[27 Pa.B. 95]
[Continued from previous Web Page] IV. Individuals to be Served
Participation in any CSBG program will be limited to persons whose income in relation to family size does not exceed 125% of the official poverty level established by the Federal Office of Management and Budget. Included in this category will be elderly poor, migrant and seasonal farmworkers, Head-Start families, and the chronically unemployed such as AFDC and GA recipients.
V. Conditions and Assurances
Community Services Block Grant Statutory Assurances--as Amended by P. L. 103-252, Human Services Amendments of 1994.
The Commonwealth agrees to:
(1) Ensure that, at its discretion and consistent with agreements with the State, each recipient of funds available under this subtitle will use such funds--
(A) To provide a range of services and activities having a measurable and potentially major impact on causes of poverty in the community or those areas of the community where poverty is a particularly acute problem;
(B) To provide activities designed to assist low-income participants including homeless individuals and families, migrants, and the elderly poor--
(i) to secure and retain meaningful employment;
(ii) to attain an adequate education;
(iii) to make better use of available income;
(iv) to obtain and maintain adequate housing and a suitable living environment;
(v) to obtain emergency assistance through loans or grants to meet immediate and urgent individual and family needs, including the need for health services, nutritious food, housing and employment-related assistance.
(vi) to remove obstacles and solve problems which block the achievement of self-sufficiency;
(vii) to achieve greater participation in the affairs of the community; and
(viii) to make more effective use of other programs related to the purposes of this subtitle;
(C) To provide on an emergency basis for the provision of such supplies and services, nutritious foodstuffs, and related services, as may be necessary to counteract conditions of starvation and malnutrition among the poor;
(D) To coordinate and establish linkages between governmental and other social services programs to assure the effective delivery of such services to low-income individuals; and
(E) To encourage the use of entities in the private sector of the community in efforts to ameliorate poverty in the community; (675(c)(1)(A)--(E))
Implementation Plan for Assurance # 1
Each year the Community Empowerment Office requires local subgrantee agencies to submit Work Plans and budgets that address one or more of the above-referenced purposes, based on a local needs assessment. The Work Plans are incorporated into legally binding contracts. Most contracts are monitored on a regular basis throughout the year to ensure agencies are in compliance. As can be seen from past year's objectives, as well as the Projection of Services Provided, agencies are providing a full range of services designed to positively impact the lives of the low-income.
(2) (A) ''. . . to use not less than 90 percent of the funds allotted to the State under Section 674 to make grants for the purposes described in clause (1) to eligible entities (as defined in Section 673 (1)) or to organizations serving seasonal or migrant farmworkers; except that not more than seven (7) percent of the funds available for this subclause shall be granted to organizations which were not eligible entities during the previous fiscal year.'' (675(c)(2)(A))
(B) if less than 100% of the allotment is expended under subparagraph (A), provide assurances that with respect to the remainder of the allotment a reasonable amount shall be used for--
(i) providing training and technical assistance to those entities in need of such assistance and such activities will be considered administrative expenses;
(ii) coordinating State-operated programs and services targeted to low-income children and families with services provided by eligible entities funded under this subtitle, including out-posting appropriate State or local public employees into entities funded under this subtitle to ensure increased access to services provided by such State or local agencies;
(iii) supporting Statewide coordination and communication among eligible entities;
(iv) administrative expenses at the State level, including monitoring activities, but not more than $55,000 or 5% of its allotment under section 674; and
(v) considering the distribution of funds under this subtitle within the State to determine if such funds have been targeted to the areas of greatest need. (675(c)(2)(B))
Implementation Plan for Assurance # 2
During Fiscal Year 1997, the 90% grant monies under the CSBG will go to CAAs and other eligible entities. A portion of these monies will be used to fund ongoing programs in a CAA/LPA service area based on needs identified at the local level and the State priorities outlined in this plan. Ninety percent moneys will also be made available for Rural Opportunities Inc., which serves low-income farmworkers and poor rural families in Pennsylvania.
