93.279 APRIL 2008 State Project/Program: U. S. Department of Health and Human Services Substance Abuse and Mental Health Services Administration Federal Authorization: State Authorization: Public Health Service Act, Sections 301, 405, 464L, 464N, and 464P, 42 U.S.C. 241, 42 U.S.C. 284, 42 U.S.C. 295, 42 U.S.C. 2850-2, and 42 U.S.C. 2850-4; Small Business Research and Development Enhancement Act of 1992, Public Law 102-564 NC General Statute 122-C N. C. Department of Health and Human Services Division of Mental Health, Developmental Disabilities and Substance Abuse Services Agency Contact Person Program Flo Stein, Chief Community Policy Management NC Division of MH/DD/SAS 3007 Mail Service Center Raleigh, NC 27699 (919) 733-4670 Flo.Stein@ncmail.net Agency Contact Person Financial Katrina Blount Budget and Finance Team NC Division of MH/DD/SAS 3012 Mail Service Center Raleigh, NC 27699-3013 (919) 881-2446 Katrina.Blount@ncmail.net Address Confirmation Letters To: SFY 2008 audit confirmation reports for payments made to Counties, Local Management Entities/Area Authorities, Councils of Government and District Health Departments will be available by around late August to early September at the following web address: http://www.dhhs.state.nc.us/control/ At this site, page down to Letters/reports/forms for ALL Agencies and click on Audit Confirmation Reports (State Fiscal Year 2007-2008). Additionally, audit confirmation reports for Nongovernmental entities receiving financial assistance from the DHHS are found at the same website except select Non-Governmental Audit Confirmation Reports (State Fiscal Years 2005-2008). The auditor should not consider the Supplement to be safe harbor for identifying audit procedures to apply in a particular engagement, but the auditor should be prepared to justify departures from the suggested procedures. The auditor can consider the Supplement a safe harbor for identification of compliance requirements to be tested if the auditor performs reasonable procedures to ensure that the requirements in the Supplement are current. The grantor agency may elect to review audit working papers to determine that audit tests are adequate. B-4 93.279 1
1. PROGRAM OBJECTIVES One of the grants awarded to study the adoption of evidence-based practices (EBPs) is from the National Institute on Drug Abuse (NIDA), Grant #1R21 DA019777-01 for a project titled: Adopting Prevention and Treatment Science-based Practices. This project requires a research be conducted and evaluated in the community to learn about issues that may affect the implementation of a science-based intervention. The evaluation includes both formative and summative evaluation. Formative evaluation addresses process information is collected to improve project services and activities. Summative evaluation looks at outcome information is collected to determine the effects and impact of the project on individuals. The objective of this program is to establish and work with project workgroups and providers to implement and field test protocols, monitoring tools, assessment of implementation fidelity, quality measures, and other data collection forms so that other providers and LMEs may replicate the education and infrastructure building process. Objectives for the Project Adopting Prevention and Treatment (APT) are: To assess readiness and capacity to implement, modify, and sustain a process of continuous practice improvement in services provided by the Division. To build fidelity ratings and outcome measures into the overall system for quality improvement. Using EBPs in prevention (i.e., Project Towards No Drugs or TND) and treatment (i.e., motivational interviewing or MI) using existing fidelity and outcome measures. II. PROGRAM PROCEDURES The project design will involve four regions for prevention and three sites for the treatment interventions, classified in three levels based on their experience with the clinical prevention or treatment intervention. The scope of work for this period of the research study will involve the follow specific objectives. Objective 1: To recruit and provide technical assistance to clinicians to participate who are approved by organization The work will be coordinated by the Research Project Manager and conducted on site by the Research Associate with the collaboration of the clinicians who will be educated in the EBP. Research subgroups of clinicians will be divided into three classifications as noted below: The first classification will be publicly supported programs where the intervention has already been instituted for at least four months. This will enable an examination of change over time. The second classification will be publicly supported programs where training for the intervention is planned to occur during the study. This will enable a before and after intervention comparison. The third classification will be publicly supported programs where no intervention is planned over the course of the study. This group will serve as the comparison condition. All prevention professionals and treatment providers, regardless of gender and race, in the selected publicly supported treatment programs, will be invited to participate in the study. Objective 2: The evidence-based practice educational intervention will be conducted for the series of study groups for both the prevention and treatment components. This will begin in July or August B-4 93.279 2
