2016 DD Council New Executive Director Orientation

Transcription

1 2016 DD Council New Executive Director Orientation

2 I-1 DD Council Executive Director Orientation Section I Administration on Intellectual and Developmental Disabilities Contents: Placement in federal government AIDD s Organizational structure Description of programs AIDD s Relationship with Councils Staff Contacts Revised 3/2016

3 I-2 AIDD s Placement within Federal Government: Organization The Administration for Community Living (ACL) is part of the U.S. Department of Health and Human Services and is headed by the Administrator, who reports directly to the Secretary of Health and Human Services (HHS). ACL s Principal Deputy Administrator serves as Senior Advisor to the HHS Secretary for Disability Policy. ACL is structured to provide general policy coordination while retaining unique programmatic operations specific to the needs of each population we serve. ACL is comprised of the following units: Office of the Administrator* Administration on Aging (AoA) Administration on Disabilities (AoD) National Institute on Disability, Independent Living, and Rehabilitation Research (NIDILRR) Center for Integrated Programs (CIP) Center for Management and Budget (CMB) Center for Policy and Evaluation (CPE) *Within the Office of the Administrator is ACL s Office of Regional Operations. ACL s Regional Support Centers are located across the United States. ACL Organizational Chart Text Version The U.S. Administration for Community Living (ACL) is led by the Administrator, who also serves as the Assistant Secretary for Aging. The Administrator is directly supported by the Principal Deputy Administrator. The following staff offices report directly to the Administrator: Office of External Affairs Office of Regional Operations, which includes ten offices located in various regions of the United States

4 I-3 ACL is comprised of the following units, which report directly to the Administrator: Administration on Aging Administration on Disabilities Center of Integrated Programs Center for Management and Budget Center for Policy and Evaluation National Institute on Disability, Independent Living, and Rehabilitation Research The Administration on Aging is led by the Assistant Secretary for Aging, who is directly supported by the Deputy Assistant Secretary for Aging. Reporting directly to the Deputy Assistant Secretary for Aging are the following offices: Office of Supportive and Caregiver Services Office of Nutrition and Health Promotion Programs Office of Elder Justice and Adult Protective Services Office of American Indian, Alaskan Native and Native Hawaiian Programs Office of Long-Term Care Ombudsman Programs The Administration on Disability is headed by a Commissioner, who reports directly to the ACL Administrator, and a Deputy Commissioner who also serves as Director of Independent Living. Reporting directly to the Commissioner and Deputy Commissioner are the following offices: Administration on Intellectual and Developmental Disabilities Independent Living Administration Reporting directly to the Deputy Administrator of the Center for Integrated programs are the following offices: Office of Healthcare Information and Counseling Office of Consumer Access and Self-Determination Office of Integrated Care Innovations Reporting directly to the Deputy Administrator of the Center for Management and Budget are the following offices: Office of Budget and Finance Office of Administration and Personnel

5 I-4 Office of Grants Management Office of Information Resources Management Reporting directly to the Director of the Center for Policy and Evaluation are the following offices: Office of Policy Analysis and Development Office of Performance and Evaluation Reporting directly to the Director of the National Institute on Disability, Independent Living, and Rehabilitation Research are the following offices: Office of Research Sciences Office of Research Evaluation and Administration ACL Statement ACL was initially established on April 18, 2012 by bringing together the Administration on Aging, the Office on Disability and the Administration on Developmental Disabilities. Since then, ACL has grown significantly. Through budget legislation in subsequent years, Congress moved several programs that serve older adults and people with disabilities from other agencies to ACL, including the State Health Insurance Assistance Program, the Paralysis Resource Center, and the Limb Loss Resource Center. The 2014 Workforce Innovation and Opportunities Act moved the National Institute on Disability, Independent Living, and Rehabilitation Research and the independent living and assistive technology programs from the Department of Education to ACL. On June 2, 2015 the Federal Register published ACL s updated Statement of Organization, Functions, and Delegations of Authority (PDF). An online version of the published Statement is also available. The Statement reflects ACL s expanded mission and details the organization structure and roles and responsibilities of its centers and offices. From the beginning, ACL was based on a commitment to one fundamental principle that people with disabilities and older adults should be able to live where they choose, with the people they choose and fully participate in their communities. Inherent in this principle is the core belief that everyone can contribute, throughout their lives

6 I-5 AIDD (Administration on Intellectual and Developmental Disabilities) The Administration on Intellectual and Developmental Disabilities provides financial and leadership support to organizations in every state and territory in the United States to ensure that individuals with developmental disabilities and their families can fully participate in and contribute to all aspects of community life. AIDD oversees four grant programs established by the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (State Councils on Developmental Disabilities, Protection and Advocacy Systems, University Centers for Excellence in Developmental Disabilities Education, Research and Service and Projects of National Significance); oversees the President s Committee for People with Intellectual Disabilities, and administers the disability provisions of the Help America Vote Act. In each state or territory, the four grant programs form a developmental disabilities network, or DD Network. AIDD Description of Programs The Developmental Disabilities Act requires AIDD to ensure that people with developmental disabilities and their families receive the services and supports they need and participate in the planning and designing of those services. The DD Act established eight areas of emphasis for AIDD programs; Employment, Education, Child Care, Health, Housing, Transportation, Recreation, and Quality Assurance. AIDD meets the requirements of the DD Act through the work of its four programs: State Councils on Developmental Disabilities (SCDD) Each state has a Developmental Disabilities Council that functions to increase the independence, productivity, inclusion, and community integration of people with developmental disabilities. DDC activities demonstrate new ideas for enhancing people's lives through training activities, through community education and support, by making information available to policy-makers, and by eliminating barriers. Protection and Advocacy Agencies (P&A) Each state has a Protection and Advocacy (P&A) System to empower, protect, and advocate on behalf of persons with developmental disabilities. The P&As are independent of service-providing agencies and offer information and referral services for legal, administrative, and other remedies to resolve problems for individuals and groups of clients. P&As enhance the quality of life of people with developmental disabilities by investigating incidents of abuse and neglect and discrimination based on disability. The P&As also provide an annual opportunity for the public to comment on the objectives, priorities, and activities of the system. This gives clients and others in the community an opportunity to voice their concerns and needs to the P&A. University Centers for Excellence in Developmental Disabilities Education, Research and Services (UCEDD) UCEDD is a grant program providing support to a national network of University Centers to support interdisciplinary training, exemplary services, and technical assistance, and information / dissemination activities. University Centers positively affect the lives of individuals with developmental disabilities and their families

7 I-6 by increasing their independence, productivity, and integration into communities. University Centers have four broad tasks: conduct interdisciplinary training, promote community service programs, provide technical assistance at all levels (from local service delivery to community and state governments), and conduct research and dissemination activities. Projects of National Significance (PNS) The PNS program awards grants and contracts that promote and increase the independence, productivity, inclusion and integration into the community of persons with developmental disabilities. These projects focus on the most pressing issues for people with developmental disabilities across the country. These projects may involve research, technical assistance, projects which improve supportive living and quality of life opportunities, projects to educate policymakers, and efforts to create interagency Federal collaboration. For more information, please visit:

8 I-7 The Administration on Intellectual and Developmental Disabilities (AIDD) The Relationship with DD Councils The Administration on Intellectual and Developmental Disabilities (AIDD) is the federal administering agency for the DD Act programs. As such, AIDD is charged with funding and oversight of State Councils on Developmental Disabilities, Protection & Advocacy Programs, and University Centers for Excellence in Developmental Disabilities Education, Research and Service. Thus, State Councils on Developmental Disabilities are grantees of AIDD and are accountable to AIDD. AIDD develops program regulations and provides technical assistance and guidance to state programs. Central office staff is assigned to assist programs in each of the federal regions; these staff members are available and helpful. Should the Developmental Disabilities Council encounter problems or need assistance, they can contact the AIDD personnel assigned to their region for information and technical assistance. Annually, AIDD sponsors a Technical Assistance Institute for State Councils on Developmental Disabilities. All mandated state plans and fiscal and programmatic reports are submitted to and approved by AIDD. This information is used to develop legislatively prescribed reports to Congress. Periodically, AIDD conducts monitoring site visits using the Monitoring and Technical Assistance Review System (MTARS) to assure compliance and accountability.

9 I-8 Effective March 2015 Administration on Intellectual and Developmental Disabilities DD Council Regions identified by AIDD Program Specialist Staff Phone Region Sara Newell Region 2 - Puerto Rico; New York; New Jersey; Virgin Islands Region 3 - Delaware; Pennsylvania; Virginia; District of Columbia; Maryland; West Virginia Region 4 - Alabama; Florida; Mississippi; North Carolina; Georgia; Kentucky; South Carolina; Tennessee Region 7 - Missouri; Iowa; Kansas; Nebraska Region 8 - North Dakota; South Dakota; Utah; Montana; Wyoming; Colorado Allison Cruz Allison.cruz@acl.hhs.gov Region I - Connecticut; Massachusetts; Rhode Island; Maine; New Hampshire; Vermont Region 5 - Illinois; Minnesota; Ohio; Indiana; Michigan; Wisconsin Region 6 - Louisiana; New Mexico; Arkansas; Oklahoma; Texas Region 9 - Arizona; California; American Samoa; Guam; Hawaii; CNMI; Nevada Region 10 - Alaska; Oregon; Washington; Idaho

10 II-1 DD Council Executive Director Orientation Section II Developmental Disabilities Act Overview Contents: Disability Policy Framework: A Review Areas of Emphasis DD Council Responsibilities Required Yearly Activities Conflict of Interest Executive Director Evaluation Revised 3/2016

11 II-2 Disability Policy Framework: A Review Historically We have tried to fix people with disabilities If we could not fix the person, we supported exclusion, segregation, and denied services and supports Sometimes we made laws to ban people with disabilities from being seen in public Sometimes we forced people with disabilities into institutions and sterilized them People with disabilities were perceived as vulnerable/dependent people Today Disability is a natural and normal part of the human experience and in no way diminishes a person s right to fully participate in all aspects of society Focus is to fix the physical and social environment to provide effective and meaningful opportunity to people with disabilities. Goals of Disability Policy Equality of Opportunity Full Participation Independent Living Economic Self Sufficiency Equality of Opportunity Individualization Decisions based on facts, objective, evidence, person s needs and preferences, state of the art science Effective and Meaningful Opportunity Focus on meeting the needs of all individuals, provide reasonable accommodations and reasonable modifications to policies, practices and procedures Inclusion and Integration Provide services in the most integrated setting appropriate for the person, avoid unnecessary and unjustified segregation and isolation

12 II-3 Full Participation Involve people with disabilities and their families in decisions affecting them Involve people with disabilities and their families in developing policies at the systems/institutional level Independent Living Recognize as a legitimate outcome of public policy Skills development, long term services and supports, cash assistance Economic Self Sufficiency Recognize as a legitimate outcome of public policy Support systems providing employment related services/supports, cash assistance with work incentives. Why do we need to know this? The disability policy framework is a guide to assess social policy from a disability policy perspective. This framework provides guidance and insight to effectively develop, implement and support systems change initiatives and consumer driven alternatives. Connecting with the DD Act The DD Act embodies the core policies of the disability policy framework The DD Act includes demonstration of methods of administration consistent with the disability policy framework Using the framework DD Councils can use the framework to guide their work as they assess social policy from a disability perspective and effectively develop and implement home and community based systems change initiatives and consumer controlled and driven alternatives. Reference Silverstein, R. (2000). Emerging disability policy framework: A guidepost for analyzing public policy. Iowa Law Review, Vol. 85(5).

13 II-4 The DD Act Areas of Emphasis DD Act Areas of Emphasis include the following: Quality Assurance Child care Education and early intervention Employment Health Housing Recreation Transportation Other Services available and offered to individuals in the community including formal and informal supports that affect quality of life Quality Assurance Activities Advocacy, capacity building and systemic change activities that result in improved consumer and family centered quality assurance and that result in system of quality assurance and consumer protection that o Include monitoring of services, supports and assistance provided to an individual with developmental disability that ensures the individual o Will not experience abuse, neglect, sexual or financial exploitation, or violation of legal or human rights; and o Will not be subject to the inappropriate use of restraints or seclusion. Include training in leadership, self advocacy, and self determination for individuals with developmental disabilities, their families, and their guardians to ensure that those individuals o Will not experience abuse, neglect, sexual or financial exploitation, or violation of legal or human rights; and o Will not be subject to the inappropriate use of restraints or seclusion; o Include activities related to interagency coordination and systems integration that result in improved and enhanced services, supports, and other assistance that contribute to and protect the selfdetermination, independence, productivity, and integration, and inclusion in all facets of community life, of individuals with developmental disabilities

14 II-5 Childcare related activities Advocacy, capacity building, and systemic change activities that result in families of children with developmental disabilities having access to and use of child care services, including before school, after school, and out of school services, in their communities. Education and Early Intervention related activities Advocacy, capacity building, and system change activities that result in individuals with DD being able to access appropriate supports and modifications when necessary, to maximize their educational potential, to benefit from lifelong educational activities, and to be integrated and included in all facets of student life. Advocacy, capacity building, and systemic change activities provided to individuals (birth to 9) and their families to enhance the development of their potential; and the capacity of families to meet the special needs of the individuals. Employment related activities Advocacy, capacity building, and systemic change activities that result in individuals with DD acquiring, retaining, or advancing in paid employment, including supported employment or self employment in integrated settings in a community. Health related activities Advocacy, capacity building, and systemic change activities that result in individuals with DD having access to and use of coordinated health, dental, mental health, and other human and social services, including prevention activities, in their communities. Housing related activities Advocacy, capacity building, and systemic change activities that result in individuals have access to and use of housing and housing supports and services in their communities, including assistance related to renting, owning, or modifying an apartment or home. Recreation related activities Advocacy, capacity building, and systemic change activities that result in individuals with DD having access to and use of recreational, leisure, and social activities in their communities.

