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AIDD Guidance and Information Memorandums

AIDD-IM-16-1: Protection & Advocacy Program Guidance on FY 2016 Appropriations Language

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AIDD IM-15-1: Formula Grants (for Councils and P&As)

Issued July 28, 2015

To:

Directors, Designated State Agencies
Directors, State Councils on Developmental Disabilities,
Directors, State Protection and Advocacy Agencies Directors,
National Association of Councils on Developmental Disabilities
National Disabilities Rights Network

Subject:

Formula Grants for Fiscal Year 2016

Legal and Related References:

Public Law 106-402, Developmental Disabilities Assistance and Bill of Rights Act of 2000 (42 U.S.C. 15001 et seq).
&
45 CFR Part 1385.8

Content:

The Final Rule of the Developmental Disabilities Assistance and Bill of Rights Act of 2000 45 CFR Part 1385.8 (which applies to Sections 122 and 142 of the Act) has been modified (80 FR 44799). The formula for determining the allotments for the State Developmental Disabilities Councils and Protection & Advocacy Systems has been removed from regulation. For Fiscal Year 2016, AIDD will continue using the current formula for allotments. AIDD posted estimated allotments on April 1, 2015 for Fiscal Year 2016 at http://acl.gov/About_ACL/Allocations/DD-Act.aspx. [link to be corrected when new page is built]  Estimated allotments for Fiscal Year 2016 are based on Fiscal Year 2015 appropriation final amounts and do not reflect the current Congressional budget discussions.

In the fall of 2015, AIDD will release guidance seeking public comments for a new formula to be used in Fiscal Year 2017 and beyond. AIDD will respond to comments and release a final formula to meet statutory requirements and post estimated allotments by April 1, 2016 at http://acl.gov/About_ACL/Allocations/DD-Act.aspx. [link to be corrected when new page is built] 

AIDD grantees are required to follow all statutory and regulatory requirements (42 U.S.C 15001 et seq. & 45 CFR Parts 1385 through 1388).

The Fiscal Year 2016 allotments will be calculated using the below formula:

The Commissioner will allocate funds appropriated under the Act for the State Developmental Disabilities Councils and the Protection and Advocacy Systems on the following basis:

(a) Two-thirds of the amount appropriated is allotted to each State according to the ratio the population of each State bears relative to the population of the United States. This ratio is weighted by the relative per capita income for each State. The data used to compute allotments are supplied by the U.S. Department of Commerce, for the three most recent consecutive years for which satisfactory data are available.

(b) One-third of the amount appropriated is allotted to each State on the basis of the relative need for services of persons with developmental disabilities. The relative need is determined by the number of persons receiving benefits under the Childhood Disabilities Beneficiary Program (Section 202(d)(1)(B)(ii) of the Social Security Act), (42 U.S.C. 402(d)(1)(B)(ii)) as a percentage to working population (ages 18–64) of each State.

Inquiries To:

Andrew Morris
Policy Analyst
(202) 357-3424

ADD-IM-08-01: Changes in format and medium (electronic) for Financial Status Reporting for State Councils on Developmental Disabilities (Councils) and Protection and Advocacy Systems (P&As)

Issued 10/31/07

To:

State Councils on Developmental Disabilities
Designated State Agencies
Protection and Advocacy Systems
Regional Office ADD Liaisons

Subject:

Changes in format and medium (electronic) for Financial Status Reporting for State Councils on Developmental Disabilities (Councils) and Protection and Advocacy Systems (P&As)

Discussion:

This is to share with you the formats and procedures for gaining access on OLDC and electronically submitting the financial status reports in the required formats:

  • for P&As: SF-269;
  • for Councils/DSAs: ADD-02 and also ADD-02B.
    • Councils work with Designated State Agencies (DSAs) in financial reporting.
    • Councils/DSAs are no longer required to submit either the SF269 or the SF269A (short form).

You will need to identify two people (plus backups) in your organization to have this OLDC access:

  • Data Entry Person (one plus a backup)
  • Authorized Official: a person to vouch for the accuracy of the data and who is an official authorized to submit the report (one plus a backup).
    • Additionally, you may optionally request that an employee be given authority to create one or more read-only accounts, and that person may be one of the above persons.

Please submit by email the completed request forms for OLDC access for financial status reporting, which can be obtained by contacting Syed Rafiuddin at syed.rafiuddin@acl.hhs.gov. One request form will be completed for each of the people being granted this OLDC access. These completed request forms are to be emailed to the Regional Office OLDC contact.

