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					                                                                                              CFOP 75-7


                                                                    STATE OF FLORIDA
                                                                    DEPARTMENT OF
CF OPERATING PROCEDURE                                              CHILDREN AND FAMILIES
NO. 75-7                                                            TALLAHASSEE, 2010

                                Procurement and Contract Management

                          GUIDE TO GRANT SOLICITATIONS AND AWARDS

This operating procedure contains guidance for the provision of financial assistance by the department
to recipients; the circumstances under which grants may be used; and the guidelines to be followed for
the solicitation, evaluation, and award of the grants.

BY DIRECTION OF THE SECRETARY:

       (Signed original copy on file)

Barbara Palmer
Assistant Secretary
  for Administration




                       SUMMARY OF REVISED, DELETED, OR ADDED MATERIAL

This edition is the first consolidated department operating procedure concerning the solicitation, award,
and execution of grants.




This operating procedure is the first edition of CFOP 75-07.
OPR: ASCA
DISTRIBUTION: X: OSES; OSLS; OSIG; ASSC; ASG; ASGO; ASC; ASHR; IS; PDAS; PDCD; PDDV;
PDES; PDFS; PDHO; PDMH; PDRS; PDSA; Contract Managers.
2010                                                                                                                               CFOP 75-7


                                                        TABLE OF CONTENTS
                                                                                                                                 Paragraph
Chapter 1 – GRANTS OVERVIEW
      Scope and Purpose of the Operating Procedure .............................................................. 1-1
      References....................................................................................................................... 1-2
      Contracts and Grants ....................................................................................................... 1-3
      Use of State Grants .......................................................................................................... 1-4
      Ethical Considerations...................................................................................................... 1-5
      Recipient Issues ............................................................................................................... 1-6
      Grant Making and Grant Receipt ...................................................................................... 1-7
      Appointment of Grant Manager ........................................................................................ 1-8


Chapter 2 – PLANNING THE GRANT SOLICITION AND AWARD PROCESS
      Purpose............................................................................................................................ 2-1
      References for this Chapter.............................................................................................. 2-2
      General Planning Considerations ..................................................................................... 2-3
      Financial Components of the Plan .................................................................................... 2-4
      Programmatic Components of the Plan ............................................................................ 2-5
      Grant Plan Routing and Approval ..................................................................................... 2-6
      Workshops and Technical Assistance .............................................................................. 2-6

Chapter 3 – GRANT SOLICITATION & ADVERTISEMENT PROCEDURES
      Purpose............................................................................................................................ 3-1
      References for this Chapter.............................................................................................. 3-2
      Solicited and Unsolicited Grants ....................................................................................... 3-3
      Solicitation Outline and Required Components ................................................................ 3-4
      The Solicitation Development Process ............................................................................. 3-5
      Public Notice and Advertisement ...................................................................................... 3-6
      Government Entity vs. Private Entity Applicant Pools ....................................................... 3-7

Chapter 4 – EVALUATING GRANT APPLICATIONS & AWARD NOTIFICATION
      Purpose............................................................................................................................ 4-1
      References for this Chapter.............................................................................................. 4-2
      Procedures for Handling Applications Following Submission............................................ 4-3
      The Composition and Operation of Evaluation Panels...................................................... 4-4
      Evaluation Methods .......................................................................................................... 4-5
      Evaluation Criteria ............................................................................................................ 4-6
      Decision Making, Notification, and Award......................................................................... 4-7
      Grant Appeals Procedure ................................................................................................. 4-8

Chapter 5 – GRANT AGREEMENTS
      Purpose............................................................................................................................ 5-1
      References for this Chapter.............................................................................................. 5-2
      Preparing Grant Agreements............................................................................................ 5-3
      Special Situations ............................................................................................................. 5-4
      Grant Agreement Review ................................................................................................. 5-5
      Grant Approval and Execution .......................................................................................... 5-6

Chapter 6 – GRANT MANAGEMENT, MONITORING, AND CLOSEOUT
      Purpose............................................................................................................................ 6-1
      References for this Chapter.............................................................................................. 6-2
      Grant Management .......................................................................................................... 6-3
      Grant Manager’s File ........................................................................................................ 6-4

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       Financial Management ..................................................................................................... 6-5
       Monitoring and Evaluation ................................................................................................ 6-6
       Grant Closeout Process ................................................................................................... 6-7


       Appendices
       Appendix A: Standard Grant Agreement
       Appendix B: Grant Award Letter
       Appendix C: Standard Grant Agreement Terms and Conditions




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  CHAPTER ONE ............................................................................................................................................... 1-1
 GRANTS OVERVIEW ....................................................................................................................................... 1-1
 1-1        Scope and Purpose of the Operating Procedure. ........................................................... 1-1
    a.      Internal Agency Instructions. ................................................................................................................. 1-1
    b.      Other Department Operating Procedures. ............................................................................................ 1-1
 1-2        References. ........................................................................................................................ 1-1
    a.      Statutes, Regulations, and Department Operating Procedures for this Chapter. ................................. 1-1
    b.      Other References in this CFOP. ........................................................................................................... 1-1
 1-3        Contracts and Grants. ....................................................................................................... 1-1
    a.      Contracts. .............................................................................................................................................. 1-2
    b.      Grants. ................................................................................................................................................... 1-2
    c.      Types of Grants. .................................................................................................................................... 1-3
 1-4        Use of State Grants. .......................................................................................................... 1-4
    a.      Authority to Award a Grant. ................................................................................................................... 1-4
    b.      Applicability. .......................................................................................................................................... 1-4
    c.      Applicability Exceptions. ........................................................................................................................ 1-5
    d.      Financial Authority and Availability........................................................................................................ 1-5
 1-5        Ethical Considerations...................................................................................................... 1-5
    a.      Ethics Violations. ................................................................................................................................... 1-5
    b.      Employee responsibilities. ..................................................................................................................... 1-5
    c.      Conflict of Interest. ................................................................................................................................ 1-5
 1-6        Recipient Issues. ............................................................................................................... 1-6
    a.      Exemption to Requirement to Register in MFMP. ................................................................................. 1-6
    b.      MFMP Exemption Applicability. ............................................................................................................. 1-6
    c.      Applicability of the MFMP Transaction Fee........................................................................................... 1-6
    d.      Grants and Minority Business Enterprises (MBE). ................................................................................ 1-6
 1-7        Grant Making and Grant Receipt. ..................................................................................... 1-7
    a.      Faithfulness in Acting as a Pass-Through Entity. ................................................................................. 1-7
    b.      Validation and Verification. .................................................................................................................... 1-8
    c.      Proactive Identification of Issues. .......................................................................................................... 1-8
    d.      Unsolicited Proposals to Partner with the Department. ........................................................................ 1-8
 1-8        Appointment of a Grant Manager. .................................................................................... 1-8
   a. Grant Manager Attributes. ..................................................................................................................... 1-8
   b. Special Considerations. ........................................................................................................................ 1-8
   c. Grant Managers to be Department Staff. .............................................................................................. 1-9
   d. Grant Manager Responsibilities Before and After the Solicitation. ....................................................... 1-9
  CHAPTER TWO .............................................................................................................................................. 2-1
 PLANNING THE GRANT SOLICITION AND AWARD PROCESS .................................................................. 2-1
 2-1        Purpose. ............................................................................................................................. 2-1
 2-2        References for this Chapter.............................................................................................. 2-1
    a.      Statutes, Regulations, and Department Operating Procedures ............................................................ 2-1
    b.      Other References. ................................................................................................................................. 2-1
 2-3        General Planning Considerations. ................................................................................... 2-1
    a.      Grant Plan Elements. ............................................................................................................................ 2-1
    b.      Compliance with Executive Order 07-01. .............................................................................................. 2-1
    c.      Avoiding Duplication of Effort. ............................................................................................................... 2-2
    d.      Grant Plan Shall Be Complete. ............................................................................................................. 2-2
    e.      Discussions with Applicants. ................................................................................................................. 2-2
    f.      Use of Unsolicited Proposals or Non-competitive Awards. ................................................................... 2-2
 2-4        Financial Components of the Plan. .................................................................................. 2-2
    a.      Fund Sources. ....................................................................................................................................... 2-3
    b.      Grant Award Amounts, Total, and Adjustments. ................................................................................... 2-3

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    c.      Limitations on the Use of Grant Funds.................................................................................................. 2-3
    d.      Match Considerations............................................................................................................................ 2-4
    e.      Other Financial Considerations. ............................................................................................................ 2-5
 2-5        Programmatic Components of the Plan........................................................................... 2-6
    a.      Goals and Objectives. ........................................................................................................................... 2-6
    b.      Population to be Served. ....................................................................................................................... 2-6
    c.      Statutory Preference Criteria. ................................................................................................................ 2-6
    d.      Applicant Characteristics. ...................................................................................................................... 2-7
    e.      Program Design and Logic Models. ...................................................................................................... 2-7
    f.      Schedules, Timeframes, and Deadlines. .............................................................................................. 2-8
 2-6        Grant Plan Routing and Approval. ................................................................................. 2-10
 2-7        Workshops and Technical Assistance........................................................................... 2-10
   a. Pre-Solicitation Technical Assistance. ................................................................................................ 2-10
   b. During the Period of the Solicitation. ................................................................................................... 2-10
   c. Technical Assistance Strategies Included in Grant Plan. ................................................................... 2-11
  CHAPTER THREE ........................................................................................................................................... 3-1
 GRANT SOLICITION & ADVERTISEMENT PROCEDURES .......................................................................... 3-1
 3-1        Purpose. ............................................................................................................................. 3-1
 3-2        References for this Chapter.............................................................................................. 3-1
    d.      Statutes, Regulations, and Department Operating Procedures ............................................................ 3-1
    e.      Other References. ................................................................................................................................. 3-1
 3-3        Solicited and Unsolicited Grants...................................................................................... 3-1
    a.      Accountability and Integrity Essential in all Grant Activities. ................................................................. 3-1
    b.      Flexibility in Grant Making. .................................................................................................................... 3-2
    c.      Solicited Grants. .................................................................................................................................... 3-2
    d.      Unsolicited Grant Proposals. ................................................................................................................. 3-4
 3-4        Solicitation Outline and Required Components. ............................................................. 3-5
    a.      Solicitation Title and Number. [Title Page of a grant solicitation] ......................................................... 3-6
    b.      Introduction. [Section 1] ....................................................................................................................... 3-6
    c.      Scope of Grant Activities. [Section 2] ................................................................................................... 3-6
    d.      The Grant Solicitation and Evaluation Processes. [Section 3] ............................................................. 3-9
    e.      Instructions for Preparation and Submission of Applications. [Section 4] .......................................... 3-14
    f.      Documents, Forms, and Worksheets. [Section 5] .............................................................................. 3-17
 3-5        The Solicitation Development Process. ......................................................................... 3-18
    a.      Grant Origination Unit.......................................................................................................................... 3-18
    b.      Grant Managers. ................................................................................................................................. 3-18
    c.      Legal Services. .................................................................................................................................... 3-18
    d.      Fiscal Office......................................................................................................................................... 3-19
    e.      Contract Administration. ...................................................................................................................... 3-19
    f.      Solicitation Schedules, Timeframes, and Deadlines. .......................................................................... 3-19
 3-6        Public Notice and Advertisement. .................................................................................. 3-19
    a.      Public Notice of Grant Solicitations. .................................................................................................... 3-19
    b.      Content of Grant Availability Advertisements. ..................................................................................... 3-20
    c.      Additional Grant Solicitation Update Notices. ..................................................................................... 3-20
 3-7        Government Entity vs. Private Entity Applicant Pools. ................................................ 3-20
   a. Waiver for Government Entity Applicant Pools. .................................................................................. 3-20
   b. Necessity for Law to Limit Pools. ........................................................................................................ 3-20
   c. Approvals Needed. .............................................................................................................................. 3-21
   d. Contracts Staff Director Action. ........................................................................................................... 3-21
  CHAPTER FOUR ............................................................................................................................................. 4-1
 EVALUATING GRANT APPLICATIONS & AWARD NOTIFICATION ............................................................ 4-1
 4-1        Purpose. ............................................................................................................................. 4-1

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 4-2        References for this Chapter.............................................................................................. 4-1
    a.      Statutes, Regulations, and Department Operating Procedures. ........................................................... 4-1
    b.      Other References. ................................................................................................................................. 4-1
 4-3        Procedures for Handling Applications Following Submission. ..................................... 4-1
    a.      Type 1 Grant Solicitations. .................................................................................................................... 4-1
    b.      Type 2 Grant Solicitations. .................................................................................................................... 4-3
    c.      Unsolicited Applications. ....................................................................................................................... 4-4
 4-4        The Composition and Operation of Evaluation Panels. .................................................. 4-4
    a.      Appointment of Evaluation Panel Members. ......................................................................................... 4-4
    b.      Briefing Evaluation Panel Members. ..................................................................................................... 4-5
    c.      Statutory Criteria Governing Evaluation Panels. ................................................................................... 4-5
    d.      Evaluation Panel Timing and Scheduling. ............................................................................................ 4-5
 4-5        Evaluation Methods........................................................................................................... 4-6
    a.      Use of Individually Scored Criteria. ....................................................................................................... 4-6
    b.      Panel Discussions. ................................................................................................................................ 4-7
    c.      Oral Interviews. ..................................................................................................................................... 4-8
    d.      Site Visits. .............................................................................................................................................. 4-9
    e.      Budget Review. ................................................................................................................................... 4-10
 4-6        Evaluation Criteria. .......................................................................................................... 4-10
    a.      Compliance with Laws and Regulations. ............................................................................................ 4-10
    b.      Flexibility in Using Criteria. .................................................................................................................. 4-11
    c.      Amplifying Instructions Regarding Criteria. ......................................................................................... 4-11
    d.      Appropriate Number of Criteria. .......................................................................................................... 4-11
    e.      Evaluation Worksheets........................................................................................................................ 4-11
    f.      Criteria Must Evaluate Appropriate Abilities. ....................................................................................... 4-12
    g.      Organizational Qualification Criteria. ................................................................................................... 4-12
    h.      Project Quality Criteria. ....................................................................................................................... 4-12
    i.      Staff Qualification Criteria. .................................................................................................................. 4-13
    j.      Financial Value Criteria. ...................................................................................................................... 4-13
    k.      Scoring Guides and Worksheets. ........................................................................................................ 4-14
    l.      All Criteria Must Appear in the Solicitation. ......................................................................................... 4-14
    m.      Unsolicited Proposal Evaluation. ......................................................................................................... 4-14
 4-7        Decision Making, Notification, and Award. .................................................................... 4-14
    a.      Grant Award Decision Making Process............................................................................................... 4-14
    b.      Issuing the Award Notice. ................................................................................................................... 4-15
    c.      Contents of the Written Notice. ........................................................................................................... 4-15
    d.      Notice of Appeal Rights. ...................................................................................................................... 4-16
 4-8        Grant Appeals Procedure. .............................................................................................. 4-18
   a.   Secretary to Establish Grant Appeal Authority for non-Administrative Procedures Act Grant Award
   Processes. ................................................................................................................................................... 4-18
   b.   Effect of an Appeal upon an Award or Decision Award. ..................................................................... 4-20
  CHAPTER FIVE ............................................................................................................................................... 5-1
 GRANT AGREEMENTS.................................................................................................................................... 5-1
 5-1        Purpose. ............................................................................................................................. 5-1
    a.      Use of The Terms Contracts and Grants. ............................................................................................. 5-1
    b.      Grants and Contracts Both Legally Enforceable. .................................................................................. 5-1
    c.      Need for Clarity in Grant Agreements. .................................................................................................. 5-1
 5-2        References for this Chapter.............................................................................................. 5-1
    a.      Statutes, Regulations, and Department Operating Procedures. ........................................................... 5-1
    b.      Other References. ................................................................................................................................. 5-1
 5-3        Preparing Grant Agreements. ........................................................................................... 5-2
    a.      Grant Agreements Resulting from Solicitations. ................................................................................... 5-2
    b.      Grant Agreements Resulting from Unsolicited Proposals. .................................................................... 5-5


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 5-4        Special Situations. ............................................................................................................ 5-6
    a.      Deviations from the Standard Grant Agreement. .................................................................................. 5-6
    b.      Advance Payments. .............................................................................................................................. 5-7
    c.      Renewals. .............................................................................................................................................. 5-8
    d.      Extensions. ............................................................................................................................................ 5-8
    e.      Methods of Payment. ............................................................................................................................ 5-9
    f.      Construction or Renovation of Facilities Using State Funds. ................................................................ 5-9
    g.      Bond Requirements for the Construction of Publicly Owned Buildings Using State Funds. ................ 5-9
 5-5        Grant Agreement Review. ................................................................................................. 5-9
    a.      Review and Approval Routing Form. .................................................................................................... 5-9
    b.      Grant Manager Tracking. .................................................................................................................... 5-11
 5-6        Grant Approval and Execution. ...................................................................................... 5-11
   a. Agreements Must be Executed Before Start of Work. ........................................................................ 5-11
   b. Grant Signatory Authority. ................................................................................................................... 5-11
   c. Recipients Should Sign Agreement First. ........................................................................................... 5-12
   d. Distribution of Signed Agreement. ...................................................................................................... 5-12
  CHAPTER SIX ................................................................................................................................................. 6-1
 GRANT MANAGEMENT, MONITORING, AND CLOSEOUT .......................................................................... 6-1
 6-1        Scope and Purpose. .......................................................................................................... 6-1
 6-2        References for this Chapter.............................................................................................. 6-1
    a.      Statutes, Regulations, and Department Operating Procedures. ........................................................... 6-1
    b.      Other References. ................................................................................................................................. 6-1
 6-3        Grant Management. ........................................................................................................... 6-2
    a.      Preparing for the Grant Process. .......................................................................................................... 6-2
    b.      Acting as Point of Contact. .................................................................................................................... 6-2
    c.      Coordinating the Solicitation. ................................................................................................................ 6-2
    d.      Transmitting Audit Requirements and Information. ............................................................................... 6-2
    e.      Verifying the Recipient’s Signature Authority. ....................................................................................... 6-2
    f.      Recovering Overpayments. ................................................................................................................... 6-3
    g.      Ensuring that the Recipient Can Legally Receive the Award. .............................................................. 6-3
    h.      Checking the Recipient’s Lobbying Status. ........................................................................................... 6-3
    i.      Verifying the Absence of Conflicts of Interest. ...................................................................................... 6-3
    j.      Approving Subcontracts and Assignments. .......................................................................................... 6-3
    k.      Processing Grant Payments. ................................................................................................................ 6-4
    l.      Verifying Civil Rights Compliance. ........................................................................................................ 6-4
    m.      Checking on Clients and Client Services. ............................................................................................. 6-4
    n.      Meeting with the Recipient. ................................................................................................................... 6-4
    o.      Reporting HIPAA Non-compliance. ....................................................................................................... 6-4
    p.      Supporting Grant Oversight. ................................................................................................................. 6-4
    q.      Closing Out the Grant............................................................................................................................ 6-4
 6-4        Grant Manager’s File. ........................................................................................................ 6-5
    a.      The Solicitation File. .............................................................................................................................. 6-5
    b.      The Grant Agreement File. .................................................................................................................... 6-6
 6-5        Financial Management. ..................................................................................................... 6-7
    a.      Invoice Processing, Inspection, and Review. ........................................................................................ 6-7
    b.      Approval of Requests for Payment. ...................................................................................................... 6-7
    c.      Grant Reviews and Related Payment Processing Requirements. ....................................................... 6-8
 6-6        Monitoring and Evaluation................................................................................................ 6-8
    a.      Department Oversight and Monitoring. ................................................................................................. 6-8
    b.      Monitoring Frequency............................................................................................................................ 6-9
    c.      Grant Monitoring Process. .................................................................................................................. 6-10
    d.      COU Responsibility. ............................................................................................................................ 6-12
    e.      Grant Evaluation.................................................................................................................................. 6-12
    f.      Grant Default, Breach, and Termination. ............................................................................................ 6-13

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 6-7    Grant Closeout Process. ................................................................................................. 6-13
   a.   Activities Completed. ........................................................................................................................... 6-13
   b.   Financial Reconciliation Completed. ................................................................................................... 6-13
   c.   Overpayments Recovered. ................................................................................................................. 6-13
   d.   Records Secured................................................................................................................................. 6-13
   e.   Conditions Met. ................................................................................................................................... 6-13
   f.   Match Requirements Met. ................................................................................................................... 6-13
   g.   Monitoring Completed. ........................................................................................................................ 6-13
   h.   Evaluations Completed. ...................................................................................................................... 6-14
   i.   Audits Received. ................................................................................................................................. 6-14
   j.   Civil Rights Requirements Met. ........................................................................................................... 6-14
   k.   Grant File Complete. ........................................................................................................................... 6-14
   l.   Administrative Coordination Accomplished. ........................................................................................ 6-14




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                                              CHAPTER ONE

                                            GRANTS OVERVIEW

1-1      Scope and Purpose of the Operating Procedure.

      In implementing programs to serve its citizens Florida state government has historically
      distinguished between the procurement of commodities or services from vendors and the award of
      financial assistance by means of grants to recipients. This distinction has been reflected in a
      number of ways within Florida statutes and regulations. These statutes and regulations recognize
      that there is a fundamental difference between the state’s purchasing and procurement actions and
      its grant making activity. The state procures commodities or services for its own needs, whereas it
      awards grants (financial assistance) to assist a non-state entity (as defined in Section 215.97, F.S.)
      to pursue programs or projects that will beneficially impact a public issue or need. This Children
      and Families Operating Procedure (CFOP) will describe the processes and procedures by which
      the Department awards and manages grants.

      a. Internal Agency Instructions.

         The policies and procedures included in the CFOP are internal administrative instructions for
         Department employees. The CFOP provides guidance on grant solicitation, management,
         evaluation, and closeout for all organizational levels within the Department. This CFOP serves
         as a basic reference for all Department staff engaged in the administrative and financial
         management of grants, as well as, program directors and other staff members involved in the
         award, review, or program management of grants.

      b. Other Department Operating Procedures.

         This operating procedure is independent of, and stands in distinction to, the operating
         procedures that govern the Department’s procured contracts for goods or services that are
         contained in CFOP 75-2 (Contract Management System for Contractual Services), CFOP 75-8
         (Contract Monitoring Operating Procedures), and CFOP 75-10 (Guide to Competitive
         Procurement – ITB/RFP/ITN).

1-2      References.

      a. Statutes, Regulations, and Department Operating Procedures for this Chapter.

         Sections 20.19, 120.569, 120.57, Part III, Chapter 112, and Chapter 287, F.S.; Americans with
         Disabilities Act (ADA); Chapter 60A-1; and CFOP 75-2, CFOP 75-8, and CFOP 75-10.

      b. Other References in this CFOP.

         This operating procedure will contain various references to documents or forms that for brevity’s
         sake are not included as part of the procedure. The documents and forms referred to may be
         obtained from the Office of Contracted Client Services (ASC) website located at
         http://ewas.dcf.state.fl.us/asc/default.asp.

1-3      Contracts and Grants.

      The distinction between procurement contracts and grant awards can sometimes be blurred,
      because the ultimate result in each case is the formation of a “contract.”. The fact that the state
      executes contract documents both when it is procuring commodities or services and when it is

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awarding financial assistance can create confusion. To minimize the confusion with other
Department operating procedures and processes, this operating procedure will refer to the
documents that formalize grant arrangements as “grant agreements.” This procedure will use the
term “contracts” in its customary Department specific sense as referring to purchase or acquisition
documents. The following is a brief summary of some of the important differences between
contracts, as the Department uses the term, and grants.


a. Contracts.

   Contract arrangements and procurements are characterized by the following attributes:

   (1) Contracts are Used for Purchases.

       Contracts are used to buy or purchase goods or services, whether those commodities or
       services are for the Department’s own use, e.g. office supplies, computers, consulting, etc.,
       or whether they are primarily intended for the use of Department clients, e.g. counseling,
       shelter, treatment, etc.

   (2) Contracts and Purchasing Statutes and Regulations.

       Procurements which are intended to result in a contract between the Department and a
       service provider or vendor must comply with Chapter 287, F.S., Chapter 60A-1, F.A.C., and
       procurement directives issued by the Department of Management Services.

   (3) The Standard Contract.

       Purchases by contract must use the Department’s standard contract and any applicable
       associated documents such as model attachments, mandated forms, and performance
       measures.

   (4) Contract Accountability.

       Purchases by contract are primarily evaluated by determining whether the desired
       commodities or services were satisfactorily delivered with the required quality and at the
       agreed upon price. Contract accountability centers on the product or service, its timely
       delivery, quality and suitability, and achievement of performance expectations.

   (5) Contract Procurements and Appeals.

       Disputes related to procurement solicitations are subject to the protest procedures set forth
       in s. 120.57(3), F.S.

b. Grants.

   Grant arrangements, i.e. the provision of financial assistance, are characterized by the following
   attributes:

   (1) Grants Are Financial Assistance.

       Grants are used to award financial assistance to non-state entities. The grant award
       furthers the entity’s ability to perform its mission in such a way that the entity then
       contributes to and advances a valid public purpose. Such entities are typically referred to as
       non-state entities to distinguish them from departments and agencies of Florida state


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       government. The use of the term “non-state” includes public entities such as municipalities,
       local governments, special purpose authorities, educational institutions, sheriffs’ offices, etc.,
       which may be subdivisions of the state, and often are grant recipients.

   (2) Grants and Purchasing Statutes and Regulations.

       Grant solicitations and awards are not subject to Chapter 287, F.S. or Chapter 60A-1,
       Florida Administrative Code (F.A.C.).

   (3) Grant Agreements and Document Requirements.

       Grant agreements are not required to comply with the CFOPs governing the Department’s
       contract document requirements; however grant agreements must comply with normal and
       routine requirements for clarity, completeness, and legal sufficiency. Moreover, grant
       agreements shall comply with any applicable specific requirements of statutes, rules, or the
       appropriations act, or specific instructions or standards issued by Department legal staff.

   (4) Grant Accountability.

       Grants are primarily evaluated by the recipient’s use of grant funds to accomplish the
       purpose of the grant and the recipient’s compliance with applicable standards for financial
       integrity and accountability. A primary reliance on financial integrity standards does not
       excuse, or condone, a recipient’s failure to faithfully perform all duties and obligations
       imposed upon it by the grant agreement. Grant recipients must comply with any applicable
       evaluation methodologies whether proposed by the recipient or transmitted to the recipient
       by the Department through the agreement. Grant recipients have an affirmative obligation
       to use the grant funds to achieve the purposes for which the grant was awarded.

   (5) Grant Solicitations and Appeals.

       Appeals related to grant solicitations are not subject to the procedures set forth in s.
       120.57(3), F.S. Appeals related to grant solicitations may be subject to the procedures
       described in ss. 120.569 and 120.57(1) or (2), F.S. Where appeals related to grant award
       processes are not subject to the procedures described in ss. 120.569 and 120.57(1) or (2),
       F.S. the appeals shall be addressed by means of the procedure described in section 1-9 of
       these procedures.

c. Types of Grants.

   The following are common types of grants that are used within both the public and private
   sectors. The description of these grant types is illustrative and not exhaustive. It is entirely
   possible that the Department may, in certain circumstances, award grants which do not fit into
   one of the types listed below.

   (1) Operating Support Grants.

       These grants are also referred to as general purpose or general operations grants.

       (a) Operating support grants are typically awarded to provide funds for the general
           operations of a recipient. The state does not award operating support grants with the
           same frequency that it does other types of grants. However, it is possible, under certain
           circumstances, for recipients to use a defined portion of project specific or program
           grants to offset a reasonable portion of its general operating expenses. The use of



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      2010                                                                                  CFOP 75-7


                 funds for general operating purposes is normally linked to the need for the general
                 operations to support the project for which the state has provided funds.

             (b) Grant funds may only be used to provide general operational support if the state or
                 federal funding laws and regulations permit the use of funds for such purposes.

             (c) When state or federal funds permit grant funds to be used for general operational or
                 administrative activities the grant solicitation and documents must specify any limits
                 applicable to such funds. Examples of such limits include, but are not limited to,
                 expenditure caps, pro-rata formulas, excluded activities or expenditures, and requisite
                 reporting procedures and supporting documentation requirements.

         (2) Program or Project Support Grants.

             Most grants issued by the Department and the state are awarded for specified programs or
             projects. A program is a defined set of linked activities that contribute to the achievement of
             a state agency's mission and legislative intent, while preserving accountability for state
             resources. A project is a clearly specified set of interconnected and targeted actions
             designed to accomplish a specific objective. Projects contribute to, or fulfill, a program goal
             with results that may be clearly distinguished and evaluated. Program or project support
             grants may fulfill a wide variety of purposes and may last from a few months up to several
             years. Below are some common types of program or project support grants.

             (a) Planning and start up grants.

             (b) Building, facility, or equipment grants.

             (c) Service enhancement or capacity building grants.

             (d) Emergency response or disaster relief grants.

         (3) Legislatively Mandated Grants.

             The Florida Legislature may, from time to time, prescribe terms and conditions of grants.

1-4      Use of State Grants.

      a. Authority to Award a Grant.

         Section 20.19, F.S. provides the Department with the general authority to contract for the
         acquisition of commodities and services necessary for the Department to complete its mission.
         The Department does not possess general authority to award grants, but may be legislatively
         authorized to implement Federal grant programs or administer state grant funds for particular
         purposes. Therefore, no Department office or official may award a grant unless there is specific
         statutory or budget authority that authorizes the use of grants for particular services or
         purposes. Prior to beginning a grant planning process, the program office or operational unit
         shall review the source of the grant authority. The program office or operational unit shall
         determine that the statutory authority is current and supports the contemplated grant.

      b. Applicability.

         The Department policy is that Department staff members use these procedures to ensure grants
         are offered and issued in accordance with governing law. Department staff shall also ensure
         that grant applicants and recipients are subject to common requirements, treated fairly and


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      2010                                                                                     CFOP 75-7


           consistently, and receive consistent interpretation of policies and procedures. This CFOP will
           emphasize techniques designed to promote a partnership relationship between the Department
           and its grant recipient community. The Department’s goal is to strike a proper balance between
           employing innovation and flexibility to pursue program objectives while preserving accountability
           in the use of state funds and other resources.

      c. Applicability Exceptions.

           This CFOP is not intended to apply to:

           (1) Grants awarded to sheriffs for the performance of child abuse investigations.

           (2) Fixed Capital Outlay (FCO) grants

           (3) Social Services Block Grant Hurricane Remediation Grants.

      d. Financial Authority and Availability

           Grants may be funded by either state or federal funds, or a combination of both. During the
           grant planning process the program or operational unit shall review the proposed grant funding
           source(s) and determine applicable requirements for and restrictions or limitations on the use of
           the funds. The unit shall verify that the funds may be used for the intended purpose and that
           adequate budget authority and cash are available to support the intended grant award. The unit
           shall make these determinations prior to initiating a request for applications or making any other
           announcement about the grant’s availability, and will ensure that all documentation concerning
           the grant process remains consistent with such determinations.

1-5        Ethical Considerations.

      Chapter 112, Part III, F.S., prohibits all Department employees participating in grant solicitation,
      award, management, or evaluation from soliciting or accepting anything of value that could lead to
      the perception that they might be improperly influenced in the discharge of their responsibilities.

      a.   Ethics Violations.

           Examples of ethics violations include, but are not limited to, the following:

           (1) Deliberately failing to disclose a conflict of interest.

           (2) Engaging in or carrying on a business enterprise with a client or person doing business with
               the Department, regardless of whether the client or business contact is directly related to the
               employee’s immediate duties.

           (3) Accepting or requesting gifts or gratuities from contractors, vendors, applicants, recipients,
               or clients in violation of the Public Employee’s Code of Ethics (Part III of Chapter 112, F.S.).

      b. Employee responsibilities.

           All Department employees participating in the grant award process should be familiar with
           Chapter 112, F.S., which describes the ethical obligations of public employees under Florida
           law.

      c. Conflict of Interest.



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           Any person participating in the grant solicitation or award process must complete a Conflict of
           Interest Questionnaire to ensure that no conflict of interest exists that would interfere in the
           grant award, management, or evaluation. The Conflict of Interest Questionnaire (available on
           the ASC website or DCF forms page) shall be reviewed and approved by the Grant Manager’s
           supervisor. If any participant in the procurement process answers “yes” to any question, his or
           her participation must be reviewed by the appropriate supervisor in conjunction with local legal
           counsel. If any conflict or potential conflict is identified, a description of how that conflict was
           resolved must be placed in the grant file.

1-6        Recipient Issues.

      a. Exemption to Requirement to Register in MFMP.

           According to Rule 60A-1.030 grant recipients are exempt from the requirement to register in
           MyFloridaMarketPlace (MFMP). The exemption from registration is found in Rule 60A-1.030. In
           relevant part, Rule 60A-1.030(3) states,

                   “Notwithstanding subsections (1) and (2), an agency may enter into an agreement for
                  the sale of commodities or contractual services as defined in Section 287.012, F.S., with
                  an unregistered vendor when … (d)11. Any commodity or service with respect to which
                  the provider is deemed not to be a vendor, but rather a recipient of a disbursement of
                  state financial assistance as defined in Section 215.97, F.S., or a sub-recipient of a
                  disbursement of a federal award as defined in Circular A-133 of the U.S. Office of
                  Management and Budget (OMB).”

           Nevertheless, the Department of Financial Services uses data from MFMP to establish the
           payment data file for purposes of disbursing state funds. Therefore, grant recipients will
           normally be expected to create a record in MFMP, however, they will not be assessed a fee for
           doing so. See 1-6 c. below.

      b. MFMP Exemption Applicability.

