Form Approved OMB No.: 0970-0382

Expires: June 30, 2021

May 21, 2019 11:38AM

Community Services Block Grant (CSBG) Draft 2020-21 State Plan

as of 5/21/2019

Program Name: Community Services Block Grant

Grantee Name: New York State Department of State

Report Name: Model State Plan (CSBG)

Report Period: 10/01/2019 to 09/30/2021

Table of Contents CSBG Cover Page (SF-424M) Section 1: CSBG Administrative Information Section 2: State Legislation and Regulation Section 3: State Plan Development and Statewide Goals Section 4: CSBG Hearing Requirements Section 5: CSBG Eligible Entities Section 6: Organizational Standards for Eligible Entities Section 7: State Use of Funds Section 8: State Training and Technical Assistance Section 9: State Linkages and Communication Section 10: Monitoring, Corrective Action, and Fiscal Controls Section 11: Eligible Entity Tripartite Board Section 12: Individual and Community Income Eligibility Requirements Section 13: Results Oriented Management and Accountability (ROMA) System Section 14: CSBG Programmatic Assurances and Information Narrative Section 15: Federal Certifications

Section 1 2

Section 1 CSBG Administrative Information

1.1. Identify whether this is a one-year or a two-year plan. One-Year X Two-Year

1.1a. Provide the federal fiscal years this plan covers: Year One 2020; Year Two 2021

GUIDANCE: If a state indicates “One-Year” under 1.1., they will only have to provide a response for “Year One”

1.2. Lead Agency: Update the following information in relation to the lead agency designated to administer CSBG in the state, as required by Section 676(a) of the CSBG Act. Information should reflect the responses provided in the Application for Federal Assistance, SF-424M.

Has information regarding the state lead agency changed since the last submission of the state plan? Yes X No

If yes, provide the date of change and select the fields that have been updated [Date Picker and Check all the apply]

Lead Agency Department Type Department Name Authorized Official Street Address City Zip Code Office Number Fax Number Email Address Website 1.2a. Lead agency [Narrative, 150 Characters]

GUIDANCE: This should only include the exact name of the lead agency and an acronym (as applicable).

EXAMPLE: Office of Community Services (OCS)

1.2b. Cabinet or administrative department of this lead agency [Check One and narrative where applicable]

Community Affairs Department Community Services Department Governor’s Office Health Department Housing Department Human Services Department Social Services Department X Other, describe: [Narrative, 100 characters] Division of Community Services

1.2c. Cabinet or Administrative Department Name: Provide the name of the cabinet or administrative department of the CSBG authorized official [Narrative, 100 Characters] Department of State

1.2d. Authorized official of the lead agency. The authorized official could be the

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director, secretary, commissioner etc. as assigned in the designation letter (attached under item 1.3.). The authorized official is the person indicated as authorized representative on the SF-424M. [Narrative, 50 Characters each]

Name Vilda Vera Mayuga Title Deputy Secretary of State for Economic Opportunity

1.2e. Street Address [Narrative, 200 characters] 123 William Street, 20th Floor

1.2f. City [Narrative, 50 characters] New York

1.2g. State [Dropdown] NY

1.2h. Zip Code [Numerical Response, 5 digits] 10038

1.2i. Work Telephone Number and Extension (if applicable) [Numerical Response, 10 – 15 digits to include extensions] 212-417-5738

1.2j. Fax Number [Numerical Response, 10 digits] 212-417-4784

1.2k. Email Address [Narrative, 150 characters] Vilda.Mayuga@dos.ny.gov

1.2l. Lead Agency Website [Narrative, 200 characters] http://dos.ny.gov

Note: Item 1.2. pre-populates the Annual Report, Module 1, Item A.1.

1.3. Designation Letter: Attach the state’s official CSBG designation letter. A new designation letter is required if the chief executive officer of the state and/or designated agency has changed. [Attach a document.]

GUIDANCE: The designation letter should be updated whenever there is a change to the designee.

Instructional Note: The letter should be from the chief executive officer of the state and include, at minimum, the designated state CSBG lead agency and title of the authorized official of the lead agency who is to administer the CSBG grant award.

1.4. CSBG Point of Contact: Provide the following information in relation to the designated state CSBG point of contact. The state CSBG point of contact should be the person that will be the main point of contact for CSBG within the state.

Has information regarding to the state point of contact changed since the last submission of the state plan? X Yes No

If yes, provide the date of change and select the fields that have been updated [Date Picker 4/16/18 and Check all the apply]

Agency Name X Point of Contact Street Address City State Zip Code X Office Number Fax Number X Email Address Website

1.4a. Agency Name [Narrative, 150 characters]

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1.4b. Point of Contact Name [Narrative, 50 characters each]

Name Manuel Rosa Title Division Director

1.4c. Street Address [Narrative, 200 characters]

1.4d. City [Narrative, 50 characters]

1.4e. State [Dropdown]

1.4f. Zip Code [Numerical Response, 5 digits]

1.4g. Office Telephone Number [Numerical Response, 10 – 15 digits to include extensions] 518-474-5741

1.4h. Fax Number [Numerical Response, 10 digits] 518-486-4663

1.4i. Email Address [Narrative, 150 characters] Manuel.Rosa@dos.ny.gov

1.4j. Agency Website [Narrative, 200 characters]

1.5. Provide the following information in relation to the State Community Action Association.

GUIDANCE: Under this question, please respond yes and provide the information if there is an entity or organization that serves in the capacity of a state community action association that is located within your state, whether voluntarily or contractually. If the entity that serves as the state community action association is located outside of the state, or if there is only a single eligible entity within the state that also performs the functions of a Community Action Association, please answer no to this question.

There is currently a state Community Action Association within the state. X Yes No

Has information regarding the state Community Action Association changed since the last submission of the state plan? X Yes No

If yes, provide the date of change and select the fields that have been updated. [Date Picker and Check all the apply] (August 6, 2018)

Agency Name X Executive Director Street Address City State Zip Code Office Number Fax Number Email Address Website RPIC Lead

1.5a. Agency name [Narrative, 150 characters] New York State Community Action Association, Inc.

1.5b. Executive Director or Point of Contact [Narrative, 50 characters each]

Name Jacqueline Orr Title Chief Executive Officer

1.5c. Street Address [Narrative, 200 characters] 2 Charles Boulevard

1.5d. City [Narrative, 50 characters] Guilderland

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1.5e. State [Dropdown] NY

1.5f. Zip Code [Numerical Response, 5 digits] 12084

1.5g. Telephone Number [Numerical Response, 10 – 15 digits to include extensions] 518-690-0491 ext. 24

1.5h. Fax Number [Numerical Response, 10 digits] 518-690-0498

1.5i. Email Address [Narrative, 150 characters] jorr@nyscommunityaction.org

1.5j. State Association Website [Narrative, 200 characters] https://nyscommunityaction.org

1.5k. State Association currently serves as the Regional Performance Innovation Consortia (RPIC) lead X Yes No

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Section 2 State Legislation and Regulation

2.1. CSBG State Legislation: State has a statute authorizing CSBG. X Yes No

2.2. CSBG State Regulation: State has regulations for CSBG. X Yes No

2.3. Legislation/Regulation Document: Attach the legislation and/or regulations or provide a hyperlink(s) to the documents indicated under Items 2.1. and/or Item 2.2. [Attach a document and/or provide a link, 1500 characters]

GUIDANCE: The labeling of all attachments should include the question number for which the document provides supplementary information, the question heading, and the type of document provided. As an example, a state statutory document could be labeled as:

2.3. Legislation/Regulation Document, Washington D.C. Statute

2.4. State Authority: Select a response for each of the following items about the state statute and/or regulations authorizing CSBG:

2.4a. Authorizing Legislation: State legislature enacts authorizing legislation or amendments to an existing authorizing statute last federal fiscal year.