The program year 1997 allocation for eligible entities will be based on a formula comprised of two factors: the number of persons with incomes below 125% of poverty level in each service area (from 1990 United States Census data) on which 75% of the allocation will be based, and the number of unemployed persons in each service area (Pennsylvania Office of Employment Security, Pennsylvania Civilian Labor Force Data by County of Residence, 1994 Annual Average) on which 25% of the allocation will be based. All agencies receive a minimum base level allocation.
Funds up to the amount of 5% of the State allocation will be utilized for State administration. Funds in the amount of 5% of the Fiscal Year 1997 CSBG funding, and any otherwise available monies not used for Departmental program administration, will be used to augment funding to eligible entities and to support special projects or unique programs that are consistent with the objectives of the CSBG Act (discretionary funds). The Department may solicit applications for these funds, but will consider unsolicited requests. Decisions as to the funding of these applications will be made under the direction of the Secretary of the Department.
(3) Provide Assurances that--
(A) in the case of a Community Action Agency or nonprofit private organization, each board will be selected by the Community Action Agency or nonprofit organization and constituted so as to assure that--
(i) one-third of the members of the board are elected public officials, currently holding office, or their representatives, except that if the number of elected officials reasonably available and willing to serve is less than one third of the membership of the board, membership on the board of appointive public officials may be counted in meeting such one-third requirement.
(ii) at least one-third of the members are persons chosen in accordance with democratic selection procedures adequate to assure that they are representative of the poor in the area served; and
(iii) the remainder of the members are officials or members of business, industry, labor, religious, welfare, education or other major groups and interests in the community; and
(B) in the case of a public organization receiving funds under this subtitle, such organization either establish--
(i) a board of which at least one-third of the members are persons chosen in accordance with democratic selection procedures adequate to assure that they are representatives of the poor in the area served; or
(ii) another mechanism specified by the State to assure low-income citizen participation in the planning, administration and evaluation of projects for which such organization has been funded. (675(c)(3))
Implementation Plan for Assurance #3
Included with the submission of subgrantee Work Plans is a breakout of the composition of the board, which is reviewed for compliance. Many agencies also include an updated list of board members. Additionally, as part of the monitoring process, board composition is reviewed. The Community Empowerment Office has two directives (directives are designed to provide additional guidance to subgrantees on a particular subject, and included in the contracts by reference) related to board composition: CSBG Directive 91-2: Administrative Procedures for CSBG Grants; and CSBG Directive 93-4: CSBG Advisory Committees (for subgrantees that are units of local governments).
(4) Give special consideration in the designation of local community action agencies under this subtitle to any community action agency which is receiving funds under any Federal anti-poverty program on the date of the enactment of this Act, except that--
(A) the State shall, before giving such special consideration, determine that the agency involved meets program and fiscal requirements established by the State; and
(B) if there is no such agency because of any change in the assistance furnished to programs for economically disadvantaged persons, the State shall give special consideration in the designation of community action agencies to any successor agency which is operated in substantially the same manner as the predecessor agency which did receive funds in the fiscal year proceeding the fiscal year for which the determination is made. (675(c)(4))
Implementation Plan for Assurance #4
The Commonwealth of Pennsylvania will give special consideration to all community action agencies and limited purpose agencies which received Federal antipoverty funds on the date of the enactment of the CSBG Act and its predecessor Act.
(5) Provide assurances that the State may transfer funds, but not to exceed 5% of its allotment under Section 674, for the provisions set forth in this subtitle to services under the Older Americans Act of 1965, the Head Start program under subchapter B of chapter 8 of subtitle A of this title, the energy crisis intervention program under title XXVI of this Act (relating to low-income home energy assistance) or the Temporary Emergency Food Assistance Act of 1983. (675(c)(5))
Implementation Plan for Assurance #5
The Commonwealth of Pennsylvania does not plan to transfer any CSBG moneys to any other eligible program.
(6) Section 675(c)(6) is no longer applicable. It was repealed by the Hatch Act Reform Amendments of 1993 (P. L. 103.94).
(7) Prohibit any activities to provide voters and prospective voters with transportation to the polls or provide similar assistance in connection with an election or any voter registration activity. (675(c)(7))
Implementation Plan for Assurance #7
Article V, Section A of the standard contract with subgrantee agencies prohibits such activities.
