§ 1067.30-1 Applicability.

This subpart applies to all grants to public and private organizations made under Titles II, III-B, and VII of the Community Services Act when such assistance is administered by the Community Services Administration.

81067.30-2 Definitions of terms as used in this subpart.

(a) A program year is a grantee's 12month accounting period. For community action agencies, this is the funding period for the principal grant that provides funds for most of the grantee's administrative costs. For other agencies funded by CSA this is their usual 12-month accounting period which may or may not correspond with the funding period of their grant(s) from CSA.

(b) A program account funding period extends from the effective date of a new or refunding action (Item 3) through the termination date (Item 12) or expiration of planned number of months for which funding is provided (Item 13). (See attached CSA Form 314.)

(c) Unobligated balances1 (i.e., Unexpended funds) is that portion of the funds authorized by CSA which has not been obligated by the grantee prior to program year end or other 12month accounting period.

(d) Obligations1 is that amount of orders placed, contracts and grants awarded, services received, and similar transactions during a given period which will require payment during the same or future period.

§ 1067.30-3 Purpose.

This subpart provides for:

(a) Use of a single grant number for each grantee;

(b) Use of CSA Form 314, Statement of CSA Grant, as the basic action document; and

(c) Grantees' use of funds through the program account funding period. A grantee may not incur expenses under its program account after the termination date entered in column 12 of CSA Form 314, or after the expira

1Source: OMB Circular A-110 and FMC 74-7.

tion of the planned number of months for which funding is provided (column 13 of CSA Form 314). Except as provided in paragraphs (c)(1) and (2) of this section grant funds that are not expended by the end of the program account funding period must be returned to the Office of Community Services (OCS) in accordance with 45 CFR 1050.112(b).

(1) Exception. Under a grant with a planned minimum number of months which expires before June 24, 1982 funds may be used until June 24, 1982.

(2) Extensions and reprogramming. If a grantee applies for an extension of time in which to use the funds under its approved work program, OCS may extend the program account funding period under such terms and conditions as it deems appropriate. Alternatively, OCS may reprogram unexpended funds as part of a new grant action if the grantee is awarded an OCS grant pursuant to the block grant transition provisions of 42 U.S.C. 9911.

[41 FR 56197, Dec. 27, 1976, as amended at 47 FR 22535, May 25, 1982]

§ 1067.30-4 Policy.

(a) All grants made to the same organization will be identified by a single grant number.

(b) The Statement of CSA Grant, CSA Form 314, is the basic action document completed by CSA and sent to the grantee. CSA Form 314 is also an acceptance document upon which the grantee indicates his acceptance of the grant action with all attached conditions.

(c) Approval of a CSA grant or funding action means that Federal funds have been awarded to the grantee for the purpose of carrying out an approved work program. Specifically, CSA Form 314, Statement of CSA Grant, is used to:

(1) Approve an amount of Federal funds and specify the required nonFederal share percentage and amount for each program account;

(2) Approve transfers of funds between program accounts when required (reference OEO Instruction 6710-1, Change 3, relating to flexibility guidelines);

(3) Approve program extensions where no change in funding is involved; and

(4) Deobligate funds as necessary from an on-going project or remaining from a terminated program.

§ 1067.30-5 Procedure.

(a) A single grant number is used to identify CSA grants, regardless of the source of funding within CSA.

(b) The following explanations refer to specific items on CSA Form 314, Statement of CSA Grant:

(1) Item 1-Name and address of grantee. This item is self-explanatory.

(2) Item 2-Grantee number. This space contains a five-digit number assigned by CSA. All funds awarded to a grantee will be identified by this number.

(3) Item 2-Fund source code (FS). This space contains an applicable alphabetic character identifying the source of CSA funds from among the following:

F-Office of Economic Development.
G-Office of Operations.
J-Boston Region (1).

K-New York Region (2).
L-Philadelphia Region (3).

M-Atlanta Region (4).

N-Chicago Region (5).

P-Dallas Region (6).

Q-Kansas Region (7).

R-Denver Region (8).
S-San Francisco Region (9).
T-Seattle Region (0).

(4) Item 2-Federal fiscal year (FFY). This refers to the Federal fiscal year in which funds are awarded (i.e., for the Federal Fiscal Year ending September 30, 1977, 77 would be entered).