Yes XNo

2.4b. Regulation Amendments: State established or amended regulations for CSBG last federal fiscal year. Yes X No

2.4c. Designation: State statutory or regulatory authority designates the bureau, division, or office in the state government that is to be the state administering agency. X Yes No

Section 3 7

Section 3 State Plan Development and Statewide Goals

3.1. CSBG Lead Agency Mission and Responsibilities: Briefly describe the mission and

responsibilities of the state agency that serves as the CSBG lead agency. [Narrative, 2500 characters]

The mission and responsibility of the Department of State (DOS) as lead agency is to work in

partnership with the community services network of grantees as well as federal, state, and local

governments, and community-based organizations to effectively carry out the purposes, goals,

and assurances of the CSBG Act and CSBG Program. Adherence to the mission and

responsibilities of DOS, as lead agency, is addressed and ensured in several ways, including

through: program and fiscal monitoring; certification of eligible entities’ capacity to meet

statutory requirements; provision of training and technical assistance to ensure agencies that

require additional assistance are provided the same; coordinating and forming partnerships with

other organizations serving low-income residents; and coordinating and establishing linkages

between governmental and other social services programs to assure effective delivery of

services. In carrying out the mission of the CSBG Act, the State has elected to use the maximum

allowable poverty line percentage (125%) as a criterion of eligibility for CSBG funded services

and programs.

3.2. State Plan Goals: Describe the state’s CSBG-specific goals for state administration of CSBG under this State Plan. [Narrative, 3000 characters]

New York State envisions that programs will be administered in accordance with the CSBG statutory purposes and goals and in compliance with all applicable state and federal statutes, rules, regulations, policies and procedures. The following goals guide operation: Goal 1: Funds will be distributed in a timely manner and in accordance with applicable federal and state statutes. Goal 2: A comprehensive onsite review of each eligible entity will be conducted at least once every three years in accordance with § 678B of the CSBG Act. The reviews will be based in part on the organizational standards. Training and technical assistance will be provided to ensure that grantees can increase compliance with federal organizational standards. Goal 3: CSBG funds will be coordinated with governmental and other social services programs to assure effective delivery of services and to avoid duplication. Goal 4: Reports will be prepared documenting the use and outcomes of CSBG funds and will be submitted to the U.S. Department of Health and Human Services (HHS), the Governor of New York State, and the New York State Legislature annually as prescribed by federal and state statutes.

GUIDANCE: States should consider feedback from OCS, their eligible entities, and the ACSI survey completed by eligible entities when creating their state plan goals.

Instructional Note: For examples of “goals,” see State Accountability Measure 1Sa(i).

Note: This information is associated with State Accountability Measure 1Sa(i) and pre-populates the state’s Annual Report, Module 1, Item B.1.

3.3. State Plan Development: Indicate the information and input the state accessed to

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develop this State Plan.

3.3a. Analysis of state-level tools [Check all that applies and narrative where applicable]

X State Performance Indicators and/or National Performance Indicators (NPIs) X U.S. Census data X State performance management data (e.g., accountability measures, ACSI

survey information, and/or other information from annual reports) X Monitoring Visits/Assessments X Tools not identified above (specify) [Narrative, 500 characters]

Requests for training and technical assistance submitted by eligible entities as part of DOS contracting process, routine monitoring along with annual and comprehensive triennial assessments.

3.3b. Analysis of local-level tools [Check all that applies and narrative where applicable] X Eligible entity community needs assessments X Eligible entity community action plans X Public Hearings/Workshops Tools not identified above (e.g., state required reports) [specify] [Narrative,

500 characters]

3.3c. Consultation with [Check all that applies and narrative where applicable]

X Eligible entities (e.g., meetings, conferences, webinars; not including the public hearing)

X State Association X National Association for State Community Services Programs (NASCSP) X Community Action Partnership (The Partnership) X Community Action Program Legal Services (CAPLAW) CSBG Tribal Training and Technical Assistance (T/TA) provider X Regional Performance Innovation Consortium (RPIC) X Association for Nationally Certified ROMA Trainers (ANCRT) X Federal CSBG Office X Organizations not identified above (specify) [Narrative, 500 characters]

NYS CSBG Advisory Council

3.4. Eligible Entity Involvement

3.4a. Describe the specific steps the state took in developing the State Plan to involve the eligible entities. [Narrative, 3000 Characters]

On January 15, 2019, DOS discussed with the CSBG Advisory Council the State Plan and invited the Council’s input. DOS and NYSCAA convened five regional meetings from April 25 through June 25, 2019 to initiate discussion of the draft State Plan for FFYs 2020 and 2021. The meeting schedule was distributed in April 2019 to enable grantees to plan to attend in advance and to give time to review changes made to the 2020-21 State Plan

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for areas to comment upon. In the weeks leading up to the regional meetings, both DOS and NYSCAA sent reminders to all CSBG grantees. Executive Directors and staff from numerous Community Action Agencies (CAAs) attended the regional meetings. The feedback received during these regional meetings informed the development of the State Plan for FFYs 2020 and 2021. A draft plan was created based on this information and was circulated for review. The following is a list of activities for public comment and plan development: A draft of the plan was publicly noticed and a copy of the draft plan was posted on the public DOS website on May 21, 2019; a 30-day public comment period for written comment on the Plan was provided from May 21, 2019 through June 20, 2019; DOS conducted a meeting of the CSBG Advisory Council on March 26, 2019 to review the draft plan; and DOS hosted a public hearing for comment on the Plan on June 13, 2019. The draft plan was shared with NYSCAA, which encourages the network to comment on the plan. Finally, an email informing the entire CAA network providers about the draft plan was sent by DOS on May 21, 2019. By proactively soliciting comments on the draft plan as early as April 2019, and following the path outlined above, DOS was able to fully gather and carefully consider grantee input during the entirety of the Plan development process.

Note: This information is associated with State Accountability Measures 1Sa(ii) and may pre-populate the state’s annual report form.

3.4b. Performance Management Adjustment: Describe how the state has adjusted its State Plan development procedures under this State Plan, as compared to previous plans, to 1) encourage eligible entity participation and 2) ensure the State Plan reflects input from eligible entities? Any adjustment should be based on the state’s analysis of past performance in these areas, and should consider feedback from eligible entities, OCS, and other sources, such as the public hearing. If the state is not making any adjustments, provide further detail. [Narrative, 3000 Characters]

With ongoing efforts to improve performance in state plan development, DOS began the planning process for the 2020-21 CSBG State Plan in January 2019. In starting the planning process earlier, DOS was able to revise its approach to monitoring CSBG funded programs and services to enable analysts to be able to provide training and technical assistance in a more targeted approach. This model originated from feedback from our network of eligible entities during past public hearings and routine onsite monitoring visits. Comments and/or testimony received, from our network during the regional meetings, was overwhelmingly positive with many welcoming the change. The update in the monitoring model will allow DOS to provide individualized enhanced technical assistance and training to those agencies with greater need while continuing to engage those agencies who consistently and successfully achieve various milestones.

Note: This information is associated with State Accountability Measures 1Sb(i) and (ii) and pre-populate the Annual Report, Module 1, Item B.1.

3.5. Eligible Entity Overall Satisfaction: Provide the state’s target for eligible entity Overall Satisfaction during the performance period. Year One 75 Year Two 75

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Instructional Note: The state’s target score will indicate improvement or maintenance of the states’ Overall Satisfaction score from the most recent American Customer Survey Index (ACSI) survey of the state’s eligible entities.

