TO: STATE AGENCIES ON AGING ADMINISTERING PROGRAMS FOR THE PROTECTION
OF ELDER RIGHTS UNDER TITLE VII OF THE OLDER AMERICANS ACT OF
1965, AS AMENDED
SUBJECT: Cooperative Agreements with State Agencies on Aging
to Support Outreach and Education, Training, Technical Assistance,
and Capacity Building to Prevent and Combat Health Care Fraud,
Waste, and Abuse
LEGAL AND RELATED
REFERENCES: Older Americans Act, as Amended (Public Law 102-375);
Health Insurance Portability and Accountability Act (Public Law
This program instruction advises you of the intent of the Administration
on Aging (AoA) to invite state agencies on aging to act on behalf
of the aging network in their states and join the Department of
Health and Human Services (DHHS) and the AoA in a national effort,
now underway, to prevent and combat health care fraud, waste,
and abuse. Each state agency on aging may apply for funding of
up to $150,000 (up to $50,000 in each year of a three-year project
period) in support of training, outreach, technical assistance,
and capacity building activities. Guidelines for preparing and
submitting the cooperative agreement application, for funding
by the AoA, are enclosed.
On August 21, 1996, President Clinton signed into law legislation
coauthored by Senators Kennedy and Kassebaum, the Health Insurance
Portability and Accountability Act (HIPAA) of 1996 (Public Law
104-191). The legislation, among other purposes, guarantees the
portability of health insurance, allows workers to maintain insurance
coverage if they lose or leave their jobs, establishes a pilot
program for medical savings accounts, increases the deductibility
of health insurance for the self-employed, and provides tax breaks
to increase the use of long-term care insurance.
Of particular interest, the legislation also includes various
health care fraud and abuse-related provisions. One anticipated
result of the HIPAA will be to expand Operation Restore Trust
(ORT) nationwide, by providing a stable source of funds, and creating
a Health Care Fraud and Abuse Control Program to combat health
care fraud and abuse in Medicare, Medicaid and other health care
programs. The Program is being jointly coordinated by the Secretary
of the DHHS and the Attorney General. It has a fiscal year (FY)
1997 funding of $104 million, to be drawn from the Medicare Trust
Fund, for (1) coordinating federal, state and local law enforcement
programs to control fraud and abuse with respect to health care
plans; (2) conducting investigations, audits, evaluations and
inspections relating to the delivery of and payment for health
care; (3) facilitating enforcement of civil, criminal and administrative
statutes applicable to health care fraud and abuse; (4) providing
industry guidance relating to fraudulent health care practices;
and (5) establishing a national data bank to receive and report
final adverse actions against health care providers.
The Program is authorized for seven years through FY 2003. In
the DHHS implementation of the Program, the AoA has a collaborative
role to play with both the Office of Inspector General (OIG) and
the Health Care Financing Administration (HCFA). Beginning in
FY 1997, with an allocation of $1.1 million, and continuing during
the course of the Program, the AoA, acting in concert with OIG
and HCFA, will focus its activities on strengthening the roles
played by older persons, their families and caregivers, and the
aging network in combatting health care fraud and abuse. Specifically,
the AoA will concentrate on two overall tasks, as successfully
tested during the ORT demonstration in California, Florida, Illinois,
New York and Texas. These are: (1) training and assisting both
paid and volunteer long-term care ombudsmen, benefits counseling
personnel, case managers and other direct service staff, in effectively
recognizing actual and potential practices and patterns of fraud
and abuse, and to advise and assist older persons and their families,
as appropriate; and (2) to engage in outreach and education activities
to educate and empower older persons, their families, and the
communities to recognize fraudulent and abusive situations, and
to prevent or minimize victimization by such behavior.
Our intent is to work in partnership with state agencies on aging,
state long-term care ombudsmen, and others in the aging network,
in mounting an aging network campaign against health care fraud
and abuse. Sufficient funds are available in FY 1997 to begin
project activities in roughly one-third of the states. Our goal,
subject to funds availability, is that a comparable number of
states would be provided start-up funding in FY 1998, with the
third aggregate of states initiating their projects early in FY
1999. The goal is to have our joint effort well underway, across
the nation, by January 1, 2000.
