1994 US Code
Title 42 - THE PUBLIC HEALTH AND WELFARE
CHAPTER 106 - COMMUNITY SERVICES BLOCK GRANT PROGRAM
Sec. 9904 - Applications and requirements

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§9904. Applications and requirements (a) Form and assurances

Each State desiring to receive an allotment for a fiscal year under this chapter shall submit an application to the Secretary. Each such application shall be in such form as the Secretary shall require. Each such application or significant amendments thereof shall contain assurances by the chief executive officer of the State that the State will comply with subsection (b) of this section and will meet the conditions enumerated in subsection (c) of this section.

(b) Public hearings on use and distribution of funds for subsequent fundings

After the expiration of the first fiscal year in which a State received funds under this chapter, no funds shall be allotted to such State for any fiscal year under this chapter unless the legislature of the State conducts public hearings on the proposed use and distribution of funds to be provided under this chapter for such fiscal year.

(c) Certifications required

As part of the annual application required by subsection (a) of this section, the chief executive officer of each State shall certify that the State agrees to—

(1) ensure that, at its discretion and consistent with agreements with the State, each recipient of funds available under this chapter will use such funds—

(A) to provide a range of services and activities having a measurable and potentially major impact on causes of poverty in the community or those areas of the community where poverty is a particularly acute problem;

(B) to provide activities designed to assist low-income participants including homeless individuals and families, migrants, and the elderly poor—

(i) to secure and retain meaningful employment;

(ii) to attain an adequate education;

(iii) to make better use of available income;

(iv) to obtain and maintain adequate housing and a suitable living environment;

(v) to obtain emergency assistance through loans or grants to meet immediate and urgent individual and family needs, including the need for health services, nutritious food, housing, and employment-related assistance;

(vi) to remove obstacles and solve problems which block the achievement of self-sufficiency;

(vii) to achieve greater participation in the affairs of the community; and

(viii) to make more effective use of other programs related to the purposes of this chapter;

(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;

(2)(A) use, for fiscal year 1985 and for each subsequent fiscal year, not less than 90 percent of the funds allotted to the State under section 9903 of this title to make grants to use for the purposes described in clause (1) to eligible entities (as defined in section 9902(1) of this title) or to organizations serving seasonal or migrant farmworkers, except that no more than 7 percent of the funds available for this subclause shall be granted to organizations which were not eligible entities during the previous fiscal year; and

(B) if less than 100 percent 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 not 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 chapter, including outposting appropriate State or local public employees into entities funded under this chapter 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 ,000 or 5 percent of its allotment under section 9903 of this title; and

(v) considering the distribution of funds under this chapter within the State to determine if such funds have been targeted to the areas of greatest need.

(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 private 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 chapter, 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 representative 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;; 1

(4) give special consideration in the designation of local community action agencies under this chapter to any community action agency which is receiving funds under any Federal antipoverty program on August 13, 1981, 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 preceding the fiscal year for which the determination is made;

(5) provide assurances that the State may transfer funds, but not to exceed 5 percent of its allotment under section 9903 of this title, for the provisions set forth in this chapter to services under the Older Americans Act of 1965 [42 U.S.C. 3001 et seq.], the Head Start program under subchapter II of chapter 105 of this title, the energy crisis intervention program under subchapter II of chapter 94 of this title (relating to low-income home energy assistance), or the Emergency Food Assistance Act of 1983;

(6) prohibit any political activities in accordance with subsection (e) of this section;

(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;

(8) provide for coordination between antipoverty programs in each community, where appropriate, with emergency energy crisis intervention programs under subchapter II of chapter 94 of this title (relating to low-income home energy assistance) conducted in such community;

(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 chapter, including procedures for monitoring the assistance provided under this chapter, and provide that at least every year each State shall prepare, in accordance with subsection (f) of this section, an audit of its expenditures of amounts received under this chapter and amounts transferred to carry out the purposes of this chapter;

(10) permit and cooperate with Federal investigations undertaken in accordance with section 9908 of this title;

(11) provide assurances that any community action agency or migrant and seasonal farmworker 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 the procedures and review by the Secretary as provided in section 9905a of this title.