Note: Item 3.5 is associated with State Accountability Measure 8S and may pre-populate the state’s annual report form.

GUIDANCE: The targets reported here should match the future target set in the Annual Report, Section B, Table B.2.

GUIDANCE: Review the ACSI IM about setting targets for your eligible entity overall satisfaction that are realistic, reasonable, attainable, and possible.

Section 4 11

Section 4 CSBG Hearing Requirements

4.1. Public Inspection: Describe the steps taken by the state to disseminate this State Plan to

the public for review and comments prior to the public hearing, as required under Section 676(e)(2) of the Act. [Narrative, 2500 Characters]

Pursuant to the requirements of § 676(e)(2) of the federal CSBG Act, the draft New York State CSBG State Plan and Application FFY 2020 and FFY 2021 was posted on the DOS official website at http://www.dos.ny.gov/dcs/documents.htm, with notice posted in the New York State Register on May 15, 2019. Eligible entities were informed of opportunities to provide comment through emails, monthly newsletters, NYSCAA Regional Meetings, and during on-site monitoring. In addition, DOS emailed the draft plan to eligible entities within the State of New York, to all current CSBG grantees, to NYSCAA, and to all members of the NYS CSBG Advisory Council. The draft state plan was also part of a special presentation for eligible entities at the NYSCAA conference held on June 5 and 6, 2019. To encourage more participation at the Public Hearing, the date of the public hearing in June was announced at the five regional meetings in held between April and June, as well as noted in the monthly DOS-DCS newsletters beginning in April 2019. The public, including the community action network, was afforded a period of 30 days (May 21, 2019 – June 20, 2019) to submit written comments.

GUIDANCE: Under this question, detail how the state provided the State Plan to the public, including providing sufficient time (ideally no fewer than 30 days) for the public to provide feedback prior to the public hearing. Distribution to the public should include distribution directly to the eligible entities (e.g. via email or publication on a public website with specific notification to the eligible entities) in the state as well as any other interested parties.

4.2. Public Notice/Hearing: Describe how the state ensured there was sufficient time and statewide distribution of notice of the public hearing(s) to allow the public to comment on the State Plan, as required under 676(a)(2)(B) of the CSBG Act. [Narrative, 2500 Characters]

In addition to discussing the State Plan with the NYS CSBG Advisory Council members, the draft State Plan was distributed prior to the official public and legislative hearing. DOS sent notice by email to all current CSBG grantees, NYS CSBG Advisory Council Members, and other stakeholders announcing the release of the draft State Plan and notice of the date, time and location of the public and legislative hearing. To encourage more participation at the Public Hearing, the date of the public hearing in June was announced at the five regional meetings held in April, May and June, as well as noted in the DOS-DCS newsletters beginning in April 2019. In addition, notice was provided at a statewide NYSCAA professional development conference held on June 5 & 6, 2019, which was attended by numerous eligible entities in the State of New York. At that time, a notice of the public hearing was also provided to NYSCAA and placed on the NYSCAA website. Notice was also posted on the DOS’s official website. A public hearing notice and public comment period was published in the New York State Register on May 15, 2019 soliciting written public comments from May 21, to June 20, 2019. On June 13,

Section 4 12

2019, a public hearing was held at the DOS offices in Albany, Buffalo, and New York City to review and solicit comments from the public regarding the draft 2020 and 2021 state plan.

4.3. Public and Legislative Hearings: In the table below, specify the date(s) and location(s) of the public and legislative hearing(s) held by the designated lead agency for this State Plan, as required under Section 676(a)(2)(B) and Section 676(a)(3) of the Act.

Instructional Note: A public hearing is required for each new submission of the State Plan. The date(s) for the public hearing(s) must have occurred in the year prior to the first federal fiscal year covered by this plan. Legislative hearings are held at least every three years, and must have occurred within the last three years prior to the first federal fiscal year covered by this plan.

Date Location Type of Hearing

[Select an option] If a Combined Hearing was held

confirm that the public was invited.

[June 6, 2018] State Street, Albany X Legislative

[June 13, 2019] 99 Washington Ave. Albany with

teleconference to 65 Court St.

Buffalo and 123 William St. NYC

X Public

ADD a ROW function Note: States will be able to add as needed for each additional hearing.

GUIDANCE: A combined hearing refers to having one joint public and legislative hearing.

4.4. Attach supporting documentation or a hyperlink for the public and legislative hearings. [Attach supporting documentation or provide a hyperlink(s), 500 characters]

See Attachment 3: Response to Section 4.4 Supporting Documentation for the Public Hearings 1. State Register a Notice of the Public Hearing is on page 77 of the May 15, 2019 edition. The Notice for Public Written Comment is on page 77 of the May 15, 2019 edition. https://docs.dos.ny.gov/info/register/2019/may15/misc.pdf (REGISTER NOTICE PUBLISHED 5/15/19) 2. Email communication with CSBG funded entities. 3. Public Hearing Reply Form http://www.dos.ny.gov/dcs/documents.htm A transcript of the hearing and written comments are available at DOS offices. Video of the hearing was posted for viewing on June 13, 2019: http://itsvideo2.cio.ny.gov/tcs/?id=f040b356-67f1-4ebc-a037-845681178f88

GUIDANCE: Supporting documentation may include, but is not limited to, agendas, sign-in sheets, transcripts, and notices/advertisements of the hearings. All attachments should include the question number, question heading, type of document and the date of the hearing/meeting (as applicable).

EXAMPLE: An agenda would be named: 4.4. Public and Legislative Hearings Agenda 062117

Section 5 13

Section 5 CSBG Eligible Entities

5.1. CSBG Eligible Entities: In the table below, indicate whether eligible entity in the state public or private, the type(s) of entity, and the geographical area served by the entity.

CSBG Eligible Entity

Geographical Area Served (by county)

[Provide all counties]

Public or Nonprofit

Type of Entity (choose all that apply)

[READ-ONLY]

See attached list.

[READ-ONLY]

[READ-ONLY]

• Community Action Agency

• Limited Purpose Agency

• Migrant or Seasonal Farmworker Organization

• Tribe or Tribal Organization

THE ADD-A-ROW FUNCTION WILL NOT BE AVAILABLE ON THIS TABLE. ANY ADDITIONS/DELETIONS TO THE ELIGIBLE ENTITY LIST SHOULD BE MADE WITHIN THE MASTER LIST.

Note: Table 5.1. pre-populates the Annual Report, Module 1, Table C.1.

GUIDANCE: Under Type of Entity, select more than one type by holding down the CTRL key while making selections.

Note: Whether nonprofit or public, entities that receive CSBG funds are generally considered to be Community Action Agencies for administering CSBG. The only specific exceptions outlined in the CSBG Act are Limited Purpose Agencies, Migrant and Seasonal Farmworker organizations, and Tribes and Tribal Organizations

Instructional Note: Limited Purpose Agency refers to an eligible entity that was designated as a limited purpose agency under Title II of the Economic Opportunity Act of 1964 for fiscal year 1981, that served the general purposes of a community action agency under Title II of the Economic Opportunity Act, that did not lose its designation as a limited purpose agency under Title II of the Economic Opportunity Act as a result of failure to comply with that Act and that has not lost its designation as an eligible entity under the CSBG Act.

Instructional Note: 90 percent funds are the funds a state provides to eligible entities to carry out the purposes of the CSBG Act, as described under Section 675C of the CSBG Act. A state must provide “no less than 90 percent” of their CSBG allocation, under Section 675B, to the eligible entities.

5.2. Total number of CSBG eligible entities: 47 [This will automatically update based on Table 5.1.]

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5.3. Changes to Eligible Entities List: Within the tables below, describe any changes that have occurred to the Eligible Entities within the state since the last federal fiscal Year (FFY), as applicable.