I strongly encourage all state agencies on aging to apply for
INQUIRIES: Inquiries should be addressed to
Regional Administrators on Aging, DHHS Regional Offices
William F. Benson
Acting Principal Deputy Assistant
Secretary for Aging
on Aging (AoA)
Agreement Awards to State Agencies on Aging for the Support of
Training, Technical Assistance, Outreach, Education, and Capacity
Building to Prevent and Combat Health Care Fraud, Waste, and Abuse
These Guidelines have two parts. Part I describes
the program priority, Preventing and Combatting Health Care
Fraud, Waste, and Abuse, under which the AoA is inviting
State Agencies on Aging to submit cooperative agreement award applications
for funding. Part II describes the procedures for preparing
and submitting the application.
All of the forms
(Standard Form 424), Assurances, and Certifications necessary
to complete the application are included following Part II. Project
awards to be made under this program priority beyond fiscal year
(FY) 1997 are subject to the availability of funds.
The deadline date for the
submission of applications is 45 days after the issuance of the
PROGRAM INSTRUCTION to which these guidelines pertain.
Application receipt point: U.S.
Department of Health and Human Services, Administration on Aging,
Office of Administration and Management, 330 Independence Avenue,
S.W., Room 4643, Washington, DC 20201.
A background set of technical assistance and informational
materials helpful in preparing the application is available by
contacting, Department of Health and Human Services, Administration
on Aging, Office of Governmental Affairs and Elder ights, 330
Independence Avenue, S.W., Washington, DC 20201, telephone: (202)
619-3951 or (202) 619-3106.
Part I. Background Information and Program Priority
The statutory authority for awards
made under this program priority is contained in the Older Americans
Act, (42 U.S.C. 3001 et seq.), as amended by the Older Americans
Act Amendments of 1992, Pub.L.102-375, September 30, 1992, and
in the Health Insurance Portability and Accountability Act of
1997, Pub.L. 104-191.
B. Eligible Applicants
Eligibility is limited to State
Agencies on Aging.
C. Level of Funding
State Agencies on Aging submitting acceptable applications
shall each receive up to $50,000 for the first year, up to $50,000
for the second year, and up to $50,000 for the third year of a
three year project cooperative agreement. It is expected that
approximately one-third of the State Agencies on Aging will receive
funding beginning in FY 1997. Subject to the availability of funds,
another third will be funded to begin project activities in FY
1998 and the last complement of SUAs will begin operations in
FY 1999. Funding available for the Virgin Islands, Guam, Palau,
American Samoa, and the Commonwealth of the Northern Mariana Islands
is limited to $10,000 per year.
D. Program Priority Description
Preventing and Combatting Health
Care Fraud, Waste, and Abuse
Based on estimates of the General
Accounting Office, billions of Medicare dollars are lost every
year to waste, fraud and abuse. These losses are due, to a considerable
extent, to the many ways in which the funds are dispersed as well
as to the sheer magnitude of health care expenditures. Both factors
increase the probability of waste while opening wider the opportunities
for fraud and abuse. Those operating unscrupulously in this arena,
intent on obtaining vital health care dollars illegally, have
done so based on the perception that the risks of detection have
lessened over the years. There has been decline in the ability
of governmental agencies to fight waste, fraud and abuse because
of shifting priorities, decreased funding for program administration,
the result of downsizing, etc.
In 1995, the AoA became a partner
in a government-led effort to reverse that trend and to fight
against health care waste, fraud and abuse through implementation
of a two-year health care anti-fraud and abuse demonstration program
called "Operation Restore Trust" (ORT). ORT, announced
by the President at the 1995 White House Conference on Aging,
was a federal-state partnership to combat fraud and abuse in the
Medicare and Medicaid programs. It targeted provider fraud in
nursing homes and home health care services, including hospice
care, and in the durable medical equipment industry. The demonstration
program centered on five states where close to forty percent of
Medicare and Medicaid dollars are expended - New York, Florida,
Texas, Illinois, and California.
