NCD980602163_19801119_Warren County PCB Landfill_SERB C_Division of Health Services Grants Policy and Procedures-OCR

-. Division of Health Servires
Grcll1ts Policy and Procedures
New grant? -Policy discussion with
Deputy Director, Section 10lief
RFP received from federal government,
time frilllle based on previous year (if cmtinuation)
State Center for Health Stutistics
Seminar Series
11/19/80
Section Chief aware of intent
Preapplication Conference with
planning (as early as possible) ------< which forms will be used,
what review process, technical
assistance
Discussions with other agency
staff as necessary
V424 submission to Planning, DHS
Receipt from Clearinghouse
'~At State Planl ooly ~~~IR 5
Any subcontracts?
sole source -DHR
/4eting with OHS Budget -
Draft 606
~0606A, Synopsis submission
L,/""'Full Application Package
submission to Planning
v (EPA grants must submit draft plan)
signed by program contact
original and 6 copies -A-95
Clearinghouse, Dept. of
Administration(Adm-Bldg-4th Flcx:>r)
1 copy -OHR grants
1 copy -OHS
goes in grants package
-to planning, then for Dr. Tilson's
review and signature
~ this goes to OHR Planning,
(not grants offire of DHR)
certified budget figures1 indirect
cost rate
Social Security>
Retirement
Hospitalization
Fringe Benefits
original and six to DHS Planning
(Planning review, signs, keeps ◄
one copy; forwards to Budget for
review and signature; then to
Dr. Tilson
original and four to OHR;
grants analyst (Mandeville)
budget and analysis(wood, Barret~
transmitted to Dept. of Adminis trat.ic
Section chief present to CMT
15 co ies for distribution)
2851 signed by ection ie
424 for Dr. Morrow's signature;
Secretary's l etter of transmittal
(drafted by program, includes
amount, purpose, who would benefit
justification); program keep
one copy and send original to
Planning with four full copies
of the application:
SHCC Review Package
(60 days required by
federal regulations)
~11 Application due to Fed eral Ag e ncy
SHCC Project Review Committee
(second Wednesday each ~onth)
Full SHCC
(second Wednesday each month)
Notify Planning when federal agency
makes funding d e cision
Planning
Budget
DHR
Original copy to Dl!R for
Dr. Morrow's s i gnature (cover
letter and 424) after review hy
grants and budget and analysis
22 BD606A's
4 criteria r eview i ndex
4 full applications
one each for consumer, provider ,
s taff review
6 full app licati o ns -one for
each HSA
Le tte r of .transmittal to SllCC
Project Review Dir ector (Ron
Davi s ), who schedules the grant
f or SHCC Review
original and 2 copies normally;
l e tter to Ron Davis mu s t b e
included. (submitted only after
approval B0606 PA rece ived )
-St aff , Cons umer, Provider Rc vjcws
-Response from Program Contact
Vote -approval /disapproval
recommendation to SHCC
3 -minute
Presentation by Pro~ram
Vote
Send letter with decjsion to
granting agency
.. Grants and Projected Time Frames ,
SHCC Full
Starting Submission Project SHCC
CFDA # Grant Name Date Date Review Review
13. 268 Immunization 1/1/81 3/1/81 April May
13.977 Venereal Disease 7/1/81 3/1/81 April May
13.217 Family Planning 7/1/81 3/1/81 April May
1 Projects
13. 260 Family Planning 7/1/81 3/1/81 April May
Training
~ 13. 246 Migrant Health 7/1/81 3/1/81 April May
~ 13. 292 SIDS 7/1/81 3/1/81 April May
13. 981 HERR 10/1/81 6/1/81 July August .~ ;, 13. 980 Fluoridation 10/1/81 6/1/81 July August
~ 13. 890 Genetic Disease 10/1/81 6/1/81 July August
13.882 Hypertension 10/1/81 6/1/81 .July August
13. 232 Bowman-Grey DEC 7/1/81 3/1/81
13. 232 MCH Special ~rojects 7/1/81 3/1/81
(ICH, IPO
13. 211 Crippled Children's 10/1/81 6/1/81 July August
Services
13. 232 MCH 10/1/81 6/1/81 July August
"" 13. 807 ~ SSI-DCP 10/1/81 6/1/81 July August
~ ~ 10.557 WIC 10/1/81 6/1/81
" 13.210 Health Incentive 10/1/81 6/1/81 jJ1y August
;i Grant (314-d
66.432 Public Water 10/1/81 6/1/81 \.}) System Supervision
66.451 Solid and Hazardous 10/1/81 6/1/81
Waste
, ..