           It is possible that an organization could be both a recipient of financial assistance and a vendor
           of commodities or services at the same time. Recipients who enter into procurement
           transactions with the Department or other state agencies must still be registered in MFMP. The
           exemption for an entity to register based on their receipt of financial assistance does not
           supersede the registration requirement that applies if or when the recipient acts as a vendor of
           commodities or services. In such cases the recipient can complete the MFMP registration on
           the Internet at http://www.myflorida.com.

      c.   Applicability of the MFMP Transaction Fee.

           In accordance with Rule 60A-1.032 (1)(i), F.A.C., disbursements of financial assistance to
           recipients of state financial assistance as defined by s.215.97, F.S. or disbursements of federal
           awards to sub-recipients as defined in OMB circular A-133 are exempt from paying the
           transaction fee.

      d. Grants and Minority Business Enterprises (MBE).

           (1) Introduction.

              Florida statutes contain a number of requirements pertaining to state agencies doing
              business with small, minority-owned businesses. These requirements pertain to for-profit
              businesses domiciled in Florida and owned (at least 51 percent), managed and controlled by


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      2010                                                                                    CFOP 75-7


             minority persons who are permanent residents of Florida and are citizens of the United
             States of America. The overwhelming majority of grant programs contemplate that
             recipients will be non-profit entities, governmental organizations, or educational institutions.
             Therefore, the normal instructions which encourage the use of minority-owned businesses
             will not apply to grant solicitations or awards.

         (2) Department Policy Regarding Grants and MBEs.

             Even though a difference exists between grant awards and contract procurements, the
             Department’s policy is that all Department operational units and program offices should
             consider minority and disadvantaged populations when planning the use of public funds.
             The Department’s policy is to afford small, minority, woman-owned, and service disabled
             veterans business enterprises the maximum opportunity, consistent with law, to participate
             in financial assistance programs. As such, grant originators must consider the following:

             (a) Impact of Previous Grant Awards.

                 Grant originators should review relevant, applicable information which might indicate any
                 historical disparate impact on minority populations from previous grant awards and
                 consider such information when planning for upcoming grant award opportunities.

             (b) Minority Concerns and Solicitations.

                 The traditional purpose of minority business requirements is to overcome the present
                 effects of past discrimination. Grant originators should include minority cultural,
                 demographic, and historical features when planning grant awards and preparing grant
                 solicitations. This includes ensuring that the grant process complies with all the
                 requirements of the Americans with Disabilities Act (ADA) and providing reasonable
                 accommodations where requested or necessary.

             (c) Additional Consideration.

                 Where reasonable and not otherwise prohibited by law or rule, Department units may
                 provide extra consideration in review and evaluation processes for entities that have
                 demonstrated superior provision for serving minority or disadvantaged populations.
                 Such consideration should take the form of using minority considerations as a “tie
                 breaker,” i.e. taking into account the impact of the grant on disadvantaged and minority
                 populations or the use of women and minority business enterprises in the execution of
                 the project.

1-7      Grant Making and Grant Receipt.

      The Department both receives and awards grants. For instance, a significant portion of the
      Department’s overall funding comes from federal grants, e.g. the Social Services Block Grant. In
      addition, the Department may apply to receive privately-funded grants to promote the public’s
      health, safety, and welfare that may be announced by other large funding sources, such as the
      Robert Wood Johnson Foundation. Therefore, it is important to recognize that the Department
      continuously and simultaneously acts as both a grant maker and a grant recipient. This operating
      procedure applies primarily to the Department’s grant making activities and not to its duties when it
      receives grants. Nevertheless, the Department shall adhere to the following principles:

      a. Faithfulness in Acting as a Pass-Through Entity.




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      2010                                                                                   CFOP 75-7


         When the Department receives a grant and uses those funds to support its own grant making
         activity, Department staff will ensure that any requirements imposed on the Department as a
         grant recipient are reflected in the subsequent grant process. The Department shall faithfully
         consider such requirements in grant planning and award. The Department shall transmit the
         requirements to sub-recipients in agreements used to pass through funds. No grant solicitation,
         award, or agreement may violate the terms or conditions of any grant for which the Department
         is a recipient, whether the awarding agency is a public or private entity. This obligation applies
         to programmatic, fiscal, and administrative requirements.

      b. Validation and Verification.

         The Grant Manager shall actively verify that the terms and conditions imposed on the
         Department in a grant are adhered to by the sub-recipients. The Department’s fiduciary
         obligations are identical in all situations regardless of whether the funds originated from a public
         or private source.

      c. Proactive Identification of Issues.

         Department staff shall be vigilant in planning, awarding, or managing a grant to ensure the
         Department’s grant process does not conflict with the grant funding source. Potential conflicts
         between the contents of this operating procedure and the duties imposed by a grant awarded to
         the Department, shall be reported to the appropriate supervisor or manager. Further, the
         identifying unit shall notify the ASC prior to taking any action that might be perceived as a
         violation of this operating procedure. ASC will work with the unit to resolve the potential conflict
         and will notify and coordinate with Department senior management, as appropriate, to ensure
         that the public’s interests and the Department’s integrity are preserved.

      d. Unsolicited Proposals to Partner with the Department.

         There may be instances when the Department receives inquiries from non-state or private
         entities that independently approach the Department about the Department’s willingness to
         partner with them for purposes of seeking a grant as a co-applicant. In such instances the
         Department may evaluate the unsolicited proposal on its own merits to determine if it has the
         interest and authority to enter into such a joint venture to compete for a grant as a co-applicant.
         If the Department is approached independently, the Department is under no obligation to
         determine whether parties other than the one approaching it are available or willing to seek the
         grant. Nevertheless, the Department shall be diligent in protecting the best interests of the
         public and never act in a manner that is contrary to its stated principles of transparency and
         accountability. The Department shall use competition as the primary method for promoting the
         efficient award of grants, even if the funds being used originate from a non-public source.

1-8      Appointment of a Grant Manager.

      Prior to beginning the grant process a member of the Department’s Senior Management or Select
      Exempt Service must designate, in writing, an employee to serve as the Grant Manager.

      a. Grant Manager Attributes.

         In selecting individuals to be designated as a Grant Manager consideration shall be given to an
         individual’s experience, training, education, business expertise, judgment, character, reputation,
         and ethics.

      b. Special Considerations.



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2010                                                                                   CFOP 75-7


   In considering experience, training, and education, the following shall be given special
   consideration: grant making experience, experience in the field of contracting and procurement
   gained in the Department or another state agency; related experience, such as auditing,
   financial management, or accounting; formal education or special training (including Department
   or state government conducted or sponsored courses) in contracting or procurement. Special
   consideration shall also be given to experience or education in pertinent fields such as business
   administration, law, accounting, and public administration; and knowledge of applicable laws,
   regulations, executive orders, and policies.

c. Grant Managers to be Department Staff.

   Only Department staff may be designated as Grant Managers. Grant management
   responsibilities should be assigned to career service employees or a member of the Senior
   Management or Select Exempt Service. If an employee in one of these statuses is unavailable,
   the Department may assign grant management responsibilities to employees in Other Personal
   Services (OPS) status.

d. Grant Manager Responsibilities Before and After the Solicitation.

   Throughout this procedure, the term Grant Manager is used to designate the Department
   employee who has been assigned various duties and responsibilities. There is the possibility
   that the employee assigned as the Grant Manager will need to change during the grant award
   process, particularly before and after the conduct of the grant solicitation, if any. For example it
   is possible that the appointed grant manager for the grant solicitation stage will be a
   headquarters’ employee. Once the grant award is noticed, however, the appointment of a Grant
   Manager for the implementation of the grant agreement and beyond may need to be an
   employee at the Region or Circuit office. This procedure uses the term Grant Manager to refer
   to the employee appointed to perform the particular duties under consideration at the time. The
   Grant Manager appointing authority may change the person assigned to perform the duties at
   any time provided the individual appointed possesses the required attributes and the
   assignment is made in writing.




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      2010                                                                                  CFOP 75-7



                                          CHAPTER TWO

                      PLANNING THE GRANT SOLICITION AND AWARD PROCESS

2-1        Purpose.

      According to a 2009 study by the US Department of Justice Inspector General, “the initial stage of
      any grant program is the most important. If a program is not well developed, it is difficult to
      adequately implement or monitor it. To form a sound foundation, grant programs should have clear
      and strong objectives prior to soliciting applications.” This chapter provides a description of the
      planning that should precede the grant solicitation and award process. Department employees are
      required to follow this process when preparing to provide public notice of the availability of grant
      funds.

2-2        References for this Chapter.

      a.    Statutes, Regulations, and Department Operating Procedures

           Chapter 119 and Sections 215.97 and 286.011, F.S.; Catalog of Federal Domestic Assistance,
           Catalog of State Financial Assistance.

      b. Other References.

           Governor’s Executive Order 07-01;

           Department of Financial Services Contract and Grant Management User Guide
           [http://www.myfloridacfo.com/aadir/docs/ContractandGrantManagementUserGuide.pdf]


2-3        General Planning Considerations.

      Unlike contract solicitations and awards, grant application processes and the resulting grant
      agreements are not bound by the solicitation and document requirements of Chapter 287. As such,
      the grant origination office must develop the process they intend to use for advertisement,
      solicitation, award, and agreement development. The process must ensure that all parties that
      elect to participate in the application process are treated fairly and equitably. The grant planning
      and award process must not only eliminate and prevent favoritism, but also avoid the appearance of
      disparate or unfair treatment. To accomplish this purpose the grant origination office shall develop
      a plan that will guide the process. The plan shall be approved before publically advertising a grant
      solicitation or giving any public notice of the availability of grant funds. The following general
      considerations apply to this grant plan.

      a. Grant Plan Elements.

           The grant plan shall include both financial and programmatic elements. The plan should be as
           detailed as necessary to ensure that Department staff members who will actually execute the
           solicitation and award process have clear instructions about how they are to conduct the
           process and what criteria will apply once the availability of funds is announced. The plan should
           not repeat any material which exists in statutes, rules, or regulations, but should contain
           appropriate references to such material, if any.

      b. Compliance with Executive Order 07-01.


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      2010                                                                                     CFOP 75-7


           The plan should be as concise and straightforward as possible, consistent with the need for
           clarity and completeness. It shall comply with the Governor’s Executive Order 07-01, the Plain
           Language Initiative, and shall be available for public inspection to the extent that it does not
           contain confidential or excluded information as described in Chapter 119, F.S., the Heath
           Insurance Portability and Accountability Act, or other state or federal statutes.

      c. Avoiding Duplication of Effort.

           As appropriate, the plan, or elements of it, may be incorporated into subsequent grant
           documents including, but not limited to, public notices and advertisements, solicitations and
           instructions, application review directions or manuals, evaluation tools and procedures, and
           reports to oversight entities. Staff members preparing the plan should consult with supervisors,
           Department managers, and fiscal and legal staff when preparing the plan to ensure that no
           unnecessary duplication of effort results from the plan.

      d. Grant Plan Shall Be Complete.

           In addition to the financial and programmatic elements of the plan that are discussed in greater
           detail in Sections 2-4 and 2-5, the plan shall also contain any other components that will make it
           more usable and informative to staff members following it. These components shall include, but
           are not limited to:

           (1) References to the statutory, fiscal, and administrative sources of authority which authorize
               the use of grants;

           (2) Historical background or other relevant contextual information;

           (3) Any requirements imposed by the source of funds to be used for the grants. Because the
               sources of funds used for grant purposes may impose requirements on the Department and
               the awardees, a careful review should be made in advance to identify and account for such
               requirements, so that they can be reflected in the solicitation and award process; and

           (4) The goals and objectives being sought by providing financial assistance to non-state
               entities. The description of goals and objectives should be clear and direct, particularly if the
               authorizing reference does not contain detailed information. The need to clearly describe
               goals and objectives does not preclude the use of innovation or creativity in structuring the
               grant plan and process, or the programs or projects the grant will support. This requirement
               simply means that the Department staff must have completed the development process prior
               to beginning any formal or public announcement of the grant availability.

      e. Discussions with Applicants.

           The plan shall also contain a description of whether the originating office or Grant Manager
           intends to conduct discussions with successful applicants as part of the overall grants award
           process. If discussions are contemplated, the plan shall contain a description of the anticipated
           limits and process for conducting the discussions.

      f.   Use of Unsolicited Proposals or Non-competitive Awards.

           The plan should also address whether unsolicited proposals or noncompetitive awards may be
           considered within the context of the grant process.

2-4        Financial Components of the Plan.



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2010                                                                                 CFOP 75-7


The plan shall contain complete fiscal information regarding the source(s) and intended use(s) of
the funds to be awarded. At a minimum, the plan shall address the following subject areas and
shall describe how the accountability for public funds will be preserved throughout the grant
process.

a. Fund Sources.

   The plan shall describe the source of the funds being used to support the grants, including but
   not limited to;

   (1) Appropriations and Budget Information.

       The plan shall specify the section of the Appropriations Act that contains the grant funds.
       The Act must specify that the funds to be used are in a grants and aids category, and have
       been designated for the intended purpose. The plan shall also include all budget and
       allotment codes that will be used during the disbursement process including, but not limited
       to, the budget entity (BE), Other Cost Accumulator (OCA), Category, and Fund Identification
       Number.


   (2) CFDA and CFSA.

       The plan shall include the appropriate codes for the Catalog of Federal Domestic Assistance
       (CFDA) and the Catalog of State Financial Assistance (CSFA). The originating office shall
       investigate the relevant compliance supplements for the CFDA and the CSFA to ensure that
       the plan and all other grant documents contain any pertinent requirements present in the
       compliance supplements.

b. Grant Award Amounts, Total, and Adjustments.

    The grant plan shall contain a discussion of the total amount of funds to be awarded to
    recipients and a proposal for how the funds will be provided to individual recipients. The plan
    shall identify the maximum amount that may be awarded to a single recipient, the minimum
    amount that may be awarded, any totals that may be relevant to catchment areas or other
    geographical regions, and any other factors that will used to determine individual award
    amounts such as services, demographic groups, or previous awards. The plan shall discuss
    when, or if, an amount requested by an applicant may be adjusted by the Department and
    under what conditions such adjustments might be considered, e.g. the removal of ineligible
    cost items from a proposed budget or pro-rata reductions based on applicant rankings and
    funding limitations. The plan will also describe any limits to such adjustments and the
    disposition of any unused grant funds by individual recipients and by the Department.

c. Limitations on the Use of Grant Funds.

    Some grant sources may contain specific restrictions or limitations on how grant funds may be
    employed.

   (1) The financial plan shall describe permissible and impermissible uses of the available funds.
       For instance, if the funding source permits the use of grant funds for overhead or general
       and administrative expenses (G&A), but the source caps such expenses at a certain
       percentage, the financial plan shall describe the nature and level of such limitations.




                                              2-3
2010                                                                                   CFOP 75-7


  (2) The plan shall describe any preferences for the use of available grant funds such as
      legislative or executive priorities, federal directions, or goals or objectives set by Department
      senior management.

  (3) The plan shall clarify whether limitations on funds use are mandatory or conditional, and, if
      conditional, the conditions that govern whether and how funds may be employed.

  (4) Required uses of grant funds should logically be addressed under the programmatic
      components of the plan in the design and logic model, however, funding limitations must
      also be addressed to avoid unintended misuse of funds.

d. Match Considerations.

   It is common for grant funding sources to require some form of match requirement for
   recipients who receive grant awards. When used in this context the term “match” refers to
   funds or other consideration from local sources, whether public or private, that will be used
   along with the granted funds to achieve the objectives of the program or project. Match may
   refer to money or “in-kind” goods or services that have monetary value and which are essential
   to the success of the grant.

  (1) In-kind Match Contributions.

       Examples of items which are often considered acceptable as in-kind match contributions
       include donated space, furniture, equipment, transportation, expendable supplies or food,
       and selected professional services.

       (a) When labor or personal services are acceptable as in-kind donations the financial plan
           must make clear how the labor will be valued, especially if there is not a clearly
           established market rate for such services.

       (b) The plan must also specify any applicable limits for in-kind contributions. For instance, if
           the requirements governing the use of the funds require a dollar-for-dollar (100%) match,
           but permit the use of in-kind goods or services, the pertinent requirements may limit the
           in-kind portion to no more than a specified percentage of the required match, e.g. 25%,
           50%, etc.

       (c) Funding sources vary considerably in how in-kind goods or services are permitted to be
           used as match. Therefore, the originating program or operational unit must be diligent
           about determining and including applicable limitations in the plan and other grant
           documents.

       (d) Volunteer services donated to a grant recipient can be a particular area of concern
           because even if volunteer hours are considered acceptable for use as in-kind match,
           assigning a value to volunteer services is extremely difficult and subject to widely varying
           opinions about the actual value.

       (e) In addition to describing what kinds of goods or services are acceptable as in-kind
           match, the plan must also describe any types of goods or services that are clearly
           unacceptable, e.g. marketing or promotional items, entertainment, etc.

  (2) Match Timing.

       The grant plan shall set forth any requirements or limitations on when the required match
       elements must be committed and provided.


                                               2-4
2010                                                                                     CFOP 75-7


       (a) Local or Private Match Sources.

          It is not uncommon for local or private funding sources for charitable works to be willing
          to provide funding if and when they know that state or federal funds will be available to
          their community or particular area of interest. As a consequence, it is possible that local
          or private sources may desire to make their participation contingent upon the applicant’s
          successful participation in a public grants process. A common form of this expression of
          contingency is a willingness to provide a letter of commitment, suitable for inclusion in an
          application package, while withholding the actual funds until the outcome of the public
          process is known.

       (b) Grant Plan to Specify Required Match.

          The financial component of the grant plan shall describe when and how required
          matching funds or services must actually be delivered to the recipient and the manner in
          which the receipt of the match will be verified. As applicable, the plan shall describe
          whether matching funds or services are required prior to the execution of the agreement,
          prior to the receipt of public funds, at specified points during the project’s process, or
          prior to the grant closeout, or any acceptable combination. If match commitments are
          acceptable for participation in a solicitation or competition, the plan shall clarify what
          form the commitments must take, e.g. a letter approved by an organizational executive
          officer, resolution of a board or commission, letter from a bank representative certifying
          funds availability, etc.

  (3) Match Shortfalls or Defects.

       Despite the best efforts of Department staff it is possible that a recipient may still be unable
       to comply with all the match requirements applicable to funds provided under the grant. As
       undesirable as this situation might be, match shortfalls or other defects can be anticipated
       and the grant plan should account for this possibility.

       (a) Return of Funds.

          The plan shall describe how the Department will act in the event of a match shortfall or
          defect. The most common form of remediation in such an event is to demand the return
          of any funds for which the proper match was not completed by the applicant, but it is
          possible that other actions might be permissible depending on the funding source. For
          instance, it might be possible that with a brief extension of the grant period that the
          recipient might receive additional funds that will satisfy its requirement.

       (b) Possibility of Other Options.

          The availability of options other than a straightforward return of unmatched funds is
          heavily dependent on whether the grant funding source is state or federal, the proximity
          of the grant’s end to the state or federal fiscal year, the possibility of effectively using any
          returned funds to achieve the original objectives of the grant process, etc. Insofar as
          possible, the plan should consider what options are available when dealing with match
          shortfalls, and how the Department will proceed. No plan can anticipate all
          contingencies, but, to the extent reasonable, Department staff should be vigilant and
          prepared to deal with anticipatable situations.

e. Other Financial Considerations.




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      2010                                                                                    CFOP 75-7


          The plan shall include any other financial considerations not discussed above, but that are
          necessary for the grant process. Such considerations may include, but are not limited to,
          current or future appropriation requests, financial stability of potential applicants, the effect of
          existing or future intergovernmental or interlocal agreements on funding plans, Department of
          Financial Services’ (DFS) documentation or processing requirements, the impact of state
          budget shortfalls, and pending federal action. The plan shall contain such information only to
          the degree that it is relevant to the grants process under consideration and will be necessary to
          Department staff to properly manage the grants or to applicants or recipients for project
          planning or execution.

2-5      Programmatic Components of the Plan.

      As discussed in Chapter One, grants are financial assistance and not procurement contracts by
      which the Department purchases services for itself or clients. This distinction recognizes that public
      funders have acknowledged for decades that protecting and enhancing the public’s interest
      sometimes requires that government entities participate in funding programs or projects whose
      ultimate outcome may be hard to define due to a still developing state of knowledge or private
      sector infrastructure. Grant processes must still be characterized by a disciplined and rigorous
      approach to recipient selection and programmatic implementation. Therefore, the grant origination
      office or unit shall include a description of the programmatic components in the grant plan,
      including, but not necessarily limited to, the following topics.

      a. Goals and Objectives.

          The plan must include a clear statement of the purpose for which the grant funds were received
          by the Department and appropriated by the Legislature. The statement of the goals and
          objectives should include the broad public benefits being sought, as well as the specific ends
          the state is seeking by providing funds to individual recipients and from funding individual
          projects. The inclusion of goals and objectives should afford as much flexibility for applicants
          to propose creative solutions in their applications as is consistent with the preservation of a
          high standard of accountability for public funds.

      b. Population to be Served.

          The plan must describe the people who will be served or the target population that will be the
          primary beneficiary of the grant awards. The description of the population to be served shall be
          as specific as possible including information regarding ages, genders, and defining attributes or
          characteristics such as economic status, medical or physical conditions, demographic history
          or segment, location or residency, etc. Where the goal of the grant is to increase awareness or
          service outreach the plan should include the targets of the outreach and the desired levels of
          gain or improvement. The plan should describe legislative or executive determinations
          regarding un-served or underserved populations that will affect the grant award. If specific
          eligibility criteria will apply to persons or populations that will receive assistance through the
          grants, the plan should discuss those criteria.

      c. Statutory Preference Criteria.

          Where the legislature has established preference criteria that govern how the Department is to
          differentiate among applicants, the plan shall include a clear statement of those preference
          criteria. If the preference criteria have been amplified or clarified by rule, operating procedures,
          or Department policy, the plan shall include references to the sources for the amplification or
          clarification. The plan need not repeat or reproduce the referenced sources, but should enable
          plan users to easily locate the origin and content of the preference criteria.


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d. Applicant Characteristics.

   It is not uncommon for grant recipients to be limited to specific types of organizations such as
   educational institutions, non-profit entities, selected community organizations, or special
   purpose entities established by laws, ordinances, or interlocal agreements. The plan should
   address mandatory or preferred applicant characteristics including, but not limited to, a
   discussion of the following criteria.

  (1) Acceptable Applicants.

       The plan should identify whether grant awards are limited to government, educational, or
       non-profit organizations. If non-profit organizations are acceptable as recipients, the plan
       should specify whether the non-profit must have obtained exemption under the provisions of
       s. 501(c)(3) of the United States Internal Revenue Code or possess other registration
       attributes such as being registered as a non-profit corporation by the Florida Secretary of
       State. It is exceedingly rare that for-profit companies may compete for grants awarded by
       the state or Department. Therefore, if for-profit organizations are not excluded from
       competition, the plan must provide the authority by which they may be included in the
       competitive process.

  (2) Community Stakeholders Involvement.

       The plan should specify whether potential recipients are required to be located in or have an
       existing service delivery operation within a geographic region such as a catchment area.
       The plan should also specify whether potential recipients must have established
       relationships with state, county, or municipal entities, or have board representation from
       such entities. If other community stakeholder relationships or involvement is contemplated
       by the grant authority, such relationships should be specified within the plan. Where
       community stakeholder involvement is optional or encouraged, the plan should discuss the
       degree to which such involvement will be considered in the subsequent solicitation process.

  (3) Financial and Business Attributes.

       Some grants may be restricted to recipients that meet certain financial criteria, e.g. the
       organization’s annual budget exceeds a particular threshold or is less than a particular
       threshold. The plan should identify any required, or preferred, applicant financial criteria
       including annual budgets, number of employees, cash on hand, funding sources, net worth,
       fiscal stability, etc. Required financial or business attributes could include achieving certain
       ratings from widely recognized rating organizations (e.g. Dun and Bradstreet), possessing
       specified levels of liquidity or access to capital (e.g. banking lines of credit), or organizational
       continuity (e.g. providing services for more than five years). The originating unit shall
       consider whether supplemental financial or business information is necessary beyond what
       is required by law, rule, or fund sources in order to ensure that public funds are not
       committed to organizations that are not capable of managing them properly or preserving
       value after expiration of the grant period.

e. Program Design and Logic Models.

   The grant plan shall describe what program designs or service provision logic models are
   acceptable for receipt of funds. Such descriptions may be inclusive (i.e. only certain program
   models are acceptable), exclusive (i.e. programs using this model will not be funded), or a
   combination of inclusive and exclusive criteria. This portion of the plan should be as detailed
   as necessary to ensure that a clearly written grant solicitation may be prepared, but should not
   be so prescriptive as to deny applicants the opportunity to exercise innovation when

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     developing applications. The design and logic model structure should provide enough clarity
     and consistency to enable applicants who will review the succeeding solicitation to accurately
     gauge whether their program or project has a reasonable probability of being funded. The
     design and logic model will also guide the formulation of evaluation criteria to be used to
     screen and rank applications. The design and logic model should be reconciled with any
     limitations on the use of grant funds noted in the financial components of the plan.

f.   Schedules, Timeframes, and Deadlines.

     As discussed more fully in Chapter 3, and unlike procurement solicitations, there is no general
     requirement in Florida law for grant applications to be publicly opened at a designated point in
     time. This affords state agencies the opportunity to craft grant solicitation processes that
     exhibit considerable variety in the timing of public notices, receipt and evaluation of
     applications, ranking of applicants, announcement of awards, execution of agreements, and
     disbursement of funds. However, it is important to present potential grant applications with an
     open, consistent and fair process to ensure confidence. As such the grant plan should contain
     a concise, but thorough, discussion of the grant solicitation process the originating office
     proposes to pursue along with approximate timeframes and schedules. At a minimum, this
     portion of the grant plan should discuss the following events:

     (1) Public Notification and Advertisement.

        (a) Public to be Given Notice of Grants.

            Depending on the authorizing law, some grants are intended for award only to a limited
            group of organizations, e.g. a special purpose local coalition created to serve a particular
            purpose. Even though there may be a narrowly defined group of acceptable applicants,
            the Department’s policy is that the public should be given reasonable notice of the
            Department’s employment of public funds, even if such notice serves only an
            informational purpose. As such, the grant plan shall contain a description of how the
            originating office intends to provide public notice of the release of a grant’s solicitation.

        (b) Public Notice Media Options.

            Public notice of the availability of the grant solicitation must be provided by posting on
            the Vendor Bid System (VBS). Notice may also be given by posting on, the
            Department’s internet website, advertisement in the Florida Administrative Weekly,
            posting on other websites frequented by constituent groups, advertisement in
            newspapers or magazines of general circulation or industry interest, announcement at
            regularly held professional conferences, or by any other means by which the public may
            easily learn of the Department’s activity. Attention should be paid to any minimum or
            recommended notice requirements provided by the source of the grant funds.

     (2) Application Preparation and Submission Deadlines.

        The grant plan shall provide an estimate for the amount of time applicants will have to
        prepare and submit their grant application, i.e. the anticipated amount of time between
        public notice of the grant availability and the deadline for submitting applications. In
        establishing deadlines the originating office shall consider the volume and amount of
        information to be submitted and other relevant factors. Such factors may include the time
        necessary for applicants to obtain necessary letters of support or coordinate with local
        governing officials, the time necessary to gather historical or supporting data, and the level
        of administrative sophistication of potential applicants. The time allotted for preparation and
        submission shall be reasonable, consistent with the unavoidable nature of fiscal cycles and

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       the Department’s own requirements for reporting to the legislature or federal oversight
       authorities.

  (3) Solicitation Conference.

       The Grant Manager may elect to hold a solicitation conference for potential applicants as a
       part of soliciting applications. If a Solicitation Conference is held the following requirements
       apply.

       (a) A Solicitation Conference is a public meeting and shall be conducted in accordance with
           section 286.011, F.S., and noticed on the MyFlorida.com website and in the Florida
           Administrative Weekly. Applicants and attendees shall be accorded fair and equal
           treatment.

       (b) The Grant Manager shall ensure that all names, titles, and groups or firms attending the
           conference are recorded.

       (c) The Grant Manager shall develop an agenda of items to be discussed and distributed at
           the conference, such as clarification of the statement of work provisions, billing and
           payment procedures, reporting requirements, and allowable cost determinations. If
           needed, the agenda may be simply to answer attendees’ questions.

  (4) Evaluation and Review Panels.

       Depending on the authorizing law the Department may have wide or limited discretion in
       forming panels for reviewing, evaluating, scoring, and ranking grant applications. At a
       minimum the grant plan should describe how the evaluation and review panel will be
       formed, the intended composition of the panel, the process that will be used to distribute
       applications to panel members, whether the panelists will be expected to meet or perform
       their work individually, the manner in which results will be tabulated and reviewed, and the
       process by which results will be released to the public. The grant plan should further
       describe the anticipated amount of time expected to be allotted for the evaluation, scoring,
       and tabulation of results

  (5) Dispute Resolution Procedure.

       The plan must identify the dispute resolution procedure that will apply to the grant award
       process, i.e. whether it will be subject to the provisions of the Administrative Procedures Act
       or the Department’s appeals procedure (See Section 4-8). The determination of the correct
       procedure must be discussed with the Office of the General Counsel (OSLS) prior to routing
       the plan for review and approval. The resulting grant solicitation shall describe the manner
       in which disputes shall be addressed.

  (6) Discussions.

       The plan should include consideration for the time needed to conduct discussions with
       successful applicants, if any are planned.

  (7) Agreement Execution and Performance.

       The grant plan shall also discuss the timeframes and schedules that inhere to the use of the
       grants funds, e.g. whether the funds are available for only a single fiscal period, whether the
       funds must be obligated or expended during the cycle, and whether funds may be carried
       forward to additional fiscal cycles. A reasoned analysis of the deadlines governing funds


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      2010                                                                                  CFOP 75-7


             availability and use is essential to ensure that all of the required grant activities may be
             carried on in a timely and responsible fashion. Such an analysis also ensures that new staff
             members have adequate guidance in the event of the departure or unavailability of key staff
             members. This portion of the plan should consider deadlines imposed by the DFS for final
             disbursements, required reconciliations, and return of funds. It should also consider
             deadlines associated with submission of final or after-action reports, legislative notification
             and reporting, and commitments made by Department managers or state senior executives.

2-6     Grant Plan Routing and Approval.

        The grant plan shall be developed sufficiently early in the grants award cycle to permit the plan
        to be reviewed and approved by appropriate Department managers. At a minimum, the grant
        plan shall be approved by the program director of the originating program office. If federal funds
        will be used to support the grant, the grant plan shall be reviewed and approved by the Office of
        Revenue Management (ASFMR). ASFMR will designate a staff member to review and approve
        grant plans. The originating program office shall contact the Office of the General Counsel
        during the initial stages of planning to determine if the Office of the General Counsel should
        provide early assistance in development of the plan. The grant plan shall be reviewed and
        approved by the appropriate contract administration office. The grant origination office may
        contact the contract administration office during the plan development process to request
        consultation assistance with plan development

2-7     Workshops and Technical Assistance.

        In some cases the grant origination unit may determine that the pool of identifiable potential
        applicants would benefit from receiving training or technical assistance from Department staff
        members. Such training or technical assistance might serve to improve the applicants’
        understanding of the public need, enhance their ability to provide meaningful responses to
        solicitations, or increase their ability to leverage state funds within their communities. Grant
        origination units that decide to conduct workshops or provide technical assistance should
        consider the following guidelines.

      a. Pre-Solicitation Technical Assistance.

        Prior to the advertisement of the grant solicitation the grant origination unit may perform focused
        outreach activities, answer questions from individual organizations, conduct community
        education workshops, or offer informational support such as posting copies of successful
        applications on a website. One means to accomplish these outreach activities is through
        publicly-advertized workshops, where there is an equal opportunity to observe and participate.
        When conducting workshops or providing technical assistance units should afford equal
        opportunity for technical assistance to all potential applicants, avoid providing any form of
        assistance that might favor one applicant over another, and should not review or comment on
        any specific material intended for inclusion in a grant submission. Consideration should be
        given to early creation of lists of interested parties for distribution of information and FAQ lists
        posted on a Department web page, so that last-minute issues and inquiries can be addressed
        by providing information equally to all potential applicants. Department staff members may
        employ their knowledge and expertise to further the ability of potential grant applicants generally
        to improve their service capacity and organizational competence, but should carefully evaluate
        the form or amount of assistance provided to specific applicants with respect to future grant
        solicitations.



      b. During the Period of the Solicitation.

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  After the advertisement of the grant solicitation the originating unit may only offer technical
  assistance to grant applicants through training workshops, that are open to the public and for
  which there is no consideration required for attendance, or by posting information of general
  interest on internet websites. Public education workshops may be included in the schedule of
  events for grant solicitations. During such workshops, however, Department staff members
  must refrain from addressing specific questions or issues pertaining to an ongoing solicitation.
  Specific questions, and answers to the questions, pertaining to an ongoing grant solicitation
  should be addressed as part of a solicitation conference that is convened for that purpose and
  that conforms to the ordinary rules for receiving questions and providing answers in connection
  with a solicitation.

c. Technical Assistance Strategies Included in Grant Plan.

  The grant plan should address any plans by the grant origination unit to conduct workshops or
  offer other technical assistance activities in connection with the grant. The plan should specify
  whether such activities will precede or accompany the solicitation, the type of activities to be
  conducted, and the manner in which the unit will ensure the fair and equitable treatment of all
  participants.