ORT combined the efforts of three
agencies within the U.S. Department of Health and Human Services
- the Office of Inspector General (OIG), the Health Care Financing
Administration (HCFA) and the AoA. Another Federal partner was
the Department of Justice. A feature of ORT was also the partnership
between Federal agencies and such state programs and agencies
as long-term care ombudsmen, State Agencies onAging, Medicaid
fraud control units, Attorney General offices, and Medicaid agencies
and health departments. Teams of representatives from these programs
in each target state worked to:
· increase public awareness of
· reduce and prevent the incidence
of such practices;
· detect and punish wrong-doing;
· identify policy weaknesses that
encourage fraud and abuse; and
· encourage self-monitoring and
reporting of fraud by provider companies.
Hundreds of millions of dollars
in savings were achieved through court awards in fraud cases,
decreased up-front billings for fraudulent and wasteful practices,
and other savings and recoupments generated through the ORT initiative.
Aging network agencies, because
of their daily contact with older persons, especially those with
health problems, were vital members of the core federal-state
interdisciplinary team for each of the five states. Those serving
the elderly through programs under the Older Americans Act educated
thousands of older persons and their families about how to recognize
Medicare and Medicaid fraud and what to do when it is detected.
In that way, aging network staff, volunteers and older people
themselves became both effective agents and partners with program
integrity and law enforcement personnel in reducing and preventing
Medicare and Medicaid fraud and abuse.
ORT efforts focused on education
and training to prepare state and local ombudsmen, health insurance
counselors, the network of aging service agencies, older persons
and their families, and others who work directly with older people
to recognize individual instances and patterns of Medicare and
Medicaid waste, fraud and abuse when they encounter it, followed
by a clear understanding of how, and to whom, to refer cases for
investigation. The five states held train-the-trainer sessions
for local ombudsman coordinators, Medicare benefits counselors,
and other key program staff, followed by local training events.
HCFA, OIG, Medicare contractors and state Medicaid agencies and
Attorney General (e.g., Medicaid Fraud Control Unit) staff served
as trainers. Special resource materials were provided to each
trainee. To date, over 4200 persons have been trained in 90 sessions
within the five states, and thousands of older persons were reached
through targeted outreach efforts initiated in New York city,
central Florida, metropolitan Chicago and Los Angeles.
On February 11, 1997, the AoA
announced the availability of funding for a secondanti-fraud and
abuse initiative. This initiative, the Health Care Anti-Fraud,
Waste, and Abuse Community Volunteers' Demonstration Projects,
is intended both to respond to a congressional directive and to
build on the ORT experience. The model activities to be funded
by these projects seek to substantially increase the involvement
of older persons and aging network agencies in support of the
AoA's and HCFA's efforts under ORT to curb losses due to fraud
and abuse. Based on congressional direction, $2 million in Fiscal
Year 1997 was transferred through an intra-agency agreement from
the HCFA to the AoA to facilitate a collaboration of aging network
agencies (State and Area Agencies on Aging), health insurance
counseling programs, senior centers, and other appropriate entities
in carrying out this demonstration program of projects to combat
health care waste, fraud, and abuse. Ten to twelve projects will
be funded in early June 1997.
2) Building on ORT: The Program
to Prevent and Combat Health Care Fraud, Waste and Abuse
The recently-enacted Health Insurance
Portability and Accountability Act (HIPAA) authorizes the continuation
and expansion of anti-fraud, waste, and abuse activities, including
those initiated under ORT. This measure provides funding for AoA
to utilize its uniquely positioned network of community-based
agencies to play a principal role in demonstrating the effectiveness
of education of aging network personnel, consumers and their families
as a long term deterrence of health care fraud and abuse.
