File No. 36325
This rule was published in the July 1, 2012, issue (Vol. 2012, No. 13) of the Utah State Bulletin.
Community and Culture, Housing and Community Development, Community Services
Rule R202-100
Community Services Block Grant Rules
Notice of Proposed Rule
(Repeal)
DAR File No.: 36325
Filed: 06/05/2012 02:09:58 PM
RULE ANALYSIS
Purpose of the rule or reason for the change:
H.B. 139 (Department of Community and Culture Amendments) passed in the 2012 Legislative General session. The intent of this bill was to restructure the Department of Community and Culture into the new Department of Heritage and Arts, and to move the Housing and Community Development, Community Services Division to the Department of Workforce Services (DWS). The purpose of this repeal is to remove this rule as the content is now under DWS. (DAR NOTE: The proposed new rule is R990-100 published in the June 1, 2012, issue of the Bulletin under DAR No. 36221.)
Summary of the rule or change:
This rule is repealed in its entirety.
State statutory or constitutional authorization for this rule:
- Title 35A, Chapter 8
Anticipated cost or savings to:
the state budget:
There are no costs or savings associated with this proposed repeal. Responsibility for this program has been transferred to DWS which has filed a new replacement rule identical to this one.
local governments:
There are no costs or savings associated with this proposed repeal. Responsibility for this program has been transferred to DWS which has filed a new replacement rule identical to this one.
small businesses:
There are no costs or savings associated with this proposed repeal. Responsibility for this program has been transferred to DWS which has filed a new replacement rule identical to this one.
persons other than small businesses, businesses, or local governmental entities:
There are no costs or savings associated with this proposed repeal. Responsibility for this program has been transferred to DWS which has filed a new replacement rule identical to this one.
Compliance costs for affected persons:
There are no costs or savings associated with this proposed repeal. Responsibility for this program has been transferred to DWS which has filed a new replacement rule identical to this one.
Comments by the department head on the fiscal impact the rule may have on businesses:
There are no costs or savings associated with this proposed repeal. Responsibility for this program has been transferred to DWS which has filed a new replacement rule identical to this one.
Julie Fisher, Executive Director
The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:
Community and CultureHousing and Community Development, Community ServicesRoom 500
324 S STATE ST
SALT LAKE CITY, UT 84111-2388
Direct questions regarding this rule to:
- Jonathan Hardy at the above address, by phone at 801-538-8650, by FAX at 801-538-8888, or by Internet E-mail at jhardy@utah.gov
Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:
08/01/2012
This rule may become effective on:
08/15/2012
Authorized by:
Michael Hansen, Deputy Director
RULE TEXT
[R202. Community and Culture, Housing and Community
Development, Community Services.
R202-100. Community Services Block Grant Rules.
R202-100-1. Authority.
This rule is authorized under Section 9-4-202, U.C.A.
1953, which allows the Department of Community and Culture (DCC)
to receive funds for and to administer federal aid
programs.
R202-100-2. Purpose.
The purpose of this rule is to establish standards and
procedures for the Community Services Block Grant (CSBG)
authorized under the Omnibus Reconciliation Act of 1981 (Title
XVII, Chapter 2, Sections 671 through 683), contracted to
eligible entities (counties or combinations of counties and
Community Action Programs) to provide a range of services and
activities having a measurable and potentially major impact on
causes of poverty in the local communities.
R202-100-3. Eligible Grantees for CSBG Programs and
Projects.
A. Utah shall distribute at least 90 percent of available
funds as pass-through grants to eligible entities (hereinafter
referred to as local grantees) for them to administer directly
or, at their option, to sub-contract (hereinafter referred to as
local sub-grantees) for the performance of eligible activities.
Eligibility for the 5 percent discretionary funds will be
established by the state plan each fiscal year.
B. Whenever a public grantee chooses to sub-contract all
program operations to a private entity rather than administer
them directly, the private entity must be a non-profit
organization directed by a board whose composition complies with
Section 675 (c)(3) of the Community Services Block Grant
Act.
R202-100-4. Assurances Required by CSBG Act.
All grantees shall be required to submit a certification
of assurances based on CSBG programmatic, administrative and
financial requirements of the Act as outlined by Community
Services Block Grant Program Directives prepared by the State
Community Services Office (SCSO).
R202-100-5. Compliance.
Local grantees must maintain their eligibility to receive
CSBG funds by being in compliance with applicable laws,
regulations, and contractual agreements. The state reserves the
right to examine all aspects of CSBG funded activities to ensure
that this is the case.