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      2010                                                                                    CFOP 75-7



                                         CHAPTER THREE

                        GRANT SOLICITION & ADVERTISEMENT PROCEDURES

3-1      Purpose.

      The purpose of Chapter 3 is to describe the procedures by which units possessing grant-making
      authority may obtain applications to consider in making awards. The customary way in which the
      Department will receive applications for available grant funds is through the use of a competitive
      solicitation for applications. However, the use of a competitive solicitation may not be required in all
      circumstances. The Department’s policy is that it may accept unsolicited grant proposals provided
      it possesses the requisite fiscal and legal authority in the area under consideration. The
      Department’s intention in accepting solicited or unsolicited grant proposals is to work with entities
      that have the greatest possibility for promoting public welfare, protecting vulnerable Floridians, and
      enhancing family stability and economic well being.

3-2      References for this Chapter.

      a. Statutes, Regulations, and Department Operating Procedures

         Sections 286.011, 287.057(1), (2), and (3),F.S.

      b. Other References.

         CF 1120 - Contract Audit Attachment
         [http://ewas.dcf.state.fl.us/asc/forms/Audit%20Attachment%207-1-09.doc];

         CF 1123 - Certification Regarding Lobbying
         [http://ewas.dcf.state.fl.us/asc/forms/cf%201123%20Lobbying.doc];

         CF 1134 - Procurement & Amendment Determination
         [http://ewas.dcf.state.fl.us/asc/forms/1134Oct24.doc]; and

         Delegation of Authority Determination wizard available on the ASC website
         [http://ewas.dcf.state.fl.us/asc/delegations/default.aspx].

3-3      Solicited and Unsolicited Grants

      a. Accountability and Integrity Essential in all Grant Activities.

         Grant award processes and decisions shall be fair, transparent, and equitable. The fact that the
         Department’s has created flexibility in the solicitation and award of grants shall not be taken as
         a sign that all grant planning and award actions and decisions may deviate from the highest
         principles of ethics and integrity. This includes:

          (1) Maintaining clear and complete records of procedural steps as well as major decisions;

          (2) Ensuring that appropriate Department legal and administrative representatives are included
              at appropriate times;

          (3) Acting in a timely fashion to avoid crisis-based evasion of routine internal control
              requirements; and



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    (4) Obtaining management guidance early and throughout to prevent avoidable last minute
        decision making.

b. Flexibility in Grant Making.

   There is no specific general requirement similar to the directives in s. 287.057 (1) through (3)
   which mandate that a grant solicitation contain “the time and date for the receipt of bids and of
   the public opening.” State agencies within Florida have exercised greater flexibility in the
   manner in which grant applications have been submitted and received. Furthermore, other
   state agencies and private sector grants makers, often keep open the possibility of receiving
   and accepting unsolicited proposals in their areas of interest. It is impossible for any
   organization, regardless of the depth of its staff and the professionalism of its systems, to be
   aware of every solution that might be offered to a pressing problem. In recognition of this
   flexibility in how other grantors have approached their receipt of grant applications, the
   Department allows operational units and program offices to tailor their grant operations to meet
   their individual needs. Unless otherwise constrained by law, rule, or funding source,
   Department units may use any of the following methods described below for soliciting or
   accepting grant proposals.

c. Solicited Grants.

    (1) Type 1 Grant Solicitations.

        Type 1 solicitations most closely resemble the approach required for competitive
        procurements. In a Type 1 grant solicitation, applications must be submitted in sealed
        envelopes to the Department. The solicitation must contain a specific date and time by
        which grant applications must be submitted and the date and time at which Department
        staff will open the applications and reveal the contents to interested parties and the public.
        At the discretion of the Grant Manager, in consultation with the grant origination unit, the
        solicitation may require that applicants include electronic copies of their applications along
        with the printed material in the envelopes. In addition to any of the elements described in
        Section 3-4, Type 1 solicitations must contain.

       (a) The date and time by which applications must be received by the Department;

       (b) The name and address of the office and person to whom applications should be
           submitted;

       (c) The location at which the applications will be opened;

       (d) The proposed schedule for conducting evaluations, ranking, and reporting results;

       (e) The manner in which results will be communicated to applicants and the public, e.g.
           posting on the Department’s internet page or in another location, via the VBS, Florida
           Administrative Weekly, letters to participants, etc.

    (2) Type 2 Grant Solicitations.

        If the funding source permits, the grant originator may elect to designate a “window” of time
        during which it will accept applications. Type 2 solicitations may require the submission of
        applications in sealed envelopes or permit the use electronically submitted applications.
        Electronic submissions may be made by means of sending disks or data drives to the
        Department or by means of email or internet transmission. Type 2 solicitations must
        contain:


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       (a) The window of time during which applications will be accepted by the Department. The
           Grant Manager, in consultation with the grant originator, shall determine the length of
           time of the available window in the grant plan and include the window in the solicitation.
           As well as the items listed below the solicitation shall specify the earliest and latest dates
           that the Department will accept applications;

       (b) The name and address of the office and person to whom applications should be
           submitted;

       (c) Whether applications will be reviewed and evaluated upon receipt or whether evaluation
           will occur after the final date for application submission.

       (d) The proposed schedule for conducting and reporting results of the review and evaluation
           process;

       (e) The manner in which results will be communicated to applicants and the public, e.g.
           posting on the Department’s internet page or in another location, via the VBS, Florida
           Administrative Weekly, letters to participants, etc.

  (3) Non-competitive Grant Award.

       (a) Grants Generally Not Awarded Non-competitively.

          By design this operating procedure does not include any grant application processes
          that might be considered similar to single-source, emergency, or other non-competitive
          procurements. Purchasing laws recognize exceptional circumstances, e.g.
          emergencies, in which public officials must act quickly and directly, and that do not afford
          the opportunity for traditional competitive procurements. As has been stated repeatedly,
          however, grants are used to provide financial assistance rather than to acquire services.
          As such, the need for emergency action or competitive exemption is not as likely to
          occur in the grant arena as in the procurement arena.

       (b) Exceptional Circumstances.

          Nevertheless, there may be exceptional and rare occasions, e.g. the American Recovery
          and Reinvestment Act, when the Department is given funds that must be granted to
          recipients in an abbreviated time period. In such instances the Department’s first
          preference is always to seek competition when it is reasonable and consistent with
          public accountability and transparency. If, however, exceptional action is required to
          award a grant, as permitted by law, regulation, and funding limitations, Department units
          may award grants non-competitively with the prior written authorization of the Secretary
          or designee.

       (c) Requesting Authority to Make a Non-competitive Award.

          The Grant Manager shall use CF 1134 available from the ASC website to make the
          request to request approval for a non-competitive grant award. The request shall be
          routed through the same supervisory and legal review process as a normal procurement
          related request for a similar award value. Grant managers may use the Delegation of
          Authority Determination wizard available on the ASC website
          (http://ewas.dcf.state.fl.us/asc/delegations/default.aspx) to determine the required
          approval routing process.

       (d) Grant File Requirements for Non-competitive Awards.


                                                3-3
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          If a Department unit awards a grant non-competitively, the grant file must not only
          contain the Secretary or designee’s written authorization, but also must set forth, with
          specificity, the extraordinary nature of the circumstances that gave rise to the action. In
          accordance with s. 216.3475, F.S. the grant file for agreements where the funds were
          awarded non-competitively must also contain records that support a cost analysis for the
          amounts and rates funded by the General Appropriations Act (GAA). Such records must
          include a detailed budget for any funding awarded under the GAA and the Department’s
          review of the budget for allowability, reasonableness, and necessity of individual cost
          elements.

       (e) Other Requirements Regarding Non-competitive Grant Awards.

          Grant origination units shall undertake such competition as is reasonable under the
          circumstances. This authority shall be exercised only in extraordinary circumstances.
          Granted funds shall be kept to an absolute minimum to respond to the immediate need.
          Remaining funds shall be awarded in a more customary fashion.

d. Unsolicited Grant Proposals.

   As permitted by law, regulation, and funding limitations, Department units may accept
   unsolicited grant applications for review and evaluation.

    (1) Secretary’s Approval Required.

       Program offices that possess the authority to award grants may fund a project presented in
       an unsolicited grant proposal to the extent that the office has available funds, provided the
       office obtains the prior written approval of the Secretary or designee.

    (2) Requesting Authority to Accept an Unsolicited Proposal.

       The Grant Manager shall use CF 1134 available from the ASC website to make the request
       to request approval to complete a grant award for an unsolicited proposal. The request
       shall be routed through the same supervisory and legal review process as a normal
       procurement related request for a similar award value. Grant managers may use the
       Delegation of Authority Determination wizard available on the ASC website
       (http://ewas.dcf.state.fl.us/asc/delegations/default.aspx) to determine the required approval
       routing process.

    (3) Requirements for Accepting an Unsolicited Proposal.

       Aside from the process by which the Department received and awarded the proposal
       (application), all other requirements of this CFOP apply equally and with the same effect as
       if the application had resulted from a Department initiated solicitation. In addition to the
       other items specified in Section 6-4 the grant file shall contain:

       (a) A complete description of all facts and circumstances that gave rise to the grant award
           including the original unsolicited application;

       (b) A description of the sequence of events, the public objectives and goals that accepting
           the application furthers; and

       (c) The factors or criteria by which the program evaluated the application, and a summary of
           negotiations or discussions with the applicant.



                                              3-4
      2010                                                                                                     CFOP 75-7


3-4      Solicitation Outline and Required Components.

      The content of a grant solicitation will vary depending on the program, public purpose, funding
      source, and desired objectives, however all high-quality grant solicitations will contain certain
      common elements. This section describes the required elements that must be included in all grant
      solicitations and the general content that should be covered in the required elements. It may not be
      necessary for the Grant Manager to create all of the material described below if grant plan already
      contains information that may be included, or adapted for inclusion, in the solicitation. The Grant
      Manager should avoid duplicative work and use material from the plan or other existing sources
      when possible. Figure 1 shows the basic outline that must be used when Department staff
      members prepare a grant solicitation.

                                                            Figure 1

                                              Grant Solicitation Title & Number

1.       Introduction
         1.1 Statement of Need and Purpose
         1.2 Mandatory Applicant Qualifications
         1.3 Funding Cycle and Funds Availability

2.       Scope of Grant Activities
         2.1 Program and Fiscal Requirements
                 2.1.1 Definitions
                 2.1.2 Programmatic Specifications
                 2.1.3 Financial Information
                 2.1.4 Other (as required)
         2.2 Administrative Requirements
                 2.2.1 Order of Precedence of the Documents
                 2.2.2 Grant Agreement Terms and Conditions
                 2.2.3 Audit Attachment

3.       The Grant Solicitation and Evaluation Processes
         3.1 General Overview of the Grant Solicitation Process
         This section provides applicants with overall solicitation information and rules of conduct:
                  3.1.1 Contact Person
                  3.1.2 Contacting Departmental Personnel
                  3.1.3 Advertisement and Posting
                  3.1.4 Schedule of Events and Deadlines
                  3.1.5 Solicitation Conference
                  3.1.6 Written Inquiries and Department Answers to Inquiries
                  3.1.7 Department Not Responsible for Cost of Preparation of Applications
                  3.1.8 Applicant Ranking and Secretary’s Decision
                  3.1.9 Notice of Grant Awards
                  3.1.10 Formal Appeals
         3.2 The Evaluation Process and Criteria
                  3.2.1 How Applications Will Be Evaluated
                  3.2.2 Completeness Criteria and Correction
                  3.2.3 Description of the Scored Criteria

4.       Instructions for Preparation and Submission of Applications
         4.1 Submitting an Application to the Department
         This section shall specify the basic delivery, copy, and submission information.
         4.2 The Format and Content of the Application
         This section shall contain instructions on how to put the application together (title page, cross-reference table,
         required documents, response to statement of need, etc.)
                  4.2.1 Organization Information
                  4.2.2 Project Narrative and Grant Outcome Evaluation
                  4.2.3 Client and Population Information
                  4.2.4 Budget Proposal and Explanation
                  4.2.5 Match Documents
                  4.2.6 Supporting Material


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     2010                                                                                   CFOP 75-7


5.      Documents, Forms, and Worksheets
        5.1. Standard Grant Agreement Terms and Conditions
        5.2 Forms and Certifications
        5.3 Applicant Checklist



Note: The references in brackets besides the sections’ titles below indicate the section
reference within the grant solicitation.

     a. Solicitation Title and Number. [Title Page of a grant solicitation]

        Each grant solicitation must contain a title page that displays, at a minimum, the grant title and
        number. The number shall be assigned for ease of reference and tracking. The tracking
        number shall be assigned by the local Contract Administrator.

     b. Introduction. [Section 1]

        The introduction should contain a series of short, concise sections that provide the reader with
        an overview of the public purpose which the grant is intended to address, a general description
        of applicants who are eligible to participate in responding to the solicitation, and the broad
        financial parameters of the awards that may be made. The introduction shall consist of the
        following elements.

         (1) Statement of Need and Purpose. [Section 1.1]

             The first section of the grant solicitation shall contain a short, direct presentation of the
             public need establishing the basis for the grant program and the specific public objective
             sought by issuing the grant solicitation. This section shall also include the basic references
             to the legal and financial authority that authorizes the grant awards and that set forth the
             statutory or regulatory instructions being implemented in the grant process.

         (2) Mandatory Applicant Qualifications. [Section 1.2]

             The introduction shall contain a description of any mandatory qualifications which an
             applicant must possess to be considered for an award. Such qualifications may arise from
             statute, regulation, or executive direction. Normally, mandatory qualifications should be
             limited to criteria that would legally prevent an award from occurring, violate funding source
             restrictions, or materially impede the achievement of the grant’s public purpose. Mandatory
             qualifications should not include merely desirable attributes. Desirable, but not essential or
             mandatory, attributes should be included in the evaluation and scoring portion of the grant
             competition.

         (3) Funding Cycle and Funds Availability. [Section 1.3]

             The introduction shall include a brief and direct description of the financial parameters that
             govern the solicitation and award. Such parameters may include, but are not limited to, the
             total amount of funding available, caps on individual grant awards (if any), minimum grant
             amounts, the anticipated date by which the funds must be used, and the general purposes
             for which funding is available. The detailed financial information shall be presented in
             Section 2.1.3 of the solicitation.

     c. Scope of Grant Activities. [Section 2]

        This section shall contain a description of the programmatic, financial, and administrative details
        of the grants to be awarded. This section shall contain all the terms and conditions expected to

                                                     3-6
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  be included in the final grant. It must be sufficiently complete and comprehensive so that the
  reader has a clear expectation of what will be expected of recipients. Section 2 is the section
  describing the Department’s expectations. Applicants will still be expected to describe, clearly
  and accurately, how they will fulfill the public expectations in the applications they submit in
  response to the instructions contained in Section 4.

  (1) Program and Fiscal Requirements. [Section 2.1]

       Section 2.1 will contain the relevant programmatic and financial information pertinent to
       grant award and receipt. In large part this section of the solicitation will be a presentation of
       the material developed in accordance with Sections 2-4 and 2-5 of this operating
       procedure. As such, if the grant plan has been properly developed and approved, this
       section, or large portions of it, should flow readily from the grant plan. In fact, some portion
       of the development of this section may simply be “cut and pasted” from the grant plan,
       although suitable rewording and reference changes will be necessary to ensure that the
       included material is internally consistent with the solicitation. The solicitation must contain
       quantifiable deliverables directly related to scope of work that will be included in any
       agreement resulting from the solicitation. Such deliverables must be received and
       accepted by the Department before payment. The deliverables must specify the required
       minimum level of service to be performed and the criteria for evaluating the successful
       completion of the deliverable. At a minimum, this section of the solicitation must consist of
       the following elements.

       (a) Definitions. [Section 2.1.1]

          This section should include definitions for all terms that are unfamiliar, unusual, or
          unique to the solicitation, including those necessary to understand the grant properly.
          Examples of terms that might require definition include program or service specific
          words, standards and performance terminology, and acronyms. Words that have a
          specific meaning within the context of the grant or program should be defined,
          particularly where that definition is not the one that might be expected in a general or
          customary use of that word.

       (b) Programmatic Specifications. [Section 2.1.2]

          This section shall contain a complete description of the programmatic material needed
          by prospective applicants to determine whether they can assist in meeting the need the
          grant addresses. The program description may include, but is not limited to:

          (i)     A detailed description of the populations or geographic regions recipients will
                  serve;

          (ii)    The conditions or circumstances that threaten public health, safety, or well-being;

          (iii)   The changes or benefits sought from providing the financial assistance to
                  recipients;

          (iv)    The scope of work, documentation requirements, and deliverable descriptions as
                  required by s. 215.971, F.S. and the Chief Financial Officer (CFO) Memorandum
                  No. 05 (2009-2010);

          (v)     The relationship of the grant program to other change efforts being conducted by
                  the Department or others;



                                               3-7
2010                                                                                     CFOP 75-7


          (vi)     The manner in which grant funds should be integrated and leveraged to multiply
                   their impact;

          (vii)    The manner in which the Department will assess the success of the grants
                   awarded;

          (viii)   The way in which results will be used to report to the Legislature and affect the
                   future of the program; and

          (ix)     The Department’s strategy for using the grants to fulfill its overall mission.

       (c) Financial Information. [Section 2.1.3]

          This section shall contain a complete description of the financial material needed by
          prospective applicants to properly prepare and present their proposed budgets and
          supporting narratives. The solicitation shall enable readers to accurately assess how the
          grants may affect the organization’s fiscal and administrative operations, strategic
          planning, and normal fundraising or resource development. For example, if grant
          recipients are prohibited or unlikely to receive grants during succeeding years, this
          information must be presented in the solicitation. This may help an applicant be less
          likely to see the grant as a continuing funding source for normal operations, and more
          likely to use it in a manner that does not detrimentally impact its long-term viability. The
          financial information shall include, but is not limited to:

          (i) A detailed description of the grant funding source derived from the financial portion of
              the grant plan;

          (ii) The limitations on the use of grant funds;

          (iii) The match requirements and limitations;

          (iv) The quantifiable deliverables that must be received and accepted by the Department
               before payment; and

          (v) The manner in which financial accountability will be protected.

       (d) Other. [Section 2.1.4] Section 2 of the solicitation should also include any other
           requirements that will impact applicants and recipients that were not covered in the
           preceding sections. Examples of additional information that may be helpful or necessary
           include:

          (i) Interagency or interlocal planning mandates;

          (ii) Coordination with other state or federal grant programs;

          (iii) Minority or disadvantaged population priorities; and

          (iv) Recent judicial determinations or executive directions that may affect recipient or
               Department planning or activities.

  (2) Administrative Requirements. [Section 2.2]

       This section shall contain a complete description of the administrative material needed by
       prospective applicants to determine whether they possess or can develop the requisite
       administrative and accounting capability to satisfactorily complete the grant, if one is

                                                3-8
2010                                                                                   CFOP 75-7


       awarded. The description shall include, but is not limited to, the terms and conditions
       generally included in Department grants, instructions regarding the manner in which the
       grant documents are to be interpreted, and the audit and accountability requirements that
       will pertain to the grant.

       (a) Order of Precedence of the Documents. [Section 2.2.1]

          The solicitation shall specify the order of precedence of the various documents that will
          comprise the complete grant agreement, e.g. the solicitation, the submitted application,
          the award letter, etc. in the event of a conflict. This provision may take the form of "in
          the event of a conflict between the provisions of the documents, the award letter shall
          take precedence," or "the documents shall be interpreted in the following order of
          precedence." Normally, the order of precedence for Department grants would be 1) the
          award letter and attachments, if any, 2) the approved budget, 3) the grant solicitation,
          and 4) the recipient’s proposal or application.

       (b) Grant Agreement Terms and Conditions. [Section 2.2.2]

          The solicitation should direct the applicants to review any forms or certifications that they
          will be required to complete as a condition of receiving a grant award. Such forms and
          certifications should include, among others, the Department’s standard grant agreement,
          form CF 1123 – Certification Regarding Lobbying, or program specific items. In addition,
          this section should also contain any other administrative terms and conditions that are
          specific to the program and with which recipients will be expected to comply. Possible
          examples include mandatory progress or financial reports, background and screening
          forms or certifications, management or fiscal attestations or representations, or
          mandatory local government resolutions or action reports.

       (c) Audit Attachment. [Section 2.2.3]

          All Department grant agreements, by definition, contain state or federal financial
          assistance. The Department requires all grant solicitations to contain a copy of (or
          reference to) the Department’s Contract Audit Attachment. The Audit Attachment shall
          be included in all grant agreements regardless of whether the funds awarded through an
          individual agreement are sufficient to trigger the requirement for obtaining a single audit.
          Grant managers shall perform all normal duties related to the award of financial
          assistance. Such duties include sending post-award notices and necessary audit related
          instructions. The solicitation shall contain sufficient information so applicants understand
          the full scope of responsibilities which they will undertake under the grant.

d. The Grant Solicitation and Evaluation Processes. [Section 3]

   This section shall contain a description of the grant solicitation and evaluation process. The
   solicitation process shall conform to the process and steps established and approved in the
   grant plan.

    (1) General Overview of the Grant Solicitation Process. [Section 3.1]

        At a minimum, the grant solicitation shall contain the following instructions to potential
        applicants to ensure the Department’s expectations regarding the solicitation process are
        clearly communicated. Grant managers may add additional instructions depending on
        particular statutory, regulatory, or financial requirements that must be communicated to
        applicants.



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       (a) Contact Person. [Section 3.1.1]

          The contact person is the Department employee (usually the Grant Manager)
          responsible for the grant solicitation process. The solicitation must include his or her
          organizational unit, address, and phone number. To maintain consistency in the
          Department’s responses to inquiries, it is important to designate only one individual as
          the contact person (e.g., Grant Manager, Program Director, or designee).

       (b) Contacting Departmental Personnel. [Section 3.1.2]

          The solicitation should provide instructions to applicants regarding permissible and
          impermissible contact with the Department. Whereas contact between Department staff
          members and potential respondents is extremely limited for procurement solicitations,
          the Department’s policy is that, by authorizing the use of grants, the Legislature has
          intended for the Department to provide information and clarification more freely to
          applicants and potential applicants. As such, unless the Grant Manager deems it
          necessary, the solicitation may permit communication between applicants and
          Department staff after the grant availability has been announced. The solicitation shall
          describe any limits on such communication as the Grant Manager deems necessary.
          The Grant Manager shall ensure that impartiality and fairness are maintained throughout
          the grant award process and must be vigilant in ensuring that all participants have equal
          access to relevant and pertinent material.

       (c) Advertisement and Posting. [Section 3.1.3]

          (i) The Grant Manager shall release the solicitation to all applicants simultaneously. At
              a minimum, solicitations must be advertised on the internet for at least 10 days
              before the date set for the receipt of applications unless it is determined in writing
              that a shorter time period is necessary to avoid harming the interests of the State.

          (ii) Grant managers should coordinate with the appropriate Contract Administrator to
               use the DMS Vendor Bid System (VBS) as a means of giving notice of the
               solicitation availability and periodic progress points. (NOTE: For purposes of this
               operating procedure the abbreviation VBS will be used to represent this website
               which may be accessed either through the MyFlorida.com website or at the following
               internet address: http://vbs.dms.state.fl.us/vbs/main_menu.)

          (iii) The solicitation should describe how potential applicants and the public can remain
                aware of the solicitation’s progress through periodic postings on the internet or
                through other means. The solicitation must be reviewed and approved by the office
                of the General Counsel prior to posting. The solicitation should advise applicants of
                whatever website or means the Department will consider to be the source for official
                postings.

       (d) Schedule of Events and Deadlines. [Section 3.1.4]

          The solicitation shall contain a schedule of all relevant deadlines that will apply to the
          process up to and including the anticipated award date of the grants. While Type 1
          solicitations must include, at a minimum, the activities shown in Table A, the sequential
          order may vary from solicitation to solicitation. Type 2 solicitations must include the
          earliest date on which an applicant may submit their application and the latest date by
          which applications must be received. The solicitation conference may be excluded from
          the schedule if the Grant Manager elects not to hold one.


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    2010                                                                                     CFOP 75-7


                                                    Table A
           ACTIVITY             DUE DATE        TIME                          ADDRESS
Advertise/Release
solicitation
Hold solicitation’ conference

Receive all inquiries

Respond to inquiries

Receive all sealed
applications

Open applications
Grant Manager initial review
for completeness of
applications
48-hour application
correction period.
Evaluation Panel initial
meeting
Evaluation Panel debriefing
Post the Notice of Grant
Award
Anticipated effective date of
grant agreement(s)




            (e) Solicitation Conference. [Section 3.1.5]

                 The solicitation shall provide instructions regarding the Solicitation Conference to be
                 held for applicants, if any.

                 (i)      The purpose of the Applicants’ Conference is to review the grant solicitation with
                          interested applicants. An Applicants’ Conference may be held at the Grant
                          Manager’s discretion.

                 (ii)     If held, the time and place of the conference must be included in the Schedule of
                          Events and Deadlines published in the solicitation.

                 (iii)    The Department regards Applicants’ Conferences as public meetings that should
                          be conducted in accordance with section 286.011, F.S., and properly noticed.
                          Applicants shall be accorded fair treatment.

                 (iv)     The Grant Manager shall obtain and maintain a list of all persons who attend the
                          Applicants’ Conference including, but not limited to, names, titles, represented
                          entity (if any), and contact information.

                 (v)      The Grant Manager should develop an agenda of items to be discussed, such as
                          clarification of the statement of work provisions, billing and payment procedures,
                          reporting requirements, and allowable cost determinations. The Grant Manager
                          should distribute the agenda at the Applicants’ Conference. The agenda must be
                          included in the posting of the open meeting notice required by statute. If needed,
                          the agenda may be simply to answer applicants’ questions. The Grant Manager

                                                       3-11
2010                                                                                     CFOP 75-7


                     should present the items listed in the agenda. After the initial presentation, he or
                     she may open the floor for questions.

          (vi)       The Grant Manager should ensure that either notes are taken or the conference
                     is recorded so that the events of the conference are documented. A summary of
                     conference events must be prepared by the Grant Manager.

          (vii)      Attendance at an Applicants’ Conference is not mandatory unless required in the
                     solicitation. An application may be submitted and accepted from an individual or
                     organization that has not attended the conference, providing attendance at the
                     conference is not mandated in the solicitation.

          (viii)     The Grant Manager should involve representation from OSLS in the Solicitation
                     Conference. The following language must be included in all solicitations where
                     Applicants’ Conferences are anticipated:

                  Small Businesses, Certified Minority, Women’s, and Service Disabled Veterans
                  Business Enterprises are encouraged to participate in any conferences, pre-
                  solicitation, or pre-submission meetings which are scheduled.

       (f) Written Inquiries and Department Answers. [Section 3.1.6]

          The Department’s policy is to permit interested parties to submit inquiries regarding the
          content of solicitations to afford the parties as much opportunity as possible to
          thoroughly understand the Department’s needs and requirements. For Type 1
          solicitations the Grant Manager shall develop a specific statement for the solicitation,
          which sets forth (a) the date and time of the deadline (after which no inquiries will be
          accepted) for acceptance of inquiries; and (b) name, title, and address of the
          Department staff member to whom inquiries should be submitted, which will normally be
          the Grant Manager. In addition, the solicitation shall describe the manner in which the
          Department will provide answers to inquiries including distribution methods and
          anticipated availability dates. For Type 2 solicitations the Grant Manager shall instruct
          applicants about any specific dates that have been set for submitting inquiries and
          receiving answers, or shall describe any other method that has been chosen by which
          applicants may obtain clarification regarding the solicitation’s content.

       (g) Department Not Responsible for Cost of Preparation of Applications. [Section 3.1.7]

          The solicitation must state that the Department is not liable for any costs incurred by an
          applicant responding to a grant solicitation.

       (h) Applicant Ranking and Secretary’s Decision. [Section 3.1.8]

          The solicitation shall instruct applicants that the Department will award grants to the
          applicant(s) whose application is determined by the Secretary or his designee to be the
          most advantageous to the state. The Department’s evaluators will score all applications
          submitted to them by the Grant Manager. The Grant Manager will compile the results of
          the evaluators’ scores and provide the Secretary or his designee the recommended
          ranking of the Department’s evaluators, along with his or her report and recommendation
          for final action. The Department will award grants based on a final selection by the
          Secretary or his designee, who will consider the evaluation criteria set forth in of this
          solicitation. No scoring by the Secretary or his designee will be required in arriving at
          selection and award decision. The scoring and ranking by the Evaluation Panel shall
          serve as a recommendation only.

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2010                                                                                 CFOP 75-7


       (i) Notice of Grant Awards. [Section 3.1.9]

          The solicitation shall describe how the Grant Manager will give appropriate notice of the
          grant awards which may be done electronically or by other means.

       (j) Formal Appeals. [Section 3.1.10]

          The solicitation shall describe how the appropriate appeals procedure that shall be
          applicable to the grant award process, in accordance with the dispute resolution
          procedures set forth in the approved plan.

  (2) The Evaluation Process and Criteria. [Section 3.2]

       This section shall describe how the Department will review and evaluate the submitted
       applications. In addition to the elements set forth below, grants managers may add
       additional information depending on particular instructions or directions that bear on how
       the Department must select among applicants and proposals.

       (a) How Applications Will Be Evaluated. [Section 3.2.1]

          This section shall describe the steps that will be involved once the Department receives
          applications. These steps may vary considerably depending on whether the grant
          origination office has elected to use a Type 1 or Type 2 grant solicitation.

          (i)     Except in extraordinary situations, applications received in response to a Type 1
                  solicitation shall be processed uniformly as a group, and the evaluation of the
                  applications shall be conducted by a single review panel during whatever time is
                  allotted for review.

          (ii)    If provided for in the grant plan, the evaluation process may include oral
                  interviews or presentations by applicants in accordance with the methodologies
                  set forth in Section 4-5 of this operating procedure.

          (iii)   The solicitation shall contain anticipated evaluation event schedules to the extent
                  that they are known or may be planned at the time of the solicitation’s release.

          (iv)    If the Grant Manager determines that evaluation schedules must be announced
                  after the public advertisement of the grant availability, the solicitation must
                  contain the manner in which the public and applicants can receive the schedule
                  when it becomes available. Once established and advertised by means of the
                  solicitation, the review and evaluation process may not be changed without the
                  withdrawal or amendment of the solicitation with appropriate advance notice
                  provided to all participants.

       (b) Completeness Criteria and Correction. [Section 3.2.2]

          The Department’s policy is that grant applicants shall not be summarily rejected for
          inadvertent errors or omissions that may be corrected after the Department’s initial
          receipt of an application.

          (i) As such, the Grant Manager or other designated staff shall initially review
              applications received to determine whether they are substantially complete, i.e. that
              required forms are present and properly signed, that the proposal information
              appears to have addressed the application content requirements, and that the


                                              3-13
2010                                                                                    CFOP 75-7


              applicant has not committed an easily discernible or obvious error that may be
              readily corrected.

           (ii) Should the Department detect such an error, the Department shall afford the
                applicant a brief, reasonable period of time, no less than 48 hours, during which the
                applicant may take corrective action to adjust its application, should the applicant so
                choose. Examples of areas in which such errors might be detected include, but are
                not limited to, missing signatures on forms or certifications, clerical or scriveners’
                errors, the omission of an entire section of the application, and missing letters of
                match commitment or local government resolutions.

           (iii) The grant solicitation shall describe the manner in which applicants will receive
                 notification that their application is incomplete and the manner in which they may
                 pursue correction.

           (iv) The solicitation shall specify that the Department is under no obligation to detect or
                offer the opportunity for such correction, and that the Department’s election to afford
                such an opportunity should and does not give rise to an expectation of application
                correction.

           (v) The solicitation should state that during the 48-hour correction period the applicant is
               permitted only to take action to correct completeness errors and not to supplement
               their application for the purpose of improving competitiveness or to add material for
               any other purpose.

       (c) Description of the Scored Criteria. [Section 3.2.3]

           This section shall briefly describe any criteria by which the Department intends to
           evaluate the relative merit of an application. Scoring criteria may be constructed in such
           a way as to facilitate the comparison of applications with respect to each other or the
           comparison of an application against a benchmark or standard. Section 3.2.1 shall
           contain a description of the procedural approach to the overall process. This section
           (3.2.3) will be a general overview of the scoring criteria for the purpose of allowing
           applicants to easily determine the basis on which their applications will be evaluated.
           The presentation of the scoring criteria in this section need not contain the details of how
           evaluators will evaluate material contained in applications, but should, at a minimum,
           contain the criteria that will be scored, the relative weights associated with the criteria,
           and a brief description of the criteria and any essential relationships or distinctions
           between and among the criteria.

e. Instructions for Preparation and Submission of Applications. [Section 4]

   This section shall contain instructions to potential applicants about how to develop and submit
   their applications to the Department. This section shall provide both administrative and content
   directions in sufficient detail to ensure that applications conforming to the directions can be
   easily analyzed, evaluated, and, if necessary, compared and contrasted to each other. A clear
   and precise set of directions to potential applicants increases the likelihood that the Department
   will receive responsible applications that can efficiently and effectively be processed by the
   Department.

    (1) Submitting an Application to the Department. [Section 4.1]

       This section contains essential instructions to an applicant on when, where, and how to
       submit an application to the Department. These instructions must, at a minimum, include:

                                               3-14
2010                                                                                   CFOP 75-7


       (a) The delivery location to which applications are to be delivered to the Department for
           Type 1 grants or the acceptable submission methods for Type 2 grants. Note that the
           submission deadlines should be included in Section 3.1.4 of the solicitation. If so, they
           need not be repeated here, however, the solicitation may contain a reference pointing
           applicants to the location of the schedule of events and deadlines.

