ACF/Office of Child Support Enforcement
GPRA Results Act pilot
March 8, 1995 DC-95-20
TO ALL IV-D DIRECTORS
Re: Program Announcement No. OCSE-95-1
Dear Colleague:
The Office of Child Support Enforcement is pleased to announce a request for applications
for one-time funding of demonstration projects as part of the OCSE Government
Performance and Results Act pilot. It is OCSE's intention that these projects will take the
form of cooperative agreements and will demonstrate strategic planning including the
initiation of performance planning based on the development of appropriate performance
measures, and goals reporting on the results and development of budgets based on the
attainment of performance goals.
SUMMARY: The Office of Child Support Enforcement (OCSE) announces that applications
will be accepted for new, competitive cooperative agreements pursuant to legal authority
under Section 1115 of the Social Security Act. Any waivers of the Act, including
statewideness, needed to perform these projects will also be entertained under Section 1115
authority. Awards made under this program announcement are subject to availability of
funds for support of these activities.
This announcement is soliciting applications for project periods up to seventeen months. It is
expected that a total of up to $210,000 in Section 1115 funding will be available for use in a
total of up to seven cooperative agreements. It is anticipated that projects will vary in the
amount of funding that they request depending upon the nature of the innovations they
propose. The funding level approved for each agreement will represent 29 percent of the
total projects costs. Regular Federal matching represents an additional 66% and the State
contribution represents 5%. This announcement contains forms and instructions for
submitting an application.
CLOSING DATE; The closing date for submission of applications is 60 days after the date
of this Program Announcement.
FOR FURTHER INFORMATION CONTACT: Barbara C. Cleveland or Linda Deimeke of
ACF/OCSE 4th Floor, 370 L'Enfant Promenade, S.W., Washington, D.C. 20447, Telephone
(202) 401-5376 or 401-5439 respectively.
SUPPLEMENTARY INFORMATION:
Part A: General Information
1. Legislative Authority
Legislative authority for this solicitation is Section 1115 of the Social Security Act.
2. Eligible Applicants
Eligible applicants for these cooperative agreements are all state Human Services Umbrella
Agencies and State Child Support Enforcement authorities. Given the nature of the projects
(to be explained below) this may necessitate the cooperation of local IV-D officers and other
public agencies as sites. The application will, however, be signed by the State Human
Services Agency or the State IV-D officer.
3. Project and Budget Periods
Project and budget periods will not exceed 17 months.
Part B. GPRA State Child Support Enforcement Demonstrations
1. Purpose
To fund and evaluate a number of performance measurement projects applying the concepts
of the Government Performance and Results Act. The GPRA process involves the
development of strategic plans, initiation of performance planning based on the development
of appropriate performance measures, reporting on the results and, eventually, development
of budgets based on the attainment of performance goals. The GPRA process encourages
program improvement and technical assistance activities and special demonstrations with an
eye to refocusing and restructuring functions to achieve specific and measurable performance
results.
2. Background and Information
The Government Performance and Results Act reforms the way federal agencies perform.
The law requires programs to decide what they want to achieve and then report on their
performance. When implemented, GPRA will:
þ improve the effectiveness of federal programs by promoting a new focus on
results, service quality, and public satisfaction;
þ systematically report on progress in achieving program objectives as stated in
agency strategic plans and annual performance plans; and,
þ initiate reform with a series of pilot projects in setting program goals,
measuring program performance against these goals, and reporting publicly on
their progress.
The Office of Management and Budget (OMB) selected several federal agencies to pilot
GPRA's concepts during fiscal years 1994-1996. OCSE is one of the pilot agencies.
OCSE has been working with its state and regional partners and other stakeholders since last
spring in jointly developing a national five-year strategic plan, including goals and
performance measures, and an annual performance plan. Some state IV-D agencies have
already developed or are developing their own strategic plans, establishing goals and
performance measures. To maximize results for the CSE program for FY 1995 and FY
1996, OCSE will be working in demonstration partnerships with state and local child support
enforcement programs across the nation.
Currently, states are at different stages in the strategic planning process. Some are just
beginning to study and then undertake strategic planning and the development of performance
indicators and standards. Others have operational experience with the strategic planning
process and are working with performance measures and standards, and are now at a stage
where adjustments and reconciliation of planning initiatives are in order. And, finally, some
are beginning to explore performance- based budgeting by determining funding levels and/or
the award of incentives based on achievement of pre-determined performance standards.
