[Federal Register Volume 76, Number 100 (Tuesday, May 24, 2011)]
[Notices]
[Pages 30094-30098]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-12817]
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DEPARTMENT OF AGRICULTURE
Rural Utilities Service
Announcement of Grant and Loan Application Deadlines and Funding
Levels
AGENCY: Rural Utilities Service, USDA.
ACTION: Notice of funding availability and solicitation of
applications.
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SUMMARY: The Rural Utilities Service (RUS) announces its Revolving Fund
Program (RFP) application window for Fiscal Year (FY) 2011. In addition
to announcing the application window, RUS announces the available
funding of $496,000 for RFP competitive grants for the fiscal year.
The RFP is authorized under section 306(a)(2)(B) of the
Consolidated Farm and Rural Development Act (Con Act), 7 U.S.C.
1926(a)(2)(B). Under the RFP, qualified private, non-profit
organizations receive RFP grant funds to establish a lending program
for eligible entities. Eligible entities for the revolving loan fund
will be the same entities eligible, under paragraph 1 or 2
[[Page 30095]]
of Section 306(a) of the Con Act, 7 U.S.C. 1926(a) or (b), to obtain a
loan, loan guarantee, or grant from the RUS Water, Waste Disposal and
Wastewater loan and grant programs.
DATES: You may submit completed applications for grants on paper or
electronically according to the following deadlines:
Paper copies must be postmarked and mailed, shipped, or
sent overnight no later than July 25, 2011 to be eligible for FY 2011
grant funding. Late or incomplete applications will not be eligible for
FY 2011 grant funding.
Electronic copies must be received by July 25, 2011 to be
eligible for FY 2011 grant funding. Late or incomplete applications
will not be eligible for FY 2011 grant funding.
ADDRESSES: You may obtain application guides and materials for the RFP
program at the Water and Environmental Programs (WEP) Web site: http://www.usda.gov/rus/water/index.htm. You may also request application
guides and materials by contacting Anita O'Brien at (202) 690-3789.
Submit completed paper applications for RFP grants to the USDA
Rural Utilities Service, 1400 Independence Ave., SW., Room 2233, STOP
1570, Washington, DC 20250-1570. Applications should be marked
``Attention: Assistant Administrator, Water and Environmental
Programs.''
Submit electronic grant applications at http://www.grants.gov
(Grants.gov) and follow the instructions you find on that Web site.
FOR FURTHER INFORMATION CONTACT: Joyce Taylor, Community Program
Specialist, USDA, Rural Utilities Service, Water and Environmental
Programs; telephone: (202) 720-0499, fax: (202) 690-0649.
SUPPLEMENTARY INFORMATION:
Overview
Federal Agency: Rural Utilities Service (RUS).
Funding Opportunity Title: Grant Program to Establish a Fund for
Financing Water and Wastewater Projects (Revolving Fund Program (RFP)).
Announcement Type: Funding Level Announcement, and Solicitation of
Applications.
Catalog of Federal Domestic Assistance (CFDA) Number: 10.864.
Dates: You may submit completed application for a RFP grant from
July 25, 2011 to July 25, 2011.
Reminder of competitive grant application deadline: Applications
must be mailed, shipped or submitted electronically through Grants.gov
no later than July 25, 2011 to be eligible for FY 2011 grant funding.
Items in Supplementary Information
I. Funding Opportunity: Brief introduction to the RFP.
II. Award Information: Available funds, maximum amounts.
III. Eligibility Information: Who is eligible, what kinds of
projects are eligible, what criteria determine basic eligibility.
IV. Application and Submission Information: Where to get application
materials, what constitutes a completed application, how and where
to submit applications, deadlines, items that are eligible.
V. Application Review Information: Considerations and preferences,
scoring criteria, review standards, selection information.
VI. Award Administration Information: Award notice information,
award recipient reporting requirements.
VII. Agency Contacts: Web, phone, fax, e-mail, contact name.
I. Funding Opportunity
Drinking water systems are basic and vital to both health and
economic development. With dependable water facilities, rural
communities can attract families and businesses that will invest in the
community and improve the quality of life for all residents. Without
dependable water facilities, the communities cannot sustain economic
development.
RUS provides financial and technical assistance to help communities
bring safe drinking water and sanitary, environmentally sound waste
disposal facilities to rural Americans. It supports the sound
development of rural communities and the growth of our economy without
endangering the environment.
The Revolving Fund Program (RFP) has been established to assist
communities with water or wastewater systems. Qualified private, non-
profit organizations, who are selected for funding, will receive RFP
grant funds to establish a lending program for eligible entities.
