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Oregon Bulletin

October 1, 2013

Oregon Department of Education, Youth Development Division, Chapter 423

Rule Caption: Youth Development Council — Funding

Adm. Order No.: YDD 1-2013(Temp)

Filed with Sec. of State: 8-20-2013

Certified to be Effective: 8-20-13 thru 2-16-14

Notice Publication Date:

Rules Adopted: 423-009-0005, 423-009-0010, 423-009-0020

Subject: These rules specify the use of grant funds and requirements for budget allocations to counties and tribes.

Rules Coordinator: Cindy Hunt—(503) 947-5651

423-009-0005

Use of Grant Funds

(1) Consistent with the purpose and restrictions of each grant, all budget allocations must comply with applicable State and Federal statute or rule.

(2) County or Tribe Indirect Cost Assessment: Counties and Tribes may assess indirect charges from a grant allocation at an assessment no higher than 10 percent of the total annual allocation from the Division less funding streams expressly disallowed by State or Federal statute or rule.

(3) County or Tribe Direct Cost: All funds allocated to Counties and Tribes, not including the 10 percent maximum indirect assessment of the total annual allocation from the Division, are to be used for direct services to children, youth, and families in communities.

(4) Limitation on Usage:

(a) Consistent with the terms and conditions in the Intergovernmental Agreement, all budget allocations will be directly related to the purpose and restrictions of each program area and grant stream, and have measurable outcomes.

(b) Service provider contracts: Counties and Tribes may allocate funds to providers for the cost of services or activities to children and families.

(c) Services and programs funded by another Federal or State funding source cannot be funded with Youth Development Council funds when blending of those funds are not allowed by Federal or State agreements or when duplication will occur.

(5) Division Approval: Budget allocations effectuated pursuant to the Intergovernmental Agreement and amendments will be subject to Division review and approval.

Stat. Auth.: Sec. 4, ch. 623, OL 2013 (Enrolled HB 3231)

Stat. Implemented: ch. 623, OL 2013 (Enrolled HB 3231)

Hist.: YDD 1-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14

423-009-0010

Budgetary Allocations

(1) Release of Funds: The Division may disburse funds to Counties and Tribes in conjunction with the beginning of each biennium or periodically throughout the year pursuant to an Intergovernmental Agreement that has been fully executed by the Council and the County or Tribe. A County or Tribe will request funds on a form prescribed by the Division. The Division may withhold funds from a County or Tribe that is not in compliance with the requirements specified in these rules or the terms of the Intergovernmental Agreement including any amendments thereto. Any funds disbursed to a County or Tribe under an approved Intergovernmental Agreement will be used only for those services and purposes set forth in the Intergovernmental Agreement and these Administrative Rules.

(2) All applicable federal, state, and local laws including, but not limited to, OMB A-87 Cost Principles for State, Local, and Indian Tribal Governments, Single Audit Act of 1996, OMB A-133 Audits of State, Local Governments and Non-Profit Organizations, Title VI of the Civil Rights Act of 1964, and Title II of the Americans with Disabilities Act of 1990, Section 504 of the Rehabilitation Act of 1973, and the Pro-Child Act of 1995 must be followed. Budget allocations and Intergovernmental agreements will be approved and monitored by the Division.

(3) The County or Tribe will sign an Intergovernmental Agreement document with the Division. The County or Tribe will not use the funds to reimburse any person or entity for expenditures made, or to pay for any expenses incurred, prior to the effective date of the Intergovernmental Agreement.

(4) Budget Amendments: A County or Tribe will notify the Division of any change in a budget previously approved by the Division by submitting a Budget Distribution in a format prescribed by the Division. The Budget Distribution will be approved in writing by the Division, the County or Tribe, and the Board of County Commissioners and Tribal Council before funds can be expended pursuant to the Intergovernmental Agreement.

(5) Reverting Funds: Any Grant funds, State or Federal, disbursed to a County or Tribe that are not obligated or expended in accordance with the Intergovernmental Agreement by the end of the 2014 fiscal year, must be returned to the Division unless the Division permits such funds to be carried over or extended as follows:

(a) The County or Tribe has submitted to the Division a Budget Distribution, and request for a carryover or extension in a format set by the Division, describing the proposed use of those monies; and

(b) The proposed use provides that the funds will be expended within the first 90 days of the 2015 fiscal year.