If you wish to have a person with authority to create read-only accounts, that person may be one of the above two people (i.e., Data Entry or Authorized Official), or may be some third person.

For each request form you submit, please provide the following information:

  • Name (of staff person for whom access is being requested)
  • Phone number
  • Title (only for the Authorized Official)
  • E-mail address
  • Browser name (the browser on the PC of this person, such as Internet Explorer)
  • Browser version (e.g., 4.0.1)
  • Person Type: indicate “Grantee Staff”
  • Do you currently have an OLDC account? (Yes/No)
  • For which State(s)/Territory(s)/Tribe(s)/Grant do you need access?... write the name of your State/Territory/Tribes
  • Program: Council/DD or P&A/DD
  • Form:
    • P&As: SF-269
    • Councils: both ADD-02 and ADD-02B
  • Job Type: Either “Data Entry” or “Authorized Official”
  • Additional Roles: you may optionally request “Read-Only Account Manager”
  • E-mail notification upon Submit (Yes/No)... we recommend that you select “Yes”

For Councils only: it is important that you discuss the above with staff from the DSA, and negotiate who will carry which roles. Please note that you will need access to both the old ADD-02 as well as to the new ADD-02B. The ADD-02 will be used to report FY2005 and FY2006 funding, while the ADD-02B will be used to report FY2007 (and later) funding.

For both Councils and P&As: If you have Program Income, please report it only once, even if you submit financial status reports for more than one year of federal funding. Please report your Program Income in your first-year report (i.e., the report for funding awarded in the most recent fiscal year). For example, this autumn you will report Program Income in the report for funding awarded in FY2007... a year from now you will report Program Income in the report for funding awarded in FY2008), etc... Please note that the reporting of Program Income is cumulative only over the course of the reporting year... it represents total expenditures during only the reporting year, and the status of balances as of the end of that fiscal year.

Change in Reporting Requirements:

As noted in an earlier information memorandum (ADD-IM-06-01), the Council and P&A programs submit their reports annually, having 90 days to report, beginning October 1 following the end of the fiscal year being reported (i.e., the reporting year).

Beginning this autumn (i.e., reporting of expenditures through September 30, 2007), these programs are also to make changes in reporting medium (electronic) and format.

The electronic medium will be On-Line Data Collection (OLDC) system, managed by ACF. Designated staff can get OLDC accounts by having an OLDC request form, obtained by contacting Syed Rafiuddin at syed.rafiuddin@acl.hhs.gov, submitted by email to the OLDC Contact in their region (List of OLDC Contacts By Region) by an authorized grant program official.

With regard to format, the P&A program will continue to use the SF269. The Council program/DSA will discontinue using the SF269 and SF269A, and will commence using the following forms:

  • for reporting of FY2005 funding: ADD-02
  • for reporting of FY2006 funding: ADD-02
  • for reporting of FY2007 funding: ADD-02B
  • for reporting of funding awarded after FY2007: ADD-02B.

These formats can all be found on the OLDC system.

Inquiries To:

ADD:

Jocelin Gridley
202-690-8776
jgridley@acf.hhs.gov

or

Office of Grants Management:

Joseph Lonergan
joseph.lonergan@acf.hhs.gov


Thanks for your cooperation as we take this critical step in managing our financial reporting.

Faith T. McCormick
Director, Office of Programs
Administration on Developmental Disabilities
Administration for Children and Families
200 Independence Avenue, SW, Room 405-D
Washington, DC 20201
faith.mccormick@acf.hhs.gov
202-401-6970

ADD-IM-06-01: Changes in Frequency of Financial Status Reporting for State Councils and Protection and Advocacy Systems

Issued 10/25/05

To:

State Councils on Developmental Disabilities
Designated State Agencies
Protection and Advocacy Systems
Regional Office ADD Liaisons

Subject:

Changes in Frequency of Financial Status Reporting for State Councils and Protection and Advocacy Systems

Legal and Related References:

The Developmental Disabilities Assistance and
Bill of Rights Act of 2000 (42 U.S.C. 15001, est seq.)
P.L. 106-402 Final Rule, 45 CFR Part 1386

Discussion:

Two state-designated recipients of federal financial support authorized under the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (the DD Act) are the State Councils on Developmental Disabilities (Councils) authorized under Subtitle B of the DD Act and Protection and Advocacy Systems (P&As) authorized under Subtitle C. Regulations covering both of these programs are found in 45 CFR, Part 1386, and require that financial status reports be submitted to the Administration for Children and Families (ACF).