       (b) The number of copies to be submitted, including whether the applicant must include
           multiple copies of supporting documents, e.g. local government resolutions, match
           letters of commitment, organization audit reports, etc, electronic versions of applications,
           or budgets and financial information.

       (c) The format for typed or printed page materials, limitations on the number of pages (if
           any), and limitations on unsolicited materials, e.g. gratuitous letters of support or
           organizational promotional material.

       (d) Instructions regarding forms completion if such instructions are not present in the form or
           available through the forms source such as the Department’s forms and publications
           website.

       (e) Packaging instructions, e.g. whether envelopes are to be separately sealed, exterior and
           interior labeling instructions, whether material is to be placed in multiple envelopes or
           boxes, whether material is to be bound or otherwise secured, etc.

       (f) Any requirements governing preferred fonts, font sizes, colors, or other special printing
           or display characteristics.

       (g) Any other specifications regarding the time, manner, or administration of the receipt of
           the applications with which the Department expects applicants to comply.

  (2) The Format and Content of the Application. [Section 4.2]

       The solicitation shall contain specific instructions regarding the substance and format of the
       material which the Department must receive for the application to be considered for award.
       Whereas the applicant instructions in section 4.1 are administrative in nature, the
       instructions in section 4.2 are designed to produce the substantive content by which the
       Department will determine the relative merit of the applicant and its proposal. Generally
       speaking, a failure by an applicant to submit or adequately address the requirements
       described below will result in the application being at a disadvantage competitively.
       Therefore, the instructions to the applicant should be as clear as possible so that applicants
       not only know what to submit, but can follow the relationship between the submitted material
       and their competitive status. Each of the sections below must be addressed in the grant
       solicitation, but additional sections or subsections may be added to meet particular
       programmatic needs. The components of Section 4.2 may be renumbered to accommodate
       the need to include additional sections or subsections.

       (a) Organization Information. [Section 4.2.1]

          The solicitation should contain instructions regarding the information the Department
          must receive about the applicant itself. Such information will include basic identifying
          information (name, address, names and position titles of authorized representatives), but
          may also include other desired attributes (tax status, corporate longevity, affiliations or
          relationships, board of directors’ membership, etc.).




                                               3-15
2010                                                                                  CFOP 75-7


       (b) Project Narrative and Grant Outcome Evaluation. [Section 4.2.2]

          While detailed requirements regarding the statement of work or scope of services are
          common in procurement processes, the Department recognizes that this may not be true
          for grant awards. There may be instances when the majority of the service information
          and approach will come from the grant applicant and not from the Department. This is
          one of the critical differences between an acquisition of service and the award of
          financial assistance. Similarly, Type 1 and Type 2 grant solicitations may vary in the
          detail with which the Department describes the program or project portion of the desired
          grant.

          (i) At a minimum, however, each grant solicitation must require all applicants to submit
              a complete and comprehensive narrative regarding their intended use of the grant
              funds. The requirement for comprehensiveness does not necessarily imply that the
              applicant’s submission must be lengthy or voluminous, only that the application must
              be clear in the project being undertaken, the goals being pursued, and the role of the
              grant in improving the condition of targeted communities or individuals.

          (ii) Each solicitation must also include a requirement for the applicant to tell the
               Department how the success of the grant will be measured, whether project
               outcomes were achieved, how independent observers can determine whether
               progress against a public goal was gained, and what may be gained by the
               expenditure of the grant funds even if certain objectives may remain unsatisfied. The
               solicitation should not only transmit any legislatively or executive mandated goals or
               objectives, but should also place a burden on potential recipients to describe not only
               what they will do, but also how others will know whether their efforts provided
               benefits to the public.

       (c) Client and Population Information. [Section 4.2.3]

          The solicitation shall require applicants to describe the intended targets of the grant
          activities. Unlike the vast majority of procurement services where specific individuals are
          the target population, grants are often made to provide community or group benefits, e.g.
          to reduce the incidence, presence, or impact of adverse conditions in a community. As
          such, the Department recognizes that the applicant must be able to describe, within the
          limits of law or funding sources, much of the client and population information pertaining
          to the grant’s objectives. The solicitation may require that applicants include
          demographic information, population sizes, ethnic or minority segment identification, or
          other client or community characteristics in their applications. The solicitation must
          require enough information from applicants to permit the Department to accurately
          assess and identify all people and groups who will be served or impacted and should
          require subsequent reports to assure that the recipients implemented the grant in
          accordance with their original proposal.

       (d) Budget Proposal and Explanation. [Section 4.2.4]

          Proposed budgets are an essential part of all grant applications, but the Department
          recognizes that budget formats and construction may vary widely depending on the
          program and the funding source(s) involved. This is one of the reasons that the
          preparation of a thorough grant plan is so essential and beneficial to the requirements
          finally placed in the solicitation. The solicitation shall contain requirements that
          applicants submit complete and detailed budgets for the proposed use of the grant
          funds. Grant origination units must develop their individual budget formats, and include
          a required budget format in the solicitation. The requirement for a standard presentation

                                             3-16
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            for the proposed use of funds permits Department or external evaluators to readily
            compare and contrast funds’ use across organizations. The solicitation should also
            require the submission of overall organizational budget or financial information, in
            addition to project budget material, to ensure that the Department can verify that the
            recipient does not exceed caps or limits on the use of grant funds for overhead,
            administrative, or general purposes. The solicitation should specify whether personnel
            costs must be broken out by position, salaries and benefits, or other categories, or
            whether aggregate presentation is acceptable.

        (e) Match Documents. [Section 4.2.5]

            The solicitation shall specify what forms of evidence applicants must submit to establish
            the applicants’ ability to satisfy grant match requirements, if any. The solicitation shall
            specify not only that applicants must meet match thresholds, but also must describe the
            documents, forms, or letters that must be included with the application. Where the
            solicitation contemplates the receipt of match commitment letters it shall specify who
            must sign the letters, verify fund or commitment amounts, and whether signatures must
            be notarized or otherwise independently validated.

        (f) Supporting Material. [Section 4.2.6]

            The solicitation shall specify what additional supporting documentation is required from
            applicants, or what limitations the Department wants to place on unsolicited material. To
            the extent that an applicant’s competitiveness is enhanced by letters of support,
            endorsements by governing bodies or officials, or commitments made by national
            affiliates, the solicitation should describe whether such material is expected, desired, or
            unnecessary. If support letters or endorsements are to be considered in the application
            of the scoring criteria, the solicitation should describe how they will be used and the
            benefits or detriments from their presence of absence. It is not uncommon in the not-for-
            profit world, however, for organizations to prepare lengthy or elaborate pamphlets or
            booklets on their operations and benefits and include them in every submission made to
            any prospective funding source. If the grant origination unit wants to minimize the
            material they must handle and evaluate, it should expressly place a limit or prohibition on
            the inclusion of such material. The desirability, or undesirability, of additional amplifying
            material should be explained to reduce unnecessary work both by applicants and the
            Department.

f.   Documents, Forms, and Worksheets. [Section 5]

     The final section of the solicitation contains the standard grant agreement terms and conditions,
     the forms necessary for applicants to submit applications, and the worksheets that will used by
     Department staff members to process and evaluate the applications. It consists of the following
     elements.

     (1) Standard Grant Agreement Terms and Conditions. [Section 5.1]

         The solicitation must contain all of the terms and conditions included in the Department’s
         Standard Grant Agreement. To make it convenient for Department staff to include such
         terms, the ASC website contains a document that contains the standard terms and
         conditions that should be included with a grant solicitation.

     (2) Forms and Certifications. [Section 5.2]




                                                3-17
      2010                                                                                  CFOP 75-7


              The solicitation should contain copies of all mandatory forms and certifications that
              applicants must complete and include with their application. Such forms include, but are
              not necessarily limited to, the Certification Regarding Lobbying (CF 1123), statements
              regarding compliance with grant terms and conditions, budget forms, and program specific
              forms. The solicitation should include at least one copy of the form in use at the time of the
              solicitation. The solicitation need not include multiple copies of forms if additional copies
              may be obtained through other sources such as the Department’s forms and publications
              website.

          (3) Applicant Checklist. [Section 5.3]

              The solicitation shall include a checklist that contains the mandatory and essential
              elements that applicants must submit. At a minimum, the checklist should include the
              mandatory delivery, submission, and formatting items and each individual item in Section
              4.2 of the solicitation. The checklist should list such additional items the absence of which
              would materially impact the completeness or acceptability of the application. Examples of
              items include demonstrations of compliance with statutory recipient criteria, availability of
              mandatory or essential supporting letters, documentation of financial condition, etc.

3-5      The Solicitation Development Process.

      This section discusses the duties of grant origination units and others within the Department in the
      grant solicitation preparation and development process. It includes instructions to both origination
      units and other units within the Department. Grant solicitations are a form of communication
      between the Department, its stakeholders, and the public. As such solicitations must adhere to
      appropriate standards for clarity, ease of understanding, transparency, and accountability.

      a. Grant Origination Unit.

         Department units that possess the authority to award grants are the primary points of action and
         coordination in developing grant solicitations. The unit supervisor or program director is
         responsible for initiating the development of a grant solicitation, and shall appoint the Grant
         Manager. Development of the solicitation is a collaborative process, bringing together the
         requirements of the variety of functions and disciplines within the program and the Department.
         The unit supervisor or Program Director may also appoint a development team to assist in the
         development of the solicitation. At a minimum the development team should consist of the
         persons knowledgeable of the grant program, the Grant Manager, and a member from OSLS to
         serve as an advisor. The level of participation of the OSLS representative will be determined by
         the General Counsel. Unit supervisors or Program Directors are responsible for providing
         support to Grant Managers that may be necessary to ensure satisfactory completion of the
         solicitation.

      b. Grant Managers.

         The Grant Manager described in Sections 1-8 and 6-3 is responsible for day-to-day oversight of
         all activities related to the grant or solicitation. The Grant Manager is the primary point of
         contact through which all information flows with regard to the solicitation. All actions related to
         the solicitation shall be initiated by or coordinated with the Grant Manager.

      c. Legal Services.

         The Department’s policy is that all solicitations for contracts or grants must be reviewed and
         approved by the Office of the General Counsel office prior to being advertised to the public.
         Early in the solicitation development process the Grant Manager should contact OSLS and

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       2010                                                                                  CFOP 75-7


           advise that a grant solicitation is being developed and to request guidance regarding their
           involvement. At a minimum the Grant Manager should expect one of the Department’s
           Assistant General Counsels to be assigned to participate in early involvement. Regardless of
           the degree of early participation, OSLS must review and approve final form of the solicitation
           prior to release. The Grant Manager shall obtain such approval in writing prior to advertising the
           grant solicitation.

      d. Fiscal Office.

           The Grant Manager shall also contact the appropriate program fiscal representative early in the
           solicitation development process and verify that funds are available to support the grants and
           that all fiscal and budgetary information is the same as that contained in the grant plan. The
           Grant Manager shall obtain written concurrence of funds’ suitability and availability from the
           program fiscal representative prior to advertising the grant solicitation.

      e. Contract Administration.

           The Grant Manager shall coordinate the review and approval of the solicitation with the
           appropriate Contract Administrator. The Contract Administrator shall review the solicitation and
           shall post the availability of the solicitation on the Vendor Bid System if the Grant Manager
           requests that it be advertised there. The Contract Administrator shall provide technical
           assistance as requested regarding the conduct of solicitation or applicants’ conferences, posting
           notices of public meetings, opening sealed applications, conducting briefing and debriefing
           meetings for evaluation panels, and notifying successful applicants or posting results.

      f.   Solicitation Schedules, Timeframes, and Deadlines.

           As discussed above, the format, content, and approach which a grant originator may elect to
           conduct grant solicitations may vary considerably. Type 1 solicitations will have specified dates
           and times for opening and evaluating applications, whereas Type 2 solicitations may stretch out
           over time, and could conceivably begin prior to the appropriations period during which funding is
           expected. This variability makes it imperative that the Grant Manager begin development of the
           solicitation sufficiently early to allow for the variety of activities related to completion and
           approval. Normally, grant managers should allow a minimum of six months for the solicitation
           development and approval process. Upon their initial appointment grant managers should
           review the grant plan to determine all deadlines that affect the use or retention of funds and
           should immediately advise their supervisor or manager if or when it becomes apparent that
           timing may affect funds’ use or goal achievement.

3-6        Public Notice and Advertisement.

      a. Public Notice of Grant Solicitations.

           The Grant Manager is responsible for implementing the public notice and advertising portion of
           the grant plan.

           (1) At a minimum, public notice of the release of a grant solicitation must be provided on the
               VBS. Notice may also be given on other websites available to the general public at no cost
               to the user. The notice must appear on the website sufficiently far enough in advance of
               the application due date to afford a reasonable opportunity for interested parties to respond
               or submit applications. The website must be one that might reasonably be expected to
               contain information regarding Department activity or public funding announcements such
               as the Department’s internet website or the Vendor Bid System operated by the
               Department of Management Services.

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      2010                                                                                   CFOP 75-7


          (2) Where the applicant pool is constrained by law to specific groups or coalitions possessing
              clearly defined characteristics, the Grant Manager may also send notifications to potential
              applicants by means of email, hard copy delivery through the U.S. Postal Service, or
              facsimile transmissions. If a Grant Manager elects to provide individual notification to a
              defined applicant pool, such notification must be provided to all members of the pool.

          (3) Grant managers and other Department staff members are prohibited from providing
              selective notification to any applicant or group of applicants, either in frequency or timing.
              Grant managers shall ensure that all potential applicants receive equal treatment in notice
              and advertising.

          (4) Where the applicant pool is not constrained by law, the public notice should be posted on
              the Vendor Bid System unless the Grant Manager can demonstrate that there is another
              electronic forum to which grant community stakeholders routinely turn for information. The
              Grant Manager shall contact the appropriate Contract Administrator for assistance in
              posting notices and advertisements on the Vendor Bid System.

      b. Content of Grant Availability Advertisements.

          Public notices and advertisements, regardless of the form used, shall contain:

          (1) The title of the proposed grant, the assigned tracking number;

          (2) A brief synopsis of the nature of the grant (consistent with any format or space limitations of
              the media);

          (3) The dates by which applications must be submitted, the name and address to whom
              applications must be submitted;

          (4) Contact information about how to obtain a copy of the solicitation or further information; and

          (5) Such additional information as would be useful for readers to determine whether further
              investigation of the grant opportunity is warranted.

      c. Additional Grant Solicitation Update Notices.

         Beyond advertising the availability of the grant solicitation, the Grant Manager shall provide
         such additional public notices as may be necessary to keep applicants and the public apprised
         of significant steps or developments or to conform to the grant plan. Such steps may include
         notices of changes or addenda to the solicitation, meetings of grant evaluation panels, changes
         in schedules, availability of evaluation results, and notices of grant awards. The Grant Manager
         shall be consistent in the websites or other media used to communicate information to
         applicants or the public. This will simplify the means by which interested parties may follow the
         progress of grant awards and fund use.

3-7      Government Entity vs. Private Entity Applicant Pools.

      a. Waiver for Government Entity Applicant Pools.

         In those cases where a statute, or other source authorizing the award of grants, limits the
         potential applicant pool to Florida governmental entities, the requirements of this operating
         procedure may be waived after consultation with Legal Services.

      b. Necessity for Law to Limit Pools.


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2010                                                                                  CFOP 75-7


   Mere participation, or the possibility of participation, by a Florida governmental entity in a
   competitive process does not establish the basis for a waiver of the provisions of this operating
   procedure. The waiver is available only when the potential applicant pool is specifically limited
   by Federal or State law, rule, or a funding or appropriations document or provision.

c. Approvals Needed.

   In those instances where the grant originating unit seeks to waive one or more of the
   requirements of these procedures, the grant manager shall prepare a description of the
   provisions for which a waiver is sought and shall obtain the approval of the Program Director
   and the Office of Legal Services.

d. Contracts Staff Director Action.

   After the waiver is approved, it shall be sent to the Contracted Client Services Staff Director who
   shall review the request and make a determination as to whether a permanent waiver is
   appropriate for the grants under consideration. The Contracts Staff Director will notify the
   Grants Manager of his or her decision within fourteen (14) days.




                                              3-21
      2010                                                                                     CFOP 75-7



                                          CHAPTER FOUR

                EVALUATING GRANT APPLICATIONS & AWARD NOTIFICATION

4-1      Purpose.

      This chapter provides guidance on how the Department handles, reviews, and evaluates
      applications submitted in response to solicitations. It also contains instructions on how the
      Department reviews and considers unsolicited grant applications. All applications must be
      accorded fair treatment regardless of whether they are received in response to a specific solicitation
      or whether they came to the Department unsolicited and must be evaluated based on their
      substantive merit.

4-2      References for this Chapter.

      a. Statutes, Regulations, and Department Operating Procedures.

         Chapters 119 and 120, F.S.

      b. Other References.

         None.

4-3      Procedures for Handling Applications Following Submission.

      Chapter 3 described two different forms of grant solicitation processes, as well as recognized that
      the Department might, from time to time, receive unsolicited grant applications. This section
      discusses the processes that will apply to the two different varieties of solicitations with respect to
      the receipt and recording of submitted applications and how the Department handles unsolicited
      applications. Where this procedure provides for alternatives with respect to particular procedures,
      the grant origination unit should determine which alternative it desires to employ and include its
      selection in the grant plan.

      a. Type 1 Grant Solicitations.

         The following directions are applicable to receiving and opening applications for a Type 1 Grant
         solicitation.

         (1) Receipt of Applications.

             As applications are received, each must be stamped or marked indicating the date and time
             of receipt. All applications must be logged-in, showing the applicant’s name, address, and
             the date and time of receipt. Since many applications are too large to place in a solicitation
             file, it is crucial that an accurate log be kept to record the receipt of all applications.

         (2) Security of Applications.

             Upon receipt by the department, applications shall be maintained, unopened, and in a
             secure location until the opening time and date.

         (3) Opening the Applications.

             The originating unit manager must designate one employee, which will typically be the Grant

                                                      4-1
2010                                                                                    CFOP 75-7


       Manager, to open the applications, and another employee to record the receipt of the
       applications in a log. Applications must be opened on the day and time specified in the
       grant solicitation. The date and time of the opening shall be published in the solicitation.

  (4) Grant Applications Not Exempt from Public Inspection.

       Unlike competitive procurements there is no specific exemption for grant applications to be
       exempt from the public inspection provisions of Chapter 119, F.S. Therefore, sealed
       applications are available for public examination, inspection, and copying upon request.
       The Grant Manager shall direct all requests to examine grant applications to OSLS. The
       Grant Manager shall comply with the instructions received from OSLS with respect to
       copying or making the applications available for inspection. The Grant Manager shall not
       open the applications for inspection or make copies until directed to do so by OSLS or a
       member of Department management.

  (5) Return of Applications Received Which Failed to Meet Deadline for Receipt.

       The Grant Manager shall return unopened, all but one original copy of applications that were
       not in the care, custody, and control of the Department at the time of the opening. The
       Grant Manager shall document this action with a letter addressed to the applicant indicating
       the time of arrival of the application at the Department and the statement that, “the
       application cannot be considered because it did not meet the specified opening
       deadline as stated in the solicitation.” One unopened original of all returned applications
       must be retained for Department records. If the application is in the required location at the
       required time listed in the solicitation, it is considered to be in the care, custody, and control
       of the Department.

  (6) Documentation of Opening.

       The Grant Manager shall maintain a record of the following: the date, time and place of
       opening; and the names of persons in attendance and their roles. The Grant Manager shall
       advise all present at the opening that the Department’s receipt of the applications and
       announcement of the names or other applicant information does not imply or constitute an
       award.

  (7) Opening of Separate Budget Proposal.

       If the solicitation requires the submission of separate budget proposals, the budget portion
       must not be opened until the scored portion of the applications is evaluated, and the
       minimum required score is achieved. The same opening process used for the application
       must be used for the budget proposal.

  (8) Completeness Review.

       As described in Section 3-4 d.(2)(b), the Department’s policy is that grant applicants shall
       not be summarily rejected for inadvertent errors or omissions that may be corrected after the
       Department’s initial receipt of an application. As such, prior to giving the applications to the
       evaluation panel members, the Grant Manager or other designated staff shall initially review
       applications received to determine whether they are substantially complete, i.e. that required
       forms are present and properly signed, that the proposal information appears to have
       addressed the application content requirements, and that the applicant has not committed
       an easily discernible or obvious error that may be readily corrected. Should the Department
       detect such an error, the Department shall afford the applicant a brief, reasonable period of
       time, of not less than 48 hours to address such errors or omissions. During this time period

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2010                                                                                     CFOP 75-7


       the applicant may take corrective action to adjust their application, should they choose to do
       so. The correction period does not constitute a general extension of the application period.
       Applicants are permitted to make corrections only to those incomplete portions or obvious
       errors identified in the Department’s initial review for completeness.

b. Type 2 Grant Solicitations.

   The following directions are applicable to receiving and opening applications for a Type 2 Grant
   solicitation.

   (1) If Applications are Opened At One Time.

       The Grant Manager shall follow the procedures described for Type 1 Grant Solicitation
       openings provided the grant plan and solicitation have specified that the Department will not
       act upon any application until after the receipt of all applications and the solicitation requires
       the submission of “hard copy” applications. If the solicitation permits the submission of
       electronic applications, the Grant Manager shall follow the procedures described for Type 1
       Grant Solicitation openings for any “hard copy” applications. If the Department receives any
       electronic applications the Grant Manager shall make a record of their receipt in the log at
       the same time.

   (2) If Applications Are to be Processed Upon Receipt.

       If the grant plan and solicitation have specified that the Department will act upon
       applications upon their receipt, the Grant Manager shall adhere to the following procedures.

       (a) Opening the Applications.

           The Grant Manager shall record the dates and time at which he or she receives
           packages containing applications. The Grant Manager shall not open any package
           containing an application without having another Department employee present to act as
           a witness. The Grant Manager shall note the date and time at which the package is
           opened and the name of the witness who was present. The witness shall sign a log,
           roster, or the application package to verify his or her presence at the opening. The
           opening log and witness signatures shall be maintained in the solicitation file. If
           applications are received via email, the Grant Manager shall print a copy of the
           transmitting email and include it in the grant solicitation file. The Grant Manager shall
           also note in the applications log the receipt of any applications submitted electronically.
           The Grant Manager shall establish a separate folder or file directory for all electronically
           received applications which must be located on a computer drive that is accessible to
           unit or Department employees, in addition to the Grant Manager. The Grant Manager
           shall not maintain the official copies of electronic applications on his or her individual
           computer(s) or restricted directories available only to the Grant Manager.

       (b) Completeness Review.

           If the applications are sent to evaluation panel members upon, or shortly after receipt,
           the Grant Manager shall perform the completeness review upon receipt of the
           application. The Grant Manager shall maintain a record or log of the dates and times of
           the transmission of the applications, the names, addresses, and contact information of
           the parties to whom the applications were sent, and shall preserve verification of the
           actual receipt of the application. The Grant Manager shall verify receipt either through
           individual phone conversations or through individual email confirmations. The Grant
           Manager shall likewise confirm the return of the application when the evaluator(s) return

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      2010                                                                                    CFOP 75-7


                 the applications back at the conclusion of scoring. Grant Managers should consider the
                 use of numbered copies of grant applications when transmitting applications to
                 evaluators to track and control the return of the applications.

             (c) Application Log.

                 The Grant Manager shall maintain a consolidated log of applications received and the
                 current status and location of all applications. The log may be maintained electronically,
                 but shall be, at a minimum, accessible to the Grant Manager’s supervisor or other
                 Department staff members. The log shall be updated each time there is activity related
                 to the receipt, transmission, or return of an application. The Grant Manager shall remain
                 aware of the location of all application material that has been submitted to the
                 Department. The log shall become a part of the permanent solicitation file.

             (d) Grant Manager Responsible for Applications.

                 The Grant Manager shall inventory all applications and associated material while
                 preparing the final tabulation of results. The Grant Manager shall account for the
                 presence of all applications and supporting material, prior to announcing or otherwise
                 posting the results of the tabulation. All applications shall be retained as a part of the
                 Department’s records until the required record retention period has expired, or the
                 Department’s record retention coordinator approves a final disposition.

      c. Unsolicited Applications.

         If a Department unit receives a grant proposal or application that did not arise from a specific
         grant solicitation, the unit shall make a record of the date and time of receipt prior to performing
         any further analysis. If the application pertains to a Department program or operation that does
         not possess the authority to award grants, or does not possess the authority to award grants for
         the subject of the proposal, the receiving unit shall notify the applicant that the Department lacks
         the requisite statutory or fiscal authority to further consider its proposal or application. If the
         receiving unit possesses the statutory authority to award grants of the type contemplated by the
         proposal, the unit shall make an initial determination about whether it wishes to further evaluate
         the proposal. If the unit chooses to further evaluate the proposal, the Grant Manager shall notify
         the applicant that the Department will evaluate the proposal and will provide the applicant with
         as much information regarding further steps, anticipated time frames, future contact information,
         etc. as is reasonable. Thereafter, the unit shall assess and analyze the proposal as further
         described below and will contact the applicant with the results of the Department’s deliberations
         at the appropriate time

4-4      The Composition and Operation of Evaluation Panels.

      The grant plan must contain a description of the method that will be used to evaluate grant
      applications. One option that may be used to evaluate the grants is the appointment of an
      evaluation panel. This section describes the procedures that should be considered when the grant
      origination unit elects to use an evaluation panel. Application evaluation panels should generally
      consist of no less than three members appointed expressly for that purpose. Application evaluators
      need not be Department employees; however, non-Department or non-state employees who are
      appointed to evaluation panels must agree to abide by all Departmental grant evaluation
      procedures, including those pertaining to ethics and conflicts of interest, prior to serving on
      evaluation panels. The following requirements pertain to grant evaluation panels.

      a. Appointment of Evaluation Panel Members.


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2010                                                                                     CFOP 75-7


   The Grant Manager shall consult with his or her supervisor regarding the size and composition
   of the evaluation panel.

   (1) The evaluation panel shall be designated by the director of the grant origination unit, in
       writing, prior to the beginning of the evaluation.

   (2) In selecting individuals to be designated as evaluation panel members, consideration shall
       be given to their experience, training, education, judgment, character, reputation, and ethics.

   (3) In considering experience, training, and education, the following shall be given special
       consideration: experience in the program area; experience in related programs, special
       training in public policy pertaining to the program or grant subject (including department or
       state government conducted or sponsored courses); and knowledge of applicable laws,
       regulations, executive orders, and Departmental operations and service delivery.

   (4) Evaluation panel members may be Department employees, consultants, or volunteers from
       outside the Department or state government that possess the attributes described above.

b. Briefing Evaluation Panel Members.

   (1) Evaluation panel members who are not familiar with the state’s code of ethics shall be given
       instructions regarding permissible and impermissible behavior prior to beginning their panel
       duties.

   (2) All evaluation panel members shall be briefed prior to performing their duties. At a minimum
       the briefing shall include a discussion of the contents of the grant solicitation, familiarization
       with the forms and worksheets to be used for scoring, the time limits governing evaluation
       and scoring, how to obtain answers to questions, and how their scores are to be submitted.

   (3) Evaluation panel members who have never served on a Department evaluation panel,
       whether for a competitive procurement or grant solicitation shall be directed to the
       Department’s websites that contain additional resources regarding their duties, the grant
       under consideration, and the program.

   (4) Evaluation panel members shall be given adequate time to fully prepare themselves prior to
       performing evaluation duties.

c. Statutory Criteria Governing Evaluation Panels.

   Prior to recommending the composition of a grant evaluation panel, the Grant Manager shall
   determine whether the Legislature has established preference criteria that instruct the
   Department about who must serve on the panel. The Grant Manager shall determine whether
   statutory instructions regarding panel membership afford the Department any flexibility in
   appointing members. In the event of questions regarding evaluation panel membership, the
   Grant Manager shall coordinate with OSLS prior to submitting a recommendation to the unit
   director. Where the statutes prescribe evaluation panel membership by title or employer, the
   Grant Manager is responsible for obtaining the names and contact information for all panel
   members and for notifying them of the statutory direction regarding their service on the panel.

d. Evaluation Panel Timing and Scheduling.

   (1) The Grant Manager shall take any actions necessary to identify evaluation panel members,
       inform them of their appointment, and provide them sufficient time for reviewing the
       solicitation and associated materials at least two weeks prior to the date anticipated for the


                                                4-5
      2010                                                                                      CFOP 75-7


             initial panel meeting. The initial panel meeting may be the briefing described above. Grant
             managers shall plan evaluation panel activities sufficiently early to avoid imposing
             unnecessary hardships on the members.

         (2) Evaluation panel members shall be given a reasonable amount of time to review, evaluate,
             and score applications taking into consideration the complexity of the solicitation and grant
             subject matter, the volume of material submitted by applicants, the total number of
             applications, and legislatively established or fiscally pertinent deadlines.

         (3) Where the volume of applications differs substantially from the originally expected volume
             the Grant Manager may consider adjusting the evaluation timetables to correspond to the
             volume of material actually received. Such adjustments may result an increase or decrease
             in the amount of time allotted to evaluators to perform their work.

         (4) The Grant Manager shall issue an amendment to the solicitation if an adjustment results in a
             change to the schedule of events contained in the solicitation.

4-5      Evaluation Methods.

      The solicitation shall contain a description of the evaluation methods that will be used to evaluate
      applications. The Grant Manager or solicitation writer may select from one or more of the following
      methodologies in developing the solicitation: use of individually scored criteria, panel discussions,
      oral interviews, site visits, and budget reviews. If multiple methods or steps will be employed in
      evaluating grant applications, the solicitation shall describe the relative importance or role of each of
      the methods in arriving at the final recommended ranking of applications.

      a. Use of Individually Scored Criteria.

         The most common form of evaluation methodology employed within the Department is the use
         of scored criteria that are individually evaluated by members of an evaluation panel. Grant
         solicitations that contain individually scored criteria shall comply with the instructions provided
         below.

         (1) Solicitation Must Include Criteria.

             The grant solicitation shall contain all of the criteria that will be used to evaluate applications
             and the relative weight or value of each. To the maximum extent possible, criteria shall be
             written in such a way as to facilitate objective analysis by the evaluators. While the choice
             and wording of evaluation criteria involve an element of subjectivity, the goal should be to
             construct criteria that will be scored by evaluators individually; the criteria should be
             constructed for objective, rather than subjective, analysis. Solicitation writers may use as
             many criteria as necessary to objectively evaluate the relative merit of the applications.

         (2) Evaluation Briefing and Debriefing.

             Normally, evaluators will perform the bulk of their work independently when a solicitation
             employs individually scored criteria. Nevertheless, it is common even when the evaluators
             will work independently for the evaluation process to include a briefing and debriefing of the
             evaluators. The briefing’s purpose is to ensure that all evaluators fully understand their task,
             the criteria and scoring instructions, their deadlines, and how to obtain further information.

         (3) Debriefing Procedure.




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2010                                                                                  CFOP 75-7


       (a) The normal purpose of the debriefing is to ensure that all evaluators considered the
           same material from the applications when applying the particular criteria. This is
           accomplished by the person conducting the debriefing, which will normally be the Grant
           Manager, querying panel members about the portions of the applications they reviewed
           and evaluated in arriving at the scores they assigned to each applicant.

       (b) The Grant Manager may allow discussion among panel members during the debriefing;
           however, the Grant Manager should ensure that each evaluator understands that they
           are responsible for assigning their own scores. When the solicitation calls for the use of
           individually scored criteria, the Grant Manager should not permit the debriefing to
           become a forum for consensus-based scoring.

       (c) If the scores are unreasonably disparate, the sole function of the Grant Manager is to
           allow each evaluator to point out where in the response he or she found the material,
           which was used to formulate the score. The actual scores assigned are not the primary
           concern, only potential disparities that may indicate that one or more evaluators used
           widely varying portions of applications in making their determination.

       (d) No pressure is to be placed upon any evaluator to change any score. The purpose of
           the review of disparate scores is to assure that each evaluator, regardless of the score
           assigned, made a scoring determination based generally upon the same material within
           the applications and not upon either material that did not apply or material omitted by
           others.

b. Panel Discussions.

   If appropriate, the Grant Manager may elect to include one, or more, panel discussions as part
   of the overall evaluation process. Normally, panel discussions are not used during the
   evaluation portion of competitive procurements, however, the Department recognizes that
   determining the most appropriate recipient of limited amounts of financial assistance may be
   best served by affording additional flexibility in evaluation strategies. The purpose of using a
   panel discussion is to enable evaluators with varying fields of expertise to benefit from the broad
   base of expertise available from the entire panel as opposed to being forced to rely just on their
   own background. Panel discussions may be combined with the use of individually scored
   criteria or other evaluation methods. Panel discussions may be used for the purpose of
   discussing applications before scores are assigned, developing consensus with respect to the
   score assignment, making recipient selection decisions, or reviewing the amount of funding
   awarded to one or more recipients. Grant solicitations that employ panel discussions as part of
   the evaluation process shall adhere to the following requirements.

   (1) Attendance at Panel Meetings.

       If panel discussions are used, all evaluation panel members must attend all panel
       discussions to ensure that each panel member is aware of all discussions and receives the
       same information regarding applicants and applications. Panel members may attend by
       conference call, if necessary. The Grant Manager or other designated Department staff
       member shall serve as a moderator for the panel and shall ensure that all panel members
       have an equal opportunity to make observations or contributions as they individually deem
       appropriate. The panel moderator shall query the panel at one or more times as to whether
       any panel member desires to speak to any particular issue before conclusion of a topic or
       the meeting.

