nat'l background ck eighth solicitation final.pdf

Department of Health and Human Services

Centers for Medicare & Medicaid Services

Center for Clinical Standards and Quality / Survey & Certification Group

Nationwide Program for National and State Background Checks for

Direct Patient Access Employees of Long-Term Care Facilities and Providers

Eighth Announcement CFDA # 93.506

Funding Opportunity Number: CMS-1A1-13-001

Applications will be accepted on a flow basis and acted on as they are received

All Applications must be received by: January 31, 2013

Background Check Questions and Answers Available at:

https://www.cms.gov/SurveyCertificationGenInfo/Downloads/backgroundcheckqanda.pdf

November 2012 https://www.cms.gov/SurveyCertificationGenInfo/Downloads/backgroundcheckqanda.pdf

TABLE OF CONTENTS

CHAPTER PAGE

Executive Summary 3

Timetable 4

I. Funding Opportunity Description 5

II. Award Information 6

III. Eligibility Information 7

IV. Application and Submission Criteria 8

V. Application Review Information 15

VI. Award Administration Information 18

VII. Agency Contact 21

APPENDICES

Appendix 1 - Statutory Provisions, Section 6201 of the Affordable Care Act of 2010

Appendix 2 - Notice of Intent to Apply

Appendix 3 - Program Narrative Requirements/Components of a Background Check

Program

Appendix 4 - Sample Work Plan and Timeline

Appendix 5 - Sample Flow Diagram

Appendix 6 - Sample Budget Forms

Appendix 7 - Section 307 of the Medicare Prescription Drug, Improvement and Modernization

Act of 2003

Appendix 8 - Definitions Applicable to this Solicitation

Appendix 9 - Resource Information Related to Non-Federal Match Appendix 10 -

Application Submission Checklist

EXECUTIVE SUMMARY

The Centers for Medicare & Medicaid Services (CMS) is inviting proposals from States and U.S.

territories to be considered for inclusion in the legislatively mandated National Background

Check Program.

CMS is conducting a nationwide program that will identify efficient, effective and economical procedures for long-term care facilities and providers to conduct background checks on prospective direct patient/resident access employees. Eligible facilities and providers include skilled nursing facilities, nursing facilities, home health agencies, hospice care providers, long-term care hospitals, personal care service providers, adult day care providers, residential care providers, assisted living facilities, intermediate care facilities for mentally retarded disabled

(ICFs/MR), and other entities that provide long-term care services, as specified by each participating State.

The State Office of the Governor, State Medicaid Agency, or the State Survey Agency may apply for funding under this grant opportunity. CMS will accept only one application per State;

therefore we encourage State offices and agencies to work collaboratively to develop one application packet when deemed appropriate. If more than one application is received for one

State, CMS reserves the right to determine which application to select. State Notices of Intent to

Apply and complete Grant Applications due dates are listed in the timetable on page 4 of this document. Successful applicants will receive a Notice of Award (NOA) signed and dated by the

CMS Grant Management Officer via the U.S. Postal Service approximately 60 days after each application review period. Grantees will receive funding through a 36-month project/budget period.

In order to participate in this nationwide program, a State must guarantee that it will make available non-Federal funds to cover a portion of the cost to be incurred by the State to carry out the Program in their State. The participating State must make available non-Federal contributions as a condition of receiving the Federal match under this Agreement. CMS will provide Federal grant funds to each newly participating State that enters into this Agreement with

CMS at a rate which will be three times the amount that the State guarantees, not to exceed $3 million dollars in Federal funds from the beginning of the award period through a 36-month project/budget period. CMS will provide Federal grant funds to each previously participating

State that enters into this agreement with CMS at a rate that will be three times the amount that the State guarantees, not to exceed $1.5 million dollars in Federal funds from the beginning of the award period through a 36-month project/budget period.

This grant is not competitive. All applying States submitting an application that is scored by the

Federal technical evaluation panel at 70.2 out of the possible 101 points or greater shall receive a grant. Applications that score below 70.2 points will not be included as grantees. In addition to the minimum score, all applicants must meet all statutory requirements as described in section

6201 of the Patient Protection and Affordable Care Act (Affordable Care Act).

TIMETABLE

MILESTONE DATE

Letter of Intent Requested to CMS Not Required

Grant Applications Due to CMS Applications will be reviewed as they are received.

Final Date to Apply:

January 31, 2013

Grant Awards – Successful applicants will receive a Notice of Award (NOA) signed and dated by the CMS Grants

Management Officer, Office of Acquisition and Grants

Management. The Notice Of Award will be sent through the

U.S. Postal Service.

Approximately 60 days after each application review period.

I. FUNDING OPPORTUNITY DESCRIPTION

1. Introduction

Title VI, Subtitle B, Part III, Subtitle C, section 6201 of the Affordable Care Act directs the Secretary of Health and Human Services (HHS) to establish a nationwide program to identify efficient, effective, and economical procedures for long-term care facilities and providers to conduct background checks on a statewide basis on all prospective direct patient access employees. A copy of Section 6201 of the Affordable Care Act of 2010 is included as Appendix 1.

