Appeals – In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR). Example: Not applicable. (An appealwas not applicable in this case. A related program (93.231) allows applicants to reapply if revised applications are submitted.) Renewals – This section advises the applicant as to whether renewals or extensions of applications are available and indicates the appropriate procedures to follow. In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually. Example: This program is renewed annually. Grantees are required to update their plan and submit a current year budget. ASSISTANCE CONSIDERATIONS: Formula and Matching Requirements – This section indicates the formula and matching requirements prescribed in the allocation of funds or maintenance of effort requirements. A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Usually, a minimum percentage for matching share is prescribed by program legislation, and matching share requirements are included in the grant agreement. Attachment F of OMB Circular No. A-102 sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans. Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution. In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefitting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution. Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds. Programs that have maintenance of effort requirements and have total allocations over $100 million (current FY) should have the following statement in this section: This program has maintenance of effort (MOE) requirements, see funding agency for further details. Example: Staffing: Federal funds on a decreasing percentage basis over a period of 8 years 90 percent - 1st and 2nd years; 80 percent -3rd year; 75 percent - 4th and 5th years; 70 percent - 6th, 7th and 8th years. Nonpoverty areas are entitled to: 80 percent - 1st and 2nd years; 75 percent - 3rd year; 60 percent - 4th year; 45 percent - 5th year; 30 percent - 6th, 7th and 8th years. Length and Time Phasing of Assistance – This section indicates the time period during which the assistance is normally available, whether there are any restrictions placed on the time permitted to use the funds awarded, and the timing of disbursement of the assistance, e.g., lump sum, annually, quarterly, or as required. Example: Staffing grants are limited to 8 years by law. Payments are made on a Monthly Cash Request System or under a Letter of Credit. POST ASSISTANCE REQUIREMENTS: Reports – This section indicates whether program reports, expenditure reports, cash reports or performance monitoring is required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished. Example: Interim progress reports must be submitted annually as part of a non-competing application; report of expenditures are due annually. Immediate reporting of any inventions is required. Audits – This section discusses audits required by the Federal agency. The procedures and requirements for State and local governments are set forth in OMB Circular No. A-128, which supersedes the provisions of Attachment P of OMB Circular No. A-102 that formerly governed audit requirements for State and local governments. This pertains to awards made within the respective State's fiscal year --not the Federal fiscal year, as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period, rather than that commonly known as the Federal fiscal year (from October 1st through September 30th). The procedures and requirements for nonprofit organizations and institutions are set forth in OMB Circular No. A-133, "Audits of Institutions of Higher Education and Other Nonprofit Organizations," and should also be referenced here, as appropriate. Example: In accordance with the provisions of OMB Circular No. A-128, "Audits of State and Local Governments," State and local governments that receive financial assistance of $100,000 or more within the State's fiscal year shall have an audit made for that year. State and local governments that receive between $25,000 and $100,000 within the State's fiscal year shall have an audit made in accordance with Circular No. A-128, or in accordance with Federal laws and regulations governing the programs in which they participate. For nonprofit grant recipients, audits are to be carried out in accordance with the provisions set forth in OMB Circular No. A-133. Records This section indicates the record retention requirements and the type of records the Federal agency may require. Not included are the normally imposed requirements of the General Accounting Office. For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C. For other programs, record retention is governed by the funding agency's requirements. Example: Records must be retained at least 3 years; records shall be retained beyond the 3-year period if audit findings have not been resolved. FINANCIAL INFORMATION: Account Identification – This 11-digit budget account identification code represents the account which funds a particular program. This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government. (See Appendix III for further information on the meaning of the 11 digits of this code.) Example: 75-1361-0-1-550. Obligations — The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. In each succeeding edition of the Catalog, the dollar amounts are revised to reflect changes which may result from supplemental appropriations or amendments. Each program indicates what the obligation figures represent in terms of the type of assistance provided. Obligations for nonfinancial assistance programs indicate the administrative expenses involved in the operation of a program as an indication of the magnitude of the services being provided, or the items involved in obligations. Example: (Grants) PY $19,853,000; CY