Utah Administrative Code

The Utah Administrative Code is the body of all effective administrative rules as compiled and organized by the Division of Administrative Rules (see Subsection 63G-3-102(5); see also Sections 63G-3-701 and 702).

NOTE: For a list of rules that have been made effective since January 1, 2020, please see the codification segue page.

NOTE TO RULEFILING AGENCIES: Use the RTF version for submitting rule changes.


R990. Workforce Services, Housing and Community Development.

Rule R990-100. Community Services Block Grant Rules.

As in effect on January 1, 2020

Table of Contents

R990-100-1. Authority.

This rule is authorized under Section 35A, Chapter 8, Part 10, State Community Services Act, which allows the Housing and Community Development Division (HCDD) to receive funds for and to administer federal aid programs.

R990-100-1a. Acronyms.

(1) HCDD: Housing and Community Development Division

(2) CSBG: Community Services Block Grant

(3) SCSO: State Community Services Office

R990-100-1b. Definitions.

In addition to the definitions of terms found in Section 35A-8-1002 and the Community Services Block Grant Program, 42 U.S.C. 9902, the following definitions apply to this rule:

(1) "Community Action Programs" means local private and public non-profit organizations that carry out the Community Action Program (CAP), which was founded by the 1964 Economic Opportunity Act to fight poverty by empowering the low-income as part of the War on Poverty.

(2) "CSBG Act" means the Community Opportunities, Accountability, and Training and Educational Services Act of 1998 (also known as the COATES Act, Pub. L. No. 105 et seq., 42 U.S.C. Chapter 106).

R990-100-2. Purpose.

The purpose of this rule is to establish standards and procedures for the Community Services Block Grant authorized under the Community Opportunities, Accountability, and Training and Educational Services Act of 1998 (CSBG Act), 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.

R990-100-3. Eligible Grantees for CSBG Programs and Projects.

(1) Utah shall distribute at least 90 percent of available funds as pass-through grants to eligible entities to administer directly or, at the eligible entity's option, to sub-contract, for the performance of eligible activities. Eligibility for the 5 percent discretionary funds will be established by the state plan.

(2) When a public eligible entity chooses to sub-contract all program operations to a private entity, the private entity must be a non-profit organization directed by a board whose composition complies with 42 U.S.C. 9910.

R990-100-4. Assurances Required by CSBG Act.

Each eligible entity shall be required through the application and agreement process to submit a certification of assurances based on CSBG programmatic, administrative and financial requirements of the Act as outlined by CSBG Program Directives prepared by the SCSO.

R990-100-5. Compliance.

Each eligible entity must maintain its eligibility to receive CSBG funds by being in compliance with applicable laws, regulations, performance requirements, CSBG organizational standards as defined by the Department of Health and Human Services' Office of Community Services, and contractual agreements. The state reserves the right to examine any aspects of CSBG funded activities to ensure compliance.

R990-100-6. Qualifications.

Each eligible entity shall demonstrate that it has in place, or shall have in place before undertaking CSBG funded program activities, management systems adequate to ensure that CSBG funds are spent efficiently and effectively. When activities are sub-contracted, the eligible entity shall have in place a system and assume the responsibility for monitoring and evaluating sub-contracts. Files must be retained containing the monitoring and evaluation results and be available for the State's review for at least three years after the completion of the contract. 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.

R990-100-7. Program Participant Eligibility.

Income eligibility at or below 125% of the federal poverty level for program participation shall be based on the Office of Management and Budget official poverty guidelines as described in 42 U.S.C. 9902. Income verification shall be consistent with the income verification policy established by SCSO.

R990-100-8. Funds Allocation.

(1) CSBG funds shall be allocated on the basis of federal fiscal years beginning October 1 to eligible entities by the following formula:

(a) Each eligible entity selected for funding shall be awarded an equal, minimum base amount.

(b) The amount remaining after subtraction of the sum of the minimum base amount shall be allocated among the eligible entities based on a poverty formula developed by SCSO.

