PROCEDURES FOR REQUESTING SUPPLEMENTS TO RMPS GRANTS April 7, 1972 "A. APPLICABILITY The procedures contained in this paper are effective immedi- ately. They relate to submission of requests by Regional Medical Programs for supplementary funds under Title IX of the Public Health Service Act, and primarily to special procedures which apply when out-of-cycle supplementary requests are authorized by the Director, RMPS. - B. DEFINITION A Regional Medical Program may request supplemental funds to support any activity eligible for support under Title IX and any future amendments thereto. | A supplement is an addition to the direct costs awarded as shown in Item llg. of the most recent "Notice of Grant Award," and/or an addition to the recommended future support shown in Item 15 of such wanete a kW 3 oy seeps “ Notice.* When supplementary funds are awarded, appropriate additional indirect costs may be authorized. (See Section F, “Allowable Costs.") C. TYPES OF APPLICATION . When supplementary funds are requested in a Rezion's normal re- view cycle, no special procedures are required. An anniversary appli- cation for funds for the 02 or the 03 year of support may request greater support than that recommended for the year in question as shown in Item 15 of the last Award Notice.** RMPS in some cases will permit requests for supplemental. funds to be submitted outside of the normal review cycle which has been established individually for each Regional Medical Program. Such out-of-cycle requests, however, may be submitted only when specif- ically authorized by the Director, RMPS, ina general announcement *All references to the "Notice of Grant Award" refer to Form HSM-457% a copy of which is attached. Item 6 of the Award form shows the total period of support, and Item 7 shows the dates of the current budget period. **A triennial application, also, may request funds in excess of the prior: level of support, but this would not be a supplement. A triennial appli- cation seeks funds for an additional period of continued support, while a supplement is an addition te an existing award. & to all Regional Medical Progtams. RMPs_ should not request individual exceptions to their normal review cycles and may not submit out-of- cycle applications in the absence of such an announcement. DURATION OF SUPPORT b Supplementary funds may be requested for any length of time within the period of support specified in Item vu ofthe last Award Notice. A single application may request an addition to the amount awarded for the current budget period (Item llg.), and, if needed, an addition to the recommended future support (Item 15). An award of supplementary funds may not include support for any activity beyond the ending date of the period of support shown in Item 6 of the current Award Notice. Any funds needed. to continue activities in the next period of support (beyond that shown in Item 6) may be requested in the normal triennial review cycle. This procedure is designed to channel re- view and funding of activities into the regular review cycle as quickly as possible. Unless otherwise specified in an award or other communi- cation, it should not be inferred that RNPS requires termination of an activity at the end of the current period shown in Item 6. Regional Medical Programs should, however, keep in mind that grant support for any activity generally should be for a limited period. Thus an impor- tant factor in considering supplemental proposals should be the like- lihood of the activity either terminating or becoming self-sustaining within several years.* currently approved period. For example, if there were 2's years re~ maining in a Region's triennial period, and additional funds were being requested for an activity tnat would be completed in 13 montns, the application would only request supplementary funds for the 6 months remaining in the current budget period (Item 7 of the last Award) and for the next 12 months, and not ‘for the remainder of the trienniun. Support may also be requested. for less than the remainder of the ACCOUNTING AND REPORTIN When awarded, supplementary funds may be mingled in appropriate accounts with other RMPS grant funds for the activity or activities in question. Normal accounts should be maintained for specific activ- ities, but it is neither necessary, nor desirable to account for or a The National Advisory Council has suggested that ordinarily R‘Ps should plan to support specific activities for no more than 3 years. Recional Advisory Groups should carefully deliberate concerning any possible longer term commitments in order to assure maximum flexibility in the use of Rips grant funds. _Yeport expenditures of supplementary funds separately from funds pre- viously awarded. All normal accounting, expenditure and reporting requirements pre~ vail with respect to any activity funded in whole or in part through a supplementary award. . Progress and expenditure reports for such activ- ities