AIDD Guidance and Information Memorandums

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

View as PDF (140KB)

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-03-02: 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


Last modified on 10/05/2018


Back to Top