(5) Item 2-Action number. This is a consecutive number assigned by the funding office to identify each funding action by grantee within a Federal fiscal year. For example the number "01" will be assigned to the first funding action by a Regional Office; the number "01" will likewise be assigned to the first funding action by a Headquarters Program Office and so on through the end of the Federal fiscal year, at which time the fundings in the next fiscal year would begin with "01."

(6) Item 3—Effective date. This is the effective date of the funding action; i.e., obligations, deobligation, exten

sion, etc. If funds are being obligated, grantees may not incur costs against this funding action before the date shown in this block.

(7) Item 4-Obligation date. This is the date on which a grant action (CSA Form 314) obligating new funds is mailed to the Governor or grantee. Enter the effective date (Item 3) for all other types of actions, e.g., deobligations, extensions, etc.

(8) Item 5-Program year. This section will show the grantee's program year. This period will not necessarily agree with the period for which funds are awarded. However, whenever possible the grantee's fundings will coincide with the grantee's program year.

(9) Item 6-Program account number. This will show the program accounts (i.e., 01, 05, 55, etc.) as explained in CSA Instruction 6100-1a, Program Account Structure, funded by this grant action.

(10) Item 7-Program activity code (PAC). This code is for identification of CSA obligations, as explained in OEO Staff Manual 2135-1, Accounting Codes.

(11) Item 8-Program account name. This will show the program account being funded by this grant action by name. Refer to OEO Instruction 6100la, Program Account Structure.

(12) Item 9-Federal funds awarded this action. (i) Funds awarded. This column shows the amount of Federal funds awarded by this action. An amount will be shown for each program account funded by this action and the total shown at the bottom of the column. Previous amounts awarded to the grantee will not be shown on this form.

(ii) Funds deobligated. A deobligation of Federal funds will be shown in this column by placing a minus (-) sign in front of the amount.

(iii) Funds transferred. This column is also used to reflect CSA's approval for the transfer of funds between program accounts (reference OEO Instruction 6710-1, Change 3) by placing the appropriate (+) and (-) in front of the amounts representing the increase and decrease. Only the amount being transferred will be reflected in this column and not the original amount awarded.

(13) Items 10 and 11-Non-Federal share. These columns show the percentage and amount of non-Federal share required for each program account. If the non-Federal share is not required for a program account, not applicable (N/A) will be entered in this space. In no case will a figure higher than that legally or administratively required be entered.

(14) Item 12-Termination date. When a termination date is entered, expenses may not be incurred for the program account beyond this date. When this date is entered, this will determine the end of the program account funding period.

(15) Item 13-Planned number of months funding provided. This information is to assist the grantee in planning and budget control and in determination of the program account funding period.

(16) Item 14-Recommendation for approval. Contains name of appropriate Regional Director.

(17) Item 15-Statement of CSA approval. This item is self-explanatory.

(18) Item 16-Grantee acceptance of grant. This item is self-explanatory.

Subpart 1067.40-Applying for a

Grant Under Title II, Sections 221, 222(a), 231, and 232 of the EOA (CSA Instruction 6710-1 CH 11)

SOURCE: 42 FR 10689, Feb. 23, 1977, unless otherwise noted.

§ 1067.40-1 Applicability.

This subpart applies to all applications for funding under Title II, sections 221, 222(a), 231 and 232 of the Economic Opportunity Act of 1964, as amended, when the assistance is administered by the Community Services Administration. The provisions of this subpart also may be extended to other programs under the Act when the applicable program regulations so indicate.

[42 FR 10689, Feb. 23, 1977, as amended at 46 FR 43691, Aug. 31, 1981]

§ 1067.40-2 Policy.

CSA continues to support the position stated in 1971 that grantees must

increase their independence and selfreliance and be concerned with solidly establishing community action concepts so that these achieve a genuine self-sustaining life on their own. In order to furnish grantees support for this evolution, CSA has permitted, and will continue to permit, flexibility in developing, justifying, and locally implementing the means for planning, programming and budgeting to meet the perceived needs of their constituencies. For local initiative programs funded under Section 221 of the Economic Opportunity Act, the grantee has been given increased responsibility to select and develop the programs which will be most meaningful to its community. The implementation of such grantee plans and programs remains subject to the approval of the grantee's governing board. CSA exercises its program review authority through continuous monitoring and evaluation of performance, review for compliance for eligibility and auditing for financial management evaluation. § 1067.40-3 Application process for funds under Title II, Sections 221, 222(a), and 231 of the EOA.