One or more of the following changes were made to the eligible entity list: [Check all that apply].

X Designation and/or Re-Designation (Sullivan) De-designations and/or Voluntary Relinquishments Mergers No Changes to Eligible Entities List

GUIDANCE: The following three questions will only need to be answered based on your response to 5.3.

5.3a. Designation and Re-Designation: Identify any new entities that have been designated as eligible entities, as defined under Section 676A of the Act, since the last federal fiscal year. Include any eligible entities designated to serve an area previously not served by CSBG as well as any entities designated to replace another eligible entity that was terminated (de-designated) or that voluntarily relinquished its status as a CSBG eligible entity.

CSBG Eligible Entity Type Start Date Geographical Area

Served

[Narrative, 150 characters] Ulster County

Community Action

Committee, Inc.

[Dropdown:

• Permanent Re-Designation

[Date Picker] 10/1/18

[Narrative, 550 characters] Ulster added existing Sullivan County

ADD-A-ROW FUNCTION. Note: States will be able to add a row as needed.

GUIDANCE: A designation refers to an entity that was not receiving funding in the previous federal fiscal year(s) and/or was not included in the previous CSBG State Plan. Re-designation refers to an entity that is already designated/receiving funds but is now receiving funds to serve an additional geographic area previously served by another entity. A permanent re-designation must be conducted consistent with procedures outlined in Section 676A of the CSBG Act. An interim re-designation may be noted when an entity has been identified to provide services after a voluntary relinquishment pending official designation of a permanent entity consistent with the requirements of Section 676A. See CSBG Act 676A, Designation and Re-designation…, for more information.

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5.3b. De-Designations and Voluntary Relinquishments: Identify any entities that are no longer receiving CSBG funding. Include any eligible entities have been terminated (de-designated) as defined under Section 676(c) and Section 676C of the Act, or voluntarily relinquished their CSBG eligible entity status since the last federal fiscal year.

CSBG Eligible Entity Reason

[Narrative, 150 characters] None

[Dropdown:

• Termination/De-designation

• Voluntary Relinquished]

ADD-A-ROW FUNCTION. Note: States will be able to add a row as needed.

5.3c. Mergers: In the table below, provide information about any mergers or other combinations of two or more eligible entities that were each listed in the prior year state plan.

Original CSBG Eligible Entities

Surviving CSBG Eligible Entity

New Name (as applicable)

DUNS No.

[Narrative, 500 characters] List and number all entities involved. None

[Narrative, 150 characters]

[Narrative, 150 characters]

[Narrative, 150 characters]

ADD-A-ROW FUNCTION. Note: States will be able to add a row as needed.

GUIDANCE: This question refers to the merger of two or more existing CSBG eligible entities only. If an organization that was not previously a CSBG eligible entity merges is the surviving organization in a merger with a CSBG eligible entity, the new entity should be listed under 5.3a. as a new designation, while the previously funded CSBG eligible entity should be included under 5.3b.

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Section 6 Organizational Standards for Eligible Entities

Note: Reference IM 138, State Establishment of Organizational Standards for CSBG Eligible Entities, for more information on Organizational Standards. Click HERE for IM 138.

6.1. Choice of Standards: Confirm whether the state will implement the CSBG Organizational Standards Center of Excellence (COE) organizational standards (as described in IM 138) or an alternative set during the federal fiscal year(s) of this planning period. [Select one]

X COE CSBG Organizational Standards Modified version of COE CSBG Organizational Standards Alternative set of organizational standards

Note: Item 6.1. pre-populates the Annual Report, Module 1, Item D.1.

6.1a. Modified Organizational Standards: In the case that the state is requesting to use modified COE-developed organizational standards, provide the proposed modification for the FFY of this planning period including the rationale. [Narrative, 2500 characters]

No modifications made.

6.1b. Alternative Organizational Standards: If using an alternative set of organizational standards, attach the complete list of alternative organizational standards. [Attachment (as applicable)]

6.1c. Alternative Organizational Standards: If using an alternative set of organizational standards: 1) provide any changes from the last set provided during the previous State Plan submission; 2) describe the reasons for using alternative standards; and 3) describe how they are at least as rigorous as the COE- developed standards.

There were no changes from the previous State Plan submission [Narrative, 2500 characters if not selected]

Provide reason for using alternative standards [Narrative, 2500 characters]

Describe rigor compared to COE-developed Standards [Narrative, 2500 characters]

6.2. Implementation: Check the box that best describes how the state officially adopted organizational standards for eligible entities in the state in a manner consistent with the state’s administrative procedures act. If “Other” is selected, provide a timeline and additional information, as necessary. [Check all that applies and narrative (as applicable)]

Regulation X Policy X Contracts with eligible entities

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Other, describe: [Narrative, 5000 characters]

6.3. Organizational Standards Assessment: Describe how the state will assess eligible entities against organizational standards this federal fiscal year(s). [Check all that apply]

Peer-to-peer review (with validation by the state or state-authorized third party) X Self-assessment (with validation by the state or state-authorized third party) Self-assessment/peer review with state risk analysis State-authorized third-party validation X Regular, on-site CSBG monitoring X Other: Triennial Assessments (TRACS)

6.3a. Assessment Process: Describe the planned assessment process. [Narrative, 5000 characters]

Per the DOS Monitoring Guide, DOS uses two processes to address this requirement. The first is an annual self-assessment and verification and the second is the more comprehensive on-site triennial assessment. For the annual assessment, NYS opted to use the process of a desk review of a self-assessment conducted by the grantee. For the purpose of creating a uniform process for the grantee self-assessment, DOS is requiring all eligible entities to use the Organizational Standard Self-Assessment Tool created by the Community Action Partnership. Documentation submitted to substantiate compliance will be desk reviewed by the assigned program analyst and fiscal representative. Areas of non-compliance will be identified, and training and technical assistance arranged as needed. For standards requiring a longer timeframe to address, a quality improvement plan will be created to monitor progress. The grantee self-assessment tool and supporting documentation must be submitted to DOS by January 31st of each year and the desk review will take the place during the 2nd quarter. Progress on compliance with unmet standards will be verified during on-site monitoring. The number of met standards as of September 30th will be noted and reported to HHS each year.

The Triennial Review for Accountability and Compliance with Standards (TRACS) was designed to comply with the requirement to conduct a full on-site review of each eligible entity at least once during each 3-year period as well as to assess compliance with the organizational standards. TRACS is based in part on the assessment tool created by the Community Action Partnership to assess compliance with the organizational standards which as noted above is used for the annual compliance review. The TRACS tool expands on the annual tool by adding indicators that demonstrate to the reviewers that the eligible entity has operationalized each standard. In most instances, the additional indicators expand on the organizational standard to review compliance with other State, federal or contractual requirements or higher-level functions deemed appropriate by the State. Upon receipt of comments from the grantee, a final report will be prepared and issued to the board of directors’ chair and the grantee’s CEO. The final report will include relevant information from the draft and will include comments received from the grantee.

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GUIDANCE: Descriptions should also include improvements to the process made since the previous year including any new processes to increase efficiency or consistency of assessments.

6.4. Eligible Entity Exemptions: Will the state make exceptions in applying the organizational standards for certain eligible entities due to special circumstances or organizational characteristics (as described in IM 138)? Yes X No

GUIDANCE: The following question will only need to be answered based on your response to 6.4.

6.4a. Provide the specific eligible entities the state will exempt from meeting organizational standards and provide a description and a justification for each exemption. Total Number of Exempt Entities: [Auto – calculated] 0

CSBG Eligible Entity

Exemption Provided

Description/Justification

[Narrative, 150 characters] None

[Select Yes or No] [If Yes is selected, provide a narrative, 2500 characters]

ADD a ROW function Note: Rows will be able to be added for each additional exception.