would be submitted in the usual manner, and no special procedures would ‘be required. ALLOWABLE COSTS | When out-of-cycle requests for supplements are authorized by the Director, RMPS, the announcement of such supnlements may contain spe- cial requirenents with respect to costs allowable for the applicable activities. Unless specified otherwise in such announcement, the following cost principles apply to both in-cycle and out~of-cycle re- quests a supplements. y 1. Direct Costs Supplementary funds may be requested for any eligible RPS direct cost category. Such funds may be requested to cover the costs of new or previously unfunded activities, costs of expanding existing activities. Supplementary funds may be requested for core, opera- tional activities, or unanticipated additional costs of existing acfivities. 2. Indirect Costs - ‘When requested, applicable indirect costs will be authorized in connection with an award of supplementary funds. Where the sup- plementary request includes additional funds for an existing ac-~ tivity. indirect costs for the surplement will be calculated on the same basis as the indirect costs for the original erant (i.e. salaries and wages only, or total applicable direct costs) using - the currently applicable rate(s) for the institution(s) involved. 3. Developmental Components Since the amount of any developmental component is calculated as a percentage of direct costs, it should be noted that the award of supplemental funds for core or operational activities does’ not automatically authorize an RMP to increase the amount of any pre- viously approved Developmental Component. Any such increase has to be requested and specifically approved. a ©} __. G. OUT-OF-CYCLE SUBMISSIONS «ization and Announcement In certzin circumstances, RMPS may from time to time authorize the submission of out of cycle requests for supplementary funds. In such cases, authorization for out-of-cycle submissions will be provided through a general written announcement to all Regional Medical Programs. The announcement will include: a. deadlines for submission where different from the usual | dates for each Council cycle. 4 . b. a general description of any special class or type of ' activity to be funded. c. criteria for development of proposals. d. any necessary special instructions. The announcement by RMPS that supplementary funds are available does not necessarily mean that a special application is required prior to initiating an activity. Unless otherwise specified, © activities for which it is announced that supplenentary funds are ‘ available can be funded locally through rebudgeting or through sup- port beginning in the next budget period. In the latter case, funds to} support the activity would be included in the next in-cycle 02, O3\year, or triennial request. Where funds are rebudgeted, the normal requirements for reporting such changes apply.* “When the availability of supplementary funds is announced, all Re-~ gions may apply on equal terms wnetner in-cycle or out-of-cycle. 7 When it is announced that supplementary requests will be considered during a particular review cycle, any kegion which is preparing or has already submitted an application for the cycle in accordance with its regular anniversary date may (1) anend its application, or (2) submit an additional request, or (3) both, in accordance with the deadlines or any other conditions stated in the RUPS announce- ment. ** See instructions for Page 16, "Financial Data Record," form No. RMP-34-1. *kAs a general rule, an RMP should follow what it considers to be the most sensible course of action under the circumstances. Where there is any question as to the best procedure, Regions are advised to contact the appropriate Operations Branch staff. 5 Example - To dllustrate the above points, consider the case of a triennial or anniversary application submitted in its normal cycle for the June Council. In accordance with the usual schedule, the application would be received on March 1 and funded on Sep- tember 1. If, however, on March 15 (after the regular application was submitted) RMPS were to announce the availability of out-of- cycle supplements, the RHP in the example could prepare a supple- mentary request for additional funds to cover the last months of its current budget period. If the Region's in-cycle request were for the 02 or 03 year of a trienniun, the supplemental application could include funds needed to continue the activities (for which which the supplement is requested) for the remainder of the approved period of support, item 6 of the last award. An alternative would riod, in which case the regular application could be be to begin the new activity concurrently with the next budget pe- amended in accordance with whatever special deadline was set for out-of-cycle supplementary requests. Review The method of review of out-of-cycle requests for supplemental funds will be determined by the Director, RMPS, in each instance where such requests are authorized. The particular method of re- view chosen will depend upon: | | requested; | c., existing delegations of authority by the Council. b.