Section 17-226d-3 - Grants process(a)Application procedure(1) All applicants (A) Each applicant for Commission funding shall apply on forms designated by the Commission and shall submit all information requested on the application form and copies of all documents required by sections 17-226d-1 through 17-226d-11 and copies of all subcontracts.(B) The application of a nonprofit organization shall be signed by a signatory authorized by the organization's board of directors. The application of a municipality shall be signed by a signatory authorized by the municipality.(C) The services for which an applicant seeks Commission funding must be consistent with plans adopted by the Commission.(2) Each awardee applying for noncompetitive continuation awards shall prepare and submit a yearly funding application at a time and in a manner designated by the executive director and shall include with such application all information and documents required by sections 17-226d-1 through 17-226d-11 and the Commission.(3) Unsolicited proposals (A) New and expanded services Any organization or municipality which intends to submit an application to the Commission for funding for new or expanded services shall send notice of intent to submit such application to the executive director for staff review and comment at least 30 days prior to submission of a formal application.
An applicant seeking funding for new or expanded services shall, in addition to fulfilling the requirements of section 17-226d-3(a), demonstrate and document either:
(i) that there is a need for new or expanded services and that the need is currently unmet or,(ii) that the level of service available is inadequate in the area the applicant proposes to serve or,(iii) that funding from other sources is inadequate or is no longer available or was never available.(B) Supplemental funding for existing services To qualify for supplemental funding an awardee's program must be in current compliance with Commission regulations and requirements.
Awardees applying for supplemental funding for existing services may submit applications for such funding at any time on a form designated by the Commission. The awardee shall submit:
(i) information which demonstrates that supplemental funding is needed, and,(ii) documentation that demonstrates attempts have been made by the awardee to garner funds from other sources and that such attempts have been wholly or partially unsuccessful.(4) The Commission may, in its discretion, request proposals to meet service needs or to establish research or demonstration projects. Applicants responding to such Commission requests for proposals shall submit their proposals in the form, time and manner stated in the Commission's request for such proposal.(b)Review of applications(1) Applications for noncompetitive continuation awards shall be reviewed for completeness, compliance with Commission requirements and to determine whether the applicant's proposed budget is consistent with the amount of available funds allocated to the program by the Commission.(2) New and competitive applications, including applications submitted in response to Commission requests for proposals, shall be reviewed for completeness and compliance with Commission requirements. The staff shall make recommendations based on this review which the executive director shall report to the Commission.(3) Review of unsolicited proposals The Executive Director shall notify the Commission of the receipt of all unsolicited proposals. Such notice shall occur at regularly scheduled Commission meetings.
(A) Unsolicited proposals for new and expanded services shall be reviewed only if unallocated funds are available. Proposals which are not reviewed shall be retained at the Commission's offices for one year from the date of receipt and shall be reviewed at any time during the one year period that unallocated funds become available. An unsolicited proposal for new or expanded services will be presented to the Commission by the executive director only if all of the following criteria are determined to have been met:
(i) The service is needed in the area to be served.(ii) No less costly or more effective alternative to provide the needed services is available.(iii) All Commission application requirements have been fulfilled.(iv) Funding is demonstrably available from other sources to fund the portion of the applicant's budget in excess of the award sought from the Commission.(v) The applicant is able to demonstrate the ability to provide the proposed services.(vi) The applicant has proposed a reasonable start up time and demonstrates the ability to meet scheduled goals.(B) Applications for supplemental funding for existing services shall be reviewed only if unallocated or unencumbered funds are available. Applications which are not reviewed shall be retained at the Commission offices until the end of the fiscal year and shall be reviewed if and when unencumbered funds become available during that time. Applications for supplemental funding shall be presented to the Commission by the executive director only if all the following criteria are determined to have been met:(i) All Commission application requirements have been fulfilled;(ii) The applicant can demonstrate that attempts to obtain funding from other sources have been unsuccessful or only partially successful; and,(iii) The applicant does not intend to annualize the supplemental award.(C) The Commission may choose to accept, reject, modify or table for further study any unsolicited proposal presented to it by the executive director.(c)Notice and acceptance(1) Each applicant shall receive notice that the Commission has received its proposal within thirty days of the date the Commission receives the proposal. When the Commission votes to accept or reject an applicant's proposal the applicant will receive written notice of the Commission's action within thirty days of such action.(2) The Commission's award is contingent upon the applicant's acceptance of any additional or special terms and conditions listed in the letter of award or contract and any changes in the funding application. The applicant shall indicate acceptance of the award and any special or additional conditions it contains by signing and returning it to the Commission's offices. The award shall become final only upon receipt by the applicant of a fully executed copy of the contract or letter of award.(d)Amount and duration of the awardThe amount and duration of each award is the sole discretion of the Commission. All awards are made subject to the availability of appropriated funds.