(c) The Division may deny a request for carryover or extension from a County or Tribe if the Division finds any of the following concerning the 2014 fiscal year activities or the proposed use(s):

(A) The County or Tribe is found to be using funds, or proposes to use the funds, for purposes other than those authorized pursuant to the Intergovernmental Agreement;

(B) The County or Tribe failed to submit timely, accurate, or complete fiscal reports or activity reports; or failed to make timely corrections that remedied report deficiencies upon review and notice from the Division;

(C) The County or Tribe’s operations failed to comply with federal or state statute, administrative rule or the Intergovernmental Agreement between itself and the Division;

(D) The County or Tribe’s request for carryover or extension is in excess of 1/16 of the 2014 fiscal year funding allocation for that entity.

(d) Before submission to the Division, the Budget Distribution and request for carryover or extension must be approved and certified by the County or Tribe administrator and the Board of County Commissioners or Tribal Council.

(e) Funds not expended within the first 90 days of the 2015 fiscal year will be returned to the State. Federal funds will be re-allocated at a statewide level. General funds will revert to the State treasury.

(6) Contractual Agreements: For funds allocated to the County or Tribe by the Division, a County or Tribe will enter into a formal contractual agreement with any other Division, entity or person for expenditure of those funds. The contract for allocations should specify measurable outcomes that will measure success in achieving outcomes.

(7) Fiscal Reports and Activity Reports:

(a) For funds allocated to the County or Tribe by the Division, all public and private agencies and persons receiving funding allocations will file reports on the provider’s fiscal and activity information as evidence of meeting the County or Tribe’s contractual agreement. Reports will be submitted as required in the Intergovernmental Agreement.

(b) A request for a waiver, for the current reporting period, must be submitted in writing to the Division. The County or Tribe must remit a letter to include:

(A) Stating the hardship reason for the waiver (e.g. staff turnover, serious illness);

(B) Specifying the date reports will be sent to the Division; and

(C) Assurance the next reports will be in by the next reporting period due date. The Division must receive the request for waiver before the reporting due date. No funds will be released until all reports are received. Counties and Tribes that are unable to meet the due dates in at least three out of four consecutive reporting periods will receive funds on a reimbursement basis.

(c) The County or Tribe will send to the Division a fiscal and activity report on a form prescribed by the Division. The reports will be certified by the Board of County Commissioners or Tribal Council.

(d) The County or Tribe will file with the Division a final fiscal report for all funds received from the Division on a form prescribed by the Division. The final fiscal report must be certified by the Board of County Commissioners or Tribal Council.

(8) Records Management: All public and private agencies and persons receiving funding allocations from the Division will retain all fiscal and program monitoring records of a funded program for a period not less than specified in OAR chapter 166, divisions 40 and 100. Records will be available for Division, county and state audit upon request. A County or Tribe may be required to retain records for longer than specified in rule if an audit is in progress or discrepancies found in a previous audit have not been resolved. Such records will be subject to any applicable County or Tribe regulations concerning retention of records and auditing procedures.

(9) Withholding of funds: The Division may withhold funds from a County or Tribe that is not in compliance with the Federal, State, or local law or the Intergovernmental Agreement. Under the following conditions, the Division may withhold funds from Counties and Tribes:

(A) The County or Tribe is found to be using funds for purposes other than those authorized pursuant to the Intergovernmental Agreement;

(B) The County or Tribe failed to submit timely, accurate, or complete fiscal reports or activity reports;

(C) The County or Tribe’s operations failed to comply with federal or state statute, administrative rule, or the Intergovernmental Agreement; or

(D) The County or Tribe activities have not achieved outcomes directly related to parameters of the grant stream.

Stat. Auth.: Sec. 4, ch. 623, OL 2013 (Enrolled HB 3231)

Stat. Implemented: ch. 623, OL 2013 (Enrolled HB 3231)

Hist.: YDD 1-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14

423-009-0020

Prohibition against Replacement of County Funds

Funds received by a County or Tribe from the Division will not be used to replace County or Tribal general funds or used to replace other State funding currently being used by the County or Tribe for existing programs for children, youth or families.

Stat. Auth.: Sec. 4, ch. 623, OL 2013 (Enrolled HB 3231)

Stat. Implemented: ch. 623, OL 2013 (Enrolled HB 3231)

Hist.: YDD 1-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14


Rule Caption: Youth Development Council Rules and Definitions

Adm. Order No.: YDD 2-2013(Temp)

Filed with Sec. of State: 8-20-2013

Certified to be Effective: 8-20-13 thru 2-16-14

Notice Publication Date:

Rules Amended: 423-001-0000, 423-001-0005, 423-001-0006

Subject: Specifies procedures to used to adopt rules. Specifies common definitions for YDC rules.

