A. Project design,
identification and justification are basically the same as those in developing
any other type of funding proposal.
B. The project documentation features shall
include the following specific information where applicable:
1. Statement of Need: In this part, identify
in detail the problem which this project is intended to address. Accurate
problem definition is essential. The problem as described here must be
specifically related to the activities or effort proposed. Describe the problem
in a manner which offers the potential to observe and measure its dimensions
before, during and after the project activity.
As a minimum this item should:
a. Describe the nature and scope of the
problem addressed in this application.
b. Provide supporting facts and figures which
describe the existence of this problem and a summary of your analysis of the
implications of this information.
c. Describe the underlying causes of the
problem.
d. Provide a clear
description of the impact or effect of the problem on other community agencies
or groups.
2. Goals and
Objectives: This section is vital to the application. It should clearly and
concisely present the goal statement and measurable objectives for the project.
In other words, this section should describe precisely what the project will
achieve and/or demonstrate The goal statement and measurable objectives
presented in this section should be directly related to the statement of the
problem so that the project can be monitored and/or evaluated in terms of its
ability to resolve the problem identified.
a.
Specify a goal statement for the project. The goal statement should clearly
communicate the intended result of the project as of the end of the grant
period. The goal statement identifies, before the project starts, what must
happen or be achieved in order for the project to be considered a success. The
goal statement must be precise enough so that a person could, on the basis of
project records and data, determine if the project goal has been achieved.
Below is one method for writing a precise goal
statement:
(1) Identify the terminal
(end) behavior or condition which will be accepted as evidence that the project
has achieved its goal.
(2) Try to
further define the desired behavior or condition by describing the important
limits or circumstances under which the behavior and/or conditions will be
expected to occur.
(3) If possible
specify the criteria of acceptable performance and/or results by defining the
minimum acceptable functioning level of the project.
NOTE: Complex projects may have more than one goal
statement.
b.
Identify implementation objectives for the project. Implementation objectives
reflect major activities necessary to begin the project. They should be stated
in the order in which they will happen. Describe how completion of each
activity will be document.
c.
Identify performance objectives for the project. Performance objectives
Indicate major activities necessary to conduct the project as planned. Each
performance objective should incorporate, where applicable, specific behavior,
the method or procedures to be followed, time specifications and how
achievement of the objective will be documented. Performance objectives should
answer the questions 1) Who" 2) What" 3) Where" 4) When" 5) How" 6) Under what
conditions" 7) To what level of acceptance" 8) As documented by what"
If this is a continuation of a previously funded project then
the prior years' goals and objectives must be indicated along with a statement
of the progress made toward achieving each specific goal or objective.
3. Project Description:
Describe physical requirements for the project to be funded. List the types of
clients to be served and describe the services to be delivered. Provide a list
of project personnel requirements with job descriptions and special training
and education requirements. Explain how this project will be made available to
the specific client groups and identify sources of referral to and from your
project. Indicate the relationship of each project activity to the goals and
objectives. If this is a Single Purpose request, then describe only that
purpose and Indicate the impact on your program of not funding the
request.
4. Project Budget: The
budget should be prepared listing the total expense for each line item and
Identifying the OSA share of the line. It will be assumed that this budget may
be applied evenly for each quarter of the grant year unless otherwise noted To
the grant request.
5. Line Item
Costs Justification: You must show the basis of cost for each major category
line in the budget. This may be done by showing the process used to arrive at
the line expense total. If an estimate is used from a supplier or contractor
then give the name of the firm and/or person from which the estimate was
obtained.
NOTE: If training funds are included in the budget a training
plan must accompany the application to adequately justify the cost.
6. Summary of Project Personnel
List each position or job title relative to the grant activity. state the
number of persons who will hold each position or job title and the number of
hours to be spent weekly on the project for each position. Show the total
salary expense for that position or job title. A breakdown of fringe benefit
costs should also be provided. The maximum fringe benefit ceiling allowed by
the state should not be exceeded.
7. Sources of Income: All sources of income
must be listed (including "in-kind" services). Show contract dates and indicate
the amount represented by each source. If this is a continuation of a
previously funded proposal then show the increase or decrease from the previous
budget.