6.5. Performance Target: Provide the percentage of eligible entities that the state expects to meet all the state-adopted organizational standards for the FFY(s) of this planning period. [Insert a percentage] Year One 73% Year Two 73%

Note: Item 6.5. is associated with State Accountability Measures 6Sa and pre-populate the Annual Report, Module 1, Table D.2.

GUIDANCE: Prior to setting the target, states should review IM 138, review previous performance, and collaborate with the eligible entities and state association in identifying targets.

Section 7 19

SECTION 7 State Use of Funds

Eligible Entity Allocation (90 Percent Funds) [Section 675C(a) of the CSBG Act] 7.1. Formula: Select the method (formula) that best describes the current practice for

allocating CSBG funds to eligible entities. [Check one and narrative where applicable]

Historic X Base + Formula Formula Alone Formula with Variables Hold Harmless + Formula Other

7.1a. Formula Description: Describe the current practice for allocating CSBG funds to eligible entities. [Narrative, 5000 characters]

At the inception of the CSBG program, the State allocated CSBG funding to eligible entities throughout the State using the Base plus Formula methodology noted above. Due to the proportional share requirements, applicable to the distribution of funds to eligible entities, the percentage of the 90 percent funds provided to each eligible entity is mandated to be the same from year to year and has therefore remained a constant proportional allocation for each eligible entity based on its historic funding level. The funding formula has not changed since the inception of the CSBG program in the State.

7.1b. Statute: Does a state statutory or regulatory authority specify the formula for allocating “not less than 90 percent” funds among eligible entities? X Yes No

7.2. Planned Allocation: Specify the percentage of your CSBG planned allocation that will be funded to eligible entities and “not less than 90 percent funds” as described under Section 675C(a) of the CSBG Act. In the table, provide the planned allocation for each eligible entity receiving funds for the fiscal year(s) covered by this plan. Year One 90 % Year Two 90 %

Planned CSBG 90 Percent Funds – Year One

CSBG Eligible Entity Funding Amount $

Pre-populates from the CSBG Eligible Entity Master List See Attached List

Enter the dollar amount for each eligible entity for the first FFY covered by this plan

Total Auto-calculated

Planned CSBG 90 Percent Funds – Year Two

CSBG Eligible Entity Funding Amount $

Pre-populates from the CSBG Eligible Entity Master List See Attached List

Enter the dollar amount for each eligible entity for the second FFY covered by this plan

Total Auto-calculated

Note: This information pre-populates the state’s Annual Report, Module 1, Table E.2.

Section 7 20

7.3. Distribution Process: Describe the specific steps in the state’s process for distributing 90 percent funds to the eligible entities and include the number of days each step is expected to take; include information about state legislative approval or other types of administrative approval (such as approval by a board or commission). [Narrative, 5000 characters]

Contract development process - The State uses a multiyear contract as a mechanism to provide funding to each CSBG eligible entity (grantee). Prior to the beginning of each multiyear contract cycle, work plans, and budget forms are distributed to all grantees to begin development of the contract package (60 days). In June, the remaining documents comprising the contract package are sent to the grantees to complete. The full package of documents is due three weeks later (21 days). When contracts are received by the Department of State, they are distributed among the assigned CSBG program analysts and fiscal representatives for immediate review. NOTE: The immediate contract review can be delayed dependent upon the quality of the product received from the grantee.

The approval process - State Legislative approval for the distribution of CSBG funding to be received by the State during the upcoming federal fiscal year is generally granted by the passage of the State Budget in April. CSBG funding to eligible entities is distributed pursuant to contracts entered between DOS and each individual eligible entity. The contracting process requires approval from the DOS, the New York State Office of the Attorney General, and the New York State Office of the State Comptroller. The DOS Division of Community Services provides contract documents, including budgets and work plans, to all eligible entities for negotiation and accurate completion. Once a completed contract is received by the DOS, the contract package is reviewed for approval and processing by the Department’s Bureau of Fiscal Management (5-10 business days). Once approved by the DOS, the contract package is provided to the New York State Office of the Attorney General for approval (up to 30 business days), and the New York State Office of the State Comptroller for final approval (up to 30 business days).

The process for making funds available - Funding availability is based on the level of CSBG funding provided in the Federal Notice of Grant Award (NGA) to the State. Initial payments of CSBG funds are generally made available to eligible entities within one month of the October 1st contract start date or upon receipt of federal funding. Upon receipt of the NGA and completion of the contracting and approval process described in the State’s response above, CSBG funding is made available to eligible entities using an advance payment methodology, which provides four payments per year to each eligible entity in 25 percent increments. The first 25 percent payment is made upon final contract approval and the State’s receipt of Federal CSBG funding. Subsequent payments of 25 percent are processed throughout the contract year when the eligible entity has submitted financial reports documenting expenditures at specific minimum levels (20%, 45%, and 70%), along with program progress reports (PPR) and narratives showing measurable progress toward achieving contractually established service provision goals and other compliance requirements.

7.4. Distribution Timeframe: Does the state plan to make funds available to eligible entities no later than 30 calendar days after OCS distributes the federal award? X Yes No

Section 7 21

7.4a. Distribution Consistency: If no, describe state procedures to ensure funds are made available to eligible entities consistently and without interruption. [Narrative, 5000 Characters]

Note: Item 7.4 is associated with State Accountability Measure 2Sa and may pre-populate the state’s annual report form.

7.5. Performance Management Adjustment: Describe the state’s strategy for improving grant and/or contract administration procedures under this State Plan as compared to past plans. Any improvements should be based on analysis of past performance, and should consider feedback from eligible entities, OCS, and other sources, such as the public hearing. If the state is not making any improvements, provide further detail. [Narrative, 5000 Characters]

The State, as part of an ongoing LEAN process, continues to receive feedback from our network of eligible entities regarding improvements in the contracting process. As a result, for the FFY 2020 contracting cycle, the state presented both program and fiscal trainings for grantees on June 4, 2019. The trainings were designed to provide an in-depth review of the contract for eligible entities who had experienced staff-turnover.

The state also continues to investigate methods to further modernize the contracting process. In 2017, the state began using Microsoft SharePoint to internally review contract documents. In 2019, with the addition of Cisco WebEx, the eligible entity can join the state staff (both program and fiscal) in the review process directly for each contract. This new process allows the state and eligible entity to expedite the finalization of corrections and/or revisions as needed to move the contract forward.

The State continues to explore methods to make this a fully electronically integrated process, for both the eligible entity and the state.

It should be noted that payments are dependent upon the receipt and processing of a Notice of Grant Award from the federal government and that establishing the final budget for all new contracts requires receiving a final allocation from the federal government for the prior contract year. These variables, including the satisfaction of contractual requirements, can impact contract and grant administration timeframes.

Note: This information is associated with State Accountability Measure 2Sb and may pre-populate the state’s annual report form.

Administrative Funds [Section 675C(b)(2) of the CSBG Act]

7.6. Allocated Funds: Specify the percentage of your CSBG planned allocation for administrative activities for the FFY(s) covered by this State Plan.

Year One 5 % Year Two 5 % [Numeric response, specify %]

Note: This information pre-populates the state’s Annual Report, Module 1, Table E.4.

7.7. State Staff: Provide the number of state staff positions to be funded in whole or in part with CSBG funds for the FFY(s) covered by this State Plan.

Section 7 22

Year One 40 Year Two 40 [Numeric response, 0.00 – 99.99]

7.8. State FTEs: Provide the number of state Full Time Equivalents (FTEs) to be funded with CSBG funds for the FFY(s) covered by this State Plan?