(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 chapter 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 chapter; and

(B) for 2 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 chapter;

(12) in the case of a State which applied for and received a waiver from the Secretary under Public Law 98–139, provide assurances that funds will not be provided under this chapter by such State to an organization to which such State made a grant under this chapter 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;

(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 services through information, referral, case management, and followup 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; and

(14) provide assurances that cost and accounting standards of the Office of Management and Budget shall apply to a recipient of funds under this chapter.

The Secretary may prescribe procedures only for the purpose of assessing the effectiveness of eligible entities in carrying out the purposes of this chapter. The Secretary shall provide to the chief executive officer of each State appropriate information regarding designated limited purpose agencies and grantees which meet the requirements of the second sentence of section 9902(1) of this title.

(d) State plans

(1) In addition to the requirements of subsection (c) of this section, the chief executive officer of each State shall prepare and furnish to the Secretary a plan which contains provisions describing how the State will carry out the assurances contained in subsection (c) of this section. The chief executive officer of each State may revise any plan prepared under this paragraph and shall furnish the revised plan to the Secretary.

(2) Each plan or revision prepared under paragraph (1) shall be made available for public inspection within the State in such a manner as will facilitate review of, and comment on, the plan.

(e) Repealed. Pub. L. 103–94, §6, Oct. 6, 1993, 107 Stat. 1005 (f) Conduct of independent audits; copies to State legislatures

Each audit required by subsection (c)(9) of this section shall be conducted by an entity independent of any agency administering activities or services carried out under this chapter and shall be conducted in accordance with generally accepted accounting principles. Within 30 days after the completion of each audit, the chief executive officer of the State shall submit a copy of such audit to the eligible entity at no charge, to the legislature of the State and to the Secretary.

(g) Repayment of funds expended improperly

The State shall repay to the United States amounts found not to have been expended in accordance with this chapter or the Secretary may offset such amounts against any other amount to which the State is or may become entitled under this chapter.

(h) Periodic evaluations of expenditures by Comptroller General

The Comptroller General of the United States shall, from time to time, evaluate the expenditures by States (including any State that received a waiver under Public Law 98–139) of grants under this chapter in order to assure that expenditures are consistent with the provisions of this chapter and to determine the effectiveness of the State in accomplishing the purposes of this chapter.

(Pub. L. 97–35, title VI, §675, Aug. 13, 1981, 95 Stat. 513; Pub. L. 97–115, §17(a)(2), (b), Dec. 29, 1981, 95 Stat. 1609; Pub. L. 98–558, title II, §203(a)–(c), Oct. 30, 1984, 98 Stat. 2885; Pub. L. 99–425, title IV, §§403(a)(1), (b), 404(b), Sept. 30, 1986, 100 Stat. 968, 969; Pub. L. 101–501, title IV, §404(a), (b), Nov. 3, 1990, 104 Stat. 1252; Pub. L. 101–624, title XVII, §1772(h)(6), Nov. 28, 1990, 104 Stat. 3809; Pub. L. 103–94, §6, Oct. 6, 1993, 107 Stat. 1005; Pub. L. 103–252, title II, §202(c)–(g), May 18, 1994, 108 Stat. 652–654.)

References in Text

The Older Americans Act of 1965, referred to in subsec. (c)(5), is Pub. L. 89–73, July 14, 1965, 79 Stat. 218, as amended, which is classified generally to chapter 35 (§3001 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set out under section 3001 of this title and Tables.

Subchapter II of chapter 105 of this title, referred to in subsec. (c)(5), was in the original “subchapter B of chapter 8 of subtitle A of this title”, meaning subchapter B (§§635 to 657) of chapter 8 of subtitle A of title VI of Pub. L. 97–35, Aug. 13, 1981, 95 Stat. 499, known as the Head Start Act, which is classified generally to subchapter II (§9831 et seq.) of chapter 105 of this title. For complete classification of this Act to the Code, see Short Title note set out under section 9801 of this title and Tables.

Subchapter II of chapter 94 of this title, referred to in subsec. (c)(5), (8), was in the original “title XXVI of this Act”, meaning title XXVI of Pub. L. 97–35, Aug. 13, 1981, 95 Stat. 893, known as the Low-Income Home Energy Assistance Act of 1981, which is classified generally to subchapter II (§8621 et seq.) of chapter 94 of this title. For complete classification of this Act to the Code, see Short Title note set out under section 8621 of this title and Tables.