CMS is inviting proposals from all States and U.S. territories to be considered for inclusion in this National Background Check Program. Only States that did not apply for full funding may apply during this solicitation. Federal matching funds are available to all States and U.S. territories that meet the requirements described in section 6201 of the

Affordable Care Act and that provide an application that is scored at 70.2 out of a possible 101 points by the Federal review panel. The national program will be evaluated by the HHS Office of Inspector General (OIG). CMS has awarded a technical support contract to support the States that are selected to participate in the program. This program announcement provides States information concerning application procedures, policy considerations, and criteria to be used in reviewing applications and selecting

States.

2. Background

Since the Omnibus Budget Reconciliation Act passed in 1987, long-term care patient abuse, neglect, and misappropriation of funds have been identified as a widespread problem for millions of Americans receiving long-term care services. Protecting this vulnerable population continues to be a national challenge. Over the years Congress has initiated several measures to address this challenge. CMS established regulations that prohibit long-term care facilities and providers from employing individuals found guilty of abuse, neglect, or misappropriation of patient funds. In 1998 Congress enacted Public

Law 105-277 which allows long-term care facilities to request the Federal Bureau of

Investigation (FBI) search its fingerprint database for criminal history matches. During

2003-2007 CMS piloted a program to evaluate the effectiveness of conducting background checks on prospective employees of long-term care facilities and providers who had direct access to patients. The pilot supported the importance of background screening which included fingerprinting for individuals who have direct access to patients of nursing facilities, skilled nursing facilities, home health agencies, hospice care providers, long-term care hospitals, long-term care residential care providers (including assisted living facilities), personal care services providers, adult day care services providers, intermediate care facilities for mentally retarded individuals with disabilities, and all other long-term care providers. The pilot evaluation final report can be found at:

https://www.cms.gov/reports/downloads/White8-2008.pdf https://www.cms.gov/reports/downloads/White8-2008.pdf

3. Key Requirements for State Participation in the National Background Check

Program

The specific requirements that applicant States must meet are in accordance with the legislative language and can be found in their entirety in Appendix 1 of this document.

Participating States must guarantee non-Federal funds to cover a portion of the cost to conduct the program in their State. CMS will provide a three-to-one match for State funds to each grantee. The participating State must require fingerprint checks as part of the criminal background check for all direct patient access employees. The participating

State must have a plan to implement the program (a) statewide and (b) in all long-term care entities specified in section 6201 of the Affordable Care Act. States may phase-in the program over a multi-year period, and the phase-in may be accomplished by geographical location, provider type, or other factors determined by the State. NOTE:

Key provider types identified by CMS must be phased-in by the time periods identified in section B.3 of Appendix 3 of this solicitation.

Participating States must ensure background checks include checks of State criminal history records for all relevant States, and the records of any proceedings that may contain disqualifying information (such as licensing and disciplinary boards and State

Medicaid Fraud Control Units). According to the stipulations in section 6201, the participating State must require providers to search the abuse registries of all known

States in which the employee lived. The background checks must include FBI fingerprint checks. The State must describe and test methods to reduce duplication of fingerprinting including ―rap back‖ capabilities which will include a provision for State law enforcement departments to immediately inform the State of any criminal offenses by the employee that occur following the pre-employment background check. The ―rap back‖ provision requires the State to immediately notify the provider when law enforcement notifies the State that an employee is convicted after the pre-employment background check. Participating States must have a procedure for (1) monitoring provider compliance with the National Background Check Program; (2) providing privacy and security safeguards; and (3) providing an independent dispute/appeal process.

II. AWARD INFORMATION

Funding for this Program shall become effective upon CMS‘ approval of grant applications. Grants will be awarded to every State that meets the terms of agreement as described in this solicitation. This includes submission of an application that meets all provisions of the Law and scores at least 70.2 out of 101 possible points from the Federal technical panel review. Grant funding will commence within 60 days from the NOA.

The estimated total amount available for all awards is approximately $140 million.

Individual State grant funding will range between $1.5million and $3 million. The anticipated number of awards combined from all solicitations is up to 54 and the expected duration of support is up to 3 years. States will have 36 months from the grant period start date to implement their program. Although CMS will fully fund grant awards under this program, CMS shall impose drawdown restrictions, as necessary to ensure State program pre-approved milestones are met.