15 II-6 Transportation related activities Advocacy, capacity building, and systemic change activities that result in individuals with developmental disabilities having access to and use of transportation Formal and Informal Community Supports Advocacy, capacity building, and systemic change activities that result in individuals with DD having access to and use of other services available and offered to individuals in a community, including formal and informal community supports that affect their quality of life.

16 II-7 Key Definitions from the DD Act Final Rule (2015) Advocacy activities. The term advocacy activities means active support of policies and practices that promote systems change efforts and other activities that further advance self-determination and inclusion in all aspects of community living (including housing, education, employment, and other aspects) for individuals with developmental disabilities, and their families. Capacity building activities. The term capacity building activities means activities (e.g. training and technical assistance) that expand and/or improve the ability of individuals with developmental disabilities, families, supports, services and/or systems to promote, support and enhance self-determination, independence, productivity and inclusion in community life. Systemic change activities. The term systemic change activities means a sustainable, transferable and replicable change in some aspect of service or support availability, design or delivery that promotes positive or meaningful outcomes for individuals with developmental disabilities and their families.

17 II-8 DD Council Responsibilities Serve as an advocate for individuals with developmental disabilities Conduct or support programs, projects and activities that improve the quality of life of individuals with disabilities Develop a state plan Implement the state plan Monitor progress of the state plan and adapt it as necessary and appropriate More DD Council Responsibilities Periodically review the designated state agency Report activities to AIDD Prepare, approve and implement a budget using the amount provided to it Recruit and hire a Director consistent with state law Have staff that assists the DD Council in carrying out its responsibilities Annually evaluate the Director More DD Council Responsibilities Establish or strengthen a program for the direct funding of a State selfadvocacy organization led by individuals with developmental disabilities; support opportunities for individuals with developmental disabilities who are considered leaders to provide leadership training to individuals with developmental disabilities who may become leaders; and support and expand participation of individuals with developmental disabilities in crossdisability and culturally diverse leadership coalitions.

18 II-9 Yearly activities required by the DD Act Councils on Developmental Disabilities Annual evaluation of the Executive Director The DD Act requires the DD Council to conduct an annual evaluation of the Director. Evaluation should be conducted in accordance with applicable personnel policies and follow State laws and regulations. The DD Council will determine date of annual evaluation; most often, this date coincides with the ED s hire date. Council Budget The DD Act requires the DD Council to prepare, approve and implement the budget. Budget approval should be reflected in official meeting minutes. Budget should be approved in a timeframe prior to the beginning of the State or Federal Fiscal year. Examination of Plan Goals The DD Act requires the DD Council to review the progress made toward plan goals annually. This includes a required component of measuring customer satisfaction with DD Council supported or DD Council conducted activities. The information is reported on the annual Program Performance Report due January 1 of each year. Consumer Satisfaction The DD Act requires DD Councils to collect and report consumer satisfaction with DD Council support or conducted projects. The information is a required component of the Annual Program Performance Report due Jan 1 of each year. The Consumer Satisfaction Toolkit is located at ; scroll down to download the document. Review of Designated State Agency The DD Act requires the DD Council to periodically review the Designated State Agency (DSA) and activities carried out under Title B by the DSA and make recommendations for change to the Governor. The DD Council will determine date of periodic review. State Plan The State Plan is the big picture of how services and programs for individuals with developmental disabilities and their families should be five years from now within a particular State or territory. Additionally, the plan includes long term goals to be accomplished within five years and provides guidance to the DD Council regarding how it spends its resources. Required components of the State plan are found in PL , The DD Act, and can be accessed in Subtitle B Section 124. State Plan located at The Plan is submitted to AIDD through a web based reporting system. The State Plan Development Guide is a resource provided to assist in the development of your 5 Year Plan. You will find the guide at

19 II-10 The next 5 year planning cycle is from FY 2017 through FY 2021 Due date: August 15, 2016 State Plan Update Each year, DD Councils are required to review and update or amend their plan if necessary. The State Plan needs to be updated if there are changes in the following areas: DD Council Identification, DD Council Membership, DD Council Staff, Designated State Agency information, Substantial changes or necessary updates in State Service System and Trends, Changes in Goals/Objectives, Budget projections, update on public input and review (remember if there are substantive changes in the State Plan there has to be public review of those changes). State plan updates are due to ADD no later than August 15 of each year. Due date: August 15 th of each year for substantive changes* Due date: January 1 st of each year for non-substantive changes** *substantive change means: complete revision of a goal to change the intent of the goal as well as the objectives, activities and timelines; addition of a goal to the State plan, and; deletion of a goal. **non-substantive change means: slight revision to a goal that does not change the overall intent of a goal; revision(s) to objectives that do not change the overall intent of a goal; revision(s) to activities that do not change the overall intent of a goal, and; revision(s) to timelines that do not change the overall intent of a goal. Program Performance Report Developmental Disabilities Councils (DD Councils) are required to submit annual performance reports to the Administration on Intellectual and Developmental Disabilities (AIDD). The purpose of the Program Performance Reports (PPRs) is to document DD Council activities that occurred during the previous fiscal year for government reporting purposes. Reporting on activity specific outcomes is intended to capture, on an annual basis, the results of initiatives funded by AIDD and administered by DD Councils including those initiatives conducted by grantees, DD Councils, members and policy and program staff. Due date: January 1 st of each year Federal Financial Report and Federal Cash Transaction Report The Federal Financial Report (FFR or SF 425) replaces the Federal Cash Transaction Report (FCTR or SF 272/SF 272A). This federal wide report standardizes financial reporting across the government. The due date for submitting expenditure data on the annual FFR is 90 days after the end of the calendar quarter in which the budget period ends. Federal Funding Accountability and Transparency Act (FFATA) The FFATA Sub-award Reporting System (FSRS) collects data from Federal prime awardees on sub-awards they make: a prime grant awardee will be required to report on its sub-grants and a prime contract awardee will be required to report on its sub-contracts. Prime Awardees awarded a federal grant are required to file a FFATA sub-award report by the end of the month following the month in which the prime awardee awards any sub-grant equal to or greater than $25,000. Click on the link for more information.

20 II-11 Conflict of Interest Overview and Application Introduction DD Councils value the active participation and membership of stakeholders, state agencies, DD Act agencies, allied professionals, and leaders in disability rights. This active participation may at times create actual or perceived conflict of interests. Therefore, clear and open discussion is the path to ensure the DD Council maintains its public perception of integrity, while actively engaging key stakeholders. What does the Act say related to Conflict of Interest? Section 124 (c) (5) (D) The plan shall provide an assurance that no member of such DD Council will cast a vote on any matter that would provide direct financial benefit to the member or otherwise give the appearance of conflict of interest What is an assurance? A pledge, a guarantee; free from doubt To maintain federal compliance, DD Councils must submit this assurance to the Administration on Developmental Disabilities with their 5 year State plan What is conflict of interest? A conflict of interest is real or perceived and exists when the DD Council member or a member of their family appears to gain or benefit personally from their position on the DD Council. Appearance of conflict of interest Members of governance have a responsibility to avoid the appearance of a conflict of interest. They should never use the organization as a platform for personal benefit or gain. A perceived conflict is often more damaging than a real one since it is much harder to resolve. What is a Dual Role? A dual role exists if a DD Council member also serves in a leadership/decision making role of another entity who is seeking DD Council funding.

21 II-12 Example: Council member also serves on the Board of Directors of the local disability organization Helpful hints if you find yourself in dual roles. If you are a member of the DD Council and also a member of a Board of Directors of an agency or organization applying for DD Council funds, first and foremost you should keep the primary purposes and guidelines of the DD Council as the priority. Dual role DD Council members should take great care they not influence any other DD Council member to gain their support or sway them to vote for or against proposals or decisions that may benefit their organization. Example #1 Situation: A member serves on the DD Council as well as on the Board of Directors or Advisory Committee of a disability organization that applies for a grant through the DD Council. Result: Even though the DD Council member may not receive direct financial benefit from the grant, there may be an appearance of a conflict of interest. Recommendation: The DD Council member can publically disclose the conflict [so that it is in the record], and recuse themselves from discussions and vote on the topic. Example #2 Situation: A DD Council member has a spouse, significant other, immediate family member (or other relationship outlined within State or Territory guidelines) receiving funds from a DD Council funded project. Result: This would constitute a conflict of interest for the DD Council member. Recommendation: DD Council member would consider resigning appointment to the DD Council. Example #3 Situation: A DD Council member participates in the design of a request for proposal outlining the activities of a project that will be funded by the DD Council; the DD Council member s place of employment competes for the funding. Result: The involvement of the DD Council member may constitute a perception of conflict of interest and unfair advantage to other entities competing for the DD Council funds.

22 II-13 Recommendation: The DD Council member can publically disclose the conflict [so that it is in the record], and recuse themselves from discussions and vote on the topic. How do DD Councils provide the assurance? DD Councils use a variety of methods to provide the assurance. The most common are: Conflict of Interest policies Information forms that provide disclosure from DD Council members about other boards and organizations they represent Code of Conduct policies Recusing oneself from the room when discussions or voting occurs

23 II-14 Executive Director Annual Evaluation What does the DD Act say? Section 125 (c)(9) The Council shall, consistent with State law, recruit and hire a Director of the Council, should the position of Director become vacant, and supervise and annually evaluate the Director. The Director shall hire, supervise, and annually evaluate the staff of the Council. Council recruitment, hiring and dismissal of staff shall be conducted in a manner consistent with Federal and State nondiscrimination laws. Dismissal of personnel shall be conducted in a manner consistent with State law and personnel policies. Why? Because the executive director is such a critical figure in the organization, it is important to know how he/she is contributing to the DD Council s success and in what ways he/she could improve her performance. To do this, the DD Council must conduct regular evaluations that not only review the executive director's strengths and weaknesses but also propose ways of improving his/her performance. The Basics Step one: Identify the evaluation committee. Step two: Set the goals and objectives of the executive director's job. Step three: Develop the evaluation form. Step four: Assess. Avoid these common errors when conducting the evaluation: Focusing on a single trait or incident Rating personality above performance Substituting likes and dislikes for objectivity Being overly lenient or severe Keeping assessments near the average Provide a copy of the evaluation form to the executive director so they can conduct a self assessment. Step five: Meet with the executive director. Step six: Implement the changes.

24 II-15 Frequently Asked Questions (FAQs) What do most Executive Director job descriptions include? The ED Position Breakdown of responsibility State planning and fiscal activities 20 50% Community relations 10 20% Support to Council 10 15% Supervisory/Human Resources 10 30% Public policy 10 15% Note: Percentages and responsibilities reflect the majority of ED job description responsibilities. How do DD Councils evaluate the Executive Director? What are Councils doing? Survey entire DD Council Survey questions tied directly to job description of the Executive Director Rating scale (remarkable, satisfactory, unsatisfactory, unknown) Protect anonymity Results are tabulated by evaluation committee Chairperson or evaluation committee is authorized by DD Council to conduct the evaluation and informs the DD Council of completion and results.