The regulations in Part 1386.32 provide the requirement for the Councils, specifying that the “Governor or appropriate State financial officer” must submit this report. The DD Act, in Section 125(d)(3)(C)(i), specifies the “Designated State Agency (DSA) as being responsible to “receive, account for, and disburse funds.” Thus it is the DSA that is responsible on behalf of the Governor and the state to submit the financial status report forms. In practice it is noted that the significant authorities granted to the Council to implement the program require its parallel involvement with the DSA in financial status reporting. Under Information Memorandum ADD-IM-03-02, the financial status reporting comprises the use of the ADD-02 in combination with the SF-269A (Short Form).

The regulations in Part 1386.23 provide the requirement for the P&A’s, specifying that the agency implementing the P&A System must submit the financial status report, the SF-269 (Long Form).

Both of these paragraphs in the regulations specify that the frequency interval for reporting will be specified by ACF, but not more frequently than quarterly. Currently both programs are required to report every six months.

Change in Reporting Requirements

The required schedule for reporting will change October 1, 2005. To reduce the financial reporting burden, the reporting requirement for both programs [DSAs (with Councils) and P&As] will change to annual financial status reporting. The reporting period will be October 1 through September 30 for each open federal fiscal year and your report must be submitted within 90 days of the end of the period (December 30). Note the change to annual financial status reporting provides additional time for submission; formerly it was only 30 days.

Inquiries To:

Jocelin Gridley
Office of Programs
Administration on Developmental Disabilities
Mail Stop HHH, 405-D
370 L'Enfant Promenade, SW., Aerospace Building
Washington, D.C. 20447
Telephone: (202) 690-8776

Patricia Morrissey
Commissioner
Administration on Developmental Disabilities

ADD-IM-03-03: Clarification on Reporting by Protection and Advocacy (P&A) Systems in the Program Performance Report (PPR) in Section III and Section VI

Issued 12/8/03

To:

Executive Directors of Protection and Advocacy Systems Regional Office ADD Liaisons

Subject:

Clarification on Reporting by Protection and Advocacy (P&A) Systems in the Program Performance Report (PPR) in Section III and Section VI.

Legal and Related References:

The Developmental Disabilities Assistance and Bill of Rights Act of 2000 (42 U.S.C. 15001, et seq.) P.L. 106-402 Final Rule, 45 CFR Part 1386

Discussion:

Two sections of the Program Performance Report (PPR) for Protection and Advocacy (P&A) systems proved problematic during last year’s reporting cycle, the first year in which the current format was used. The two problematic sections are Section III and Section IV.

PPR, Section III:   In this section there has been some confusion regarding what is included in each of the subsections. This section is limited to closed cases only.

Subsections C and D look at the individuals whose cases are closed, with Subsection C breaking them out by reasons why the cases were closed, and with Subsection D breaking them out by highest level of intervention. Consequently, Subsection C and Subsection D sum to the same total.

Subsection B on the other hand, rather than looking at individuals whose cases are closed, looks at case problem areas of closed cases. Since one case may involve more than one case problem, please note that Subsection B will probably sum to a larger total than Subsection C and D.

Subsection A., on the other hand, includes only individuals whose cases were closed due to the issues in the case being successfully resolved. The sum of the two items in Subsection A will equal Item #1 of Subsection C (i.e., “Issues resolved partially or completely in the individual’s favor.”) Item #1 in Subsection A (client lives in an institution), would include case problems where the living arrangement of the client is, for example:

  • Nursing Home
  • Public Institutional Living Arrangement
  • Private Institutional Living Arrangement
  • Legal Detention/Jail/Prison/Detention Center
  • Federal Facility

All other living arrangements are to be regarded as “living in the community.”

PPR, Section VI:   This section last year created a great deal of confusion. In this section, the major outcomes that are related to the Statement of Goals and Priorities (SGP) for the P&A system are to be reported. Within the SGP, the P&A system reports Priorities, and for each Priority it provides Indicators of Success. Within Section VI of the PPR, there are ten items to be reported for each Priority listed in the SGP. One of those items (Item #2) is to be repeated as many times as there are Indicators for that Priority. All the other questions are not to be repeated at all for that Priority but reported only once.