8. Future Project Funding:
Describe the steps that your agency plans to take concerning funding for this
project for at least one year following the requested termination date of this
grant. Identify sources of funding and indicate the proportion of the project
that each source is expected to support. If this is a continuation of current
activity request, then describe the progress which has been made during the
previous funding period toward achieving funding goals.
9. Evidence of Community Support:
a. List any inter-agency agreements which
concern this project, and indicate in what ways they have been utilized, and
how they will be used during the requested grant period.
b. Describe the involvement that the local
community has had in developing this project. What attempts will be made to
solicit local community support during the project period" What is the present
financial commitment on the part of the community to the project"
c. Provide evidence of community support if
possible in the form of unsolicited endorsement letters from community leaders,
municipal officials, legislative representatives, former clients (with the
client's written permission only!), and other concerned citizens.
10. Assurance of Compliance with
the Department of Health, Education and Welfare Regulation under Title VI of
the Civil Rights Act of 1964: A signed and properly filled in copy of the
illustrated affidavit must be included with the grant application. See figure
11 - 1.
11. Applicant Certification
and Governing Authority review: The applicant must certify that the application
is complete and accurate and that he/ she has read and will abide by these
grant guidelines, The application must be reviewed and approved by the
governing authority of the agency prior to submission to OSA. A statement of
approval must be signed by the principal board officer.
12. Review and Comment Sign Off: Letters
substantiating Review and Comment by the designated Regional Coordinator
(Council) and (if applicable) the Maine Health Systems Agency must accompany
the application when submitted to OSA for final review and consideration.
Applicant bears full responsibility for obtaining these local reviews. No
project which has less than statewide impact will be accepted without such
review.
ASSURANCE OF COMPLIANCE WITH THE DEPARTMENT
OF
HEALTH, EDUCATION, AND WELFARE REGULATION
UNDER
TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
_________________________________ (hereinafter called the
"Sponsoring Agency")
(Sponsoring Agency)
HEREBY AGREES THAT it will comply with Title VI of the Civil
Rights Act of 1964 ( P.L. 88-352 ) and all requirements imposed by or pursuant
to the Regulation of the Department of Health, Education, and Welfare ( 45 CFR
Part 80 ) issued pursuant to that title, to the end that, in accordance with
Title VI of that Act and the Regulation, no person in the United States shall,
on the ground of race, color, or national origin, be excluded from
participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which the applicant receives
Federal financial assistance from the Department; and HEREBY GIVES ASSURANCE
THAT it will immediately take any measures necessary to effectuate this
agreement.
If any real property or structure thereon is provided or
improved with the aid of Federal financial assistance extended to the
Sponsoring Agency by the Department, this assurance shall obligate the
Sponsoring Agency, or in the case of any transfer of such property, and
transferee, for the period during which the real property or structure is used
for a purpose for which the Federal financial assistance is extended or for
another purpose involving the provision of similar services or benefits. If any
personal property is so provided, this assurance shall obligate the Sponsoring
Agency for the period during which it retains ownership or possession of the
property. In all other cases, this assurance shall obligate the Sponsoring
Agency for the period during which the Federal financial assistance is extended
to it by the Department.
THIS ASSURANCE is given in consideration of and for the
purpose of obtaining any and all Federal grants, loans, contracts, property,
discounts or other Federal financial assistance extended after the date hereof
to the Sponsoring Agency by the Department, including installment payments
after such date on account of applications for Federal financial assistance
which were approved before such date. The Sponsoring Agency recognizes and
agrees that such Federal financial assistance will be extended In reliance on
the representations and agreements made in this assurance, and that the United
States shall have the right to seek judicial enforcement of this assurance.
This assurance is binding on the Sponsoring Agency, Its successors, transferees
and assignees, and the person or persons whose signatures appear below are
authorized to sign this assurance on behalf of the Sponsoring Agency.
Dated_____________________________
_______________________________
(Chief Administrator of
Sponsoring Agency)
By___________________________________
(Project Director, if different)
13. Proposal Submission: Grant proposals for
OSA funds will be submitted to OSA regional planning and coordinating agencies
and (if applicable) to Maine Health Systems Agency. Recommendations resulting
from local review should be Included in the final application which then must
be submitted to OSA prior to any deadline specified in the request for
proposal. A waiver of deadline not to exceed twenty working days may be granted
at the discretion of the OSA Director. Such waiver must be applied for in
writing at least five working days prior to the specified deadline in the
RFP.