Rules Coordinator: Cindy Hunt—(503) 947-5651

423-001-0000

Notice of Proposed Rule

(1) Except when adopting temporary rules pursuant to ORS 183.335(5), the Youth Development Council, prior to the adoption, amendment or repeal of any administrative rule under ORS Chapter 183, will give notice of the proposed action so interested citizens have a reasonable opportunity to be informed and to comment.

(2) The Youth Development Council will routinely send notices of proposed rule actions at least 28 days before the effective date of the rule to:

(a) All Boards of County Commissioners;

(b) All Tribal Councils;

(c) Persons on the Division’s mailing list established pursuant to ORS 183;

(d) Anyone who requests such notices;

(e) The Secretary of State, for publication in the Secretary’s Bulletin;

(f) The Associated Press, and the Capitol Press Room; and

(g) Other persons, agencies, or organizations that the Youth Development Council believes to have an interest in a particular rule or rule action.

(3) The Youth Development Council will send copies of the proposed rule to the legislators specified in ORS 183.335(14) at least 49 days before the effective date of the rule.

(4) The Youth Development Council will send copies of the proposed rule to interested persons as requested.

(5) When copies of rules or proposed rules are mailed, the Agency may charge fees to defray costs of one or more of the following:

(a) Maintenance of mailing lists;

(b) Materials; and

(c) Printing, handling and mailing of materials.

Stat. Auth.: Sec. 4, Ch. OL 2013, HB 3231

Stats. Implemented: Ch. OL 2013, HB 3231

Hist.: JSC 2-1980, f. & ef. 4-10-80; JSC 1-1982, f. & ef. 5-19-82; JSC 1-1984, f. 12-28-84, ef. 1-1-85; CCYS 3-1990, f. & cert. ef. 12-24-90 (and corrected 3-5-91); CCF 2-1994(Temp), f. & cert. ef. 3-10-94; CCF 3-1994, f. & cert. ef. 5-18-94; CCF 1-1995, f. & cert. ef. 8-11-95; OCCF 1-2002, f. & cert. ef. 1-14-02; OCCF 1-2004, f. & cert. ef. 9-15-04; YDD 2-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14

423-001-0005

Model Rules of Procedure

The Model Rules of Procedure under the Administrative Procedure Act promulgated by the Attorney General effective January 1, 2012 are hereby adopted as the rules of procedure of Youth Development Council.

[ED. NOTE: The full text of the Attorney General’s Model Rules of Procedure is available from the office of the Attorney General or the Youth Development Division.]

Stat. Auth.: Sec. 4, Ch. OL 2013, HB 3231

Stats. Implemented: Ch. OL 2013, HB 3231

Hist.: JSC 1-1980, f. & ef. 1-7-80; JSC 2-1982, f. & ef. 5-19-82; JSC 1-1984, f. 12-28-84, ef. 1-1-85; JSC 1-1986, f. & ef. 12-29-86; CCYS 3-1990, f. & cert. ef. 12-24-90 (and corrected 3-5-91); CCF 2-1994(Temp), f. & cert. ef. 3-10-94; CCF 3-1994, f. & cert. ef. 5-18-94; OCCF 1-2002, f. & cert. ef. 1-14-02; YDD 2-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14

423-001-0006

Definitions

As used in OAR chapter 423:

(1) “Best practice” or “proven practice of effectiveness” means evidence-based programs, practice-based programs, core components, and principles that have been shown to reliably produce measurable and sustainable improvements in productivity, efficiency, or effectiveness.

(2) “Board of County Commissioners”means the governing body of a county as defined in ORS 203.030 and includes a County Court as defined in ORS 203.111.

(3) “Budget allocation”means an allocation of funds from the Youth Development Council to a County or Tribe.

(4) “Budget distribution” means a budget created by County or Tribe staff in a format prescribed by the Division. The budget distribution demonstrates, by grant stream, the projected budget for all activities proposed by the County or Tribe and approved by the Board of County Commissioners or Tribal Council.

(4) Council means the Youth Development Council acting through the staff of the Youth Development Division as defined in Chapter 623 Oregon Laws 2013 (Enrolled HB3231).

(5) “County”means a county or two or more counties, which have combined to provide services to children, youth and families.

(6) “Direct costs”means those costs that can be identified specifically and directly with a particular program or project, such as a particular federal grant or a direct activity or program of the organization.

(7) “Direct Services”means those services provided directly to a child or family or group of children or families to maintain or enhance their well-being by a community based organization.

(8) “Division”means the Youth Development Division as defined in Chapter 623 Oregon Laws 2013 (Enrolled HB3231).