   (2) Panel Meetings to Be Open.


                                               4-7
2010                                                                                  CFOP 75-7


       The Grant Manager shall ensure that a record is made of the entire proceeding. The record
       shall be sufficiently detailed to permit a later review of the matters discussed and the points
       of view expressed. If possible, the Grant Manager should make an electronic recording of
       the panel discussion. Any records made of panel discussions shall become a permanent
       part of the solicitation file. The record must contain a list of all panel members present,
       Department or other state employees present, and a sign-in sheet of any attendees from
       applicants or the public.

   (3) Sequence of Events.

       If a panel discussion is combined with the use of other evaluation methods, the solicitation
       shall contain a description of the sequence of events that will be used during the evaluation
       process. The Grant Manager may still elect to hold a debriefing meeting in which case, the
       debriefing shall serve the same purpose and conform to the same requirements described in
       Section 4-5 a.(3) above. All grant applications should include the use of written material as
       the primary means for obtaining information regarding applicants and their proposals.

c. Oral Interviews.

   If appropriate, a solicitation evaluation may include the use of oral interviews as a part of
   evaluating applications. An oral interview is different from a panel discussion in that oral
   interviews provide opportunities for panel members to hear presentations and ask questions of
   applicants in addition to simply having discussions with other panel members. When oral
   interviews are included as part of the application evaluation process, the interviews shall
   conform to the following requirements.

   (1) Attendance at Oral Interviews.

       All evaluation panel members must attend all oral interviews to ensure that each panel
       member is aware of all discussions and receives the same information regarding applicants
       and applications. Panel members may attend by conference call, if necessary. The Grant
       Manager or other designated Department staff member shall serve as a moderator for the
       interviews. If evaluators are permitted to ask questions, all panel members shall have an
       equal opportunity to ask questions of applicants.

   (2) Oral Interviews to be Open.

       The Grant Manager shall ensure that a record is made of the entire proceeding. The record
       shall be sufficiently detailed to permit a later review of the matters discussed and the points
       of view expressed. If possible, the Grant Manager should make an electronic recording of
       the panel discussion. Any records made of panel discussions shall become a permanent
       part of the solicitation file. The record must contain a list of all panel members present,
       Department or other state employees present, and a sign-in sheet of any attendees from
       applicants or the public. The Grant Manager shall ensure that appropriate public meeting
       notice is provided.

   (3) Equal Treatment During Interviews.

       Oral interviews shall be equal in duration for all applicants. If applicants are permitted to
       make presentations, the presentations shall be equally limited for all applicants. If audio-
       visual material is acceptable during the presentation, all applicants shall be given an equal
       opportunity to use such material. The Grant Manager shall ensure that no applicant is
       afforded an opportunity during the presentation that is denied to another. The guidelines
       and requirements for the interviews and presentations shall be included as part of the

                                               4-8
2010                                                                                   CFOP 75-7


       solicitation and may not be changed without amending the grant solicitation. The Grant
       Manager shall ensure that presentations or interviews are timed and that specified time
       limits are enforced. Question and answer periods shall be of equal duration for all
       applicants.

   (4) Sequence of Events.

       If oral interviews are combined with the use of individually scored criteria, the solicitation
       may permit the use of separately scored criteria for written and oral material. Evaluators
       shall be directed which criteria are to be scored at what time. All panel members shall
       submit scores on the schedule identified during the solicitation. The Grant Manager may
       still elect to hold a debriefing meeting in which case, the debriefing shall serve the same
       purpose and conform to the same requirements described in Section 4-5 a.(3) above. All
       grant applications should include the use of written material as the primary means for
       obtaining information regarding applicants and their proposals.

d. Site Visits.

   If appropriate and approved by Department management, the evaluation of grant applications
   may include site visits by members of the evaluation panel to locations at which grant activities
   will be completed.

   (1) Applicability of Site Visits.

       The purpose of site visits is for the evaluators to gain a more comprehensive understanding
       of the applicant(s) and their proposals in order to make a more fully informed decision about
       the application. Inasmuch as site visits are invariably time consuming and resource
       intensive, site visits would not be appropriate for the majority of grant solicitations
       undertaken by the Department. If a Grant Manager believes that site visits are necessary
       for the Department to make the necessary determinations regarding the grant award, the
       grant plan must include a specific statement of the reason such visits are to be included in
       evaluating applications. The decision to use site visits must be approved by the relevant
       assistant secretary prior to the development of the solicitation. When site visits are included
       in the evaluation process the following requirements apply:

   (2) Attendance at Site Visits.

       All evaluation panel members must complete each site visit to ensure that each panel
       member is aware of all discussions and receives the same information regarding applicants
       and applications. The Grant Manager or another designated Department staff member shall
       also be present at each site visit. The Department must bear all costs associated with
       evaluators and Department staff members’ visits. The evaluators and Department staff
       members may not accept gifts of food, beverages, or other items during their visits.

   (3) Schedules and Records.

       Prior to any site visit the Department shall determine which sites are to be inspected and
       shall publish a schedule of the visits. The applicant hosting the visit shall make
       arrangements for other interested parties, e.g. other applicants, consumers, etc. to be
       present during the site visit upon request. Once published, the Department shall adhere to
       the schedule unless a subsequent amendment is published. Records of site visits and the
       discussions conducted shall become a permanent part of the solicitation file. The record
       must contain a list of all panel members present, Department or other state employees
       present, and a sign in sheet of any attendees from applicants or the public. No evaluator

                                               4-9
      2010                                                                                   CFOP 75-7


             may meet privately with any representative of an applicant during a site visit. All evaluators
             shall have equal access to the places and information conveyed during the site visit.

         (4) Equal Treatment During Visits.

             Site visits shall be equal in duration for all applicants. If applicants are permitted to make
             presentations, the presentations shall be equally limited for all applicants. The Grant
             Manager shall ensure that no applicant is afforded an opportunity during a site visit that is
             denied to another. The guidelines and requirements for the site visits shall be included as
             part of the solicitation and may not be changed without amending the grant solicitation. The
             Grant Manager shall ensure that the visits are timed and that specified time limits are
             enforced.

         (5) Sequence of Events.

             If site visits are included as part of the evaluation process, the solicitation may permit the
             use of separately scored criteria for the separate phases of the evaluation. Evaluators shall
             be directed which criteria are to be scored at what time. All panel members shall submit
             scores on the schedule identified during the solicitation. The Grant Manager may still elect
             to hold a debriefing meeting in which case, the debriefing shall serve the same purpose and
             conform to the same requirements described in Section 4-5 a.(3) above. All grant
             applications should include the use of written material as the primary means for obtaining
             information regarding applicants and their proposals.

      e. Budget Review.

         As provided in the grant plan, the budgets submitted in the applications shall be reviewed to
         determine whether they conform to the financial requirements of the solicitation and funding
         source. Adjustments to applicants’ proposed budgets or requested amounts shall be made
         strictly in conformance with the approved methodology in the grant plan. If proposed budgets
         are to be evaluated by the evaluation panel members the panel members should be provided
         with both the submitted and the adjusted budgets, e.g. the budget after removal of unallowable,
         ineligible, or impermissible items. If proposed budget amounts are not included in the
         competitive evaluation, evaluation panel members must be briefed on what, if any, actions they
         are to take with respect to budgets. If applicant budget requests are to be adjusted based on
         competitive rank or place, such adjustments should be determined prior to any public notice of
         the results of the evaluation process. The solicitation file shall contain a complete record of any
         budget adjustments or adjustments to grant totals made after submission and the basis upon
         which the action was taken.

4-6      Evaluation Criteria.

      The most fundamental premise that undergirds the integrity and accountability of public agencies is
      that any and all benefits that a public agency may confer must be awarded fairly, equitably, and
      without favoritism. As such, grant solicitations should contain evaluation criteria that are objective
      as possible and consistent with the fundamental goal of achieving the public benefits sought by the
      award of financial assistance. The following guidelines apply to the development of criteria that will
      be used to evaluate grant applications regardless of whether the proposals evaluated are solicited
      or unsolicited.

      a. Compliance with Laws and Regulations.

         Evaluation criteria shall comply with any pertinent statutory, regulatory, or fiscal requirements
         applicable to the public project or funding source. Therefore, the first step in developing

                                                     4-10
2010                                                                                      CFOP 75-7


    evaluation criteria should be to look to the authorizing statutes, laws and regulations. In many
    cases, they define both the purpose of the grants and the types or characteristics of the
    intended recipients. Particular attention should be paid to appropriations language that may add
    specific direction in the use of the authorized funds. Evaluation criteria must implement any
    mandates in statutes, laws or regulation and should implement any programs or policies that
    have been developed as a result of such statutes, laws and regulations.

b. Flexibility in Using Criteria.

    Evaluation criteria may be used to compare and contrast applicants against one another, i.e.
    applicant to applicant competition, or to measure applicants against minimum or required
    expectations, i.e. competition against a standard. Grant solicitations may contain minimum
    “cutoff” scores which prohibit any grant awards to applicants or proposals that fail to
    demonstrate a basic or fundamental level of potential value. Cutoff scores, if used, should be
    described in the grant solicitation; however, even if cutoff scores are not specifically included in
    a grant solicitation the Department reserves the right to decline to award assistance to any
    applicant that it deems unlikely to be able to fulfill the project’s needs or the public’s objectives.
    The Secretary retains the ultimate authority for determining whether an applicant or application
    shall be considered for award.

c. Amplifying Instructions Regarding Criteria.

    (1) In creating evaluation criteria that will be used solicitation writers may group those criteria by
        general topical areas, and then further subdivide those criteria, or the criteria may be
        developed as stand-alone criteria to be evaluated separately from all other criteria.
        Whichever method is chosen, solicitation writers should consider the use of amplifying or
        clarifying instructions to ensure that evaluators have an adequate basis on which to make
        their determinations.

    (2) Amplifying instructions may take the form of questions, (e.g. How well did the applicant
        describe their relationships with other community partners?), suggestions (e.g. Consider the
        level of experience of the applicant’s proposed project leader), or directions (e.g. Award 4
        points if the applicant served more than 1,000 clients last year).

    (3) Insofar as possible, solicitation writers should use parallel construction and a consistent
        approach when structuring evaluation criteria and amplifying instructions. This will improve
        the evaluators understanding and retention of the scoring criteria and facilitate the ease with
        which they apply the criteria to the applications.

d. Appropriate Number of Criteria.

    The Department does not mandate a minimum or maximum number of criteria that may be
    used, but solicitation writers should be conscious of the workload and complexity that may be
    engendered by the use of excessive numbers of criteria. Criteria writers should avoid the
    unnecessary proliferation of criteria. Writers should evaluate criteria to ensure that meaningful
    distinctions exist among the criteria used. Similarly, writers should ensure that the solicitation
    contains enough different criteria to assess the various substantive elements of the applicant
    and application. As a general rule, the Department recommends that there be at least one
    criterion for each area where applicants are required to submit material that pertains to a
    substantive element of the solicitation. Additional criteria should be added when the substantive
    element contains discrete sub-elements that bear on separate aspects of a proposal’s merit.

e. Evaluation Worksheets.


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     Solicitation writers should consider the use of evaluation worksheets, scoring booklets, or other
     compiled forms. The purpose of such booklets, forms, or worksheets is to provide an easy-to-
     read and easy-to-use compilation of all the material evaluators will use to evaluate an individual
     application.

f.   Criteria Must Evaluate Appropriate Abilities.

     Evaluation criteria shall be developed based on the essential elements of the public program,
     project, or objective. At a minimum, the criteria shall assess the ability of an applicant to
     satisfactorily complete proposed projects, properly account for public funds, comply with the
     terms of proposals and subsequent agreements, and provide acceptable reports and project
     evaluations by which the Department may measure whether the public purpose has been
     achieved. Unless otherwise prohibited by law, criteria included in grant solicitations may
     evaluate:

     (1) The nature of the proposed uses of the grant funds;

     (2) The entity submitting the application or proposal (i.e. organizational qualifications);

     (3) The merits of the proposed project or program (i.e. project quality);

     (4) The qualifications of personnel expected to play a key role in the conduct of the project (i.e.
         staff, consultant, or contractor qualifications); and

     (5) The financial attributes of the proposal (i.e. financial value).

g. Organizational Qualification Criteria.

     Organizational qualifications criteria may include any, or all, of the elements listed below. The
     list should be considered illustrative and not exhaustive.

     (1) Previous experience in the same or similar service delivery;

     (2) Previous experience completing the same or similar projects;

     (3) Demonstrated recognition or achievements in the program area, certification or accreditation
         by relevant rating organizations, organizational size in terms of annual budget;

     (4) Number of staff employed, or number of clients served;

     (5) Established community or national relationships;

     (6) Demonstrated financial and administrative stability and sophistication;

     (7) Possession of unique, copyrighted, or trademarked intellectual property or proprietary
         servicing rights; and

     (8) Recognition by national, state, or local government entities, or ability to leverage state
         financial assistance in combination with other public or private funding sources.

h. Project Quality Criteria.

Project quality criteria may include any, or all, of the elements listed below. The list should be
considered illustrative and not exhaustive.


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 2010                                                                                     CFOP 75-7


     (1)   Proposed public benefits including impact on clients, target populations, communities, or
           organizations;

     (2)   Urgency or seriousness of the problem being addressed;

     (3)   Likelihood that the proposed project or program will produce tangible, positive changes in
           the size or nature of the problem;

     (4)   Degree of support for the proposal by other entities or groups concerned with the issue;

     (5)   Relationship of the project or program to other needs, goals, or objectives of the
           Department;

     (6)   Demonstrated history of the same or similar projects to achieving the desired end;

     (7)   Degree of innovation or creativity inherent in the proposal;

     (8)   Clarity in the description of activities, work, and objectives; and

     (9)   Viability and merit of the proposed assessment or evaluation methodology.

i.   Staff Qualification Criteria.

     Staff qualifications criteria may include any, or all, of the elements listed below. The above list
     should be considered illustrative and not exhaustive.

     (1)   Years of experience of key staff or consultants in the grant subject area;

     (2)   Management and completion of the same or similar projects;

     (3)   Educational backgrounds of key or service delivery staff;

     (4)   The possession by staff of professional certifications or credentials in areas related to the
           project or program;

     (5)   Special training or backgrounds in the subject matter especially if such training is rare and
           exceptional;

     (6)   Recognized expertise in performing similar work;

     (7)   Publications or professional presentations in the subject area;

     (8)   Previous service with national or state organizations with a recognized history of success;

     (9)   Demonstrated ability to obtain funds beyond the state financial assistance; and

     (10) Awards or public recognition of achievements, contributions, or advancement.

j.   Financial Value Criteria.

     Financial value criteria may include any, or all, of the elements listed below. The above list
     should be considered illustrative and not exhaustive.

     (1)   Total amount of the proposed budget particularly in relation to the proposed benefits;


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       2010                                                                                    CFOP 75-7


           (2)    Scope of activities, or improvements;

           (3)    Reasonableness of the amounts proposed for salaries, services, commodities, or support;

           (4)    Clarity of supporting budget narratives;

           (5)    Compliance with mandatory funding or expenditure limits, match amounts, and leverage
                  ratios;

           (6)    Evidence of adequate liquidity, internal controls, and tracking mechanisms; and

           (7)    Sustainability of programs or project once the grant funds have been expended.

      k. Scoring Guides and Worksheets.

           Evaluation criteria should typically be supplemented by scoring guides, worksheets, or tools that
           provide guidance to evaluators on how to view the applicability of the criteria. Such
           supplements are not intended to override informed judgments by evaluators, but to provide
           them with clarity about the Department and state’s expectations. Grant managers and
           solicitation writers may develop unique supplements for their specific solicitation or may adapt
           tools used elsewhere within the Department for competitive procurements. Where competitive
           procurement tools, are adapted they should be adjusted to reflect a financial assistance
           perspective instead of service procurement.

      l.   All Criteria Must Appear in the Solicitation.

           Grant evaluations shall use only criteria stated in the solicitation. Neither evaluators nor other
           Department staff may apply standards or criteria not expressly included in the solicitation when
           evaluating or assessing grant applications.

      m. Unsolicited Proposal Evaluation.

           If a Departmental unit possessing grant making authority receives an unsolicited proposal and
           desires to assess it for potential funding, it shall apply objective criteria to such assessment. If
           the Department has previously issued solicitations for the same or similar public needs, the unit
           shall apply such criteria from the solicitation that are relevant to the subject matter under
           consideration. The unit shall keep a record of all criteria and factors by which unsolicited
           proposals are evaluated and shall maintain them in a file regardless of whether the proposal is
           ultimately funded or not. Unsolicited proposals shall not be funded without the application of an
           assessment process that is at least as rigorous as that that would have been applied to a
           solicited application.

4-7        Decision Making, Notification, and Award.

      a. Grant Award Decision Making Process.

           (1) Grant Awards Made in Best Interests of State.

                 The grant award(s) shall be made to the applicant(s) whose proposal(s) is (are) determined,
                 in writing by the Secretary or designee, to be the most advantageous to the State, taking
                 into consideration the evaluation results including cost and other criteria set forth in the
                 solicitation.

           (2) Recommendations by Evaluation Panel and Grant Manager.


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2010                                                                                   CFOP 75-7


       The Department’s evaluation panel will develop a recommended ranking of all applications
       presented to it using the scoring methodology set forth solicitation. The Grant Manager will
       provide the Secretary or designee the recommended ranking of the Department’s evaluation
       panel, along with his or her recommendation, which may include a recommendation that
       one, or more, applicant be deemed ineligible for award based on failure to meet the criteria
       established in the solicitation.

   (3) Secretary’s Decision.

       The Secretary or designee will award the grant(s) based on the criteria set forth in this
       solicitation, taking into consideration the recommended ranking by the Department’s
       evaluation panel, the recommendation of the Grant Manager, the terms of the solicitation
       and any addenda, the completed applications submitted by the applicants, and other
       information obtained by the Department as described in the solicitation. The Department
       will issue the Secretary’s or designee’s final decision as described below.

b. Issuing the Award Notice.

   The Award Notice shall be posted on the VBS. The Award Notice shall also be reflected in a
   written notice and be provided by U.S. Mail or other similar means of delivery to each applicant.
   The Department’s policy is that all notices of the results of a grant solicitation process shall be
   posted on the VBS unless the Grant Manager can demonstrate that another website will be
   more effective in keeping interested members of the public and applicant community abreast of
   developments concerning the solicitation. In addition to providing notice via the VBS the Grant
   Manager shall comply with any other requirements of the grant plan in making public
   announcements about the results of the evaluation and intended grant awards. In addition to
   advertising on the VBS, it may also be appropriate to provide notice of the intended award(s)
   through the FAW. The FAW only accepts advertisements by means of internet submissions
   and potential advertisers must have previously established an account with the FAW before it
   will accept an advertisement. If a grant origination unit does not already have an account
   established with the FAW the Grant Manager shall consult with his or her supervisor before
   placing an FAW advertisement. FAW accounts may established by calling (850) 245-6273 or
   6270.

c. Contents of the Written Notice.

   When providing notices regarding evaluation results and intended grant awards, the written
   award notice shall contain, at a minimum, the following information.

   (1) The title of the grant solicitation.

   (2) The date and time that applications were due for Type 1 grant solicitations or the submission
       window for Type 2 solicitations.

   (3) The Grant Manager’s name and contact information.

   (4) The names and locations of all applicants to which the Department intends to award grants.

   (5) The amount(s) of the intended grant award(s).

   (6) The address and contact information of the point of contact from which applicants or
       intended awardees may obtain additional information if someone other than the Grant
       Manager.



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2010                                                                                    CFOP 75-7


   (7) The anticipated effective date of the award(s).

d. Notice of Appeal Rights.

   The written award notice to public or to the participants in the solicitation process shall contain
   the notice of relevant appeal rights.

   (1) If the grant solicitation process is not subject to the procedures described in ss. 120.569 and
       120..57 (1) or (2), F.S. the written notice shall contain the following:

          IF YOU BELIEVE THE DEPARTMENT’S DECISION IS IN ERROR, YOU
          MAY SUBMIT A WRITTEN NOTICE OF INTENT TO APPEAL TO
          CONTEST THE DECISION WITHIN 72 HOURS (SATURDAYS,
          SUNDAYS, AND STATE HOLIDAYS EXCLUDED) OF THE POSTING
          OF THE DECISION. FAILURE TO SUBMIT A NOTICE OF INTENT
          WITHIN THIS 72-HOUR PERIOD SHALL CONSTITUTE A WAIVER OF
          ANY REVIEW OF THE DECISION. YOUR WRITTEN APPEAL MUST
          BE RECEIVED BY THE DEPARTMENT WITHIN 10 DAYS AFTER THE
          DATE THE NOTICE OF INTENT IS FILED. A FAILURE TO FILE THE
          WRITTEN APPEAL WITHIN 10 DAYS AFTER SUBMISSION OF THE
          NOTICE OF INTENT SHALL CONSTITUTE A WAIVER OF ANY
          REVIEW OF THE DECISION.

          You must submit your written Notice of Intent and Written Appeal to
          the Department at the following address:

                  Agency Clerk
                  Department of Children and Family Services
                  1317 Winewood Boulevard
                  Building 2, Room 204-X
                  Tallahassee, FL 32399-0700

          Please note that your Written Appeal must include:

                  The Department’s name and address and the agency’s file or
                  identification number, if known;

                  Your name, address, and telephone number;

                  The name, address, and telephone number of your
                  representative, if any, which shall be the address for service
                  purposes during the course of the proceeding;

                  An explanation of how you will be affected by the agency
                  determination;

                  A statement of when and how you received notice of the
                  Department decision;

                  A statement of the ultimate facts that support your appeal,
                  including the specific facts that you contend warrant reversal
                  or modification of the decision;



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2010                                                                                 CFOP 75-7


                 A statement of how the foregoing facts relate to any statute,
                 rule or provision of the grant solicitation in support of your
                 appeal; and

                 A statement of the relief sought , stating precisely the action
                 you wish the Department to take with respect to the proposed
                 action.

         The Department reserves the right to dismiss an appeal if it is not in substantial
         compliance with the requirements above.

  (2) If the grant solicitation process is subject to the procedures described in ss. 120.569 and
      120..57 (1) or (2), F.S. the written award notice shall contain the following:

         IF YOU BELIEVE THE DEPARTMENT’S DECISION IS IN ERROR, YOU
         MAY SUBMIT A WRITTEN PETITION FOR AN ADMINISTRATIVE
         HEARING TO CONTEST THE DECISION. FAILURE TO REQUEST AN
         ADMINISTRATIVE HEARING WITHIN THE 21 DAYS PROVIDED
         BELOW SHALL CONSTITUTE A WAIVER OF THE RIGHT TO A
         HEARING. YOUR WRITTEN PETITION FOR AN ADMINISTRATIVE
         HEARING MUST BE RECEIVED BY THE DEPARTMENT WITHIN 21
         DAYS OF YOUR RECEIPT OF THIS NOTICE.

         You must submit your written request for an administrative hearing
         to the Department at the following address:

                 Agency Clerk
                 Department of Children and Family Services
                 1317 Winewood Boulevard
                 Building 2, Room 204-X
                 Tallahassee, FL 32399-0700

         Please note that a request for an administrative hearing must
         comply with section 120.569(2)(c), Florida Statutes, and Rule 28-
         106.201(2), Florida Administrative Code. Those provisions, when
         read together, require a petition for administrative hearing to
         include:

                 The name and address of each agency affected and each
                 agency’s file or identification number, if known;

                 The name, address, and telephone number of the petitioner;

                 The name, address, and telephone number of the petitioner’s
                 representative, if any, which shall be the address for service
                 purposes during the course of the proceeding;

                 An explanation of how the petitioner’s substantial interests
                 will be affected by the agency determination;

                 A statement of when and how the petitioner received notice
                 of the agency decision;



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      2010                                                                                    CFOP 75-7


                        A statement of all disputed issues of material facts. If there
                        are none, the petition must so indicate;

                        A concise statement of the ultimate facts alleged, including
                        the specific facts the petitioner contends warrant reversal or
                        modification of the agency’s proposed action;

                        A statement of the specific rules or statutes the petitioner
                        contends require reversal or modification of the agency’s
                        proposed action, including an explanation of how the alleged
                        facts relate to the specific rules or statutes; and

                        A statement of the relief sought by the petitioner, stating
                        precisely the action petitioner wishes the agency to take with
                        respect to the agency’s proposed action.

                Section 120.569, Florida Statutes, and rule 28-106.201(4), Florida
                Administrative Code, require that a petition to be dismissed if it is
                not in substantial compliance with the requirements above.

4-8       Grant Appeals Procedure.

         As briefly described in section 1-3 b. (5) grant solicitation and award processes may, or may
         not, be subject to the appeals procedures set forth in ss. 120.569 and 120.57 (1) or (2), F.S.
         The determination of whether an individual grant process is subject to these provisions is
         dependent upon whether the Florida Legislature has conferred a “substantial interest” to
         potential competitors in either the substantive or financial instructions that gave rise to the grant.
         The grant origination unit shall include the description of the appropriate appeals procedure in
         the grant plan and the grant solicitation. Appropriate notice of any appeal rights shall be
         included in the public and written notices given about the grant awards

      a. Secretary to Establish Grant Appeal Authority for non-Administrative Procedures Act Grant
         Award Processes.

         The Secretary or his or her designee shall make a determination about the appeal authority that
         shall review appeals for those grant award processes that are not subject to the procedures
         established in ss. 120.569 and 120.57(1) and (2), F.S. The Secretary or his or her designee, at
         his or her exclusive discretion, may elect to appoint a single department employee as an
         Appeals Hearing Officer, an appeal panel composed of department employees or other qualified
         persons, or a compensated mediator who shall act as a finder-of-fact for matters brought before
         him or her.

         (1) Appeals Arrangements.

             The person or panel hearing appeals may schedule hearings on an as needed basis or on a
             schedule to be determined by the Secretary or his or her designee in consultation with the
             Office of the General Counsel.

         (2) Rules of Procedure for A Single Hearing Officer.

             In the event the Secretary or his or her designee designates a single person to act as a
             Grant Appeals Hearing Officer, the Hearing Officer shall conform to the same requirements
             as described below for a panel, except that the hearing officer will individually determine the
             specific procedures that will apply to the dispute resolution process and need not deliberate

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       in a public meeting. The Hearing Officer shall advise all parties involved in the appeal of the
       procedures at least ten days prior to the conduct of the hearing.

  (3) Rules of Procedure for Panel.

       (a) Panel Appointment.

          If a panel is utilized, the Secretary or his or her designee may elect to appoint it for a
          specific period of time (one or more years) or to hear a specific appeal. The members of
          this panel shall be persons who have some understanding of the grant award process
          but who do not have any personal interest in the either the grant under consideration or
          the originating program office. Panel members shall sign a CF 1124 attesting that they
          do not have a conflict of interest prior to performing their duties

       (b) Rules of Procedure for Hearings and Deliberations.

          If a panel is utilized, it may, by a simple majority, adopt procedures for hearing appeals.
          The following rules shall also apply:

          (i)      Panel members must not discuss any issue on appeal with other panel members
                   except in a duly-noticed meeting nor with anyone other than the panel's legal
                   counsel prior to hearing an appeal;

          (ii)     Hearings before an appeals panel are not conducted as trials; however, both
                   sides may be represented by legal counsel;

          (iii)    Hearings should be informal and each party should be given time to state their
                   positions;

          (iv)     The proceedings should be recorded (electronically or by means of a written
                   transcript) and a record of the proceedings shall be included in the grant
                   solicitation file and maintained in accordance with other records pertaining to the
                   solicitation;

          (v)      Witnesses may present sworn or unsworn oral or written statements; however,
                   no provision will be made to administer an oath nor can a witness be forced to
                   testify;

          (vi)     Panel meetings shall be held as a public meeting subject to the requirements of
                   Chapter 286, F.S.

          (vii)    Panel members may ask questions at any time;

          (viii)   The chairperson of the panel should control the hearing;

          (ix)     Following its fact finding activities the panel may adjourn the hearing for each
                   member to individually review material brought before the panel. If the panel
                   elects to meet further to deliberate about the issues brought before it the
                   subsequent meeting(s) shall also be public meetings.

          (x)      The panel shall render its written recommendation to the Secretary or his or her
                   designee regarding the issues brought before it not later than sixty days following
                   the final day at which it met to either receive testimony or conduct deliberations.



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          (xi)    The Secretary or his or her designee shall issue a final decision regarding the
                  grant appeal within thirty days of receiving the written recommendation of the
                  panel.

b. Effect of an Appeal upon an Award or Decision Award.

   Pending final determination by the Secretary or his or her designee of the results of the appeal,
   the grant origination unit shall refrain from taking further action concerning award and funding
   grants, unless the Secretary or his or her designee authorizes the grant process to move
   forward. The determination of the Secretary or his or her designee in the matter of grant
   appeals is the final resolution with respect to the matters raised during the appeal, but is not
   subject to the procedures established in ss. 120.569 and 120.57(1) and (2), F.S.




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      2010                                                                                  CFOP 75-7



                                             CHAPTER FIVE

                                          GRANT AGREEMENTS

5-1      Purpose.

      a. Use of The Terms Contracts and Grants.

         As mentioned in Section 1-3 the distinction between contracts awarded through the
         procurement process and agreements for financial assistance can be easily blurred. As a
         reminder, one portion of Section 1-3 reads, “To minimize the confusion with other Department
         operating procedures and processes, this operating procedure will refer to the documents that
         formalize grant arrangements as “grant agreements.” This procedure will use the term
         “contracts” in its customary Department specific sense as referring to purchase or acquisition
         documents.” This Chapter will focus on the development, review, approval, and execution of
         grants agreements and will refer collectively to the final set of all the documents which comprise
         the understanding between the parties as the “agreement.”

      b. Grants and Contracts Both Legally Enforceable.

         Even though the Department is using the term “agreement” when referring to grants and
         “contracts” when referring to purchase acquisitions, Department staff members must remember
         that in broader usage, the terms “agreements” and “contracts” are often considered
         synonymous. For purposes of considering their legal status and enforceability grant
         agreements and contracts are both formal written arrangements containing a mutual exchange
         of promises between parties, the performance of which are enforceable by law.

      c. Need for Clarity in Grant Agreements.

         In the event of a dispute, either grant agreements or contracts might be subjected to litigation or
         interpretation by parties other than the Department and the recipient or provider. As such it is
         imperative that the Grant Manager and other Department staff members involved in the
         preparation of grant agreements ensure that the final agreement is as clearly written, legally
         defensible, and as devoid of ambiguity and uncertainty as possible. This Chapter describes the
         Departmental requirements that pertain to development and execution of grant agreements.
         The goal of these requirements is to produce a document that protects the interests of the
         public, the Department, and the Department’s stakeholders.

5-2      References for this Chapter.

      a. Statutes, Regulations, and Department Operating Procedures.

         Section 216.181(16)(b), F.S.; CFOP 75-2.

      b. Other References.

         CF 1122 - Contract Review – FLAIR Subsystem Entry Form
         [http://ewas.dcf.state.fl.us/asc/forms/CF1122%20Nov%202008%20form.doc];

         CF 1123 - Certification Regarding Lobbying
         [http://ewas.dcf.state.fl.us/asc/forms/cf%201123%20Lobbying.doc;



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      2010                                                                                   CFOP 75-7


         CF 1124 - Conflict of Interest Questionnaire for Contract Management
         [http://dnp1.dcf.state.fl.us/DCFForms/Search/OpenDCFForm.aspx?FormId=36];

         CF 1125 - Certification Regarding Debarment & Suspension
         [http://dnp1.dcf.state.fl.us/DCFForms/Search/OpenDCFForm.aspx?FormId=37].

5-3      Preparing Grant Agreements.

      Chapter 3 recognized that the Department might award grant agreements as a result of either
      solicited or unsolicited proposals. Therefore, the material that ultimately is included in a grant
      agreement may vary considerably because the normal practice within the Department is to
      incorporate the contents of a solicitation, and any responses to it, into the resulting agreement.
      Even though the Department might award a grant to an entity that did not participate in a
      competitive solicitation process, this operating procedure will concentrate on the preparation and
      development of grant agreements resulting from a specific solicitation. This represents the most
      normal situation that Department staff members will face. As necessary, this procedure will direct
      staff to the variations that must be considered when preparing grant agreements resulting from
      unsolicited proposals. All grant agreements shall ensure that the recipient is held to the highest
      possible standards for quality of work, accountability, and economic efficiency.

      a. Grant Agreements Resulting from Solicitations.

         The following directions are applicable to preparing grants that are awarded as a result of Type
         1 or Type 2 grant solicitation.

         (1) Composition of the Agreement.

             Many of the terms and conditions that will apply to the grant will, of necessity, be included in
             the solicitation to which prospective applicants must respond. To eliminate duplicative work,
             and to streamline the effort required by the Department and the recipient, the Department’s
             policy is that grant solicitations and successful responding applications should form a
             significant portion of the resulting agreement. As such, the Department expects that the
             agreement will consist, at a minimum, of the following documents: a standard Award Letter;
             an Approved Budget; the grant solicitation; and the recipient’s application. Other documents
             may be added as necessary to ensure clarity, completeness, and consistency. If other
             documents are added, they will normally serve as attachments to the Award Letter because
             the Award Letter provides that it, and its attachments, if any, will take interpretive
             precedence over the other documents in the event of conflicts or inconsistencies. The
             following sections describe the document comprising the entire agreement in greater detail.

