North Carolina Administrative Code

10A NCAC 97C .0209 PROGRAM AMENDMENTS TO THE GRANT AGREEMENT (a) Whenever a substantive change in the grant recipient's approved Community Anti-Poverty Plan is proposed, the grant agreement must be amended, according to provisions of this Subsection. (b) A substantive change is o…

10a NCAC 97C .0210 THE STATE PLAN FOR THE CSBG PROGRAM (a) The State Plan for the CSBG Program, hereinafter referred to as the State Plan, is North Carolina's plan for carrying out this block grant program in the state. The State Plan contains provisions required by the Act, impl…

10A NCAC 97C .0211 PUBLIC REVIEW OF THE STATE PLAN (a) Public hearings on the proposed State Plan are conducted by the General Assembly in accordance with the Act. (b) The Office submits annually a copy of the State Plan to the State Clearinghouse and each board of county commiss…

SECTION .0300 - APPLICATION 10A NCAC 97C .0301 GENERAL PROVISIONS Only agencies certified as eligible by the Division may receive funds from the Office. To obtain this status, an agency must submit to the Office an Application for Certification of Eligibility, which must be appro…

10a NCAC 97C .0302 REQUIREMENTS FOR CERTIFICATION OF ELIGIBILITY Eligible agencies as defined in Rule .0106 of this Subchapter, shall submit an Application for Certification of Eligibility which shall contain three copies of the following documents: (1) Letter of Application. The…

10a NCAC 97C .0307 SUBMISSION: REVIEW: APPROVAL COMMUNITY ANTI-POVERTY PLAN (a) Three copies of the Community Anti-Poverty Plan shall be submitted to the Office 60 days prior to the planned starting date set forth in the One-Year Work Program. The application must be received by …

10a NCAC 97C .0308 REVISIONS/AMENDMENTS TO COMMUNITY ANTI-POVERTY PLAN (a) Budget amendments and revisions to the Community Anti-Poverty Plan can be made only in accordance with Rule .0208 of this Subchapter. (b) Program amendments will be made in accordance with Rule .0209 of th…

SECTION .0400 - ACCOUNTING STANDARDS 10a NCAC 97C .0401 GENERAL REQUIREMENTS Grant recipients must establish and maintain an accounting system for properly handling funds received from the Office and for recording all pertinent transactions. The system must meet generally accepte…

10a NCAC 97C .0402 FINANCE OFFICER Each grant recipient shall appoint a finance officer who must be someone other than the Executive Director and who is responsible for the organization's financial affairs. The duties of the finance officer shall include: (1) Maintaining the acco…

10a NCAC 97C .0403 FIDELITY BOND REQUIREMENTS (a) Grant recipients shall carry fidelity bond coverage pursuant to the "Administrative Procedures Manual for Federal Block Grant Funds", published by the Department of Administration in October of 1982. (b) For the purposes of this S…

10a NCAC 97C .0404 MINORITY-OWNED BANKS Consistent with the national and state goal of expanding opportunities for minority business enterprises, grant recipients are encouraged to use minority-owned banks within the service area. Upon request, the Office will furnish a list of m…

SECTION .0500 - AUDIT STANDARDS 10A NCAC 97C .0501 AUDIT PROCEDURE (a) The audit of the CSBG program shall be performed in conjunction with the regular annual independent audit of the grant recipient and shall contain an examination of all financial aspects of the CSBG program as…

10a NCAC 97C .0502 AUDIT REQUIREMENTS Audits of grant recipients shall comply with the requirements set forth as follows: (1) Audits will include, at a minimum, an examination of the systems of internal control, systems established to ensure compliance with laws and regulations a…

10a NCAC 97C .0503 GRANT RECIPIENT'S RESPONSE TO ANNUAL AUDIT FINDINGS (a) Grant recipients shall respond in writing to observations and recommendations in annual audit reports when requested to do so by the Office. Unless an extension of time is expressly granted, the response s…

10a NCAC 97C .0504 APPEALS OF AUDIT DISALLOWANCES (a) If the grant recipient wishes to appeal disallowed expenditures of CSBG funds, the appeal shall be made in writing within 30 days of notification of disallowed expenditures and shall contain a clear statement of the issue or i…

10a NCAC 97C .0505 SATISFACTION OF FINAL AUDIT DISALLOWANCE (a) Unless the grant recipient receives written notice from the Office granting an extension, all final disallowances shall be satisfied within 60 days of the date on which the disallowance becomes final. Grant recipient…

10a NCAC 97C .0506 USE OF SMALL AND MINORITY-OWNED AUDIT FIRMS Small audit firms and audit firms owned and controlled by socially and economically disadvantaged individuals shall have the maximum practicable opportunity to participate in the performance of contracts awarded with …