The Emergency Food Assistance Act of 1983, referred to in subsec. (c)(5), is title II of Pub. L. 98–8, Mar. 24, 1983, 97 Stat. 35, as amended, which is set out as a note under section 612c of Title 7, Agriculture. For complete classification of this Act to the Code, see Tables.

This Act, referred to in subsec. (c)(11), (13), is Pub. L. 97–35, Aug. 13, 1981, 95 Stat. 357, as amended, known as the Omnibus Budget Reconciliation Act of 1981. For complete classification of this Act to the Code, see Tables.

Public Law 98–139, referred to in subsecs. (c)(12) and (h), is Pub. L. 98–139, Oct. 31, 1983, 97 Stat. 871, known as the Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriation Act, 1984. For complete classification of this Act to the Code, see Tables.

Amendments

1994—Subsec. (a). Pub. L. 103–252, §202(c)(1), inserted “or significant amendments thereof” before “shall contain assurances”.

Subsec. (c). Pub. L. 103–252, §202(c)(6), in concluding provisions substituted “The Secretary may prescribe procedures only for the purpose of assessing the effectiveness of eligible entities in carrying out the purposes of this chapter” for “The Secretary may not prescribe the manner in which the States will comply with the provisions of this subsection”.

Subsec. (c)(1). Pub. L. 103–252, §202(c)(2), in introductory provisions substituted “ensure that, at its discretion and consistent with agreements with the State, each recipient of funds available under this chapter will use such funds” for “use the funds available under this chapter”.

Subsec. (c)(1)(B). Pub. L. 103–252, §202(c)(3), in introductory provisions inserted “homeless individuals and families, migrants, and” before “the elderly poor”.

Subsec. (c)(2)(B). Pub. L. 103–252, §202(c)(4), amended subpar. (B) generally. Prior to amendment, subpar. (B) read as follows: “provide assurances that the State will not expend more than the greater of ,000 or 5 percent of its allotment under section 9903 of this title for administrative expenses at the State level;”.

Subsec. (c)(3). Pub. L. 103–252, §202(c)(5), designated existing provisions as cl. (A) by substituting “(A)” for comma after “provide assurances that”, inserted “selected by the community action agency or nonprofit private organization and” after “board will be”, redesignated former cls. (A) to (C) as subcls. (i) to (iii), respectively, of cl. (A), and added cl. (B).

Subsec. (c)(11). Pub. L. 103–252, §202(d)(1), designated second sentence as subpar. (A) and realigned margin, redesignated former subpars. (A) and (B) as cls. (i) and (ii), respectively, of subpar. (A) and former cls. (i) to (iii) as subcls. (aa) to (cc), respectively, of cl. (i), and added subpar. (B).

Subsec. (c)(13), (14). Pub. L. 103–252, §202(d)(2), (3), added pars. (13) and (14).

Subsec. (d)(2). Pub. L. 103–252, §202(e), inserted “or revision” after “Each plan”.

Subsec. (f). Pub. L. 103–252, §202(f), inserted “to the eligible entity at no charge,” before “to the legislature”.

Subsec. (h). Pub. L. 103–252, §202(g), inserted “(including any State that received a waiver under Public Law 98–139)” after “expenditures by States”.

1993—Subsec. (e). Pub. L. 103–94 struck out subsec. (e) which read as follows: “For purposes of chapter 15 of title 5, any nonprofit private organization receiving assistance under this chapter which has responsibility for planning, developing, and coordinating community antipoverty programs shall be deemed to be a State or local agency. For purposes of clauses (1) and (2) of section 1502(a) of such title, any such organization receiving assistance under this chapter shall be deemed to be a State or local agency.”

1990—Subsec. (c)(5). Pub. L. 101–624 struck out “Temporary” before “Emergency Food Assistance Act of 1983”.

Subsec. (c)(11). Pub. L. 101–501, §404(a), inserted “, or reduced below the proportional share of funding it received in the previous fiscal year,” before “unless after notice”, inserted “or such reduction” after “such termination”, and added sentence at end defining “cause”.

Subsec. (c)(12). Pub. L. 101–501, §404(b), added par. (12).

1986—Subsec. (c). Pub. L. 99–425, §403(b), struck out last sentence which read as follows: “No eligible entity which receives funds for a project or activity under clause (2)(A)(i) of this subsection may receive funds otherwise available under this chapter for that project or activity.”