R202-100-6. Qualifications.
Local grantees must demonstrate that they have in place,
or shall have in place prior to undertaking CSBG funded program
activities, management systems adequate to ensure that CSBG funds
shall be spent efficiently and effectively. When activities are
sub-contracted, the local grantee must have in place a system and
assume the responsibility for monitoring and evaluating
sub-contracts. Files must be retained containing such monitoring
and evaluation results. In no case shall the state provide funds
to a grantee if available evidence suggests that the grantee
cannot fulfill its obligations under the terms of the assurances
required by the CSBG Act and the state plan for the use of CSBG
funds.
R202-100-7. Program Participant Eligibility.
Income eligibility for program participation shall be
based on the Office of Management and Budget official poverty
guidelines as described in Section 673 of the CSBG Act.
R202-100-8. Funds Allocation.
A. CSBG funds shall be allocated on the basis of federal
fiscal years beginning October 1 to local agencies by the
following formula:
(1) All agencies selected for funding shall be awarded an
equal, minimum base amount.
(2) The amount remaining after subtraction of the sum of
the minimum base amount shall be allocated among the local
grantees based on the census counts (or updates) of low-income
residents and other related criteria such as long-term
unemployment.
R202-100-9. Approval Process.
Criteria shall be used to review applications for CSBG
funds and shall be distributed to eligible grantees as a SCSO
Community Services Block Grant Program Directives. A panel will
screen and give a numerical rating to every application submitted
by an eligible grantee based on the criteria outlined. The
Community Services Office will compile these ratings and will
make a final determination as to proposals that will receive
funding and as to the level of funding that will be provided.
Proposals must score a minimum number of points to be considered
eligible. Prospective CSBG grantees shall be notified of
application status 60 days or less after the closing date of
application submissions. Any application found to be incomplete
or inadequate will be returned to the local grantee for
appropriate changes. The Community Services Office will provide
technical assistance to any eligible agency scoring below the
minimum.
R202-100-10. Award Procedures.
The state shall enter into a contract with local grantees
October 1 contingent upon Federal authorization and appropriation
for CSBG. Once signed, this contract shall be binding on both
parties.
R202-100-11. Fiscal Operations Procedures.
A. Each local grantee shall have an acceptable procedure
describing functions of its fiscal office and including at a
minimum:
(1) Purchasing procedure
(2) System of cash control
(3) Payroll system
(4) Internal and external reporting systems
B. Fiscal procedures shall be in compliance with
applicable state and federal regulations and conform with
generally accepted accounting procedures.
R202-100-12. Financial Reports and Reimbursements.
Financial reports (Form CSBG 611-D) are to be submitted
on a monthly basis, no later than twenty (20) days following the
end of each month. Local grantees shall receive reimbursement
based on a monthly financial status report and certification of
work program activities. All reports must have an authorized
signature, i.e., the contract signatory or someone designated by
the signatory, with a letter of designation filed with the
state.
R202-100-13. Administrative Cost.
Administrative costs include allowable expenditures
incurred to administer the CSBG through an indirect cost plan,
approved by a cognizant Federal Agency or a cost allocation plan
approved by the SCSO. Such costs should not exceed 10%.
R202-100-14. Travel and Per Diem.
Travel, per diem and allowances for staff and board
members shall be determined by approved local agency guidelines
which establish rates of reimbursement.
R202-100-15. Purchasing, Receiving and Accounts Payable.
A. Grantee agencies shall develop and have approved
procedures for handling purchasing, receiving, and accounts
payable. (In the absence of a local procedure, the state
procedure shall be followed.) These procedures should
include:
(1) Pre-numbered purchase orders and/or vouchers for all
items of cost and expense.
(2) Procedures to insure procurement at competitive
prices.
(3) Receiving reports to control the receipt of
merchandise.
(4) Effective review following prescribed procedures for
program coding, pricing and extending vendors'
invoices.
(5) Invoices matched with purchase orders and receiving
reports.
(6) The local grantee must have adequate controls, such
as checklists for statement - closing procedures to insure that
open invoices and uninvolved amounts for goods and services are
properly accrued or recorded in the books or controlled through
worksheet entries.
(7) Adequate segregation of duties in that different
individuals are responsible for:
(a) Purchase;
(b) Receipt of merchandise or services; and
(c) Voucher approval
B. A list of anticipated equipment purchases must
accompany the application for funding. Purchases over $1,000 must
receive written state approval.