Eligible entities for the revolving loan fund will be the same entities
eligible to obtain a loan, loan guarantee, or grant from the Water and
Waste Disposal loan and grant programs administered by RUS, under 7
U.S.C. 1926(a)(1) and (2). As grant recipients, the non-profit
organizations will set up a revolving loan fund to provide loans to
finance predevelopment costs of water or wastewater projects, or short-
term small capital projects not part of the regular operation and
maintenance of current water and wastewater systems. The amount of
financing to an eligible entity shall not exceed $100,000.00 and shall
be repaid in a term not to exceed 10 years. The rate shall be
determined in the approved grant work plan.
II. Award Information
Available funds: RUS is making available $496,000 for competitive
grants in FY 2011.
III. Eligibility Information
A. Who is eligible to apply?
An applicant is eligible to apply for the RFP grant if it:
1. Is a private, non-profit organization;
2. Is legally established and located within one of the following:
(a) A state within the United States;
(b) The District of Columbia;
(c) The Commonwealth of Puerto Rico; or
(d) A United States territory;
3. Has the legal capacity and authority to carry out the grant
purpose;
4. Has a proven record of successfully operating a revolving loan
fund to rural areas;
5. Has capitalization acceptable to the Agency, and is composed of
at least 51 percent of the outstanding interest or membership being
citizens of the United States or individuals who reside in the United
States after being legally admitted for permanent residence;
6. Has no delinquent debt to the Federal Government or no
outstanding judgments to repay a Federal debt;
7. Demonstrates that it possesses the financial, technical, and
managerial capability to comply with Federal and State laws and
requirements.
B. What are the basic eligibility requirements for a project?
1. The following activities are authorized under the RFP statute:
(a) Grant funds must be used to capitalize a revolving fund program
for the purpose of providing direct loan financing to eligible entities
for pre-development costs associated with proposed or with existing
water and wastewater systems, or,
(b) Short-term costs incurred for equipment replacement, small-
scale extension of services, or other small capital projects that are
not part of the regular operations and maintenance activities of
existing water and wastewater systems.
2. Grant funds may not be used to pay any of the following:
(a) Payment of the Grant Recipient's administrative costs or
expenses, or,
(b) Delinquent debt owed to the Federal Government.
IV. Application and Submission Information
A. The grant application guide, copies of necessary forms and
samples, and the
[[Page 30096]]
RFP regulation are available from these sources:
1. The Internet: http://www.usda.gov/rus/water/index.htm or http://www.grants.gov.
2. For paper copies of these materials telephone (202) 720-0499.
B. You may file an application in either paper or electronic
format.
Whether you file a paper or an electronic application, you will
need a DUNS number.
1. DUNS Number.
As required by the OMB, all applicants for grants must supply a Dun
and Bradstreet Data Universal Numbering System (DUNS) number when
applying. The Standard Form 424 (SF-424) contains a field for you to
use when supplying your DUNS number. Obtaining a DUNS number costs
nothing and requires a short telephone call to Dun and Bradstreet.
Please see http://www.grants.gov/applicants/request_duns_number.jsp
for more information on how to obtain a DUNS number or how to verify
your organization's number.
For electronic applications, you must file an electronic
application at the Web site: http://www.grants.gov. You must be
registered with Grants.gov before you can submit a grant application.
If you have not used Grants.gov before, you will need to register with
the CCR and the Credential Provider. You will need a DUNS number to
access or register at any of the services.
2. Central Contractor Registration (CCR).
(a) In accordance with 2 CFR part 25, applicants, whether applying
electronically or by paper, must be registered in the CCR prior to
submitting an application. Applicants may register for the CCR at
https://www.uscontractorregistration.com/or by calling 1-877-252-2700.
Completing the CCR registration process takes up to five business days,
and applicants are strongly encouraged to begin the process well in
advance of the deadline specified in this notice.
(b) The CCR registration must remain active, with current
information, at all times during which an entity has an application
under consideration by an agency or has an active Federal Award. To
remain registered in the CCR database after the initial registration,
the applicant is required to review and update, on an annual basis from
the date of initial registration or subsequent updates, its information
in the CCR database to ensure it is current, accurate and complete.
3. Applications submitted by paper:
(a) Send or deliver paper applications by the U.S. Postal Service
(USPS) or courier delivery services to: Assistant Administrator-Water
and Environmental Programs, Rural Utilities Service, 1400 Independence
Avenue, SW., STOP 1548, Room S-5145, Washington, DC 20250-1548.