-~ • .v
§ 143-34.2 1980 lNTERll\l SU l'l'LEl\!ENT § 143-34.2
under GS. 135-1.1, the North Carolina Art Society, Inc., and the North
Carolina Syrni,li(Jny Society, Inc., each association or organization shall pay to
the Rclirc111t·nt System the full cost of providing these benefits as determined
by the Do,mi of Trustees of the Retirement System. (1949, c. 718, s. 5; 1957, c.
269, s. 2; 1961, c. 1181, s. 4; 1979, 2nd Sess., c. 1137, s. 44.)
Editor's Note. -The 1979, 2nd Sess.,
ernfnCrn£'nt, effective July 1, 19S0, added the
~rnnrl and third paragraphs.
Session Laws 1979, 2nd Sess., c. 1137, s. 77,
contains a se,·erability cl ause.
§ 1-13 -3-1.2. Information as to requests for nonstate funns for projects
impo;.,ing obligation on State; statement of participation in contract.s,
etc., for nonsta tc funds; limiting clause requir·cd in certain contracts or
grants. -All State ;1rrcn cics., funds, or State-supported institutions shall
submit to the OfTic of Sta ,in Mana e as of the original date
t ierro, cv JlCS of all a Jlic;:itions and re ucsts for nons , (including
federal \Ill( s , to e use for any purpose to which this section is applicable.
This ~cct ion shall be applicable to all projects and programs which do or may
impose upon the St::1te of North Carolina any substantial financial obligation
at the time of or subsequent to the acceptance of any funds received upon any
such applicition or request. Every State agency, fund or State-supported
institution s<-t:k ing nonst::1te funds for any such project or program shall
furnish lo the Office of State Budget and Management and the Advisory
Buclgct Commission with each such copy of application or request, a statement
of the purposes for which any such project or program is desired or advocated,
the so urce and ;:imount of funds to be granted or provided therefor, and a
statement of the conditions, if any, upon which such funds are to be provided.
It shall be required of all State r1r.rencies, funds, or Slate-supported
institutions, commissions or regional planning and development bodies.Jr>
~;uhrnit to the Office of State Budget and Management a stotcmcnt of
In an contract a reement, Jan or request for nonslate funds IJtJ{poGn
(inclu ing federal funds).
Any contract or grant entered into by a State board, commission, agency,
ckpartmcnt or institution for the operation of a new program by such State
boa rd, commis!-i ion, agency, dcpartment or institution or for the enrichment of
an ongoing program of such State board, commission, agency, department or
institution shall include a limiting clause which specifically states that
conlinucition of the contract or grant program with State appropriations
beyond the current State fi scal year is subject to Slate funds being appropriated
by the General Assembly specifically for that program. (1965, c. 1181; 1969, c.
1210; 1977, c. 802, s. 15 25; 1979, 2nd Sess., c. 1137, ss. 37, 45.)
Editor's Nole. -
The 1979, 2nd Ses s., amendment, e/Tective
July I, 1980, substituted "Office of .Stale
Budget and Man11gement" for "Department of
Administration" in three places, and rewrote
the third paragraph, which formerly providcd:
"Any contract entered into by ;i State agency,
dq,nrlmcnt, or institution for a federal grant
8hall include a limiting clause which
specifically slates that continuation of the
grant program by the State of North Carolina is
subject t.o State fu nds being appropriated by the
General Assembly for that program."
Session Laws 1979, 2nd Sess., c. 1137, a. 77,
contains a severabilily clause.
609
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JAMES B. HUNT. JR.