R202-100-16. Property and Equipment.
A. Each local grantee shall develop procedures for
control of property and equipment. These procedures should
include; but are not limited to:
(1) An effective system of authorization and approval of
equipment purchase;
(2) Accounting practices for recording assets;
(3) Detailed records of individual assets which are
maintained and periodically balanced with the general ledger
accounts;
(4) Effective procedures for authorizing and accounting
for equipment disposal; and
(5) Secure storage of property and equipment.
R202-100-17. Purchase or Improvement of Land or
Buildings.
Funds shall not be used for purchase or improvement of
land, or the purchase, construction, or permanent improvement
(other than low-cost residential weatherization or other energy
related home repairs) of any building or other facility except as
this prohibition may be waived under conditions described in
Section 680 (b) of the CSBG act.
R202-100-18. Personnel Policies.
A. Each local grantee shall maintain written personnel
policies, available for review, which should include:
(1) Classification and pay plan;
(2) Policies governing selection and
appointment;
(3) Conditions of employment and employee
performance;
(4) Employee benefits;
(5) Employee-management relations including procedures
for filing and handling grievances, complaints and rights of
appeal;
(6) Personnel records and payroll procedures;
(7) Job description for all positions;
(8) Drug Free Work Place Policy.
R202-100-19. Civil Rights.
A. All CSBG funded programs shall comply with the
nondiscrimination provisions contained in Section 677 of the
Community Services Act.
B. Local grantees shall be required to have on file an
affirmative action plan that describes what they will do to
ensure that current and prospective employees and program
participants are treated in a non-discriminatory manner. This
plan shall also include a grievance procedure to deal with
allegations of discrimination on the part of prospective and
current staff members or program participants.
C. The provisions of this section shall apply to any and
all grantees and sub-grantees, except where special conditions
apply, i.e., Indians, migrants, or seasonal farm
workers.
R202-100-20. Prohibition of Political Activities.
Each CSBG grantee shall be responsible for assuring
adherence to political activity prohibitions contained in Sec.
675 (c) (7) of the CSBG Act. Monitoring of sub-grantees shall be
required as a part of administrative responsibilities. A
description of this process is to be available for state review
during monitoring visits or upon request. Violations of the
prohibitions are to be reported to the state CSO immediately
along with reports of measures taken by the grantee to restore
compliance.
R202-100-21. Audits and Inspection.
Each local grantee shall have performed by an independent
certified public accounting firm an annual audit that conforms
with the provisions and requirements of OMB Circular A-128, A-122
and A-133. The audit shall be due no later than one year
following the end of the grantee's fiscal year.
R202-100-22. Suspension or Termination of Funds.
A. DCC may suspend funding to a local grantee if
monitoring reports or independent audit reports indicate
continuing, substantial non-compliance with contract
requirements, accounting procedures, or fiscal control
requirements. If problems identified are not corrected within a
reasonable length of time, but not to exceed 60 days, DCC may
terminate its contract with local grantee and make the remaining
funds available to other eligible entities. Action to suspend or
terminate funding will not be taken, however, unless timely and
reasonable communication with the local grantee fails to produce
corrective action to DCC's satisfaction. The local grantee
shall not be relieved of liability to the state for funds
expended for improper purpose or federal audit exceptions
sustained by the state by virtue of any breach of the contract by
the agency, and the state may withhold or recover any payments to
the grantee for the purpose of setoff until such time as the
exact amount of damage due the state from the grantee is
determined.
B. Pursuant to the provisions of the contract between the
state and local grantee, delegation of funds and activities to
others may not be made without prior approval of DCC,
SCSO.
R202-100-23. Transfer of Funds.
Because of the limited funds anticipated to be made
available, DCC shall not transfer any of the CSBG to eligible
entities under the Older Americans Act of 1965, Head Start, or
Low-income Home Energy Assistance, nor consider a grantee in
compliance if such transfers are made locally.
R202-100-24. Amendments/Waivers.
A. Prior approval for budget changes is required in the
following instances:
(1) The dollar amount of transfers among budget
categories exceeds or is expected to exceed $10,000 or five
percent of the grant budget, whichever is greater, for grants of
$100,000 or larger.
(2) For grants under $100,000, approval is required if
transfers exceed or are expected to exceed five percent of the
grant budget.