(e)SubcontractingNo work or services funded by a Commission award shall be performed for the awardee by a subcontractor without the prior written approval of the executive director. Subcontractors are subject to all the requirements and conditions imposed on the awardee or applicant by sections 17-226d-1 through 17-226d-11 and the awardee's letter of award or contract.
(f)Modifications(1) The awardee shall obtain the prior written approval of the executive director before making modifications which would alter the awardee's program as described in the awardees approved funding application.(2) All revisions to the awardee's budget except those revisions explicitly permitted by the terms of the letter of award or contract:(i) must have the prior approval of the awardee's governing authority or be signed by the chairperson of the awardee's Board of Directors;(ii) must be requested on the form designated by the Commission;(iii) must be submitted and approved by the executive director no later than 30 days after the end of the fiscal year for which the revision is being sought. The awardee shall be notified of the action taken on the budget revision request within 30 days of receipt of the request by the Commission.
(g)Payments(1) Awardees shall use funds awarded by the Commission only for expenditures which are properly documented and which are authorized by the terms and conditions of the awardee's letter of award or contract, or by the written permission of the Commission.(2) Periodic payments of funds to awardees are contingent upon the awardee's continuing compliance with Commission requirements including but not limited to submission of periodic progress reports as required by the letter of award or contract.(3) Initial payments under new awards shall be made only after the letter of award or contract has been fully executed; all Commission requirements and conditions have been met; a certificate of need, if required, has been obtained from the Commission on Hospitals and Health Care; and the awardee is ready to begin program implementation.(4) Payments for continuation awards shall be made periodically. An initial advance payment shall be made to the awardee at the beginning of each fiscal year. Subsequent payments will be processed in advance provided the awardee's previous quarterly report was received when due and was approved by the Commission. Advance payments will not be processed for any awardee who has failed to submit a quarterly report for the previous quarter. If any awardee submitted his previous quarter's report more than 15 days after the day it was due, or is not in compliance with the Commission's requirements, subsequent payments to that awardee will not be processed until after the awardee's quarterly report has been received, reviewed and approved by Commission staff. Quarterly and year end reports shall be submitted on a form and in a time and manner designated by the Commission but no later than 15 calendar days after the end of each award quarter. When staff review of any financial report or on site examination of an awardee's financial records indicates underexpenditures of award funds are likely to occur at the end of the fiscal year, or the awardee has refused access to service recipient or financial records during a review or evaluation by Commission staff the executive director may withhold or reduce one or more subsequent payments to the awardee. In the case of a fee for service award, if staff review of the awardee's financial reports or on site examination of the awardee's financial records indicates that the services covered by the fee for service award will be underutilized as defined in the individual awardee's fee for service award at the end of the fiscal year, the executive director may alter the payment schedule for the balance of that fiscal year.
An awardee may request an advance or emergency payment by making a written request explaining the need for such payment to the executive director. The executive director may authorize such payment if he determines that there is justification to do so. Any emergency or advance payment is made subject to approval of subsequent documentation of expenditures.
(h)Termination or probation(1) The Commission may vote to terminate an award or place an awardee on probation if it finds: (A) A documented history of noncompliance with Commission regulations or the terms and conditions of the contract or letter of award.(B) The awardee or any person employed by the awardee has made false or misleading statements to the Commission in order to obtain Commission funding.(C) The awardee or any person employed by the awardee has permitted, aided or abetted an unlawful act or acts at the program facility.(D) The awardee has altered the nature and scope of the program without prior Commission approval.(E) The awardee has refused to grant access to Commission staff to the awardee's program records including client treatment records and client clinical records or program financial records during a review and evaluation visit to the awardee's program.Conn. Agencies Regs. § 17-226d-3
Effective September 20, 1984