R990-100-9. Approval Process.

Criteria shall be used to review applications for CSBG funds and shall be distributed to eligible entities as SCSO Program Directives. Each eligible entity shall annually submit an application and community action plan based on needs identified within the community. Application and action plans are reviewed by SCSO staff for consistency with program requirements and community needs. A CSBG eligible entity shall be notified of application status 30 days or less after the closing date of application submissions. Any application found to be incomplete or inadequate will be returned to the eligible entity for appropriate changes. The SCSO will provide technical assistance to any eligible entity that demonstrates need throughout the application process.

R990-100-10. Award Procedures.

The state shall contract with an eligible entity on October 1 contingent upon Federal authorization and appropriation for CSBG. Once signed, this contract shall be binding on both parties.

R990-100-11. Fiscal Operations Procedures.

(1) Each eligible entity shall have an acceptable procedure describing functions of its fiscal office and including at a minimum:

(a) Purchasing procedure,

(b) System of cash control,

(c) Payroll system, and

(d) Internal and external reporting systems.

(2) Fiscal procedures shall be in compliance with applicable state and federal regulations, including 45 CFR Part 75, and conform with generally accepted accounting procedures.

R990-100-12. Financial Reports and Reimbursements.

(1) Financial reports are to be submitted on a no more frequently than monthly and no less frequently than quarterly basis.

(2) Each eligible entity shall receive reimbursement based on a monthly financial status report and certification of work program activities.

(3) Each report must be signed by either:

(a) the contract signatory, or

(b) someone designated by the signatory, with a letter of designation filed with the state.

(4) Final reimbursement requests shall be due by the date stipulated by SCSO contract.

R990-100-13. Administrative Cost.

Administrative costs include allowable expenditures, as per 45 CFR Part 75, incurred to administer the CSBG through an indirect cost rate, approved by a cognizant Federal Agency or a cost allocation plan approved by the SCSO.

R990-100-14. Travel and Per Diem.

Travel, per diem, and allowances for staff and board members shall be determined by approved eligible entity guidelines which establish rates of reimbursement.

R990-100-15. Purchasing, Receiving and Accounts Payable.

(1) An eligible entity shall develop and have approved procedures for handling purchasing, receiving, and accounts payable that comply with 45 CFR Part 75. In the absence of a local procedure, the state procedure shall be followed. These procedures shall include:

(a) Pre-numbered purchase orders and vouchers for any items of cost and expense.

(b) Procedures to insure procurement at competitive prices.

(c) Receiving reports to control the receipt of merchandise.

(d) Effective review following prescribed procedures for program coding, pricing and extending vendors' invoices.

(e) Invoices matched with purchase orders and receiving reports.

(f) 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.

(g) Adequate segregation of duties in that different individuals are responsible for:

(i) Purchase;

(ii) Receipt of merchandise or services; and

(iii) Voucher approval.

(2) A list of anticipated equipment purchases must accompany the application for funding. Purchases over $1,000 must receive written state approval.

R990-100-16. Property and Equipment.

(1) Each eligible entity shall develop procedures for control of property and equipment that comply with 45 CFR Part 75. These procedures shall include; but are not limited to:

(a) An effective system of authorization and approval of equipment purchase;

(b) Accounting practices for recording assets;

(c) Detailed records of individual assets which are maintained and periodically balanced with the general ledger accounts;

(d) Effective procedures for authorizing and accounting for equipment disposal; and

(e) Secure storage of property and equipment.

R990-100-17. 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 42 U.S.C. 9918.

R990-100-18. Personnel Policies.

(1) Each eligible entity shall maintain written personnel policies, available for review, which shall include:

(a) Classification and pay plan;

(b) Policies governing selection, appointment, and written evaluation;

(c) Conditions of employment and employee performance;

(d) Employee benefits;

(e) Employee-management relations including procedures for filing and handling grievances, complaints and rights of appeal;

(f) Personnel records and payroll procedures;

(g) Job description for each position;

(h) Drug Free Work Place Policy; and

(i) Whistle Blower Policy.

