Opportunity Information: Apply for D15AP00008
Apply for D15AP00008
- The Department of the Interior in the law, justice and legal services sector is offering a public funding opportunity titled "Estate Planning Services for American Indians and Alaska Natives" and is now available to receive applicants.
- Interested and eligible applicants and submit their applications by referencing the CFDA number(s): 15.155 Office of the Special Trustee for American Indians, Field Operations.
- This funding opportunity was created on Jan 12, 2015 and posted on Dec 31, 2014.
- Applicants must submit their applications by Jan 22, 2015. (Agency may still review applications by suitable applicants for the remaining/unused allocated funding in 2026.)
- The number of recipients for this funding is limited to 1 candidate(s).
- Eligible applicants include: Others (see text field entitled Additional Information on Eligibility for clarification).
- In accordance with 25 U.S. C. 2206. Descent and distribution, (f) Estate planning assistance, (3) Probate code development and legal assistance grants, the DOI Secretary may award grants to a. Indian tribes, for purposes of tribal probate code development and estate planning services to tribal members b. Organizations that provide legal assistance services for Indian tribes, Indian organizations, and individual owners of interests in trust or restricted lands that are qualified as nonprofit organizations under section 501(c)(3) of the Internal Revenue Code of 1986 and provide such services pursuant to Federal poverty guidelines, for purposes of providing civil legal assistance to such Indian tribes, individual owners, and Indian organizations for the development of tribal probate codes, for estate planning services or for other purposes consistent with the service they provide to Indians and Indian tribes and c. In specific areas and reservations where qualified nonprofit organization referred to in subparagraph (b) do not provide such legal assistance to Indian tribes, Indian organizations, or individual owners of trust or restricted land, to other providers of such legal assistance.
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Opportunity Summary:
The Department of the Interior (DOI), through the Office of the Special Trustee for American Indians (Field Operations), offered a discretionary grant opportunity (Funding Opportunity Number D15AP00008; CFDA 15.155) focused on expanding estate planning services for American Indians and Alaska Natives who own trust or restricted assets. The underlying policy driver is the American Indian Probate Reform Act of 2004 (AIPRA), which changed federal probate rules for trust estates with the goal of keeping Indian lands in trust and reducing the steady growth of fractionated ownership interests (where a single tract ends up split among many heirs over generations). The program’s practical aim is to help eligible landowners create wills and take other lawful steps, such as transferring interests by gift deed, so their property is not left to default federal or tribal intestacy rules that can further fragment ownership. The statutory authority cited is 25 U.S.C. 2206(f)(3), which authorizes probate code development and legal assistance grants connected to descent and distribution.
For FY 2015, DOI expected to make one grant award, capped at $350,000, with a performance period running from the date of award through September 30, 2015. The selected grantee would act as the Project Administrator and would be responsible for building and managing an estate planning program that delivers services directly or through subrecipients (legal service providers). The work is organized around four major objectives: (1) preparing an implementation plan, (2) coordinating service delivery, (3) monitoring and reporting on provider performance and grant effectiveness, and (4) producing final reporting and recommendations for a future-year program.
A major deliverable is an “Implementation Plan for Estate Planning in Indian Country.” This plan has to identify which communities will be served and justify why, emphasizing places with significant numbers of resident beneficiaries who own fractionated interests (including highly fractionated tracts), communities that are remote or have limited access to estate planning resources, and consideration of whether the area has an active Tribal Fractionation Reduction Program. The plan also needs to lay out realistic cost and staffing estimates, training and logistical needs, outreach strategies, the preferred service delivery approach by community, how subrecipients will be selected and used, where tailored training and guidance will be provided, and a timeline showing when services will be delivered to each community. DOI also expects applicants to include practical management tools, such as a sample monthly reporting form for service providers and a discussion of likely issues by region or community that could affect delivery.
Once funded, the grantee must coordinate actual estate planning service delivery across the selected priority communities. That includes identifying and organizing qualified legal service providers, training them, and ensuring they can conduct outreach events in Indian communities. The core services to beneficiaries are spelled out clearly: education about AIPRA and estate planning options; preparation of wills and codicils; counseling and assistance on gift deed transfers (a tool that can consolidate interests during life); and counseling and assistance regarding estate management more broadly. The emphasis is not only on individual legal documents, but also on using estate planning as a land-consolidation strategy to prevent further fractionation.
