[Federal Register Volume 73, Number 215 (Wednesday, November 5, 2008)]
[Notices]
[Pages 65826-65830]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-26322]
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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 solicitation of applications.
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SUMMARY: The Rural Utilities Service, an agency delivering the United
States Department of Agriculture's (USDA) Rural Development Utilities
Programs, hereinafter referred to as Rural Development, announces its
Revolving Fund Program (RFP) application window for Fiscal Year (FY)
2009. In addition to announcing the application window, Rural
Development announces the available funding and maximum amounts for RFP
competitive grants for the fiscal year. This notice is being issued
prior to passage of a final appropriations bill, which may or may not
provide for funding this program, to allow applicants sufficient time
to leverage financing and submit applications. Rural Development will
publish a subsequent notice identifying the amount received in the
appropriations, if any.
The RFP is authorized under section 306(a) of the Consolidated Farm
and Rural Development Act (Con Act), 7 U.S.C. 1926(a), as amended by
section 6001 of the Food, Conservation & Energy Act of 2008 (2008 Farm
Bill), Public Law 110-246. Qualified private non-profit organizations
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 Rural Development Utilities Programs Water and Waste
Disposal 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 May 31, 2009 to be eligible for FY 2009
grant funding. Late or incomplete applications will not be eligible for
FY 2009 grant funding.
Electronic copies must be received by May 31, 2009 to be
eligible for FY 2009 grant funding. Late or incomplete applications
will not be eligible for FY 2009 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 Rural
Development Utilities Programs, U.S. Department of Agriculture, 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: Anita O'Brien, Loan Specialist, U.S.
Department of Agriculture, Rural Development Utilities Programs, Water
and Environmental Programs; telephone: (202) 690-3789, 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.
Due Date for Applications: May 31, 2009.
Reminder of Competitive Grant Application Deadline: Applications
[[Page 65827]]
must be mailed, shipped or submitted electronically through Grants.gov
no later than May 31, 2009 to be eligible for FY 2009 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, email, 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.
Rural Development provides financial and technical assistance to
help communities bring safe drinking water and sanitary,
environmentally sound waste disposal facilities to rural Americans in
greatest need. It supports the sound development of rural communities
and the growth of our economy without endangering the environment.
The Revolving Fund (RFP) Grant Program has been established to
assist communities with water or wastewater systems. Qualified private
non-profit organizations 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 Rural Development. 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
interest rate on loans made under RFP shall be determined in the
approved grant work plan.
II. Award Information
Available funds: Rural Development will publish a subsequent notice
announcing the amount of funds available once a final Appropriations
bill is enacted for FY 2009.
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 that has tax-exempt status
from the United States Internal Revenue Service (IRS);
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; and
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 Ultimate
Recipients 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 either of the following:
(a) Payment of the Intermediary'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 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) 690-3789.
B. You may file an application in either paper or electronic
format.
1. 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 Development Utilities Programs, 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.
2. Electronically submitted applications:
(a) For electronic applications you must file through Grants.gov,
the official Federal Government Web site at 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 Central Contractor Registry (CCR) and the Credential
Provider. You will need a DUNS number to access or register at any of
the services. The registration processes may take several business days
to complete. Follow the instructions at Grants.gov for registering and
submitting an electronic application. Rural Development may request
original signatures on electronically submitted documents later.
(b) The CCR registers your organization, housing your
organizational information and allowing Grants.gov to use it to verify
your identity. You may register for the CCR by calling the CCR
Assistance Center at 1-888-227-2423 or, you may register online at
http://www.ccr.gov.
(c) The Credential Provider gives you or your representative a
username and password, as part of the Federal Government's e-
Authentication to ensure a secure transaction. You will need the
username and password when
[[Page 65828]]
you register with Grants.gov or use Grants.gov to submit your
application. You must register with the Central Provider through
Grants.gov at the following Web address: https://apply.grants.gov/OrcRegister.
(d) DUNS Number: Whether you file a paper or an electronic
application, you will need a Dun and Bradstreet (D&B) Data Universal
Numbering System (DUNS) number. You must provide your DUNS number on
the SF-424, ``Application for Federal Assistance.'' To verify that your
organization has a DUNS number or to receive one at no cost, call the
dedicated toll-free request line at 1-866-705-5711 or access the Web
site at http://www.dunandbradstreet.com. The following information is
needed when requesting a DUNS number:
(1) Legal Name.
(2) Headquarters name and address of the organization.
(3) Doing business as (dba) or other name by which the organization
is commonly recognized.
(4) Physical address.
(5) Mailing address (if separate from headquarters and/or physical
address).
(6) Telephone number.
(7) Contact name and title.
(8) Number of employees at the physical location.
(e) Rural Development will not accept applications by fax or e-
mail.
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. Applications
should be prepared in conformance with the provisions in 7 CFR 1783,
and applicable USDA regulations including 7 CFR parts 3015, 7 CFR parts
3019, and OMB Circular A-122.
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 Rural Development's 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 that, to establish the revolving fund, you can commit
financial resources 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.
(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
[[Page 65829]]
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 such as letters
of support, resolutions, policies, etc. The supplements may be
presented in appendices to the proposal.
V. Application Review Information
A. Within 30 days of receiving your application, Rural Development
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, Rural
Development 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 Up to 30 points.
experience in making and servicing
commercial loans, with a successful
record.
2--Extent to which the work plan Up to 40 points.
demonstrates 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.
3--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 a 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 10 points.
than 49 percent of the total
project costs.
At least 50 percent of the total 20 points.
project costs.
4--Extent to which the goals and Up to 15 points.
objectives are clearly defined, tied
to the work plan, and are measurable.
5--Lowest ratio of projected Up to 10 points.
administrative expenses to loans
advanced.
6--Evaluation methods for considering Up to 20 points.
loan applications and making RFP loans
are specific to the program, clearly
defined, measurable, and are
consistent with program outcomes.
7--Administrator's discretion, taking Up to 10 points.
into 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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VI. Award Administration Information
A. Rural Development 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, Rural Development
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 Rural Development
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 not more frequently than monthly.
[[Page 65830]]
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.
3. Grantees are encouraged to use women- and minority-owned banks
(a bank which is owned at least 50 percent by women or minority group
members) for the deposit and disbursement of funds.
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.
VII. Agency Contacts
A. Web site: http://www.usda.gov/rus/water. The Rural Development
Utilities Programs Web site maintains up-to-date resources and contact
information for the RFP.
B. Phone: 202-690-3789.
C. Fax: 202-690-0649.
D. E-mail: [email protected].
E. Main point of contact: Anita O'Brien, Loan Specialist, Water and
Environmental Programs, Water Programs Division, Rural Development
Utilities Programs, U.S. Department of Agriculture.
Dated: October 16, 2008.
Curtis M. Anderson,
Deputy Administrator, Rural Utilities Service.
[FR Doc. E8-26322 Filed 11-4-08; 8:45 am]
BILLING CODE 3410-15-P