Funding of projects will focus on the planning process and performance measures and
standards as they are developed, used and refined at these three stages of planning.
Any entity that would undertake this project should be able to indicate its current capacity to
continue to achieve the overall paternity establishment, support order establishment and
collection goals of the Child Support Enforcement program, to operate in a cost effective
manner, and to meet federal requirements while undertaking the demonstration.
3 Design Elements Required in the Application
This is a cooperative agreement project in which substantial involvement by the federal
partner is anticipated. In order to successfully compete under this priority area, the
applicants should:
þ Outline a plan of interaction with OCSE for implementation of the project under a
cooperative agreement including activities involving Headquarters and Regional Office
staff.
þ Provide a description of the Child Support Enforcement Program as it currently
operates in the area(s) affected by this demonstration.
þ For county agencies in state supervised-county administered states, include an
agreement with the state agency to participate, to the extent necessary, in the project.
þ Provide a detailed description of what program innovations will be addressed. This
shall include an assessment of the current status of the strategic planning process.
Applicants should specify what their experience is with strategic planning. Have they
just begun or are they about to initiate strategic planning activities? Do they have a
strategic planning process and a plan in place that needs fine tuning or broadening to
cover other state programs? Are they examining or testing the linkages of
budgeting/incentive payments or other funding to already determined performance
goals or targets.
Within the context of strategic planning, applicants may emphasize certain aspects of
their programs and/or the environments in which they operate. For example, an
applicant may put a priority on the paternity establishment aspect of the program or
on strengthening some aspect of enforcement. Or an applicant may undertake a
planning process that involves a new definition of state-county relationships or the
establishment of new partnerships, such as one with the business community to
improve enforcement. Or, the planning process may be a means to eliminate barriers
within a child support enforcement program, among agencies, or between agencies
and the community. Applicants may test a variety of communications techniques for
imparting information, training or securing feedback on the strategic plan.
These are but a few examples of the possible areas for emphasis within the planning
context. Applicants may also choose to emphasize the overall planning process across
the breadth of the program. In addition, while the strategic planning process is
performance-based, applicants might also want to incorporate self-evaluation of the
process undertaken as they progress from the starting point to the outcome of a
strategic plan.
þ Identify necessary qualifications for any consultants or contractors who would be
used.
þ Provide a detailed budget for the project. The staff required, equipment and facilities
that would be leased or purchased, the instructional manuals that would be developed
and the training that would be provided to staff should be identified.
þ Provide a plan for an evaluation of the activities undertaken under this cooperative
agreement. The evaluation should begin by defining and collecting bench mark data
at the beginning of the project period. The plan should provide for the ongoing
measurement of effects related to the innovations chosen through comparison to the
bench mark data and for a final report.
þ Develop a dissemination plan for project findings.
4. Project Duration
The length of the project must not exceed 17 months.
5. Project Budget
A total of up to $210,000 in Section 1115 funding will be available for use under a total of
up to 7 cooperative agreements. It is anticipated that projects will vary in the amount of
funding that they request depending upon the nature of the innovations they propose. The
funding level approved for each agreement will represent 29 percent of the total project
costs. These funds are provided to supplement the regular federal match of 66 percent of
administrative expenditures for the State IV-D activities related to the project.
Also, grantees must provide at least 5 percent of the total approved cost of the project. The
total approved cost of the project is the sum of the Administration for Children and Families
share and the non-Federal share. The non-Federal share may be met by cash or in-kind
contributions, although applicants are encouraged to meet their match requirements through
cash contributions. If approved for funding, grantees will be held accountable for
commitments of non-Federal resources and failure to provide the required amount will result
in a disallowance of unmatched Federal funds.
An example of the budget using one possible funding level available under this announcement
is as follows:
$ 30,000 = 29% (Cooperative Agreement Award)
68,276 = 66% (Regular Federal Funds)
5,172 = 5% (State Share of Costs
$103,448 = 100% (Total Project Budget)
It is necessary to prepare a formal budget on forms included in this announcement. Any
changes in the scope of the project or budget amounts will require prior approval as outlined
in 45 CFR Part 92, Section 92.30. Project funds will be available for successful applicants
to draw down as needed for expenditures.
