives. Every primary and first-tier grantee must obtain a DUNS number prior to being eligible to receive a grant or sub-grant award.

Additional information will be provided to grant recipients upon award.

Reporting Sub-award and Executive Compensation Information 2 CFR Part 170:

The Federal Funding Accountability and Transparency Act (FFATA) of 2006 (Public Law 109–282), as amended by Section 6202 of Public Law 110–252 requires primary grantees of Federal grants and cooperative agreements to report information on sub-grantee obligations and executive compensation. FFATA promotes open government by enhancing the Federal Government’s accountability for its stewardship of public resources. This is accomplished by making Government information, particularly information on Federal spending, accessible to the general public. Primary grantees, including State agencies, are required to report actions taken on or after October 1, 2010, that obligates $25,000 or more in Federal grant funds to first- tier sub-grantees. This information must be reported in the Government-wide FFATA Sub-Award Reporting System (FSRS). In order to access FSRS a current CCR registration is required. A primary grantee and first-tier sub-grantees must also report total compensation for each of its five most highly compensated executives. Every primary and first-tier grantee must obtain a DUNS number prior to being eligible to receive a grant or sub-grant award.

Additional information will be provided to grant recipients upon award

Duncan Hunter National Defense Authorization Act of…