Year One 22 Year Two 22 [Numeric response, 0.00 – 99.99]

Use of Remainder/Discretionary Funds [Section 675C(b) of the CSBG Act]

7.9. Remainder/Discretionary Funds Use: Does the state have remainder/discretionary funds, as described in Section 675C(b) of the CSBG Act? X Yes No

GUIDANCE: “No” should only be selected if the percentages provided under 7.2. and 7.6. equal to 100%.

If yes, provide the allocated percentage and describe the use of the remainder/discretionary funds in the table below. Year One 5% Year Two 5 %

Note: This response will link to the corresponding assurance, Item 14.2.

Instructional Note: The assurance under 676(b)(2) of the Act (Item 14.2 of this State Plan) specifically requires a description of how the state intends to use remainder/discretionary funds to “support innovative community and neighborhood-based initiatives related to the purposes of [the CSBG Act].” Include this description in Item 7.9f of the table below and/or attach the information.

If a funded activity fits under more than one category in the table, allocate the funds among the categories. For example, if the state provides funds under a contract with the State Community Action association to provide training and technical assistance to eligible entities and to create a statewide data system, the funds for that contract should be allocated appropriately between Items 7.9a. – 7.9c. If allocation is not possible, the state may allocate the funds to the main category with which the activity is associated.

Note: This information is associated with State Accountability Measures 3Sa and pre-populates the Annual Report, Module 1, Table E.7.

Use of Remainder/Discretionary Funds – Year One Remainder/Discretionary Fund

Uses (See 675C(b)(1) of the CSBG Act)

Planned $ Brief Description of Services and/or

Activities

7.9a. Training/technical assistance to eligible entities

NYSCAA $362,500 Angels $50,000 Special Needs: $50,000

Enter either a planned $ for each item listed for the first FFY that

this plan covers.

These planned services/activities will be described in State Plan Item 8.1 [Read Only]

Section 7 23

Use of Remainder/Discretionary Funds – Year One Remainder/Discretionary Fund

Uses (See 675C(b)(1) of the CSBG Act)

Planned $ Brief Description of Services and/or

Activities

7.9b. Coordination of State-operated programs and/or local programs

These planned services/activities will be described in State Plan Section 9, State Linkages and Communication [Read Only]

7.9c. Statewide coordination and communication among eligible entities

NYSCAA $37,500 (Regional Meetings, various communications)

These planned services/activities will be described in State Plan Section 9, State Linkages and Communication [Read Only]

7.9d. Analysis of distribution of CSBG funds to determine if targeting greatest need

[Narrative, 5000 characters]

7.9e. Asset-building programs Technology Grants $850,000

[Narrative, 5000 characters]

7.9f. Innovation programs/activities by eligible entities or other neighborhood groups

(total): $1,385,000

Projects to include Census, Office of New Americans, college preparation, re-entry/family reunification, financial security & faith-based community organization.

7.9g. State charity tax credits [Narrative, 5000 characters]

7.9h. Other activities [Specify under Column 4]

Tribes $320,000 DOS Training Conference $45,000

Specify the other activities funded through discretionary funds here. [Narrative, 5000 characters]

Totals Auto-calculated

Use of Remainder/Discretionary Funds – Year Two (as applicable) (Allocations same as year one)

Remainder/Discretionary Fund Uses (See 675C(b)(1) of the CSBG Act)

Planned $ Brief Description of Services and/or Activities

7.9a. Training/technical assistance to eligible entities

Enter either a planned $ or % for each item

listed for the first FFY that this plan covers.

These planned services/activities will be described in State Plan Item 8.1 [Read Only]

7.9b. Coordination of State-operated programs and/or local programs

These planned services/activities will be described in State Plan section 9, State Linkages and Communication [Read Only]

7.9c. Statewide coordination and communication among eligible entities

These planned services/activities will be described in State Plan section 9, State Linkages and Communication [Read Only]

7.9d. Analysis of distribution of CSBG funds to determine if targeting greatest need

[Narrative, 5000 characters]

7.9e. Asset-building programs [Narrative, 5000 characters]

7.9f. Innovation programs/activities by eligible entities or other neighborhood groups

Describe here. [Narrative, 5000 characters]

Section 7 24

Use of Remainder/Discretionary Funds – Year Two (as applicable) (Allocations same as year one)

Remainder/Discretionary Fund Uses (See 675C(b)(1) of the CSBG Act)

Planned $ Brief Description of Services and/or Activities

7.9g. State charity tax credits [Narrative, 5000 characters]

7.9h. Other activities [Specify under Column 4]

Specify the other activities funded through discretionary funds here. [Narrative, 2500 characters]

Totals Auto-calculated

GUIDANCE: If the percentages provided under 7.2. and 7.6. do not equal 100%, the remaining percentage should be reported under 7.9. If the state does not have any remainder/ discretionary fund activities (as listed in 7.9a. – 7.9g.), the remainder should be described in 7.9h.

7.10. Remainder/Discretionary Funds Partnerships: Select the types of organizations, if any, the state plans to work with (by grant or contract using remainder/discretionary funds) to carry out some or all of the activities in Table 7.9. [Check all that apply and narrative where applicable]

The state directly carries out all activities (No Partnerships) The state does not have remainder/discretionary funds The state partially carries out some activities X CSBG eligible entities (if checked, include the expected number of CSBG eligible

entities to receive funds) [Numeric response, 5] X Other community-based organizations X State Community Action association X Regional CSBG technical assistance provider(s) X National technical assistance provider(s) Individual consultant(s) X Tribes and Tribal Organizations X Other [Narrative, 2500 characters] Neighborhood and Faith-based community

organizations

Note: This response will link to the corresponding CSBG assurance in Item 14.2.

7.11. Performance Management Adjustment: Describe any adjustments the state will make to the use of remainder/discretionary funds under this State Plan as compared to past plans? Any adjustment should be based on the state’s analysis of past performance, and should consider feedback from eligible entities, OCS, and other sources, such as the public hearing. If the state is not making any adjustments, provide further detail. [Narrative, 5000 Characters]

Through the regional meetings, presentation at the NYSCAA annual conference, comments received, and testimony at the hearing, the state received significant feedback recommending funds continue to be awarded to NYSCAA for training and technical assistance and Wyoming County State-wide Angel Action Volunteer Training Program focusing on CSBG national

Section 7 25

performance standards and best practices. Technical assistance grants to NYSCAA and Wyoming County State-wide Angel Action Volunteer Training Program will continue in 2020 and 2021.

Based on the support from HHS/OCS IM 151 and the feedback processes noted above, DOS will expand the use of discretionary funds to assist eligible entities to address the organizational standards by making special assistance grants available to support improvements to data collection systems, provide support for legal costs associated with addressing the organizational standards and or assisting grantees pursuing shared services agreements or mergers, and provide assistance for grantees in need of critical expertise to mitigate risk or address compliance requirements. In the 2020 and 2021 plan, DOS reserves a special pool of funds for technical assistance “as needed” in the network of eligible entities.

In addition, the State will provide direct trainings and technical assistance specific to state contracting processes and requirements.

Discretionary funds will also be used to allow eligible entities to enhance agency infrastructure capacity in the delivery of services.

Note: This information is associated with State Accountability Measures 3Sb and may pre-populate the state’s annual report form.

Section 8 26

SECTION 8 State Training and Technical Assistance

8.1. Training and Technical Assistance Plan: Describe the state’s plan for delivering CSBG-funded training and technical assistance to eligible entities under this State Plan by completing the table below. Add a row for each activity: indicate the timeframe; whether it is training, technical assistance or both; and the topic. (CSBG funding used for this activity is referenced under item 7.9a., Use of Remainder/Discretionary Funds. States should also describe training and technical assistance activities performed directly by state staff, regardless of whether these activities are funded with remainder/discretionary funds.)