(8) Provide for coordination between antipoverty programs in each community, where appropriate, with emergency crisis intervention programs under title XXVI of this Act (relating to low-income home energy assistance) conducted in such community. (675(c)(8))
The Community Empowerment Office actively encourages the coordination of various programs at the local level. Additionally, as state administrators of the Weatherization Assistance Program which half the CAA's administer locally, the CEO instituted the Crisis Intervention Project, in conjunction with the Department of Public Welfare, (which administers the LIHEAP) to serve LIHEAP eligible persons in crisis emergency situations. The CEO will also coordinate its antipoverty efforts by participating on the LIHEAP Advisory Committee.
(9) Provide that fiscal control and fund accounting procedures will be established as may be necessary to assure the proper disbursal of and accounting for Federal funds paid to the State under this subtitle, including procedures for monitoring and assistance provided under this subtitle and provide that at least every year each State shall prepare in accordance with subsection (f) an audit of its expenditures of amounts received under this subtitle and amounts transferred to carry out the purposes of this subtitle; subsection (f) requires that at least annually each State, local government and Indian Tribe or tribal organization that receives $100,000 or more (during the fiscal year) in all types of Federal financial assistance must conduct an audit in accordance with the Single Audit Act, Public Law 98-502 (31 U.S.C.A. 75 and OMB Circular A-128. (675(c)(9))
Implementation Plan for Assurance #9
As part of the monitoring procedures, a fiscal review is conducted, though not an extensive one. The Commonwealth requires audit reports as compliance with the provisions of the Single Audit Act of 1984 (P. L. 98-502) and the State's Budget and Accounting Act of 1921, as amended, and OMB Circular A-133. The Commonwealth's Auditor General's Office annually audits the Department of Community and Economic Development in compliance with the Single Audit Act, and the audit is submitted to the Commonwealth's federal cognizant agency, the Department of Agriculture. Audits are based on the State fiscal year July 1 to June 30.
(10) Permit and cooperate with Federal investigations undertaken in accordance with Section 679 and (675(c)(10)).
Implementation Plan for Assurance #10
The Commonwealth will comply with any and all Federal investigations undertaken in accordance with the above referenced section.
(11) Provide assurances that any community action agency or migrant and seasonal farmworkers organization which received funding in the previous fiscal year under this Act will not have its present or future funding terminated under this Act or reduced below the proportional share of funding it received in the previous fiscal year unless after notice, and opportunity for hearing on the record, the State determines that cause existed for such termination or such reduction subject to review by the Secretary as provided in Section 676A.
(A) For purposes of making a determination with respect to a funding reduction, the term ''cause'' includes:
(i) a Statewide redistribution of funds under this subtitle to respond to:
(aa) the results of the most recently available census or other appropriate data;
(bb) the establishment of a new eligible entity;
(cc) severe economic dislocation; and
(ii) the failure of an eligible entity to comply with the terms of its agreement to provide services under this subtitle, and
(B) for purposes of making a determination with respect to a termination, the term ''cause'' includes the material failure of an eligible entity to comply with the terms of its agreement and community action plan to provide services under this subtitle. (675(c)(11))
Implementation Plan for Assurance #11
In order to ensure that assurance #11 is complied with, Pennsylvania Act 116 (as amended) provides much the same language as the Federal assurance, that is,
Pennsylvania Act 116 (amended) provides that:
''As established by the formula . . . determination of annual funding levels shall be made by the Secretary based on input from local agencies and the CSBG Advisory Task Force. Any Community Action Agency or migrant and seasonal farmworkers organization which received funding in the previous fiscal year under this Act will not have its present or future funding terminated under this Act or reduced below the proportional share of funding it received in the previous fiscal year unless, after notice and opportunity for hearing on the record, the Commonwealth determines that cause existed for such termination or such reduction, subject however to review under section 676A of the Omnibus Budget Reconciliation Act of 1981 (Public Law 97-35, Stat. 357).