10a NCAC 97C .0507 AUDITS BY THE DEPARTMENT The provisions of this Section do not limit the authority of the Department to make audits of grant recipients. History Note: Authority G.S. 143B-10; 143B-276; 143B-277; 143-323(d); Eff. December 1, 1983; Pursuant to G.S. 150B-21.3A, ru…

SECTION .0600 - REIMBURSEMENT STANDARDS 10a NCAC 97C .0601 OBLIGATION OF FUNDS (a) The approval and acceptance of a grant agreement officially obligates funds for a given period. Obligations establish a ceiling for awarded funds as distinguished from actual expenditures or paymen…

10a NCAC 97C .0602 REQUEST FOR FUNDS (a) Request for funds will be made on an advance basis. To request funds a grant recipient must complete a financial form prescribed by the Office. (b) In completing the prescribed form, the grant recipient should carefully evaluate its cash n…

10a NCAC 97C .0603 PROGRAM INCOME (a) For the purpose of this Subchapter, program income shall be defined in accordance with the following provisions: (1) Program income means gross income earned by a grant recipient from activities in which part or all of the cost is either born…

10a NCAC 97C .0604 APPLICABLE CREDITS (a) Applicable credits refer to those receipts or reduction of expenditure-type transactions which offset or reduce expense items allocable to contracts as a direct or indirect cost. Examples of such transactions are: (1) purchase discounts; …

10a NCAC 97C .0605 ALLOWABLE AND DISALLOWABLE COST Grant recipients shall comply with Rule .1003 of Subchapter 97B in establishing the allowability of cost, except as listed in this Rule: (1) Labor Relations Costs. Costs incurred in maintaining satisfactory relations between a no…

10a NCAC 97C .0606 DIRECT AND INDIRECT COSTS (a) The total program cost under the CSBG program is comprised of the allowable direct cost incident to the conduct of project activities by the grant recipient, plus its allocable portion of allowable indirect costs, less applicable c…

SECTION .0700 - PROCUREMENT STANDARDS AND PROCEDURES 10a NCAC 97C .0701 GENERAL POLICIES AND PROCEDURES (a) Grant recipients shall follow the procurement standards and procedures established in OMB Circular A-110 or A-102, Attachment 0. (b) All agreements must be evidenced in wri…

10a NCAC 97C .0702 PROPERTY POLICIES AND PROCEDURES Grant recipients shall follow the property policies and procedures established in OMB Circular A-110 and A-102, Attachment 0. History Note: Authority G.S. 143B-10; 143B-276; 143B-277; 143-323(d); Eff. December 1, 1983; Amended E…

section .0800 – grant agreement standards 10A NCAC 97C .0801 GRANT AGREEMENT COMPLIANCE (a) The grant agreement will require that grant recipients certify that they will comply with all applicable federal and state laws, regulations, rules, and Executive Orders. (b) In addition, …

section .0900 – reports: monitoring: evaluation: remedial action 10a nCAC 97C .0901 PROGRAM AND FISCAL REPORTS FOR THE CSBG PROGRAM Grant recipients must submit the following reports to the Office: (1) Request for Funds. Request for funds should be submitted according to the prov…

section .1000 – personnel standards 10a NCAC 97C .1001 EXECUTIVE OFFICER AND FINANCE OFFICER The Office requires that each grant recipient maintain a chief executive officer to supervise the overall administration of the CSBG program, and a finance officer to administer the finan…

10a NCAC 97C .1002 NON-DISCRIMINATION IN EMPLOYMENT (a) Eligible agencies must submit the Assurance of Compliance with Civil Rights Laws and Regulations (DEO Form 11) as required in Rule .0302(6) of this Subchapter. Submission of this assurance to the Office establishes the polic…

10a NCAC 97C .1003 EMPLOYMENT OF THE POOR AND EXOFFENDERS (a) Every consideration should be given to providing employment opportunities to poor persons who have been denied the benefit of formal education and who are willing to learn to perform new functions. Each grant recipient…

10a NCAC 97C .1004 COMPENSATION POLICY (a) All positions supported by CSBG funds with an entry level wage in the amount of fifteen thousand dollars ($15,000) or more shall be based on a wage comparability study, the results of which shall be submitted to the Office. (b) Employee …

section .1100 – civil rights of individual applicants 10A NCAC 97C .1101 PROCEDURES FOR FILING DISCRIMINATION COMPLAINTS Grant recipients shall establish a written policy for resolving complaints of denial of assistance to an applicant or program participant involving discriminat…

section .1200 - retention of records and closing 10a NCAC 97C .1201 RETENTION OF RECORDS (a) Except as provided in Paragraph (b) of this Rule, records of the grant recipient and their subcontractors related to CSBG must be retained for five years from the starting date, specified…