GOVt:RNOR
PURPOSE:
EFFECTIVE DATE:
OFFICE OF ORIGIN:
AUTHORITY:
APA APPLICABILITY:
STATE OF NORTH CAROLINA
DEPARTMENT OF HUMAN RESOURCES
325 NORTH SALISBURY STREET
SARAH T. MORROW, M.D .. M.P.H. RALEIGH 27611
OHR DIRECTIVE
SUBJECT: Operations (OPS)
NUMBER: 2-79 (Change 1)
SECRETARY
TELEPHONE
919/733-4534
To update and re-establish unifo rm policies for the
processing of all grant applications originating
within the Department of Bwnan Resources
May 1, 1980
Division of Plans and Operations
G.S. 143B-lO(j)
None
RESCINDS THE FOLLOWING: Operations 2-79 (March 19, 1979)
1. BACKGROUND
This directive has been revised in order to incorporate clarifications and
amendments to policies outlined ·in OHR Directive Operations 2-79 and to include
new policy concerning draft submissions of grant and contract application material
to granters.
The Directive is intended to ensure that all grants and contracts submitted by
any Department of Hu~an Resources' Agency and its respective programs are routed
through the Secretary's Office so that the Secretary may be aware of the proposed
project and concur prior to its submission. This policy applies to all new or con-
tinuation grant or contract applications that are submitted to agencies of the
Federal Government, other departments in State Government, educational institutions,
private foundations, philanthropic organizations or othe r s ources.
Tl1e di rec ti ve is designed to establish a process whereby a proposed program and/
or project whic h is to be funded from "project grant" sources can be e va luated by
the Secretary a nd the Office of State Budget as to the effect such program a nd/or
project will have on e xis ting programs. which are adminis tered or supervised by the
Department. This does not include programs funded by the General Assembly to the
Depa rtment of Human Resources or programs involving Federal funds whi ch are admini-
stered by the Department of Hwnan Resources under the "state plan" process (OHR
Directive 1-79).
2. POLICY
a. Any agency of the Department of Human Resources which applies for federal
funds from a program subject to the requirements of 0MB circular A-95, Part I, shall
:;uJ,111 i t dl1 u/1.,J j n c1 J .:md six co1,>i.0.s of "!lo Lice of I ntent to l\pply" form '124 to t lie
~i.t:at<~ CJ c.:.n:j n(_Jhouse in the Offj ce of State 13ur1get at l east thirty-five days prior
to the project due date. Simultaneously each agency s hall forward one information
copy to the Division of Plans and Operations, Office of Ley i s l ati on , Grants, .:ind
l\dmini~t:rativc Procedures.
b. l\ny ac:;ency of the Department of Human Resources which applies for new or
contint1c1tion funcling shall submit four copies of prior approval f orm 13D GOGA to the
Office o f Legislatio n, Grants , and Administrative Procedures at l east thirty days
prior to the date that the application is to be received by the granting agency.
c. l\t leas t fifteen days prior to the date that the application is to be
received by the granting agency the fol l o wing mu s t be submitted to Office of Legis-
lation, Gri.rnts , zind J\drninistr.:iti Ve Procedur es :
(i .) A co1nplete original application and the c1pprop1-iute number of copies
rcr1ucsted by the funding agency plus. one complete file copy for the Office
of Legislation, Grant s , .:rnd Administrative Procedures.
(ii .) l\ transmittal lette r on the Secretary's stationer y for the Secretary 's
signature. This transmittal letter should s tate :
1) The purpose o f the proj e ct,
2) The proposed runount of funding,
3) W10 the beneficiaries of the project are , and
4) A brief justification of the proj ect.
d. All applica tion materials will be r eviewed by the Office of Legislution,
Grunts , zrnd Administr.:i ti ve Procedures with comments and recomme ndations solj cited
from the Divis ion of Dudget and Analysis, the Office of State Budget, and other con-
cerned parties. A recommendation by the Office of Legislation, Gr,1nts , and l\dmi.ni-
str ative Procedures will tl1en be made to the Secretary concerning the application.
l\ppli cation s not approved by the Secretary will be returned to the o.gcncy with an
explanation.