R990-100-19. Civil Rights.

(1) Any CSBG funded program shall comply with the nondiscrimination provisions contained in 42 U.S.C. 9918.

(2) An eligible entity shall be required to have on file an affirmative action plan that describes what the entity 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 address allegations of discrimination by prospective and current staff members or program participants.

(3) The provisions of this section shall apply to each grantee and sub-grantee, except where special conditions apply, i.e., Indians, migrants, or seasonal farm workers.

R990-100-20. Prohibition of Political Activities.

Each eligible entity shall be responsible for assuring adherence to political activity prohibitions contained in 42 U.S.C. 9918. Monitoring of any sub-grantees shall be required as a part of the eligible entity's 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 SCSO immediately along with reports of measures taken by the eligible entity to restore compliance.

R990-100-21. Audits and Inspection.

Each eligible entity shall have performed by an independent certified public accounting firm an annual audit that conforms with the provisions and requirements of 45 CFR Part 75, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards. The audit shall be due no later than one year following the end of the grantee's fiscal year.

R990-100-22. Suspension or Termination of Funds.

(1) If monitoring reports or independent audit reports show continuing, substantial non-compliance with contract requirements, accounting procedures, or fiscal control requirements, HCDD may request the eligible entity to submit and implement a Quality Improvement Plan within 60 days of notice of deficiency. Action to suspend or terminate funding will not be taken, however, unless timely and reasonable communication with the eligible entity fails to produce corrective action to HCDD's satisfaction. The eligible entity 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 eligible entity until the exact amount of damage due the state from the eligible entity is determined.

(2) Pursuant to the provisions of the contract between the state and eligible entity, delegation of funds and activities to others may not be made without prior approval of HCDD, SCSO.

(3) If HCDD takes action to suspend or terminate funding to an eligible entity, HCDD will issue a notice of agency action detailing the reasoning for terminating or suspending funding, including information concerning any Quality Improvement Plan and communication concerning the failure to produce correction action.

(4) An entity that receives a notice of agency action may request a hearing on the record, pursuant to 42 U.S.C. 9908(b)(8).

(a) The request for hearing must be in writing, approved and signed by the entity's elected officials, and must set forth the grounds for the request.

(b) The request for hearing must be filed with Department of Workforce Services Division of Adjudication within 30 calendar days from the date of the notice of agency action.

(c) In computing the time allowed for filing a request for hearing, the date as it appears in the notice of agency action is not included. The last day of the request period is included in the computation unless it is a Saturday, Sunday, or legal holiday when the offices of the Department are closed. If the last day permitted for filing an request falls on a Saturday, Sunday, or legal holiday, the time permitted for filing a appeal will be extended to the next day when the Department offices are open.

(d) The date of receipt of a request is the date the request is actually received by the Department of Workforce Services Division of Adjudication, as shown by the Department's date stamp on the document or other credible evidence such as a written or electronic notation of the date of receipt, and not the post mark date from the post office. If the appeal is faxed to the Department of Workforce Services Division of Adjudication, the date of receipt is the date recorded on the fax.

(e) If an eligible entity does not request a hearing within the 30-day limit, the notice of agency action will be effective at the end of the 30 days.

(5) The hearing on the record will be conducted in accordance with the procedures outlined in R986-100-124 through R986-100-133.

(6) If the eligible entity disagrees with the Administrative Law Judge decision, the entity may appeal to the Department of Workforce Services Executive Director or person designated by the Executive Director. The appeal must be filed, in writing, within 30 days of the issuance of the decision of the Administrative Law Judge.

(a) The decision by the Department of Workforce Services Executive Director or person designated by the Executive Director, constitutes the final agency decision.

(7) If the eligible entity disagrees with a final agency decision to terminate funding, it may appeal to the Secretary of the U.S. Department of Health and Human Services, as provided in 45 C.F.R. 96.92.