(9) “Expended”means the payment of goods delivered or services rendered or liquidation of an obligation.

(10) “Indirect Costs”means those costs that have been incurred for common or joint purposes and cannot be readily identified with or directly allocated to a particular program or project of the organization. Examples of indirect costs include building and equipment depreciation, rent and facilities maintenance costs, general and administrative expenses, and personnel administration and accounting where those costs are distributed to projects or programs through a formula or cost allocation method.

(11) “Innovative program or practice”means a program or practice that demonstrates success when outcomes are evaluated over time and draws on research-based principles and ideas from best programs and practices.

(12) “Layperson”means a person whose primary income is not derived from offering direct service to children and youth or from administering a program for children or youth.

(13) “Provider”means a program or service that has been approved for funding by the County or Tribe and the Board of County Commissioners or Tribal Council.

(14) “Provider allocation”means those funds awarded by a County or Tribe to a public or private entity or person to achieve an outcome.

(15) “Tribal Council”means the governing body of a Tribe as defined in ORS 182.162.

(16) “Tribe”means a federally recognized Indian tribe in Oregon as defined in ORS 182.162.

Stat. Auth.: Sec. 4, Ch. OL 2013, HB 3231

Stats. Implemented: Ch. OL 2013, HB 3231

Hist.: OCCF 1-2002, f. & cert. ef. 1-14-02; OCCF 1-2004, f. & cert. ef. 9-15-04; OCCF 1-2004, f. & cert. ef. 9-15-04; OCCF 3-2007(Temp), f. 5-8-07, cert. ef. 5-11-07 thru 9-7-07; Administrative correction 9-16-07; OCCF 4-2008(Temp), f. & cert. ef. 12-12-08 thru 6-11-09; Administrative correction 6-22-09; OCCF 1-2009, f. & cert. ef. 6-24-09; YDD 2-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14


Rule Caption: Youth Development Council — Program Purposes and Restrictions

Adm. Order No.: YDD 3-2013(Temp)

Filed with Sec. of State: 8-20-2013

Certified to be Effective: 8-20-13 thru 2-16-14

Notice Publication Date:

Rules Adopted: 423-008-0005

Subject: The rules establishes measurable outcomes and goals for the program area of youth development.

Rules Coordinator: Cindy Hunt—(503) 947-5651

423-008-0005

Youth Investment

(1) Activities and initiatives will have measurable outcomes and support goals adopted by the council. These outcomes will be reported using the format and timeline prescribed by the Division. It is the intent of the Council that activities and initiatives will be provided in a culturally competent and gender-specific manner that reflects the population, needs and resources of the county. The following purposes and restrictions will apply to county allocations:

(2) Program Area: Youth Investment:

(a) Age: Ages 13 through 18 years, although 11 and 12 year olds may be included where appropriate;

(b) Service Areas: Services to non-delinquent youth who are chronically acting out or are victims of neglect. Programs and services will promote outcomes identified by the Council. Youth are considered chronically acting out when they are exhibiting school behavior problems, are out of parental control, are runaway and homeless, or are exhibiting other risk factors. Youth are non-delinquent if they have no history of, or current involvement with, the juvenile justice system, or have been diverted from the juvenile justice system. Youth who have been referred to a juvenile department for a criminal activity, or who have been placed on an informal accountability agreement are not considered to be non-delinquent for purposes of this funding. These funds must support research-based services, systems, initiatives and programs.

Stat. Auth.: Sec. 4, Ch. OL 2013, HB 3231

Stats. Implemented: Ch. OL 2013, HB 3231

Hist.: YDD 3-2013(Temp) f. & cert. ef. 8-20-13 thru 2-16-14


Rule Caption: Youth Development Council--Program Purposes and Restrictions (Note: Re-filing due to clerical error.)

Adm. Order No.: YDD 4-2013(Temp)

Filed with Sec. of State: 9-9-2013

Certified to be Effective: 9-9-13 thru 3-5-14

Notice Publication Date:

Rules Adopted: 423-008-0005

Subject: The rules establish measurable outcomes and goals for the program area of youth development.

   Note: These rules are being re-filed due to clerical error.

