Financial Assistance

New Grant Reporting Guidelines for Non-State Entities:

This information is provided to help non-governmental recipients of Solid Waste Trust Fund grants understand which state reporting requirements apply to them and to provide electronic access to specific forms. All grantees are expected to be proper stewards of state funds awarded. The reporting required by the N.C. Department of Environment and Natural Resources and State Auditor’s office is designed to help ensure fund accountability.

New legislation governing the use of state funds by non-state entities went into effect on July 1, 2005. The legislation defines “non-state entities” as any person, for-profit organization, not-for profit organization, public authority or unit of local government. It should be noted that for the purposes of grant-making any entity that is subject to audit or reporting requirements of the Local Government Commission is not treated as a non-state entities (i.e., grants to local governments should not be affected by the new legislation). Click on the new statutes below to read more:
§ 143 6.2. Use of State funds by non State entities.
§ 143 34. Penalties and punishment for violations.

If you need a hard copy of any of the forms listed below, please call your DPPEA grant contact.

Forms for Non-Governmental Organizations
(includes both non-profit and for profit organizations receiving state grant funds)

• Grantee Forms for Reporting on State or Federal Pass-through Grants
  • Level 1 Reporting: Receiving less than $25,000
    • Certification Form (PDF file) (Word file)
    • State Grants Compliance Reporting: < $25,000 (PDF file) (Word file)
    • Both forms above due within 6 months of organization's year end; submit these to the funding agency only.
  • Level 2 Reporting: Receiving at least $25,000 but less than $500,000
    • Certification Form (PDF file) (Word file)
    • State Grants Compliance Reporting: >= $25,000 (PDF file) (Word file)
    • Program Activities and Accomplishments Report (PDF file) (Word file)
    • Schedule of Receipts and Expenditures (PDF file) (Excel file)
    • All forms above due within 6 months of organization's year end; submit these to the funding agency only.

Link to State Auditor's Web site


Other Useful Forms

• Attachment A - General Terms and Conditions for Non-Governmental Entity (PDF)
• Attachment A - General Terms and Conditions for Governmental Entities (PDF)
• Attachment D - Notice of Certain Reporting and Audit Requirements (PDF)
• Attachment E - State Grant Certification – No Overdue Tax Debts (for companies with BODs) (WORD; PDF)
• Attachment E - State Grant Certification – No Overdue Tax Debts (for sole proprietors) (WORD; PDF)
• Conflict of Interest - Sole Proprietors (WORD; PDF)
• Parties applying for grants should consult Federal Circulars A-87 (PDF) and A-122 (PDF) regarding cost basis for proposed grant expenditures.
• All non-profits must have an approved Conflict of Interest Statement (PDF example) in order to qualify for a grant contract from DPPEA.
• For-profit entities must also have an approved conflict of interest policy. See an example for a company governed by a board of directors (WORD; PDF) , or see an example for a company NOT governed by a board of directors (WORD; PDF).
• Debarment, Lobbying and Drug Free Workplace form (WORD; PDF)