DAR File No. 40022

Navajo Trust Fund, Trustees

Rule R661-4

Utah Navajo Trust Fund Chapter Projects

Notice of Proposed Rule

(New Rule)

DAR File No.: 40022
Filed: 12/28/2015 02:44:44 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

This rule is required by Subsection 51-10-205(4)(a).

Summary of the rule or change:

This rule sets forth the intent, general policies, application process, fund disbursement procedures and program effectiveness metrics for chapter projects funded by the Utah Navajo Trust Fund.

State statutory or constitutional authorization for this rule:

• Subsection 51-10-205(4)(a)

Anticipated cost or savings to:

the state budget:

No aggregate anticipated cost or savings to state budget because this rule sets out the procedure for beneficiaries of the Utah Navajo Trust Fund, Navajos residing in San Juan County, to apply for funding from the trust fund.

local governments:

No aggregate anticipated cost or savings to local government because this rule sets out the procedure for beneficiaries of the Utah Navajo Trust Fund, Navajos residing in San Juan County, to apply for funding from the trust fund.

small businesses:

No aggregate anticipated cost or savings to small businesses because this rule sets out the procedure for beneficiaries of the Utah Navajo Trust Fund, Navajos residing in San Juan County, to apply for funding from the trust fund.

persons other than small businesses, businesses, or local governmental entities:

No anticipated costs or savings to any other individuals or entities because this rule sets out the procedure for beneficiaries of the Utah Navajo Trust Fund, Navajos residing in San Juan County, to apply for funding from the trust fund.

Compliance costs for affected persons:

There are minimal compliance costs for chapters applying for Utah Navajo Trust Fund money.

Comments by the department head on the fiscal impact the rule may have on businesses:

This program may have a positive fiscal impact on San Juan County businesses that obtain contracts from chapters to perform the work being funded by the Utah Navajo Trust Fund.

David Damschen, State Treasurer

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Navajo Trust Fund
TrusteesRoom 180
350 N State Street
Salt Lake City, UT 84114

Direct questions regarding this rule to:

• Katharine Kinsman at the above address, by phone at 801-366-0140, by FAX at , or by Internet E-mail at kkinsman@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:

02/16/2016

This rule may become effective on:

02/23/2016

Authorized by:

David Damschen, State Treasurer

R661. Navajo Trust Fund, Trustees.

R661-4. Utah Navajo Trust Fund Chapter Projects.

R661-4-101. Intent.

(1) Intent of this program is to assist Chapters in meeting the needs of their local community by improving living conditions and responding to general welfare concerns.

(2) It is the Chapter's responsibility to set priorities regarding the development they wish to pursue given the amount of funding they can mobilize.

(a) Chapter projects require some, if not all, of the following elements: planning, site selection and assessments, proper clearances, architectural design and engineering, contract management, and completion of a development project. Additionally, project planning shall include reasonable timeframes and phased budgeting.

(b) Chapters are encouraged to employ long-term planning, including community planning and project specific planning, to anticipate future development needs in their communities.

(c) Chapters shall use a decision process that incorporates community knowledge, experience, and participation.

(3) Chapter projects must serve people determined to be in the greatest need by the Chapter, based on its annual priorities and/or community development planning and must take into consideration:

(a) Individuals 55 years of age or older currently living in hogans and wanting a home without utility services are top priority;

(b) Individuals that are handicapped and meet the IHS and Navajo Nation guidelines for utility and water access assistance.

(c) Low Income families in accordance with State, Federal and Navajo Nation guidelines. "Low income" also means "no income".

(d) Applicants that have not been assisted by the Chapter's Housing Assistance program.

(e) Veterans who have served in military service and are obtaining assistance through Navajo Nation, Federal, or state programs for home construction purposes.

(f) Chapter Officials, Dine' Advisory Committee Representatives, or immediate relatives may have to access to UNTF benefits, as long as they are legitimately in the highest priority need and if the State of Utah and Navajo Nation tribal ethics policies are complied with in accordance with UCA Section 51-10-206(5)(b). In such situations, the Chapter Official or Dine' Advisory Committee Representative will refrain from voting on issues which directly or indirectly may affect them.

(g) Applicants shall designate, in writing, an individual who will be responsible for the property in the event of applicant's death or incapacitation.

(4) UNTF funding shall only be provided to match funding from other sources. A commitment letter must be provided with the proposal to evidence that another agency has committed funding.

 

R661-4-201. General Policies.

(1) Chapters are required to bid out purchases based on a competitive process pursuant to the State of Utah procurement statutes and rules. At least two bids must be received by the Chapter for evaluation and award of a construction.