(b) For paper applications mail or ensure delivery of an original
paper application (no stamped, photocopied, or initialed signatures)
and two copies by the deadline date. The application and any materials
sent with it become Federal records by law and cannot be returned to
you.
C. A complete application must meet the following requirements:
1. To be considered for support, you must be an eligible entity and
must submit a complete application by the deadline date. You should
consult the cost principles and general administrative requirements for
grants pertaining to their organizational type in order to prepare the
budget and complete other parts of the application. You also must
demonstrate compliance (or intent to comply), through certification or
other means, with a number of public policy requirements.
2. Applicants must complete and submit the following forms to apply
for a RFP grant:
(a) Standard Form 424, ``Application for Federal Assistance''
(b) Standard Form 424A, ``Budget Information--Non-Construction
Programs''
(c) Standard Form 424B, ``Assurances--Non-Construction Programs''
(d) Standard Form LLL, ``Disclosure of Lobbying Activity''
(e) Form RD 400-1, ``Equal Opportunity Agreement''
(f) Form RD 400-4, ``Assurance Agreement (Under Title VI, Civil
Rights Act of 1964)
3. The project proposal should outline the project in sufficient
detail to provide a reader with a complete understanding of how the
loan program will work. Explain what you will accomplish by lending
funds to eligible entities. Demonstrate the feasibility of the proposed
loan program in meeting the objectives of this grant program. The
proposal should cover the following elements:
(a) Present a brief project overview. Explain the purpose of the
project, how it relates to RUS' purposes, how you will carry out the
project, what the project will produce, and who will direct it.
(b) Describe why the project is necessary. Demonstrate that
eligible entities need loan funds. Quantify the number of prospective
borrowers or provide statistical or narrative evidence that a
sufficient number of borrowers will exist to justify the grant award.
Describe the service area. Address community needs.
(c) Clearly state your project goals. Your objectives should
clearly describe the goals and be concrete and specific enough to be
quantitative or observable. They should also be feasible and relate to
the purpose of the loan program.
(d) The narrative should cover in more detail the items briefly
described in the Project Summary. It should establish the basis for any
claims that you have substantial expertise in promoting the safe and
productive use of revolving funds. In describing what the project will
achieve, you should tell the reader if it also will have broader
influence. The narrative should address the following points:
(1) Document your ability to administer and service a revolving
fund in accordance with the provisions of 7 CFR Part 1783.
(2) Document your ability to commit financial resources to
establish the RFP with funds your organization controls. This
documentation should describe the sources of funds other than the RFP
grant that will be used to pay your operational costs and provide
financial assistance for projects.
(3) Demonstrate that you have secured commitments of significant
financial support from other funding sources, if appropriate.
(4) List the fees and charges that borrowers will be assessed.
(e) The work plan must describe the tasks and activities that will
be accomplished with available resources during the grant period. It
must show the work you plan to do to achieve the anticipated outcomes,
goals, and objectives set out for the RFP. The plan must:
(1) Describe the work to be performed by each person.
(2) Give a schedule or timetable of work to be done.
(3) Show evidence of previous experience with the techniques to be
used or their successful use by others.
(4) Outline the loan program to include the following: Specific
loan purposes, a loan application process, priorities, borrower
eligibility criteria, limitations, fees, interest rates, terms, and
collateral requirements.
(5) Provide a marketing plan.
(6) Explain the mechanics of how you will transfer loan funds to
the borrowers.
(7) Describe follow-up or continuing activities that should occur
after project completion such as monitoring and reporting borrowers'
accomplishments.
[[Page 30097]]
(8) Describe how the results will be evaluated. The evaluation
criteria should be in line with the project objectives.
(9) List all personnel responsible for administering this program
along with a statement of their qualifications and experience.
(f) The written justification for projected costs should explain
how budget figures were determined for each category. It should
indicate which costs are to be covered by grant funds and which costs
will be met by your organization or other organizations. The
justification should account for all expenditures discussed in the
narrative. It should reflect appropriate cost-sharing contributions.
The budget justification should explain the budget and accounting
system proposed or in place. The administrative costs for operating the
budget should be expressed as a percentage of the overall budget. The
budget justification should provide specific budget figures, rounding
off figures to the nearest dollar. Applicants should consult OMB
Circular A-122: ``Cost Principles for Non-Profit Organizations'' for
information about appropriate costs for each budget category.