Note: This information is associated with State Accountability Measure 3Sc and pre-populates the Annual Report, Module 1, Table F.1.

GUIDANCE: Table 8.1. should only include the trainings that are being paid for using state discretionary training and technical assistance funds as noted under 7.9a.

Training and Technical Assistance – Year One

Planned Timeframe Training, Technical Assistance, or Both

Topic Brief Description

of “Other”

Dropdown Options:

• FY1 Q1

• FY1 Q2

• FY1 Q3

• FY1 Q4

• Ongoing/Multiple Quarters

• All quarters [Select one dropdown per row]

Toggle Options:

• Training

• Technical Assistance

• Both [Select one dropdown per row]

Dropdown Options:

• Fiscal

• Governance/Tripartite Boards

• Organizational Standards – General

• Organizational Standards – for eligible entities with unmet TAPs or QIPs

• Correcting Significant Deficiencies Among Eligible Entities

• Reporting

• ROMA

• Community Assessment

• Strategic Planning

• Monitoring

• Communication

• Technology

• Other

[Select one dropdown per row]

If other is selected in column 3, describe in this column [Narrative, 500 characters]

Volunteer

Coordination,

Shared services,

CAA Mentoring,

Risk Assessment

ADD A ROW function Note: Rows will be able to be added for each additional training

Section 8 27

Training and Technical Assistance – Year Two

Planned Timeframe Training, Technical Assistance, or Both

Topic Brief Description

of “Other”

Dropdown Options:

• FY2 Q1

• FY2 Q2

• FY2 Q3

• FY2 Q4

• Ongoing/Multiple Quarters

• All quarters [Select one dropdown per row]

Toggle Options:

• Training

• Technical Assistance

• Both [Select one dropdown per row]

Dropdown Options:

• Fiscal

• Governance/Tripartite Boards

• Organizational Standards – General

• Organizational Standards – for eligible entities with unmet TAPs or QIPs

• Correcting Significant Deficiencies Among Eligible Entities

• Reporting

• ROMA

• Community Assessment

• Strategic Planning

• Monitoring

• Communication

• Technology

• Other

[Select one dropdown per row]

If other is selected in column 3, describe in this column [Narrative, 500 characters]

Volunteer

Coordination,

Shared services,

CAA Mentoring,

Risk Assessment

ADD A ROW function Note: Rows will be able to be added for each additional training

8.1a. Training and Technical Assistance Budget: The planned budget for the training and technical assistance plan (as indicated in the Remainder/Discretionary Funds table in item 7.9):

Year One Year Two

[Prepopulated with the budget allocation for years one and two under 7.9a]

Previous State Plan: Year One $400,000, Year Two $325,000

8.1b. Training and Technical Assistance Collaboration: Describe how the state will collaborate with the State Association and other stakeholders in the planning and delivery of training and technical assistance. [Narrative, 2500 characters]

NYSCAA in partnership with the State will provide training and technical assistance focusing on CSBG national performance standards, evidenced-based outcomes and statewide best practices. The Wyoming County Statewide Angel Action Volunteer Training Program will focus on addressing CSBG national performance standards to build maximum feasible participation through volunteer recruitment and retention.

In addition, the State will provide direct trainings and technical assistance specific to state contracting processes and requirements.

Section 8 28

8.2. TAPs and QIPs: Does the state have Technical Assistance Plans (TAPs) and/or Quality Improvement Plans (QIPs) in place for all eligible entities with unmet organizational standards, if appropriate? [Select one] X Yes No

Note: 8.2 is associated with State Accountability Measure 6Sb. QIPs are described in Section 678C(a)(4) of the CSBG Act. If the state, according to their corrective action procedures, does not plan to put a QIP in place for an eligible entity with one or more unmet organizational standards, the state should put a TAP in place to support the entity in meeting the standard(s).

8.2a. Address Unmet Organizational Standards: Describe the state’s plan to provide T/TA to eligible entities to ensure they address unmet Organizational Standards. [Narrative, 2500 characters]

The State will have a QIP or TAP for each Eligible Entity with unmet organizational standards.

8.3. Training and Technical Assistance Organizations: Indicate the types of organizations through which the state plans to provide training and/or technical assistance as described in Item 8.1, and briefly describe their involvement. (Check all that apply.) [Check all that applies and narrative where applicable]

X CSBG eligible entities (if checked, provide the expected number of CSBG eligible entities to receive funds) [Numeric response, 47]

Other community-based organizations X State Community Action Association Regional CSBG technical assistance provider(s) X National technical assistance provider(s) Individual consultant(s) Tribes and Tribal Organizations Other [Narrative, 1000 characters]

8.4. Performance Management Adjustment: Describe adjustments the state made to the training and technical assistance plan under this State Plan as compared to past plans. Any adjustment should be based on the state’s analysis of past performance, and should consider feedback from eligible entities, OCS, and other sources, such as the public hearing. If the state is not making any adjustments, provide further detail. [Narrative, 2500 Characters]

In addition to opportunities to request training and technical assistance provided during regional meetings and routine monitoring visits, the state provides an opportunity for each eligible entity to self-identify individualized training and technical assistance requests as part of the annual contract renewal process. Eligible entities may request trainings and technical assistance that may be provided directly by the State or by other providers. These requests are incorporated into the eligible entity’s annual Individual Monitoring Plan (IMP) and are included in the FFY 2020 State Training and Technical Assistance Plan (T&TA Plan) submitted to HHS on October 1, 2019.

Section 8 29

The state will also make special assistance grants available to eligible entities to support improvements to data collection systems in order to comply with new Annual Reporting requirements, provide support for professional services and specialized consulting costs associated with addressing the organizational standards and or assisting eligible entities pursuing shared services agreements or mergers, and provide assistance for those in need of critical expertise to mitigate risk or address compliance requirements. In the 2020 and 2021 plan, the State will reserve a special pool of funds for technical assistance as needed for the network of eligible entities. Finally, in FFY 2020 and 2021, the State will continue to provide staff development during monthly meetings to ensure that all program staff within the Division of Community Services are proficient in CSBG requirements and able to offer and obtain technical assistance for their assigned grantees.

Note: This information is associated with State Accountability Measures 3Sd and may pre- populate the state’s annual report form.

Section 9 30

SECTION 9 State Linkages and Communication

Note: This section describes activities that the state may support with CSBG remainder/discretionary funds, described under Section 675C(b)(1) of the CSBG Act. The state may indicate planned use of remainder/discretionary funds for linkage/communication activities in Section 7, State Use of Funds, items 7.9(b) and (c).

9.1. State Linkages and Coordination at the State Level: Describe the linkages and coordination at the state level that the state intends to create or maintain to ensure increased access to CSBG services to low-income people and communities under this State Plan and avoid duplication of services (as required by the assurance under Section 676(b)(5)). Describe additional information as needed. [Check all that apply from the list below and provide a Narrative, 5000 Characters]

Note: This response will link to the corresponding CSBG assurance, Item 14.5. In addition, this information is associated with State Accountability Measure 7Sa and pre-populates the Annual Report, Module 1, Item G.1.