Note that the budget amount submitted as part of this application is subject to further
negotiation with ACF officials as are any future changes. Supporting calculations of each
budget line-item amount should be included with the budget forms. The proposed State
matching funds/resources (amounting to 5% of the total project budget as described above)
must be identified.
6. Anticipated Number of Projects to be Funded
It is anticipated that up to 7 projects will be funded. These projects may reflect the different
planning stages of the applicants and the diverse demographics of the population served by
the IV-D program.
Part C: Criteria for Competitive Review of Applications
Each application will be reviewed, scored, and ranked by an evaluation panel of specialists
qualified to judge the suitability of applications against the following criteria:
(1) Criterion I: Understanding and Analysis of the Problem (Maximum: 20 points)
This section should demonstrate how thoroughly the applicant has researched and analyzed
the problem being addressed in the project. The applicant's conceptualization of the problem
and the depth of understanding of the potential major and minor variables relevant to the
changes being implemented are included here. Applicants should include a discussion of the
child support program as it currently operates including its strengths and weaknesses. Points
will be given for presentation of problems for study that are national in scope and for
solutions proposed for the demonstration and evaluation that can be easily transferred to
other localities should they prove to be effective.
(2) Criterion II: Project Plan (Maximum: 30 points)
A well thought-out and practical work plan is mandatory. The application should include a
detailed work plan that includes time-lines and detailed budgetary information in the
accompanying forms. The main concern in this criterion is that the applicant should
demonstrate a clear idea of what the program or research is to accomplish and to describe in
detail the operation of the project and why the operation will accomplish a set of explicit
goals. The work plan should identify what tasks are required of any contractors. All agency
resources that will be committed to the tasks should be given in detail.
(3) Criterion III: Evaluation Methodology (Maximum: 30 points)
The proposed evaluation methodology must be explicitly set forth in the proposal. The
methodology should include:
þ Goals and objectives of the demonstration;
þ Outputs or products of the program;
þ Outcomes or measures of the impact a program has on its
customer (s); and,
þ Performance indicators or standards (time specific) chosen to describe success.
A description of the target customer (s) should be included. A discussion of data
availability, data definitions, validity and cost-benefit of data collection should be provided in
the methodology. Describe the collection and reporting system to be used. Include relevant
background information such as external factors (e.g., high unemployment) which may
influence program outcomes. Explain how the evaluation of this project will be used to
modify operations and/or adjust program goals and objectives.
(4) Criterion IV: Project Staff and Organization (Maximum 20 points)
Staff to be committed to the project at the state and/or local level must be identified by their
role in the project along with their qualifications and areas of particular expertise. Key state
agency staff who will supervise and monitor the project being done in the local or state
offices or courts should also be included. In addition, for any technical expertise obtained
through a contract or subgrant, the desired technical expertise and skills of proposed
positions should be specified in detail. A position or skills matrix for each task should also
be provided to assure appropriate tasking and efficiency of resource usage. The applicant
should demonstrate that the skills needed to operate the project are either on board or can be
obtained in a reasonable time.
Part D: Application Preparation and Submission
1. Attachments A through G (SF-424) contain all of the standard forms necessary for this
application for awards under this announcement.
2. Contents of the Application
Each application should include one signed original and two additional copies of the
following:
a. A completed "Application for Federal Assistance" (SF 424) which has been signed by an
official of the organization applying for the grant who has authority to obligate the
organization legally. The first page of the SF 424 must contain in the lower right hand
corner, the designation "GPRA" indicating the program under which funds are being
requested. The applicant must be aware that in signing and submitting the application for
this award, it is certifying approval of the application for this award, and it is certifying that
it will comply with the Federal regulations set forth in attachments E and F.
b. "Budget Information--Non Construction Programs (SF-424A).
c. A signed "Assurances--Non Construction Programs (SF-424B).
d. As required by 45 CFR 93.110, a signed Certification and Lobbying Disclosure Form.
e. A project narrative consisting of the elements outlined in paragraph 3(f) below preceded
by a consecutively numbered Table of Contents.
3. Instructions for Completing Application Package
The standard forms attached for this announcement must be used to apply for funds under
this announcement. It is suggested that you reproduce the forms and type the required
information on the copies. If an item on the SF-424 cannot be answered, or does not appear
to be related or relevant to the grant being requested, enter "NA" for "Not Applicable".