AoA's funded activities will build
upon the successful efforts derived from collaborating with the
OIG and the HCFA in planning and conducting fraud and abuse awareness
activities with the State Agencies on Aging. These activities
are (1) intensive training of long term care ombudsmen and ombudsman
volunteers to identify health care providers and suppliers who
render unnecessary services and excessive suppliers; (2) fraud
and abuse awareness training for the staff of other aging network
programs and services -- case management, information and assistance,
senior centers, health insurance counseling and assistance, legal
assistance, etc.; and (3) outreach and education efforts to provide
fraud and abuse information to older persons, their families and
caregivers that will help them on how to recognize instances and
patterns of suspected fraud and abuse and on how to report the
On March 25, 1997, President Clinton
announced plans to send Congress new legislation to fight fraud
and abuse in health. He proposed enactment of the "Medicare-Medicaid
Anti-Waste, Fraud and Abuse Act of 1997." The legislation
would establish tough new requirements for individuals and companies
that wish to participate in the programs, provide new sanctions
against providers who commit fraud and close loopholes that lead
to fraud and abuse. This follows four years of focused efforts
that has helped save more than $20 billion in health care claims
through policy changes, penalties, recoveries, claims denials,
3) Project Objectives and Activities
The Program to Prevent and Combat
Health Care Fraud, Waste and Abuse Program is designed to strengthen
the capability of State Agencies on Aging and other aging network
agencies to plan and carry out a program of provider and consumer
education regarding enforcement efforts against fraud and abuse
in federal and private health care programs. Applications are
sought to recast existing ORT train-the-trainers' models and test
new models for 1) training and assisting both paid and volunteer
long term care ombudsmen, benefits counseling personnel, case
managers and other direct service staff, especially those associated
with the OAA programs and services, in effectively recognizing
actual and potential practices and patterns of fraud and abuse
and to advise and assist older persons and their families, as
appropriate; and 2) engaging in outreach and education activities
to educate and empower older persons, their families, and their
communities to recognize fraudulent and abusive situations and
to prevent or minimize victimization by such behavior. One result
of such training, education and outreach activities will be referrals
to the OIG and other investigative and enforcement agencies, which,
in turn, will lead to various sanctions, recoupments, prosecutions
In every case, the State Agency
on Aging should propose activities which will effectively employ
the unique talents of its ready-made network to empower those
being served to have a greater understanding and expertise necessary
to assess their health care bills and report suspected instances
of waste, fraud and abuse. Examples of practices deserving their
careful scrutiny include protecting Medicare cards, billing for
services not rendered, overcharging for services performed, waiving
patient coinsurance, accepting or paying kickbacks for patient
referrals, and providing inappropriate or unnecessary services.
State Agencies on Aging have considerable
flexibility in pursuing various methods of establishing projects
to prevent and combat health care fraud, waste and abuse. However,
the application should encompass each of the following components:
· state/local planning and coordination
committees among participating agencies of the state's aging network,
including ombudsman programs, area agencies on aging, health insurance
counseling and assistance programs, and senior advocacy groups
· collaborative outreach and education
efforts and linkages to improve public awareness and outreach
· statewide or regional fraud
and abuse train-the-trainers' training to cover such topics as
(a) an overview of the Medicare and Medicaid programs, (b) federal
waste, fraud and abuse provisions, (c) an overview of the state's
health careprograms, (d) issues that affect provision of health
care services, (e) documentation necessary for making referrals
of possible waste, fraud and abuse investigations, and (f) an
overview of the state's system for investigating waste, fraud
· statewide, regional or local
fraud and abuse training for aging network staff;
· the collection, assessment,
and reporting of information regarding key indicators of program
effectiveness; such information would focus on the older consumers
reached by the state program, their demographic characteristics,
and their efforts at recognizing and reporting instances of suspected
waste, fraud and abuse; and
· system(s) to track waste, fraud
and abuse referrals to appropriate federal and state investigative
· plan(s) for measuring the degree
to which objectives have been accomplished.
Approximately one-third of the
State Agencies on Aging will be funded to begin operations in
FY 1997. It is expected those states will be selected from among
the five (5) ORT demonstration states (CA, FL, IL, NY and TX),
the several states where the OIG-Office of Investigations will
open new field offices in FY 1997 (including CT, IA, OH, OK, SC,
and TN), and those states where the HCFA plans to form new fraud
and abuse coordinating committees (AZ, CO, GA, LA, MA, MO, NJ,
PA, VA, and WA). It is the intention of the AoA, provided sufficient
funding is made available, to make project awards to a second
set of states in FY 1998, and to the last aggregate of states
in FY 1999, which would complete the expansion process nationally.
Part II. Guidelines for Preparing and Submitting
Part II contains
guidelines for State Agencies on Aging in preparing and submitting
applications for projects to support training, technical assistance,
and capacity building aimed at preventing and combatting health
care fraud, waste, and abuse. Application forms are also provided
along with instructions for preparing the application package
for submittal to the AoA.