e. l\ny applir:c1tion not s ubmitted to the Office of Legisl ation , Grants , ,111d
Administrative Procedures in time to allow for a review period as specified .in "c"
above must be o.ccompanicd by an adequat e expl a nation.
f. In situ ations where an application !!lus t be submitte d to a grantor il•Jcncy pr.ior
to the completion of: the review process, outlined above, each agency of the Department··
of Jluma n Resources shall:
i) Not i f y the Office of Legisla tion,Grants, and l\dministrative Proced u res
immediately.
ii) Attempt to gain a deadline e xtension from the funding agency.
iii) When a deadline extension i s not granted, the applicant agency shall:
1. Subrni t to the Office of Legi s l ation, Grants, and l\dminis tr,1ti ve
Procedures a complete copy o f a ll documents that are to be forw.:irJcd
the funding o.gency .
_,
r
• 2: Submit to the Office of Legislation, Grants, and Administrative
Procedures a copy of a transmittal letter from the Division Director/
Agency head to the funding agency. This letter shall clearly state:
a) That all materials being forwarded are in draft fonn,
b) That these materials are currently under review by the
Office of the Secretary, Department of Human Resources,
c) That these materials may be withdrawn or amended upon
completion of review by the Department of Human Resources,
d. That no funding agency approval of draft materials should be
forthcoming p"rior to receipt of the Secretary's endorsement
and the final approved application.
3. Allow a minimum of two working days for the review of all draft
materials which have been sent to the Office of Legi slation, Grants, and
Administrative Procedures. No documentation shall be forwarded to the
funding agency prior to the submission of such materials to the Office
of Legislation, Grants, and Administrative Procedures.
g. Notice of Grant Awards or any correspondence pertaining to the application
will be routed by the Division of Plans and Operations, Office of Legislation, Grants,
and Administrative Procedures to the DHR agency originating the application. When
applicants receive Notice of Grant Awards from any source other than the Division of
Plans and Operations, a copy of such Grant Award should be routed to the Division of
Plans and Operations, Attention: Office of Legislation, Grants, and Administrative
Procedures.
3. RESPONSIBILITIES
a. Each division director or agency head is responsible for appointing one
divisional/agency grants coordinator. It is suggested that this person be located
within the division/agency planning office.
b. It is the responsibility of the Office of Legislation, Grants, and Administra-
tive Procedures Section, Division of Plans and Operations to monitor, review, and
provide technical advice/assistance as necessary for execution of the above functions.
c. The Office 0f Legislation, Grants, and Administrative Procedures is responsi-
bile for routing any notice(s) of grant awards or correspondence which it receives
to.the appropriate division/agency originating the application.
d. Questions regarding this directive should be addressed to the Office of
Legislation, Grants, and Administrative Procedures, Division of Plans and Operations,
(Telephone Number 733-2173).
APPROVED
Distribution: A
State Budget
,.
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DEPARTMENT OF HEAL TH, EDUCATION, AND WELFARE
REGION IV
Office of Grants Manage~ent
Suite 1121
101 MARIE TT A _TOWERS
ATLANTA, GEORGIA 30323
TO : All Public Health Service Grantees
FROM: Gr~nts Management Officer
SUBJECT: Application Submission Deadline
PUBLIC H[AL TH SlR\IIC[
October 15, 1979
Effective immediately, the deadline for s ubmission of all new and
continuation applications is 120 days prior to the start of the budget
period. For those grantees with start dates in November, December,
January or February, and are fund ed from the previous year's appropriation,
the 120 days starts on October l (submiss ion by June 1) .* This will r equire
simultaneous s ubmission to the HSA/A-95 and Regional Office. Pleas e include
a copy of your HSA/A-95 trans mittal letters with the application to the
Regional Office.
I~te submi ssions of applications can result in extending the current
budget period without a dditional funds.
If you have any questions about the due date for your application, ple ase
contact your Proj ect Officer or the Office of Grants Management.
William H. Barton
*Applicable to those Grantees funded in a current fiscal year
with a start date i n the following fiscal year.
..