Rules Coordinator: Cindy Hunt—(503) 947-5651

423-008-0005

Youth Investment

Activities and initiatives will have measurable outcomes and support goals adopted by the council. These outcomes will be reported using the format and timeline prescribed by the Division. It is the intent of the Council that activities and initiatives will be provided in a culturally competent and gender-specific manner that reflects the population, needs and resources of the county. The following purposes and restrictions will apply to county allocations: Program Area: Youth Investment:

(1) Age: Ages 13 through 18 years, although 11 and 12 year olds may be included where appropriate;

(2) Service Areas: Services to non-delinquent youth who are chronically acting out or are victims of neglect. Programs and services will promote outcomes identified by the Council. Youth are considered chronically acting out when they are exhibiting school behavior problems, are out of parental control, are runaway and homeless, or are exhibiting other risk factors. Youth are non-delinquent if they have no history of, or current involvement with, the juvenile justice system, or have been diverted from the juvenile justice system. Youth who have been referred to a juvenile department for a criminal activity, or who have been placed on an informal accountability agreement are not considered to be non-delinquent for purposes of this funding. These funds must support research-based services, systems, initiatives and programs.

Stat. Auth.: 2013 OL Ch. 623 Sec. 4, Ch. OL 2013 (Enrolled HB 3231)

Stats. Implemented: 2013 OL Ch. 623 (Enrolled HB 3231)

Hist.: YDD 3-2013(Temp) f. & cert. ef. 8-20-13 thru 2-16-14; YDD 4-2013(Temp), f. & cert. ef. 9-9-13 thru 3-5-14


Rule Caption: Youth Development Council Rules and Definitions (Note: Re-filing due to clerical error.)

Adm. Order No.: YDD 5-2013(Temp)

Filed with Sec. of State: 9-9-2013

Certified to be Effective: 9-9-13 thru 3-5-14

Notice Publication Date:

Rules Amended: 423-001-0000, 423-001-0005, 423-001-0006

Subject: Specifies procedures to be used to adopt rules. Specifies common definitions for YDC rules.

   Note: Re-filing due to clerical error.

Rules Coordinator: Cindy Hunt—(503) 947-5651

423-001-0000

Notice of Proposed Rule

(1) Except when adopting temporary rules pursuant to ORS 183.335(5), the Youth Development Council, prior to the adoption, amendment or repeal of any administrative rule under ORS Chapter 183, will give notice of the proposed action so interested citizens have a reasonable opportunity to be informed and to comment.

(2) The Youth Development Council will routinely send notices of proposed rule actions at least 28 days before the effective date of the rule to:

(a) All Boards of County Commissioners;

(b) All Tribal Councils;

(c) Persons on the Division’s mailing list established pursuant to ORS 183;

(d) Anyone who requests such notices;

(e) The Secretary of State, for publication in the Secretary’s Bulletin;

(f) The Associated Press, and the Capitol Press Room; and

(g) Other persons, agencies, or organizations that the Youth Development Council believes to have an interest in a particular rule or rule action.

(3) The Youth Development Council will send copies of the proposed rule to the legislators specified in ORS 183.335(14) at least 49 days before the effective date of the rule.

(4) The Youth Development Council will send copies of the proposed rule to interested persons as requested.

(5) When copies of rules or proposed rules are mailed, the Agency may charge fees to defray costs of one or more of the following:

(a) Maintenance of mailing lists;

(b) Materials; and

(c) Printing, handling and mailing of materials.

Stat. Auth.: 2013 OL Ch. 623 Sec. 4 (Enrolled HB 3231)

Stats. Implemented: 2013 OL Ch. 623 (Enrolled HB 3231)

Hist.: JSC 2-1980, f. & ef. 4-10-80; JSC 1-1982, f. & ef. 5-19-82; JSC 1-1984, f. 12-28-84, ef. 1-1-85; CCYS 3-1990, f. & cert. ef. 12-24-90 (and corrected 3-5-91); CCF 2-1994(Temp), f. & cert. ef. 3-10-94; CCF 3-1994, f. & cert. ef. 5-18-94; CCF 1-1995, f. & cert. ef. 8-11-95; OCCF 1-2002, f. & cert. ef. 1-14-02; OCCF 1-2004, f. & cert. ef. 9-15-04; YDD 2-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14; YDD 5-2013(Temp), f. & cert. ef. 9-9-13 thru 3-5-14

423-001-0005

Model Rules of Procedure

The Model Rules of Procedure under the Administrative Procedure Act promulgated by the Attorney General effective January 1, 2012 are hereby adopted as the rules of procedure of the Youth Development Council.

[ED. NOTE: The full text of the Attorney General’s Model Rules of Procedure is available from the office of the Attorney General or the Youth Development Division.]