25 II-16 Resource ANNUAL EVALUATION OF THE EXECUTIVE DIRECTOR Because the executive director is so central to the success or failure of the DD Council, evaluation of the executive director by the DD Council is an important component of the DD Council s responsibilities. But too often evaluations (and job descriptions) are undertaken only when the DD Council has become unhappy with their executive director. An annual, written evaluation both documents the executive director's achievements and shortcomings, and helps the executive director understand areas for improvement or where the DD Council is insufficiently informed. Typically, a committee of the DD Council (often the DD Council officers) leads the evaluation process, reports on the evaluation to the entire DD Council, and recommends salary for the next year. Because the executive director acts both directly and indirectly through others to manage the organization, evaluating the executive director's performance is inevitably linked to evaluating the DD Council s performance as a whole. As a result, a DD Council may incorporate the evaluation of the executive director into the annual review of organizational performance and goal-setting for the coming year (see the Board Cafe's April 1999 issue on a "360 Degree Assessment of the Agency"). Most DD Council s involve only other DD Council members directly in the evaluation process. Others choose to utilize feedback from the staff on the executive director's work as well. Still others go outside the agency to gather information regarding the performance of both the agency and the executive director, for example, to funders, collaborating agencies, volunteers, and clients. Although survey-type assessments are easy to use, they have some important shortcomings. First, they are based on the perceptions of DD Council members, who frequently have very limited views of the executive director's performance. A failing executive can hide problems from the DD Council more readily than from staff, clients, or funders. A second shortcoming is that the quantitative nature of the questionnaire tends to attribute the same level of importance to all activities, and success with smaller tasks can inappropriately compensate for a big failure. For example, if an executive director does wonderful program and community work, but has incurred a huge deficit leading the agency to the brink of bankruptcy, the problem will only show up as one or two negative "grades" and won't affect the "grade point." Because of these shortcomings, it's important to see the Annual Assessment not as the evaluation itself, but as the starting point for a discussion. Regardless of the evaluation process used, don't forget that executive directors need feedback all year round. Like any employee, executive directors need praise and acknowledgment for work well done, and immediate feedback when problems arise. In the best situations, the Council president (chair) and officers have established good working relationships with the executive director where constant feedback flows in both

26 II-17 directions. The annual formal evaluation is an important component of, not a substitute for, that relationship. This Assessment is best used as a "first draft" for your own tool. You might add questions related to publishing, or meeting with the press, or adapt these questions to your own Council s work. SAMPLE~SAMPLE~SAMPLE~SAMPLE~SAMPLE Executive Director's Annual Assessment Please rate your assessment of each category of performance as Remarkable, Satisfactory, Unsatisfactory or Unknown Council Wide: Program Development and Delivery a. Ensures that the Council has a long range strategy which achieves its mission, and toward which it makes consistent and timely progress. b. Provides leadership in developing program and organizational plans with the Council members and staff c. Meets or exceeds Council goals in quantity and quality d. Evaluates how well goals and objectives have been met e. Demonstrates quality of analysis and judgment in program planning, implementation, and evaluation f. Shows creativity and initiative in creating new programs g. Maintains and utilizes a working knowledge of significant developments and trends in the field Comments: (Circle one) R S U Unk R S U Unk R S U Unk R S U Unk R S U Unk R S U Unk R S U Unk Administration and Human Resource Management a. Divides and assigns work effectively, delegating appropriate levels of freedom and authority b. Establishes and makes use of an effective management team c. Maintains appropriate balance between administration and programs d. Ensures that job descriptions are developed, and that R S U Unk R S U Unk R S U Unk R S U Unk

27 II-18 regular performance evaluations are held and documented e. Ensures compliance with personnel policies and state and federal regulations on workplaces and employment f. Ensures that employees are licensed and credentialed as required, and that appropriate background checks are conducted. g. Recruits and retains a diverse staff h. Ensures that policies and procedures are in place to maximize Council member involvement i. Encourages staff development and education, and assists program staff in relating their specialized work to the total program of the Council. j. Maintains a climate which attracts, keeps, and motivates a diverse staff of top quality people Comments: Community Relations a. Serves as an effective spokesperson for the Council; represents the programs and point of view of the organization to agencies, organizations, and the general public. b. Establishes sound working relationships and cooperative arrangements with community groups and organizations. Comments: R S U Unk R S U Unk R S U Unk R S U Unk R S U Unk R S U Unk R S U Unk R S U Unk Financial Management and Legal Compliance a. Assures adequate control and accounting of all funds, including developing and maintaining sound financial practices b. Works with the staff, Finance Committee, and the Council in preparing a budget; sees that the Council operates within budget guidelines. c. Maintains official records and documents, and ensures compliance with federal, state and local regulations and reporting requirements (such as annual information returns; payroll withholding and reporting, etc.) d. Executes legal documents appropriately R S U Unk R S U Unk R S U Unk R S U Unk

28 II-19 e. Assures that funds are disbursed in accordance with contract requirements and DSA procedures Comments: Comments: R S U Unk Council Members a. Works well with Council officers b. Provides appropriate, adequate, and timely information to the Council c. Provides support to Council committees d. Sees that the Council is kept informed on the condition of the Council and important factors influencing it. e. Works effectively with the Council as a whole Comments: R S U Unk R S U Unk R S U Unk R S U Unk R S U Unk Are there specific performance objectives, either for the executive director or for the Council as a whole, which you would suggest we add for the coming year? Are there any other comments you would like to make? The above Assessment is excerpted from Boardroom Dancing: A Practical Handbook for Nonprofit Boards, to be published later this year by CompassPoint Nonprofit Services.

29 III-1 DD Council Executive Director Orientation Section III Federal Reports and Required Documentation Contents: Program Performance Report Consumer Satisfaction Toolkit State Plan State Plan Amendments DD Suite Revised 3/2016

30 III-2 Program Performance Report (PPR) The PPR is the annual report that identifies and reports on progress achieved through advocacy, capacity building and systemic change activities of the DD Council. The PPR covers the previous year s federal fiscal activities and includes: The extent to which State plan goals and objectives are achieved; Information on the strategies, projects and activities undertaken by the DD Council during the year to achieve the objectives in the State plan; Factors impeding achievement; Needs that require amending the State plan; Update on the mandated self-advocacy goal; Consumer/customer satisfaction with DD Council supported or conducted activities. There are 6 reporting sections in the PPR Section I Identification Section II Comprehensive Review and Analysis Update Section III Council Progress on Goals and Objectives and Performance Targets Section IV Consumer Satisfaction with Council Supported or Conducted Activities Section V Measures of Network Collaboration Section VI Dissemination of the Annual Report DD Council Resources can be found at under the tab: Annual Program Performance Report: For your convenience, we have direct linked the following resources Guidance for Completing the Annual DD Council Program Performance Report (PPR) DD Suite User Guide for Completing the Program Performance Report AIDD created a DD Council self-check tool for your use in reviewing and submitting your report. This tool is located at Annual Program Performance Report Tab

31 III-3 Summary of APPR Reporting Sections Section I: The purpose of the section is to provide contact information for the Council; Information for the Designated State Agency (DSA); other information is requested or imported directly on the report for verification or editing. Section II: The purpose of this section is to provide an update on the comprehensive review and analysis included in the State plan, and waiting list numbers as required in the DD Act. It is important to indicate changes in political, social, legislative, and economic areas. It is not necessary to reiterate the exact information in the State plan, rather only those factors which changed and had an effect on programs and services for people with developmental disabilities and/or an effect on the Council s goals and objectives since the last State plan submission. Section III: The purpose of this section is to describe to AIDD specific information about projects, strategies, and activities of the Council for each activity that was active for the reporting period. This section fulfills the DD Act requirements for reporting on elements such as: A description of the strategies that contributed to achieving the goals; The extent to which the goals were achieved; Section III has two separate reporting areas Council Progress goals and Council Progress objectives. Some information will be pre-populated from your State plan and/or amendments, and the Council also has the ability to edit all areas in the report. Section IV: The purpose of this section is to provide information on consumer/customer satisfaction with Council supported or conducted activities. The Council should meet the minimum requirements for completed surveys; include individual format and stakeholder format information and collect at a minimum, the information required in the Consumer Satisfaction Toolkit. Section V: The purpose of this section is to report on examples of areas of collaboration across the DD Network (DD Council, P&A, UCEDD). Section VI: The purpose of this section is to describe how the DD Council will disseminate the annual report. Elements include to whom the report is sent; where the report is disseminated; availability of alternate formats and the availability of an Executive Summary.

32 III-4 Consumer Satisfaction Toolkit The DD Act of 2000 requires State Councils (at the end of each grant year) to examine their goals and determine customer satisfaction with Council supported or conducted activities. (SEC.125(c)(3)(E). DD Council reports must include information on consumer satisfaction with Council supported or conducted activities. (SEC.125(c)(E)(ii))). In 2003, the Administration on Intellectual and Developmental Disabilities (formerly the Administration on Developmental Disabilities) worked with DD Council Executive Directors and selfadvocates developing a consumer satisfaction framework. In the spring of 2004, pilot states were engaged to develop protocols and instruments. Currently, DD Councils must include satisfaction data in each Annual Program Performance Report (APPR). Individual and Stakeholder Responses are required. The Consumer Satisfaction Toolkit includes detailed information for a Council s use. Surveys correspond to the information required in the APPR. Note: Survey is found on page 5 of the Consumer Satisfaction Toolkit.

33 III-5 Stakeholders Satisfaction Note: Stakeholder format found on page 12 of toolkit.

34 III-6 Table 1: ADD State and Recommended Sample Size for Satisfaction Evaluation State Recommended Sample 1 Comments 1. California, Texas, New York, Florida, Illinois, Pennsylvania, Ohio, Michigan, New Jersey, Georgia 2. North Carolina, Virginia, Massachusetts,Indiana, Washington, Tennessee, Missouri, Wisconsin, Maryland, Arizona 3. Minnesota, Louisiana, Alabama, Colorado, Kentucky, South Carolina, Oklahoma, Oregon, Connecticut, Iowa, 4. Mississippi, Kansas, Arkansas, Utah, Nevada, New Mexico, West Virginia, Nebraska, Idaho, Maine 5. New Hampshire, Hawaii, Rhode Island, Montana, Delaware, South Dakota, North Dakota, Alaska, Vermont, DC, Wyoming Guam, CNMI, American Samoa 30 1 Recommended sample size based on population, population density by state and incidence of individuals with DD by state; completion of these targets would yield approximately 3200 respondents across the country per year.

35 III-7 5-Year State Plan DD Councils are required to create a 5-year State Plan that includes all required components identified in the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (PL ) (the DD Act). Throughout the planning, DD Councils should keep in mind four key concepts: 1. DD Council member engagement in the planning process 2. Collaboration with the DD Network and other partners 3. Stakeholder input on state needs and the proposed plan 4. The use of data for planning purposes These four concepts are critical to developing the State plan. The DD Act empowers DD Council members to be the driving force behind the State plan. Throughout the planning process, strategies should be used to fully support and involve members in all aspects of developing the plan. In addition to DD Council member involvement, DD Councils understand and appreciate the importance of partnering with others in all aspects of their work, including the development of the State plan. Such collaboration allows for DD Councils to ensure various perspectives, needs, and priorities are included into the State plan. DD Councils should solicit and consider the public s view on service gaps and priorities, as well as how well the DD Council s proposed plan addresses state needs. Finally, the DD Act calls for "data-drive strategic planning". Data is an important source of information for DD Councils in the strategic development of the Five-Year State Plan. Data can be used to inform the DD Council's Comprehensive Review and Analysis of the availability of and the need for services, supports, and other assistance in the state. Data can also be used as the basis for developing the goals in the DD Council's Five-Year State Plan and for evaluating the results of DD Council efforts. To assist DD Councils with the 5-year State Plan Development process, The State Plan Development Resource was created. State Plan Amendments Annually, Councils on Developmental Disabilities must submit amendments to their 5-Year State Plan. Substantive amendments are due August 15th of each year for the following federal fiscal year, and non-substantive amendments are due January 1 of each year for the current federal fiscal year. To assist DD Councils with the Annual State Plan Amendment process, a guide titled Information for Completing the DD Council Annual State Plan Amendment was created. A number of other State Plan resources are available on State plan tab.

36 III-8 DD Suite DD Suite is a web-based, uniform data management system for DD Councils. Currently, DD Suite is used for DD Councils to electronically submit 5-year State Plans, State Plan Amendments and Annual Program Performance Reports to the Administration on Intellectual and Developmental Disabilities (AIDD). Since 2011, AIDD, through its technical assistance funded entity, has provided sub-grant funds to support maintenance and further development of system mechanisms to capture and maintain information on program projects, activities, and products that can be used to complete Annual Program Performance Reports within the DD Suite application. DD Councils can also use the DD Suite performance management features of the system to track council activities and manage grants and programmatic reporting. Annually, refresher webinars are offered prior to the Annual Program Performance Reporting and State Plan Amendments due dates. DD Suite personnel and ITACC personnel provide an overview of the system and programmatic content information to assist with the creation of required reporting. Click here for more information on DD Suite

37 1 Financial Information Councils on Developmental Disabilities 2016

38 2 Introduction This resource is intended to serve as a reference tool and guide for fiscal managers, executive directors and others responsible for the administration and financial management of federal allotments to State Councils on Developmental Disabilities (DD Councils). DD Councils are authorized through PL , The Developmental Disabilities Assistance and Bill of Rights Act of 2000 (DD Act). The purpose of this resource is to explain and clarify federal regulations and existing policies in a straight-forward manner. We recognize that some things may have been left out, or need to be further explained. If you feel we have made a mistake in the explanation of the material, we invite and welcome your comments on the information contained in this manual. Please send your comments to: Sheryl Matney NACDD 1825 K Street, NW Suite 600 Washington, DC This project was supported, in part by grant number 90DN0292, from the U.S. Administration for Community Living, Department of Health and Human Services, Washington, D.C Grantees undertaking projects under government sponsorship are encouraged to express freely their findings and conclusions. Points of view or opinions do not, therefore, necessarily represent official Administration for Community Living policy.