III. ELIGIBILITY INFORMATION

1. Eligible Applicants

States may apply for funding under this grant opportunity. By ―State‖ we refer to the definition provided under 45 CFR 74.2 as ―any of the several States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory or possession of the United States, or any agency or instrumentality of a State exclusive of local governments.‖ By ―territory or possession‖ we mean Guam, the U.S. Virgin Islands, American Samoa, and the Commonwealth of the Northern Mariana Islands. A State‘s

Office of the Governor, State Medicaid Agency, or State Survey Agency may apply for funding under this grant opportunity. Any previously-awarded State that received less than the maximum permitted may at any time request an increase up to the maximum allowed by law provided that (a) the State submits a proposed modification to their plan that details and justifies the increase, (b) the State provides the requisite matching funds from acceptable sources, (c) CMS will evaluate the proposals on a flow basis; and (d)

CMS reserves the right to fund less than requested.

2. Federally Matched Funding and State Guarantee Requirements

The National Background Check Program legislation mandates States must guarantee they will make available non-Federal funds to cover a portion of the cost to be incurred to carry out the background check program in their State. State funding may be from any source; such as State funds, local funds, bona-fide donations, or health care-related taxes that qualify as permissible sources of the non-Federal share in order to obtain Federal

Medicaid matching funds. Funding requirements are specified in 42 CFR 433 subpart B, except that sections 42 CFR 433.53(b) and §433.70 will not apply to this background check program. For example, any provider-related donations must be determined to be bona fide in accordance with Section 1903(w)(2) of the Social Security Act and 42 CFR

433.54. CMS reserves the right to grant exceptions to the limitations on non-Federal share sources if the agency determines it is in the best interest of the public. Please refer to Appendix 9 for more details.

CMS will provide Federal grant funds to each newly participating State that enters into this agreement with CMS at a rate that will be three times the amount that the State guarantees, not to exceed $3 million dollars in Federal grant funds for the 36-month award period starting with the grant period start date. Due to grants beginning on a flow basis, grant funding and grant period start dates will vary. States that participated in the pilot background check program under Section 307 of the Medicare Modernization Act, and are now entering into this agreement with CMS will receive Federal grant funds at a rate that will be three times the amount that the State guarantees not to exceed $1.5 million dollars.

3. Foreign and international organizations are not eligible to apply under this solicitation.

4. Faith based organizations are not eligible to apply under this solicitation.

IV. APPLICATION AND SUBMISSION CRITERIA

1. Address to Request Application Package

An electronic application package for this program announcement is available at www.grants.gov. Applicants may request an application package by sending an email to

Background_Checks@cms.hhs.gov. Please be sure to include the name, mailing address and phone number of a contact person for the agency requesting an application. Please note that only one application request will be accepted per State.

NOTE: All applications must be electronically submitted to CMS through www.grants.gov.

2. Content and Form of Application Submission

Each application must include all contents described below, in the order indicated, and in conformance with the following specifications:

Use 8.5 x 11‖ pages with 1‖ top, bottom and side margins;

Font not smaller than 12-point and an average character density not greater than 14 characters per inch;

Abstract may be single-spaced but no more than one page;

Double-space (no more than 3 lines per vertical inch);

Paginate all pages of the narrative; and

The Program Narrative portion of the application is limited to 40 pages*.

*The following items are not included in the Program Narrative portion of the application and, therefore, they do not count toward the total page limit:

http://www.grants.gov/

Applicant‘s Title Page and Cover Letter;

Standard Forms from the Application Forms Kit;

Letters of Agreement and Endorsement;

Program Abstract;

Budget Narrative/Justification and resources;

Budget Forms; and

Appendices.

(a) Required Content of the Application

A complete proposal consists of the following materials organized in the listing sequence indicated (see Appendix 10 for an application submission checklist).

Applicant‘s Title Page and Cover Letter

Standard Forms from the Grant Application Package

A letter of endorsement from the Governor or State Survey Agency

Director, etc.

Program Abstract

Program Narrative (see Appendix 3 for content)

Budget Narrative/Justification

Budget Forms

Required Appendices

Attachments (e.g., Letters of Agreement and Support)

Applicant’s Title Page and Cover Letter

A letter from the applicant identifying the Agency serving as the lead organization, indicating the title of the program, the principal contact person, amount of funding requested, and the names of all other State entities involved in the design, implementation of the program, and a point of contact for each. The letter should indicate that the submitting Agency has clear authority to oversee and coordinate the proposed activities and is capable of convening a suitable working group of all relevant partners.

Standard Forms from the Grant Application Package

The following standard forms must be completed with an original (blue ink) signature and enclosed as part of the proposal.

Grant Application Package

SF 424: Application for Federal Assistance

SF 424A: Budget Information

SF 424B: Assurances – Non-Construction Programs

SF LLL: Disclosure of Lobbying Activities

Additional Assurances and Certifications

Key Contacts

Copies of grant application forms can be obtain directly from the CMS Web site at: http://www.cms.hhs.gov/GrantOpportunities

Letters of Endorsement and Support

CMS advises all applicants to include a limited number of additional letters of support from key stakeholders. These letters will not be counted toward the narrative‘s page limitation and should be included as attachments.

