COMMENT DUE DATE:
September 4, 2009
August 21, 2009
Millie Carpenter OPRS (405) 521-4508
Dena Thayer PMU Manager (405) 521-4326
Pat McCracken PMU Specialist (405) 522-1017
Non-APA WF 09-U
The proposed policy is Non-APA . This proposal is not subject to the Administrative Procedures Act
The proposed effective date is 9-15-09.
OKDHS CHAPTER 2. ADMINISTRATIVE COMPONENTS
Subchapter 40. Executive
Part 3. Grant Management
OKDHS:2-40-33 through OKDHS:2-40-36 [Revoked]
OKDHS:2-40-30 is amended to clarify the purpose and scope of grants and grant submissions, including the requirements to apply all state procurement laws, regulations, and rules.
OKDHS:2-40-31, 2-40-33, 2-40-34, 2-40-35, and 2-40-36 are revoked as the information does not reflect current requirements and practices or the information has been incorporated into OKDHS:2-40-30 or OKDHS:2-40-32.
OKDHS:2-40-32 is amended to specify current requirements and procedures regarding approval of grants, including the use of Form 21AD010E, Grant Review Request.
SUBCHAPTER 40. EXECUTIVE
PART 3. GRANT
MANAGEMENT PLAN SUBMISSIONS DHSOKDHS:2-40-30. Purpose and scope of grants Issued 6-2-93 Revised 9-15-09
The Oklahoma Department of Human Services (OKDHS) is committed to increasing the number of grant awards which will help the agency achieve its mission "to administer quality services to enable people to live healthier, more secure, independent and productive lives".Division administrators have a key role in development of grant proposals.One of the objectives of this plan is to leverage additional resources to assist the division administrator in meeting the challenges of identifying and securing appropriate resources. to assist:
(1) in achieving the OKDHS mission; and
(2) program areas in providing an increasing range of needed services within a limited budget by leveraging additional resources.
In order to successfully compete in the grants' marketplace, the agency must broaden stakeholder collaboration in the grant seeking process to include:
other state agencies, Grant submissions refer to: (2) tribal governments, (3) colleges and universities, (4) Oklahoma Center for Health and Human Services Policy Research and Development, (5) Oklahoma grant awarding foundations, and (6) national grant awarding foundations.
(A) discretionary competitive grants;
(B) demonstration project grants;
(C) foundation grants; and
(D) other competitive grants.
(c) This plan
provides uniform guidelines for guides the general preparation and processing of grant proposals .; and
The content is to be used as a general guide and should is not intended to limit or constrain any procedures made necessary by unique requirements or special circumstances. All grant proposals should be prepared to meet the fact-based needs of clients and the mission, goals and objectives of the agency.
(i) OKDHS is required to apply all state procurement laws, regulations, and rules to all contractual obligations associated with awarded grant funds.
(ii) Each grant proposal or supplemental materials must include or address:
(I) request for indirect costs as part of the grant budget at the federally approved rate or other rate provided by the Finance Division Cost Accounting and Revenue Enhancement (CARE) Unit;
(II) results of a consultation with the CARE Unit regarding effects on existing grants and cost allocations;
(III) any matching funding requirement, including actual and in-kind and the source of such funding; and
(IV) requirements that the state continue the grant-funded program after grant funding is exhausted.
DHS:2-40-31. Scope [REVOKED]
(a) This plan is applicable to the following types of proposal development and grant management: (1) discretionary grants which are competitive, (2) special emphasis grants, (3) demonstration project grants, (4) foundation grants, and (5) other competitive grants. (b) Division administrators may request approval of the Grant Management Team to use this procedure for development of waiver requests and other money-seeking efforts. DHSOKDHS:2-40-32. Approvals Approval of grants Issued 6-2-93 Revised 9-15-09
(a) Before a competitive grant proposal is submitted, authorization is required by the appropriate division
administrator and the members of the Grant Management Team: director.Upon approval by the division director, Form 21AD010E, Grant Review Request, along with the grant solicitation is submitted to the Grant Committee for review.If a completed grant proposal is not available for review by the Grant Committee, a summary of the proposal may be submitted with information.The summary must include information specified in OKDHS:2-40-30 and any partnership or procurements anticipated by the project.The review will be conducted by the Grant Committee consisting of:
Associate Directors for Management Services, Finance, Administration, Field Operations and Programs, and Support Services Division director or designee;
Chief of Staff. Office of Planning, Research, and Statistics director or designee; and
(3) Finance Division director or designee.