39 3 Table of Contents Administration for Community Living... 5 Organizational Configuration... 5 ACL Organizational Chart Text Version... 5 ACL Statement... 7 AIDD (Administration on Intellectual and Developmental Disabilities)... 8 Grant Information... 9 Grant Notice of Award Letter Grant Terms and Conditions Definitions: Obligations and Liquidations What are the Consequences of Unobligated and Unliquidated Funds? OMB Circular Information Fiscal Responsibilities of the DD Council What Does PL Say? DD Council Policies Budget Development Process Federal Financial Forms The Financial Report Connection Federal Financial Reports Financial Status Form Grant Match Requirements Match Requirements The Basic Rule Exceptions to the Basic Rule Category Category Types of Match Match Requirements In-Kind Resource: Independent Sector s Value of Volunteer Time Unallowable Match Match Documentation Match versus Leveraged Funds Program Income State Plan Activities Conducted by the DD Council and DD Council Staff... 32

40 4 Position Review Sample Time Study Information Functions of the DSA Reimbursement of expenses for functions of the Designated State Agency (DSA) Appendix 1: OMB Super Circular FAQ s for DD Councils Resources for Understanding the Uniform Guidance Appendix 2: Sample Basic Budget Report Appendix 3: Urban and Rural Poverty Areas * The Official Federal Statistical Definition of Poverty Special Resource Food and Beverage... 46

41 5 Administration for Community Living Organizational Configuration The Administration for Community Living (ACL) is part of the U.S. Department of Health and Human Services and is headed by the Administrator, who reports directly to the Secretary of Health and Human Services (HHS). ACL s Principal Deputy Administrator serves as Senior Advisor to the HHS Secretary for Disability Policy. ACL is structured to provide general policy coordination while retaining unique programmatic operations specific to the needs of each population we serve. ACL is comprised of the following units: Office of the Administrator* Administration on Aging (AoA) Administration on Disabilities (AoD) National Institute on Disability, Independent Living, and Rehabilitation Research (NIDILRR) Center for Integrated Programs (CIP) Center for Management and Budget (CMB) Center for Policy and Evaluation (CPE) *Within the Office of the Administrator is ACL s Office of Regional Operations. ACL s Regional Support Centers are located across the United States. ACL Organizational Chart Text Version The U.S. Administration for Community Living (ACL) is led by the Administrator, who also serves as the Assistant Secretary for Aging. The Administrator is directly supported by the Principal Deputy Administrator. The following staff offices report directly to the Administrator: Office of External Affairs Office of Regional Operations, which includes ten offices located in various regions of the United States

42 6 ACL is comprised of the following units, which report directly to the Administrator: Administration on Aging Administration on Disabilities Center of Integrated Programs Center for Management and Budget Center for Policy and Evaluation National Institute on Disability, Independent Living, and Rehabilitation Research The Administration on Aging is led by the Assistant Secretary for Aging, who is directly supported by the Deputy Assistant Secretary for Aging. Reporting directly to the Deputy Assistant Secretary for Aging are the following offices: Office of Supportive and Caregiver Services Office of Nutrition and Health Promotion Programs Office of Elder Justice and Adult Protective Services Office of American Indian, Alaskan Native and Native Hawaiian Programs Office of Long-Term Care Ombudsman Programs The Administration on Disability is headed by a Commissioner, who reports directly to the ACL Administrator, and a Deputy Commissioner who also serves as Director of Independent Living. Reporting directly to the Commissioner and Deputy Commissioner are the following offices: Administration on Intellectual and Developmental Disabilities Independent Living Administration Reporting directly to the Deputy Administrator of the Center for Integrated programs are the following offices: Office of Healthcare Information and Counseling Office of Consumer Access and Self-Determination Office of Integrated Care Innovations

43 7 Reporting directly to the Deputy Administrator of the Center for Management and Budget are the following offices: Office of Budget and Finance Office of Administration and Personnel Office of Grants Management Office of Information Resources Management Reporting directly to the Director of the Center for Policy and Evaluation are the following offices: Office of Policy Analysis and Development Office of Performance and Evaluation Reporting directly to the Director of the National Institute on Disability, Independent Living, and Rehabilitation Research are the following offices: Office of Research Sciences Office of Research Evaluation and Administration ACL Statement ACL was initially established on April 18, 2012 by bringing together the Administration on Aging, the Office on Disability and the Administration on Developmental Disabilities. Since then, ACL has grown significantly. Through budget legislation in subsequent years, Congress moved several programs that serve older adults and people with disabilities from other agencies to ACL, including the State Health Insurance Assistance Program, the Paralysis Resource Center, and the Limb Loss Resource Center. The 2014 Workforce Innovation and Opportunities Act moved the National Institute on Disability, Independent Living, and Rehabilitation Research and the independent living and assistive technology programs from the Department of Education to ACL. On June 2, 2015 the Federal Register published ACL s updated Statement of Organization, Functions, and Delegations of Authority (PDF). An online version of the published Statement is also available. The Statement reflects ACL s expanded mission and details the organization structure and roles and responsibilities of its centers and offices. From the beginning, ACL was based on a commitment to one fundamental principle that people with disabilities and older adults should be able to live where they choose,

44 8 with the people they choose and fully participate in their communities. Inherent in this principle is the core belief that everyone can contribute, throughout their lives AIDD (Administration on Intellectual and Developmental Disabilities) The Administration on Intellectual and Developmental Disabilities provides financial and leadership support to organizations in every state and territory in the United States to ensure that individuals with developmental disabilities and their families can fully participate in and contribute to all aspects of community life. AIDD oversees four grant programs established by the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (State Councils on Developmental Disabilities, Protection and Advocacy Systems, University Centers for Excellence in Developmental Disabilities Education, Research and Service and Projects of National Significance); oversees the President s Committee for People with Intellectual Disabilities, and administers the disability provisions of the Help America Vote Act. In each state or territory, the four grant programs form a developmental disabilities network, or DD Network.

45 Grant Information 9

46 10 Grant Notice of Award Letter The notice of award (NOA) letter contains standard information about the DD Council Basic Grant award and includes the following information: Grantee; State or Territory name; DSA name, address or DD Council name, address. Date of award Grant Number (Unique number identifying the fiscal year, program and the grantee; use this number any time you are communicating about the award) Sequence number (identifies fiscal year and sequence award notice number) Award Instrument (Formula Grant for DD Councils) Project Period (obligation and liquidation timeframes) Award Authority (PL ) EIN (Electronic Identification Number) CFDA Program Title (Catalog of Federal Domestic Assistance number; State DD Councils) Award amount for this notice (indicates the amount of funds released by this award notice) Cumulative Grant award to date Appropriation information Object Class Code *Note: When a continuing resolution is enacted, there may be more than one award notice provided. Grant Terms and Conditions Grant award terms and conditions are issued annually with the first grant award notice. The terms and conditions provide important information on the grant requirements for the specific project period/fiscal year grant award. The terms and conditions include: Program standards Administrative requirements Sub-recipients and vendors under grants Financial status and program performance reporting Payment arrangements

47 11 Below is a sample of the terms and conditions taken from the 2016/2 Notice of Award to DD Councils: Terms and Conditions: 1. REVISED: This grant award is issued under Title I, Subtitle B of Developmental Disabilities Assistance and Bill of Rights Act of The terms and conditions of this Notice of Award and other requirements have the following order of precedence: (1) the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (DD Act), P.L ; (2) other applicable Federal statutes and their implementing regulations; (3) program regulations; and (4) terms and conditions of award. 2. By requesting or receiving funds under this award, the recipient assures that it will carry out the project/program and will comply with the terms and conditions and other requirements of this award. Further, the recipient agrees to be responsible for limiting the draw of funds to the actual time of disbursement and submitting timely reports as required; and to be responsible for effectively controlling the use of cash in compliance with Federal requirements when these funds are advanced to secondary recipients. 3. REVISED: This grant is subject to the requirements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards under Title 45 CFR Part 75. These requirements and additional terms and conditions that are applicable to this award can be found on the ACL website: HHS terms and conditions can be found in Part II of the HHS Grants Policy Statement ( Information for ACL s current grantees can be found here: 4. Withdrawals of funds are not to exceed the total grant award shown above under provisions of Treasury Circular No Failure to adhere to these requirements may cause the suspension of grant funds. 5. REVISED: The DDC Federal Financial Report (SF-425) is due annually. The report is due within 90 days for each 12-month period ending September 30, due by December 30 for Federal Fiscal Years (FY) 2016 and Each report must be completed on a cumulative basis building on prior year obligations and cash management. A final report is due within 90 days for the period ending September 30, 2018, which is due by December 30, This period is known as the 90 day closeout period and only activities associated with closeout should be conducted during this time. The final report accounts for all obligations and liquidations made under this grant number. (Note: Grantee has two years to obligate the funds and one year to liquidate those obligations.) The ADD-02B report has been discontinued at this time and certain financial elements will be incorporated into the DDC program performance report (PPR). For assistance completing the SF-425, instructions are available at:

48 _instructions.pdf. Complete all lines, as appropriate, including lines 10. a through c. The SF-425 reports can be submitted as an attachment to submitted to the AIDD.Grants@acl.hhs.gov mailbox, with the following in the subject line: [your state]/[your grant number], [FY2016 or 2017 or Final] SF-425 report. 6. The DDC program performance report (PPR) is due December 31, 2016 and can be submitted using DD Suite located at: 7. No Change. 8. No Change. 9. No Change. 10. NEW: The Federal Funding Accountability Transparency Act (FFATA) requires all prime grantees to report on sub-awards in FFATA Sub-award Reporting System (FSRS). Information entered in FSRS will then be displayed on USASpending.gov associated with the prime award furthering Federal spending transparency. Additional FFATA information and terms and conditions can be found here: Remarks: 1. The DDC grant award to your state has been approved for the current period of the fiscal year in the amount shown above. Award levels represent FY 2016 annual funding. The period for liquidation of the obligations is through September 30, Payment under this award will be made available through the HHS Departmental Payment Management System (PMS). PMS provides instructions for making withdrawals of Federal funds. When requesting payment from PMS, please use your P account login and reference the sub-account code ADDDDC16 for payment. Inquiries regarding payments should be directed to Program Support Center/Division of Payment Management (PSC/DPM), DHHS; Post Office Box 6021; Rockville, MD 20852; ; PMSSupport@psc.gov. 3. Federal Cash Reporting: On the SF-425 form, lines 10 a through c are reported on a quarterly calendar year basis (for the periods ending 12/31, 3/31, 6/30, 9/30) at the HHS Departmental Payment Management System (PMS). PMS website is located at: Reconciliation of advances and disbursements is required for each quarter and the report must be completed within 30 days of the end of each quarter (i.e., by 1/30, 4/30, 7/30, 10/30). This reporting requirement is separate from completing the entire SF-425 as denoted in the financial reporting term.

49 4. All previous terms and conditions remain in effect unless revised by this Notice of Award. 13

50 14 Definitions: Obligations and Liquidations Obligations - Definition 45 CFR A state incurs an obligation for Acquisition of personal property or performance of work On the date when It makes a binding, legally enforceable written commitment, or the Council enters into an Interagency Agreement with an agency of State government for the acquisition of personal property or for the performance of work. 45 CFR A state incurs an obligation for Personal services, Services performed by public utilities, Travel, or Rental of real or personal property On the date when it receives the services, or its personnel takes the travel, or it uses the rented property Liquidations - Definition 45 CFR 92.3 Cash Basis* Amount of obligations incurred by the grantee that have been paid. Actual cash disbursements for direct charges Amount of indirect expense incurred Value of in-kind contributions applied Amount of cash advances and payments made to contractors and subgrantees. *With the cash basis of accounting, revenues are recorded when they are received and expenses are recorded when they are paid. Accrual Basis* Amount of obligations incurred by the grantee for which an outlay has been recorded.»actual cash disbursements»amount of indirect expense incurred»value of in-kind contributions applied»new increase (or decrease) in the amounts owed by the grantee for goods and other property received, for services performed by employees, contractors, sub-grantees, subcontractors

51 15 *With the accrual basis of accounting, revenues are recorded when they are earned and expenses when they are incurred. Liquidation Waiver Authority 45 CFR 1386,3(c) The Commissioner may waive the liquidation requirements when State law impedes implementation or the amount of obligated funds to be liquidated is in dispute. See terms and conditions for specific language and timeframes regarding liquidations and obligations. What are the Consequences of Unobligated and Unliquidated Funds? Any Unobligated Funds reported on the 2 nd or 3 rd SF 425 will be de-obligated. Any Unliquidated Funds Reported on the Final SF425 will revert. Important information: For each grant award Councils are given a total of three (3) years to expend federal funds Councils are given two (2) years to obligate the federal funds Councils are given one (1) additional year to liquidate federal funds Obligate A legal promise to pay money that has been set aside for a specific activity or purpose; also referred to as an encumbrance. Liquidate spending money that has been obligated; reimbursing grantees and other invoices.