Program Abstract

The one-page abstract should serve as a succinct description of the proposed program and should include:

The overall goals of the program;

A description of how the grant will be used; and

Budget allocations as follows:

o Total budget for 36-month project/budget period o Total Federal funds requested

Program Narrative

The program narrative should (1) Provide a concise and complete description of the proposed program; (2) Contain all information necessary for the review panelists to fully understand the proposed program; (3) Address the components of a background check program, (current infrastructure, use of grant funds, work products and timeline and staffing); and (4) Application narrative must not exceed

40 pages. See Appendix 3 for a detailed description of information that should be included in the program narrative.

Budget Narrative/Justification and Resources

The designated lead agency is solely responsible for the fiscal management of the program, and as such is responsible for providing the narrative/justification as well as aggregate numbers for the budget recorded on Standard Form 424 (SF

424). Application for Federal Assistance, must include allocations for each set of proposed activities and tasks. Additionally, allocations should distinguish the proportion of grant funding designated for each grant activity and task.

The budget must clearly delineate funds which will be administered directly by the lead agency and funds which will be subcontracted to other partners. The

State‘s application must specifically identify the amount and source of projected http://www.cms.hhs.gov/GrantOpportunities funding to meet the non-financial recipient contribution that is identified in Item

15 (Estimated Funding) on SF 424.

All grantee States are required to attend annual CMS sponsored meetings or conferences, at a location to be determined. Grantee States‘ budgets must include funding for at least three people to attend a three day CMS-sponsored conference following all grant award notifications.

Budget Forms

Include the following as distinct line items on the budget forms that will accompany State proposals:

Management Staffing Expenses

Other Staffing Expenses

Cost for Fingerprint Collection

Fees for Fingerprint Searches ( distinguish FBI fees from State fees)

Fees for Registry Searches (if any)

Identify and justify fees paid to other agencies in addition to those previously identified

Information Systems Software Costs

Information Systems Hardware Costs

Sample Budget Forms can be found in Appendix 6 of this solicitation.

Required Appendices

Key Staff Qualifications: Include a brief biographical sketch or resume of key staff describing their qualifications.

Visual Map or Diagram: Include a flow diagram or process map of the current background check process in use (if any), and a revised flow diagram that is illustrative of how the Program will function. A sample Flow

Diagram is located in Appendix 5 of this document.

(b) Notices of Intent

States are encouraged to submit a non-binding Notice of Intent to Apply (template letter is located in Appendix 2) however, a Notice of Intent to Apply is not required.

Submission or failure to submit a Notice of Intent to Apply has no bearing on the scoring of proposals. The receipt of notices enables CMS to better plan the application review process. Notices of Intent to Apply are requested as specified in the timetable, and should be emailed to: Background_Checks@cms.hhs.gov mailto:Background_Checks@cms.hhs.gov

(d) Matching Requirement – Non-Federal Funds

Federal legislation stipulates for States to participate in this nationwide program, the

State must guarantee that it will make available non-Federal funds to cover a portion of the cost to be incurred to carry out the background check program in its State. Funds may either be provided directly through State revenues (including provider taxes or certification fees) or through donations. All donations must be in accordance with section 1903(w)(2) of the Social Security Act 42 CFR 433.54. Note: Applicant fees may not be charged to persons participating in a Medicaid program who self-direct their own care, or to the applicants of such self-directed care employers. CMS will provide matched funding to each newly participating State that enters into this Agreement with

CMS. Matched funding will be three times the amount the State guarantees not to exceed

$3 million dollars.

CMS will provide matched funding to each previously participating State that conducted their statewide Background Check Program. CMS‘ matching funds will be three times the amount the State guarantees not to exceed $1.5 million dollars. Appendix 9 of this document contains additional information with regard to non-Federal sources of funds.

(e) Indirect Cost Rate Agreement (if applicable)

If indirect costs are included in the budget, a copy of the approved Indirect Cost Rate

Agreement must be submitted with the application or may be uploaded in Grants.gov as an attachment. Failure to include the approved Indirect Cost Rate Agreement will result in ten percent of indirect costs of salary/wages only.

3. Submission Dates and Times

All grant applications must be submitted electronically and are due on the date specified in the timetable. Applications received through http://www.grants.gov until 3:00 p.m., Eastern Time on the date specified in the timetable will be considered on time. All applications will receive an automatic time stamp upon submission and applicants will receive an automatic e-mail reply acknowledging the application‘s receipt.

Note: Grants.gov may take up to 2 days to validate your application as accepted or rejected.

Electronic applications that do not meet the above criteria will be considered late. Late applications will not be reviewed. Applications submitted by facsimile (fax) transmission, email or postal mail will not be accepted.

Letters of Intent are due on the date specified in the timetable and should be emailed to

Background_Checks@cms.hhs.gov mailto:Background_Checks@cms.hhs.gov

4. Intergovernmental Review

This grant is not subject to Executive Order 12372 concerning ―Intergovernmental

Review of Federal Programs‖.