14. Evidence will be
submitted, upon request by OSA, that the grant request has been comprehensively
planned and that appropriate local and regional agency coordination has been
fully accomplished.
15. The OSA
staff will accomplish a technical review of the proposal and ensure its
completeness prior to review by the State Review and Comment Committee. The
following steps will then be taken to lead to a final decision on the proposal:
a. A State Review and Comment Committee
meeting will be scheduled and all principles notified (to include as a minimum
the applicant, the regional coordinator, and the members of the committee) in
writing concerning the meeting.
b.
Prior to interviewing the applicant all written information will be reviewed
and discussed as appropriate by the committee.
c. The applicant and all principles will be
present during the interview at which time additional written information may
be submitted for review by the committee.
d. After the applicant interview is completed
the committee will meet in open or closed session (at the discretion of the
committee chairman) to discuss its findings and produce a written
recommendation to the OSA Director concerning the disposition of the
applicant's request. A copy of the committee's recommendation will be forwarded
to the applicant and other local review groups.
e. The OSA Director will make the final
decision concerning the request, utilizing the committees written
recommendation and any other pertinent information he has available. Applicants
will be informed in writing of this final decision.
f. Appeals concerning the decision of the OSA
Director may be initiated through the office of the Commissioner of Human
Services by written request with a copy to the Director of OSA.
g. Applications for funding relating to OSA
administrative concerns only or having a value of $5,000.00 or less may not
receive a review by the State Review and Comment Committee subject to the
discretion of the Director of OSA.
16. Acceptance of the award of funds by Grant
in Aid or Purchase of Services Agreement (PSA) constitutes an additional
assurance by the recipient (or vendor in the case of a PSA) that:
a. Funds paid to the applicant under this
plan will be used to make a significant contribution toward improving the
quality, scope and extent of alcohol and/or drug abuse treatment,
rehabilitation or prevention services.
b. Funds paid will be used to supplement and,
to the extent practicable, to increase the level of funds that would otherwise
be made available for the purposes for which these funds are provided and will
not supplant local funds.
c. There
will be applicant participation in the cost of carrying out the project at the
rate of at least 25% of the project costs.
d. Methods and procedures for properly
charging project costs will be established and maintained. Fiscal procedures
will be adequately described in writing and made available to OSA on
request.
e. In accordance with
Title VI of the Civil Rights Law of 1964 (
42 U.S.C. 200 d et seq.) and the
regulation issued thereunder by the U.S. Department of Health, Education, and
Welfare (45 DFR Part 80) no individual shall, on the ground of race, color or
national origin, be excluded from participation in, be denied the benefits of,
or be otherwise subjected to discrimination under the project submitted. No
professionally qualified person will be discriminated against on account of sex
and creed with respect to the privilege of professional practice in the
facility.
f. All information as to
personal facts and circumstances obtained by the agencies or other private
nonprofit agencies, groups or organizations, to whom funds are paid by the
State, will be held confidential and will not be divulged without the
individual's consent In accordance with current federal regulations except as
necessary to provide services to him. Each project applicant will establish
adequate procedures to carry out this provision and to adequately protect the
rights of persons with respect to whom confidential information is
held.
g. Applicants for projects
shall be in compliance with the U.S. Department of Health, Education, and
Welfare policy concerning Human Rights: Copies of HEW Regulations concerning
Human Rights are maintained for reference purposes by OSA at 32 Winthrop
Street, Augusta.
h. The project or
facility to be provided funds will furnish a community service, and that
consideration will be given to the involvement of residents of the community In
management and operation of the project, or if applicable, the
facility.
i. The project or the
facility will furnish services to all persons in need of such services
regardless of ability to pay.
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j.
Fees for services will be charged on the basis of the client's ability to pay.
Prior to charging fees, a fee schedule must be submitted to and approved by
OSA. Fees so collected may be used to expand project services, fund existing
activities or discharge obligations resulting from prior year deficit
operations. Fees for service funds may be utilized to provide seed money for
matching future contracts or grants. Prior approval must be obtained from OSA
regarding the above stated uses of fee for service funds.
k. Resumes detailing the professional
qualifications of project staff and key operating personnel responsible for the
operation of service projects or facilities funded under these guidelines will
be provided upon request by OSA.
l.