52 16 OMB Circular Information The Office of Management and Budget (OMB) issued the Super Circular which provides instructions or information issued by OMB to Federal agencies. The Super Circular streamlined 8 Circulars (A-21, A-87, A-122 Cost Circulars; A-133 Single Audit Guidance; A-89 Catalog of Federal Domestic Assistance; A-102, A-110 Uniform Administrative Requirements; A-50 Audit Follow-up) into one circular. The Super Circular is organized: Subpart A Acronyms and Definitions Subpart B General Provisions Subpart C Pre Federal Award Requirements Subpart D Post Federal Award Requirements Subpart E Cost Principles see items for General Provisions for Selected Items of Cost (allowable costs and unallowable costs of selected items) Subpart F Audit Requirements Important Information: The Electronic CFR and information on the Subparts (above) can be found by clicking on the words Electronic CFR An informational brief is available in Appendix A.

53 17 Fiscal Responsibilities of the DD Council

54 18 Introduction: A DD Council is provided federal funds through Congressional allocation supported in Public Law As a result of accepting federal funds, the State/Territory has accepted responsibility to ensure compliance with applicable federal requirements. The responsibility can be vested in the DD Council, the Designated State Agency, and at times are vested with another State agency. It is important for the DD Council to be clear which entity has responsibilities for compliance with the applicable federal requirements. What Does PL Say? Public Law [ 125(c) (8-9)] Each Council shall prepare, approve, and implement a budget using amounts paid to the State to fund and implement all programs, projects, and activities carried out on Subpart B, to include: Conducting hearings and forums as the Council determines necessary to carry out its duties. As determined by Council policy: Reimbursing members of the Council for reasonable and necessary expenses (including expenses for child care and personal assistance services) for attending Council meetings and performing Council duties; Supporting Council member and staff travel to authorized training and technical assistance activities, including in-house training and leadership development activities; Carrying out appropriate subcontracting activities. Hiring and maintaining qualified staff, consistent with State law. Paying a stipend to a member of the Council, if such member is not employed or must forfeit wages from other employment, to attend Council meetings and perform other Council duties; Directing the expenditure of funds for grants, contracts, interagency agreements that are binding contracts, and other activities authorized by the approved State plan. State shall not apply hiring freezes, reductions in force, prohibitions on travel, or other policies to Council staff, to the extent that they impact the staff or functions funded with Federal funds, or prevent the Council from carrying out its functions.

55 19 DD Council Policies Additional policies regarding fiscal responsibilities are often created, adopted and utilized by individual DD Council s to further define the responsibilities of the DD Council, Executive Director and designated State agency. Common policies specific to DD Council member responsibilities include: Prepare, approve, and implement an operating budget for the DD Council; Approve funding activities to be initiated with grant funds; Approve new and continuation grants awards. Common policies specific to the Executive Director s responsibilities include: Establish the operating budget for the DD Council and allocate funds among strategies, programs, and projects; Approve expenditures of funds within the budget approved by the DD Council; Report in a timely manner all relevant information; Recommend budgetary activities. Common policies specific to an Executive Committee s responsibilities include: Provide recommendations to the DD Council for annual budgets; Review and recommend approval for Professional Service Contracts. Important Information: It is important to note that any policies and procedures related to DD Council fiscal operations should reflect the policies and procedures of the State/Territory.

56 20 Budget Development Process A budget is: an itemized summary of estimated or intended expenditures for a given period along with proposals for financing them; a systematic plan for the expenditure of a usually fixed resource, such as money or time, during a given period (fiscal year); A formalized statement of the goals of an organization stated in financial terms that is reflective of the DD Council State Plan. The budget is the plan of how a DD Council will fund their State Plan goals and objectives. What should be included in a budget? An annual operating budget typically includes items such as: o o o o o o o Salaries and Benefits DD Council Member Travel Expenses Staff Travel Expenses Other Expense Items that Support Staff Operations (ex. Supplies, equipment) Professional Service Contracts Grants or Funds Available for Grants Administrative Reimbursement to DSA What is the DD Council member s role? A DD Council member has two primary responsibilities regarding financial activities: 1) Approve the annual budget; 2) Monitor the DD Council s financial status on a regular basis (example: quarterly or during a regularly scheduled DD Council meeting).

57 21 What information do DD Council members need? Annual Operating Budget Salaries and Benefits DD Council Member Travel Expenses Staff Travel Expenses Other Expense Items that Support Staff Operations Contracts Grants or Funds Available for Grants Administrative Reimbursement to DSA Funds Awarded for Grants and/or Contracts for Projects Budgeted/Awarded Expended/Liquidated Summary of Federal Year of Funds Total Federal Award Funds Planned or Obligated/Awarded Funds Expended or Liquidated Funds Available for Future Projects Funds Available for Obligation or Re-obligation Current Year or Prior Year Funds Not Committed for Future Awards Other?? *Note: Sample Basic Budget is located in Appendix 2. Common questions asked by DD Council members: Are our expenses in line with our budget? Are current expenses within the overall budget by line-item? If not, why? Are procedures in place for staff to advise of any concerns regarding spending pattern of grantees? Do we have un-obligated funds for the current year or prior year? Do we have funds from prior years that must be liquidated? What is the DD Council planning for these funds?

58 22 Federal Financial Forms

59 23 The Financial Report Connection The State Plan Budget is developed by the DD Council. The budget reflects how the DD Council will distribute the funds for goals and objectives within the 5 year State plan. The Developmental Disabilities Assistance and Bill of Rights Act of 2000 (PL ) is the legal basis for DD Council requirements to report financial data. The federal fiscal year is October 1 through September 30. The financial management activities for DD Council allotments are continuously monitored and reviewed through the collection and assessment of information the DD Council gathers from financial status reports, Monitoring Technical Assistance Review System (MTARS) visits, and through other relevant correspondence, DD Council meeting minutes and other sources. All DD Councils should employ sound financial and business management practices to ensure that program objectives are met. Important information: For each grant award Councils are given a total of three (3) years to expend federal funds Councils are given two (2) years to obligate the federal funds Councils are given one (1) additional year to liquidate federal funds Obligate A legal promise to pay money that has been set aside for a specific activity or purpose; also referred to as an encumbrance. Liquidate spending money that has been obligated; reimbursing grantees and other invoices.

60 24 Federal Financial Reports Federal Financial Report (FFR) Federal Cash Transaction Report (FCTR) You may want to think of this report as simply reconciling your checkbook. The report is designed to reconcile spending to each federal year s allotment and is filed quarterly. Federal Cash Reporting: On the SF-425 form, lines 10 (a) through (c) are reported on a quarterly calendar year basis (for periods ending 12/31, 3/31, 6/30, and 9/30) at the HHS Departmental Payment Management System (PMS). PMS website is located at: Reports cash expenditure against the authorized grant amount. The report is generated the 1 st weekend after the end of the quarter. Annual FFR is due 90 days after the end of the budget period. Financial Status Form Effective 12/3/2015 Councils are required to submit the SF-425 financial status form for each federal fiscal year starting with FY 2013 forward (grant award years as applicable). The SF-425 is due on December 31 st of each year. Information for this reporting requirement is also included in the DD Council Notice of Award (NOA). Instructions on completing the SF-425 are available at Complete all lines, as appropriate, including lines 10 a c. Submit the reports as an attachment to and send to AIDD.Grants@acl.hhs.gov with the following subject line: [your State/Territory]/[your Grant number],[final, FY16, FY15] SF-425 report. State Plan and/or State Plan Amendment Projected Budget A DD Council State Plan budget is a projection of planned spending on an annual basis and organized by goals and includes funds anticipated to be expended for staff activities implementing the State Plan as well as planning activities, general management and

61 25 designated state agency functions. Additionally, DD Councils must indicate the amount of non-federal match funds they expect to receive directly or as offered by sub-grantees to meet overall requirements for non-federal share of project activities related to the Federal fiscal year s expenditures. The State plan budget is submitted on January 1 of each year, unless the DD Council is making substantive changes to the State plan in which case it is due by August 15 th.

62 26 Grant Match Requirements

63 27 Match Requirements The Basic Rule The basic rule of matching is there must be a 25% match for those necessary costs of all projects that may be supported by an allotment. Exceptions to the Basic Rule There are two categories of exception to the basic rule. Category 1: In-house DD Council Projects; and, Category 2: Projects/Activities in Urban or Rural Poverty areas. Category 1 These activities are supported by Public Law [ 126(a) (1)] State Plan activities o In the case of projects undertaken by the DD Council or DD Council staff to implement State plan activities, the Federal share of the cost of all such projects may not be more than 100% of the aggregate necessary cost of such activities (e.g. no match requirement). Category 2 These activities are supported by Public Law [ 126 (a) (2)] Urban and Rural Poverty Areas (e.g. 10% match) o In the case of projects whose activities or products target individuals with developmental disabilities who live in urban or rural poverty areas, as determined by the Secretary, the Federal share of the cost of all such projects may not be more than 90%. o If 20% or more of an urban or rural area is living below the poverty level, the area is designated as a poverty area. *Note: Further instructions on Urban/Rural Poverty designation are located in Appendix 3.

64 28 Types of Match What does Public Law say? The non-federal share of the costs may be provided in cash or in-kind, fairly evaluated, including plant, equipment or services [ 126(c) (1)]. The non-federal share required of each recipient of a grant from a DD Council may vary [ 126(c) (3)]. Match Requirements In-Kind 45 CFR 92.3 Definition of Third Party In-Kind Contributions indicates Property or services which benefit a federally assisted project or program and which are contributed by non-federal third parties without charge to the grantee or a cost-type contractor under the grant agreement. 45 CFR 74.2 Definition of Third Party In-Kind Contribution indicates Value of non-cash contributions provided by non-federal third parties. They may be in the form of real property, equipment, supplies and other expendable property, and the value of goods and services directly benefiting and specifically identifiable to the project or program 45 CFR Matching or Cost Sharing Cannot be used as match for another Federal program, procurement contract, or other award of Federal funds. Allowable only where, if the grantee receiving the contributions were to pay for them, the payments would be allowable costs. Match must be verifiable from the grantee s records. The records must show how the value placed on 3 rd party in-kind contributions was derived. 45 CFR Valuation of Donated Services Unpaid services will be valued at rates consistent with those ordinarily paid for similar work in the grantee s or sub-grantee s organization or the labor market. A reasonable amount for fringe may be included in the valuation. 45 CFR Valuation of Donated Supplies or Loaned Equipment and Space Supplies: Contribution will be valued at the market value of the supplies at the time of donation.

65 29 Use of Equipment/Space (Title Retained). Contribution will be valued at the fair rental rate of the equipment or space. 45 CFR Valuation of Donated Equipment, Buildings and Land (Title Passes) Review regulations and contact AIDD Resource: Independent Sector s Value of Volunteer Time. National Value of Volunteer Time: The current estimated value of volunteer time for is $23.07 per hour (2014). The estimate helps acknowledge the millions of individuals who dedicate their time, talents, and energy to making a difference. Charitable organizations can use this estimate to quantify the enormous value volunteers provide. Individual State Values for Volunteer Time Value of a Volunteer Hour, by State: 2014 Please note that 2014 is the latest year for which state-by-state numbers are available. There is a lag of almost one year in the government's release of state level data which explains why the state volunteering values are one year behind the national value. Alabama: $20.84 Alaska: $26.59 Arizona: $22.37 Arkansas: $19.31 California: $26.87 Colorado: $25.68 Connecticut: $26.79 Delaware: $20.22 Dist. of Columbia: $39.86 Florida: $21.61 Georgia: $23.26 Hawaii: $23.14 Idaho: $20.21 Illinois: $23.19 Indiana: $22.34 Iowa: $21.75 Kansas: $21.64 Kentucky: $20.29 Louisiana: $22.73 Maine: $20.54 Maryland: $26.41 Massachusetts: $27.82 Michigan: $22.96 Minnesota: $24.83 Mississippi: $19.60 Missouri: $21.30 Montana: $19.89 Nebraska: $20.62 Nevada: $19.81 New Hampshire: $22.98 New Jersey: $25.68 New Mexico: $20.13 New York: $26.86 North Carolina: $21.47 North Dakota: $25.13 Ohio: $21.46 Oklahoma: $21.45 Oregon: $21.99 Pennsylvania: $22.63 Rhode Island: $23.45 South Carolina: $20.56 South Dakota: $19.65 Tennessee: $20.72 Texas: $24.66 Utah: $23.51 Vermont: $21.91 Virginia: $24.90 Washington: $27.54 West Virginia: $20.24 Wisconsin: $22.24 Wyoming: $ See more at:

66 30 Common Examples of Match Volunteer Hours Donated space Donated materials, supplies and equipment Donated professional services Common Sources of Non-Cash Match Type of Non-Cash Match Value Donated Time for bookkeeping, accounting, audit Standard Rate Donated Time for Project Advisory Committee members Various Conference/Training registration fees (Program Income) Discounted Fees from Presenters, Consultants, Volunteers /Volunteer Rate Schedule Donated Time from Local Coordinators Current Salary and Benefit Rates Donated local mileage IRS rate or local organization policy Donated supplies, materials Market Value Office space Rent vs. Lease Occupancy costs Actual pro-rated Previously purchased equipment Market value depreciated Indirect Cost Rate Per approved rate Unallowable Match Unallowable match cannot be used as match for the Federal allotment. Examples of unallowable match are as follows: Matching funds that come from federal funds, unless specifically allowable by Federal statute; most of the time, federal funds cannot be matched with federal funds. Match that is claimed as match for another Federal matching program; match can only be used once, duplicating match is not allowed. Match that represents expenses not allowed under the OMB Super Circular. Match not representing expenses associated with the DD Council funded project. Match that reflects a capital real estate acquisition.

