DEPARTMENT OF COMMUNITY AND ECONOMIC DEVELOPMENT 1998-99 Community Services Block Grant State Plan [28 Pa.B. 386] The Department of Community and Economic Development (Department) publishes its Community Services Block Grant State Plan to the Department of Health and Human Services for the 1998-99 program year.
Comments will be received at a Public Hearing to be held at 10 a.m., Thursday, February 5, 1998 in Room 321 of the Forum Building, Commonwealth Avenue and Walnut Street, Harrisburg, PA 17120.
Written comments may be submitted to Dennis Darling, Director of the Community Empowerment Office, Department of Community and Economic Development, Room 352 Forum Building, Harrisburg, PA 17120, until 5 p.m. on February 5, 1998.
Persons with a disability who wish to attend this hearing and require an auxiliary aid, service or other accommodations to participate in the proceedings, should contact Dennis Darling at (717) 787-1984 to discuss how the Department may accommodate their needs.
Copies of the State Plan are available in the Community Empowerment Office, Room 352 Forum Building, Harrisburg, PA 17120 or by calling (717) 787-1984.
SAMUEL MCCULLOUGH,
SecretaryLegislative Background and Purpose The Community Services Block Grant (CSBG) is a Federal block grant program administered by the United States Department of Health and Human Services, Administration for Children and Family, Office of Community Services. Created by the Omnibus Budget Reconciliation Act of 1981, the CSBG replaced eight Federal categorical programs originally authorized by the Economic Opportunity Act of 1964.
The Commonwealth of Pennsylvania accepted the CSBG for the purpose of providing a full range of services and activities having a measurable and potentially major impact on the causes of poverty in a community or those areas of a community where poverty is a particularly acute problem.
Recognizing the importance of a commitment by the State, the Pennsylvania General Assembly, as a matter of public policy, affirmed the commitment of the Commonwealth to eliminating the causes and effects of poverty by enacting and subsequently amending the Community Services Act of July 10, 1986 (act) (P. L. 1263, No. 116). The act is also intended to stimulate a better focusing of human and financial resources on the goal of eliminating poverty by providing for the continuity of programs which presently exist throughout the Commonwealth for this purpose, and delineates the activities for which the Federal funds can be used.
Report on 1996 Goals and Objectives A. Introduction
The Department has continued its efforts to have Community Action Agencies increase the provision of comprehensive family development/case management services so that families served have a greater opportunity to achieve self-sufficiency. During the 1996 program year, family development/case management services remained a top Statewide priority. We also continued to administer our case management demonstration project which was initiated during the 1994 program year. An independent evaluation of the demonstration project, after the third year of funding, indicated that the four agencies involved in the project had:
* leveraged additional funds for the project;
* identified clients with multiple barriers such as long term dependence on subsidized programs, enrolled in public welfare and having a limited education or work history;
* extended case management to clients outside the original target population;
* expanded their budget for case management services in FY 1997; and
* expanded their capacity to measure outcomes for their self-sufficiency activities, and have developed a standardized process, and use standardized assessment and measurement tools
For the 1996 program year, other Statewide priorities included holistic community development, the provision of housing services, emergency assistance to homeless families and individuals, employment, job training and educational programs and services designed to reduce the school drop-out rate for low-income youth.
During the 1996 program year, the Department (through a subcontract with the CAP Directors Association), also provided training to all community action agencies concerning the utilization of outcome based objectives, and Results Oriented Management and Accountability (ROMA).
B. Progress on 1996 Program Objectives
Agencies submitted quarterly program progress reports for each category of service provided. For the purpose of this plan, the total number of persons served for the 12-month period from July 1, 1996 to June 30, 1997, is the unduplicated count of persons served in each service category. The number of persons served was determined by reviewing the quarterly reports submitted by each agency.
The following is the status of the objectives as listed in the 1996 State Plan.