Subsec. (c)(11). Pub. L. 99–425, §403(a)(1), inserted “the procedures and” after “subject to”.

Subsec. (i). Pub. L. 99–425, §404(b), struck out subsec. (i) which read as follows:

“(1) For purposes of determining compliance with this chapter the Secretary shall conduct, in several States in each fiscal year, evaluations of the uses made of funds received under this chapter by such States.

“(2) The results of such evaluations shall be submitted annually to the chairman of the Committee on Education and Labor of the House of Representatives and the chairman of the Committee on Labor and Human Resources of the Senate.”

1984—Subsec. (c)(2)(A). Pub. L. 98–558, §203(a)(1)–(3), substituted “1985 and for each subsequent fiscal year” for “1982 only”, inserted “except that no more than 7 percent of the funds available for this subclause shall be granted to organizations which were not eligible entities during the previous fiscal year”, struck out “(i)” thereby redesignating former division (i) as subpar. (A), and struck out division (ii) which provided that, for fiscal year 1983, not less than 90 percent of allotted funds were to be used for making grants to political subdivisions directly or to private nonprofit community organizations which have a board or to migrant and seasonal farm workers.

Subsec. (c)(2)(B). Pub. L. 98–558, §203(a)(4), inserted “the greater of ,000 or”.

Subsec. (c)(5). Pub. L. 98–558, §203(a)(5), substituted “the energy” for “or the energy” before “crisis intervention program” and inserted “, or the Temporary Emergency Food Assistance Act of 1983”.

Subsec. (c)(11). Pub. L. 98–558, §203(b), which directed the amendment of this section by adding a par. (11), was executed by adding the par. (11) at the end of subsec. (c).

Subsec. (i). Pub. L. 98–558, §203(c), added subsec. (i).

1981—Subsec. (c). Pub. L. 97–115 inserted a comma after “directly” in par. (2)(a)(ii), and in provisions following par. (10), inserted provisions that the Secretary shall provide to the Chief Executive Officer of each State appropriate information regarding designated limited purpose agencies and grantees which meet the requirements of the second sentence of section 9902(1) of this title and that no entity which receives funds for a project or activity under cl. (2)(A)(i) of this subsection may receive funds otherwise available under this chapter for that project or activity.

Effective Date of 1994 Amendment

Amendment by Pub. L. 103–252 effective Oct. 1, 1994, see section 208 of Pub. L. 103–252, set out as a note under section 9901 of this title.

Effective Date of 1993 Amendment; Savings Provision

Amendment by Pub. L. 103–94 effective 120 days after Oct. 6, 1993, but not to release or extinguish any penalty, forfeiture, or liability incurred under amended provision, which is to be treated as remaining in force for purpose of sustaining any proper proceeding or action for enforcement of that penalty, forfeiture, or liability, and no provision of Pub. L. 103–94 to affect any proceedings with respect to which charges were filed on or before 120 days after Oct. 6, 1993, with orders to be issued in such proceedings and appeals taken therefrom as if Pub. L. 103–94 had not been enacted, see section 12 of Pub. L. 103–94, set out as an Effective Date; Savings Provision note under section 7321 of Title 5, Government Organization and Employees.

Effective Date of 1990 Amendment

Amendment by Pub. L. 101–501 effective Oct. 1, 1990, see section 1001(a) of Pub. L. 101–501, set out as a note under section 8621 of this title.

Effective Date of 1986 Amendment

Amendment by Pub. L. 99–425 effective Oct. 1, 1986, see section 1001 of Pub. L. 99–425, set out as a note under section 8621 of this title.

Construction

Section 207 of Pub. L. 98–558 provided that: “Notwithstanding any other provision of law the provisions of section 675(c)(2) of the Act [subsec. (c)(2) of this section] made by the amendments contained in paragraphs (1), (2), and (3) of section 203 of this Act [amending subsec. (c)(2)(A) of this section] shall apply to the funds appropriated for the Act [this chapter] for fiscal year 1985.”

Section Referred to in Other Sections

This section is referred to in sections 3026, 9902, 9903, 9905a, 9908, 11463 of this title.

1 So in original.

2 So in original. Probably should be capitalized.