Application pages, including all required attachments, should be sequentially numbered.
Copies should be identical to the original application and attachments in the event it becomes
necessary to duplicate them for review purposes. The original application must be submitted
on 8 1/2 x 11 inch white paper. The applications should be two-hole punched at the top
center and fastened separately with a compressor slide paper fastener or a binder clip.
Applications should also include a mailing label for acknowledgement of receipt. The
submission of bound applications, or applications enclosed in binders, is specifically
discouraged. Applications should not include organizational brochures or other promotional
materials, slides, films, clips, etc. Such extraneous materials will be discarded.
The application should be prepared in accordance with the instructions given with the forms,
as well as specific instructions set forth below:
a. SF-424 "Application for Federal Assistance"
Item 1. For the purposes of this announcement, the application is "non-construction".
Item 5/6 The legal name of the applicant must match that listed as corresponding to the
Employer Identification Number. Where the applicant is a previous Department of Health
and Human Services grantee, enter the Central Registry System Employee Identification
Number (CRS/EIN) and the Payment Identifying Number, if one has been assigned, in the
Block entitled "Federal Identifier" located at the top right hand corner of the form.
Item 7. Applicant should check "state" box
Item 8. For the purposes of this announcement, applications are new.
Item 9. DHHS-ACF-OCSE
Item 10. The Catalog of Federal Domestic Assistance number for the program covered
under this announcement is 93.563.
Item 11. Supply a descriptive title for the project.
Item 16. This program is not covered by E.O. 12372.
b. Budget, SF-424A
c. Assurances--Non-Construction Programs, SF-424B: Fill out, sign, and date form found at
Attachment C and include in the application package.
d. Restrictions on Lobbying--Certification for Contracts, Grants, Loans, and Cooperative
Agreements: Fill out, sign and date form found at Attachment D.
e. Environmental Tobacco Smoke--Certification Regarding Environmental Tobacco Smoke.
Applicant's signature on the SF 424 indicates compliance with this certification requirement.
f. Disclosure of Lobbying Activities, SF-LLL: Fill out, sign and date form found at
Attachment D. (Required only if there is involvement with lobbying activities in accordance
with the
instructions.)
g. Project Narrative
The project narrative should include clear descriptions of the following topics: (1)
background of the project and introduction to the program or research topic, including
description of the research site (s); (2) detailed description of the program to be demonstrated
or the research to be done, along with a clear statement of the aims of the program or
research (hypotheses - what is to be tested or demonstrated) and criteria for judging whether
or not the hypotheses are acceptable or program aims have been met; (3) statement in detail
of the major variables to be used in the demonstration or research and a statement of how the
variables will be measured and used to demonstrate the hypotheses of the project: (4) project
plan and staffing plan for implementing the project; (5) other topics deemed important by
applicants. For details concerning these topics the applicant is referred to Parts B and C
above.
4. Application Submission
Prior to mailing the submission, applicants should specifically check to make sure that:
a. The SF-424 is signed.
b. All the sections of the SF-424 and the SF-424A are properly and completely filled out.
c. The SF-424B and all required assurances are signed.
d. The project narrative and required documentation are included
e. Only an original and 2 copies of the grant application should be submitted.
f. The package is assembled in accordance with the instructions set forth in Part D.2 and 3.
g. A mailing label is included.
h. The letters "GPRA" are labeled in the lower right hand corner of SF 242.
i. The applicant must be aware that in signing and submitting the application for this award,
it is certifying that it will comply with the Federal requirements concerning the drug free
workplace and debarment regulations as set forth in the attachments.
Applications must be submitted to ACF by closing date specified at the beginning of this
announcement.
Applications may be mailed to:
Administration for Children and Families
Division of Discretionary Grants
OFM/DDG, 6th Floor
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447
Hand delivered applications will be accepted during normal working hours of 8:00 a.m. to
4:30 p.m., Monday through Friday, on or prior to the established closing date at:
Administration for Children and Families
Division of Discretionary Grants
Sixth Floor ACF Guard Station
901 D. Street, S.W.
Washington, D.C. 20447
Deadline: Applications shall be considered as meeting the announced deadlines if they are
either:
1. received on or before the deadline date at the receipt point specified in the
program announcement, or
2. sent on or before the deadline date and received by ACF in time for the
independent review. Applicants are cautioned to request a legibly dated U.S. Postal
Service postmark or to obtain a legibly dated receipt from a commercial carrier or
U.S. Postal Service. Private Metered postmarks shall not be acceptable as proof of
timely mailing.