Objective #1:
To increase the number of Community Action Agencies involved in holistic approaches to community development. Activities involved in this effort will include, but not be limited to, defining and implementing community strategies, linking housing and social services, coordination of workforce development and economic development, community based leadership development and community institution building, including community development credit unions or banks, and micro-enterprise development.
Results:
The Department has recognized that community and economic development is important in moving Pennsylvania's low-income population into the workforce. In 1996, 4,146 individuals directly benefited from community and economic development programs supported with CSBG funds. In addition, 45 individuals were aided by economic development programs administered with CSBG funds. Examples of these programs include: the development of a small business expansion loan fund; the development of a Business Leadership Council that identifies resources and investment opportunities; and the development of a charter school plan.
The Community Action Committee of the Lehigh Valley(CACLV) is a community action agency who has recognized the positive results of a holistic approach for the revitalization of urban neighborhoods through community development. Considerable public and private development efforts have been focused on the physical character of central business districts, but little attention has been given to the individuals who live or would prefer to live in the residential neighborhoods surrounding central business districts. CACLV realized that the first step in stabilizing the central business district was to stabilize the neighborhoods in which the district is located. CACLV, in conjunction with its subsidiary, the Community Action Development Corporation of the Lehigh Valley(CADLV), has developed a two-fold strategy for neighborhood revitalization. First, work with local residents who want to create and own their own businesses. Second, engage in community organizing for the purpose of encouraging residents to find their own voice in solving neighborhood problems. In the last year, CADLV has assisted in the development of four new businesses, owned and operated by low-income persons: a house painting business; a paint recycling company; a mobile canteen catering business; and a house weatherization company. In the area of community development, CADLV organized a slum tour. Local government officials were taken on a tour of substandard rental housing units occupied by low-income families. This resulted in the agency developing an ordinance, that is pending, that would mandate apartments to be inspected once a year. An additional code enforcement officer would be hired and the landlords would be billed for the inspections to offset the costs.
CACLV's goals are consistent with the Consolidated Plan of the City of Allentown and CACLV has received funding from the city of Allentown, the Department of Housing and Urban Development, local corporations and national foundations.
Objective # 2:
To promote and increase the number of Community Action Agencies using a holistic approach to move low-income families and individuals toward self-sufficiency. This would be accomplished by a case management/family development approach within the agency and/or by a collaborative multi-agency approach to the multiple needs of low-income persons.
Results:
The Commonwealth has continued to encourage Community Action Agencies to utilize CSBG funds to provide a holistic approach when servicing the needs of low-income individuals. Through the Community Action Association of Pennsylvania (CAAP), and consultants, in-depth training on the holistic approach of services to low-income people was available to all of the Commonwealth's community action agencies. At a community action agency's request, staff training was provided that explained the reasoning for using a holistic approach and steps required to provide holistic services. The training also exposed the agency's staff to a variety of holistic approach tracking systems and provided follow-up services.
During 1996, 13,003 individuals received case management services directly through the use of CSBG funds and another 9,088 individuals received services from programs administered with CSBG funds.
A positive example of using an holistic approach to move low-income families and individuals toward self-sufficiency is the program conducted at Bucks County Opportunity Council. An individualized client profile is developed for each client by a trained caseworker. Responses to the profile are used to collect information about the client's needs as well as socialization skills, values, attitudes, support systems and relevant habits and behavior patterns. Program staff then determine which needs can be addressed by agency programs and which can be met by appropriate referrals. Short and long term goals are established and the steps the client needs to accomplish each goal are jointly planned and agreed upon by the client and the caseworker. Caseworkers complete a self-sufficiency scale for each client. The scale provides an indication as to the client's level of economic self-sufficiency and is an indicator of the barriers and obstacles to be addressed. The progress on these goals is reviewed, on agreed upon intervals, so that adjustments can be made to the client's personal plan.
Objective# 3
Promote and facilitate the use of outcome-based management techniques by Community Action Agencies. Included will be efforts to promote and increase the number of Community Action Agencies that utilize effective outcome-based objectives and evaluation methods in their annual CSBG applications.