Program staff may request that the Grant Management Team consider authorizing development of a proposal, or the Grant Management Team may authorize and assign a Request for Proposal to a Proposal Team (see DHS:2-40-35(1)) for proposal preparation.The Grant Committee:
(1) reviews the grant proposal;
(2) ensures any commitments of Oklahoma Department of Human Services (OKDHS) resources are consistent with OKDHS policy, mission, and vision;
(3) makes recommendations to the OKDHS Director or designee and the division director on Form 21AD010E; and
(4) returns the grant proposal to the division.
To expedite proposal development, division administrators may instruct staff to begin the proposal development process as soon as they become aware of an RFP or when it is received.Authorization by the Grant Management Team members will be secured at a meeting of the team or through the use of the record of decision-making form.The division:
(1) reviews and makes changes;
(2) director approves; and
(3) submits the grant application to the OKDHS Director or designee for signature.
DHS:2-40-33. Proposal cycle [REVOKED]
(a) All proposals must be: (1) Technically sound, (2) Accurately budgeted, (3) Structured for proper program control, and (4) Responsive to client, agency and grantee's needs. (b) When grant RFPs (Request for Proposals) specify a particular proposal format, that format should be followed.However, when no format is specified, the following format should be used. (c) There are nine distinct, but interrelated, parts to all proposals: (1) Cover letter signed by the DHS Director.The Director's letter should be short (less than three pages), concise and should highlight the agency commitment, the problem the proposal addresses, the methods proposed to address the problem, the cost, and the method of evaluation. (2) Table of contents.Proposal of ten pages or more will have a table of contents marked by tabs and divider sheets. (3) Executive summary.A short, one page summary, if possible, describing the purpose, budget, plan of action and anticipated results. (4) Problem statement.State as clearly and simply as possible the problem or need your project will address.Identify client groups that will be served.Document your perception of the problem with recent studies and current statistics, statements by public officials and other agencies or professionals and previous studies by private or public groups. (5) Goals and objectives.Objectives should be measurable, date specific, and promise a solution or reduction of the problem described.They should clearly state what is hoped to be accomplished. Example: Problem:Too many teenagers do not have jobs. Goal:Increase teenage employment in Garvin County by February 1,1995. Objective:Place 75 Garvin County teenagers in jobs by February 1, 1995. (6) Implementation methods and schedule.The plan of action and timetable for achieving the goals and objectives should be illustrated (Gantt Chart), state in step-by-step fashion what will be done, by whom, by when, and the expected result. (7) Evaluation methods and schedule.State the evaluation or oversight design that will be used to determine how effective project has been in achieving the stated goals and objectives. (8) Budget.The budget will include the following cost categories, if none are are specified in the RFP.If the budget categories are specified in the RFP, use these categories: (A) Personnel, (B) Fringe benefits, (C) Travel, (D) Equipment, (E) Supplies, (F) Contractual requirements, and (G) Other requirements. (9) Appendix. (A) DHS corporate capability statement, (B) Resumes of key staff to be involved in the project, (C) Letters of endorsement, (D) Favorable newspaper clippings, (E) Publications, (F) Source documents that provide statistical documentation for the proposal, and (G) IRS tax exempt letter, if required. (d) The time normally available for the preparation of solicited proposals is usually short.Therefore, whenever possible, proposals should be