| existing Council and RMPS policies; aj the nature of programmatic activities for which support is Review Schedule for Out-of-cycle Supplementary Requests Qut-of-cycle | supplementary requests, when authorized will be reviewed in accordance with the following schedule. beginning dates for awards pursuant to such requests the table below. Later beginning dates, if desired, quested in an application. _ Council ~ Submission Review Dates ~ Deadline February per announcement June , per announcement October “per announcement The earliest are shown in may be re- Earliest Beginning Date March 1 July 1 Novenber 1 6 .Local Review by the Regional Medical Program and Comprehensive Health viennin, ” . t . Like aii other applications’ submitted to Regional Medical Programs, out-of-cycle requests for supplements must first be reviewed by the applicant RMP in accordance with its established local review processes. No application shall be submitted to RIPS unless it has been reviewed and recommended by the applicant RMP’s Regional Advisory Group. , Out-of-cycle applications are also subject to the requirements of Section 904(b) of the Act relating to opportunity for review ang .comment_ by Comprehensive Health Planning "B Agencies”. In any case where special deadlines for submission announced by RPS do not permit the usual 30 days for review and comment required by RMPS and CHP policy, the applicant RMP is responsible for working with the appropriate "B Agencies'' to insure that they are afforded an opportunity to comment prior to Regional Advisory Council review within the shorter time period afforded by the special deadlines. Format and Content of out-of-cycle Applications Unless otherwise specified in a special announcement, requests for supplemental funds should be submitted on the standard Resional Medical Program Service Application Form, RAP-34-1. For out-of-cycle applications, only the following pages of the RMP Application Form (RMP-34-1) need to be submitted: . Page 1 - Submit one Face Page for the entire application. Show \ only the additional funds needed on line 7a. (l.e., 4 sometimes a supplementary request will involve addi- tional funds for an existing activity.) Page 2 - Submit one Assurances and Certifications page for the entire application. This page should be signed. person- ally by the required individuals including the Chairman of the Regional Advisory Group. Actual signatures are needed even though the same individuals may have signed the original application for which the supplementary funds are being requested. In completing this page of the application, for a supplementary request, show ‘the dates on which it is signed, not the dates of the ori- ginal subnission for the period in question. Page 3 - Submit one Organization and Performance Site Data page ‘for each operational activity for which supplemental funds are requested. If performance sites are not known at the time of application, indicate this in the first data block: under Item 10. Page ll - Page 12 - Page 15 - Page 16 - 7 Complete for any applicable Core activities to be supported with the additional funds, otherwise do not submit. Same as above for Page ll. Submit one page 15 for each operational activity for which supplemental funds are requested. Out-of-cycle submissions authorized for specific activities: Describe the proposed activity. Show how it fulfills or deviates from each of the charac- teristics enumerated in the authorizing announcement. Describe how the funds requested will be applied. Use continuation sheets as necessary, and be as concise as possible. Expansion of an existing activity: Describe tne activ- ity as expanded and show how it differs from the exist- ing activity. Provide the most recent information on progress to date in Item 11 of page 15 ("Progress"), and give the dates of the period covered by the information. (Item 11 of page 15 is left blank if the supplemental funds are requested for new activities.) “All supplementary requests: Complete item 12 on Page 15 for all supplements requested for operational activities. Enter information relating to the approved period of sup- port for which the supplement is being requested. In the event that the activity would continue into the next pe- riod of support and receive support for Jess than a full year during the current period, it would be desirable to outline proposed progress for at least the first year of the next triennium, and to indicate this in the narrative with the dates for the period entered in Item 12. Submit the Financial Data Record form for Core where additional funds would be proviaed for Core througa the proposed supplement. In addition, complete page 16 for each operational activity to be supported in whole or in part with supplementary funds. . . a If