The monitoring and accountability expectations are substantial. The grantee must track expenditures by legal service provider and collect monthly provider reports, then roll that information into quarterly reports to DOI. Those reports must address how effectively funds are being used and quantify outputs such as the number of beneficiaries served, how many of those beneficiaries owned fractionated interests, the approaches used to address fractionation (for example, wills versus gift deed transfers), and the number of estate plans prepared versus actually executed. DOI also requires detail on staffing and effort (number of individuals providing services and hours spent), outreach activity (number and locations of outreach programs), and training activity (locations, agendas, where training was delivered, and number of trainees), along with additional information DOI may request. Beyond routine reporting, the grantee must communicate project issues at least quarterly and coordinate and review audit results.
At the end of the performance period, the grantee must submit a final summary report describing overall FY 2015 performance, including a brief assessment of each legal service provider’s effectiveness. The final package must also include forward-looking recommendations for how estate planning programs could be structured or launched in FY 2016, effectively using the FY 2015 experience to shape the next round of work.
Eligibility is limited to specific categories described in 25 U.S.C. 2206(f)(3). DOI may award to Indian tribes (for tribal probate code development and estate planning services to members); to qualified 501(c)(3) nonprofit organizations that provide civil legal assistance to tribes, Indian organizations, and individual owners of trust or restricted land, generally tied to federal poverty guidelines; and, where those nonprofits do not provide services in a given area or reservation, to other legal assistance providers. There is no cost sharing or matching requirement, which lowers the barrier to entry for eligible applicants.
The application package requirements are fairly prescriptive. The narrative centerpiece, the Implementation Plan, is limited to 8 pages (excluding graphics), with up to 4 pages of graphics allowed, using 12-point Times New Roman, 1-inch margins, and standard 8.5 x 11 pages. Required forms and attachments include SF-424 (Application for Federal Assistance), SF-424A (Budget Information), a budget narrative/justification, SF-424B (Assurances), SF-LLL (Lobbying Disclosure), proof of nonprofit status (if applicable), the Implementation Plan, and a resume for the proposed Project Administrator. Applicants also must comply with federal entity registration requirements: obtain a DUNS number, register in SAM before applying, and keep SAM active throughout the award. DOI notes that subawards may only be made to entities with DUNS numbers, and that failure to meet DUNS/SAM requirements can prevent an award from being issued.
Key administrative rules address how money can be used. Allowable costs include program-specific salaries, consultant fees, supplies and equipment necessary for the program, essential travel, student stipends, and related program expenses. Indirect costs are allowed but capped at 15 percent of direct costs. Pre-award costs are only allowable with written DOI approval and only if they would otherwise be allowable after award. Post-award, the grantee must comply with applicable federal requirements incorporated into the award, including 2 CFR 200 (Uniform Guidance), relevant DOI guidance on subaward/executive compensation reporting and financial assistance monitoring, and other applicable regulations such as 25 CFR Part 1200 tied to trust fund management reform. Financial reporting includes submission of the SF-425 Federal Financial Report within 90 days after the end of the performance period.
Applications were due January 22, 2015 at 3:00 p.m. Mountain Time, with late submissions not considered. Applicants could submit either by mail to the Interior Business Center address in Lakewood, Colorado (attention Brenda McGehee) or electronically through Grants.gov. DOI anticipated notifying applicants by February 13, 2015 and having the grant in place by about February 20, 2015. Applications were scored by a three-person DOI management-level review panel using criteria heavily weighted toward the quality and feasibility of the Implementation Plan (40 points), compliance with Indian Land Consolidation statutory requirements (25 points), demonstrated capacity and cost-effectiveness (25 points, including readiness and cost-per-person served considerations), and the applicant’s ability to clearly explain how services would reduce fractionation in underserved communities (10 points). The final decision rested with the DOI Grants Officer, informed by panel scoring and compliance reviews of budget and grants management requirements.
Frequently Asked Questions (FAQs)
1) What is this grant opportunity?
This is a discretionary grant opportunity from the U.S. Department of the Interior (DOI), Office of the Special Trustee for American Indians (Field Operations), Funding Opportunity Number D15AP00008 (CFDA 15.155). It focuses on expanding estate planning services for American Indians and Alaska Natives who own trust or restricted assets.