1. Review Process and Considerations
a. Notification: All applicants
will automatically be notified of the receipt of their application
and informed of the identification number assigned to it.
b. Review and Decision-Making
Process: State Agencies on Aging are expected to indicate
in their application their preferred start-up year for the three-year
funding period (i.e., FY 1997, expected start date: August 1,
1997; FY 1998, expected start date: March 1, 1998; FY 1999, expected
start date: January 1, 1999). Acceptable project applications
will be approved for start-up funding, wherever possible, in accordance
with the expressed preference. Applicants may be contacted by
AoA staff to furnish additional information.
c. Timeframe: The State
Agencies on Aging approved for funding beginning in FY 1997 will
be notified 30-40 days after the deadline for submitting their
application. State Agencies on Aging scheduled to begin project
activities in FY 1998 or FY 1999 will be notified no later than
two months before the anticipated start date.
2. Notification Under Executive
This is not a covered program
under Executive Order 12372.
The closing date for submission
of applications is 45 days after the issuance of the PROGRAM
INSTRUCTION to which these guidelines pertain.
State Agencies on Aging are not
required to share in the costs of these projects.
Applications can be either sent
or hand-delivered to the address specified below. Hand-delivered
applications are accepted during the hours of 9:00 a.m. to 5:30
p.m., Monday through Friday.
Department of Health and Human
Administration on Aging
Office of Administration and Management
330 Independence Avenue, S.W., Room 4643
Washington, D.C. 20201
As a state government agency,
the SUA may include indirect charges (costs) in its budget as
determined in accordance with HHS requirements.
To expedite the processing of
applications, we request that you arrange the components of your
application, the original and two copies, in the following order:
o SF 424, Application for Federal
Assistance; SF 424A, Budget, accompanied by your budget justification;
SF 424B (Assurances); and the certification forms regarding lobbying;
debarment, suspension, and other responsibility matters; and drug-free
workplace requirements. Note: The original copy of the
application must have an original signature in item 18d
on the SF 424.
o Project summary description;
o Program narrative;
o Letters of commitment from participating
organizations and agencies;
G. Communications with AoA
All applicants will be notified
(using the information provided by the SF 424, item 5) of the
receipt of their application and informed of the identification
number assigned to it. This number should be referred to in all
subsequent communication with AoA concerning the application.
If acknowledgment is not received within four weeks after the
deadline date, please notify the Office of Governmental Affairs
and Elder Rights by telephone at (202) 619-3106.
H. Completing the Application
In completing the application,
please recognize that the set of standardized forms is prescribed
by the Office of Management and Budget and is not perfectly adaptable
to the particulars of this program. If you need technical help
in completing the forms, please call Al Duncker at (202) 619-1269.
Please prepare your application consistent with the following
1. SF 424, Cover Page:
Complete only the items specified in the following instructions:
Item 1. Preprinted on the
Item 2. Fill in the date
you submitted the application. Leave the applicant identifier
Item 3. Not applicable.
Item 4. Leave blank.
Item 5. Provide the legal
name of the applicant; the name of the primary organizational
unit which will undertake the assistance activity; the applicant
address; and the name and telephone number of the person to contact
on matters related to this application.
Item 6. Enter the employer
identification number (EIN) of the applicant organization as assigned
by the Internal Revenue Service. Please include the suffix to
the EIN, if known.
Item 7. Preprinted on the
Item 8. Preprinted on form.
Item 9. Preprinted on form.
Item 10. Leave blank.
Item 11. The title should
describe concisely the nature of the project. Avoid repeating
the title of the priority area or the name of the applicant. Try
not to exceed 10 to 12 words and 120 characters including spaces
Item 12. Preprinted on
Item 13. Enter the desired
start date for the project, either August 1, 1997, orMarch 1,
1998, or January 1, 1999 and the end date for the project, three
Item 14. List the applicant's
Congressional District and the District(s), if any, directly affected
by the proposed project.
Item 15. All budget information
entered under item #15 should cover only the first 12 months
of the project. The applicant should show the federal support
requested under sub-item 15a. Sub-items 15b-15e are considered
cost-sharing or "matching funds". Cost sharing is at
the discretion of the State Agency on Aging and any organizations
collaborating with the SUA on this project.
Item 16. Preprinted on
Item 17. This question
applies to the applicant organization, not the person who signs
as the authorized representative. Categories of debt include delinquent
audit disallowances, loans and taxes.