Stat. Auth.: 2013 OL Ch. 623 Sec. 4 (Enrolled HB 3231)

Stats. Implemented: 2013 OL Ch. 623 (Enrolled HB 3231)

Hist.: JSC 1-1980, f. & ef. 1-7-80; JSC 2-1982, f. & ef. 5-19-82; JSC 1-1984, f. 12-28-84, ef. 1-1-85; JSC 1-1986, f. & ef. 12-29-86; CCYS 3-1990, f. & cert. ef. 12-24-90 (and corrected 3-5-91); CCF 2-1994(Temp), f. & cert. ef. 3-10-94; CCF 3-1994, f. & cert. ef. 5-18-94; OCCF 1-2002, f. & cert. ef. 1-14-02; YDD 2-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14; YDD 5-2013(Temp), f. & cert. ef. 9-9-13 thru 3-5-14

423-001-0006

Definitions

As used in OAR chapter 423:

(1) ‘Best practice’ or “proven practice of effectiveness” means evidence-based programs, practice-based programs, core components, and principles that have been shown to reliably produce measurable and sustainable improvements in productivity, efficiency, or effectiveness.

(2) ‘Board of County Commissioners’ means the governing body of a county as defined in ORS 203.030 and includes a County Court as defined in ORS 203.111.

(3) ‘Budget allocation’ means an allocation of funds from the Youth Development Council to a County or Tribe.

(4) ‘Budget distribution” means a budget created by County or Tribe staff in a format prescribed by the Division. The budget distribution demonstrates, by grant stream, the projected budget for all activities proposed by the County or Tribe and approved by the Board of County Commissioners or Tribal Council.

(4) Council means the Youth Development Council acting through the staff of Youth Development Division as defined in Chapter 623 Oregon Laws 2013 (Enrolled HB3231).

(5) ‘County’ means a county or two or more counties, which have combined to provide services to children, youth and families.

(6) ‘Direct costs’ means those costs that can be identified specifically and directly with a particular program or project, such as a particular federal grant or a direct activity or program of the organization.

(7) ‘Direct Services’ means those services provided directly to a child or family or group of children or families to maintain or enhance their well-being by a community based organization.

(8) ‘Division’ means the Youth Development Division as defined in Chapter 623 Oregon Laws 2013 (Enrolled HB3231).

(9) ‘Expended’ means the payment of goods delivered or services rendered or liquidation of an obligation.

(10) ‘Indirect Costs’ means those costs that have been incurred for common or joint purposes and cannot be readily identified with or directly allocated to a particular program or project of the organization. Examples of indirect costs include building and equipment depreciation, rent and facilities maintenance costs, general and administrative expenses, and personnel administration and accounting where those costs are distributed to projects or programs through a formula or cost allocation method.

(11) ‘Innovative program or practice’ means a program or practice that demonstrates success when outcomes are evaluated over time and draws on research-based principles and ideas from best programs and practices.

(12) ‘Layperson’ means a person whose primary income is not derived from offering direct service to children and youth or from administering a program for children or youth.

(13) ‘Provider’ means a program or service that has been approved for funding by the County or Tribe and the Board of County Commissioners or Tribal Council.

(14) ‘Provider allocation’ means those funds awarded by a County or Tribe to a public or private entity or person to achieve an outcome.

(15) ‘Tribal Council’ means the governing body of a Tribe as defined in ORS 182.162.

(16) ‘Tribe’ means a federally recognized Indian tribe in Oregon as defined in ORS 182.162.

Stat. Auth.: 2013 OL Ch. 623 Sec. 4 (Enrolled HB 3231)

Stats. Implemented: 2013 OL Ch. 623 (Enrolled HB 3231)

Hist.: OCCF 1-2002, f. & cert. ef. 1-14-02; OCCF 1-2004, f. & cert. ef. 9-15-04; OCCF 1-2004, f. & cert. ef. 9-15-04; OCCF 3-2007(Temp), f. 5-8-07, cert. ef. 5-11-07 thru 9-7-07; Administrative correction 9-16-07; OCCF 4-2008(Temp), f. & cert. ef. 12-12-08 thru 6-11-09; Administrative correction 6-22-09; OCCF 1-2009, f. & cert. ef. 6-24-09; YDD 2-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14; YDD 5-2013(Temp), f. & cert. ef. 9-9-13 thru 3-5-14


Rule Caption: Youth Development Council - Funding (Note: Re-filing due to clerical error.)

Adm. Order No.: YDD 6-2013(Temp)

Filed with Sec. of State: 9-9-2013

Certified to be Effective: 9-9-13 thru 3-5-14

Notice Publication Date:

Rules Adopted: 423-009-0005, 423-009-0010, 423-009-0020

Subject: These rules specify the use of grant funds and requirements for budget allocations to counties and tribes.

   Note: Re-filing due to clerical error.