Unfortunately, due to software issues, last year’s problem has not been corrected. The problem is that all ten of the Items in Section VI are repeated for each Indicator instead of once for each Priority.

To work around this issue, simply report Items #1 and #3 - #10 once for each priority in Indicator #1, and leave them blank for all other Indicators. Of course, please report Item #2 for every Indicator for every Priority in the SGP.

Inquiries To:

Jocelin Gridley
Division of Program Operations
Administration on Developmental Disabilities
Mail Stop HHH, 300F
370 L'Enfant Promenade, SW., Aerospace Building
Washington, D.C. 20447
Telephone: (202) 690-8776

ADD-IM-03-02: Announcing State Councils on Developmental Disabilities, ADD-02/SF-269 Financial Status Reporting Format (No. 0980-0212)

Issued 8/5/03

To:

State Councils on Developmental Disabilities
Designated State Agencies
Regional Office ADD Liaisons

Subject:

Announcing State Councils on Developmental Disabilities, ADD-02/SF-269 Financial Status Reporting Format (No. 0980-0212)

Legal and Related References:

The Developmental Disabilities Assistance and Bill of Rights Act of 2000 (42 U.S.C. 15001, est seq.) P.L. 106-402 Final Rule, 45 CFR Part 1386

Discussion:

The ADD-02 in combination with the SF-269 is the required financial status reporting form for the State Council on Developmental Disabilities program funded under Subtitle B of the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (DD Act), Public Law 106-402. The ADD-02/SF-269 supersedes the old ADD-01/SF-269 that was formerly used to report financial status information. This new form is designed for reporting on a single form the financial status of funding provided during the current fiscal year together with the financial status of one-year prior and two-years prior fiscal years funding.

Inquiries To:

Jocelin Gridley
Division of Program Operations
Administration on Developmental Disabilities
Mail Stop HHH, 300F
370 L’Enfant Promenade, SW., Aerospace Building
Washington, D.C. 20447
Telephone: (202) 690-8776

Patricia Morrissey
Commissioner
Administration on Developmental Disabilities

Attached:

Form ADD-02 Front
Form ADD-02 Back

ADD-02: Instructions on Use

What is the ADD-02?

The ADD-02 in combination with the SF-269 is the required financial status reporting form for the State Council on Developmental Disabilities program funded under Subtitle B of the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (DD Act), Public Law 106-402. The ADD-02/SF-269 supersedes the old ADD-01/SF-269 that was formerly used to report financial status information. This new form is designed for reporting on a single form the financial status of funding provided during the current fiscal year together with the financial status of one-year prior and two-years prior fiscal years funding.

Submitting the ADD-02

Two reports are to be submitted to the Regional Office annually using this form: the Mid-Year Report and the Year-End Report.

  • Mid-Year Report:Submit this report to cover the report period of October 1 through March 31
  • Year-End Report:Submit this report to cover the report period of April 1 through September 30.

These reports must be submitted within 30 days after the end of the period, based on then available data. If data are missing for some transactions at the time of these deadlines for these reports, then the additional data should be incorporated in later reports.

Four other financial status reports are submitted using this form:

  • Revised Reports
  • Waiver Reports
  • Final Reports and
  • DSA Redesignation Interim Reports

These additional reports are described below.

Completing the ADD-02

The numbered items below refer to numbered parts of ADD-02.

Item 1. Designated State Agency: Official name of the agency designated by the Governor to carry out Section 125(d) of the Act.

Item 2. State: Provide the name of the State or territory.

Item 3. Report Period: __/__/_____ to __/__/______

Provide the beginning and end dates of the period being reported, in the form of MM/DD/YYYY. In these directions, “current Federal fiscal year” refers to the Federal fiscal year of the “Report Period.” The report period for these reports are as follows:

  • for a Mid-Year report: For FFY 2004: 10/01/2003 to 03/31/2004.
  • for a Year-End report: For FFY 2004: 4/01/2004 to 9/30/2004.
  • for a Revised Report: Same as the report it revises.
  • for a Waiver Report: Provide dates of the beginning and end of the waiver period (see “Waiver Report”).
  • for a Final Report: Provide dates for the beginning of the award-fiscal-year and the end of the last period in which the funding was expended.
  • for an Interim report during a change in the designated State agency: Use effective date of re-designation.
Financial Status:

Provide the following data, rounded to the nearest dollar, for each of these rows.