(3) Limited flexibility in budget adjustments will be
allowed as follows (submit informational copies of adjusted CSBG
forms to SCSO):
(a) Rebudgeted funds within the Personnel Services
portion of their CSBG budget;
(b) Rebudgeted funds within the Supportive Services
portion of their CSBG budget;
(c) On a one-time basis, allowable transfers from the
Personnel Services budget to Supportive Services;
(d) On a one-time basis, allowable transfers from the
Supportive Services budget to Personnel Services;
B. Program goals may be amended by submitting changes for
approval on appropriate CSBG forms. At any point during the
program year it appears that a goal may be achieved at less than
90%, a program and budget amendment must be submitted for
approval.
C. Grantees may also request contract period end dates be
extended for up to sixty (60) days in order to spend program or
project carryover funds amounting to less than ten (10) percent,
or an amount approved by the state, of the total contract
amount.
R202-100-25. Project Monitoring and Evaluations.
A. Monitoring will be accomplished through review of the
fiscal and progress reports and on-site. On-site visits shall
automatically be initiated in response to a written complaint of
financial or programmatic non-compliance.
B. Evaluation of CSBG funded programs shall be conducted
either by the state or by the local CSBG grantees and shall be
distinct from both compliance monitoring and the state's
examination of CSBG grantees to ensure that they are eligible to
receive CSBG funds and that they are in compliance with all CSBG
related obligations. Monitoring will relate to grantee compliance
with federal assurances and state requirements in program
management and operation. Evaluation will involve an attempt to
measure program performance project results, and to determine the
impact a grantee's efforts have had on the causes of a
problem being addressed and on the problem itself.
C. For the most part, CSBG evaluations will be a joint
state/local effort, but the state does reserve the right to
conduct evaluations of CSBG programs at any time for purposes it
deems appropriate. In such cases, reasonable efforts will be made
to accommodate the concerns of any local grantee that is
involved.
R202-100-26. Program Reporting Requirements.
Local grantees shall be required to maintain client
profile sheets on individual clients, households or groups of
clients, if appropriate. A compiled report of the number and
characteristics of clients served, by category, shall be
submitted to SCSO on the prescribed CSBG Form thirty (30) days
after the end of each quarter of the program period. The program
progress report is also due at the same time.
R202-100-27. Appeals Procedure.
A. Grantees identified in the state plan as eligible to
receive funding from the Community Services Block Grant can use
the following procedure to appeal decisions made by the State
Community Services Office in regards to program and
funding.
B. Any substantive decision of SCSO which a local grantee
believes to be unfair or unreasonable and having a major adverse
impact on the local program, may be appealed by the grantee. The
appeal process is as follows:
(1) Within fifteen (15) days of receipt of a SCSO
decision that is believed to be unfair or unreasonable, the
grantee believing itself to be aggrieved must submit a letter to
the executive director of DCC, approved and signed by its elected
officials, setting forth:
(a) The decision that is being questioned;
(b) The date on which the grantee received notice of the
decision;
(c) The rationale of the grantee for considering the
decision to be substantial and unfair or unreasonable to the
grantee;
(d) A request for a hearing, including a statement as to
the desired outcome of such a hearing.
(2) Within ten (10) working days of the receipt of the
grantee's request for a hearing, the executive director shall
name a hearing officer, who shall schedule a hearing date no
later than two (2) weeks after being so named and will notify the
appellant grantee. The hearing officer will be independent of
DCC.
(3) Prior to the scheduled hearing, the SCSO staff shall
contact the Board of Directors of the appellant grantee:
(a) To obtain additional information pertinent to the
issue;
(b) To clarify any misunderstanding of fact or
policy;
(c) To explore possible alternatives that would eliminate
the necessity for a hearing;
(d) To obtain a written withdrawal of the request for a
hearing if the issue is resolved through negotiation.
(4) The hearing, should there be one, shall be conducted
by the hearing officer. The appellant grantee may be represented
by whomever it chooses at the hearing, but must notify DCC at
least five (5) working days prior to the hearing who that person
will be.
(5) The hearing officer shall review all testimony and
evidence presented at the hearing and recommend a decision to the
DCC Executive Director. The DCC Executive Director shall issue a
written decision on the appeal within 10 working days after
receipt of the hearing officer's recommendations.
(6) The decision resulting from the hearing shall be
final. Any necessary hearings shall be held in Salt Lake City or
at a site more convenient to the appellant agency, at the
discretion of the Executive Director of DCC.
R202-100-28. Citizen Participation.
A. The state requires citizen participation and supports
maximum participation of all interested persons and groups in the
development and implementation of the CSBG programs at the state
and local level, in advisory or administering capacity.