(2) For purposes of making a determination with respect to a funding reduction, the term ''cause'' includes:
(i) a Statewide redistribution of funds under this act to respond to:
(A) the results of the most recently available census or other appropriate data;
(B) the establishment of a new eligible entity;
(C) severe economic dislocation; and
(ii) ''the failure of an eligible entity to comply with the terms of its agreement to provide services under this act.''
(12) In the case of a State which applied for and received a waiver from the Secretary under Public Law 98-189, provide assurances that funds will not be provided under this subtitle by such State to an organization to which such State made a grant under this subtitle in fiscal year 1984 unless such organization allows, before expending such funds, low-income individuals to comment on the uses for which such organization proposes to expend such funds. (675(c)(12))
Implementation Plan for Assurance #12
This Assurance is not applicable to Pennsylvania.
(13) Secure from each eligible entity as a condition to its receipt of funding under this Act a community action plan (which shall be available to the Secretary for inspection) that includes--
(A) a community needs assessment (including food needs);
(B) a description of the service delivery system targeted to low-income individuals and families in the service area;
(C) a description of how linkages will be developed to fill identified gaps in service through information, referral, case management and follow-up consultations;
(D) a description of how funding under this Act will be coordinated with other public and private resources; and
(E) a description of outcome measures to be used to monitor success in promoting self-sufficiency, family stability and community revitalization; (675(c)(13))
Implementation Plan for Assurance #13
With the notification of its allocation, each agency receives instructions for submission of its 1997 Work Plan.
Work Plans must include an assessment of local needs, eligible services to be provided, the methods of operation to provide the services, a description of the system by which the proposed program can be measured, the accounting and fiscal control procedures for the proposed program, and a description of the agency's board composition. The Work Plans for special projects have the same requirements.
Grantees receiving 90% funds must include documentation that the public at large had an opportunity to review, comment and provide input into the grantee's Work Plan.
(14) Provide assurances that cost and accounting standards of the Office of Management and Budget (OMB Circular A-110 and A-122) shall apply to a recipient of funds under this subtitle. (675(c)(14))
Implementation Plan for Assurance #14
The Department's standardized contract contains the following language under Article III;
(a) Compliance with Federal Statutes and Regulations: The Contractor agrees to comply with all applicable federal statutes and regulations to which the Department is subject including Circular A-102, as amended, entitled Uniform Administrative Requirements for Grants-In-Aid to States and Local Governments; A-110 entitled Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and other Non-profit Organizations; A-87 entitled Cost Principles for States and Local Governments; and A-122 entitled Cost Principles for Non-profit Organizations.
(15) Public Law 103-227, Part C. Environmental Tobacco Smoke, also known as the Pro Children Act of 1994 (Act), requires that smoking not be permitted in any portion of any indoor facility owned or leased or contracted for by an entity and used routinely or regularly for the provision of health, day care, education or library services to children under the age of 18 if the services are funded by Federal Programs either directly or through States or local governments by Federal grant, contract, loan or loan guarantee.
By signing and submitting these assurances the grantee certifies that it will comply with the requirements of the Act. The grantee further agrees that it will require the language of this certification be included in any sub-awards which contain provisions for children's services and that all subgrantees shall certify accordingly.
Implementation Plan for Assurance #15
Appendix C of the Department's contract, Assurances and Special Conditions for the CSBG program, contains the following language:
Pursuant to the Federal Pro-Children Act of 1994 (20 U.S.C.A. §§ 6081--6084), the Contractor understands that it may not permit smoking within any indoor facility owned or leased or contracted for and utilized by Contractor, or an assignee of contractor, for provision of routine or regular kindergarten, elementary, or secondary education or library services to children; and that, in addition, it may not permit smoking within any indoor facility (or portion thereof) owned or leased or contracted for by Contractor, or an assignee of Contractor, for the provision of regular or routine health care or day care or early childhood development (Head Start) services to children or for the use of the employees of Contractor, or an assignee of Contractor, who provides such services.''
[Pa.B. Doc. No. 97-39. Filed for public inspection Janury 3, 1997, 9:00 a.m.]
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