2006, trainings will occur as 3-4 month intervals following the research timetable approved by the Institutional Review Board. III. COMPLIANCE REQUIREMENTS Crosscutting Requirement The DHHS/Division of Mental Health, Developmental Disabilities and Substance Abuse Services (DMHDDSAS) mandates that all the testing included within the crosscutting section be performed by the local auditors. All requirements for auditing State appropriations for the Substance Abuse Cluster are set forth in the Crosscutting Supplement, identified as DMH-0 for those mandated requirements. This supplement provides additional requirements applicable to the Federal funds. A. Activities Allowed or Unallowed Activities allowed include the development, field testing, and implementation of protocols, monitoring tools, and assessment of implementation fidelity, quality measures, and other data collection forms, which will later be disseminated to other LMEs throughout the State. B. Allowable Costs/Cost Principles All grantees that expend State funds (including federal funds passed through the N. C. Department of Health and Human Services) are required to comply with the cost principles described in the N. C. Administrative Code at 09 NCAC 03M.0201. B. Cash Management These funds are disbursed on a reimbursement basis; therefore Cash Management should not be tested at the local level. D. Davis-Bacon Act E. Eligibility Beneficiaries of these enhanced services will be consumers of mental and addictive disorders treatment and their families. EBPs will assist consumers in the achievement of real life goals in the community of their choice. F. Equipment and Real Property Management Equipment Management This requirement refers to tangible property that has a useful life of more than one year and costs of $5,000 or more. Such equipment may only be purchased per the conditions of the approved contract or grant agreement. Shall the contract be terminated, any equipment purchased under this program shall be returned to the Division. B-4 93.279 3
Real Property Management C. Matching, Level of Effort, Earmarking This requirement does not apply. D. Period of Availability of Federal Funds This requirement does not apply at the local level E. Procurement and Suspension and Debarment Procurement All grantees that expend federal funds (received either directly from a federal agency or passed through the N. C. Department of Health and Human Services) are required to conform with federal agency codifications of the grants management common rule accessible on the Internet at http://www.whitehouse.gov/omb/grants/chart.html. All grantees that expend State funds (including federal funds passed through the N. C. Department of Health and Human Services) are required to comply with the procurement standards described in the North Carolina General Statutes and the North Carolina Administrative Code, which are identified in the State of North Carolina Agency Purchasing Manual accessible on the Internet at http://www.doa.state.nc.us/pandc/agpurman.htm#p6_65. Suspension and Debarment All grantees awarded contracts utilizing Federal dollars must be in compliance with the provisions of Executive Order 12549, 45 CFR Part 76 and Executive Order 12689. J. Program Income This requirement does not apply. K. Real Property Acquisition and Relocation Assistance L. Reporting Project Evaluation The Contractor shall prepare and submit progress reports quarterly by the 15th of the month following the 3rd month of each quarter. The purpose of progress reports is to evaluate the contractor s performance with regard to the contract goal and objectives. As such, the reports shall describe the contractor's activities and deliverables during the reporting period and shall identify the specific contract goals and objectives that these activities or deliverables address. Reimbursement The Contractor shall submit a monthly Financial Status Report (FSR) Form of expenditures to the Contract Administrator of the Division by the 10th of the following month for services provided. M. Subrecipient Monitoring B-4 93.279 4
Monitoring is required if the agency disburses or transfers any State funds to other organizations, except for the purchase of goods or services, the grantee shall require such organizations to file with it similar reports and statements as required by G.S. 143-6.2 and the applicable prescribed requirements of the Office of the State Auditor s Audit Advisory #2 (as revised January 2004) including its attachments. If the agency disburses or transfers any pass-through federal funds received from the State to other organizations, the agency shall require such organizations to comply with the applicable requirements of OMB Circular A-133. Accordingly, the agency is responsible for monitoring fiscal compliance of subcontractors as described above. N. Special Tests and Provisions The agency must comply with specific terms and conditions described in individual contracts for services. Conflicts of Interest and Certification Regarding Overdue Tax Debts All non-state entities (except those entities subject to the audit and other reporting requirements of the Local Government Commission) that receive, use or expend State funds (including federal funds passed through the N. C. Department of Health and Human Services) are subject to the financial reporting requirements of G. S. 143-6.2 for fiscal years beginning on or after July 1, 2005. These requirements include the submission of a Notarized Conflict of Interest Policy (see G. S. 143-6.2(b1)) and a written statement (if applicable) that the entity does not have any overdue tax debts as defined by G. S. 105-243.1 at the federal, State or local level (see G. S. 143-6.2(b2)). All non-state entities that provide State funding to a non-state entity (except any non-state entity subject to the audit and other reporting requirements of the Local Government Commission) must hold the subgrantee accountable for the legal and appropriate expenditure of those State grant funds. Audit Objective Determine whether the grantee before receiving and disbursing State funds has adopted and has on file a conflict of interest policy. Suggested Audit Procedures 1. Ascertain that the grantee has a conflict of interest policy. 2. Check the policy and verify through board minutes that the policy was adopted before the grantee received and disbursed State funds. 3. Verify as to whether or not the grantee has any overdue tax debts at the federal, State or local level by reviewing tax reports filed with the appropriate government agencies and confirming via an inspection of the accounting records that all taxes were paid timely. B-4 93.279 5