67 31 Match Documentation 45 CFR and Match must be verifiable from the grantee s (DD Council s) records. The records must show how the value placed on 3 rd party in-kind contributions was derived. Suggestions for Documenting Match DD Councils may want to consider asking sub-grantees to provide the following when documenting match: Full description of the item or service The area, expressed value per square foot Rationale for determination of match value Name of contributor Dates when donations were made In cases of discounts an acknowledgement by the provider that the discount is based on the nature of the Program Activity and is not available to the general public. Match versus Leveraged Funds Match funds must meet specific requirements as previously outlined. Leveraged funds are funds secured as a result of Council (sub-grantee) activities. These funds are not subject to the requirements of match (e.g. can be Federal funds; can be for items that would not be allowable for Federal funds). *Note: Leveraged funds are not reported on federal financial forms; however, are reported on the DD Council Annual Program Performance Report (APPR). Program Income Program income is funds earned by a grant recipient from activities which are supported by the direct costs of an award. Example: Funds generated from the sale of commodities (book sales); fees received to attend conferences or workshops

68 32 State Plan Activities Conducted by the DD Council and DD Council Staff In the case of projects undertaken by the DD Council or DD Council staff to implement State Plan Activities, the Federal share of the cost of all such projects may be not more than 100 percent of the aggregate necessary costs of such activities ( 126(a)(3)). There is no match requirement for those activities undertaken by the DD Council (or staff) to implement the State plan. Why is this important? Reduces match required for total federal DD funds available to the DD Council. Non-federal Share is reduced This minimizes the need for State Appropriations for required match Generating extra match from grantees would require increasing overall match from 25% to 30%+. Significantly helps the DD Council comply with the requirement for only 30% general management costs The DD Act states that at least 70% of a DD Council's annual allotment must be spent on State plan goals, objectives and activities which infer the balance would be used for general management operations. How does a DD Council determine how much of a staff members time can be applied to State plan goals and objectives? There are two primary methods currently used by DD Councils: 1) Position review 2) Time study *Note: Whatever method a Council chooses should be used consistently and should be defensible. An example of a State plan strategy for the use of Council staff on State plan objectives/goal is provided below and reflects the position review method: Sample State Plan Objective: The Council and its Committees receive staff and administrative support to effectively implement the Councils mission and goals.

69 33 Position Review Sample Position: Public Policy Director 15% Directs DD Council public policy and public information activities. Coordinates activities of the Public Policy Committee. Ensures completion of Council approved public policy and public information activities. Develops Public Policy Priorities, Position Statements, and reports for approval by Council. 40% Directs and supervises review and analysis of governmental affairs and public policy issues, development of briefing materials, and public policy issues, development of briefing materials, and develops recommendations for Council and/or Committee action. Identifies public policy issues for review by DD Council and/or Committee. Monitors state and federal policy and legislative activities. Coordinates coverage of key public policy meetings. Coordinates tracking of legislative and public policy issues. Represents the Council positions on public policy issues. 30% Supervises implementation of DD Council public policy activities. Coordinates correspondence, testimony, comments on proposed rules. Recommends DD Council public policy actions or activities. Develops briefing material and information. Represents DD Council positions on an ad hoc basis at task forces. Represents DD Council on workgroups, task forces and committees. Coordinates with other consumer and advocate organizations. Coordinates DD Council public information activities. Conducts trainings and presentations on public policy issues. 5% Serves as staff liaison/consultant to selected DD Council grant projects. 5% Hires and supervises public policy staff Total Percentage on State Plan Activities 95%

70 34 Time Study Information The purpose of Time Study is to: Establish Standard Times. Gain information to calculate overall time spent on State plan activities and administrative activities. The benefits from a Time Study: Knowledge about Standard Times to be expected. Ability to estimate total Work content. The procedure for a Time Study will be: A job is selected The method description derived from a method study of the specific job is used to break up the job into units that can be measured more easily. The total job including time spent on State plan activities and purely administrative tasks are rated and measured several times with watch. Average (standard times) is established. The inputs required for a Time Study are: Documented results of a method study for the job to be measured Observations of the job to be studied Time readings for the job to be measured from watch. The outputs from a Time Study will be: Standard times for the Job that has been measured Completed Time Study Sheet with ratings and times Knowledge about the work content for specific Products and processes.

71 Functions of the DSA 35

72 36 What is a designated State agency? A designated State agency is an agency or office within the State designated to support the DD Council in accordance with the DD Act. Functions of the Designated State Agency (DSA) The designated State agency (if other than the DD Council) has six core responsibilities, which can be found in Public Law [ 125(d)(3)(B-G)]: 1. Support Services 2. Fiscal Responsibilities 3. Records, Access and Financial Reports 4. Non-federal Share 5. Assurances 6. Memorandum of Understanding Support Services The DSA shall provide required assurances AND support services as requested by and negotiated with the DD Council. Common examples of support services provided by a designated State agency are: Personnel Services/Human Resource services Legal Services Contract Development Services IT Services Payroll Services Fiscal Responsibilities The Designated State Agency receives, accounts for, and disburses funds. The DSA provides for such fiscal control and fund accounting procedures as may be necessary to assure the proper disbursement of, and accounting for, funds. Records, Access and Financial Reports The DSA shall provide timely financial reports at the request of the DD Council regarding the status of expenditures, obligations, and liquidation by the agency or the DD Council, and the use of Federal and non-federal shares.

73 37 Non-federal Share Non-federal shall can be provided in cash or in kind, fairly evaluated... [ 126(a) (1-3) ;(c)(1)(b)(3)]. Assurances The DD Act requires the DSA to assist the DD Council in obtaining the appropriate State plan assurances, and in ensuring that the plan is consistent with State law. This process varies across the states and territories as to whether the DD Council, DSA, Governor, or other entity is authorized to provide the assurances. The assurances include: Use of funds State financial participation Conflict of interest Urban and rural poverty areas Program accessibility standards Individualized services Human rights Minority participation Employee protections Staff assignments Noninterference State quality assurance Other assurances Memorandum of Understanding A memorandum of understanding (MOU) is a document that delineates the roles and responsibilities of the designated State agency and is initiated at the request of the DD Council. What does Public Law say about the use of grant funds for DSA responsibilities? At the request of any State, a portion of the funds provided to a Council shall be available to pay for expenditures that were necessary for the proper and efficient exercise of the functions of the designated State agency up to: ½ of the costs of the DSA limited to 5% of expended Federal funds or $50,000 whichever is less [ 124(c)(5)(B)(vi)]. The Act provides that to retain these funds, the non-federal share must be at least equal to the amount of non-federal funds provided for that purpose the preceding year. If the State share goes down, the DSA cannot receive funds that year. The DSA should be kept aware of this and the DD Council will need to monitor.

74 38 Reimbursement of expenses for functions of the Designated State Agency (DSA) Guidance for DD Councils The Developmental Disabilities Assistance and Bill of Rights Act of 2000 (PL ) provides language that allows a DD Council to, at the request of a State/Territory, to pay for expenditures that were necessary for the proper and efficient exercise of the functions of the designated State agency. The DD Act limits the expenditures to: Discussion: ½ of the costs of the DSA necessary for its functions as the DSA, but limited to 5% of Federal funds available during the fiscal year or $50,000 whichever is less [ 124(c)(5)(B)(vi)]. In order for a Designated State Agency (DSA) to recoup expenses necessary for the proper and efficient exercise of the functions of the designated state agency (as related to the required functions necessary to support the DD Council which include: receive, account for and disburse funds), the DSA should demonstrate the type of function with the cost of the function. Those expenses should only be for functions necessary to carry out the responsibilities of the DSA. Please note: The total costs claimed by the DSA for its responsibilities as DSA should be (at a minimum) twice the amount the DSA is requesting from the Council. Example: A DSA is requesting $50,000from a DD Council to pay for expenses necessary to provide the required support services (receiving, accounting for, disbursing and reporting funds associated with the DD Council federal grant award). According to the restrictions set forth in the DD Act, the DSA would need to demonstrate that their total expenses for those functions were at least $100,000 (and that the total amount meets the criteria of necessary for the proper and efficient exercise of the functions of the DSA ). Note: A DSA should not bill the Council for $50, per grant award year (or 5% of the grant award, whichever is less) without providing justification of expenses. The DD Council should have documentation to support the expenditure and payment from federal funds. The Act also provides that to retain these funds, the non-federal share of those expenses must be at least equal to the amount of non-federal expenses provided for that purpose the preceding year, i.e., a maintenance of effort requirement. If the State share of those expenses goes down, the DSA may not be eligible to receive the federal share for those expenses for that year from DD funds. The DD Council should make sure the DSA is aware of this stipulation and the DD Council should monitor.

75 39 Appendix 1: OMB Super Circular FAQ s for DD Councils Informational Briefing on the OMB Super Circular and Potential Impact for DD Councils Topic 1: What is the Super Circular? 8 Circulars (A-21, A-87, A-122 Cost Circulars; A-133 Single Audit Guidance; A-89 Catalog of Federal Domestic Assistance; A-102, A-110 Uniform Administrative Requirements; A-50 Audit Follow-up) have been streamlined into one circular. The Super Circular is organized: Subpart A Acronyms and Definitions Subpart B General Provisions Subpart C Pre Federal Award Requirements Subpart D Post Federal Award Requirements Subpart E Cost Principles see items for General Provisions for Selected Items of Cost (allowable costs and unallowable costs of selected items) Subpart F Audit Requirements Topic 2: When does the Super Circular go into effect? Federal Agencies (HHS) must implement policies and procedures by 12/26/2014 Non Federal Entities (DSA s and Councils) are required to implement new administrative requirements and Cost Principles with the receipt of new federal awards made after 12/26/2014 and to additional funding to existing awards made after that date. Non-federal entities may implement at any time after 12/26/2014. Audit requirements are effective for fiscal years beginning on or after 12/26/2014. Topic 3: Indirect Cost Rates If a DD Council grantee (sub-recipient) has a negotiated indirect cost rate approved by a cognizant federal or state agency, the DD Council / DSA is required to accept that entity s negotiated cost rate (unless a statute or regulation allows for an exception). For DD Council grantees that have never had a negotiated rate, a de minimus rate of 10% of modified total direct costs must be accepted by the Council / DSA, and may be used indefinitely. Potential impact for a DD Council: If a DD Council has not previously allowed an indirect cost rate for grantees/contractors, they must now allow indirect costs up to 10% of direct expenses of the project. That amount can be included as part of the previously authorized amount for each project, thus reducing funds

76 40 available for direct project expenses, or could be allowed in addition to those previously authorized amounts. The grantee/contractor cannot include administrative items as line-item expenses within the budget AND also receive the 10% indirect cost rate (double-dipping). Topic 4: Audit Requirements Increased threshold for single audit from $500,000 to $750,000; Potential impact for a DD Council: The DD Council and DSA may want to advise grantees that if they receive more than $750,000 from all federal sources combined, they are required to have an audit. If the grantee is required to have an audit, they must provide the DD Council with a copy of the audit that is then reviewed by a qualified professional. Note: The audit requirements are not new; the only change is the increase on threshold. Topic 5: Compensation of personnel and fringe benefits must be based on accurate records of work performed. Compensation of personnel and fringe benefits must be based on accurate records of work performed (there are high standards on internal control for records used to document salaries charged to federally funded programs). The documentation must include all time worked and can be based on milestones rather than detailed time and effort and can be expressed as a percentage distribution of total activities. Potential impact for a DD Council: If a grantee s budget indicates funds will be used for personnel and fringe benefits, the DD Council would need to monitor that those expenses are used for salaries and fringe benefits. 3 more things you may want to know The Super Circular also: 1) Requires payments in advance if the recipient s accounting system is sufficient. DD Councils may want to become knowledgeable about their process for allowing an advance vs. reimbursement after expenses. 2) Defines limited situations when a recipient may use a sole source for procurement. 3) Reiterates existing requirements that non-federal entities (DD Councils and DSA s) are responsible for monitoring program and compliance performance expectations of sub-recipients.