Late applications: Applications which do not meet the criteria stated above are considered
late applications. ACF shall notify each late applicant that its application will not be
considered in the current competition.
Extension of deadlines: ACF may extend the deadline for all applicants because of acts of
God such as floods, hurricanes, etc., or when there is a widespread disruption of the mails.
However, if the granting agency does not extend the deadline for all applicants, it may not
waive or extend the deadline for any applicants.
Applications once submitted are considered final and no additional materials will be accepted
unless specifically requested by the Administration for Children and Families.
5. Application Acknowledgement and Screening
All applicants will receive an acknowledgement with an assigned identification number. This
number, along with any other identifying codes, must be referenced in all subsequent
communications concerning the application. If an acknowledgement is not received within
three weeks after the deadline date, please notify ACF by telephone (202) 401-9234.
All applications that meet the published deadline for submission will be screened to
determine the completeness and conformity to the submission requirements of this
announcement. Only applications meeting these requirements will be reviewed and evaluated
competitively. Others will be returned to the applicant with a notation that they were
unacceptable.
Part E. Post-Award Information and Reporting Requirements
The official award document is the Financial Assistance Award which provides the amount of
Federal funds approved for use in the project, the project and budget period for which
support is provided, and the terms and condition of the award.
In addition to the General Conditions and Special Conditions which will be applicable to the
grants, grantees will be subject to the provisions of the regulations which appear at
Attachment H.
Grantees will be required to submit quarterly progress and financial reports (SF-269) as well
as a final progress and financial report.
Grantees are subject to the audit requirements of OMB Circular A-128 and should include in
their application the cost of having an audit performed.
David Gray Ross
Deputy Director
Office of Child Support
Enforcement
Attachments: A Form 424 with instructions
B Form 424A with instructions
C Assurances - Non-Construction
Programs
D Certification Regarding
Lobbying, Form LLL
E Certification Regarding
Debarment, Suspension and
Other Responsibility Matters
F Certification Regarding Drug-Free
Workplace Requirements
G Certification Regarding Environmental
Tobacco Smoke
H List of Applicable DHHS Regulations
Attachment H
APPLICABLE REGULATIONS
The following HHS regulations are required under a Cooperative Agreement:
45 CFR Part 16 Department's Grant Appeal Process
45 CFR 46 Protection of Human Subjects
45 CFR 74 Administration of Grants
Sections 74.62(a) Non-Federal Audits
74.173 Hospital
74.174(b) Other Non-profit Organizations
74.304 Final Decisions in Disputes
74.710 Real Property, Equipment and Supplies
74.715 General Program Income
45 CFR Part 76 Debarment and Suspension from Eligibility for Financial
Assistance
Subpart F Drug-Free Work Place Requirements
45 CFR Part 80 Non-discrimination Under Programs Receiving Federal
Assistance Through the Department of Health and Human
Services Effectuation of Title VI of the Civil Rights Act of 1967
45 CFR Part 81 Practice and Procedures for Hearings Under Part 80 of this Title
45 CFR 83 Non-discrimination on the basis of sex in admission of
individuals to training programs
45 CFR 84 Non-discrimination on the Basis of Handicap in Programs and
Activities Benefitting from Federal Financial Assistance
45 CFR 91 Non-discrimination on the Basis of Age in Programs or and
Activities Receiving Federal Financial Assistance
45 CFR 93 New Restrictions on Lobbying
45 CFR Part 100 Intergovernmental Review of Department and Health and
Human Services Programs and Activities.
When issuing statements, press releases, requests for proposals, bid solicitations, and other
documents describing projects or programs funded in whole or in part with Federal money,
all grantees receiving Federal funds, including but not limited to State and local
governments, shall clearly state (1) the percentage of the total costs of the program or
project which will be financed with Federal money, (2) the dollar amount of Federal funds
for the project or program, and (3) percentage and dollar amount of the total costs of the
project or program that will be financed by non-governmental sources.
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