Results:
Through a CSBG discretionary funds grant to a subcontractor, the Community Action Association of Pennsylvania (CAAP), the Commonwealth continued to provide specialized training and onsite assistance in outcome-based management to Community Action Agencies across Pennsylvania. The activities of this grant focused on group training on introductory and intermediate level topics regarding outcome-based management and an introduction to the six National goals and objectives required under ROMA.
Objective # 4
To increase the capacity of Community Action Agencies to produce or preserve low-cost housing units through repair or rehabilitation. Whenever possible, the production of new housing units shall be supported by the provision of needed social services. CSBG funds will not be used for the purchase or improvement of real property unless a waiver for such use is granted by OCS. Emergency assistance to meet the immediate individual and family needs of homeless persons will also be provided. This assistance will include emergency shelter, food, nutrition and related emergency services.
Results:
The support of programs that produce or preserve low-cost housing units and address the needs of the homeless and near homeless is a continuing effort of Pennsylvania's Community Action Agencies. With the help of State Employment and Community Conservation funds, beginning in 1992, 19 Community Action Agencies were able to begin housing capacity building programs to build new housing or rehabilitate existing structures to create new housing units. When State funding ended in 1995, 12 agencies continued to administer their housing programs and do so today.
In 1996, Community Action Agencies also received $42,500 in Pennsylvania's Neighborhood Assistance Program (NAP) tax credits in partnership with other funds to renovate 34 units, that provided housing for 130 low-income individuals. NAP is a State tax credit program that improves distressed neighborhoods and communities through the creation of an effective partnership between community-based organizations and the business community. NAP authorizes tax credits, against specified Pennsylvania taxes, to private companies that make investments to promote community and economic development in distressed neighborhoods.
The Economic Opportunity Cabinet of Schuylkill County administers a variety of programs that address local housing needs. They have rehabilitated a building that now contains their office as well as six low-income apartments. They have also rehabilitated four single family homes that have been sold to low-income persons.
Also, 25 low-income persons have been able to remain in their homes or obtain permanent housing through the provision of mortgage payment assistance or first month's rental assistance and 80 individuals experienced the resolution of emergency housing crisis situations through the provision of emergency shelter services.
Objective # 5:
To support employment, job training and educational programs for chronically unemployed economically disadvantaged youths and adults which: 1) have high job placement potential; 2) give them skills related to the labor needs of business and industry located in their local service areas; and 3) provide supportive services for parents who are unemployed, marginally employed, enrolled in approved education, employment/training and/or job search activities. To the extent possible, these programs shall be coordinated with other job training programs such as the Job Training and Partnership Act (JTPA) and Private Industry Council (PIC) sponsored programs and those conducted by local educational agencies and existing employment/training programs in disadvantaged communities. Services may also include the provision of educational programs for upgrading adult literacy skills to increase opportunities for employment and the development of self-sufficiency, and programs designed to facilitate the transition from school to work place, reduce the drop-out rate and enhance the academic performance of low-income youth.
Results:
Community Action Agencies continued to address the problems of unemployed and underemployed individuals through employability assessment, remedial education, training in interviewing skills, resume writing and job readiness and job search services.
For the 1996 program year, 18,617 individuals were directly served with CSBG funds and another 9,164 individuals received services through programs administered with CSBG funds.
Greater Erie Community Action Committee (GECAC) administers a variety of educational and employment and training programs. As part of welfare reform, their Up Front Job Placement Program placed 550 welfare recipients into unsubsidized employment, thus removing them from the welfare roles.
Their Pregnant and Parenting Youth Program provides counseling, GED training, clerical skills training job readiness preparation and job placement. During 1996, GECAC placed 30 parenting youths in employment and/or post-secondary education. An additional 205 people were placed into employment in their Dislocated Workers and Senior Aide Programs.