written that match client needs and the agency's mission, goals and objectives even before a RFP is received.One can reasonably predict problems that will be targeted for grant awards and build a generic proposal which can be revised when the RFP specifics are known. (e) Each authorized proposal effort will have a proposal manager.The proposal manager will be a Grant Seeking Team member, who is appointed by the DHS Director and provides technical assistance to the Grant Management Team members.The proposal manager will select members for a proposal team which will normally include: (1) an administrator/manager from program management, (2) a finance/budget analyst, (3) an information/data management representative, and (4) support personnel from multi-media, research and statistics, other state agencies, colleges/universities and community-based providers and organizations. (f) All proposal team members are not necessarily members of the Grant Seeking Team.Proposal team members will include representatives of all known entities that will be involved in the project once it is funded.(See DHS:2-40-30. Purpose for examples.)Representatives from other areas of state government and community organizations with expertise and information that will facilitate sound proposal development must also be included. (g) Support participation is encouraged and solicited by the proposal manager/team members and varies with the nature and scope of each proposal.Participation is required by all groups -- within and without DHS -- that will be committed in the proposal to do work on the project. Stakeholder involvement in the proposal preparation is just as important as their participation in the project once the award has been made.Proposal team members may include staff from other state agencies, colleges and universities, community organizations, professional or advocacy organizations, civic leaders, grant awarding foundations and tribal governments. (h) It is assumed that most grant proposals will be developed using the process outlined in (a)-(g) of this Section.However, in very unusual situations, it may become advisable to contract for the proposal development.When contracting for proposal development is viewed as the best option, the Chair, Grant Management Team, will secure the DHS Director's authorization before contracting the development of a proposal. (i) After the Grant Management Team has authorized pursuit of an RFP or grant, Grant Management Committee Chair will notify the initiating division administrator(s) that a proposal cycle is being initiated. (j) The Grant Management Team Chair will schedule the initial proposal meeting for members of the Grant Seeking Team, within 24 working hours following proposal approval by the Grant Management Team.At that meeting, a proposal manager will be selected.The proposal manager will then: (1) Appoint members of the proposal team, (2) Facilitate development of the proposal, (3) Develop work task schedule/calendar and make assignments to proposal team members, and (4) Attend to proposal timeliness.
DHS:2-40-34. Management reviews/approvals [REVOKED]
The review cycle for proposals, which is managed by the proposal manager, is as follows: (1) Division administrators review proposal for text, format, supporting data, costs/budgets and compliance with RFP statement of priorities; (2) Associate Director for Management Services performs preliminary review of the proposal work plan developed by proposal team for content and compliance with the RFP; (3) Associate Director for Finance reviews proposal budget; (4) At any point in the review cycle, any revisions necessary are completed and the proposal package is again reviewed by the proposal team and approved for submission to the Grant Management Team; (5) The proposal is submitted to the Grant Management Team for review and action/approval; and (6) The proposal is submitted to the Associate Director for Management Services, who will secure the appropriate signatures/approvals.