Item 18. To be signed by
an authorized representative of the State Agency on Aging.
2. SF 424A - Budget Information
This form (SF424A) is designed
to apply for funding under more than one grant program; thus,
for purposes of this AoA program, most of the budget item columns/blocks
are superfluous and should be regarded as not applicable. The
applicant should consider and respond to only the budget items
for which guidance is provided below.
Section A - Budget Summary and
Section B - Budget Categories should include both federal and
(if applicable) non-federal funding for the proposed project covering
the first 12 months of the 36 month project period.
Section A - Budget Summary
On line 5, enter total Federal
Costs in column (e) and, if applicable, total non-Federal Costs
(including, third party in-kind contributions and program income)
in column (f). Enter the total of columns (e) and (f) in column
Section B - Budget Categories
Use only the last column under
Section B, namely the column headed Total (5), toenter the total
requirements for funds (combining the federal share with, if applicable,
costs borne by the applicant and cash contributions of any and
all third parties involved in the project, including sub-grantees,
contractors and consultants) by object class category. Show the
totals in row 6-k, column 5.
If applicable, under row 7, Program
Income/Third Party In-Kind, column 5, include any in-kind (third
party) contributions and program income shown in Item 15 (d) (e)
and (f) on the face sheet of the SF 424.
A separate budget justification
sheet(s) should be included which shows in three columns the
breakdown of budget cost items by federal, non-federal (if applicable),
and total funds. The rest of this separate budget presentation
should fully explain the major budget items: personnel, travel,
other, etc., as outlined below. The column for non-federal funds
shown for any of the budget line items in the budget justification
sheet reflects only cash match contributions (see instructions
above for item 15 on the face sheet of the SF 424). Third party
in-kind contributions and program income designated as non-federal
match contributions should be identified and justified separately
from the justification for the budget line items. The full budget
justification should be included in the application immediately
follow the SF 424 budget forms.
Line 6a - Personnel: Enter
total costs of salaries and wages of applicant/grantee staff.
Do not include the costs of consultants, which should be included
under 6h - Other.
the project director, if known. Specify the key staff, their titles,
and time commitments in the budget justification.
Line 6b - Fringe Benefits:
Enter the total costs of fringe benefits unless treated as part
of an approved indirect cost rate.
a break-down of amounts and percentages that comprise fringe benefit
costs, such as health insurance, FICA, retirement insurance, etc.
Line 6c - Travel: Enter
total costs of out-of-town travel (travel requiring per diem)
for staff of the project. Please set aside travel funds for an
annual meeting in Washington, D.C. of Project Directors (the date
to be mutually agreed upon). Do not enter costs for consultant's
travel or local transportation.
the total number of trips, destinations, length of stay, transportation
costs and subsistence allowances.
Line 6d - Equipment: Enter
the total costs of all equipment to be acquired by the project.
Equipment is defined as non-expendable tangible personal property
having a useful life of more than two years and an acquisition
cost of $5,000 or more per unit. If the item does not meet the
$5,000 threshold, include it in your budget as part of supplies.
to be purchased with federal funds must be justified as necessary
for the conduct of the project. The equipment, or a reasonable
facsimile, must not be otherwise available to the applicant or
its sub-grantees. The justification also must contain plans for
the use or disposal of the equipment after the project ends.
Line 6e - Supplies: Enter
the total costs of all tangible expendable personal property (supplies)
other than those included on line 6d.
Line 6f - Contractual:
Enter the total costs of all contracts, including (1) procurement
contracts (except those which belong on other lines such as equipment,
supplies, etc.) and, (2) contracts with secondary recipient organizations
including delegate agencies. Also include any contracts with organizations
for the provision of technical assistance. Do not include payments
to individuals on this line.
Justification: Attach a
list of contractors indicating the name of the organization, the
purpose of the contract, and the estimated dollar amount. If the
name of the contractor, scope of work, and estimated costs are
not available or have not been negotiated, indicate when this
information will be available. Whenever the applicant/grantee
intends to delegate a substantial part (one-third, or more) of
the project work to another agency, the applicant/grantee should
provide a completed copy of Section B, Budget Categories for each
contractor, along with supporting information.