Through the GECAC Learning Center clients are provided the opportunity to participate in clerical skills training and adult basic education. Seventy-five clients completed skills training and were placed into jobs. One hundred individuals experienced an increase of two grade levels in reading, language and math skills through an adult basic education program and 150 individuals received their GED.
Objective #6
To monitor Community Action Agencies to assure compliance with all contractual obligations.
In compliance with Pennsylvania Act 116 (as amended), monitoring procedures shall be established by the Department and included in the State Plan. The Department shall monitor CSBG grantees to assure compliance with all contractual objectives and to assess the effectiveness of local agencies in meeting their stated objectives for ameliorating the causes and effects of poverty in their service areas.
Results:
In their monitoring of grantees, State monitors use a standardized CSBG Monitoring Report form. During their visit, they review all of the agency's required quarterly reports as well as other administrative and program related aspects of the agency.
For the 1996 program year, 26 Community Action Agencies were monitored, of which two were cited for incorrect board composition and/or incomplete client income verification. Both agencies responded within 14 days of written notification and the findings were corrected. The monitoring covered a variety of agencies: large, small, urban and rural.
Services Provided
The following figures provide, by category of service, the number of unduplicated persons served by CSBG grantee agencies during the 1996-97 program year. The number of persons served was derived by reviewing and tabulating each grantee's quarterly reports.
Direct Service Other Education 4,242 1,888 Drug & Alcohol 219 260 Consumer Services 4,040 0 Youth Development 3,449 6,122 Health 2,394 2,466 Housing 17,133 7,261 Homemaker 519 3,117 Legal 192 125 Nutrition 41,115 142,352 Outreach & Referral 131,564 28,540 Recreation 1,528 623 Transportation 1,774 3,120 Weatherization/Energy 30,578 33,891 Community Organizing 4,058 0 Employment & Training 1,764 3,061 Case Management 13,003 9,088 Economic Development 106 45 257,678 241,959 Program Plan for 1998 1. Statement of Goals and Objectives
The 1998 CSBG Program will comply with all the requirements of Act 116 the Pennsylvania Community Services Act of 1986 (as amended). The intent of Act 116 (as amended) is to affirm the commitment of the Commonwealth to ameliorating the causes and effects of poverty.
The goal of the CSBG Program is to provide a range of services and activities having a measurable and potentially major impact on the causes of poverty in the community or those areas of the community where poverty is a particularly acute problem. The Commonwealth, whenever possible and appropriate, encourages the use of CSBG funds to increase the availability of low-cost housing and to promote economic development, employment and training initiatives and education programs to upgrade literacy skills that will lead to the economic self-sufficiency of low-income individuals and the chronically unemployed, including among others, Temporary Assistance to Needy Families (TANF) and General Assistance (GA) recipients. To meet these goals, Statewide priorities were established under the direction of the Pennsylvania Act 116 of 1986 (as amended). Decisions regarding which of the State priorities and qualified services shall be provided by CSBG eligible entities shall be established by the local agency. Each local agency shall submit its application to the Department for review to ensure the eligibility of proposed services under the provision of Federal law and regulations and consistency with Statewide priorities.
The following are the goals and objectives for the 1998 program:
Objective 1:
To increase agency participation, at higher levels, in Outcome Based Management (OBM), that is, to increase the number of agencies at the basic and intermediate levels of progress in transition to OBM. Included in this objective is the implementation of a data collection system that requires the Community Action Agencies to provide data on designated outcome measures for each of the six National goals. To accomplish this, the Department, through a contract with the State CAP Association, provides on-going training to the CAAs in the area of basic and intermediate levels of OBM, and is developing scales to measure their improvement.
Objective 2:
To continue CAA participation in Pennsylvania's Welfare Reform activities. CAAs will continue to participate in a joint Department of Public Welfare/Department of Community and Economic Development Welfare Reform initiative, the Supported Work Program. The objective of this partnership is to facilitate the quick transition into the workforce of 1,000 TANF recipients.