(2) All Utah Chapters submitting proposals for Chapter project funding must attach a list of constituents to be served. Only those residents residing in San Juan County, Utah and listed on the UNTF Census shall be considered eligible.

(3) UNTF will periodically review projects, budgets, and balances with Chapter staff and at least one Chapter officer, together with the Dine' Advisory Committee, to determine a Chapter's plans for projects and completion schedules.

(4) UNTF will conduct monitoring visits either on a periodic basis, from time to time, on a random basis, or as needs dictate.

 

R661-4-301. Application Process.

(1) Completed Chapter proposals must be submitted to the UNTF Administrative office at least five (5) working days prior to the regular monthly Dine' Advisory Committee. If a deadline falls on a holiday, the proposals will be due the business day before the holiday.

(a) Chapters must coordinate with IHS, NTUA, and other service providers to ensure utility plans and match funding are in place.

(b) If requested by the Chapter or other funding entities participating in the Project, UNTF may provide technical assistance for Chapter projects.

(2) Chapter project proposals shall include the following:

(a) Project Description;

(b) Project Scope including identification and quantification of beneficiaries;

(c) Match-funding agencies' roles and expectations;

(d) Description of how project will be achieved, including any manpower needs;

(e) Project Budget indicating estimated amounts; and,

(f) A final executed Chapter Resolution containing needed in compliance with the Navajo Nation policy on Chapter resolution requirements.

(3) The completed proposal is presented to the Dine' Advisory Committee for review and recommendation to the UNTF Board.

(a) If the proposal is incomplete, the proposal will be returned to the originating Chapter for resubmission when complete.

(b) If the proposal receives an approval through Committee and Board action in a duly-called meeting, the proposal will be funded.

(c) A written report on the progress on all projects must be submitted by the Chapter to the UNTF Board and Dine' Advisory Committee at their regularly-scheduled meetings.

 

R661-4-401. Disbursement of Funds.

(1) The sponsoring Chapter or entity shall provide UNTF with a complete copy of any and all executed contracts for UNTF funded projects. UNTF will not disburse any payments until it receives a copy of the written and executed contract.

(2) UNTF match-funding disbursements

(a) UNTF will make arrangements with co-funding agencies regarding payment requests and drawdown procedures.

(b) If the funding sources agree, a payment request procedure that complies with the State of Utah's accounting process will be used.

(c) The Chapter must submit payment request documents with appropriate signatures.

(3) All payments will be sent directly to the contractor or servicing organization.

(a) UNTF payments must be requested through the standard State of Utah accounting process. Payments shall only be made according to the terms of contract and UNTF procedures.

(b) Chapters requesting reimbursements must provide copies of canceled checks, front and back, and any and all receipts which support the claim request.

(4) The Chapter or sponsoring organization shall:

(a) Provide UNTF with a monthly written activity update on the first day of each month. Reports shall include at a minimum:

(i) a financial update on how funds are being used; and,

(ii) a progress report, including photos, of the project.

(b) Provide UNTF with a Construction Schedule and Schedule of Values for the project.

(i) The Construction Schedule shall be updated monthly to indicate percentage of completion of the Project.

(ii) The Schedule of Values is a breakdown of the different phases of the total project and dollar value of each phase of the project.

(c) Provide a close-out report to UNTF when project funds have been fully expended or the Project is complete, whichever occurs first.

(5) Use of UNTF funds:

(a) Allowed expenditures include:

(i) Project labor, material purchases, equipment rental, professional and technical assistance (for architects, engineers, contractors, surveyors, etc.) or other items needed to complete a project.

(ii) Office equipment is an allowable expenditure in accordance with the UNTF Office Equipment Purchase and Repair Program in the UNTF policies.

(iii) The Blue Mountain Dine' Community (BMDC) may use a portion of their Chapter Project allocation for selective administrative expenses as provided by BMDC policies.

(b) Non-allowed expenditures include administrative expenses such as: Chapter salaries, per diem and travel and/or mileage, utilities, insurance, food, cleaning supplies and office expenses, etc.

 

R661-4-501. Program Effectiveness Metric.

(1) Percentage of Chapter Projects commenced within two (2) years of UNTF funding.

(2) If it is the opinion of UNTF staff that insufficient progress has been made on an approved Chapter Project within two (2) years of the approval date, UNTF staff will meet with the Chapter staff and Chapter Officials to determine if the funding authorization should be rescinded. UNTF Staff shall recommend to the UNTF Board whether approved funding should or should not be rescinded.

 

KEY: chapter projects, community needs, Utah Navajo Trust Fund (UNTF)

Date of Enactment or Last Substantive Amendment: 2016

Authorizing, and Implemented or Interpreted Law: 51-10