Line 6g - Construction:
Leave blank since new construction is not allowable and federal
funds are rarely used for either renovation or repair.
Line 6h - Other: Enter
the total of all other costs. Such costs, where applicable, may
include, but are not limited to: insurance, medical and dental
costs; noncontractual fees and travel paid directly to individual
consultants; local transportation (all travel which does not require
per diem is considered local travel); space and equipment rentals;
printing and publication; computer use; training and staff development
Line 6i - Total Direct Charges:
Show the totals of Lines 6a through 6h.
Line 6j - Indirect Charges:
Enter the total amount of indirect charges (costs), if any. If
no indirect costs are requested, enter "none."
Line 6k - Total: Enter
the total amounts of Lines 6i and 6j.
Line 7 - Program Income/Third
Party In-Kind Contributions: Estimate the amount of income,
if any, expected to be generated from this project which you wish
to designate as match (equal to the amount shown in Item 15 (f)
on SF 424) and combine that with third party in-kind contributions,
Non-match anticipated program
income should be described in the Level of Effort section of the
Section C - Non-Federal Resources
Line 12 - Totals: If applicable,
enter amounts of non-federal resources that will be used in carrying
out the proposed project. Do not include program income unless
it is used to meet match requirements.
Section D - Forecasted Cash
Needs: Not applicable.
Section E - Budget Estimate
of Federal Funds Needed for Balance of the Project
Complete this section since the
total project period encompasses three funding periods.
Line 20 - Totals: Enter
the estimated required federal funds for the period covering
months 13 through 24 under column "(b) First," [and
for the period covering months 25 through 36 under column "(c)
Section F - Other Budget Information
Line 21 - Direct Charges:
Line 22 - Indirect Charges:
Enter the type of indirect rate (provisional, predetermined, final
or fixed) to be in effect during the funding period, the base
to which the rate is applied, and the total indirect costs.
Line 23 - Remarks: Provide
any other explanations or comments deemed necessary.
3. SF 424B - Assurances
SF 424B, Assurances--Non-Construction
Programs, contains assurances required of applicants. Please note
that a duly authorized representative of the applicant organization
must certify that the applicant is in compliance with these assurances.
4. Certification Forms
Certifications are required of
the applicant regarding (a) lobbying; (b) debarment, suspension,
and other responsibility matters; and (3) drug-free workplace
requirements. Please note that a duly authorized representative
of the applicant organization must attest to the applicant's compliance
with these certifications.
5. Project Summary Description
The project summary description
(page one) begins the substantive part of the application. It
should be headed by two identifiers: (1) the name of the applicant
organization as shown in SF 424, item 5 and (2) the program priority,
namely, Preventing and Combatting Health Care Fraud, Waste,
and Abuse. Please limit the summary description to one
page with a maximum of 1,200 characters, including words,
spaces, and punctuation.
Be specific and succinct. Outline
the objectives of the project, the approaches to be used and the
outcomes expected. At the end of the summary, list major products
that will result from the proposed project (such as manuals, data
collection instruments, training packages, audio-visuals, software
packages). The project summary description, together with the
information on the SF 424, becomes the project "abstract"
which is entered into AoA's computer data base. The project description
provides the reviewer with an introduction to the substantive
parts of the application. Therefore, care should be taken to produce
a summary which accurately and concisely reflects the proposal.
6. Program Narrative
The Program Narrative is the critical
part of the application. It should be clear, concise, and, of
course, responsive to the program priority as described above
under Part I, D, pp 2-6. The narrative should cover: (A) the project's
purpose(s), relevance, significance, and responsiveness to the
program priority; (B) the workplan/approach(es) the project will
follow to achieve its purpose(s); (C) the anticipated outcomes/results/benefits
of the project and how these will be disseminated and utilized,
and; (D) the level of effort needed to carry out the project,
in terms of the Project Director and other key staff, funding,
and other resources.
Please have the narrative typed, double-spaced, on one
side of 8 1/2" x 11" plain white paper with 1"
margins on both sides. All pages of the narrative (including charts,
tables, etc.) should be sequentially numbered, beginning with
"Objectives and Need for Assistance" as page number
two (2). At the close of the project narrative, please identify
the author(s) of the proposal, their relationship with the applicant,
and the role they will play, if any, should the project be funded.