5. Funding Restrictions

(a) Grant funds may be used for any of the following:

Costs of data collection and transmission, which may include the costs of dedicated computers, software, necessary IT support, and data transmission costs as they relate to the National Background Check Program.

Costs of electronic fingerprint collection and transmittal systems.

Costs of rap-back systems that reduce the need for repeated full background checks of individuals by providers.

Personnel costs, which may include program support staff and contracts for collaboration with staff working in the long-term care industry and/or consultants with expertise in background investigation and tracking. Please note the program must include a lead point of contact and program manager for the State, whose salary may or may not be paid through the use of grant funds.

Travel costs as they pertain to the administration and implementation of the grant.

Examples of allowable travel costs may include costs associated with data collection and program implementation with rural providers and travel to the CMS Background

Check conferences. Federal travel regulations and cost limits will govern reimbursement for travel expenditures. Travel costs should be built into the State‘s budget application.

Direct costs of conducting background checks (e.g., fees paid to law enforcement).

State funds used in an existing program may be used as the State matching funds required in this solicitation provided the increased Federal funds provide for reasonable expansion and improvement of the background check program.

Proposals that include an existing program without reasonable expansion or improvement will not be approved.

Training costs for State agencies, providers and human resources personnel participating in the implementation of the National Background Check Program

Training costs must be specified with detail in the grant budget.

Indirect and overhead costs will be allowed at the State‘s approved rate.

(b) Grant funds may not be used for any of the following:

To provide direct services to individuals except as explicitly permitted under the grant solicitation.

To match any other Federal funds.

To provide services, equipment, or supports that are already the legal responsibility of another party under Federal law (e.g., Nurse Aid Registry for the job categories currently required) or under any Federal civil rights laws. Such legal responsibilities include, but are not limited to, modifications of a workplace or other reasonable accommodations that are a specific obligation of the employer or other party.

To provide infrastructure for which Federal Medicaid matching funds are available at the 90/10 matching rate, such as certain Medicaid Management Information System improvements.

6. Submission Requirements

Submitting the Electronic Application Package This solicitation serves as the application package for this grant and contains all the instructions that a potential applicant requires to apply for grant funding. The application should be written primarily as a narrative with the addition of standard forms required by the Federal government for all grants. Applicants are required by HHS to submit their applications in the form of a complete electronic application package, including all required forms, to http://www.grants.gov.

For assistance with Grants.gov, contact support@grants.gov or call 1-800-518-4726. The solicitation can also be viewed on the CMS website at www.insurekidsnow.gov/professionals/outreach/grantees.

Standard application forms and related instructions may also be requested from http://www.grants.gov OR by email from Paul Schimmel, at

OAGMGrantsBaltimore@cms.hhs.gov.

Specific instructions for applications submitted via http://www.grants.gov:

• You can access the electronic application for this project at http://www.grants.gov. You must search the downloadable application page by the CFDA number shown on the cover page of this announcement.

• At the http://www.grants.gov website, you will find information about submitting an application electronically through the site, including the hours of operation. HHS strongly recommends that you do not wait until the application due date to begin the application process through http://www.grants.gov because of the time needed to complete the required registration steps. All applicants under this announcement must have an Employer Identification Number (EIN) to apply. Please note, the time needed to complete the EIN registration process can be substantial, and applicants should therefore begin the process of obtaining an EIN immediately mailto:support@grants.gov http://www.grants.gov/ http://www.grants.gov/ http://www.grants.gov/ upon posting of this FOA to ensure the EIN is received in advance of application deadlines.

• All applicants, as well as sub-recipients, must have a Dun and Bradstreet (D&B) Data

Universal Numbering System (DUNS) number at the time of application in order to be considered for a grant or cooperative agreement. A DUNS number is required whether an applicant is submitting a paper application (only applicable if a waiver is granted) or using the Government-wide electronic portal, www.grants.gov. The DUNS number is a nine-digit identification number that uniquely identifies business entities. Obtaining a DUNS number is easy and free. To obtain a DUNS number, access the following website:

www.dunandbradstreet.com or call 1-866-705-5711. This number should be entered in the block with the applicant's name and address on the cover page of the application (Item 8c on the Form SF 424, Application for Federal Assistance). The name and address in the application should be exactly as given for the DUNS number. Applicants should obtain this DUNS number as soon as possible after the announcement is posted to ensure all registration steps are completed in time.

• System for Award Management (SAM)

The applicant must also register in the System for Award management (SAM)* database in order to be able to submit the application (www.sam.gov) Information about SAM is available at https://www.sam.gov/portal/public/SAM/. Registering an account with SAM is a separate process from submitting an application. Applicants are encouraged to register early. Therefore, registration should be completed in sufficient time to ensure that it does not impair your ability to meet required submission deadlines.