est $20,407,000; and BY est $14,830,000. Range and Average of Financial Assistance – This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years. Example: Formula: $26,355 to $691,481; $235,305. PROGRAM ACCOMPLISHMENTS – This section briefly describes the accomplishments of a program using quantitative data, focussing on program output, results achieved, or services rendered during the past fiscal year, the current fiscal year, and projections for the coming fiscal year. Example: In the past fiscal year, 140 applications were received and 140 staffing awards were issued. Approximately 147 continuation grants were funded during the current fiscal year and 103 are estimated to be funded in the budget fiscal year. REGULATIONS, GUIDELINES, AND LITERATURE This section lists the title, number, and price of guidelines, handbooks, manuals, and other officially published information pertinent to a program. Since program regulations are published first in the Federal Register (FR) and later in the Code of Federal Regulations (CFR), citations to the CFR are listed. Example: Interim guidelines available in application kits. INFORMATION CONTACTS: Regional or Local Office - This section lists the agency contact person, address and telephone number of the Federal Regional or Local Office(s) to be contacted for detailed information regarding a program such as: (1) current availability of funds and the likelihood of receiving assistance within a given period; (2) preapplication and application forms required; (3) whether a preapplication conference is recommended; (4) assistance available in preparation of applications; (5) whether funding decisions are made at the headquarters, regional or local level; (6) application renewal procedures (including continuations and supplementals) or appeal procedures for rejected applications; and (7) recently published program guidelines and material. However, for most programs in the Catalog, this section will instruct the reader to consult Appendix IV of the Catalog (Agency Regional and Local Office Addresses) due to the volume of Regional and Local Office Contacts for most agencies. For those agencies with fewer contacts, the actual information will be provided in this section. Example: Substance Abuse and Mental Health Services Administration (SAMSHA) Branch of the appropriate (Appendix IV Listing) Region 1 Headquarters Office - This section lists names and addresses of the office at the headquarters level with direct operational responsibility for managing a program. A telephone number is provided in cases where a Regional or Local Office is not normally able to answer detailed inquiries concerning a program. Also listed are the name(s) and telephone number(s) of the information contact person(s) who can provide additional program information to applicants. Example: Dr. Steven Sharfstein, Acting Director, Division of Mental Health Service Programs, Substance Abuse and Mental Health Services Administration, 5600 Fishers Lane, Rockville, MD 20857. Telephone: (301) 123-4567. (Use same number for FTS.) RELATED PROGRAMS — This section of the program description lists all programs in the Catalog that are closely related based on objectives and program uses. Applicants should also refer to these programs, as they may provide additional assistance in a related area of interest. Example: 93.232, Maternal and Child Health Services; 93.233, Maternal and Child Health Training; 93.242, Mental Health Research Grants; 93.295, Community Mental Health Centers-Comprehensive Support; 93.630, Developmental Disabilities–Basic Support. EXAMPLES OF FUNDED PROJECTS: This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects. Example: Awards are made only for staffing of facilities offering mental health services for children. CRITERIA FOR SELECTING PROPOSALS: This section indicates the criteria used by the Federal grantor agency to evaluate proposals in order to inform potential applicants of the application review process and the criteria used to award funds for projects. Example: The criteria for selecting proposals are based upon the extent the project will contribute to needed services and training, capability of applicant to provide services and training, more effective utilization of personnel providing mental health services, and development of new methods or information. APPENDICES——The last section of the Catalog contains the following appendices: Programs Requiring Executive Order 12372 Review (Appendix I); Authorization Appendix (Appendix II); Budget Functional Code Appendix (Appendix III); Agency Regional and Local Office Addresses (Appendix IV); Sources of Additional Information (Appendix V); Developing and Writing Grants Proposals (Appendix VI); and in the December update to the Catalog, Historical Profile of Catalog Programs (Appendix VII). Appendix I - Programs Requiring Executive Order 12372 Review: This Appendix gives a brief description of Executive Order 12372. The description explains its purpose, identifies a listing of all Catalog program numbers and titles to which it applies, the general procedures to follow in applying for assistance, and the State Single Point of Contact List to which the States may refer for application coordination pur poses. Appendix II — Authorization Appendix: This appendix lists Acts, Executive Orders and Public Law numbers which mandate programs in the Catalog. Acts and Executive Order citations are listed in alphabetic sequence and Public Law citations are listed numerically by the Congress. The citations are followed by their corresponding program numbers. Appendix III - Budget Functional Code Appendix: This appendix lists programs by the Budget functional classification. The three digits listed are the major and minor