2) What is the policy purpose behind the program?
The program is driven by the American Indian Probate Reform Act of 2004 (AIPRA). AIPRA changed federal probate rules for trust estates to help keep Indian lands in trust and reduce the growth of fractionated ownership interests (where ownership becomes split among many heirs over generations).
3) What is “fractionation” and why does it matter here?
Fractionation refers to a single tract of trust or restricted land being divided into many small ownership interests over time as property passes to multiple heirs. This program emphasizes estate planning strategies that can help prevent further fractionation and, where possible, support land consolidation.
4) What is the main practical aim of the grant?
The practical aim is to help eligible landowners create wills and take other lawful steps (including transfers by gift deed) so that their property is not left to default federal or tribal intestacy rules that may further fragment ownership.
5) What statutory authority is cited for this grant?
The opportunity cites 25 U.S.C. 2206(f)(3), which authorizes probate code development and legal assistance grants connected to descent and distribution.
6) How many awards were expected, and what was the maximum award amount?
For FY 2015, DOI expected to make one grant award. The award was capped at $350,000.
7) What is the performance period for the FY 2015 award?
The performance period runs from the date of award through September 30, 2015.
8) Who would run the program if funded?
The selected grantee serves as the Project Administrator and is responsible for building and managing an estate planning program that delivers services directly or through subrecipients (legal service providers).
9) What are the major objectives of the work under this grant?
The work is organized around four objectives:
- Preparing an implementation plan
- Coordinating service delivery
- Monitoring and reporting on provider performance and grant effectiveness
- Producing final reporting and recommendations for a future-year program
10) What is the “Implementation Plan for Estate Planning in Indian Country”?
It is a major required deliverable and the narrative centerpiece of the application. It must explain how the applicant will implement estate planning services in selected communities, including operational details, staffing, costs, timelines, outreach, and management tools.
11) How must communities be chosen for service delivery?
The Implementation Plan must identify which communities will be served and justify why, emphasizing:
- Communities with significant numbers of resident beneficiaries who own fractionated interests (including highly fractionated tracts)
- Remote communities or communities with limited access to estate planning resources
- Consideration of whether the area has an active Tribal Fractionation Reduction Program
12) What specific elements does DOI expect the Implementation Plan to include?
Based on the opportunity description, the plan should include:
- Priority communities to be served and the rationale for selecting them
- Realistic cost and staffing estimates
- Training needs and logistical needs
- Outreach strategies
- Preferred service delivery approach by community
- How subrecipients will be selected and used (if applicable)
- Where tailored training and guidance will be provided
- A timeline showing when services will be delivered to each community
- Practical management tools, such as a sample monthly reporting form for service providers
- A discussion of likely issues by region/community that could affect delivery
13) What estate planning services are expected to be provided to beneficiaries?
The core services spelled out in the opportunity include:
- Education about AIPRA and estate planning options
- Preparation of wills and codicils
- Counseling and assistance on gift deed transfers
- Counseling and assistance regarding estate management more broadly
14) How does the program connect estate planning to land consolidation?
The opportunity emphasizes estate planning as a strategy to prevent further fractionation, including using tools such as wills and gift deed transfers to consolidate interests during life where appropriate and lawful.
15) Can the grantee use subrecipients to deliver legal services?
Yes. The grantee may deliver services directly or through subrecipients (legal service providers). The Implementation Plan is expected to explain how subrecipients will be selected and used.
16) What are the monitoring and reporting requirements?
The opportunity describes substantial monitoring and accountability expectations. The grantee must:
- Track expenditures by legal service provider
- Collect monthly provider reports
- Submit quarterly reports to DOI that roll up provider reporting and address effectiveness of fund use
- Communicate project issues at least quarterly
- Coordinate and review audit results
17) What must be included in the quarterly reports to DOI?
Quarterly reports must address how effectively funds are being used and quantify outputs, including:
- Number of beneficiaries served
- How many beneficiaries owned fractionated interests
- Approaches used to address fractionation (for example, wills versus gift deed transfers)
- Number of estate plans prepared versus actually executed
- Staffing and effort (number of individuals providing services and hours spent)
- Outreach activity (number and locations of outreach programs)
- Training activity (locations, agendas, where training was delivered, and number of trainees)
- Any additional information DOI may request
18) What final deliverables are required at the end of the performance period?