*Applicants were previously required to register with the CCR. However, SAM has integrated the CCR and 7 other Federal procurement systems into a new, streamlined system. If an applicant has an active record in CCR, there will be an active record in

SAM. Nothing more is needed unless a change in the business circumstances requires updates to the Entity record(s) in order for the applicant to be paid, receive an award, or to renew the Entity prior to expiration. Please consult the SAM website listed above for additional information.

• Authorized Organizational Representative: The Authorized Organizational Representative

(AOR) who will officially submit an application on behalf of the organization must register with Grants.gov for a username and password. AORs must complete a profile with

Grants.gov using their organization‘s DUNS Number to obtain their username and password, at http://grants.gov/applicants/get_registered.jsp. AORs must wait at least one business day after registration in before entering their profiles in Grants.gov. Applicants should complete this process as soon as possible after successful registration in SAM to ensure this step is completed in time to apply before application deadlines.

When an AOR registers with Grants.gov to submit applications on behalf of an organization, that organization‘s E-Biz point-of-contact will receive an e-mail notification. The e-mail address provided in the profile will be the e-mail used to send the notification from Grants.gov to the E-Biz POC with the AOR copied on the http://www.grants.gov/ http://www.dunandbradstreet.com/ http://grants.gov/applicants/get_registered.jsp correspondence.

The E-Biz POC must then login to Grants.gov (using the organization‘s DUNS number for the username and the special password called ―M-PIN‖) and approve the

AOR, thereby providing permission to submit applications.

The AOR and the DUNS must match. If your organization has more than one DUNS number, be sure you have the correct AOR for your application.

• Any files uploaded or attached to the Grants.Gov application must be PDF file format and must contain a valid file format extension in the filename. Even though Grants.gov allows applicants to attach any file format as part of their application, CMS restricts this practice and only accepts PDF file formats. Any file submitted as part of the Grants.gov application that is not in a PDF file format, or contains password protection, will not be accepted for processing and will be excluded from the application during the review process. In addition, the use of compressed file formats such as ZIP, RAR, or Adobe Portfolio will not be accepted. The application must be submitted in a file format that can easily be copied and read by reviewers.

It is recommended that scanned copies not be submitted through Grants.gov unless the applicant confirms the clarity of the documents. Pages cannot be reduced in size, resulting in multiple pages on a single sheet, to avoid exceeding the page limitation. All documents that do not conform to the above constraints will be excluded from the application materials during the review process.

• Prior to application submission, Microsoft Vista and Office 2007 users should review the

Grants.gov compatibility information and submission instructions provided at http://www.grants.gov. Click on ―Vista and Microsoft Office 2007 Compatibility

Information.‖

• After you electronically submit your application, you will receive an automatic email from http://www.grants.gov that contains a Grants.gov tracking number. Please be aware that this notice does not guarantee that the application will be accepted by Grants.gov.

Rather, this email is only an acknowledgement of receipt of the application by

Grants.gov.

All applications must be validated by Grants.gov before they will be accepted. Please note, applicants may incur a time delay before they receive acknowledgement that the application has been validated and accepted by the Grants.gov system. In some cases, the validation process could take up to 48 hours. If for some reason the application is not accepted, then the applicant will receive a subsequent notice from Grants.gov indicating that the application submission has been rejected.

Applicants should not wait until the application deadline to apply because notification by Grants.gov that the application is incomplete may not be received until close to or after the application deadline, eliminating the opportunity to correct errors and resubmit the application. Applications submitted after the deadline because the original submission failed validation and is therefore rejected by Grants.gov, as a result of errors on the part of the applicant, will not be accepted by CMS and/or granted a waiver. For this reason, CMS recommends that applicants apply in advance of the application due date and time.

o The most common reasons why an application fails the validation process and is rejected by Grants.gov are:

SAM/CCR registration cannot be located and validated

SAM/CCR registration has expired

The AOR is not authorized by the E-Biz POC to submit an application on behalf of the organization

File attachments do not comply with the Grants.gov file attachment requirements.

• HHS retrieves applications from Grants.gov only after Grants.gov validates and accepts the applications. Applications that fail validation and are rejected by Grants.gov are not retrieved by HHS, and HHS will not have access to rejected applications.

• After HHS retrieves your application from Grants.gov, you will receive an email notification from Grants.gov stating that the agency has received your application and once the receipt is processed, you will receive another email notification from Grants.gov citing the Agency Tracking Number that has been assigned to your application. It is important for applicants to keep these notifications and know the Grants.gov Tracking Number and

Agency Tracking Numbers associated with their application submission.

• Each year organizations and entities registered to apply for Federal grants and cooperative agreements through http://www.grants.gov will need to renew their registration with SAM. You can register online. Failure to renew registration prior to application submission will prevent an applicant from successfully applying.

Applications cannot be accepted through any email address. Full applications can only be accepted through http://www.grants.gov. Full applications cannot be received via paper mail, courier, or delivery service, unless a waiver is granted per the instructions below.

All applications for the awards must be submitted electronically and be received through http://www.grants.gov by January 31, 2013 at 3:00 p.m. Eastern time.