Rows a. through g.

a. “Goal Activities, undertaken by Council/staff”: Subtitle B Federal funding for activities related to the goals referenced in Section 124(c)(5)(B)(i) undertaken in-house by State Council members or State Council staff

b. “Goal Activities, Poverty Area”: Subtitle B Federal funding for activities related to the goals referenced in Section 124(c)(5)(B)(i) not done in-house, benefiting persons with developmental disabilities residing in poverty areas

c. “Goal Activities, Other”: Subtitle B Federal funding for activities related to the goals referenced in Section 124(c)(5)(B)(i) other than above

d. ”General Management”: Subtitle B Federal funding for personnel, budget/finance/reporting not included as part of Goal Activities nor Functions of the Designated State Agency

e. ”Functions of Designated State Agency (FDSA), Federal Participation”: Subtitle B Federal funding for Federal participation in the Functions of the Designated State Agency, as referenced in Section 124(c)(5)(B)(vi)

f. “Total Federal (a. through e.)”: For each column, sum of the lines a. through e., described above (see SF-269, Col.III)

g. “State Match (including FDSA + Prog.Inc.)”: Total funding (or in-kind value) from State or local sources

row h.

“Functions of Designated State Agency (FDSA), State Participation”: Report only funding actually expended (or estimated to be expended) in the reported Federal fiscal year... report only one number (expenditures) for each previous year

Example:

The State has an annual allotment in excess of $1 million. As of April 25 when the Mid-Year Report is prepared, State records indicate the following data for FDSA for the period October 1 through March 31:

 

Expended

Obligated

Planned

Total FDSA (actual cost):

$60,000

$10,000

$50,000

Federal Partic.(Row e, column 4):

$25,000

$4,167

$20,833

State Partic.(Row h, column 4):

$35,000

$5,833

$29,617

Records show State Participation in FDSA last Federal Fiscal Year came to $68,000 (reported on row h, column 5); this is in compliance since State Participation increased to $70,000.

In the later half of October when the Year-End Report is prepared, State records indicate the following data for FDSA for the period October 1 through September 30:

 

Expended

Obligated

Planned

Total FDSA (actual cost):

$115,000

$0

$0

Federal Partic.(Row e, column 4):

$47,000

$0

$0

State Partic.(Row h, column 4):

$68,000

---

---

Note that there is only $47,000 Federal Participation, due to maintenance of State participation ($68,000, State Participation during previous Federal Fiscal Year). The unused $3,000 of current year Federal funding planned for FDSA can be used elsewhere in the program.

row i.

“Program Income(including used as match)”: Program income is reported by semiannual (6 month) period only (expenditures during and balance at end of). Report program income by: 1. total expended during the period (a half year); 2. balance of unliquidated obligations; and 3.balance remaining unobligated and unexpended (in the “Estimates” column). If reported program income data are found to be in error after submission of the report, then correct by adjusting the next period’s program income reported, and indicate the correction in the “Remarks” section. Please contact the regional office about significant errors.

Example:

The periods in this example are semiannual.

Period 1 (Mid-Year Report)
The Council does not have a history of program income.

 

Expended

Obligated

Planned

i. Program Income

-0-

-0-

-0-

Download

ADD PI-01-1: Lobbying

Issued September 20, 2001

To:

Directors, Designated State Agencies,
Executive Directors, State Councils on Developmental Disabilities,
Directors, State Protection and Advocacy Agencies Directors,
University Centers

Subject:

Lobbying

Legal and Related References:

Public Law 106-402, Developmental Disabilities Assistance and Bill of Rights Act of 2000 (42 U.S.C. 15001 et seq).

Content:

ADD has received questions on which activities grantees may engage in to influence legislation and still be in compliance with statutes, regulations and OMB Circulars which generally restrict such activities and other activities Councils, Protection and Advocacy agencies (P&As), University Centers for Excellence and some Projects of National Significance (PNS) are authorized under the provisions of the Developmental Disabilities Assistance and Bill of Rights Act, (the Act), to “educate,” “advise” or “inform” Federal, State and local policymakers. Sections 125(a)(5)(J), 143(a)(2)(L), 153(a)(1), and 161(2)(D)(iii). The “policymakers” referred to in the statute include members of Congress, officials of the Federal executive branch, Governors, members of State legislatures and staff of State agencies.