Objective 3:
To continue CAA participation in programs utilizing a holistic approach to move low-income families and individuals toward self-sufficiency.
Objective 4:
To encourage CAAs to develop child care centers that would provide quality care at an affordable price while parents work, seek employment, or attend school.
Objective 5:
To ensure compliance with all State and Federal regulations and directives through Statewide monitoring activities.
Monitoring procedures shall include:
1. A review by the Department staff of the ROMA data collection document and/or any other monitoring documents utilized by the State that each agency will complete at least twice a year. The ROMA Collection document requires all CAAs to report on designated outcome measures for each of the six National goals.
Following the review, agencies are contacted by telephone and/or letter, as appropriate, for a discussion of the report.
2. An onsite monitoring visit which shall be determined after consultation with the agency by regional or central office staff, as appropriate. Onsite visits shall be conducted for the following purposes:
* to ensure programmatic and contractual compliance through the review of agency records and interviews with agency personnel, board members and clients.
* to clarify discrepancies that cannot be resolved from the program report review.
* to follow-up on program and personnel complaints, made directly or indirectly; and
* to comply with an agency's request for an onsite visit.
Procedures following the onsite visit:
1. A report of the onsite visit shall be given to the agency during the exit interview. It shall identify strengths and weaknesses of the program and any required remedial actions.
The agency may request a conference with the Department's Community Empowerment Office (CEO) to discuss the report and/or the office may request a conference with the agency to discuss the report and provide technical assistance.
2. In the case of violations or discrepancies of Federal and State laws governing CSBG programs discovered through the Department's monitoring and auditing activities, the agency shall be notified of the violation or discrepancy immediately. The agency shall respond in writing to the notice of violation or discrepancy within 2 weeks of receipt of such notice.
Agency Noncompliance--Noncompliance may result in probation until compliance is attained. Probationary status may include intensified monitoring, increased reporting requirements, provision of technical assistance by the Department or its designee or temporary suspension of grant payments.
Agency Violation--A violation with willful disregard of Federal and State laws governing CSBG programs may result in suspension of grant payments for a designated period of time. The agency will be required to rectify the violation and re-establish itself as competent to carry out the responsibilities governing CSBG programs, as determined by the Department.
Termination for cause:
''Termination for cause'' shall result when the Commonwealth determines that the agency has failed to comply with the conditions of the contract and/or Federal and State laws governing CSBG programs.
When the Department proposes to terminate a CSBG program, it will notify the agency, in writing, of the actions to be taken, the reasons for such actions, and the appeals procedure, including an opportunity for a hearing on the record. This notice shall be forwarded to the agency by certified mail.
Appeal Procedure:
If the agency wishes to appeal the determination, it must submit a written request by certified mail to the Secretary of the Department addressing the reasons for the proposed termination, and any corrective actions that has been or will be taken.
This request must be made within 20 calendar days of receipt of the termination notice.
The appeal may also include a request by the agency that the secretary, or his/her designee, hold a public hearing before making a decision, in which case such a public hearing shall be held.
The Secretary shall make one of the following decisions on the agency's appeal, and shall so notify the agency of such decision in writing within 30 calendar days following the appeal or following a hearing on the appeal:
The Secretary may uphold the appeal and remove the notice of intent to terminate.
The Secretary may remove the notice of intent to terminate but provide the agency with notice of specific corrective actions that must be taken. If the agency subsequently fails to take such corrective actions, the Secretary may reinstate the proposed termination procedures.
The Secretary may deny the appeal, in which case the agency shall be notified of the effective date of termination. This date shall be either the date contained in the original notice of intent to terminate or a specified date at least 30 days after the Secretary sends the decision, whichever is later. The notice of the decision shall also contain all requirements pertaining to termination of CSBG related activities and return of CSBG funds.
The agency may appeal the Department's final determination to the Secretary of the United States Department of Health and Human Services in accordance with the Community Services Block Grant Act, Section 676 A (amended).