         (2) Discussions with Recipients.

             Once the Secretary or designee has approved, and the Department has posted, the final
             recipient(s) that will receive grant awards, it may be necessary to clarify some items
             pertaining to the work, budget, or administration prior to developing the final agreement.

             (a) The number, duration, and content of such discussions are subject to the discretion of
                 the Grant Manager and the director of the unit originating the grant. Nevertheless, the
                 purpose of such discussions should be to clarify or resolve issues pertaining to the
                 solicitation and applications and not to an entirely new bargaining process between the
                 parties.

             (b) The discussion should refine the basic understanding that was produced through the
                 solicitation and application, not attempt to create an entirely new one. The Grant

                                                     5-2
2010                                                                                   CFOP 75-7


          Manager shall make a record of all items that are discussed with each applicant and
          shall record points discussed, agreements reached, and unresolved items, if any.

       (c) To the extent that the discussions give rise to a need for clarifying provisions to be
           included in the final agreement such clarifications shall typically be reflected in
           attachments to the Award Letter.

  (3) Standard Grant Award Letter.

       (a) The Department’s standard grant Award Letter is available from the ASC website. The
           Award Letter shall be used for each grant agreement resulting from a solicitation. The
           Grant Manager is responsible for completing the missing information in the Award Letter
           prior to routing the agreement for review and approval.

       (b) The Award Letter provides that in interpreting the various documents that comprise the
           entire agreement the Award Letter and its attachments, if any, take precedence over all
           other documents. The Department has established this order of precedence to permit
           grant managers or other Department staff members to resolve any potential conflicts,
           ambiguities, or inconsistencies that may arise during the solicitation process or during
           subsequent discussions. For instance, if the recipient’s written application contained
           potential ambiguity about a service delivery element that has subsequently been
           clarified, the Grant Manager might want to include the clarified point in an attachment to
           the Award Letter to ensure that it is binding on all parties.

       (c) There is no need to rewrite the entirety of the substance of the agreement in an
           attachment to the Award Letter. Department staff members are encouraged to keep any
           Award Letter attachments as brief as possible, consistent with providing necessary
           clarity and eliminating potential interpretative difficulties.

  (4) Approved Budget.

       (a) As described in Section 4-4 e. it is possible that adjustments may be necessary to one or
           more of the budgets or total amounts requested by applicants. Such adjustments might
           result from the correction of simple mathematical errors or might be predicated on the
           need to remove unallowable or ineligible items from a proposed budget.

       (b) Inasmuch as the final grant amounts and allocations will be a key component of the
           agreement and relationship between the parties, each agreement shall contain an
           Approved Budget which reflects all the adjustments made after the initial submittal and
           the value of the grant award. The Grant Manager shall develop the Approved Budget
           and include it in the agreement prior to beginning the review and approval process.

       (c) If no changes or adjustments were necessary to the budget included in the applicant’s
           submittal, the Grant Manager may simply extract or copy the submitted budget and label
           it as the Approved Budget, or provide a specific reference to the location of the budget
           within the application.

       (d) If the Grant Manager elects to incorporate the Approved Budget by reference, he or she
           must take care to ensure that that budget contains sufficient detail to:

          (i) Enable disbursement amounts to be reconciled by expenditure categories during the
              period of the grant;

          (ii) Ensure that applicable limits and caps are properly reflected;


                                                5-3
2010                                                                                     CFOP 75-7


          (iii) Definitively determine whether match requirements have been met; and

          (iv) Facilitate a final reconciliation of all grant expenditures.

  (5) Grant Solicitation.

       The grant solicitation, including all published amendments and changes, shall become a
       part of the agreement. Unless inordinately voluminous, the solicitation shall be routed with
       the agreement as part of the review and approval process. If the entire solicitation is too
       voluminous to be included, the Grant Manager shall include Sections 1 (Introduction), 2.1
       (Program and Fiscal Requirements), 5.1 (Standard Grant Agreement Terms and
       Conditions), and 5.2 (Forms and Certifications) with the package being routed for approval.
       Grant managers shall verify that the entire solicitation is included by reference in the
       agreement, if only portions are routed for review. The Grant Manager is responsible for
       checking to ensure that inconsistencies or changes in the solicitation or between the
       solicitation and application are addressed in the final agreement. The Grant Manager is
       responsible for ensuring that answers to inquiries that affect the terms and conditions of the
       solicitation were either reflected in appropriate addendums to the solicitation, or are
       addressed in attachments to the Award Letter prior to execution of the grant.

  (6) The Recipient’s Application.

       The final component of the agreement is the application submitted by the recipient.
       Department staff members should note that the terms “applicant” and “recipient” are not
       synonymous. Unless, and until, the Department accepts a proposal contained in an
       application, the party submitting an application remains an applicant. Only the parties to
       whom the Department actually awards grants and with which it subsequently enters into
       agreements are termed “recipients.” Because the recipient’s application will contain
       descriptions of work, activities, and other matters that are not included in the solicitation, the
       recipient’s application must be included in the agreement. The Grant Manager is
       responsible for being sufficiently informed about the contents of all the applications that will
       receive funding that he or she can identify areas of the applications that must be clarified or
       superseded prior to the execution of the grant. Unless prohibited by volume, the application
       should be included as part of the package that is routed for review and approval.

  (7) Standard Grant Agreement Terms and Conditions.

       If the grant solicitation was properly prepared, it should contain the standard grant
       agreement terms and conditions in Section 5.1 of the solicitation. If so, these terms will
       already be present in the agreement because they appear in the solicitation. The Grant
       Manager should verify that the standard terms and conditions were included in the
       solicitation. If, for any reason, they were not, they must be added to the agreement before it
       is routed for review and approval.

  (8) Agreement Attachments.

       A normal agreement arising out of a solicitation should be complete with the inclusion of the
       items mentioned above. If, however, the Grant Manager determines that the agreement is
       incomplete, he or she should develop such additional attachments as are necessary to
       remedy the perceived deficiencies. Any such attachments should be prepared so that they
       are attachments to the Award Letter to ensure that they receive a priority in the
       interpretation of the documents comprising the agreement. Additional attachments are not
       necessary unless the Grant Manager determines that items critical to the understanding


                                                 5-4
2010                                                                                   CFOP 75-7


       between the parties are missing and the Department’s interests would be compromised by a
       failure to address the items in the agreement.

b. Grant Agreements Resulting from Unsolicited Proposals.

   The overwhelming majority of the Department’s grants will result from solicited applications or
   proposals. In the event the Department elects to award a grant as a result of receiving an
   unsolicited proposal, the Grant Manager shall prepare the grant agreement as follows.

   (1) The Department’s Decision to Fund an Unsolicited Grant Proposal.

       Once the director of the grant origination unit has received approval from the Secretary or
       designee to act upon the proposal the Grant Manager shall determine whether the
       Department’s intention is to fund the grant during the current appropriations cycle or during
       a future appropriations cycle. If the Department’s intention is to fund the grant during a
       future appropriations cycle the Grant Manager shall contact the proposal’s originator and
       advise them of the Department’s intention. If directed to do so, the Grant Manager may
       begin the development of a grant agreement at this time. The Grant Manager shall not
       begin the review or approval process, however, until the Department has funds available
       with which to fund the grant. The Grant Manager shall review the proposal to determine
       whether discussions or negotiations are necessary to refine the scope of activities, adjust
       the proposed budget, or otherwise amend the proposal so it may be funded in the future
       appropriations cycle.

   (2) Grant Agreements to be Funded During the Current Fiscal Period.

       If the Department’s intention is to fund the grant during the current appropriations cycle, the
       Grant Manager shall review the proposal to determine whether discussions or negotiations
       are necessary to refine the scope of activities, adjust the proposed budget, or otherwise
       adjust the proposal’s contents so the Department may prepare an agreement. If
       discussions or negotiations are necessary, the Grant Manager shall contact the proposal’s
       originator, advise them of the Department’s intention to proceed with the grant, and
       schedule the necessary discussions or negotiations. The Grant Manager shall keep a
       complete record of all discussions or negotiations and shall incorporate the results in the
       subsequent agreement, which shall be prepared as follows.

       (a) Use of Previous Grants as Guide.

          The Grant Manager shall determine whether the Department has awarded the same or
          similar grants. If so, the Grant Manager shall use the contents of the other grants as a
          template in preparing the instant agreement. The purpose for preserving harmony
          among grant agreements whenever possible is to ensure that the Department exercises
          its authority in a consistent and equitable fashion. Recipients that receive grants through
          unsolicited proposals shall be subject to the same or similar requirements as if the
          proposal had arisen through a solicitation. In developing the agreement the Grant
          Manager shall use the Standard Grant Agreement and add the necessary attachments
          that had been used previously to describe the programmatic and financial terms of the
          agreement.

       (b) Novel or First Time Grants.

          If the unsolicited proposal is unlike previous grants awarded the Grant Manager shall
          use the Standard Grant Agreement available from the ASC website and shall create any
          additional attachments that are necessary. Attachments must include full descriptions of

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      2010                                                                                  CFOP 75-7


                 the project the recipient will perform, any terms and conditions governing performance,
                 the manner in which the parties will evaluate the results of the project, and the
                 associated budget and narrative. If suitable the Grant Manager may use the recipient’s
                 proposal as a part of, or as an attachment to, the agreement. The final agreement shall
                 also include an Approved Budget that contains all of the cost elements of the grant and
                 prescribes limits on deviations or changes.

             (c) Statement of Work Format.

                 The Grant Manager should review the statement of work format for performance
                 contracts contained in Chapter 7 of CFOP 75-2 for guidance on how to prepare an
                 attachment that describes the scope of a human services project. While not all of the
                 sections or elements of the Chapter 7 statement of work will likely be applicable to the
                 grant attachment, the format in Chapter 7 can serve as a useful guide for topics,
                 subjects, and issues that must commonly be addressed in agreements concerning
                 human and social services. The Grant Manager may also consult the On-line Tutorial
                 Library available from the ASC website for training materials about the contract
                 preparation and review process.

             (d) Minimum Components of the Agreement.

                 At a minimum, the final agreement shall contain the Standard Grant Agreement, an
                 Approved Budget, a programmatic attachment that fully describes the substance,
                 activities, and objectives of the grant, and any attachments necessary to describe how
                 the grant will be evaluated. The Grant Manager is responsible for ensuring that the
                 agreement is complete prior to routing it for review and approval. The Grant Agreement
                 must also contain the scope of work, documentation requirements, and deliverable
                 descriptions as required by s. 215.971, F.S. and CFO Memorandum No. 05 (2009-
                 2010).

5-4      Special Situations.

      Most grant agreements should conform to the specifications set forth in Section 5-3; however, there
      may be occasions when a Grant Manager will need to customize a grant agreement for particular
      circumstances or needs. The following requirements will serve as guidance to Department staff
      members when determining how to handle special situations.

      a. Deviations from the Standard Grant Agreement.

         The Department’s standard grant agreement, including the form to be included in solicitations,
         shall not be changed.

         (1) If a Grant Manager believes that a change or deviation is necessary, the Grant Manager
             shall contact the local Contract Administrator. All changes to or deviations from the
             Standard Grant Agreement must be approved by ASC, in writing.

         (2) The Grant Manager will prepare the request for deviation and submit it to the Contract
             Administrator. The Contract Administrator will review the request for deviation to ensure that
             the request includes all required elements, is not in conflict with objectives and goals of the
             region, and conforms to sound business practices. If he or she concurs with the request,
             the Contract Administrator will add an endorsement to the request recommending that it be
             approved and forward the request to ASC. [Note: Contract Administrators are authorized to
             reject requests.]



                                                     5-6
2010                                                                                 CFOP 75-7


   (3) ASC will review written deviation requests, related to a specific grant, from Region Contract
       Administrators. ASC will in turn review the request with OSLS and other pertinent offices.
       Once approved or disapproved, ASC will furnish written notification of approval or
       disapproval to the Contract Administrator. The notification shall be maintained in the Grant
       Manager’s file. Request to ASC for changes or deviations must include the following:

       (a) Written request describing the circumstances which necessitate the deviation;

       (b) Proposed text to be used in the deviation language. If approved, the new language
           would normally be included in an attachment to the Award Letter or noted in an
           attachment to the Grant Agreement;

       (c) Justification for supporting the change.

b. Advance Payments.

   The Department’s usual and customary method of making disbursements to providers or
   recipients is to make payment after the delivery of services or the completion of an agreed-upon
   activity. It is not uncommon for recipients, however, to have insufficient operating capital to
   undertake service delivery or activity prior to receiving state funds.

   (1) Required Conditions to Use Advance Payments.

       Under certain circumstances, it is possible, to make a portion of the agreed-upon funds
       available to a recipient prior to the delivery of services or expenditure of funds by the
       recipient. This manner of making payment may be used only when the specific funding
       source or program is authorized by the General Appropriations Act in a grants-and-aids
       category which should always be the case for funds used to support grant agreements.
       Advances may be made only to not-for-profit corporations or governmental agencies. The
       Grant Manager’s file must contain the justification for the advance payment submitted by the
       recipient and the Grant Manager’s rationale for supporting the request. Reconciliation and
       recoupment of advances made under a grant agreement must be completed before grant
       closeout

   (2) Limitations on Advance Payments.

       The payment of any advances may be made on a monthly basis up to the first three months
       of the agreement and may not exceed the expected cash needs of the recipient during the
       first three months. Requests to exceed the three-month period may be submitted to the
       State’s CFO through the Department’s Office of Financial Management. Detailed
       documentation justifying cash needs for advances (e.g., certified statement/work papers
       from the recipient analyzing the timing of projected expenditures versus available operating
       capital and anticipated revenues) must be maintained in the Grant Manager’s file. In
       accordance with s. 216.181(16)(b), F.S., the CFO may advance funds beyond the three-
       month limit if the additional advance is consistent with the approved operating budget and
       coordinated with the legislative appropriations committees.

   (3) Interest Earned Belongs to the State.

       In accordance with s. 216.181(16)(b), F.S., any interest earned by the recipient on such
       advances is to be returned to the Department or applied against the Department’s obligation
       to pay the grant amount. Specific instructions for the return of interest earned by the
       recipient or its application against the amount of the grant must be developed by the Grant
       Manager and the recipient, and must be included in the grant agreement. Under normal

                                               5-7
2010                                                                                   CFOP 75-7


       circumstances, advance payments are made to recipients on a monthly basis in amounts
       sufficient to cover the recipient’s estimated expenses for the month.

   (4) Methods for Capturing Interest Earned.

       If funds are paid to a recipient in excess of the recipient’s current needs, the excess funds
       may be invested in an insured interest-bearing account. The Grant Manager may select one
       of two methods for capturing this interest. First, the recipient may return any interest earned
       on the excess advance to the Department by means of a check. Second, the recipient may
       retain the interest but use it to offset the total amount of funding the Department provides to
       it. If the Grant Manager elects to allow the recipient to retain the interest, the amount offset
       must be reflected on the invoices submitted for future grant disbursement requests

   (5) Sample Advance Payments Clause.

       The following is a sample clause that may be included in a grant agreement for which
       advance payments have been approved.

       The recipient may request a monthly advance for each of the first three months of the
       contract period, based on anticipated cash needs. All reimbursement requests for
       the fourth through the twelfth months shall be based on the submission of monthly
       actual expenditure reports beginning with the first month of the agreement.
       Advanced funds may be temporarily invested by the recipient in an insured interest
       bearing account, in accordance with s. 216.181(16)(b), F.S. Interest earned on
       advanced funds shall be returned to the department on a monthly basis or applied
       against the amount of the agreement owed by the department. (The Grant Manager
       must choose one.)

c. Renewals.

   The Department’s policy is that grant agreements may not be renewed. Grants are typically
   made to a recipient to complete a specific project or time limited activity. The normal purpose of
   a Department grant is not to serve as a substitute for routine operational funding or to fund
   normal, ongoing functions. Grants also should not be used to acquire recurring client services,
   although some service delivery to complete the project or program is customary and normal. In
   light of these factors a grant to a recipient should normally be time limited and project specific.
   The duration (term) of the grant agreement should be long enough to permit completion of the
   project within the relevant funding cycles, but in normal circumstances there should be little to
   no likelihood that the grant would be renewed. If the purpose of the grant requires the use of
   funds through more than one appropriations period (state or federal), the term of the grant
   should cover the entire period during which the project will be completed.

d. Extensions.

   Both the Department and the recipient have an affirmative obligation to complete projects timely
   and to use funds during the relevant appropriation cycle. Recipients should make every effort to
   complete their proposed project in accordance with the allotted time period. If circumstances
   beyond the control of the recipient prevent timely project completion or delay portions of the
   work, the Grant Manager may consider granting a brief extension to the grant, provided there is
   not a statutory, regulatory, or funding prohibition against doing so. The purpose of the
   extension should solely be to enable the recipient to complete the delivery of the public benefits
   originally promised. Department grants shall not be extended unless a material public benefit is
   expected to result. Grants shall not be extended for the sole purpose of disbursing funds up to


                                               5-8
       2010                                                                                CFOP 75-7


           a specified amount. Any extension to a grant must be approved by the director of the grant
           origination unit, ASC, OSLS, and the relevant program financial representative.

      e. Methods of Payment.

           The Department of Financial Services (DFS) requires that all grant disbursements be reconciled
           to actual expenditures prior to closeout. As such, regardless of how funds are disbursed during
           the course of the grant, recipients must maintain records and documents as if the grant uses a
           cost reimbursement method of payment. The agreement, therefore, must contain payment and
           documentation requirements that will ensure that the recipient will be able to demonstrate that
           all grant funds were spent in accordance with the Approved Budget prior to closeout.

      f.   Construction or Renovation of Facilities Using State Funds.

           This operating procedure does not govern the form of grant agreements whose primary purpose
           is to provide funding for the construction or renovation of facilities using state funds. The
           following is a sample clause that must be included in a grant agreement that contains funds will
           be used to construct or renovate buildings or facilities.

           Any state funds provided for the purchase of or improvements to real property are
           contingent upon the owner granting to the state a security interest in the property at
           least to the amount of the state funds provided for at least five (5) years from the date of
           purchase or the completion of the improvements or as further required by law. As a
           condition of receipt of state funding for this purpose, the recipient agrees that, if it
           disposes of the property before the department's interest is vacated, the recipient will
           refund the proportionate share of the state's initial investment, as adjusted by
           depreciation. The recipient must provide proof of recording in the official records of the
           county where the property is located of a document duly executed by the property owner
           granting the state’s security interest in the property.

      g. Bond Requirements for the Construction of Publicly Owned Buildings Using State Funds.

           The following is a sample clause that must be included in a grant agreement that contains funds
           will be used to construct a building that will be publicly owned.

           If any state funds will be used for the construction of a building that will be publicly
           owned, the recipient and any contractor(s) employed for the construction must deliver to
           the public owner a payment and performance bond with a surety insurer authorized to do
           business in Florida as surety in accordance with the provisions of s. 255.05, F.S. The
           bond must be provided prior to the start of any construction or prior to the resumption of
           construction after a default or abandonment. The recipient and any contractor(s)
           employed shall comply with all rules pertaining to the provision of the bond and with any
           additional conditions established by the Department of Management Services governing
           the construction of publicly owned buildings.

5-5        Grant Agreement Review.

      Once a Grant Manager has completed all discussions, if any, with the prospective recipients,
      gathered relevant documents, and drafted any attachments to the Award Letter the Grant Manager
      shall assemble the final grant agreement and begin processing it for review, approval, and
      execution.

      a. Review and Approval Routing Form.



                                                     5-9
2010                                                                                     CFOP 75-7


  Once the Grant Manager has assembled the final agreement, the Grant Manager shall complete
  a form CF 1122 which shall accompany the agreement as is it processed for review and
  approval. The CF 1122 shall be completed according to circuit/region specific procedures prior
  to being submitted to the local Contract Administrator.

  (1) Preparation for Review.

       The Contract Administrator will assign an appropriate agreement number and enter that
       number on the CF 1122. The Contract Administrator should then enter the grant into the
       contract administration log. The Contract Administrator shall track the grant through the
       review process.

  (2) Grant Initiator Review.

       The grant initiating office shall sign the 1122 indicating their approval. The grant initiator
       approval certifies:

       (a) The office possesses the requisite statutory and fiscal authority to award the grant;

       (b) That the grant agreement is clearly written and that the proposed project and activities
           are clearly defined in the agreement and meet Department policy requirements for
           awarding grants;

       (c) That the necessary budget analysis and justification of the need for advances have been
           performed and that supporting documentation is in the Grant Manager’s file;

       (d) That the grant is in compliance with applicable program specific state, federal,
           Department, or other funding source requirements;

       (e) That the Grant Manager has checked the Excluded Parties List for grants containing
           federal funding of $25,000 to be sure the recipient has not been debarred or suspended
           from receiving public funds or that the recipient has signed CF Form 1125, Certification
           Regarding Debarment and Suspension. The Grant Manager shall contact the Contract
           Administrator if assistance is needed;

       (f) That grants containing federal funding in excess of $100,000, have a Certification
           Regarding Lobbying Form (CF 1123) completed by the recipient and the form is an
           attachment to the grant. Where required, a completed Disclosure of Lobbying Activities
           Form (Standard Form LLL) is on file with the Grant Manager; and;

       (g) That each person who participated in the procurement process has completed the
           Conflict of Interest Questionnaire Form (CF 1124). The CF 1124 is either included with
           the contract or is on file with the Contract Manager.

       NOTE: This sign-off is to be, at a minimum, the director of the grant origination unit, unless
       the director is also the agreement signer. In that case, the Grant Manager may sign as
       initiator.

  (3) Financial Review.

       Financial approval attests to:

       (a) The presence of budget authority to expend moneys for the services specified in the
           contract;


                                                5-10
      2010                                                                                   CFOP 75-7


             (b) That correct accounting codes are used, including expansion options, categories, and
                 organizational expenditure codes; and

             (c) That appropriate budget and payment provisions are included and are in compliance the
                 State’s CFO’s regulations.

         (4) Contract Administrator Review.

             The Contract Administrator approval attests that the grant is in compliance with applicable
             state and federal procurement rules and regulations, that the standard grant agreement
             terms and conditions are included in the agreement, that the agreement includes an
             Approved Budget, and that the grant solicitation, if any, conforms to Department
             requirements.

         (5) Legal Review.

             Legal sign-off and approval signifies that the recipient is properly bound by the agreement,
             and that the Department is adequately protected. Legal review verifies that any
             modifications made to approved Department grant documents are appropriate and have the
             approvals required by this operating procedure. Recipients shall submit a letter of
             authorization for the individual signing the agreement on behalf of the recipient, which will be
             included in the grant review file when it is submitted for legal review. If the Chairman of the
             Board of Directors, Chief Executive Officer or Company President signs the agreement on
             behalf of the recipient, a letter of authorization is not required.

         (6) Other Review.

             This section of the CF 1122 may be used for any additional review required by circuit/region
             specific procedures. The Contract Management Unit Supervisor may sign here (if
             applicable).

      b. Grant Manager Tracking.

         The Grant Manager shall coordinate with the Contract Administrator periodically during the
         review and approval process to ensure that the grant is timely reviewed. The Grant Manager
         shall ensure that all required approvals have been obtained according to circuit/region specific
         procedures prior to being submitted to the local Contract Administrator. The Grant Manager
         may use the Contract Routing Information System (CRIS) to track the grant as it progresses
         through the review process.

5-6      Grant Approval and Execution.

      The following requirements apply to the approval and execution of grant agreements.

      a. Agreements Must be Executed Before Start of Work.

         Grant agreements must be properly approved and executed prior to any representative from the
         Department authorizing a recipient to begin work on a project. The Department’s policy is that
         there is not a procedure analogous to a Certificate of Non-Compliance for the purposes of
         providing financial assistance. Recipients shall be advised that no expenditures made or work
         performed prior to the execution of the grant may be paid for by grant funds. All work supported
         by a grant must be accomplished during the term of the grant.

      b. Grant Signatory Authority.


                                                    5-11
2010                                                                                  CFOP 75-7


   If the Secretary has made express delegations of authority to certain Department staff
   members, e.g. Assistant Secretaries, Program Directors, etc., to sign grants on his or her
   behalf, the most recent delegation shall apply to the Department’s grant signatory. If the
   Secretary has not made express delegations with respect to grant signature authority, the most
   recent delegation that contains delegated contract signing authority shall apply. For example, if
   a Department manager has been delegated the authority to sign contracts up to $1,000,000 of
   value, that manager may sign a grant agreement for an equal or lesser amount, provided the
   grant agreement falls within the manager’s area of responsibility.

c. Recipients Should Sign Agreement First.

   Whenever possible, the recipient’s signature should be obtained prior to obtaining the
   appropriate Department signatures. The signer of the agreement for the recipient must have
   the authority to commit the recipient to the terms of the agreement. Recent written proof of that
   authority should be maintained in the grant file. Department signers must comply with the most
   recent Delegations of Authority. NOTE: Only Senior Management or Select Exempt Employees
   may be delegated signature authority for executing agreements. It is the responsibility of the
   appropriate circuit/region program office to provide copies of grant agreements to the respective
   Headquarters program office as needed. NOTE: Only two copies of the agreement require
   original signatures, one for the recipient and one for the Department. Circuit/Region specific
   procedures must specify the number of copies to be processed for signature.

d. Distribution of Signed Agreement.

   After execution the Grant Manager shall provide a copy of the agreement with original
   signatures to the recipient for its files. The Grant Manager shall maintain a copy with original
   signatures in the Department’s official grant files. Any amendments to the grant agreement
   shall be similarly processed for review and execution with copies maintained in the recipient’s
   and Department’s files.




                                              5-12
      2010                                                                                CFOP 75-7



                                            CHAPTER SIX

                       GRANT MANAGEMENT, MONITORING, AND CLOSEOUT

6-1      Scope and Purpose.

      Section 1-8 established the requirement for a member of the Department’s Senior Management or
      Select Exempt Service to appoint an employee to serve as the Department’s Grant Manager prior
      to starting the grant process. The Grant Manager is responsible for preparing or coordinating the
      grant plan, coordinating the development of the solicitation, and serving as the single point of
      contact for activities related to the grant. Chapter 6 provides a summary of the duties and
      responsibilities assigned to the Grant Manager and others after the grants are awarded including
      record keeping and documentation requirements, financial management, monitoring and evaluation,
      and closeout.

6-2      References for this Chapter.

      a. Statutes, Regulations, and Department Operating Procedures.

         Sections 287.057(15), 402.7305; 45 CFR, Part 80; Health Insurance Portability and
         Accountability Act; and CFOP 60-16, CFOP 75-2, and CFOP 75-8.

      b. Other References.

         Excluded Vendors List The federal list is located at https://www.epls.gov/epls/search.do;

         Convicted, Suspended, or Discriminatory Vendor Lists
         [http://dms.myflorida.com/business_operations/state_purchasing/vendor_information/convicted_
         suspended_discriminatory_complaints_vendor_lists];

         ASC Audit Compliance Wizard at the following location:
         http://ewas1.dcf.state.fl.us/asfm/pats/acw1/default.asp;

         CF 1122 - Contract Review – FLAIR Subsystem Entry Form
         [http://ewas.dcf.state.fl.us/asc/forms/CF1122%20Nov%202008%20form.doc];

         CF 1123 - Certification Regarding Lobbying
         [http://ewas.dcf.state.fl.us/asc/forms/cf%201123%20Lobbying.doc];

         CF 1124 - Conflict of Interest Questionnaire for Contract Management
         [http://dnp1.dcf.state.fl.us/DCFForms/Search/OpenDCFForm.aspx?FormId=36];

         DCF Form 1125 - Certification Regarding Debarment & Suspension
         [http://dnp1.dcf.state.fl.us/DCFForms/Search/OpenDCFForm.aspx?FormId=37;

         CF 0946 - Civil Rights Compliance Checklist
         [http://dnp1.dcf.state.fl.us/DCFForms/Search/OpenDCFForm.aspx?FormId=231];

         Recipient/Subrecipient Vs. Vendor Checklist
         [http://ewas1.dcf.state.fl.us/asfm/PATS/checklist/checklist_mainpage.asp];

         Contract Evaluations Reporting System (CERS)
         [http://ewas.dcf.state.fl.us/asc/databases/CERS/default.asp];

                                                    6-1
      2010                                                                                   CFOP 75-7


6-3      Grant Management.

      Subsections 287.057(15), and 402.7305, F.S., require the Department, for each contractual
      services contract, to designate a Department employee to be responsible for enforcing performance
      of the contract terms and conditions and serve as a liaison with the contractor. While there is no
      corresponding requirement in law that creates a similar requirement for grants, the Department’s
      policy is that the fundamental premise that underlies the statutes is applicable for grants as well as
      procurement contracts. There should be a single individual to whom responsibility for the grant is
      assigned, and who is accountable for ensuring that the state’s interests are protected. The Grant
      Manager shall serve this purpose and is the individual responsible for day-to-day grant oversight,
      including approval of the work completed and payments disbursed. The Grant Manager is the
      primary point of contact through which all information flows between the Department and the
      recipient. All actions related to the grant shall be initiated by or coordinated with the Grant
      Manager. The Grant Manager shall receive training before being assigned responsibility for any
      grant or solicitation. Grant Manager responsibilities include the following:

      a. Preparing for the Grant Process.

         Preparing for the grant process including attending training as required, verifying the availability
         and type of funds, verifying that grant authority exists, preparing the grant solicitation, and
         coordinating with OSLS, the Contract Administrator, and other Department offices.

      b. Acting as Point of Contact.

         Acting as the primary point of contact between the Department and the recipient.

      c. Coordinating the Solicitation.

         Coordinating or directing the solicitation activities including advertisements, meetings,
         conferences, briefings and debriefings, application reception, compiling and reporting results,
         posting, and award notification.

      d. Transmitting Audit Requirements and Information.

         Sending the post-award notice and conveying audit requirements to the recipient. The Grant
         Manager must completing the Post Award Notice of Federal Awards and State Financial
         Assistance, and insure that copies are placed in the grant file. The notice must be distributed to
         the recipient within 90 days of agreement execution. The Grant Manager shall complete the
         notice using the current fiscal information from the Contract Review Form (CF 1122) and the
         Audit Compliance Wizard found on the ASC web site. A new Notice must be completed
         whenever the dollar amount of the contract is amended. The Notice can be produced
         electronically when information is loaded into the ASC Audit Compliance Wizard at the following
         location: http://ewas1.dcf.state.fl.us/asfm/pats/acw1/default.asp. Use of the wizard requires the
         Budget Entity (BE) or Entities, the dollar amount for each BE, the Other Cost Accumulator
         (OCA) code, and the category combination.

      e. Verifying the Recipient’s Signature Authority.

         Ensuring that the individual signing the agreement on behalf of the recipient is legally authorized
         to bind the recipient to the agreement. Prior to the agreement’s execution, the Grant Manager
         must obtain a letter from the recipient (signed by the President, Chairman of the Board of
         Directors, or Chief Executive Officer) authorizing the individual who will be signing the
         agreement on behalf of the recipient to legally bind the recipient to the contract terms and
         conditions. If the Chairman of the Board of Directors, Chief Executive Officer or company

                                                     6-2
 2010                                                                                   CFOP 75-7


     President signs the agreement on behalf of the recipient, a letter of authorization is not required.
     The Grant Manager will include the letter of authorization in the grant review file when it is
     submitted for review. The Grant Manager will retain the letter as part of the grant file.

f.   Recovering Overpayments.

     Recouping all overpayments to recipients. Upon discovery by the recipient or the Department of
     an overpayment, the Grant Manager shall first seek immediate repayment in all instances. In
     the event the recipient cannot make immediate repayment in full to the Department, the
     recipient may propose a repayment plan. The written details of the intended payback plan shall
     be submitted by the Grant Manager to the local legal office and the Contract Administrator (CA)
     for approval. After approval by the CA, the repayment plan will be sent through the
     Administrative Services Support Center (ASSC) for review and forwarding to the Department's
     Comptroller. The Department's Comptroller will review the plan and, if approved, forward it to
     the Department of Financial Services, Bureau of Auditing, for final approval. A repayment plan
     may only be approved by the Department of Financial Services.

g. Ensuring that the Recipient Can Legally Receive the Award.

     Verifying that the recipient is not on the Excluded Vendors List or securing a signed Certification
     Regarding Debarment and Suspension Form (CF 1125) from the recipient for any agreement
     containing federal funding of $25,000 or more. Contact the CA or ASC if assistance is needed.
     NOTE: The recipient agrees by signing the certification that it will require any subcontractor
     whose payment will equal or exceed $25,000 in federal moneys, to also sign a copy of this
     certification. Subcontractors’ certifications must be kept at the recipient’s business location.
     The federal list is located at http://www.epls.gov/.

h. Checking the Recipient’s Lobbying Status.

     Securing a signed Certification Regarding Lobbying Form (CF 1123) from the recipient prior to
     the execution of the agreement if the grant agreement contains more than $100,000 of federal
     funding. Also, if required, securing a Disclosure of Lobbying Activities form (Standard Form
     LLL) regarding lobbying under federal grants and contracts.

i.   Verifying the Absence of Conflicts of Interest.

     Securing a signed Conflict of Interest Questionnaire (CF 1124) from the individuals taking part in
     the development or selection of evaluation criteria, the evaluation process, and the award
     process.

j.   Approving Subcontracts and Assignments.