The ADD grantees have been authorized to undertake such action in order to assist policymakers to improve the services and opportunities available to individuals with developmental disabilities and their families. In addition, State Councils and P&As have the responsibility under the Act to advocate on behalf of individuals with developmental disabilities. [See Sections 121(1) and for enactment or amendment of legislation at the State level affecting individuals with developmental disabilities. Notwithstanding the Congressional authorization of activities to “educate,” “advise” or “inform” Federal, State and local policymakers and to be “advocates,” there are prohibitions on certain considered to be lobbying which are applicable to all ADD grantees. These restrictions are:

  • The prohibitions applicable to nonprofit grantees in OMB Circular A-122, Attachment B, Paragraph 25a (1) and (2) on using funds to influence the outcome of a Federal, state or local election or for contributions to political parties; and
  • The prohibition under 45 C.F.R. Part 93 on the use of grant 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” and the similar provision in OMB Circular A-87, Attachment B, Paragraph 27, which applies to State and local governments and Indian tribes (www.whitehouse.gov/omb/circulars/).

There are also specific restrictions on the use of grant funds to influence the enactment of legislation and related activities that are applicable to ADD grantees, Section 503 of Pub. L. 106-554, the Consolidated Appropriations Act, 2001 Web Page:

(www.access.gpo.gov) and OMB Circular A-122, Attachment B, Paragraph 25, which is applicable to nonprofit grantees. The provision of the 2001 appropriation statute is similar to provisions adopted in earlier years. Congress may enact similar provisions in future years.

There is, however, an issue of how the restrictions imposed by the appropriation statute and OMB Circular 122, Attachment B, Paragraph 25 are to be reconciled with the responsibilities of ADD grantees to educate, inform and advise policymakers, including Federal and State legislators.

ADD believes that grantees 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. The exception to this position would be those Projects of National Significance that have not been funded to educate policymakers. Under Section 161 of the Act, Projects of National Significance can be funded for a number of purposes, one of which is to “provide education for policymakers.” Those Projects of National Significance not designated by ADD as having that function are subject to the requirements of Section 503 of Pub. L. 106-554, the Consolidated Appropriations Act, 2001, and, if a nonprofit organization, the requirements of OMB Circular A-122, Attachment B, Paragraph 25, in the same way as other grants under HHS programs. Grantees funded to operate Projects of National Significance, which are unclear about whether their authorized functions include providing education for policymakers should ask ADD for clarification.

Using a nonpartisan approach, grantees 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. In such an analysis, a grantee would refrain from presenting unsupported opinions, distorted facts, inflammatory and disparaging terms, or conclusions based more on strong emotional feelings than on objective factual conclusions.

Grantees advising legislators and others concerning adoption of legislation should approach the task in a balanced way, discussing the advantages and disadvantages of the legislation and comparing it with other proposals that may also be under consideration. A nonpartisan approach to informing legislators does not require that grantees be neutral about outcomes for individuals with developmental disabilities. Rather, grantees would have to demonstrate an unbiased attitude when considering alternatives for meeting the needs of such persons. Grantees should emphasize their 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.

Reginald F. Wells, Ph.D.
Deputy Commissioner
Administration on Developmental Disabilities

Inquiries To:

Elsbeth Wyatt,
Program Specialist, POD
(202) 690-5841

ADD-IM-95-2: Use of Part B Funds in Funding Time-Limited Demonstration and Other Projects (For Councils)

Issued 2/10/95

To:         

Chairpersons, State Developmental Disabilities Councils
Directors, State Developmental Disabilities Councils

Subject:              

Use of Part B Funds in Funding Time-Limited Demonstration and Other Projects

Legal and Related References:

Developmental Disabilities Assistance and Bill of Rights Act Amendments of 1994, Public Law 103-230 (the Act)

Background:

State Developmental Disabilities Councils may implement their State plans through a variety of systemic change, capacity building, and advocacy activities which may include demonstration and/or other projects. The purpose of this memorandum is to assist Councils in distinguishing between time-limited demonstration projects and other projects which may be supported on a longer-term basis with Part B funds.

Information:

The State Plan may provide for funding of projects to demonstrate new approaches to enhance the independence, productivity, and integration and inclusion of individuals with developmental disabilities. Demonstration projects are typically innovative and easily replicated, are not to exceed three years in duration, and should include strategies for securing funds for continuing the project from sources other than funds received under the Act.