(a) Overview of the application process. The grant application process for Title II funding consists of the following steps which, except as noted, apply to all initial and refunding grants:

(1) Initial inquiry (initial grants only).

(2) Submission of notification of intent to clearinghouse by applicant.

(3) Submission of documents re eligibility for funding to Administering Office.

(4) Determination or verification of grantee eligibility by Administering Office.

(5) Planning Process undertaken by applicant.

(6) Receipt of program and funding guidance.

(7) Field Pre-review (optional)

(8) Submission of formal application. (9) Review by Administering Office of grant application.

(10) If acceptable, recommendation for funding and submission of grant funding documents to Headquarters funding official for action.

(11) If approved, and after Congressional release has been accomplished, submission of approved grant package to Governor's office.

NOTE: Submission to Governor's office does not apply to any institution of higher education, as defined in section 401(f) of the Higher Education Facilities Act of 1963, which was in existence on or prior to August 20, 1964.

(12) Submission of approved grant documents to grantee for acceptance.

(13) Grantee returns signed CSA Form 314 to administering office.

(14) Governor responds or 30 day waiting period elapses.

(15) Funds release accomplished.

(b) Initial inquiry. Applicants1 for grants under sections 221, 222(a) and 231 who are not currently funded by CSA should make an initial inquiry to CSA, by either letter or telephone, prior to submitting a written application unless, of course, the program guidelines for a program indicate a specific office or individual to be contacted. Such inquiry is essential to determine the appropriate program authority under which application should be made, the availability of funds, funding timetable and deadlines, special requirements for particular programs, specific instructions and procedures for determining eligibility and for submitting a formal application. All inquiries should be directed to the appropriate Regional Office unless otherwise indicated in specific program guidelines. Initial inquiries will normally not be necessary for current recipients of Title II grants since the CSA Administering Office will be in contact with the grantee with regard to the refunding of the grant. Any inquiries on refunding, however, should be addressed directly to the appropriate Administering Office.

(c) Program and funding guidance. In place of the Letter of Understanding prescribed by OEO Instruction 6710-1, August, 1968, necessary funding guidance required for preparation of plans, programs or budgets, will be communicated at the earliest feasible

'Individuals, political parties, and forprofit organizations, partnerships and corporations are ineligible for assistance under these Sections.

date to grantees. It is expected that the funding guidance will be communicated at least six months prior to the end of each grantee's current program year.

(d) Grantee internal planning, programming and budgeting procedures. (1) Grantees are responsible for the development and maintenance of complete documents related to planning, description of work plans, and budgets backup detail. Grantees will have flexibility in developing planning documents but they must address at least the following: (i) Incidence of poverty; (ii) problems and causes of poverty; (iii) assignments of priorities to the solutions of these problems; (iv) goals of the agency for the proposed funding period; (v) approaches to be used; (vi) resources to be mobilized; and (vii) how available public and private resources can be utilized.

(2) A copy of the grantee current plans must be on file with CSA for grantees seeking refunding at least 150 days prior to the end of the program year. Resubmission is required as necessary to justify work program changes, or new funding requests or to document changes to grantee plans. Detailed grantee backup documents for support of submitted work programs and budget detail do not have to be submitted to the Administering Office; but must be available to CSA for review upon request. The document must have clear, concise milestones in order for CSA to measure performance of the grantee and to establish cost performance analysis.

(3) Evidence of approval by the Grantee Board of grantee plans, priorities, proposed programs, and budgeted items, or changes to these plans, programs or budget items, must be specifically annotated in the Minutes to the Board Meeting(s) at which these items are discussed. It is not necessary that such minutes be submitted to CSA as part of the grant application.

The planning document must also provide evidence of participation of the poor in the development and implementation of the plan.

(e) Field prereview. (1) In some cases, grantees may be requested by

Administering Offices to participate in prefunding conferences dealing with matters related to grantee eligibility to receive CSA funds, grantee planning or work programs, planned or requested funding levels, or matters related to grantee involvement in local community poverty planning, mobilization of local resources, or other such

matters deemed by the Administering Office to be essential to the initial funding or continued funding of the program by CSA.

(2) The timing of such conferences will be scheduled to permit prompt grant refundings.

(f) Required documents-(grantee). (See chart which follows.)