Rules Coordinator: Cindy Hunt—(503) 947-5651

423-009-0005

Use of Grant Funds

(1) Consistent with the purpose and restrictions of each grant, all budget allocations must comply with applicable State and Federal statute or rule.

(2) County or Tribe Indirect Cost Assessment: Counties and Tribes may assess indirect charges from a grant allocation at an assessment no higher than 10 percent of the total annual allocation from the Division less funding streams expressly disallowed by State or Federal statute or rule.

(3) County or Tribe Direct Cost: All funds allocated to Counties and Tribes, not including the 10 percent maximum indirect assessment of the total annual allocation from the Division, are to be used for direct services to children, youth, and families in communities.

(4) Limitation on Usage:

(a) Consistent with the terms and conditions in the Intergovernmental Agreement, all budget allocations will be directly related to the purpose and restrictions of each program area and grant stream, and have measurable outcomes.

(b) Service provider contracts: Counties and Tribes may allocate funds to providers for the cost of services or activities to children and families.

(c) Services and programs funded by another Federal or State funding source cannot be funded with Youth Development Council funds when blending of those funds are not allowed by Federal or State agreements or when duplication will occur.

(5) Division Approval: Budget allocations effectuated pursuant to the Intergovernmental Agreement and amendments will be subject to Division review and approval.

Stat. Auth.: 2013 OL Ch. 623 Sec. 4 (Enrolled HB 3231)

Stats. Implemented: 2013 OL Ch. 623 (Enrolled HB 3231)

Hist.: YDD 1-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14; YDD 6-2013(Temp), f. & cert. ef. 9-9-13 thru 3-5-14

423-009-0010

Budgetary Allocations

(1) Release of Funds: The Division may disburse funds to Counties and Tribes in conjunction with the beginning of each biennium or periodically throughout the year pursuant to an Intergovernmental Agreement that has been fully executed by the Council and the County or Tribe. A County or Tribe will request funds on a form prescribed by the Division. The Division may withhold funds from a County or Tribe that is not in compliance with the requirements specified in these rules or the terms of the Intergovernmental Agreement including any amendments thereto. Any funds disbursed to a County or Tribe under an approved Intergovernmental Agreement will be used only for those services and purposes set forth in the Intergovernmental Agreement and these Administrative Rules.

(2) All applicable federal, state, and local laws including, but not limited to, OMB A-87 Cost Principles for State, Local, and Indian Tribal Governments, Single Audit Act of 1996, OMB A-133 Audits of State, Local Governments and Non-Profit Organizations, Title VI of the Civil Rights Act of 1964, and Title II of the Americans with Disabilities Act of 1990, Section 504 of the Rehabilitation Act of 1973, and the Pro-Child Act of 1995 must be followed. Budget allocations and Intergovernmental agreements will be approved and monitored by the Division.

(3) The County or Tribe will sign an Intergovernmental Agreement document with the Division. The County or Tribe will not use the funds to reimburse any person or entity for expenditures made, or to pay for any expenses incurred, prior to the effective date of the Intergovernmental Agreement.

(4) Budget Amendments: A County or Tribe will notify the Division of any change in a budget previously approved by the Division by submitting a Budget Distribution in a format prescribed by the Division. The Budget Distribution will be approved in writing by the Division, the County or Tribe, and the Board of County Commissioners and Tribal Council before funds can be expended pursuant to the Intergovernmental Agreement.

(5) Reverting Funds: Any Grant funds, State or Federal, disbursed to a County or Tribe that are not obligated or expended in accordance with the Intergovernmental Agreement by the end of the 2014 fiscal year, must be returned to the Division unless the Division permits such funds to be carried over or extended as follows:

(a) The County or Tribe has submitted to the Division a Budget Distribution, and request for a carryover or extension in a format set by the Division, describing the proposed use of those monies; and

(b) The proposed use provides that the funds will be expended within the first 90 days of the 2015 fiscal year.

(c) The Division may deny a request for carryover or extension from a County or Tribe if the Division finds any of the following concerning the 2014 fiscal year activities or the proposed use(s):

(A) The County or Tribe is found to be using funds, or proposes to use the funds, for purposes other than those authorized pursuant to the Intergovernmental Agreement;

(B) The County or Tribe failed to submit timely, accurate, or complete fiscal reports or activity reports; or failed to make timely corrections that remedied report deficiencies upon review and notice from the Division;

(C) The County or Tribe’s operations failed to comply with federal or state statute, administrative rule or the Intergovernmental Agreement between itself and the Division;

(D) The County or Tribe’s request for carryover or extension is in excess of 1/16 of the 2014 fiscal year funding allocation for that entity.