All applications will receive an automatic time stamp upon submission and state applicants will receive an e-mail reply acknowledging the application‘s receipt.

To be considered timely, applications must be received in Grants.gov on or before the published deadline date and time. However, a general extension of a published application deadline that affects all applicants or only those applicants in a defined geographical area may be authorized by circumstances that affect the public at large, such as natural disasters (e.g.

floods or hurricanes) or disruptions of electronic (e.g., application receipt services) or other http://www.grants.gov/ services, such as a prolonged blackout.

The applicant must seek a waiver at least ten days prior to the application deadline in order to submit a paper application. Applicants that receive a waiver to submit paper application documents must follow the rules and timelines that are noted below.

In order to be considered for a waiver application, an applicant must have adhered to the timelines for obtaining a DUNS number, registering with the System for Award Management

(SAM), registering as an Authorized Organizational Representative (AOR), obtaining an

Employer Identification Number (EIN), and completing Grants.gov registration, and must have requested timely assistance with technical problems. Applicants who do not adhere to timelines and/or do not demonstrate timely action with regards to these steps will not be considered for waivers based on the inability to receive this information in advance of application deadlines.

Please be aware of the following:

1) Search for the application package in Grants.gov by entering the CFDA number.

This number is shown on the cover page of this announcement.

2) If you experience technical challenges while submitting your application electronically, please contact Grants.gov Support directly at: www.grants.gov/customersupport or

(800) 518-4726. Customer Support is available to address questions 24 hours a day, 7 days a week (except on Federal holidays). CMS encourages applicants not to wait until close to the due date to submit the application.

3) Upon contacting Grants.gov, obtain a tracking number as proof of contact. The tracking number is helpful if there are technical issues that cannot be resolved and a waiver from the agency must be obtained.

4) If it is determined that a waiver is needed from the requirement to submit your proposal electronically, you must submit a request in writing (e-mails are acceptable) to

Paul.Schimmel@cms.hhs.gov with a clear justification for the need to deviate from our standard electronic submission process.

5) If the waiver is approved, the application should be sent directly to the Division of

Grants Management and received by the application due date.

Grants.gov complies with Section 508 of the Rehabilitation Act of 1973. If an individual uses assistive technology and is unable to access any material on the site, including forms contained with an application package, he or she can e-mail the Grants.gov contact center at support@grants.gov for help, or call 1-800-518-4726.

Submit Your Application Early. CMS strongly encourages applicants to submit well before the closing date and time so that if your application is rejected due to errors, an applicant will have time to correct the errors and/or to solicit help from Grants.gov. Please note: Validation or http://www.grants.gov/customersupport mailto:support@grants.gov rejection of your application by Grants.gov may take up to 2 business days after submission.

Please consider this in developing your submission timeline.

For issues including, but not limited to, downloading the application, retrieving your password, or error messages, please contact grants.gov directly at 1-800-518-4726 or support@grants.gov.

Hours of Operation: 24 hours a day, 7 days a week, closed on Federal Holidays. Please have the following information available when contacting grants.gov to help expedite your inquiry:

Funding Opportunity Number (FON)

Name of Agency to Which You Are Applying

Specific Area of Concern

Please do not contact CMS regarding Grants.gov related issues.

You can visit the following website: http://www07.grants.gov/applicants/app_help_reso.jsp for additional resources.

V. APPLICATION REVIEW INFORMATION

1. Criteria

CMS uses the following criteria to evaluate all applications for inclusion in the Program. Only

States whose application is scored at 70.2 out of a possible 101 points or greater will be accepted as grantees. In addition to the minimum score all applicants must meet all statutory requirements as described in section 6201 of the Affordable Care Act.

The total score for the criteria below is 101 points.

(a) Background and Areas for Improvement or Expansion of Current Program

(10 Points)

1. The application evidences a clear, comprehensive description of the current system in the State to conduct background screening for health care employees.

2. The application evidences the strengths and weaknesses of the current system, and identifies opportunities for improvement of the current system, explaining why such changes are important.

(b) Goals/Objectives (3 points)

1. The application evidences clear goals and objectives that relate in a meaningful way to the issues and opportunities identified in the immediate preceding section.

2. The application evidences goals and objectives that are reasonable and will be effective in accomplishing the purpose of the grant.

https://owa.hhs.gov/owa/redir.aspx?C=737ed0517c6b4c20bde23a7004c0284c&URL=mailto%3asupport%40grants.gov http://www07.grants.gov/applicants/app_help_reso.jsp

3. The application addresses how the background check process will not create barriers to job application that significantly reduce the available workforce for direct patient access positions.

(c) Components and Methodology of the Background Check Program (38 points)

1. The application reflects a strong understanding of the scope, complexity and required components of a background check program.

2. The application fully addresses each component of the background check program and represents a sufficiently substantive undertaking in terms of design and scope;

that the proposal is likely, together with accepted applications of other States, to test the major hypotheses for this national program.