(g) In addition to completing the standard application forms, you
must submit:
1. Supplementary material that demonstrate that your organization
is legally recognized under state and Federal law. Satisfactory
documentation includes, but is not limited to, certificates from the
Secretary of State, or copies of state statutes or laws establishing
your organization. Letters from the IRS awarding tax-exempt status are
not considered adequate evidence.
2. A certified list of directors and officers with their respective
terms.
3. Evidence of tax exempt status from the IRS.
4. Debarment and suspension information required in accordance with
7 CFR, Part 3017, subpart 3017.335, if it applies. The section heading
is ``What information must I provide before entering into a covered
transaction with the Department of Agriculture?'' It is part of the
Department of Agriculture's rules on Government-wide Debarment and
Suspension.
5. All of your organization's known workplaces by including the
actual address of buildings (or parts of buildings) or other sites
where work under the award takes place. Workplace identification is
required under the drug-free workplace requirements in accordance with
7 CFR, Part 3021, subpart 3021.230. The section heading is ``How and
when must I identify workplaces?'' It is part of the Department of
Agriculture's rules on Government-wide Requirements for Drug-Free
Workplace (Financial Assistance).
6. The most recent audit of your organization.
7. The following financial statements:
i. A pro forma balance sheet at start-up and for at least three
additional years; Balance sheets, income statements, and cash flow
statements for the last three years.
ii. If your organization has been formed less than three years, the
financial statements should be submitted for the periods from inception
to the present. Projected income and cash flow statements for at least
three years supported by a list of assumptions showing the basis for
the projections. The projected income statement and balance sheet must
include one set of projections that shows the revolving loan fund only
and a separate set of projections that shows your organization's total
operations.
8. Additional information to support and describe your plan for
achieving the grant objectives. The information may be regarded as
essential for understanding and evaluating the project and may be found
in letters of support, resolutions, policies, and other relevant
documents. The supplements may be presented in appendices to the
proposal.
V. Application Review Information
A. Within 30 days of receiving your application, RUS will send you
a letter of acknowledgment. Your application will be reviewed for
completeness to determine if you included all of the items required. If
your application is incomplete or ineligible, RUS will return it to you
with an explanation.
B. A review team, composed of at least two members, will evaluate
all applications and proposals. They will make overall recommendations
based on factors such as eligibility, application completeness, and
conformity to application requirements. They will score the
applications based on criteria in the next section.
C. All applications that are complete and eligible will be ranked
competitively based on the following scoring criteria:
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Scoring criteria Points
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1. Degree of expertise and successful .........................
experience in making and servicing
commercial loans, with a successful record.
(i) At least 1 but less than 3 years..... 5 points.
(ii) At least 3 but less than 5 years.... 10 points.
(iii) At least 5 but less than 10 years.. 20 points.
(iv) 10 or more years.................... 30 points.
2. Percentage of applicant contributions. .........................
Points allowed under this paragraph will be
based on written evidence of the
availability of funds from sources other
than the proceeds of an RFP grant to pay
part of the cost of a loan recipient's
project. In-kind contributions will not be
considered. Funds from other sources as a
percentage of the RFP grant and points
corresponding to such percentages are as
follows:
Less than 20 percent..................... Ineligible.
At least 20 percent but not more than 49 10 points.
percent of the total project costs.
At least 50 percent of the total project 20 points.
costs.
3. Extent to which the work plan clearly Up to 40 points.
articulates a well thought out comprehensive
approach to accomplishing objectives;
clearly defines who will be served by the
project or program; clearly articulates the
problem/issues to be addressed, identifies
the service area to be covered by the RFP
loans, and appears likely to be sustainable.
4. Extent to which the goals and objectives Up to 15 points.
are clearly defined, tied to the work plan,
and are measurable.
5. Lowest ratio of projected administrative Up to 10 points
expenses to loans advanced.
6. Evaluation methods for considering loan Up to 20 points.
applications and making RFP loans that are
specific to the program, clearly defined,
measurable, and are consistent with program
outcomes.
7. Administrator's discretion, taking into Up to 10 points.
consideration such factors as:.
Creative outreach ideas for marketing RFP .........................
loans;
Amount of funds requested in relation to .........................
the amount of needs demonstrated in the
proposal;
Excellent utilization of a previous .........................
revolving loan fund; and,
Optimizing the use of agency resources. .........................
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[[Page 30098]]
VI. Award Administration Information
A. RUS will rank all qualifying applications by their final score.
Applications will be selected for funding, based on the highest scores
and the availability of funding for RFP grants. Each applicant will be
notified in writing of the score its application receives.