1. Tripartite boards are required for governing boards of
private, non-profit organizations and for the
administering/advisory boards of public agencies and shall
conform to the requirements outlined in Sec. 675 (c)
(3).
a. A minimum of one third of the board is to represent
low income. A description of the democratic selection process for
representatives of the poor is to be available for
review.
b. One third of the members of the board are to be
elected public officials, currently holding office, or their
representatives, except if not enough public officials are
willing or available, appointed public officials may serve.
Minutes of meetings or letters of appointment must be on file for
review.
c. The remainder of the members are to be officials or
members of business, industry, labor, religious, welfare,
education or other major groups in the community. A description
of the process used for selection of private sector
representatives is to be available for review. The description
should include a process for interested private sector groups to
petition for membership and how the petition will be
considered.
B. As a part of the problem assessment portion of the
planning phase (conducted every three years), each local agency
shall conduct public forums for low-income residents of the
areas. These forums are to allow a discussion and listing of
problems as viewed by the low-income and their suggestions for
solutions.
R202-100-29. Federal Program Regulations.
The CSBG is subject to regulations periodically published
in the Federal Register.
R202-100-30. Required Documentation and Forms.
The required application, budget and reporting forms
shall be designated through SCSO Community Services Block Grant
Program Directives.
R202-100-31. Application Process and Submission
Timetable.
A. The grant application phase of CSBG for local grantees
involves:
(1) A local poverty problem identification process
developed under prescribed criteria outlined in a Community
Services Block Grant Program Directives, problem analysis,
resource analysis, service delivery system description,
prioritization process and coordination policy process with
appropriate documentation submitted to SCSO by May 15 every three
(3) years, starting in 1998;
(2) The development of a work program for addressing
problems identified and prioritized includes;
(a) Community review of draft work program;
(b) Approval of final plan by local boards or by local
officials;
(c) Submission to state office by June 30 of each
year.
(3) As part of the application package, the applicant
must submit an administrative budget separate from the program
operation budget.
R202-100-32. Budget Estimate.
By May 1, the state shall make available to eligible
applicants, an estimate of funding amounts for each geographical
area, based on the formula contained in the State Plan.
R202-100-33. Public Review and Comment.
A. After the work program has been prepared, but before
Board approval, the applicant must provide ample opportunity for
its' review by low-income residents, the community as a
whole, and relevant community organizations and agencies. Notice
of the availability of the application for citizen review and
comment shall also be given by providing written notice to
organizations and agencies, to the local media, and posting of
notice in public places convenient to low-income residents. The
grantee must submit all of the comments of persons and
organizations choosing to respond with the application to the
State Office of Community Services.
R202-100-34. Senate Bill 50 - Sales Tax Refund on Donated
Food.
A. The State Community Services Office shall:
(1) Provide definitions for certification and
de-certification of eligible agencies to receive the sales tax
refund;
(2) Provide criteria for an organization to apply for
recognition as a qualified emergency food agency;
(3) Provide procedures to be used in the certifying and
de-certifying of agencies for Rules and Procedure
infractions;
(4) Provide standards for determining and verifying the
amount of the donated food;
(5) Certify organizations to receive the Sales Tax Refund
to the State Tax Commission;
(6) Provide monitoring to insure certified agencies
maintain required weighing capabilities and inventory
records;
(7) Develop other procedures necessary to implement
Senate Bill 50 in consultation with the State Tax
Commission.
KEY: antipoverty programs, grants, community action
programs, food sales tax refunds
Date of Enactment or Last Substantive Amendment: January 15,
1998
Notice of Continuation: November 7, 2007
Authorizing, and Implemented or Interpreted Law: 9-4-202]
Additional Information
The Portable Document Format (PDF) version of the Bulletin is the official version. The PDF version of this issue is available at https://rules.utah.gov/publicat/bull-pdf/2012/b20120701.pdf. The HTML edition of the Bulletin is a convenience copy. Any discrepancy between the PDF version and HTML version is resolved in favor of the PDF version.
Text to be deleted is struck through and surrounded by brackets (e.g., [example]). Text to be added is underlined (e.g., example). Older browsers may not depict some or any of these attributes on the screen or when the document is printed.
For questions regarding the content or application of this rule, please contact Jonathan Hardy at the above address, by phone at 801-538-8650, by FAX at 801-538-8888, or by Internet E-mail at jhardy@utah.gov.