No community action agency or migrant and seasonal farm worker organization which received funding in the previous fiscal year will have its present or future funding terminated 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 Department determines that cause exists for such termination and the review and confirmation of the Department's finding of cause by the Secretary of the United States Department of Health and Human Services.
When an agency's contract is terminated for cause, the agency shall not incur new obligations for the terminated portion after the effective date, and shall cancel as many outstanding obligations as possible. The Department shall allow full credit to the grantee for any completed work that the Department deems satisfactory.
II. Activities
Activities eligible for funding consideration out of the 90% grant monies, allocated to CAAs/LPAs designated as eligible entities in the CSBG Act, are those designed to assist chronically unemployed, low-income participants, including the elderly and poor:
1) To secure and retain employment, especially unsubsidized employment in the private sector;
2) To obtain an adequate education, through education initiatives and referrals that will enable low-income, chronically unemployed individuals to participate in job training programs which can include locally initiated Private Industry Council or JTPA Service Delivery Area sponsored job training programs;
3) To make better use of available income;
4) To remove obstacles and solve problems which block the achievement of self-sufficiency through the provision of support services to individuals participating in employment and training programs;
5) To obtain and maintain adequate housing and a suitable living environment;
6) To obtain emergency assistance through loans and grants to meet immediate and urgent individual and family needs, including the need for health services, nutritious food, housing and employment related assistance;
7) To achieve greater participation in the affairs of the community. However, in accordance with Section 675(c)(7) of the CSBG Act, 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 is prohibited;
8) To make more efficient use of other programs related to the purposes of the CSBG and activities that: a) encourage the use of entities in the private sector of the community in efforts to ameliorate poverty in the community, and b) provide, on an emergency basis, for the provision of such supplies and services, nutritious food, and related services as may be necessary to counteract the conditions of starvation and malnutrition among the poor;
9) To coordinate and establish linkages among governmental employment and training agencies, educational institutions and other social service programs to assure the effective delivery of such services to low-income individuals.
Programs selected by eligible entities must relate to the problems identified and documented in the assessment of need of local service areas and included in the agency's annual application. The assessment of need shall be well defined and concisely stated, focusing on the causes of poverty and services to the number of low-income, chronically unemployed and economically disadvantaged, including the number of Temporary Assistance for Needy Families (TANF) and General Assistance (GA) recipients.
Special economic development projects, and unique programs that are consistent with the objectives of the CSBG Act may be funded from the 5% unrestricted funds included in the grant awarded to the Commonwealth.
Limit on the Use of Grants for Construction
CSBG grants may not be used by the Department or any agency with which the Department makes arrangements to carry out the purposes of the CSBG Act, for the purchase or improvement (other than low-cost residential weatherization or other energy-related home repairs) of any building or other facility without a written waiver from the United States Department of Health and Human Services, Office of Community Services.
III. Geographic Areas to be Served
During Fiscal Year 1998, the State will allocate 90% funds to those geographic areas served by designated CAAs, LPAs and other eligible entities. This area covers all of Pennsylvania's 67 counties.
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 farm workers, Head-Start families and the chronically unemployed such as TANF 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;
(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 applications and budgets that address one or more of the above-referenced purposes, based on a local needs assessment. The applications 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 Services Provided section, 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 farm workers; 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 employes 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 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 1998, the 90% grant monies under the CSBG will go to CAAs and other eligible entities. 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 monies will also be made available for Rural Opportunities Inc., which serves low-income farm workers and poor rural families in Pennsylvania.
The program year 1998 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 U.S. 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, 1996 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 1998 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 applications 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 anti-poverty 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 monies 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 by providing utility and fuel assistance. The CEO will also coordinate its anti-poverty 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 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 farm workers 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 676 A.
(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 farm workers 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 676 A 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 1998 application.
Applications must include a community action plan, 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 applications 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 that 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. 98-129. Filed for public inspection January 23, 1998, 9:00 a.m.]