DHS:2-40-35. Grant management responsibilities [REVOKED]
A list of participants and their grant management responsibilities are: (1) Proposal manager. (A) Coordinates development of the overall proposal; (B) Identifies members of the proposal team and assures that all stakeholders are represented; (C) Directs preparation of the proposal work plan; (D) Establishes proposal schedule, calls team meetings; (E) Keeps division administrator and Associate Director for Management Services informed of proposal progress/problems. (F) Chairs proposal team meetings; (G) Manages review/approval processes and resolves all reviewer suggested changes; and (H) Requests proposal reviewers' comments on all proposals submitted from competition. (2) Division administrator. (A) Approves proposal narrative and budget; (B) Ensures proposal project is within the Division's stated mission, goals and objectives. (C) Provides support for the proposal manager and proposal team members to ensure proposal timeliness is met. (D) Sends quarterly reports to the Grant Management Team regarding grant activity, including, but not limited to: (i) progress/evaluative reports required by the grant awarding entity; (ii) problems/issues surrounding the implementation of the project; (iii) plan compliance issues; and (iv) new grant seeking opportunities. (3) Grant Seeking and Proposal Team Members. (A) Assists in the development of the proposal work plan; (B) Writes, and/or gathers information/data, for assigned sections of the proposal; (C) Critically reviews, edits, and/or rewrites proposal material. (D) Recommends special artwork and other proposal presentation/format techniques; and (E) Prepares special concept illustrations. (4) Grant Management Team Members. (A) Reviews RFP's for terms and conditions, identifies risks, recommends exceptions and/or qualifications in relation to the agency's mission, goals and objectives and determines to which RFP's a proposal will be developed; (B) Reviews proposal narrative and budget information; (C) Reviews/edits DHS Director's transmittal letter in concert with proposal manager. (D) Recommends proposal theme, approach, targeted client and geographical areas; (E) Ensuring that all proposal team members and the proposal manager have work time devoted to proposal development; and (F) Reviews and distributes the grant activity quarterly reports. (5) Office of Finance. (A) Assists in the development of the proposal budget; (B) Identifies grant matching money, if required; and (C) Manages grant funds and submits quarterly reports to the Grants Management Committee by April 30, July 30, October 30 and January 30.The report will indicate grant funds received and expended by month and Year to Date (YTD) for each grant. (6) Office of Management Services. (A) Identifies grant seeking opportunities from review of the federal register and other sources and notifies Grant Seeking Team and appropriate division administrator. (B) Provides staff support to both the Grant Management Team and the Grant Seeking Team by: (i) revising policy, if required; (ii) gathering data and preparing statistical tables; (iii) developing and revising the DHS corporate capability statement; and (iv) providing multi-media consultation and services. (C) Prepares quarterly reports for the Grant Management Team by the dates listed in paragraph five showing grant activity, i.e., grant proposals prepared and grant awards receivedby month for the quarter and YTD. (D) Reviews decisions made by the Grant Management Team regarding grant seeking opportunities with the DHS Director. (E) Serves as the repository for all proposals developed through the use of this process; and, for awarded grants containing copies of the proposal, reviewer comments, periodic progress/evaluative reports as required by the grantee, press clippings and publications. (7) Staff Development Unit.Provide training for selected staff in grant seeking/management skills, including: (A) development of grant source list by name, interest areas, geographic focus, types of support offered and types of organizations eligible for funding which match DHS mission, goals and capabilities; (B) development of the DHS corporate/program capability statement; (C) development of grant seeking and proposal writing skills; and (D) identifying/cultivating contact person(s) in federal agencies and grant awarding foundation to increase DHS awareness of grant availability and their awareness of the agency's mission and commitment providing quality services; and (E) building stakeholder collaborations in grant seeking efforts. (8) Other DHS divisions, offices. (A) Assign a high work priority to preparation of grant proposal and meeting time lines; (B) Notify the Grant Management Team of opportunities for successful grant seeking efforts; and (C) Inform the Grant Management Team of concerns/problems/issues regarding the grants management efforts.
DHS:2-40-36. Marketing [REVOKED]
(a) Initial and ongoing personal contacts with grant awarding foundations and agencies are extremely important to successful grant seeking efforts.Presentation of the DHS commitment to its mission and goals and the State of Oklahoma's commitment to quality principles must be carefully crafted and convey the momentum that has already been developed within the state's stakeholders to share collaborative solutions to human service problems just as the problems created by fragmented services have been shared. (b) In order to maximize the benefits from contacts with grant awarding entities, the Grant Management Team will name one person to be responsible for contacting grant awarding entities to tell them of the agency's plan for providing collaborative, quality services and asking for their help in building stakeholder collaborations to improve services. (c) This is not designed to limit contact by other staff, but to complement those efforts.It is imperative that the Grant Management Team be aware of all contacts with and information gained from those contacts.Therefore, DHS staff who have either formal or informal contact with staff from grant awarding entities will inform the Grant Management Team of all substantive information received concerning grant seeking opportunities.