functional classifications used to identify the major purpose of the programs. Appendix IV – Agency Regional and Local Office Addresses: This appendix lists the names, addresses and telephone numbers of the regional and local offices which should be contacted for detailed information concerning a program and for initiating the process for applying for assistance. In cases where a Federal agency does not have a regional or local office, the headquarters office listed in the program description should be contacted. Appendix V Sources of Additional Information: Information pertaining to Federal programs is available from Federal Information Centers and Federal Executive Boards as listed in this Appendix. Also listed are other government sources of information, including the 24 U.S. locations for the Government Print ing Office Bookstores that sell the Catalog and other Federal publications. Appendix VI - Developing and Writing Grants Proposals: General overview of the grants proposal process and suggested guidelines for developing and writing a well-prepared proposal to obtain Federal funding. Appendix VII – Historical Profile of Catalog Programs: This appendix lists all programs that have been published in the Catalog of Federal Domestic Assistance beginning with the 1965 edition, and the subsequent action taken related to those programs. (Published this year in the December update to the catalog.) The Agency Program Index lists all programs in the Catalog in numerical order by the five-digit program identification number, the program title, the Federal agency responsible for administering the program, and whether the program offers financial assistance, nonfinancial assistance, or a combination of both. The Functional Index Summary lists the basic functional categories and the subcategories which further identify specific areas of interest. Following the Summary is the Functional Index listing each program number and title under the appropriate basic category and subcategory. The Subject Index provides a detailed listing of programs by various topics, popular name, general functional terms, categories of services, and selected beneficiaries, and is followed by the applicable program numbers. The Applicant Eligibility Index is a listing in program number sequence, along with program titles, indicating the applicants eligible to apply. The index lists programs which may be applied for by: any of the several States of the United States, the District of Columbia, or any agency or instrumentality of a State exclusive of State institutions of higher education and hospitals; – local governments which include a county, parish, municipality, city, town, township, village, State designated Indian tribal government, local public authority, school district, special district, intrastate district, council of governments, sponsor group representative organizations, and other regional or interstate government entity, or any agency or instrumentality of a local government; U.S. Territories (and possessions) of the United States which include the Commonwealths of Puerto Rico and the Northern Mariana Islands, the Virgin Islands, Guam, Trust Territory of the Pacific Islands, and American Samoa; – Federally-recognized Indian Tribal governments which include the governing body or a governmental agency of any Indian tribe, band, nation, or other organized group or community (including any Native village as defined in Section 3 of the Alaska Native Claims Settlement Act, 85 Stat. 688) certified by the Secretary of the Interior as eligible for the special programs and services provided by him through the Bureau of Indian Affairs; nonprofit organizations and institutions which include quasi-public, public and private institutions of higher education and hospitals, Native American Indian Organizations, and other quasi-public and private nonprofit organizations such as, but not limited to, community action agencies (CAAs), Head Start agencies, research institutes, educational associations, and health centers. Excluded under this definition are government-owned contractor operated facilities or research centers providing support for mission-oriented, large scale programs that are government-owned or controlled, or are designed as federally-funded research and development centers; and - private individuals such as Native Americans, homeowners, students, farmers, artists, scientists, con sumers, small business, refugees, aliens, veterans, senior citizens, low-income persons, health and education professionals, builders, contractors, developers, handicapped persons, the physically afflicted. The Deadlines Index (for program applications) is a listing of program numbers and titles and the deadline date(s) by which funding agencies must receive applications. This information is also contained in the Deadlines Section of the program descriptions. Users should also consult the following listings: The Deleted Programs list identifies programs that have been deleted since the previous edition of the Catalog due to: expiration of budget authority; rescission of budget authority for the current fiscal year; program consolidation which has rendered the former program number(s) obsolete; the replacement of a categorical grant program by a block grant program; the replacement of two or more categorical programs by a block grant program; the abolishment of an agency; or the criteria for including a program in the Catalog no longer valid being (e.g., a program which no longer operates under Federal funding). The Added Programs list identifies programs that have been added since the previous edition of the Catalog due to: the appropriation of new budget authority; the consolidation of two or more programs creating a new |