In addition, the State Plan may provide for funding of a broader range of projects such as studies, evaluations, outreach, advocacy and self- advocacy, training, community support, public education, prevention, and other activities. These need not be time limited. Based on their intended purposes longer periods of time may be required to achieve desired results. For example, "Partners In Policymaking" and similar self- advocacy projects build the capacity of individuals with developmental disabilities and their families. Were they to be time-limited, only a few individuals and families would benefit. In order to extend to increasing numbers of individuals and families, these projects may be funded over longer periods of time.

Whenever possible, Councils are encouraged to seek shared funding from University Affiliated Programs and Protection and Advocacy Systems and from sources other than the Act for such ongoing activities.

Bob Williams
Commissioner
Administration on Developmental Disabilities

Effective Date:

Upon Issuance

Inquiries To:

ACF Regional Administrators, Regions I - X

ADD-IM-94-4: Impact of 1994 Amendments on Obligation of Federal Funds for Developmental Disabilities Councils Using State Interagency Agreements

Issued 7/5/94

To:

Chairpersons, state Developmental Disabilities Councils
Executive Directors, State Developmental Disabilities Councils

Subject:

Impact of 1994 Amendments on Obligation of Federal Funds for Developmental Disabilities Councils Using State Interagency Agreements

Legal References:

The Developmental Disabilities, Assistance and Bill of Rights Act Amendments of 1994, Public Law 103230 (42 U.S.C. 6000 et seq)

Content:

The purpose of this information memorandum is to call attention to the change contained in the 1994 amendments regarding obligation of funds, particularly with respect to State Interagency Agreements (SIAs). Sec. 125(c) of the Act states:

11(c) OBLIGATION OF FUNDS.—For the purposes of this part, State Interagency Agreements are considered valid obligations for the purpose of obligating Federal funds allotted to the State under this part.

This change will affect Federal assistance to State Developmental Disability Councils under this Act for SIAs originating on or after April 6, 1994.

SIAs have usually not been considered to be valid obligations for the purpose of obligating funds allotted under the Developmental Disabilities program since a State was held to be a single entity which could not contract with itself. Therefore, SIAs would not constitute binding, legally enforceable agreements. The exception to this holding was in the case of those entities which were constitutionally separate from the State and therefore not under the control of the State (such as the recent situation in Minnesota involving an SIA between a State agency (the Developmental Disabilities Council] and the University of Minnesota). For situations involving SIAs prior to April 6, 1994, the interpretation described in this paragraph continues to govern.

/signature/

Bob Williams
Commissioner
Administration on Developmental Disabilities

Inquiries To:

ACF Regional Administrators, Regions I - X

ADD PI-94-1: Standing of the State P&As to Bring Suit

November 23, 1994

To:

Directors, State Protection and Advocacy Agencies

Subject:

Standing of the State P&A System to Bring Suit.

Legal and Related References:

The Developmental Disabilities Assistance and Bill of Rights Act, P.L. 103-230 (42 U.S.C. 6000, et seq.) Section 142(a)(2)(A).

Senate Report 103-120, 103rd Congress, 1st Session, August 3, 1993, Pages 39–40.

Content:

There are continuing questions regarding standing of the P&A Systems to bring suit in Federal courts on behalf of individuals with developmental disabilities in their State. As indicated in Senate Report 103-120, 103rd Congress, 1st Session, August 3, 1993, Pages 39-40, on Pub. L. 103-230, the Senate Committee on Labor and Human Resources concluded that the designated State Protection and Advocacy System has the authority to bring a lawsuit in the Federal courts in its own right (legal standing) to redress issues of abuse and neglect, discrimination and other rights violations against individuals with developmental disabilities. For reference, the report states that:

“The Committee heard testimony about the waste of scarce resources that are expended on litigating the issue of whether P&A systems have standing to bring suit. The Committee wishes to make it clear that we have reviewed this issue and have decided that no statutory fix is necessary because the current statute is clear that P&A systems have standing to pursue legal remedies to ensure the protection and advocacy for the rights of individuals with developmental disabilities within the State. The Committee has reviewed and concurs with the holding and rationale in Goldstein v. Coughlin, 83 F.R.D. 613 (1979) and Rubenstein v. Benedictine Hospital, 790 F. Supp. 396 (N.D.N.Y. 1992).”