     The Department approves the act of subcontracting, not the subcontract document, or the
     subcontractor, except for making certain that the subcontractor is not on the federal
     governments Excluded Parties List (https://www.epls.gov/epls/search.do) or the DMS
     Convicted, Suspended, or Discriminatory Vendor Lists
     (http://dms.myflorida.com/business_operations/state_purchasing/vendor_information/convicted_
     suspended_discriminatory_complaints_vendor_lists). The Department may object to any
     subcontractor that does not have an acceptable history with either the Department or the
     Department of Management Services (DMS). Any of the specific details of the grant agreement
     between the recipient and the subcontractor are the responsibility of those two parties.
     Department approval provides reasonable assurance that the subcontract is executed in
     accordance with the terms and conditions of the agreement and does not compromise the
     state’s interests.

                                                 6-3
 2010                                                                                  CFOP 75-7


k. Processing Grant Payments.

     Processing, inspecting, reviewing, and approving the Recipient’s requests for payment. At least
     once per quarter the Grant Manager shall reconcile the payment records with the State’s official
     accounting records and review the recipient’s documentation of grant-related expenditures.

l.   Verifying Civil Rights Compliance.

     Ensuring that Recipients complete the Civil Rights Compliance Checklist (CF 946). [45 CFR,
     Part 80; CFOP 60-16].

m. Checking on Clients and Client Services.

     If the grant includes any services to clients, conducting periodic visits with clients at the
     recipient’s physical location where services are delivered. Preferably such visits should be
     conducted no less than annually. The Grant Manager must consult with his or her supervisor if
     travelling to the recipient’s service location would require any commitment of travel funds. If
     budget considerations limit the Grant Manager’s ability to visit the location the Grant Manager
     and his or her supervisor should develop an alternative method for ensuring that client’s are
     being well treated and served effectively.

n. Meeting with the Recipient.

     Conducting direct meetings with the recipient’s representative. “Direct” is defined as face-to-
     face meetings or telephonic contact. In situations where face-to-face meetings are not practical
     due to geographical separation and telephonic contact is cost prohibitive (due to long distance
     charges), the Grant Manager’s supervisor may authorize alternate forms of contact such as e-
     mail or other forms of communication that meet the intent and frequency of the statutory
     requirements of s. 402.7305(3)(e), F.S.. These meetings shall be conducted at least monthly.

o. Reporting HIPAA Non-compliance.

     Reporting HIPAA violations, if any occurs. In the event of discovering or being made aware of a
     recipient HIPAA privacy or other rights violation, the Grant Manager must report the violation to
     the Department of Health and Human Services, Office of Civil Rights at
     http://www.hhs.gov/ocr/office/file/index.html (for privacy issues only) or Centers for Medicare
     and Medicaid Services at https://htct.hhs.gov/aset/. The Office of Civil Rights is responsible for
     responding to complaints pertaining to privacy issues only. The remaining HIPAA rules,
     including the Security Rule, are the responsibility of the Centers for Medicare and Medicaid
     Services.

p. Supporting Grant Oversight.

     Supporting monitoring and evaluation activities to assess the recipient’s compliance with the
     terms and conditions of the agreement and to determine whether the grant’s goals and
     objectives are achieved.

q. Closing Out the Grant.

     Performing closeout activities including ensuring that a final payment reconciliation is
     completed, files are complete and prepared for storage, all reports and requirements are
     completed, and that appropriate action is taken to notify administrative entities and complete
     data entries.



                                                6-4
      2010                                                                                       CFOP 75-7


6-4      Grant Manager’s File.

      For each grant, the Grant Manager’s file consists of two sub-files: the solicitation file and an
      agreement file. The Grant Manager’s file is the official record for the Department and must be
      maintained for a period of six (6) years following grant closeout or resolution of pending action (e.g.,
      legal, audit, etc.), whichever is later. If the solicitation is conducted by Central Office, but the grants
      are managed by circuit or regional staff, then the solicitation file shall be maintained by the
      Department office that conducted the solicitation. The appropriate circuit or regional staff members
      shall prepare and maintain the agreement file. The respective offices shall provide copies of
      relevant material to the other as requested. Reviews of the Grant Manager’s file are to be
      conducted on a routine basis by the Contract Administrator (CA) to ensure necessary
      documentation is being properly maintained.

      a. The Solicitation File.

         The Grant Manager shall prepare and maintain a solicitation file that contains all documentation
         and information regarding the selection process used to rank and select applicants for awards.
         The solicitation file shall become part of the Grant Manager's agreement file upon award of the
         grants, and includes, at a minimum, the following items.

         (1)     Copy of the solicitation;*

         (2)     Copy of the list of applicants that received individual notification of the solicitation (if
                 applicable);

         (3)     Copies of all advertisements and postings whether accomplished through the Vendor
                 Bid System, the Florida Administrative Weekly, the Department’s internet website, other
                 electronic or print media, or individual letters or correspondence;*

         (4)     Copy of all applications;

         (5)     Copy of the application receipt log;

         (6)     Documentation of the application opening activities;

         (7)     Copies of all evaluation materials including, but not limited to, evaluation worksheets and
                 instructions (if they were not included in the solicitation), records of briefings and
                 debriefing meetings, completed evaluator score sheets, the Grant Manager’s compilation
                 of the evaluation panel’s scoring results, and any records by which the Grant Manager
                 transmitted recommendations or received instructions pertaining to ranking, awards, or
                 decisions;

         (8)     Notice of Award;*

         (9)     If applicable, copies of any protests or appeals received and documentation of their
                 resolution;

         (10)    Correspondence received pertaining to the solicitation;

         (11)    Copies of the questions and responses to all inquiries;

         (12)    List of all individuals taking part in the development or selection of criteria for evaluation,
                 the evaluation process, and the award process;



                                                        6-5
2010                                                                                  CFOP 75-7


   (13)   A signed and completed Conflict of Interest Questionnaire (CF 1124) from all individuals
          taking part in the selection process, etc.;

   (14)   If applicable, copies of notices provided to applicants regarding incomplete applications
          and responses from applicants including material not contained in the initial submittal;

   (15)   If applicable, records pertaining to adjustments made to submitted budgets, supporting
          calculations or spreadsheets, and determination rationales;

   (16)   If applicable, records of public meetings such as applicant conferences, oral interviews,
          or site visits;

   (17)   If applicable, records of discussions with applicants after the announcement of award.

   *NOTE: A copy of this documentation must accompany the grant agreement through the review
   and approval process and must be maintained in the CA’s file.

b. The Grant Agreement File.

   The Grant Manager shall prepare and maintain a chronological file containing information
   related to the grant agreement from the time it is awarded until grant closeout. This is the
   official record for such information and must include, but is not limited to:

   (1)    Documentation of the written assignment of the Grant Manager by a member of the
          Department’s Senior Management or Select Exempt Service;

   (2)    Copy of the agreement and Form 1122 which accompanied the routing of the agreement
          for review and approval;

   (3)    Correspondence regarding the agreement;

   (4)    Amendments, if any;

   (5)    Civil Rights Compliance Checklist (CF 946), as appropriate;

   (6)    Recipient’s justification of need for advances;

   (7)    Documentation supporting recipient compliance with insurance requirements in grant;

   (8)    Recipient/Subrecipient Vs. Vendor Checklist;

   (9)    If applicable, Certification Regarding Debarment and Suspension Form (CF 1125) for all
          grants containing federal funding of $25,000 or more;

   (10)   If applicable, Certification Regarding Lobbying Form (CF 1123) for all grants containing
          federal funding in excess of $100,000;

   (11)   Post Award Notice for audit purposes;

   (12)   Approvals or disapprovals of subcontracts;

   (13)   Chronological activity record, including, but not limited to documentation of periodic (not
          less than annually) client visits at the recipient’s physical location where services are
          delivered, including evidence that the Grant Manager spoke directly to clients receiving


                                               6-6
      2010                                                                                  CFOP 75-7


                services and recipient staff responsible for delivering the services, and documentation of
                the Grant Manager’s direct meetings with the recipient’s representative(s);

         (14)   Relevant monitoring and evaluation reports including documentation of recipient’s
                compliance with the proposed project description(s) and evidence of achieving or not
                achieving goals and objectives;

         (15)   Financial management documentation including, but not limited to, requests for
                payment, records of disbursements, recipient expenditure reports, budget change
                requests and Department responses, Department disallowance determinations,
                appropriations action records, federal reports, match compliance records and
                documents, and Grant Manager payment and reconciliation logs;

         (16)   Copies of recipient independent audit results accompanied by the management letter,
                related correspondence, recipient responses, and deficiency correction reports;

         (17)   Corrective Action documentation, including Approved Plans, Status Reports (as
                required), and Completion of the Corrective Action Plan (CAP);

         (18)   Any reports, documents, databases, files, or records required to be submitted to the
                Department by the recipient; and

         (19)   Copies of any forms of intellectual property produced or created during the course of the
                grant.

6-5      Financial Management.

      Unless an alternative departmentally approved process has been established, the Grant Manager
      must receive invoices or requests for payment directly from the recipient and process them for
      payment which includes reviewing requests, requesting necessary adjustments from the recipient,
      logging requests and disbursements, and coordinating with the Administrative Services Support
      Center (ASSC) for payment processing.

      a. Invoice Processing, Inspection, and Review.

         Upon receipt of each request for payment, the Grant Manager must determine the following:

         (1) Does the request for payment, whether for an advance payment or a reimbursement of
             eligible expenditures, conform to the terms and conditions of the grant agreement?

         (2) Is the request for payment in the proper format, mathematically correct, and does it contain
             all necessary information to permit a proper audit of the request?

         (3) Is necessary supporting documentation included, and does the supporting documentation
             properly support the request for payment?

         (4) Are expenditures allowable according to the grant budget or other agreement terms?

      b. Approval of Requests for Payment.

         The Grant Manager’s signature on a request for payment attests that the recipient has
         performed all activities necessary to qualify for the requested financial assistance, and that the
         expenditures are allowable and in compliance with the terms of the agreement. Unlike
         purchases of commodities or contracted services, the prompt payment requirements of Florida


                                                     6-7
      2010                                                                                 CFOP 75-7


         law (s. 215.422, F.S.) do not apply to the Department’s provision of financial assistance.
         Nevertheless, the Department’s policy is that grant managers and other Department staff
         involved in the review of recipient requests for payment should act in a timely and expeditious
         manner in processing requests for payment, and recipients should be treated in a manner
         substantially identical to state vendors. Adequate review, inspection, and request audit time
         should be consistent with the complexity of the grant and the period of time necessary to ensure
         proper public accountability. If the request for payment is approved, the Grant Manager shall
         transmit it to the ASSC for payment. If the request for payment is disapproved or requires
         changes, the Grant Manager shall return it to the recipient with an explanation of the reasons for
         disapproval and a description of corrective actions to be taken.

      c. Grant Reviews and Related Payment Processing Requirements.

         Grant Managers and Contract Administrators must ensure that all executed agreements with
         any required documentation, are submitted to the Administrative Services Support Center
         (ASSC) upon receipt of the executed agreement. The Grant Manager shall obtain and submit
         any additional documents as directed by the ASSC.

6-6      Monitoring and Evaluation.

      This section outlines the responsibilities of the Grant Manager for the oversight and review of grant
      agreements. This section will explain how the Grant Manager is to utilize internal and external
      reviews of a recipient and Universal and Program-specific core requirements when developing a
      review matrix or equivalent documentation of the planning process. Children & Families Operating
      Procedure (CFOP) 75-8, Policies and Procedures of Contract Oversight, contains additional
      information regarding the Department’s operating procedures for monitoring Department contracts.
      While CFOP 75-8 is not specifically directed at grant agreements the Department’s policy is that,
      where applicable, the same procedures that pertain to the review of contracts shall also apply to
      grant agreements.

      a. Department Oversight and Monitoring.

         (1) Contract and Grant Monitoring.

             The Department generally refers to the acquisition, review, and reporting of information
             about contracted providers’ compliance with the terms and conditions of their contracts as
             contract monitoring. Especially for contracted services, contract monitoring involves
             verifying that the Department has “received the benefit of the bargain,” meaning that
             Department staff members check to ensure that the promised services have been delivered
             and that the Department has paid the agreed-upon amounts. Contract monitoring within the
             Department is primarily the responsibility of the Contract Oversight Units (COU) with the
             support and coordination of the Contract Manager. The Contract Manager is the primary
             point of contact through which all contracting information flows between the Department and
             the provider. All actions related to the contract are initiated by or coordinated with the
             Contract Manager. The COU is staffed with persons specifically trained to perform contract
             monitoring and is responsible for monitoring the administrative and programmatic terms and
             conditions of the Department’s contracts.

         (2) COUs Will Monitor Grants.

             Despite the fundamental difference between procurement contracts (i.e. the purchase of
             commodities or services) and grant agreements (i.e. the provision of financial assistance),
             there is a high degree of correlation in the nature of the relationship between the
             Department and its recipients and the Department and its providers and vendors. As such,

                                                     6-8
2010                                                                                  CFOP 75-7


       it is the Department’s policy that the Contract Oversight Units will perform monitoring
       activities for the Department’s grants and that the Grant Manager will perform similar duties
       with respect to the grant monitoring as the Contract Manager does for contract monitoring.
       The Department’s requirements for grant monitoring are described below.

   (3) Core Requirements of Grant Monitoring.

       The Department identifies two types of core requirements of grant agreements that require
       review. First are Universal core requirements-Elements. These requirements are
       developed by ASC. The requirements are aligned with those requirements found in the
       standard grant terms and conditions and relate to health, safety, and welfare, or the ability of
       the Department to maintain a viable funding source (e.g. federal grant requirements).
       Second are Program-specific core requirements-Elements of a grant agreement that are
       directly tied to the programmatic attributes of the grant. These elements are directly related
       to the program’s unique tasks and activities. The Program-specific core requirements are
       issued by the Program Office. When issuing the initial Program-specific core requirements,
       issuance shall be made in coordination with the Region Program staff.

   (4) Review Matrix.

       To maximize the efficiency of its contract and grant monitoring resources, the Department
       uses a review matrix. The matrix is a categorized list of contract terms and conditions and
       reviewing entities that may perform activities regarding the compliance of the terms and
       conditions of a particular contract. The matrix should identify areas of review that overlap or
       lack sufficient coverage and preclude the performance of duplicate reviews. If a matrix is
       not completed, the Department also uses the term to refer to any equivalent documentation
       of the planning process. A reviewing entity is an office or organization that reviews a
       contracted provider or grant recipient. Reviewing entities can be internal (the Department)
       or external (other state agencies, funding sources, accrediting bodies, etc.). By using a
       review matrix and assessing the reviewing entities, the Department develops a Risk-Based
       Limited Scope monitoring approach. This approach produces a subset of risk-based review
       topics and tasks to be covered by the COU during the scheduled monitoring. The Risk-
       Based Limited Scope is determined by the Grant Manager (or Contract Manager in the case
       of contract monitoring) and Contract Management Supervisor, in consultation with the COU
       and other reviewing entities. The Risk-Based Limited Scope forms the charter for the COU’s
       monitoring review. It does not, however, prohibit the COU from reporting on deficiencies (or
       strengths) otherwise observed or discovered.

b. Monitoring Frequency.

   (1) All Grants to be Monitored.

       Every grant awarded by the Department shall be monitored with the exception of those
       excluded, in writing, by the appropriate Assistant Secretary and the Staff Director for
       Contracted Client Services.

   (2) Risk Assessment Required.

       All grants shall receive a risk assessment in accordance with CFOP 75-8 to determine the
       monitoring activity level based upon the risk the Department assumes through the grant
       agreement. Grants may receive a high, medium, or low level risk ranking. Recipients will be
       monitored based upon the level of risk determined through the assessment. The frequency
       of the monitoring visit will be determined by the relevant level of risk.


                                               6-9
2010                                                                                    CFOP 75-7


   (3) Unscheduled Visits Permitted.

       The COU may conduct unscheduled site visits to the recipient if the Grant Manager,
       Contract Administrator (CA), or the COU Manager has reason to believe such a visit is
       warranted.

c. Grant Monitoring Process.

   (1) Planning Meeting to Prepare for a Grant Review.

       (a) Grant Manager Initiates Monitoring Process.

          The Grant Manager shall arrange and host a collaborative planning meeting with the
          Contract Management Supervisor and other reviewing entities to discuss the
          development of a grant review plan for each agreement. As a result of the meeting, the
          Grant Manager shall determine the reviewing entities that should participate in the
          development of the grant agreement review matrix.

       (b) Monitoring Review Matrix.

          The Grant Manager, in consultation with the Contract Management Supervisor and,
          other reviewing entities as necessary, shall initiate the development of an agreement
          review matrix, to outline the Risk-Based Limited Scope. If a matrix is not completed, this
          equivalent documentation shall be developed to properly document the decision-making
          and planning process. Other reviewing entities and topics/tasks shall be added to the
          matrix as they become known throughout the year. The tasks involved with the
          development of the review matrix shall include the following:

          (i) Identify the Universal and Program-specific core requirements from the categorized
              list of contract terms and conditions (see section 6-6 a. (4)).

          (ii) Collect and identify data related to internal and external reviewing entities.

          (iii) Identify the completed internal and external reviews and tools used in conducting
                reviews or listings of what elements are reviewed and the schedule associated with
                each assigned review.

          (iv) Identify the future internal and external reviews and tools used in conducting reviews
               or listings of what elements are reviewed and the schedule associated with each
               assigned review.

          (v) Determine a preferred schedule for upcoming reviews.

   (2) Pre-monitoring Meeting.

       Not less than sixty (60) days before the scheduled monitoring, the Grant Manager shall
       arrange for a monitoring planning meeting with the COU to discuss the agreement review
       matrix and make determinations regarding topics and tasks. The Grant Manager should
       receive, from the COU, notification advising of the upcoming monitoring. If notification is not
       received by the Grant Manager, the Grant Manager remains responsible for arranging a pre-
       monitoring planning meeting. The determinations made at the planning meeting shall
       become the charter for the COU. The meeting shall be led by the Grant Manager and
       Contract Management Supervisor.



                                               6-10
2010                                                                                 CFOP 75-7


  (3) Conducting the Grant Monitoring Review.

       The Grant Manager’s role during a monitoring review is as follows:

       (a) Assists in coordinating the COU monitoring visit and transmission of the monitoring
           report.

          (i) Communication and Correspondence. Facilitates communications between the
              recipient and the COU, particularly in cases where the recipient has failed to respond
              to COU requests. The Grant Manager is copied on all written correspondence
              between the contract monitor and the recipient.

          (ii) Grant File. Makes the grant file available to the COU and provides pre-site visit
               information necessary for monitoring.

          (iii) Entrance Conference. The Grant Manager should participate in the entrance
                conference, conducted by the COU, with the recipient.

          (iv) Daily Debriefing. The Grant Manager shall participate in the debriefing conducted by
               the COU, with the recipient. Debriefings may be held daily or on a frequency
               determined by the recipient, or the Grant Manager if the recipient does not express a
               preference as to frequency.

          (v) Exit Conference. The Grant Manager shall participate in the exit conference,
              conducted by the COU, with the recipient.

          (vi) Report Activities. The monitoring report is developed in accordance with this section
               and CFOP 75-8.

              a. Upon receipt of the monitoring report, the Grant Manager is responsible for
                 submitting the report to the recipient.

              b. Grant Managers shall document their activities, which includes those activities
                 resulting from a monitoring report that requires either a Corrective Action Plan or
                 no further action, using the CERS system within 10 calendar days of the
                 monitoring report’s issuance.

       (b) Facilitates communication and encourages partnership with other reviewing entities.

       (c) Considers reviews conducted by other reviewing entities.

          (i) The Grant Manager shall identify the schedule of applicable reviewing entities.

          (ii) The Grant Manager shall make every reasonable effort to obtain the results of
               monitoring visits conducted by other reviewing entities.

  (4) Implementing Corrective Action (if necessary).

       (a) Grant Manager to Request Corrective Action.

          The Grant Manager shall request corrective actions from a recipient who is out of
          compliance with the terms and conditions of its agreement. The Grant Manager shall
          also:

          (i) Consider findings from any monitoring visit conducted by any reviewing entity.

                                             6-11
2010                                                                                    CFOP 75-7


          (ii) Request corrective actions in a timely fashion, even if the monitoring report is
               delayed.

          (iii) Take action to ensure that corrective action necessary to protect health, safety, or
                welfare is taken immediately.

          (iv) Instruct the recipient to prepare a corrective action plan for actions that do not affect
               health, safety, or welfare. The recipient shall be given no more than thirty (30)
               calendar days to submit the corrective action plan to the Grant Manager.

       (b) Grant Manager to Receive Corrective Action Plans.

          The Grant Manager shall receive and review corrective action plans submitted by the
          Recipient. The Grant Manager shall notify the recipient, in writing, whether or not the
          plan has been approved or disapproved. If the Department disapproves the corrective
          action plan, the Grant Manager shall advise the recipient of the basis for the disapproval
          and require amendment until the plan is satisfactory to the Department.

       (c) Grant Manager to Follow-Up.

          The Grant Manager shall follow up with the recipient to assure that the recipient
          implements the corrective action plan as approved by the Department.

       (d) Grant Manager Takes Action on Failures.

          The Grant Manager shall take action to bring instances of failure to complete corrective
          action to the attention of Department managers.

d. COU Responsibility.

   The COU is responsible for monitoring all of the Department’s grants. If the monitor finds
   irregularities in any stage of the monitoring that require immediate attention or action, degraded
   service to the Department’s clients, or indications of questionable financial and managerial
   practices, he or she shall report these to the Grant Manager who shall decide what remedial
   action will be taken.

   (1) The COU is responsible for preparing a log of findings for the exit in accordance with CFOP
       75-8.

   (2) The COU will provide the final report to the Grant Manager in electronic format. The COU
       shall enter the information from the monitoring report into the Contract Evaluations
       Reporting System (CERS) within seven (7) calendar days of the monitoring report’s
       issuance.

e. Grant Evaluation.

   The Grant Manager is also responsible for ensuring that any grant evaluation plans described in
   the application or required by statutory or regulatory requirements are completed. Inasmuch as
   some grants are awarded to advance the state of knowledge or test as-yet-unproven concepts,
   grant evaluation plans may be predicated on the measurement of progress toward goals or
   objectives that were not specifically embedded in the mandatory conditions of the agreement.
   In such instances the Grant Manager’s role is to ensure that the evaluation methodology is
   applied by either the recipient, or the designated evaluation agent, such that the Department
   receives a fully-illuminated view of the results of the grant.


                                               6-12
      2010                                                                                      CFOP 75-7


      f.   Grant Default, Breach, and Termination.

           While the Department strives in every way possible to work with grant recipients to produce
           success, occasions may arise when a recipient is unwilling or unable to comply with the terms
           and conditions of its agreement. The Grant Manager shall bring any instance of potential failure
           to the attention of his or her supervisor as soon as indications of failure become evident. The
           Grant Manager should refer to for additional guidance on what to do in such instances. The
           Grant Manager should also consult with the local CA and legal representatives for assistance.
           The Grant Manager shall be proactive in seeking assistance such that Department managers
           and technical specialists are involved early in the process of potential failures, rather than being
           notified only after a situation has become unredeemable.

6-7        Grant Closeout Process.

      The Grant Manager’s final responsibility is closeout of the grant. The grant may be closed because
      the term of the grant is completed, the grant funds have been disbursed, and the project was
      completed, or terminated for cause, convenience, or lack of funds. In any instance, the Grant
      Manager must make sure that the following activities are taken so that the Department’s records
      are complete, the public’s funds have been properly accounted for, and there are no unresolved
      issues remaining between the Department and the recipient. The Grant Manager shall verify that
      the following actions are taken:

      a. Activities Completed.

           All required projects or activities have been completed including the delivery of final reports,
           documents, and records.

      b. Financial Reconciliation Completed.

           The recipient has submitted final fiscal reports, including the report of expenditures, and the
           disbursements made to the recipient have been reconciled with the recipient’s expenditures.

      c. Overpayments Recovered.

           Any overpayment has been recovered. Final payments shall be withheld pending the state’s
           recovery of any overpayments. The grant may not be closed out until the final reconciliation has
           been completed.

      d. Records Secured.

           The recipient has transmitted any client records, data files, intellectual or physical property, etc.
           to the Department where the Department is the owner or ultimate custodian.

      e. Conditions Met.

           All grant agreement terms and conditions have been met.

      f.   Match Requirements Met.

           Any and all match requirements have been met, and the records demonstrating match
           compliance are in the possession of the Department.

      g. Monitoring Completed.



                                                       6-13
 2010                                                                                CFOP 75-7


     The grant monitoring has been completed in accordance with the Department’s standard
     operating procedures. Any required corrective actions have been completed, documented, and
     reported to the Department.

h. Evaluations Completed.

     Any reports regarding the evaluation of the grant have been completed and submitted to the
     Department including those pertaining to goals and objectives that were not mandatory
     agreement provisions.

i.   Audits Received.

     The Department has received and reviewed any required independent financial and compliance
     audit(s), and deficiencies noted in the audit report(s) have been corrected.

j.   Civil Rights Requirements Met.

     The Civil Rights Compliance Questionnaire has been completed and filed.

k. Grant File Complete.

     The grant file is complete for possible future audits. The file contains required documents
     including, but not limited to, the originally signed agreement, any amendments, copies of 1122s,
     administrative documents, all requests for payment with supporting documentation, reports,
     correspondence, and activity records. The file is organized and properly labeled and prepared
     for retention in a secure storage location.

l.   Administrative Coordination Accomplished.

     The grant’s closeout has been coordinated with the Administrative Services Support Center to
     ensure that there are no additional records, reports, or documents that must be submitted for
     purposes of the Department of Financial Services.




                                               6-14
Grant Solicitation Number: ___________________                                               CFDA No. __________
                                                                                             CFSA No. __________


                 FLORIDA DEPARTMENT OF CHILDREN & FAMILIES STANDARD GRANT AGREEMENT

This Agreement is entered into between the Florida Department of Children and Families, hereinafter referred to as the
“Department” and _____________________________________, hereinafter referred to as the “Recipient.”

I. THE RECIPIENT AGREES AS FOLLOWS:
          A. Grant Agreement
          It will comply with the provisions of the Department’s grant solicitation, if any, and to perform all activities, terms, and
conditions, described by the Recipient in its proposal to the Department, unless otherwise specifically superseded by the
provisions set forth in any attachments or exhibits to this agreement. If the Recipient submitted an unsolicited grant
application to the Department, the Recipient shall perform all activities, terms, and conditions, described by the Recipient in its
application unless otherwise specifically superseded by the provisions set forth in any attachments or exhibits to this
agreement.

          B. State of Florida Law, Jurisdiction, and Venue
          This agreement is executed and entered into the State of Florida and shall be construed, performed, and entered in
all respects in accordance with the Florida law including provisions for conflict of laws. Courts of competent jurisdiction in
Florida shall have exclusive jurisdiction in any action regarding this contract. Venue is the appropriate state court in Leon
County, Florida.

          C. Federal Law and Prohibitions Against Lobbying
          If this agreement is funded by the use of federal funds the Recipient shall comply with any and all of the provisions of
federal law and regulation including, but not limited to 45 CFR, Parts 74 and 92, the Clean Air Act and Federal Water Pollution
Control Act as applicable, the Energy, Policy and Conservation Act (Public Law 94-163) and any Executive Orders pertaining
to the use of the grant funds. No federal funds may be used by the Recipient or its employees or agents for lobbying
Congress of the Florida Legislature. The Recipient shall not employ unauthorized aliens. The Recipient shall comply with all
laws, orders, and regulations pertaining to Equal Employment Opportunity. If applicable, the Recipient shall comply with the
Pro-Children Act of 1994.

          D. Audits, Inspections, Investigations, Monitoring, Records, and Retention
          The Recipient shall maintain books, records, documents, and electronic storage media, hereinafter “records,”
sufficient to reflect all income and expenditures of funds provided by the Department under this agreement and to demonstrate
the satisfactory performance of all activities required by this agreement. The Recipient shall maintain such records for a
period not less than six (6) years after completion or termination of the agreement, unless a longer retention period is
mandated by state or federal law or regulation. The Recipient shall make all records available for inspection by the
Department, persons duly authorized by the Department, federal authorities, or law enforcement personnel upon demand. At
no additional cost to the Department the Recipient shall make and supply such copies of records as may be necessary for
investigations, audits, program reviews, and compliance determinations to any organization or person duly authorized to
inspect the records. The Recipient shall comply with the requirements of Chapter 119, F.S. The Recipient shall fully
cooperate with the Department’s agreement monitoring activities.

          E. Indemnification and Insurance
          To the extent permitted by Florida Law, the Recipient shall be fully liable for the actions of its agents, employees,
partners, or subcontractors and shall fully indemnify, defend, and hold harmless the State and Department, and their officers,
agents, and employees, from suits, actions, damages, and costs of every name and description, including attorneys’ fees,
arising from or relating to any alleged act or omission by the Recipient, its agents, employees, partners, or subcontracts,
provided, however, that the Recipient shall not indemnify for that portion of any loss or damages proximately caused by the
negligent act or omission of the State or a Department.
          The Recipient’s obligations under the preceding paragraph with respect to any legal action is contingent upon the
State or Department giving the Recipient (1) written notice of any action or threatened action, (2) the opportunity to take over
and settle or defend any such action at Recipient’s sole expense, and (3) assistance in defending the action at Recipient’s sole
expense. The Recipient shall not be liable for any cost, expense, or compromise incurred or made by the State or Department
in any legal action without the Recipient’s prior written consent, which shall not be unreasonably withheld.
          The Recipient’s inability to evaluate liability or its evaluation of liability shall not excuse its duty to defend and
indemnify after receipt of notice. Only an adjudication or judgment after the highest appeal is exhausted finding the
department negligent shall excuse the Recipient of performance under this provision, in which case the State and Department
shall have no obligation to reimburse the Recipient for the cost of their defense. If the Recipient is an agency or subdivision of
the State, its obligation to indemnify, defend and hold harmless the department under this Section 19 shall be to the extent
permitted by law.
           The Recipient shall determine the type(s) and extent of liability insurance necessary to provide reasonable financial
protection for the Recipient and any persons that may be served or affected by this agreement. The Recipient shall maintain
such insurance at its own expense, and shall furnish a copy of the certificate of the existence of such insurance upon request
by the Department. The Department reserves the right to require reasonable additional insurance at any time.

         F. Risk Prevention and Incident Reporting
         If the Recipient provides any services directly to clients, the Recipient shall comply with CFOP 215-6 for establishing

                                                                                                    Appendix A to CFOP 75-7
risk prevention and reporting any incident listed in CFOP 215-6. The Recipient shall immediately report any knowledge or
reasonable suspicion of abuse, neglect, or exploitation of a child, aged person, or disabled adult to the Florida Abuse Hotline
at telephone number 1-800-96ABUSE. This requirement applies to both the Recipient and its employees.

         G. Confidentiality of Client Information
         The Recipient shall not use or disclose any information concerning any clients or persons served by occasion of this
agreement for any purpose prohibited by state or federal law or regulations except with the prior written consent of a person
legally empowered to give that consent or when authorized by law.

           H. Assignments and Subcontracts
           This contract is for the provision of financial assistance to the Recipient who may not assign the agreement, any
portion of this agreement, the activities performed, or any payment. The Recipient may subcontract work relevant to the
agreement only with the prior written consent of the Department. The Recipient is responsible for the performance of all
actions, work, or duties regardless of whether such consent has been sought or granted. The State of Florida may assign or
transfer, in whole or in part, its rights, duties, and obligations to another governmental entity of the State of Florida by giving
written notice to the Recipient. Such transfer or assignment does not affect the Recipient’s obligation to properly complete
work and perform in accordance with the terms of this agreement. The Recipient shall include or cause to be included in
subcontracts (at any tier) the substance of all clauses contained in this agreement that mention or describe subcontract
compliance.

          I. Civil Rights Requirements
          The Recipient shall comply with all civil rights laws, regulations, and orders including, but not limited to, Title VII of the
Civil Rights Act of 1964, the Americans with Disabilities Act of 1990, the Florida Civil Rights Act of 1992, and 45 CFR Parts 80,
83, 84, 90, and 91. The Recipient shall not discriminate against any employee or applicant on the basis of race, color, gender,
national origin, disability, age, or marital status.

           J. Independent Capacity of the Recipient
           The Recipient is an independent contractor. The Recipient shall act as an independent contractor and not as an
officer or employee of the State of Florida. The Recipient shall not represent to others that it has the authority to bind the
Department unless specifically authorized in writing to do so. The Recipient is not entitled to any benefits reserved for state
officers, employees, or personnel, (e.g. leave, retirement, health care) or support services (e.g. office space, supplies,
telephone service, clerical support). These provisions apply to the Recipient, its employees, agents, subcontractors, and
assigns.

           K. Sponsorship and Publicity
           The Recipient shall provide appropriate recognition of the role state funds play in publicizing or advertising any
program or activities supported by the grant funds. Sponsorship material shall state “Sponsored by (Recipient’s name) and
the State of Florida Department of Children and Families.” The Department’s name shall appear in the same size and type
letters as that of the Recipient. The Recipient shall not convey, represent, or claim that it is approved or endorsed by the State
of Florida or the Department, nor shall it permit others, on its behalf, to do so, whether directly or indirectly. The Recipient is
not entitled to use the state’s name or mark for any purpose without obtaining prior written consent in each separate instance.

        L. Gratuities
        The Recipient shall not offer or provide any gift to any Department employee or officer of the State of Florida
throughout the period of this agreement and for two years thereafter. The Recipient shall ensure that its employees and
subcontractors, if any, comply with this prohibition.