10a NCAC 97C .1202 CLOSING OUT A GRANT AGREEMENT (a) "Grant Agreement Closeout" is defined as the process to be followed when the Department determines that a grant agreement has ended. (b) Grant agreement may be closed out for any of the following reasons: (1) the grant recipien…

section .1300 – Grant recipient compliance liability: suspension: termination 10a NCAC 97C .1301 SUSPENSION OF GRANT AGREEMENT (a) "Suspension of a Grant Agreement" means the temporary withdrawal of the grant recipient's authority to obligate funds pending corrective action by th…

10a NCAC 97C .1302 TERMINATION OF GRANT AGREEMENT (a) "Termination of Grant Agreement" means the permanent withdrawal of the grant recipient's authority to obligate previously awarded funds before that authority would otherwise expire under the grant agreement. It may also mean t…

SUBCHAPTER 97D - COMMUNITY ACTION PARTNERSHIP PROGRAM SECTION .0100 - GENERAL PROVISIONS 10A NCAC 97D .0101 PURPOSE OF PROGRAM The purpose of the Community Action Partnership Program is to provide state financial assistance to community action and limited purpose agencies as defi…

10A NCAC 13D .2209 INFECTION CONTROL (a) A facility shall establish and maintain an infection control program for the purpose of providing a safe, clean and comfortable environment and preventing the transmission of diseases and infection. (b) Under the infection control program,…

10a NCAC 13K .0403 reserved for future codification

10a NCAC 97C .1005 ORGANIZATION CHART The grant recipient shall maintain an organizational chart showing all paid positions and lines of responsibility and authority. History Note: Authority G.S. 143B-10; 143B-276; 143B-277; 143-323(d); Eff. December 1, 1983; Pursuant to G.S. 150…

11 NCAC 01 .0103 LOCATION AND MAILING ADDRESS (a) The primary location of the North Carolina Department of Insurance is 3200 Beechleaf Court, Raleigh, North Carolina. The Piedmont Regional Office is located at 106 Baker Road, Archdale, North Carolina. The Whiteville Regional Offi…

11 NCAC 01 .0106 ORGANIZATION OF THE DEPARTMENT History Note: Authority G.S. 58-2-25; 58-2-40; Eff. February 1, 1976; Readopted Eff. May 12, 1978; Amended Eff. August 1, 1988; June 1, 1985; Repealed Eff. August 3, 1992.

11 NCAC 01 .0107 PUBLIC INFORMATION AND DEPARTMENTAL RECORDS Departmental records that are properly deemed to be public information may be reproduced upon request. The request must be made in writing and directed to the head of the appropriate division. Reproduction of department…

11 NCAC 01 .0108 DEFINITIONS AND RULES OF CONSTRUCTION FOR THIS TITLE (a) The definitions contained in G.S. 58-1-5 are incorporated in this Title by reference. (b) The rules of construction contained in G.S. 12-3 apply in the construction of this Title. History Note: Authority G.…

SECTION .0200 - DEPARTMENTAL RULES 11 NCAC 01 .0201 LOCATION OF AND INSPECTION OF DEPARTMENTAL RULES (a) Location of Departmental Rules. All rules for the Department and all codes, standards and rules adopted by reference are located in the Hearings Office of the Department of In…

11 NCAC 01 .0202 FORMER DEPARTMENTAL REGULATIONS RETAINED/CITED History Note: Authority G.S. 58-9; Eff. February 1, 1976; Readopted Eff. May 12, 1978; Repealed Eff. July 1, 1988.

11 NCAC 01 .0203 PETITION FOR ADOPTION: AMENDMENT OR REPEAL OF RULES History Note: Authority G.S. 58-2-40; 150B-12; Eff. February 1, 1976; Readopted Eff. May 12, 1978; Amended Eff. August 1, 1988; June 1, 1985; Repealed Eff. July 1, 1992.

11 NCAC 01 .0204 NOTICE OF RULE-MAKING HEARINGS Notice of rule-making hearings will be given in accordance with the provisions of Part 2 of Article 2A of General Statute Chapter 150B. History Note: Authority G.S. 150B-21.1; 150B-21.2; 150B-21.4; 150B-21.5; Eff. February 1, 1976; …

11 NCAC 01 .0205 RULE-MAKING HEARINGS: GENERAL INFORMATION The hearing officer shall have complete control of the proceedings, including extensions of any time requirements, order of presentations, time allotments for presentations, direction of the flow of the discussion and the…