--f -
STATE OF Nef':TH CA"eLINA
DEPARTMENT OF HUMAN RESOURCES
325 NORTH SAL:SBU RY STREET
JAMES B . HUNT. JR. SARAH T. M ORROW. M .0 .. M .P .H .
GOVERNOR
MEMORANDUM
TO:
FROM:
RE:
RALEIGH 27611
October 16, 1980
All Division Directors/Agency HeadvJ!!I
John Mandeville, Grants Analyst
Office of Legislation, Grants,
and Administrative Procedures
SECRETARY
TELEPHONE
9191733 -4534
The Citation of Subcontractors in Grant and Contract Proposals
For some time it has been the policy of the department to discourage the desig-
nation of a possible subcontractor in grant and contract proposals submitted for
federal and other non-state funds. The intent of this policy is to avoid situations
where bidding procedures for determining subcontractors must be used, yet an inher-
ent commitment to subcontract with a part.icular organization exists because of
the designation of that organization in 1:he proposal.
The Division of Purchase and Contract, Department of Administration,has been con-
cerned with this issue for some time. As a result of this interest and because
of difficulties Purchase and Contract has had with other State Departments,a memo
has been issued which suggests a policy of non-specification of a subcontractor
in a proposal (attached).
Though we in OHR have followed a similar policy for at least the past two years,
I am circulating a copy of the above-referenced memo at the request of Tom Todd,
the State Purchasing Officer. Please forward this to individuals within your
division/agency who are involved in contract and grant administration and review. -----~.
Thank you for your assistance in this matter. If I can be of any help concerning
this issue, please inform me.
JM: fl
Attachment
cc: Tom Janes
TO: Off, Branch Heads
FROM : l-1argaret Woodcock
Please note emphasis on existing policy of assuring
competitive bidding where appropriate particula rly
in the grant application process.
~'
North Carolina at.t::F}r1~c·o
Department of Administration~-/
J 16 l\.e~t Jones Srreet Role1g h 2 7611
J ames B Hunt.Jr. Go\'erno r
J oseph \V GrimsiEy Secretar':.:
Dr. Sar a h Mor row
Secretary
De p a rtme nt of Human Re sources
De ar Dr. Morrow:
October 3, 1980
Division of Purchase and Co nt r<1ct
Thomas E. Todd. State Purchasi ng Officer
We have been ex?eriencing difficulty in approving the awarding of service and
c o nsulting contracts on a non-competitive basis. A number of State agencie s are
contracting to perform services pursuant to the awarding of a Federal grant. We
are frequently requested to approve a particular contractor on a single source,
non-competitive basis because that contractor has been named in the grant appli-
cation as the person or organization to perform the services enumerated in the
grant proposal.
This ~ractice is in violation of State statutes and regulations controlling the
awaruing of contracts. It alsq violates the Standards Governing State and Loca l
Grantee Proc urerr,ent promulgated by the Federal Office of Manag err,e nt and Budqet.
State statutes and regulations and Federal regulations require competitive
bidding unle s s the requesting agency provides independent justification for
single s o urce contracting. As sistance of a co ntractor in the preparation of a
grant request and awarding the contract at a later date to that contractor may
be considered a conflict of interest and also in violation of Federal
regul 3tions. The naming of a particular contractor in a grant application will,
therefore, no l onger be considered sufficient justification to contract on a
single source~ non-competitive basis.
v,e suggest that you amend your grant requests to identify objectives and
requirements. If it is essential to ide ntify contractors, submit a list of
representative potential contractors, in lieu of naming a specific contractor.
v.here assistance is required in identifyinJ potential contractors, contact the
Contractual Services Section of the Division of Purchase & Contract.
~ 1 Dr~ Sarah Morrow
October 3, 1980
Page Two
This r~ling is effective imrnediat,ely. P:ease amend your current grant proposals
and your current requests for procurement of contractual services.
~e also request that you share this information with those persons in your agency
who are involved in grant proposals and contractual services.
Sincerely,
/c/!JJ
Thomas E. Todd
State Purchasing Officer
Jack Cozort
Counsel to the Governor
TET/kms