Through this Program Instruction ADD wants to inform you of the Senate Committee Report comment on standing. However, ADD also wants to apprise you of the limitations of this Report language. The statement in the Report is legislative history rather than legislation. As such it does not bind the courts to the position endorsed by the Committee, but courts may find the comment persuasive in resolving the issue of standing in favor of P&A agencies. Secondly, although not specifically limited to the Federal courts, the comment would appear to be applicable only to those courts because Congress does not usually exercise authority on issues concerning standing before State courts, and because the cases cited in the Report were in Federal courts.

/signature/

Bob Williams
Commissioner
Administration on Developmental Disabilities

Inquiries To:

Paula Jorisch
Program Specialist
POD ACF Regional Administrators

ADD-IM-93-1: Transfer of Part B Funds from One State Planning Council to Another State Planning Council

Issued 2/23/93

To:

Directors, Designated State Agencies Chairpersons, State Planning Councils
Executive Directors, State Planning Councils

Subject:              

Transfer of Part B Funds from One State Planning Council to Another State Planning Council

Legal and Related References:

The Developmental Disabilities Assistance and Bill of Rights Act, P.L. 101-496 (42 U.S.C. 6000, et seq.)
45 CFR Parts 1385 and 1386, amended November 20, 1989 (54 FR 47982)

Purpose:

The purpose of the Information Memorandum is to inform States that Part B funds cannot be transferred directly from one State to another.

Content:

State Planning Councils wishing to assist another state (e.g., any state(s) seeking funds as a result of hurricane or other natural disaster) by donating any portion of Part B funds to another State Planning Council are reminded to review the requirements of the Developmental Disabilities Assistance and Bill of Rights Act (the Act), and attendant regulations.

Section 122 of the Act provides that participation in the Basic State Grant Program is contingent on approval of a State Plan. The State Plan must include an assurance that the State will use the allotted funding to make a significant contribution to enhancing the capabilities of agencies in the State to improve the independence, productivity, and integration into the community of persons with developmental disabilities. Thus, Part B funding must be used toward improving service provision in the State receiving the Basic State Grant.

The Act [Section 125(c)) also provides for combining funds to support activities in more than one state. However, there is no provision for donation or transfer of one state's Part B funds to another State Planning Council to support activities which will benefit only the recipient state. The Act provides for joint efforts which benefit all of the cooperating states.

A State Planning Council has suggested that Part B funds might be transferred from one State to another through reallotment. However, Section 125(d) of the Act provides that an amount of a State's allotment may be reallotted if the Secretary determines that a particular State will not require such funds. Reallotted funds must be distributed proportionately among the other States whose funds were not reduced. Thus, there is no provision in the Act for reallotting funds directly from one State to another.

Will Wolstein
Acting Commissioner
Administration on Developmental Disabilities

ADD-IM-93-6: Determination of Poverty Area

Issued 8/12/93

To:

Chairpersons, State Planning Councils
Executive Directors, State Planning Councils
Directors, University Affiliated Programs and Satellite Centers

Subject:

Determination of Poverty Area

Legal and Related References:

The Developmental Disabilities Assistance and Bill of Rights Act, as amended, Public Law
101-496 (42 U.S.C. 6000 et  seq)
45 CFR, Parts 1385, 1386, 1387, and 1388, amended November 20, 1989 (54 FR 47982)

Content:

The information contained in this policy issuance reviews the legislative provisions for funding services in poverty areas and provides a current list of the organizations, by State, which serve as data centers. This issuance supersedes ADD-IM- 85-1, dated February 21, 1985, Determination of Poverty Area.

The Developmental Disabilities Assistance and Bill of Rights Act (the Act) makes provision for serving people who live in rural or urban poverty areas within a State. Section 103(a) permits Basic State Grant projects whose activities or products target poverty areas to receive as much as 90 percent in Federal support. Similarly, Section 103(b) permits University Affiliated Programs whose activities or products target these State poverty areas also to receive as much as 90 percent in Federal support. Moreover, Section 122(b)(5)(E) requires that agencies or entities serving people with developmental disabilities residing in State poverty areas receive special financial and technical assistance.

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. Each census tract in a State is designated as either a poverty or non-poverty area. 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 the most current listing of the State Data Centers.

Will Wolstein
Acting Commissioner
Administration on Developmental Disabilities

Inquiries To:

Regional Administrators, ACF

Attachment:

State Data Center Program
Coordinating Organizations Address Listing
U.S. Department of Commerce
Bureau of the Census, Washington, DC


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