The grantee understands that all service projects funded will normally be
scheduled for termination on or before June 30 of the current fiscal year.
Projects scheduled for a time period of more than 12 months will only be
considered for funding by the single state agency for a specific year. In the
event of multi-year project applicants, the successive fiscal year funding will
be dependent upon Federal/State funding levels and annual approval of OSA. At
the present time there are no provisions for extended time length projects.
Such projects when submitted will be considered for funding
subject to these conditions:
The annual availability of Federal/State
funds
Relative success or failure of the project
Annual approval of the project by OSA
No obligations made before the starting or after the
termination date may be charged to a grant except as specified by the Notice of
Grant Award.
m. Any major
change in the scope of the project (policy, objectives or goals) for funded
projects must receive prior written approval of the single state agency
responsible for administration of the program. Personnel changes must be
reported to OSA within 5 working days of their occurrence.
Permissible changes in the approved project shall be limited
to minor changes in methodology, approach, or other aspects that would expedite
achievement of the project's objectives as long as the original objectives are
not changed. Such changes may not result in increasing the cost of the project
to OSA. Whenever the grantee, or program director, is uncertain as to whether
any change complies with the above provision, the question shall be referred to
the OSA for resolution.
n.
The recipient organizational entity complies with provisions set forth in
section 503 and 504 of the Rehabilitation Act of 1973 (
29 U.S.C.
706 ) concerning non-discrimination on the
basis of handicap.
o. Subgranting
is not allowable. The grantee may not, in whole or part, delegate or transfer
responsibility for the use of project funds to any other institution,
organization, or person except as provided for in the Notice of Grant Award or
Purchase of Services Agreement.
p.
Requirements for records retention will be strictly adhered to in accordance
with current directives. Project accounting records are considered to be
essential. Records required for retention include all original receipt and
expenditure documents that support and substantiate charges to project
activity. All recipients of project funds are required to maintain accounting
records, as follows:
(1) Records may be
destroyed three years after the end of the budget period if audit, by or on
behalf, of the state agency has occurred by that time.
(2) If audit, by or on behalf of the state
agency, has not occurred by that time, the records must be retained until audit
or until five years following the end of the budget period, whichever is
earlier.
(3) in all cases an
overriding requirement exists to retain records until resolution of any audit
questions relating to individual grants.
(4) Project records are subject to inspection
and audit by state and federal representatives:
(a) To verify financial transactions and
determine whether funds were used in accordance with applicable laws,
regulations, and procedures;
(b) To
ascertain whether policies, plans, and procedures are being followed;
(c) To provide management with objective and
systematic appraisals of financial and administrative controls and information
as to whether operations are carried out effectively, efficiently and
economically; and
(d) To determine
reliability of financial records and reports.
q. The audit is performed in accordance with
generally accepted auditing practices in determining that there is a proper
accounting for and use of grant funds. If the grantee falls to appeal a
proposed audit disallowance within 30 days of receipt of written notification,
the disallowance becomes final.
NOTE: The audit activity is not intended to review technical
aspects of the conduct of the project.
17. Reports on Project Accomplishments and
Evaluation:
Where Regional Coordinators exist, projects will be assigned
to them for continuing consultation. Where they do not exist, consultation will
be provided by central office OSA staff. Program Directors may relate progress
or problems either verbally or preferably in writing at any time during the
project.
In addition, there are five written reports required to be
furnished to OSA central office and regional coordinators, where they
exist.
a. Quarterly Evaluation
Progress Report: (1 copy Regional Coordinator, 1 copy OSA central office.) This
report is a narrative report of the project activities; it will include success
or failure assessments based upon criteria in the original grant application.
Problems with goal attainment will also be described in this report. As
minimum, each project objective must be addressed.
b. OSA Management Information System Reports
- Specific project activity reporting for the Maine Alcohol Program Information
System and Client Oriented Data Acquisition Process must be accomplished
correctly and in accordance with schedules established by OSA.
c. Final Report - (1 copy to Regional
Coordinator, 1 copy to OSA central office). This report will be submitted
within 30 days after the end of the project period. It will consist of a review
of the project's activities and accomplishments during the entire project
period and a final evaluation of the extent to which the project achieved its
objectives.