77 41 Resources for Understanding the Uniform Guidance 2 CFR 200 Uniform Guidance (Note: the CFR will be updated to reflect the technical corrections and changes to agency regulations after the December 26th effective date.) Uniform Guidance Crosswalk for Federal agency Exceptions and Additions Preamble and original Federal Register Notice for Uniform Guidance (78 FR 78589) Frequently Asked Questions- updated as of November 2014 Uniform Guidance Crosswalk from Predominant Source in Existing Guidance (29 pages, 442 kb) Uniform Guidance Crosswalk to Predominant Source in Existing Guidance (10 pages, 282 kb) Uniform Guidance Cost Principles Text Comparison (174 pages, 1.62 mb) Uniform Guidance Audit Requirements Text Comparison (46 pages, 731 kb) Uniform Guidance Definitions Text Comparison (76 pages, 476 kb) Uniform Guidance Administrative Requirements Text Comparison (123 pages, 1 mb) M Next Steps in the Evidence and Innovation Agenda M Metrics for Uniform Guidance

78 Appendix 2: Sample Basic Budget Report 42

79 43 Appendix 3: Urban and Rural Poverty Areas The Developmental Disabilities Assistance and Bill of Rights Act of 2000, P.L , includes two references to urban and rural poverty areas in SUBTITLE B--FEDERAL ASSISTANCE TO STATE DEVELOPMENTAL DISABILITIES COUNCILS. The references are: 42 USC SEC. 124(C)(5)(E) State Plan (E) URBAN AND RURAL POVERTY AREAS. -The plan shall provide assurances that special financial and technical assistance will be given to organizations that provide community services, individualized supports, and other forms of assistance to individuals with developmental disabilities who live in areas designated as urban or rural poverty areas 42 USC SEC FEDERAL AND NON-FEDERAL SHARE Definition of Poverty (a) AGGREGATE COST.- (2) URBAN OR RURAL POVERTY AREAS. -In the case of projects whose activities or products target individuals with developmental disabilities who live in urban or rural poverty areas, as determined by the Secretary, the Federal share of the cost of all such projects may not be more than 90 percent of the aggregate necessary cost of such projects, as determined by the Secretary. In August 1969, the U.S. Bureau of the Budget (the predecessor of the U.S. Office of Management and Budget) designated the Census Bureau poverty thresholds as the federal government s official statistical definition of poverty.* According to Bureau of the Census Statistical Brief/95-13, in 1990, more than 1 in 5 Americans or 52 million lived in a poverty area. Poverty areas are census tracts or block numbering areas (BNAs) where at least 20 percent of residents were poor in Census tracts are small, statistical subdivisions of a county (or statistically equivalent entity). They usually have between 2,500 and 8,000 residents and do not cross county boundaries. All metropolitan counties are subdivided into census tracts. Just over two-thirds of poverty area residents lived in a metropolitan area In many nonmetropolitan counties, however, local census committees have not established census tracts. Such counties are instead subdivided into block numbering areas (BNA s), which are comparable to census tracts in population.

80 44 Most residents of poverty areas are not poor. Poverty areas have high concentrations of poor persons. But that doesn t mean that everyone living in them is poor. In fact, the majority of the Nation s poverty area residents (69 percent) were above the poverty line in State Data Center Program In addition, ADD Information Memorandum issued 8/12/93 states, For purposes of the Act, urban and rural poverty areas in a State are those that meet the definition of the United States Census Bureau for these areas. You may use the information provided by the data centers in your State to identify the location of these poverty areas. To assist you in contacting a data center, we have attached [linked to] the most current listing of the State Data Centers. The SDCs are official sources of demographic, economic, and social statistics produced by the Census Bureau. These data are made available by the Census Bureau to the SDCs at no charge (fees may be charged for customized products). The SDCs make these data accessible to state, regional, local and tribal governments, and nongovernmental data users at no charge or on a cost-recovery or reimbursable basis as appropriate. The SDCs also provide training and technical assistance in accessing and using Census Bureau data for research, administration, planning and decision making by local governments, the business community, and other interested data users. The link for the SDCs is Census Bureau Information by County The Census Bureau provides information on the percent of persons in poverty by county/state. Following is a step-by-step process to get that information. 1. Go to 2. In the PEOPLE section click on Poverty 3. Click on SMALL AREA INCOME AND POVERTY ESTIMATES under Poverty at the top of the page. This will take you to the SAIPE Home Page 4. Click on State and County data 5. Select a year (2012) 6. Select a state 7. Click Continue 8. In the category Select areas to display click Select all 9. In the section Select variable(s) from the list below: select All ages in poverty 10. Click Display Data You will find a chart of each county in the state you selected. The column Percent shows the percentage of all people in poverty by county.

81 45 However, as stated earlier, please keep in mind that metropolitan counties are divided into census tracts small, statistical subdivisions of a county; and many non-metropolitan counties, are subdivided into block numbering areas (BNA s), which are comparable to census tracts in population. Specific information about these tracts can be obtained from the SDCs (see above), or from the Bureau of the Census publication The Poverty Areas in the United States, Subject Summary Tape File (SSTF 17). This is a compact disc containing detailed 1990 census data on persons living in poverty areas, extreme poverty areas, and outside poverty areas. It has a wealth of demographic and socioeconomic data of all three groups. SSTF 17 provides statistics for the entire Nation, as well as each region, division, State, county, metro area, and metro area central city. The file also allows one to identify which census tracts in each of these geographic entities were poverty areas (i.e. at least 20 percent of residents poor), which were extreme poverty areas (i.e. 40 percent or more poor), and which were neither. The SSTF17 CD-ROM is available for $150. Call Customer Services, Bureau of the Census, to order. * The Official Federal Statistical Definition of Poverty In August 1969, the U.S. Bureau of the Budget (the predecessor of the U.S. Office of Management and Budget) designated the Census Bureau poverty thresholds as the federal government s official statistical definition of poverty. The latest version of the document embodying this designation is Statistical Policy Directive No. 14 ( Definition of Poverty for Statistical Purposes ). The text of this directive may be found on p. 35 of the Commerce Department s Statistical Policy Handbook (1978); in the Federal Register, Vol. 43, No. 87, May 4, 1978, p ; and on the Census Bureau s Poverty Measurement Web site at

82 46 Special Resource Food and Beverage Frequently asked questions When a Council or grantee is hosting a meeting, can the Council or grantee use Federal grant funds to pay for food, beverages, or snacks? It depends There is a high burden of proof associated with purchasing food, beverages or snacks. The Council or sub-grantee must show the purchase necessary to meet the goals and objectives of the Federal grant. When making a determination of necessity, a Council may want to use the following guiding questions: Would it alter the activity or outcome in a fundamental manner if the meal function was not included? Would the activity or the intent of the project, still be achieved and/or successful if food and/or beverages were not included? Additional considerations: The Council or grantee can structure the agenda with time for attendees to purchase their own food, beverage and snacks. Food and beverage expenses may be allowable as a travel reimbursement to the traveler. For example: Members of a project advisory committee may be reimbursed for travel expenses to attend a meeting, in this case, meals may be allowable as general travel. However, the reimbursement would be paid to the traveler and not paid directly by a Council or sub-grantee to the food vendor. Select a location in which participants have easy access to food and beverages. If it is necessary to have the meeting, or a series of meetings, all day, and if by taking a longer break for lunch it results in either not having time for all of the key discussions, or if it extends the length of the meeting time overall such that participants spend an extra overnight in travel status, that meal as part of the meeting may be defendable / allowable (This rationale can serve as justification for including one luncheon for Council members during our 2 days of meetings). If the Council or grantee is comfortable that the meal function is allowable as a direct expense, they may want to be sure that an agenda shows some presentation or discussion was occurring during that time. It s not just meal time only!

83 47 an Federal grant funds be used to pay for food and beverages during a reception or a networking session? In general, using project/grant funds to pay for food and beverages for receptions and networking sessions is not justified because participation in such activities is rarely necessary to achieve the purpose of the meeting or conference. Again, there is a high burden of proof make sure appropriate documentation is on file. What if a hotel or other venue provides complimentary beverages (e.g., coffee, tea) and there is no charge to the grantee hosting the meeting? This is fine. Federal grant funds may only be used for expenses that are reasonable and necessary; when planning a conference or meeting and negotiating with vendors for meeting space and other relevant goods and services, grantees may only pay for allowable costs. Note: Some state audit offices check to see if agencies are overpaying for meeting space and getting meals for free. A Council may want to review the charge for meeting room space to see if the fee is increased by an amount similar to the complimentary costs of items provided by the hotel. Can Federal grant funds be used to pay for alcoholic beverages? Use of Federal grant funds to pay for the cost of alcoholic beverages is strictly prohibited. (OMB Title 2; Subtitle A; Chapter 2; Part 100; Subpart E; ) Can a Council or grantee use non-federal resources (e.g., State or local resources) to pay for food or beverages at a meeting or conference that is being held to meet the goals and objectives of its project/grant? Yes. Councils and sub-grantees should follow their own policies and procedures and State and local law for using non-federal resources to pay for food. Food and beverages provided with non-federal funds should be appropriate for the event and not detract from the event s purpose. Note: If non-federal funds are used to pay for food at a grantee-sponsored meeting or conference, offer a written statement that Federal grant funds were not used to pay for the cost of the food or beverages. In addition, the expense paid for with non-federal resources cannot be used for match because match expenditures are governed by the same rules as federally funded expenses. Can a Council or grantee provide meeting participants with the option of paying for food and beverages (e.g., could a grantee have boxed lunches provided at cost for participants)? Councils and/or sub-grantees may offer meeting participants the option of paying for food (such as lunch, breakfast, or snacks) and beverages, and arrange for these items to be available at the meeting. Additionally, this type of expense may be allowable as a travel reimbursement to the traveler (depending on State requirements).

84 48 Can meal functions be paid for with registration fees for a conference or meeting? In general, yes, but again, only if that portion of the registration fee(s) is not counted a match by the Council or sub-grantee. Can Federal grant funds be used to pay for entertainment? Federal grant funds may not be used to pay for entertainment, which includes costs for amusement, diversion, and social activities. What are the consequences of using Federal grant funds on unallowable expenses? The Administration may seek to recover any Federal grant funds identified, in an audit or through program monitoring, as having been used for unallowable costs, including unallowable conference expenses. Other information What should be considered when determining Necessary and Reasonable? Is the cost necessary for the performance or administration of the grant? Were sound business practices followed? Were federal, state and local laws followed? Were the terms of the grant award followed? Were the prices consistent with the fair market? Practical aspects of necessary Does the initiative/program/activity really need this? Is this the minimum amount we need to spend to meet the need? Practical aspects of reasonable Is the expense targeted to valid programmatic/administrative considerations? Do we have the capacity to use what we are purchasing? Did we pay a fair rate? Can we prove it? If we were asked to defend this purchase, could we?

85 Additional resources - 1 Additional ED Resources Posting to the NACDD list-serves Have you been wondering how to post information, requests for information or comments to the new NACDD list-serve system? It is very easy here s how you do it! 1) Start an with the address of the list you are desiring to submit a post a. Nacdd@nacdd.simplelists.com b. itacc@nacdd.simplists.com c. Civic_engagement@nacdd.simplelists.com d. Public_policy@nacdd.simplelists.com e. execs@nacdd.simplelists.com Please note: You must be a member of the list in order to submit and receive posts. 2) Click on send and your message will be posted to the selected list. List information All NACDD list-serves are available to DD Councils. Below is a description of each list: NACDD Currently, there are 148 members on this list (memberships were migrated from the old DD Councils Yahoo! List-serve). The list is designed to facilitate general DD Council information, queries and comments. ITACC Currently there are 135 members on this list (membership were migrated from the old ITACC list-serve). The list is designed to facilitate communication on Technical Assistance related topics. Civic Engagement Currently there are 42 members on this list. Members of the list are actively engaged as a Community of Practice working on civic engagement initiatives. Public Policy Currently, there are 98 members on this list. The list is designed to share public policy related information. Execs Currently, there are 55 members on this list. List membership is restricted to DD Council personnel occupying the position of Executive Director. The list is designed to facilitate communication and networking between Executive Directors. If you have questions, please contact Sheryl at smatney@nacdd.org

86 Additional resources - 2 Federal Restrictions on Lobbying for HHS Financial Assistance Recipients Topics on this page: Statutory and Regulatory Background Current Provisions and Restrictions Evaluation Reports on Grantee Lobbying Activities The Department of Health and Human Services (HHS) fully supports federal restrictions on lobbying using federal funds by HHS grant recipients. In general, recipients of federal funds are not allowed to use said federal funding to lobby federal, state, or local officials or their staff to receive additional funding or influence legislation. The citations below provide a statutory/ regulatory background as well as Department-wide restrictions and links to the implementing legislation, regulation, or guidance. If you have further questions, please contact the Chief Grants Management Official within the appropriate awarding agency. As a general matter, these lobbying restrictions preclude recipients from: Spending federal funds to influence an officer or employee of any agency or Congressional member/staff regarding federal awards; Failing to submit required certification and disclosure forms (i.e., SF-LLL); Using grants funds provided to non-profit organizations or institutions of higher education to influence an election, contribute to a partisan organization, or influence enactment or modification of any pending federal or state legislation; or Expending federal funds to influence federal, state, or local officials or legislation. To fully understand and comply with the restrictions on lobbying, HHS personnel should check all appropriations and programmatic statutes and regulations for further limitations and restrictions. Back to top Statutory and Regulatory Background: Congress placed restrictions on lobbying on recipients of federal funding from all federal agencies through the Byrd Amendment to the Department of the Interior Appropriations Act for Fiscal Year 1990 Pub. L , October 23, 1989; and 31 U.S.C. 1352]. HHS implemented this requirement in 45 CFR Part 93, New Restrictions on Lobbying and our Grants Policy Statement. o No appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. [i] o Influencing or attempting to influence means making, with the intent to influence, any communication to or appearance before an officer or employee of any agency, a

87 Additional resources - 3 Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any covered Federal action. [ii] These restrictions were refined in the Lobbying Disclosure Act of 1995 [Pub. L , December 19, 1995 and 2 U.S.C. 1601, et. seq.] which defined terms in the Byrd Amendment, and repealed reporting requirements in the Byrd Amendment, including semiannual agency compilations for Congress and an annual Inspector General report. In total, these statutory and regulatory provisions preclude expenditure of federal funds to influence officers or employees of any agency or Congressional members or staff regarding the award of federal contracts, grants, cooperative agreements, or loans. HHS implementing regulation, 45 CFR Part 93, requires, upon submission that initiates agency consideration of such person, or receipt by such person, of a certification and disclosure form, if required, of: o o a Federal contract, grant or cooperative agreement exceeding $100,000; or A Federal loan or a commitment providing for the United States to ensure or guarantee a loan exceeding $150,000. [iii] 45 CFR Part 93 also requires that each person file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of information contained in any disclosure previously filed by such person. Such event includes: o A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; o A change in the person or individual influencing or attempting to influence a covered Federal action; or o A change in the officer(s), employee(s), or Member(s) contacted to influence or attempt to influence a covered Federal action. [iv] 45 CFR Part 93, Appendix A Certification Regarding Lobbying includes the required language. Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer of employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, Disclosure Form to Report Lobbying, in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S.