(a) Pursuant to 45 C.F.R. 96.92, if an eligible entity has made a request for review, SCSO may not discontinue current or future funding until the U.S. Department of Health and Human Services confirms the final agency decision.

(b) Pursuant to 45 C.F.R. 96.92, if an eligible entity does not make a request for review within the 30-day limit, the final agency decision will be effective at the end of the 30 days.

R990-100-24. Amendments/Waivers.

An eligible entity may request contract period end dates be extended for up to 180 days to spend program or project carryover funds amounting to less than ten percent, or an amount approved by the state, of the total contract amount.

R990-100-25. Program Monitoring and Evaluations.

(1) Monitoring will be accomplished through review of the fiscal, programmatic, and progress reports and on-site visits. On-site visits shall automatically be initiated in response to a written complaint of financial or programmatic non-compliance.

(a) Monitoring will relate to eligible entity compliance with federal assurances and federal and state requirements in program management and operation.

(2) Evaluation of CSBG funded programs shall be conducted by the state or by the eligible entity and shall be distinct from both compliance monitoring and the state's examination of a CSBG eligible entity to ensure the entity is eligible to receive CSBG funds and is in compliance with any CSBG related obligations.

(a) Evaluation will involve an attempt to measure program performance project results, and to determine the impact of an eligible entity's efforts.

(b) For the most part, CSBG evaluations will be a joint state/local effort, but the state reserves the right to conduct evaluations of CSBG programs at any time for purposes it considers appropriate. In these circumstances, reasonable efforts will be made to accommodate the concerns of any eligible entity that is involved.

R990-100-26. Program Reporting Requirements.

An eligible entity shall maintain client profile records on individual clients, households or groups of clients, if appropriate. A compiled report of the number and characteristics of clients served shall be submitted to SCSO on an annual basis by the SCSO stated due date.

R990-100-28. Citizen Participation.

(1) The state requires citizen participation and supports maximum participation of any interested persons and groups in the development and implementation of the CSBG programs at the state and local level, in advisory or administering capacity.

(2) 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 42 U.S.C. 9910.

(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 low-income 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 remaining 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 shall include a process for interested private sector groups to petition for membership and how the petition will be considered.

(2) As a part of the community needs assessment portion of the planning phase (conducted every three years), each eligible entity 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.

R990-100-29. Federal Program Regulations.

The CSBG is subject to regulations periodically published in the Federal Register.

R990-100-30. Required Documentation and Forms.

The required application, budget and reporting forms shall be designated through SCSO CSBG Program Directives.

R990-100-31. Application Process and Submission Timetable.

(1) The grant application phase of CSBG for eligible entities involves:

(a) A community needs assessment developed under prescribed criteria outlined in a CSBG Program Directives, problem analysis, resource analysis, service delivery system description, prioritization process and coordination policy process with appropriate documentation submitted to SCSO by the date published by the SCSO every three years, starting in 1998;

(b) The development of a community action plan for addressing problems identified and prioritized includes;

(i) Community review of the draft community action plan;

(ii) Approval of final plan by local boards or by local officials;

(iii) Submission of the plan to SCSO by the date published by the SCSO.

(c) As part of the application package, the applicant must submit an administrative budget separate from the program operation budget.

R990-100-32. Budget Estimate.

Following receipt of federal continuing resolution or budget information, 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.

R990-100-33. Public Review and Comment.

(1) After the community action plan 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 eligible entity must submit any comments of persons and organizations choosing to respond with the application to the SCSO.

KEY

antipoverty programs, grants, community action programs

Date of Enactment or Last Substantive Amendment

December 23, 2019

Notice of Continuation

July 6, 2017

Authorizing, Implemented, or Interpreted Law

35A-8-1004


Additional Information

Contact

For questions regarding the content or application of rules under Title R990, please contact the promulgating agency (Workforce Services, Housing and Community Development). A list of agencies with links to their homepages is available at http://www.utah.gov/government/agencylist.html or from http://www.rules.utah.gov/contact/agencycontacts.htm.