          M. Patents, Copyrights, and Royalties
          If any patent arises or is developed, in whole or in part, as the result of the funds awarded by this agreement, the
Recipient agrees that it will refer the patent to the Florida Department of State to determine whether patent protection will be
sought in the state or federal government’s name. All copyrighted materials produced or arising as a result of the funds
awarded by this agreement are hereby reserved to the State of Florida or federal government and shall be referred to the
Department of State. The Recipient shall fully indemnify, defend, and hold harmless the State and Department from any suits,
actions, damages, and costs of every name and description, including attorneys’ fees, arising from or relating to violation or
infringement of a trademark, copyright, patent, trade secret or intellectual property right, provided, however, that the foregoing
obligation shall not apply to a Department’s misuse or modification of Recipient’s products or a Department’s operation or use
of Recipient’s products in a manner not contemplated by the Contract or the purchase order. If any product is the subject of
an infringement suit, or in the Recipient’s opinion is likely to become the subject of such a suit, the Recipient may at its sole
expense procure for the Department the right to continue using the product or to modify it to become non-infringing. If the
Recipient is not reasonably able to modify or otherwise secure the Department the right to continue using the product, the
Recipient shall remove the product and refund the Department the amounts paid in excess of a reasonable rental for past use.
The Department shall not be liable for any royalties.

          N. Information Security Obligations
          The Recipient shall designate an appropriately skilled individual to act as its Data Security Officer who shall act as a
liaison to the Department’s security staff and who will establish and maintain an appropriate level of security for all data related

                                                                 A-2
to this agreement collected or obtained by the Recipient. The Recipient shall provide necessary data security training to its
employees and affiliates. Recipient employees who have access to departmental information shall comply with CFOP 50-2
and shall sign the security agreement forms described therein.

        O. Health Insurance Portability and Accountability Act
        The Recipient shall, where applicable, comply with the Health Insurance Portability and Accountability Act (42 U.S.C.
1320d) as well as all regulations promulgated pursuant to the act (45 CFR Parts 160, 162, and 164).

          P. Emergency Preparedness
          If the Recipient provides any services directly to clients, the Recipient shall develop and submit to the Department an
emergency preparedness plan not later than 30 days after execution of this agreement and updated plans shall be submitted
at least annually thereafter. The Department agrees to respond in writing within 30 days of receipt of the plan accepting,
rejecting, or requesting modifications. The emergency preparedness plan shall, if implemented, enable the Recipient to
continue functioning, assure the safety and well-being of clients served, and ensure that the Department is fully informed at all
times.

          Q. Whistleblower’s Act Requirements
          In accordance with section 112.3187(2), Florida Statutes (F.S.), agencies or independent contractors shall not
retaliate against an employee for reporting violations of law to an appropriate agency that creates substantial and specific
danger to the public’s health, safety, or welfare. Furthermore, agencies or independent contractors shall not retaliate against
any person who discloses information to an appropriate agency alleging improper use of governmental office, gross waste of
funds, or any other abuse or gross neglect of duty on the part of an agency, public officer, or employee. Employees and
persons may file with the Office of Chief Inspector General, Agency Inspector General, the Florida Commission on Human
Relations or the Whistle-blower’s Hotline number at 1-800-543-5353.

           R. Support to the Deaf or Hard-of-Hearing
           (1) The provider and its partners, subcontractors, and agents shall comply with section 504 of the Rehabilitation Act
of 1973, 29 U.S.C. 794, as implemented by 45 C.F.R. Part 84 (hereinafter referred to as Section 504), the Americans with
Disabilities Act of 1990, 42 U.S.C. 12131, as implemented by 28 C.F.R. Part 35 (hereinafter referred to as ADA), and the
Children and Families Operating Instruction (CFOP) 60-10, Chapter 4, entitled “Auxiliary Aids and Services Persons with
Hearing Impairment.”
           (2) The provider shall, if the provider or any of its partners, subcontractors, or agents employs 15 or more
employees, designate a Single-Point-of-Contact (one per firm) to ensure effective communication with deaf or hard-of-hearing
Departments or companions in accordance with Section 504, the ADA, and CFOP 60-10, Chapter 4. The name and contact
information for the provider’s Single-Point-of-Contact shall be furnished to the department’s Grant or Contract Manager within
14 calendar days of the effective date of this requirement.
           (3) The provider shall, within 30 days of the effective date of this requirement, contractually require that its partners,
subcontractors and agents comply with section 504, the ADA, and CFOP 60-10, Chapter 4. A Single-Point-of-Contact shall be
required for each partner, subcontractor or agent that employs 15 or more employees. This Single-Point-of-Contact will
ensure effective communication with deaf or hard-of-hearing Departments or companions in accordance with Section 504 and
the ADA and coordinate activities and reports with the provider’s Single-Point-of-Contact.
           (4) The Single-Point-of-Contact shall ensure that employees are aware of the requirements, roles & responsibilities,
and contact points associated with compliance with Section 504, the ADA, and CFOP 60-10, Chapter 4. Further, employees
of providers, its partners, subcontractors, and agents with 15 or more employees shall attest in writing that they are familiar
with the requirements of Section 504, the ADA, and CFOP 60-10, Chapter 4. This attestation shall be maintained in the
employee’s personnel file.
           (5) The provider’s Single-Point-of-Contact will ensure that conspicuous Notices which provide information about the
availability of appropriate auxiliary aids and services at no-cost to the deaf or hard-of-hearing Departments or companions are
posted near where people enter or are admitted within the agent locations. Such Notices must be posted immediately, but not
later than March 12, 2010, with respect to current providers (partners, subcontractors, and agents). The approved Notice can
be downloaded through the Internet at: http://www.dcf.state.fl.us/admin/ig/civilrights.shtml.
           (6) The provider and its partners, subcontractors, and agents shall document the Department’s or companion’s
preferred method of communication and any requested auxiliary aids/services provided in the Department’s record.
Documentation, with supporting justification, must also be made if any request was not honored. The provider shall submit
Compliance Reports monthly, not later than the 15th day of each month, to the department’s Grant or Contract Manager. The
provider shall distribute Department Feedback forms to Departments or companions, and provide assistance in completing the
forms as requested by the Department or companion.
           (7) If Departments or companions are referred to other agencies, the provider must ensure that the receiving agency
is notified of the Department’s or companion’s preferred method of communication and any auxiliary aids/service needs.

II. THE DEPARTMENT AND THE RECIPIENT AGREES AS FOLLOWS:

         A. Grant Amount, Funds Disbursement, and Compliance with State Comptroller Requirements
         (1) The Department shall provide financial assistance to the Recipient in an amount not to exceed
___________________. The State of Florida’s obligation to pay this amount is contingent upon an annual appropriation by
the Legislature and the availability of funds. The Recipient shall provide records to the Department evidencing that all funds

                                                                A-3
provided by this agreement have been used for the purposes, and in the amounts, described in the Recipient’s proposed
budget. The Recipient shall vary from the Approved Budget only with the prior written consent of the Department which must
be obtained in each separate instance. Upon change of representatives (names, addresses, telephone numbers and e-mail
addresses) by either party, notice shall be provided in writing to the other party and the notification attached to the originals of
this agreement. The Recipient shall promptly return to the Department any overpayments due to unearned funds, disallowed
or ineligible expenditures, or accounting or record keeping errors. The Recipient shall return such excess funds immediately
upon discovery by it or its employees or upon receiving written notice from the Department.
           (2) The parties shall comply with Section 215.97, F.S. Expenditures of state financial assistance shall comply with
laws, rules, and regulations applicable to expenditures of state funds, including, but not limited to, the Reference Guide for
State Expenditures. All funds charged to this agreement must be allowable and must result from obligations incurred during
the term of the agreement. Any balances or unobligated cash that have been advanced or paid that are not authorized for
retention for direct program costs in a subsequent period must be refunded to the Department.

           B. Official Payee and Representatives (Names, Addresses, Telephone Numbers, and e-mail addresses):
1.       The Recipient name, as shown on page 1 of this                     3. The name, address, telephone number and e-mail address of the
agreement, and mailing address of the official payee to whom the            grant manager for the department for this agreement is:
payment shall be made is:
Name:                                                                       Name:
Address:                                                                    Address:


City:       State:   Zip Code:        Phone:        ext:                    City:       State:    Zip Code:        Phone:        ext:

                                                                            e-mail:
2. The name of the contact person and street address where                  4. The name, address, telephone number and e-mail of the
Recipient’s financial and administrative records are maintained is:         representative of the Recipient responsible for administration of the
                                                                            program under this agreement is:
Name:
                                                                            Name:
Address:                                                                    Address:


City:       State:   Zip Code:        Phone                                 City:       State:    Zip Code:        Phone:
                                        ext:                                                                          ext:

e-mail:                                                                     e-mail:
                                                                            Recipient CEO/CFO e-mail:


          C. Termination
          This agreement may be terminated by either party without cause upon no less than 30 calendar days written notice to
the other, said notice to be delivered by the U.S. Postal Service, or an expedited delivery carrier with evidence of completed
delivery in either instance. In the event funds used to support this agreement become unavailable the Department may
terminate this agreement upon no less than 24 hours notice, in writing, to the Recipient. In the event the Recipient fails to
comply with the terms and conditions of this agreement the Department may terminate the agreement upon no less than 24
hours (excluding Saturday, Sunday, and Holidays) notice in writing to the Recipient. The Department must specify in its notice
the circumstances and conditions pertaining to the termination for failure to comply. The department’s failure to demand
performance of any provision of this agreement shall not be deemed a waiver of such performance nor shall the department’s
waiver of any one breach of any provision of this agreement be deemed to be a waiver of any other breach and neither event
shall be construed to be a modification of the terms and conditions of this agreement. The provisions herein do not limit the
department’s right to remedies at law or in equity.

          D. Severability
          If a court deems any provision of the Contract void or unenforceable, that provision shall be enforced only to the
extent that it is not in violation of law or is not otherwise unenforceable and all other provisions shall remain in full force and
effect.
          E. Notice
          Any notice that is required under this agreement shall be in writing, and sent by U.S. Postal Service or any expedited
delivery service that provides verification of delivery or by hand delivery. Said notice shall be sent to the representative of the
recipient responsible for administration of the grant, to the designated address contained in this agreement.

          F. Modification, Amendment, and Entirety of the Agreement
          This agreement may only be modified or amended in writing with such modifications or amendments duly signed by
both parties. This agreement and its attachments, _____________, and any referenced exhibits, together with any documents
incorporated by reference, constitute the entirety of the agreement. There are no other terms or conditions other than those
contained herein. This agreement supersedes all previous communication and representations between the parties or their

                                                                      A-4
representatives.




       G. Duration of the Grant Agreement
       This Agreement shall begin on the date on which the last of the parties affixes its signature and shall end on
___________________________ unless otherwise terminated in accordance with Section IV.


By signing this agreement the parties agree they have read and agree to the entirety as described above.
IN WITNESS THEREOF, the parties have caused this ___ page agreement to be executed below.


RECIPIENT:                                                     FLORIDA DEPARTMENT OF CHILDREN AND FAMILIES




Signature:                                                     Signature:


Print/Type                                                     Print/Type
Name:                                                          Name:
Title:                                                         Title:

Date:                                                          Date:



STATE AGENCY 29 DIGIT FLAIR CODE: __________________
Federal Tax ID # (or SSN): _______________                              Recipient Fiscal Year Ending Date: ___




                                                             A-5
Grant Solicitation Number: ___________________                                                 CFDA No. __________
                                                                                               CFSA No. __________


                FLORIDA DEPARTMENT OF CHILDREN & FAMILIES STANDARD GRANT AWARD LETTER

The Florida Department of Children and Families, hereinafter referred to as the “Department,” hereby notifies
___________________________________, hereinafter referred to as the “Recipient,” that pursuant to the terms and
conditions of the above numbered grant solicitation the Department has determined to provide financial assistance to
Recipient in the amount specified below. Recipient’s acceptance of said financial assistance constitutes an agreement by
Recipient to the terms and conditions contained in the solicitation, unless expressly modified in this Award Letter or
attachments, if any. As a result of Department’s offer of financial assistance and Recipient’s acceptance of the assistance the
parties enter into an Agreement consisting of the following documents: this Award Letter and attachments, if any; the
Approved Budget; the Grant Solicitation identified above; the Recipient’s Application and Proposal; and
______________________________. In the event of a conflict among the provisions of the various documents the priority of
interpretation shall be given in the same order in which the documents were enumerated in the preceding sentence, with the
highest priority being accorded to the Award Letter and its attachments, if any.

Section I. Recipient Agrees to Certain Terms and Conditions
The Recipient expressly acknowledges its agreement to the Grant Agreement Terms & Conditions contained in Section 5.1 of
the grant solicitation.


Section II. Amount of Financial Assistance
The Department shall provide financial assistance to the Recipient in an amount not to exceed ___________________. The
State of Florida’s obligation to pay this amount is contingent upon an annual appropriation by the Legislature and the
availability of funds. The Recipient shall provide records to the Department evidencing that all funds provided by this
agreement have been used for the purposes, and in the amounts, described in the Approved Budget. The Recipient shall vary
from the Approved Budget only with the prior written consent of the Department which must be obtained in each separate
instance.


Section III. Representatives of the Parties
Official Payee and Representatives (Names, Addresses, Telephone Numbers, and e-mail addresses):

1.        The Recipient name, as shown on this agreement, and         3. The name, address, telephone number and e-mail address of the
mailing address of the official payee to whom the payment shall be    grant manager for the department for this agreement is:
made is:
Name:                                                                 Name:
Address:                                                              Address:


City:       State:   Zip Code:        Phone:        ext:              City:       State:    Zip Code:        Phone:        ext:

                                                                      e-mail:
2. The name of the contact person and street address where            4. The name, address, telephone number and e-mail of the
Recipient’s financial and administrative records are maintained is:   representative of the Recipient responsible for administration of the
                                                                      program under this agreement is:
Name:
                                                                      Name:
Address:                                                              Address:


City:       State:   Zip Code:        Phone                           City:       State:    Zip Code:        Phone:
                                        ext:                                                                    ext:

e-mail:                                                               e-mail:
                                                                      Recipient CEO/CFO e-mail:


Upon change of representatives (names, addresses, telephone numbers and e-mail addresses) by either party, notice shall be
provided in writing to the other party and the notification attached to the originals of this Agreement.

Section IV. Termination
This agreement may be terminated by either party without cause upon no less than 30 calendar days written notice to the
other, said notice to be delivered by the U.S. Postal Service, or an expedited delivery carrier with evidence of completed
delivery in either instance. In the event funds used to support this agreement become unavailable the Department may
terminate this agreement upon no less than 24 hours notice, in writing, to the Recipient. In the event the Recipient fails to
comply with the terms and conditions of this agreement the Department may terminate the agreement upon no less than 24
hours (excluding Saturday, Sunday, and Holidays) notice in writing to the Recipient. The Department must specify in its notice


                                                                                                        Appendix B to CFOP 75-7
the circumstances and conditions pertaining to the termination for failure to comply. The department’s failure to demand
performance of any provision of this agreement shall not be deemed a waiver of such performance nor shall the department’s
waiver of any one breach of any provision of this agreement be deemed to be a waiver of any other breach and neither event
shall be construed to be a modification of the terms and conditions of this agreement. The provisions herein do not limit the
department’s right to remedies at law or in equity

Section V. Duration of the Grant Agreement
This Agreement shall begin on the date on which the last of the parties affixes its signature and shall end on
___________________________ unless otherwise terminated in accordance with Section IV.

Section VI. Notice
Any notice that is required under this agreement shall be in writing, and sent by U.S. Postal Service or any expedited delivery
service that provides verification of delivery or by hand delivery. Said notice shall be sent to the representative of the recipient
responsible for administration of the grant, to the designated address contained in this agreement.

Section VII. Modification, Amendment, and Entirety of the Agreement
This agreement may only be modified or amended in writing with such modifications or amendments duly signed by both
parties. This agreement and its attachments, _____________, and any referenced exhibits, together with any documents
incorporated by reference, constitute the entirety of the agreement. There are no other terms or conditions other than those
contained herein. This agreement supersedes all previous communication and representations. If any term or condition is
legally determined to be unenforceable all remaining terms and conditions remain in full force and effect.

By signing this agreement the parties agree they have read and agree to the entirety as described above.
IN WITNESS THEREOF, the parties have caused this ___ page agreement to be executed below.


RECIPIENT:                                                        FLORIDA DEPARTMENT OF CHILDREN AND FAMILIES
___________________________________________________
___________________



Signature:                                                        Signature:


Print/Type                                                        Print/Type
Name:                                                             Name:
Title:                                                            Title:

Date:                                                             Date:



STATE AGENCY 29 DIGIT FLAIR CODE:
Federal Tax ID # (or SSN):                                                 Recipient Fiscal Year Ending Date:     /   .




                                                                B-2
        DEPARTMENT OF CHILDREN AND FAMILIES STANDARD GRANT AGREEMENT TERMS & CONDITIONS


I. THE RECIPIENT AGREES:

          A. Grant Agreement
          It will comply with the provisions of the Department’s grant solicitation identified above and will perform all activities,
terms, and conditions, described by the Recipient in its response thereto, unless otherwise specifically superseded by the
provisions set forth in any attachments or exhibits to this agreement. If the Recipient submitted an unsolicited grant
application to the Department, the Recipient shall perform all activities, terms, and conditions, described by the Recipient in its
application unless otherwise specifically superseded by the provisions set forth in any attachments or exhibits to this
agreement.

          B. State of Florida Law, Jurisdiction, and Venue
          This agreement is executed and entered into the State of Florida and shall be construed, performed, and entered in
all respects in accordance with the Florida law including provisions for conflict of laws. Courts of competent jurisdiction in
Florida shall have exclusive jurisdiction in any action regarding this contract. Venue is the appropriate state court in Leon
County, Florida.

          C. Federal Law and Prohibitions Against Lobbying
          If this agreement is funded by the use of federal funds the Recipient shall comply with any and all of the provisions of
federal law and regulation including, but not limited to 45 CFR, Parts 74 and 92, the Clean Air Act and Federal Water Pollution
Control Act as applicable, the Energy, Policy and Conservation Act (Public Law 94-163) and any Executive Orders pertaining
to the use of the grant funds. No federal funds may be used by the Recipient or its employees or agents for lobbying
Congress of the Florida Legislature. The Recipient shall not employ unauthorized aliens. The Recipient shall comply with all
laws, orders, and regulations pertaining to Equal Employment Opportunity. If applicable, the Recipient shall comply with the
Pro-Children Act of 1994.

          D. Audits, Inspections, Investigations, Monitoring, Records, and Retention
          The Recipient shall maintain books, records, documents, and electronic storage media, hereinafter “records,”
sufficient to reflect all income and expenditures of funds provided by the Department under this agreement and to demonstrate
the satisfactory performance of all activities required by this agreement. The Recipient shall maintain such records for a
period not less than six (6) years after completion or termination of the agreement, unless a longer retention period is
mandated by state or federal law or regulation. The Recipient shall make all records available for inspection by the
Department, persons duly authorized by the Department, federal authorities, or law enforcement personnel upon demand. At
no additional cost to the Department the Recipient shall make and supply such copies of records as may be necessary for
investigations, audits, program reviews, and compliance determinations to any organization or person duly authorized to
inspect the records. The Recipient shall comply with the requirements of Chapter 119, F.S. The Recipient shall fully
cooperate with the Department’s agreement monitoring activities.

          E. Indemnification and Insurance
          To the extent permitted by Florida Law, the Recipient shall be fully liable for the actions of its agents, employees,
partners, or subcontractors and shall fully indemnify, defend, and hold harmless the State and Department, and their officers,
agents, and employees, from suits, actions, damages, and costs of every name and description, including attorneys’ fees,
arising from or relating to any alleged act or omission by the Recipient, its agents, employees, partners, or subcontracts,
provided, however, that the Recipient shall not indemnify for that portion of any loss or damages proximately caused by the
negligent act or omission of the State or a Department.
          The Recipient’s obligations under the preceding paragraph with respect to any legal action is contingent upon the
State or Department giving the Recipient (1) written notice of any action or threatened action, (2) the opportunity to take over
and settle or defend any such action at Recipient’s sole expense, and (3) assistance in defending the action at Recipient’s sole
expense. The Recipient shall not be liable for any cost, expense, or compromise incurred or made by the State or Department
in any legal action without the Recipient’s prior written consent, which shall not be unreasonably withheld.
          The Recipient’s inability to evaluate liability or its evaluation of liability shall not excuse its duty to defend and
indemnify after receipt of notice. Only an adjudication or judgment after the highest appeal is exhausted finding the
department negligent shall excuse the Recipient of performance under this provision, in which case the State and Department
shall have no obligation to reimburse the Recipient for the cost of their defense. If the Recipient is an agency or subdivision of
the State, its obligation to indemnify, defend and hold harmless the department under this Section 19 shall be to the extent
permitted by law.
           The Recipient shall determine the type(s) and extent of liability insurance necessary to provide reasonable financial
protection for the Recipient and any persons that may be served or affected by this agreement. The Recipient shall maintain
such insurance at its own expense, and shall furnish a copy of the certificate of the existence of such insurance upon request
by the Department. The Department reserves the right to require reasonable additional insurance at any time.


                                                                                                   Appendix C to CFOP 75-7
          F. Risk Prevention and Incident Reporting
          If the Recipient provides any services directly to clients, the Recipient shall comply with CFOP 215-6 for establishing
risk prevention and reporting any incident listed in CFOP 215-6. The Recipient shall immediately report any knowledge or
reasonable suspicion of abuse, neglect, or exploitation of a child, aged person, or disabled adult to the Florida Abuse Hotline
at telephone number 1-800-96ABUSE. This requirement applies to both the Recipient and its employees.

         G. Confidentiality of Client Information
         The Recipient shall not use or disclose any information concerning any clients or persons served by occasion of this
agreement for any purpose prohibited by state or federal law or regulations except with the prior written consent of a person
legally empowered to give that consent or when authorized by law.

           H. Assignments and Subcontracts
           This contract is for the provision of financial assistance to the Recipient who may not assign the agreement, any
portion of this agreement, the activities performed, or any payment. The Recipient may subcontract work relevant to the
agreement only with the prior written consent of the Department. The Recipient is responsible for the performance of all
actions, work, or duties regardless of whether such consent has been sought or granted. The State of Florida may assign or
transfer, in whole or in part, its rights, duties, and obligations to another governmental entity of the State of Florida by giving
written notice to the Recipient. Such transfer or assignment does not affect the Recipient’s obligation to properly complete
work and perform in accordance with the terms of this agreement. The Recipient shall include or cause to be included in
subcontracts (at any tier) the substance of all clauses contained in this agreement that mention or describe subcontract
compliance.

          I. Civil Rights Requirements
          The Recipient shall comply with all civil rights laws, regulations, and orders including, but not limited to, Title VII of the
Civil Rights Act of 1964, the Americans with Disabilities Act of 1990, the Florida Civil Rights Act of 1992, and 45 CFR Parts 80,
83, 84, 90, and 91. The Recipient shall not discriminate against any employee or applicant on the basis of race, color, gender,
national origin, disability, age, or marital status.

           J. Independent Capacity of the Recipient
           The Recipient is an independent contractor. The Recipient shall act as an independent contractor and not as an
officer or employee of the State of Florida. The Recipient shall not represent to others that it has the authority to bind the
Department unless specifically authorized in writing to do so. The Recipient is not entitled to any benefits reserved for state
officers, employees, or personnel, (e.g. leave, retirement, health care) or support services (e.g. office space, supplies,
telephone service, clerical support). These provisions apply to the Recipient, its employees, agents, subcontractors, and
assigns.

           K. Sponsorship and Publicity
           The Recipient shall provide appropriate recognition of the role state funds play in publicizing or advertising any
program or activities supported by the grant funds. Sponsorship material shall state “Sponsored by (Recipient’s name) and
the State of Florida Department of Children and Families.” The Department’s name shall appear in the same size and type
letters as that of the Recipient. The Recipient shall not convey, represent, or claim that it is approved or endorsed by the State
of Florida or the Department, nor shall it permit others, on its behalf, to do so, whether directly or indirectly. The Recipient is
not entitled to use the state’s name or mark for any purpose without obtaining prior written consent in each separate instance.

        L. Gratuities
        The Recipient shall not offer or provide any gift to any Department employee or officer of the State of Florida
throughout the period of this agreement and for two years thereafter. The Recipient shall ensure that its employees and
subcontractors, if any, comply with this prohibition.

          M. Patents, Copyrights, and Royalties
          If any patent arises or is developed, in whole or in part, as the result of the funds awarded by this agreement, the
Recipient agrees that it will refer the patent to the Florida Department of State to determine whether patent protection will be
sought in the state or federal government’s name. All copyrighted materials produced or arising as a result of the funds
awarded by this agreement are hereby reserved to the State of Florida or federal government and shall be referred to the
Department of State. The Recipient shall fully indemnify, defend, and hold harmless the State and Department from any suits,
actions, damages, and costs of every name and description, including attorneys’ fees, arising from or relating to violation or
infringement of a trademark, copyright, patent, trade secret or intellectual property right, provided, however, that the foregoing
obligation shall not apply to a Department’s misuse or modification of Recipient’s products or a Department’s operation or use
of Recipient’s products in a manner not contemplated by the Contract or the purchase order. If any product is the subject of
an infringement suit, or in the Recipient’s opinion is likely to become the subject of such a suit, the Recipient may at its sole
expense procure for the Department the right to continue using the product or to modify it to become non-infringing. If the
Recipient is not reasonably able to modify or otherwise secure the Department the right to continue using the product, the
Recipient shall remove the product and refund the Department the amounts paid in excess of a reasonable rental for past use.
The Department shall not be liable for any royalties.


                                                                 C-2
          N. Information Security Obligations
          The Recipient shall designate an appropriately skilled individual to act as its Data Security Officer who shall act as a
liaison to the Department’s security staff and who will establish and maintain an appropriate level of security for all data related
to this agreement collected or obtained by the Recipient. The Recipient shall provide necessary data security training to its
employees and affiliates. Recipient employees who have access to departmental information shall comply with CFOP 50-2
and shall sign the security agreement forms described therein.

        O. Health Insurance Portability and Accountability Act
        The Recipient shall, where applicable, comply with the Health Insurance Portability and Accountability Act (42 U.S.C.
1320d) as well as all regulations promulgated pursuant to the act (45 CFR Parts 160, 162, and 164).

          P. Emergency Preparedness
          If the Recipient provides any services directly to clients, the Recipient shall develop and submit to the Department an
emergency preparedness plan not later than 30 days after execution of this agreement and updated plans shall be submitted
at least annually thereafter. The Department agrees to respond in writing within 30 days of receipt of the plan accepting,
rejecting, or requesting modifications. The emergency preparedness plan shall, if implemented, enable the Recipient to
continue functioning, assure the safety and well-being of clients served, and ensure that the Department is fully informed at all
times.

          Q. Whistleblower’s Act Requirements
          In accordance with section 112.3187(2), Florida Statutes (F.S.), agencies or independent contractors shall not
retaliate against an employee for reporting violations of law to an appropriate agency that creates substantial and specific
danger to the public’s health, safety, or welfare. Furthermore, agencies or independent contractors shall not retaliate against
any person who discloses information to an appropriate agency alleging improper use of governmental office, gross waste of
funds, or any other abuse or gross neglect of duty on the part of an agency, public officer, or employee. Employees and
persons may file with the Office of Chief Inspector General, Agency Inspector General, the Florida Commission on Human
Relations or the Whistle-blower’s Hotline number at 1-800-543-5353.

           R. Support to the Deaf or Hard-of-Hearing
           (1) The provider and its partners, subcontractors, and agents shall comply with section 504 of the Rehabilitation Act
of 1973, 29 U.S.C. 794, as implemented by 45 C.F.R. Part 84 (hereinafter referred to as Section 504), the Americans with
Disabilities Act of 1990, 42 U.S.C. 12131, as implemented by 28 C.F.R. Part 35 (hereinafter referred to as ADA), and the
Children and Families Operating Instruction (CFOP) 60-10, Chapter 4, entitled “Auxiliary Aids and Services Persons with
Hearing Impairment.”
           (2) The provider shall, if the provider or any of its partners, subcontractors, or agents employs 15 or more
employees, designate a Single-Point-of-Contact (one per firm) to ensure effective communication with deaf or hard-of-hearing
Departments or companions in accordance with Section 504, the ADA, and CFOP 60-10, Chapter 4. The name and contact
information for the provider’s Single-Point-of-Contact shall be furnished to the department’s Grant or Contract Manager within
14 calendar days of the effective date of this requirement.
           (3) The provider shall, within 30 days of the effective date of this requirement, contractually require that its partners,
subcontractors and agents comply with section 504, the ADA, and CFOP 60-10, Chapter 4. A Single-Point-of-Contact shall be
required for each partner, subcontractor or agent that employs 15 or more employees. This Single-Point-of-Contact will
ensure effective communication with deaf or hard-of-hearing Departments or companions in accordance with Section 504 and
the ADA and coordinate activities and reports with the provider’s Single-Point-of-Contact.
           (4) The Single-Point-of-Contact shall ensure that employees are aware of the requirements, roles & responsibilities,
and contact points associated with compliance with Section 504, the ADA, and CFOP 60-10, Chapter 4. Further, employees
of providers, its partners, subcontractors, and agents with 15 or more employees shall attest in writing that they are familiar
with the requirements of Section 504, the ADA, and CFOP 60-10, Chapter 4. This attestation shall be maintained in the
employee’s personnel file.
           (5) The provider’s Single-Point-of-Contact will ensure that conspicuous Notices which provide information about the
availability of appropriate auxiliary aids and services at no-cost to the deaf or hard-of-hearing Departments or companions are
posted near where people enter or are admitted within the agent locations. Such Notices must be posted immediately, but not
later than March 12, 2010, with respect to current providers (partners, subcontractors, and agents). The approved Notice can
be downloaded through the Internet at: http://www.dcf.state.fl.us/admin/ig/civilrights.shtml.
           (6) The provider and its partners, subcontractors, and agents shall document the Department’s or companion’s
preferred method of communication and any requested auxiliary aids/services provided in the Department’s record.
Documentation, with supporting justification, must also be made if any request was not honored. The provider shall submit
Compliance Reports monthly, not later than the 15th day of each month, to the department’s Grant or Contract Manager. The
provider shall distribute Department Feedback forms to Departments or companions, and provide assistance in completing the
forms as requested by the Department or companion.
           (7) If Departments or companions are referred to other agencies, the provider must ensure that the receiving agency
is notified of the Department’s or companion’s preferred method of communication and any auxiliary aids/service needs.




                                                                C-3
II. THE DEPARTMENT AND THE RECIPIENT AGREES AS FOLLOWS:

          A. Grant Amount, Funds Disbursement, and Compliance with State Comptroller Requirements
          (1) The Department shall provide financial assistance to the Recipient in an amount not to exceed the amount stated
in the Award Letter, if any. The Sate of Florida’s obligation to pay this amount is contingent upon an annual appropriation by
the Legislature and the availability of funds. The Recipient shall provide records to the Department evidencing that all funds
provided by this agreement have been used for the purposes, and in the amounts, described in the Recipient’s proposed
budget. The Recipient shall vary from the Approved Budget only with the prior written consent of the Department which must
be obtained in each separate instance.
          (2) The parties shall comply with Section 215.97, F.S. Expenditures of state financial assistance shall comply with
laws, rules, and regulations applicable to expenditures of state funds, including, but not limited to, the Reference Guide for
State Expenditures. All funds charged to this agreement must be allowable and must result from obligations incurred during
the term of the agreement. Any balances or unobligated cash that have been advanced or paid that are not authorized for
retention for direct program costs in a subsequent period must be refunded to the Department.

           B. Return of Funds
           The Recipient shall promptly return to the Department any overpayments due to unearned funds, disallowed or
ineligible expenditures, or accounting or record keeping errors. The Recipient shall return such excess funds immediately
upon discovery by it or its employees or upon receiving written notice from the Department.

          C. Termination
          This agreement may be terminated by either party without cause upon no less than 30 calendar days written notice to
the other, said notice to be delivered by the U.S. Postal Service, or an expedited delivery carrier with evidence of completed
delivery in either instance. In the event funds used to support this agreement become unavailable the Department may
terminate this agreement upon no less than 24 hours notice, in writing, to the Recipient. In the event the Recipient fails to
comply with the terms and conditions of this agreement the Department may terminate the agreement upon no less than 24
hours (excluding Saturday, Sunday, and Holidays) notice in writing to the Recipient. The Department must specify in its notice
the circumstances and conditions pertaining to the termination for failure to comply. The department’s failure to demand
performance of any provision of this agreement shall not be deemed a waiver of such performance nor shall the department’s
waiver of any one breach of any provision of this agreement be deemed to be a waiver of any other breach and neither event
shall be construed to be a modification of the terms and conditions of this agreement. The provisions herein do not limit the
department’s right to remedies at law or in equity.

         D. Severability
         If a court deems any provision of the Contract void or unenforceable, that provision shall be enforced only to the
extent that it is not in violation of law or is not otherwise unenforceable and all other provisions shall remain in full force and
effect.

          E. Modification, Amendment, and Entirety of the Agreement
This agreement may only be modified or amended in writing with such modifications or amendments duly signed by both
parties. The Award Letter, and any referenced exhibits, together with any documents incorporated by reference in the Award
Letter, constitute the entirety of the agreement. There are no other terms or conditions other than those contained herein.
This agreement supersedes all previous communication and representations between the parties or their representatives.




                                                                 C-4

				
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