B. In making its decision about your application, RUS may determine
that your application is:
1. Eligible and selected for funding,
2. Eligible but offered fewer funds than requested,
3. Eligible but not selected for funding, or
4. Ineligible for the grant.
C. In accordance with 7 CFR Part 1900, subpart B, you generally
have the right to appeal adverse decisions. Some adverse decisions
cannot be appealed. For example, if you are denied RUS funding due to a
lack of funds available for the grant program, this decision cannot be
appealed. However, you may make a request to the National Appeals
Division (NAD) to review the accuracy of our finding that the decision
cannot be appealed. The appeal must be in writing and filed at the
appropriate Regional Office, which can be found at http://www.nad.usda.gov/offices.htm or by calling (703) 305-1166.
D. Applicants selected for funding will complete a grant agreement,
which outlines the terms and conditions of the grant award.
E. Grantees will be reimbursed as follows:
1. SF-270, ``Request for Advance or Reimbursement,'' will be
completed by the grantee and submitted to either the State or National
Office.
2. Upon receipt of a properly completed SF-270, the funds will be
requested through the field office terminal system. Ordinarily, payment
will be made within 30 days after receipt of a proper request for
reimbursement.
F. Any change in the scope of the project, budget adjustments of
more than 10 percent of the total budget, or any other significant
change in the project must be reported to and approved by the approval
official by written amendment to the grant agreement. Any change not
approved may be cause for termination of the grant.
G. Grantees shall constantly monitor performance to ensure that
time schedules are being met, projected work by time periods is being
accomplished, and other performance objectives are being achieved. The
Grantee will provide project reports as follows:
1. SF-269, ``Financial Status Report (short form),'' and a project
performance activity report will be required of all grantees on a
quarterly basis, due 30 days after the end of each quarter.
2. A final project performance report will be required with the
last SF-269 due 90 days after the end of the last quarter in which the
project is completed. The final report may serve as the last quarterly
report.
3. All multi-State grantees are to submit an original of each
report to the National Office. Grantees serving only one State are to
submit an original of each report to the State Office. The project
performance reports should detail, preferably in a narrative format,
activities that have transpired for the specific time period.
H. The grantee will provide an audit report or financial statements
as follows:
1. Grantees expending $500,000 or more Federal funds per fiscal
year will submit an audit conducted in accordance with OMB Circular A-
133. The audit will be submitted within 9 months after the grantee's
fiscal year. Additional audits may be required if the project period
covers more than one fiscal year.
2. Grantees expending less than $500,000 will provide annual
financial statements covering the grant period, consisting of the
organization's statement of income and expense and balance sheet signed
by an appropriate official of the organization. Financial statements
will be submitted within 90 days after the grantee's fiscal year.
3. Recipient and Subrecipient Reporting.
The applicant must have the necessary processes and systems in
place to comply with the reporting requirements for first-tier sub-
awards and executive compensation under the Federal Funding
Accountability and Transparency Act of 2006 in the event the applicant
receives funding unless such applicant is exempt from such reporting
requirements pursuant to 2 CFR part 170, Sec. 170.110(b). The
reporting requirements under the Transparency Act pursuant to 2 CFR
part 170 are as follows:
a. First Tier Sub-Awards of $25,000 or more in non-Recovery Act
funds (unless they are exempt under 2 CFR Part 170) must be reported by
the Recipient to http://www.fsrs.gov no later than the end of the month
following the month the obligation was made.
b. The Total Compensation of the Recipient's Executives (5 most
highly compensated executives) must be reported by the Recipient (if
the Recipient meets the criteria under 2 CFR Part 170) to http://www.ccr.gov by the end of the month following the month in which the
award was made.
c. The Total Compensation of the Subrecipient's Executives (5 most
highly compensated executives) must be reported by the Subrecipient (if
the Subrecipient meets the criteria under 2 CFR Part 170) to the
Recipient by the end of the month following the month in which the
subaward was made.
VIII. Agency Contacts
A. Web site: http://www.usda.gov/rus/water. The Rural Utilities
Service Web site maintains up-to-date resources and contact information
for the RFP.
B. Phone: 202-720-0499.
C. Fax: 202-690-0649.
D. E-mail: [email protected].
E. Main point of contact: Joyce Taylor, Community Programs
Specialist, Water and Environmental Programs, Water Programs Division,
Rural Utilities Service, USDA.
Dated: April 27, 2011.
Jonathan Adelstein,
Administrator, Rural Utilities Service.
[FR Doc. 2011-12817 Filed 5-23-11; 8:45 am]
BILLING CODE 3410-15-P