The grantee must submit a final summary report describing overall FY 2015 performance, including a brief assessment of each legal service provider’s effectiveness. The final package must also include recommendations for how estate planning programs could be structured or launched in FY 2016.
19) Who is eligible to apply?
Eligibility is limited to categories described in 25 U.S.C. 2206(f)(3). DOI may award to:
- Indian tribes (for tribal probate code development and estate planning services to members)
- Qualified 501(c)(3) nonprofit organizations that provide civil legal assistance to tribes, Indian organizations, and individual owners of trust or restricted land (generally tied to federal poverty guidelines)
- Other legal assistance providers where those nonprofits do not provide services in a given area or reservation
20) Is cost sharing or matching required?
No. The opportunity states there is no cost sharing or matching requirement.
21) What are the formatting limits for the Implementation Plan narrative?
The Implementation Plan is limited to 8 pages (excluding graphics), with up to 4 pages of graphics allowed. It must use 12-point Times New Roman, 1-inch margins, and standard 8.5 x 11 pages.
22) What forms and attachments are required in the application package?
The required items listed include:
- SF-424 (Application for Federal Assistance)
- SF-424A (Budget Information)
- Budget narrative/justification
- SF-424B (Assurances)
- SF-LLL (Lobbying Disclosure)
- Proof of nonprofit status (if applicable)
- The Implementation Plan
- A resume for the proposed Project Administrator
23) What registration requirements apply (DUNS and SAM)?
Applicants must obtain a DUNS number, register in SAM before applying, and keep SAM active throughout the award. DOI notes that subawards may only be made to entities with DUNS numbers, and that failure to meet DUNS/SAM requirements can prevent an award from being issued.
24) How can grant funds be used (allowable costs)?
Allowable costs include program-specific salaries, consultant fees, supplies and equipment necessary for the program, essential travel, student stipends, and related program expenses.
25) Are indirect costs allowed, and is there a cap?
Yes, indirect costs are allowed, but they are capped at 15 percent of direct costs.
26) Are pre-award costs allowed?
Pre-award costs are only allowable with written DOI approval and only if they would otherwise be allowable after award.
27) What key federal compliance rules apply after award?
Post-award, the grantee must comply with applicable federal requirements incorporated into the award, including 2 CFR 200 (Uniform Guidance), relevant DOI guidance on subaward/executive compensation reporting and financial assistance monitoring, and other applicable regulations such as 25 CFR Part 1200 tied to trust fund management reform.
28) What financial reporting is required?
The opportunity states that the SF-425 Federal Financial Report must be submitted within 90 days after the end of the performance period.
29) When was the application due?
Applications were due January 22, 2015 at 3:00 p.m. Mountain Time. Late submissions were not considered.
30) How could applications be submitted?
Applicants could submit either by mail to the Interior Business Center address in Lakewood, Colorado (attention Brenda McGehee) or electronically through Grants.gov.
31) When did DOI anticipate notifying applicants and issuing the award?
DOI anticipated notifying applicants by February 13, 2015 and having the grant in place by about February 20, 2015.
32) How were applications reviewed and scored?
Applications were scored by a three-person DOI management-level review panel. The criteria and weights described were:
- Quality and feasibility of the Implementation Plan (40 points)
- Compliance with Indian Land Consolidation statutory requirements (25 points)
- Demonstrated capacity and cost-effectiveness (25 points), including readiness and cost-per-person served considerations
- Ability to clearly explain how services would reduce fractionation in underserved communities (10 points)
33) Who made the final award decision?
The final decision rested with the DOI Grants Officer, informed by panel scoring and compliance reviews of the budget and grants management requirements.
34) What does “prepared versus executed” estate plans mean in reporting?
The reporting requirements distinguish between estate plans that were prepared and those that were actually executed. Quarterly reports must include the number of estate plans prepared versus actually executed, as described in the opportunity.
35) What management tools does DOI expect for overseeing service providers?
DOI expects practical management tools to be included in the Implementation Plan, including at least a sample monthly reporting form for service providers, plus a discussion of likely regional/community issues that could affect delivery.
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