(d) Before submission to the Division, the Budget Distribution and request for carryover or extension must be approved and certified by the County or Tribe administrator and the Board of County Commissioners or Tribal Council.

(e) Funds not expended within the first 90 days of the 2015 fiscal year will be returned to the State. Federal funds will be re-allocated at a statewide level. General funds will revert to the State treasury.

(6) Contractual Agreements: For funds allocated to the County or Tribe by the Division, a County or Tribe will enter into a formal contractual agreement with any other Division, entity or person for expenditure of those funds. The contract for allocations should specify measurable outcomes that will measure success in achieving outcomes.

(7) Fiscal Reports and Activity Reports:

(a) For funds allocated to the County or Tribe by the Division, all public and private agencies and persons receiving funding allocations will file reports on the provider’s fiscal and activity information as evidence of meeting the County or Tribe’s contractual agreement. Reports will be submitted as required in the Intergovernmental Agreement.

(b) A request for a waiver, for the current reporting period, must be submitted in writing to the Division. The County or Tribe must remit a letter to include:

(A) Stating the hardship reason for the waiver (e.g. staff turnover, serious illness);

(B) Specifying the date reports will be sent to the Division; and

(C) Assurance the next reports will be in by the next reporting period due date. The Division must receive the request for waiver before the reporting due date. No funds will be released until all reports are received. Counties and Tribes that are unable to meet the due dates in at least three out of four consecutive reporting periods will receive funds on a reimbursement basis.

(c) The County or Tribe will send to the Division a fiscal and activity report on a form prescribed by the Division. The reports will be certified by the Board of County Commissioners or Tribal Council.

(d) The County or Tribe will file with the Division a final fiscal report for all funds received from the Division on a form prescribed by the Division. The final fiscal report must be certified by the Board of County Commissioners or Tribal Council.

(8) Records Management: All public and private agencies and persons receiving funding allocations from the Division will retain all fiscal and program monitoring records of a funded program for a period not less than specified in OAR chapter 166, divisions 40 and 100. Records will be available for Division, county and state audit upon request. A County or Tribe may be required to retain records for longer than specified in rule if an audit is in progress or discrepancies found in a previous audit have not been resolved. Such records will be subject to any applicable County or Tribe regulations concerning retention of records and auditing procedures.

(9) Withholding of funds: The Division may withhold funds from a County or Tribe that is not in compliance with the Federal, State, or local law or the Intergovernmental Agreement. Under the following conditions, the Division may withhold funds from Counties and Tribes:

(a) The County or Tribe is found to be using funds for purposes other than those authorized pursuant to the Intergovernmental Agreement;

(b) The County or Tribe failed to submit timely, accurate, or complete fiscal reports or activity reports;

(c) The County or Tribe’s operations failed to comply with federal or state statute, administrative rule, or the Intergovernmental Agreement; or

(d) The County or Tribe activities have not achieved outcomes directly related to parameters of the grant stream.

Stat. Auth.: 2013 OL Ch. 623 Sec. 4 (Enrolled HB 3231)

Stats. Implemented: 2013 OL Ch. 623 (Enrolled HB 3231)

Hist.: YDD 1-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14); YDD 6-2013(Temp), f. & cert. ef. 9-9-13 thru 3-5-14

423-009-0020

Prohibition against Replacement of County Funds

Funds received by a County or Tribe from the Division will not be used to replace County or Tribal general funds or used to replace other State funding currently being used by the County or Tribe for existing programs for children, youth or families.

Stat. Auth.: 2013 OL Ch. 623 Sec. 4 (Enrolled HB 3231)

Stats. Implemented: 2013 OL Ch. 623 (Enrolled HB 3231)

Hist.: YDD 1-2013(Temp), f. & cert. ef. 8-20-13 thru 2-16-14; YDD 6-2013(Temp), f. & cert. ef. 9-9-13 thru 3-5-14

Notes
1.) This online version of the OREGON BULLETIN is provided for convenience of reference and enhanced access. The official, record copy of this publication is contained in the original Administrative Orders and Rulemaking Notices filed with the Secretary of State, Archives Division. Discrepancies, if any, are satisfied in favor of the original versions. Use the OAR Revision Cumulative Index found in the Oregon Bulletin to access a numerical list of rulemaking actions after November 15, 2012.

2.) Copyright 2013 Oregon Secretary of State: Terms and Conditions of Use

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Phone: (503) 986-1523 • Fax: (503) 986-1616 • oregon.sos@state.or.us

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