3. The application fully incorporates provisions for ―rap back‖ capability by the State.

4. The application evidences effective uses of technology and other approaches that are effective in ―low tech‖ environments.

5. The methodology and design of the State program is coherent and well-conceived.

(d) Work Plan and Flowchart (5 points)

1. The application includes a work plan that documents: goals and objectives, reasonable benchmarks, milestones, timeframes, measurable outcomes and products;

and identifies the responsible parties to accomplish the goals of the program. As a tool to assist applicants in developing their proposal and to facilitate CMS‘ review panel process, CMS recommends applicants use the Sample Work Plan and Timeline

(see Appendix 4) to formulate their Work Plan.

2. The application includes a work flow diagram or process map of the current background check process in use (if any), and a revised flow diagram that is illustrative of how the Program will function. A sample Flow Diagram can be found in Appendix 5.

(e) Key Personnel (5 points)

1. The application evidences that key program staff are qualified and possess the experience and skills necessary to design, implement and evaluate the program within the available timeframe.

2. The application evidences a single point of contact for the program known as the

Principal Investigator (PI) or Project Director (PD), and that person will be available and dedicated to the effort. The PI/PD must be clearly identified in the application.

3. The application evidences that key program staff have direct professional experience with conducting or overseeing a background check program.

(f) Collaboration among State Agencies (10 Points)

1. The application evidences collaboration and coordination amongst State entities

(e.g., State survey agency, State law enforcement agencies, single State Medicaid agency, etc.) that will be required for a successful Program.

(g) Involvement of Providers and Stakeholders (10 Points)

1. The application evidences the involvement of consumer and provider interest groups in the design and implementation of the national program.

2. Describes partnerships with public and private organizations that possess expertise in workforce issues pertaining to direct patient access workers in long-term care facilities or providers.

3. Promotes partnerships with public and private organizations that represent people of any age who receive long-term care services.

(h) Budget Narrative/Justification and Resources (20 Points)

1. The application evidences a reasonable and detailed budget.

2. The application evidences budgeted costs that are reasonable in relation to the proposed objectives, design, and significance.

3. The application evidences that the budget follows the requirements stated in the program announcement and specifically does not use grant funds to supplant existing funds.

4. The budget demonstrates a logical interface between current resources and the anticipated grant funding.

2. Review and Selection Process

The review and selection process occurs in two parts. Upon timely receipt by CMS, all applications will be screened to assure that the application is complete. Applicants may be requested to provide additional information during the review process.

A panel of Federal experts will conduct the application reviews. The panelists will review the applications to determine if the proposed Background Check Program meets the requirements of the solicitation. Panelists will score the applications based on the review criteria set forth in

Section V of this document. Applications not attaining a minimum score of 70.2 out of a possible 101 points will be considered unacceptable.

Final award decisions will be made by the Director of the Survey and Certification Group, within the Office of Clinical Standards and Quality (OCSQ) after consideration of the comments and recommendations of the technical review panel.

CMS reserves the right to offer a funding level that differs from the requested amount, and to negotiate with the applicant regarding the appropriate scope and intensity of effort that would be appropriate and commensurate with the final funding level.

3. Anticipated Announcement and Award Dates

Awards to those States submitting successful applications will be made on or about the date specified in the timetable.

VI. AWARD ADMINISTRATION INFORMATION

1. Award Notices

Successful applicants will receive a Notice of Award (NoA) signed and dated by the CMS

Grants Management Officer that will set forth the amount of the award and other pertinent information. The award will include standard Terms and Conditions, and may also include additional specific grant ―special‖ terms and conditions that request an Operational Protocol.

Potential applicants should be aware that special requirements could apply to grant awards based on the particular circumstances of the effort to be supported and/or deficiencies identified in the application by the review panel.

The NoA is the legal document issued to notify the grant applicant that an award has been made and that funds may be requested from the HHS payment system. The grant award will be sent through electronic mail to the applicant organization as listed on its SF-424. Any communication between CMS and applicants prior to issuance of the NoA is not an authorization to begin performance of a project.

Unsuccessful applicants will be notified by letter, sent through the U.S. Postal Service to the applicant organization as listed on its SF-424, after July 1, 2013.

2. Administrative and National Policy Requirements

The following standard requirements apply to applications under this solicitation:

Specific administrative and policy requirements of applicants as outlined in 45 CFR 74 and

45 CFR 92 apply to this grant opportunity.

All awardees receiving awards under these grant programs must meet the requirements of:

a. Title VI of the Civil Rights Act of 1964,

b. Section 504 of the Rehabilitation Act of 1973,

c. The Age Discrimination Act of 1975,

d. Hill-Burton Community Service nondiscrimination provisions, and

e. Title II Subtitle A of the Americans with Disabilities Act of 1990.

All equipment, staff, and other budgeted resources and expenses must be used…