the proposed supplement involves an increase in the budget of an existing activity, snow the total budget as revised, not the difference between the original budget and the néw request. H. 8 Where the requested supplement for a given activity would begin part way through the current budget pe- riod shown in Item 7 of the last Award Notice, com- plete one page 16 for the applicable portion of the budget period and complete a separate page 16 for . the next. year of the project if it is to be continued even if the next year were in the next triennium. In the latter case indicate in a footnote that the parti- cular data pertains to the succeeding period of support ‘and is submitted for information only. DESCRIPTOR CODES ‘ Each Regional Medical Program is responsible for insuring that the descriptors for its various activities are kept current for core planning and feasibility studies as well as operational activities. Where a Descriptor Coding Sheet has been submitted previously, no ad- ditional Descriptor Coding Sheet is necessary unless changes have occurred, When any change has occurred, complete the entire Descriptor Coding Sheet for the activity as modified - not just the changes fron the previous submission. Submit a Descriptor ‘Coding Sheet for any new core planning or feasibility studies, or operational activities for which funds are requested. AWARDS Awards for supplemental funds will be issued in the form of a “Notice of Grant Award’ which incorporates all necessary changes. Such award will supplant any previous ‘Notice of Grant Award" for the period. . HEALTH, EDUCATION, ANDO WELFARE PUBLIC HEALTH SERVICE HEALTH SERVICES AND MENTAL HEALTH AOMINISTRATION NOTICE OF GRANT AWARD Under Authority of Federal Statutes and Regulations, and HSMHA Policy Standards Applicable to the Following Grant Program: 3, SUPERSEDES AWARD NOTICE dated “except that any conditions or restrictions previously imposed re-: ‘effect unless specifically rescinded, 4, PROVECT IDENTIFICATION NO, S. ADMINISTRATIVE CO 6. PROJECT PERIOD From . Through 7. BUDGET, PERIOD From - Throvgh . 6. TITLE OF PROJECT (OR PROGRAM) (Limit to $3 spaces) ? 9. GRANTEE (Name and Address) ' 10, DIRECTOR OF PROJECT (PROGRAM OR CENTER DIRECTOR COORDINATOR,.OR PRINCIPAL INVESTIGATOR) (Name & Addi: 11. RPPROVED BUDGET FOR HSMHA FUNDS 12. SOURCE OF HSMHA FINANCIAL ASSISTANCE FINANCIAL DIRECT ASSISTANCE A BUOGET CATEGORIES For items identified by Asterisk*, see remarks . B ASSISTANCE oc. PERSONAL SERVICES b. PATIENT CARE c. EQUIPMENT d, CONSTRUC TION ALL OTHER {. TRAINEE COSTS 0. APPROVED BUDGET (11 & Col A) . $ b. INDIRECT COSTS | , . (RATE % $ Bose: $&W-TADC of $ ) J €. TOTAL $ d. LESS UNOBLIGATED BALANCE FROM $ PRIOR BUDGET PERIOD(S) €. LESS CUMULATIVE PRIOR AWARDIS) $ THIS BUDGET PERIOD . f. AMOUNT OF THIS ACTION $ g. TOTAL APPROVED BUDGET 4, REMARKS 47. FINANCIAL MANAGEMENT OFFICIAL (Title & Address) 13. REQUIRED GRANTEE PARTICIPATION [CU] instiTUTIONAL COST SHARING AGREEMENT EFFECTIVE DATE (J INDIVIDUAL GRANT AGREEMENT {_] MATCHING AGREEMENT [_] OTHERS ["]NONE REQUIRED ot % 15. RECOMMENDED FUTURE SUPPORT (Subject to availability ci FIscaL TOTAL DIRECT C YEAR BUOGET BUDGET PERIOD YEAR ACCOUNTABILITY FOR EQUIPMENT [7] conoitionaLty waiveo {_] NoT watveo (—} ic. ROT PLC. 18. HSMHA OF FICIAL (Signature, Name and Title) sae 0. PHS LIST NO. b. PAYMENT SYSTEM C. OIRECT ASSISTANCE FUNDS d. GRANTEE LOCATION Co OR sey HSMHA {(_usmHA [Jr.o. FY. SS City State INFORM. ° (xin 7 FY! $ County Cong. Dist. ATION - APPA Tine OAT A : . tomer RMP) DATE lee 6 OPERATIONAL ACTIVITY SUMMARY NO. MO. YR . V(b-a) p (3-4) ' (5-8) !7-: . re ee a aun inte ! } | | 1, TITLE Jz. tent, 3. | NUMBER LRA! (9-12) tf monte | {t3-14] | _. _ ween PL 4. SPONSOR ([istitulion/Orgenizalion} 5. GEOGRAPHIC AREA SERVED | ST. TERMINATION \ {17-18} i DATE OF RMFS SUurPO i { mo. { WEAR (19-20) (24-22} 7, DIRECTOR i | { ' 9. TARGET GROUP(S) (25-238) ’ 8. DISEASE CATEGORY [I&S) (23-24) . “AL CONSUMERS AND/OR PATIENTS B. PROVIDERS (29-30} 10. SIGNIFICANT RELATIONSHIPS WITH OTHER FEDERAL PROGRATAS (Check all applicable) 31}A 0 GEO (34) O 0 CHP.A (33) H O MOD. CITIES (a2) LO MNHANSTITUTES (32) 8 O €XP. HEALTH (35) E O CHP-B (39) | (1 HMO (a3) MO NIH-MANPOVIER BUREAU PLAN. & DELIV. 136) F O cupc (sop J OF FDA: (44) NO OTHER (Specify) 133) C 0 OTHER NCHSR&D (37) G O CHP-E (41). K 0) AFPALACHIA 11. PROGRESS PERIOD. #2. PROPOSAL PERIOD ‘ FROM [45-43] THROUGII (49-52) FROM (53-56) THROUGH (57-69) * bio, YR, | MO, | YR, MO, | YR, | MO, | YR. | 1 | I | L | I oe | A. WHAT WAS DONE? A. WHAT ARE THE GENERAL OBJECTIVES? f B. WHAT ARE THE SIGNIFICANT OUTPUT DATA? B. WHAT WILL GE DONS IN THE ABOVE PERIOD? C. WHAT ARE THE BENEFITS OR FINDINGS? C. WHAT RESOURCES WILL BE EMPLOYED? O. WHAT PROBLEMS WERE ENCOUNTERED (IF ANY)? O. WHAT SPECIFIC RESULTS ARE EXPECTED IN THE E, IF RMPS SUPPORT HAS BEEN OR WILL TERMINATE ABOVE PERIOD? EXPLAIN WHY AND WHETHER ACTIVITY WILL BE CONTINUED WITH OTHER SUPPORT, iy | r \ \ %