COMPTROLLER'S SEAL STATE OF CONNECTICUT

STATE OF CONNECTICUT

NANCY WYMAN
COMPTROLLER

OFFICE OF THE STATE COMPTROLLER
55 ELM STREET
HARTFORD, CONNECTICUT 06106-1775

MARK OJAKIAN
DEPUTY COMPTROLLER

MEMORANDUM NO. 97 - 51

OCTOBER 1, 1997

TO THE HEADS OF ALL STATE AGENCIES

ATTENTION: Chief Administrative Officers, Fiscal Officers, and Business Managers
SUBJECT: New Procedures for Federal and Private Funding
  1. Purpose: The purpose of this memorandum is to provide notification of a change in the allotment process affecting federal and private funding. This memorandum will outline new procedures to process these grants.
  2. Authority: In accordance with Public Act No. 97-131, allotments are no longer required for private and federal grants. These funds will be fully allotted at the time of appropriation provided notice of intent is received by the Office of Policy and Management (OPM).
  3. Procedures: Effective October 1, 1997 the following procedures are to be followed by agencies processing private and federal grants:
    1. Thirty (30) days prior to application for all private and federal grants, either advance funded or recorded as receivables, agencies are required to complete a "Notification of Intent Form" (Exhibit A), regardless of the dollar amount. Agencies must provide this form to OPM before funds can be fully allotted. Higher Education ongoing fund raising is exempt from this process.
    2. Upon completion of the above notification of intent, please submit to OPM, Budget and Financial Management Division, 450 Capitol Avenue, Hartford, CT 06134.

      Receivables and Advance Funding - Upon award agencies must secure the approval of OPM and prepare a "Grant Award Report" (Exhibit B) and forward it to OPM.

    A summary of the procedures for federal and private funding is provided in Exhibit C. The Allotment or Appropriation Adjustment Request Form (B-107) has been eliminated for federal and private funds and agencies are no longer required to complete the form for the subject funds. These funds will be fully allotted at the time of appropriation provided the agency has submitted the required notifications to OPM.

  4. Reduction of Appropriation: If an agency reduces an appropriation, the State Comptroller's Office must be notified and a memo be sent to the Accounting Services Unit indicating the reduction.
  5. Definitions: The following definitions are provided for clarification purposes:

    Advance Funding by the Federal Government- The Federal Government advances funds on a monthly, quarterly, or annual basis to finance grant activities.

    Federal Receivables - This is where a Federal Grant or contract provides for reimbursement after expenditure or where advance funding procedures are deemed impractical, sections 3-39a and 13a-166 of the General Statutes provide for the establishment of appropriations prior to receipt of Federal funds.

    Other Than Federal Advance Funding - Non-federal advance funds on a monthly, quarterly, or annual basis to finance grant activities. This covers gifts, donations, grants, and contracts restricted to a particular purpose other than the Federal Government.

    Other Than Federal Receivables - When necessary, subject to the review by OPM and acceptance by the Comptroller, receivables can be established for non-federal grants in the same manner as for Federal grants.

  6. General: Questions may be directed to:

    Office of the State Comptroller - Accounting Services Unit: (860) 702- 3380
    Office of Policy and Management - (860) 418-6385

MICHAEL W. KOZLOWSKI
NANCY WYMAN
SECRETARY
STATE COMPTROLLER
OFFICE OF POLICY AND MANAGEMENT

EXHIBIT C
SUMMARY OF PROCEDURE
FEDERAL AND PRIVATE FUNDING

AMOUNT OF MONEY FOR ADVANCE FUNDING FOR A RECEIVABLE IN ANTICIPATION OF FUNDING
Less Than $100,000 Notification Form to OPM 30 Days Prior to Application Notification Form to OPM 30 Days Prior to Application
Upon Award - Award Report, Parts I, II, & IV to OPM; OPM Forwards to Comptroller for Approval of SID Upon Award - Award Report, Parts I, II, III, IV to OPM; OPM Forwards toComptroller Without Review; Comptroller Assigns SID and Sets Up Receivable
More Than $100,000 Notification Form to OPM 30 Days Prior to Application Notification Form to OPM 30 Days Prior to Application
Upon Award - Award Report, Parts I,II, & IV to OPM; OPM Forwards to Comptroller for Approval of SID Upon Award - Award Report, Parts I, II, III, & IV to OPM; OPM Approves or Disapproves; Forwards Entire Form to Comptroller; Comptroller Assigns SID and Sets Up Receivable if Approved by OPM

NANCY WYMAN
STATE COMPTROLLER

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