88 Additional resources - 4 Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Statement for Loan Guarantees and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, Disclosure Form to Report Lobbying, in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 45 CFR Part 93, Appendix B Disclosure Form to Report Lobbying provides the required SF- LLL for each person to disclose lobbying activities. Back to top Current Provisions and Restrictions: Provisions in Appropriations Acts, the Affordable Care Act, and the Uniform Guidance [2 CFR 200 and 45 CFR 75] broaden these restrictions. Additional restrictions are placed on non-profit organizations and Institutes of Higher Education, precluding grant expenditures to influence an election, contribute to a partisan organization, or influence enactment or modification of any pending federal or state legislation, including legislative liaison activities.[v] Exceptions to these activities are: o Technical or factual presentations on topics related to the performance of a grant in response to a documented request made by the member of congress or legislative body. [vi] o Any lobbying in order to influence state legislation in order to directly reduce the cost, or to avoid material impairment of the non-federal entity s authority to perform the grant. [vii] o Any activity specifically authorized by statute to be undertaken with funds from the federal award. [viii] o Nonpartisan analysis, study, or research reports and examinations and discussions of broad social, economic, and information provided upon request by a legislator for technical advice and assistance, as defined by the Internal Revenue Code. [ix] HHS stipulates that costs are unallowable if they are associated with any attempt to influence the introduction of federal or state legislation, or the enactment or modification of any pending federal or state legislation through communication with employees or member of congress or state legislatures, or through preparation, distribution or use of publicity or propaganda. [x] Appropriations Acts for Fiscal Years 2012 [which also applied to FY 2013 through continuing resolution], 2014, and 2015 provide: o No part of any appropriation contained in this Act or transferred pursuant to section 4002 of Public Law shall be used, other than for normal and recognized executive-legislative relationships, for publicity or propaganda purposes, for the

89 Additional resources - 5 preparation, distribution, or use of any kit, pamphlet, booklet, publication, electronic communication, radio, television, or video presentation designed to support or defeat the enactment of legislation before the Congress or any State or local legislature or legislative body, except in presentation to the Congress or any State or local legislature itself, or designed to support or defeat any proposed or pending regulation, administrative action, or order issued by the executive branch of any State or local government, except in presentation to the executive branch of any State or local government itself. [xi] o No part of any appropriation contained in this Act or transferred pursuant to section 4002 of Public Law shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for such recipient, related to any activity designed to influence the enactment of legislation, appropriations, regulation, administrative action, or Executive order proposed or pending before the Congress or any State government, State legislature or local legislature or legislative body, other than for normal and recognized executive-legislative relationships or participation by an agency or officer of a State, local or tribal government in policymaking and administrative processes within the executive branch of that government. [xii] o The prohibitions in subsections [above] shall include any activity to advocate or promote any proposed, pending or future Federal, State or local tax increase, or any proposed, pending, or future requirement or restriction on any legal consumer product, including its sale or marketing, including but not limited to the advocacy or promotion of gun control. [xiii] An Action Transmittal is developed within OGAPA/ASFR and provided to HHS Operating and Staff Divisions with salient provisions of appropriations with which the OPDIVs/STAFFDIVs must comply; as of April 1, 2015, these include the following: o Implementation of Enacted Language in the FY2012 Consolidated Appropriations Act. [xiv] o Implementation of Enacted Language in the Consolidated Appropriations Act, 2014 Action Transmittal [xv] Back to top Evaluation Reports on Grantee Lobbying Activities: HHS Office of Inspector General Report: Laws Prohibit the Use of HHS Grants Funds for Lobbying but Limited Methods Exist to Identify Noncompliance, OEI [i] 45 CFR (a). [ii] 45 CFR (h). [iii] 45 CFR (a) and (b). [iv] 45 CFR (c). [v] 2 CFR (c); 45 CFR (c). [vi] 2 CFR (c)(2)(i); 45 CFR (c)(2)(i). [vii] 2 CFR (c)(2)(ii); 45 CFR (c)(2)(ii). [viii] 2 CFR (c)(2)(iii); 45 CFR (c)(2)(iii).

90 Additional resources - 6 [ix] 2 CFR (c)(2)(iv); 45 CFR (c)(2)(iv). [x] 2 CFR (c)(1); 45 CFR (c)(1). [xi] Pub. L , Division G, Title V, Sec. 503(a),(Dec. 16, 2014); Pub. L , Division H, Title V, Sec.503(a), (Jan. 17, 2014); Pub.L , (Mar. 26, 2013); Pub. L , Division F, Title V, Sec. 503(a), (Dec. 23, 2011). [xii] Pub. L , Division G, Title V, Sec. 503(b), (Dec, 16, 2014); Pub. L , Division H, Title V,Sec.503(b), (Jan.17, 2014); Pub.L, 113-6, (Mar, 26,2013); Pub. L , Division F, Title V, Sec. 503(b), (Dec. 23, 2011). [xiii] Pub. L ,Division G, Title V, Sec. 503(c), (Dec.16,2014); Pub. L , Division H, Title V, Sec. 503 (c),(jan. 17,2014); Pub.L , (Mar. 26, 2013);; Pub. L , Division F, Title V, Sec. 503(c), (Dec. 23, 2011). [xiv] Pub. L , (April 6, 2012). [xv] Pub. L , (June 4, 2014). Back to top Back to Grant Policies and Regulations Content created by Office of Grants and Acquisition Policy and Accountability (OGAPA) Content last reviewed on September 2, 2015

91 Additional resources - 7 TO: Council Directors FROM: NACDD RE: Guidance on Educating, Lobbying and Advocacy DATE: December 8, 2009 Advocacy and the DD Act According to the DD Act, Councils must engage in advocacy, capacity building, and systemic change activities that are consistent with the purpose described in section 101(b) and the policy described in section 101(c) [SEC PURPOSE ] The Council may support and conduct activities to provide information to policymakers by supporting and conducting studies and analyses, gathering information, and developing and disseminating model policies and procedures, information, approaches, strategies, findings, conclusions, and recommendations. The Council may provide the information directly to Federal, State, and local policymakers, including Congress, the Federal executive branch, the Governors, State legislatures, and State agencies, in order to increase the ability of such policymakers to offer opportunities and to enhance or adapt generic services to meet the needs of, or provide specialized services to, individuals with developmental disabilities and their families [SEC 125(c)(5)(J)] Key Definitions and Concepts: Educating typically implies the communication of facts, data, reports, studies, program descriptions, budget information, effects on population, and other information without making a specific recommendation on a piece of pending legislation, appropriations, regulation, or policy decision. From a federal perspective, this conveyance of factual information is considered acceptable in all circumstances. It has generally been accepted that educating federal decision makers is not lobbying. Educating policymakers is, however, a safe harbor of permissible activity under federal law. A half-step between educating and lobbying is advocacy, which might be expressed as general support for a cause without seeking a specific policy outcome or decision. However, neither education nor advocacy has been defined in law in the context of describing permissible activity. Note: State administrative policies may bar any contact with federal officials, even though, from the standpoint of federal laws, educational activities are always permitted. Communicating how programs operate and serve the public, the history of the program budget, and the unmet need may all be viewed as educating, as long as a specific recommendation is not advanced on a pending decision, such as passing legislation or an appropriation bill. Basic educational information can build an important foundation of support to help a decision maker better understand a program or agency without actually lobbying for the program. Educating is not typically considered either advocacy or lobbying. Lobbying entails opposing or recommending a specific policy, law or standard. Lobbying is a communication regarding legislation (for or against) that is made to either a legislator or his or her staff, an employee of a legislative body, or any other government employee who may participate in the

92 Additional resources - 8 formulation of legislation. This applies to government officials engaged in the formulation of legislation for Congress. In order for a communication to constitute lobbying, it must both refer to a specific piece of legislation and express a view on that legislation. If an organization asks its members to contact legislators in support of or opposition to specific legislation, that s lobbying. Examples of lobbying: A meeting between organization employees and congressional staffers on pending legislation. A newspaper advertisement urging the citizens of State X to vote in favor in favor of an initiative in State X. Examples of an activity that does not constitute direct lobbying even though it s calculated to have an impact on the legislative process: Writing an op-ed piece of discussing a legislative matter with a newspaper s editorial staff. Giving a radio or television interview, even if you ask listeners to take action in support of or opposition to a legislative proposal. Conducting a press conference or briefing, even on a legislative matter. Writing letters to other activists to provide information about pending legislative matters, so long as the letters do not contain a specific call for action. Advocacy is a gray area that can imply support for a generalized policy such as clean air without recommending a particular standard in law or regulation. By walking this line between advocacy and lobbying, individuals may be able to conduct much of the communication needed to affect a decision without crossing the line that defines lobbying All advocacy is not lobbying (not all lobbying is advocacy) ADD Guidance: Excerpts from Program Instructions ADD PI-01-1 [09/21/01]: Councils cannot use funds to influence the outcome of a Federal, state or local election or for contributions to political parties [OMB Circular A-122, Attachment B, Paragraph 25a (1)] Councils cannot use funds to pay any person for influencing or attempting to influence a Member of Congress, any agency official, or other category of person enumerated in the regulations concerning the "awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement [45 C.F.R. Part 93 and the similar provision in OMB Circular A-87, Attachment B, Paragraph 27, which applies to State and local governments and Indian tribes] Guidance from ITACC Staff: Grantees (Councils) will be able to meet their responsibility to inform, educate or advise policymakers under the Act and avoid violating the applicable limitations on lobbying by emphasizing nonpartisan analysis, study and research. Using a nonpartisan approach, grantees (Councils) would be free to advocate a particular position or viewpoint so long as there is a sufficiently full and fair exposition of the pertinent facts to enable the policymaker to form an independent opinion or conclusion.

93 Additional resources - 9 A grantee (Council) should refrain from presenting unsupported opinions, distorted facts, inflammatory and disparaging terms, or conclusions based more on strong emotional feelings than on objective factual conclusions. When advising legislators and others concerning adoption of legislation one should approach the task in a balanced way, discussing the advantages and disadvantages of the legislation and comparing it with other proposals. A nonpartisan approach to informing legislators does not require you be neutral about outcomes for individuals with developmental disabilities. Demonstrate an unbiased attitude when considering alternatives for meeting the needs of such persons. Emphasize your role as a source of information and advice in helping legislators and other policymakers to identify and evaluate the available alternatives for meeting the needs of individuals with developmental disabilities. Guidance from NACDD Government Relations Consultant: If it s lobbying, Do it on your own time, with your own dime. o When it s lobbying, make clear that you re not in an official capacity and that you re taking annual leave to make this visit and do your meeting.

94 Additional resources - 10 For a copy of the database, please smatney@nacdd.org DD Council Expertise Database 2016 Background: In the Fall of 2015, the NACDD Member Services Committee identified a need to create a centralized database of DD Council Network members who hold knowledge and/or skills in areas relevant to the work of DD Councils. As such, the committee asked DD Council Executive Directors and DD Council staff to self-identify the topical areas and areas of council operations they possessed skills, knowledge, and/or experience and competency. The results have been gathered and organized. The database in organized in two parts: Part A is presented by topics relevant to the field of developmental disabilities, and Part B is presented by topics relevant to DD Council operations. A contact list is included and identifies the type of support an individual can provide. This project was supported, in part by grant number 90DN0292, from the U.S. Administration for Community Living, Department of Health and Human Services, Washington, D.C Grantees undertaking projects under government sponsorship are encouraged to express freely their findings and conclusions. Points of view or opinions do not, therefore, necessarily represent official Administration for Community Living policy