X State Low Income Home Energy Assistance Program (LIHEAP) office X State Weatherization office X State Temporary Assistance for Needy Families (TANF) office X State Head Start office X State public health office X State education department X State Workforce Innovation and Opportunity Act (WIOA) agency X State budget office X Supplemental Nutrition Assistance Program (SNAP) X State child welfare office X State housing office X Other: Office for New Americans

9.2. State Linkages and Coordination at the Local Level: Describe the linkages and coordination at the local level that the state intends to create or maintain with governmental and other social services, especially antipoverty programs, to assure the effective delivery of and coordination of CSBG services to low-income people and communities and avoid duplication of services (as required by assurances under Section 676(b)(5) – (6)). [Narrative, 5000 Characters]

DOS requires eligible entities to identify their State and local partners and the scope of their affiliations in the annual refunding package (funded by the 90% to eligible entities). The partnerships and their associated outcomes are included in the work plan with the corresponding program they enhance, augment, or expand. Partnerships are formed with other service providers, local governments, educational institutions, religious entities, and businesses. DOS uses State administrative funds for activities intended to achieve this purpose.

Note: This response will link to the corresponding CSBG assurances, Items 14.5 and 14.6, and pre-populates the Annual Report, Module 1, Item G.2.

Section 9 31

9.3. Eligible Entity Linkages and Coordination

9.3a. State Assurance of Eligible Entity Linkages and Coordination: Describe how the state will assure that eligible entities will coordinate and establish linkages to assure the effective delivery of and coordination of CSBG services to low-income people and communities and avoid duplication of services (as required by the assurance under Section 676(b)(5)). [Narrative, 5000 Characters]

Linkages are developed by eligible entities with local entities and institutions to enhance or expand services. DOS requires grantees to identify their partners and the scope of their affiliations in the annual refunding package. The partnerships and their associated outcomes are included in the work plan with the corresponding program. The services rendered by the partner are required to be documented in customer files. Referrals require follow up to document the actual outcomes achieved. Partnerships are formed with other service providers, local governments, educational institutions, religious entities, and businesses to name a few. Grantees are encouraged to establish formal MOUs with their partners and periodically meet to discuss the status of the partnership or renew/update the MOU.

Note: This response will link to the corresponding CSBG assurance, Item 14.5. and pre-populates the Annual Report, Module 1, Item G.3a.

9.3b. State Assurance of Eligible Entity Linkages to Fill Service Gaps: Describe how the eligible entities will develop linkages to fill identified gaps in the services, through the provision of information, referrals, case management, and follow-up consultations, according to the assurance under Section 676(b)(3)(B) of the CSBG Act. [Narrative, 5000 Characters]

The CSBG work plan requires grantees to identify partnerships associated with each program. The partnerships address a specific need and results to be achieved between the CAA and the partner entity. Many CAAs establish formal and informal agreements with organizations in their area to share information, coordinate referrals, and meet on a regular basis to organize local and countywide services.

Note: This response will link to the corresponding CSBG assurance, Item 14.3b. and pre-populates the Annual Report, Module 1, Item G.3b.

9.4. Workforce Innovation and Opportunity Act (WIOA) Employment and Training Activities: Does the state intend to include CSBG employment and training activities as part of a WIOA Combined State Plan, as allowed under the Workforce Innovation and Opportunity Act (as required by the assurance under Section 676(b)(5) of the CSBG Act)? X Yes No

Section 9 32

Note: This response will link to the corresponding CSBG assurance, Item 14.5.

9.4a. WIOA Combined Plan: If the state selected yes under Item 9.4, provide the CSBG-specific information included in the state’s WIOA Combined Plan. This information includes a description of how the state and the eligible entities will coordinate the provision of employment and training activities through statewide and local WIOA workforce development systems. This information may also include examples of innovative employment and training programs and activities conducted by community action agencies or other neighborhood-based organizations as part of a community antipoverty strategy. [Narrative, 5000 Characters]

The DOS Division of Community Services is working with the New York State Department of Labor (the lead agency in the development of the Unified Plan) as well as the other involved State agencies to assure maximum coordination of employment and training activities, and to foster collaboration and lasting linkages among State agencies and providers of such services, including the CSBG network.

9.4b. Employment and Training Activities: If the state selected no under Item 9.4, describe the coordination of employment and training activities, as defined in Section 3 of WIOA, by the state and by eligible entities providing activities through the WIOA system. [Narrative, 5000 Characters]

9.5. Emergency Energy Crisis Intervention: Describe how the State will assure, where appropriate, that emergency energy crisis intervention programs under title XXVI (relating to Low-Income Home Energy Assistance) are conducted in each community in the State, as required by the assurance under Section 676(b)(6) of the CSBG Act). [Narrative, 5000 Characters]

Within NYS, Division of Housing and Community Renewal coordinates & administers the weatherization program that addresses energy assistance to low income persons. DOS works with CSBG grantees which administer low income energy assistance and emergency service programs to ensure coordination of service delivery.

Note: This response will link to the corresponding CSBG assurance, Item 14.6.

9.6. Faith-based Organizations, Charitable Groups, Community Organizations: Describe how the state will assure local eligible entities will coordinate and form partnerships with other organizations, including faith-based organizations, charitable groups, and community organizations, according to the state’s assurance under Section 676(b)(9) of the CSBG Act. [Narrative, 5000 characters]

At the local level, eligible entities work in partnership with a variety of groups, organizations, and institutions. These groups are represented on the eligible entities’ boards of directors and often include members and officials of law enforcement, religious organizations, business and industry, neighborhood groups, and other service providers. The CSBG refunding contract, annual work plan, and reporting document outline the scope of these partnerships.

Over the next two years, the State will work to strengthen the relationship between faith-based

Section 9 33

community organizations and the state-wide networks of CAAs through collaboration with the NYS Governor’s Office of Faith-Based Community Development Services.

Note: this response will link to the corresponding assurance, Item 14.9

9.7. Coordination of Eligible Entity 90 Percent Funds with Public/Private Resources: Describe how the eligible entities will coordinate CSBG 90 percent funds with other public and private resources, according to the assurance under Section 676(b)(3)(C) of the CSBG Act. [Narrative, 5000 Characters]

At the local level, eligible entities work in partnership with a variety of groups, organizations, and institutions. These groups are represented on the eligible entities’ boards of directors and often include members and officials of law enforcement, religious organizations, business and industry, neighborhood groups, and other service providers. The CSBG refunding contract, annual work plan, and reporting documents outline the scope of these partnerships.

Note: This response will link to the corresponding assurance, Item 14.3c.

9.8. Coordination among Eligible Entities and State Community Action Association: Describe state activities for supporting coordination among the eligible entities and the State Community Action Association. [Narrative, 5000 Characters]

DOS funds NYSCAA to carry out this function. NYSCAA organizes conferences, round tables, surveys, webinars and other educational forums on matters of concern to eligible entities throughout the State. Representatives of the DOS and NYSCAA meet regularly to review areas of concerns, to assess and evaluate agency needs, and improve coordination among entities cross region.

Note: This information will pre-populate the Annual Report, Module 1, Item G.5.

9.9. Communication with Eligible Entities and the State Community Action Association: In the table below, detail how the state intends to communicate with eligible entities, the State Community Action Association, and other partners identified under this State Plan on the topics listed below.

For any topic that is not applicable, select Not Applicable under Expected Frequency.

Communication Plan

Subject Matter Expected Frequency Format Brief Description of

“Other”

Upcoming Public and/or Legislative Hearings

• Annually • Public Notice

• Newsletters

• Meeting/presentations

• Email

• website

State Plan Development • As needed • Meetings/Presentation

• Email

• newsletter

Organizational Standards Progress

• Semi-Annually • Meetings/Presentation

• newsletter

State Accountability Measures Annually • Meetings/Presentation

Section 9 34

Communication Plan

Subject Matter Expected Frequency Format Brief Description of

“Other”

Progress • newsletter– this is part of the State Plan

Community Needs Assessments/Community Action Plans

Annually • Contracting process (Community Action Plans)

State Monitoring Plans and Policies

Biennial • Website

• Newsletter

• email

Training and Technical Assistance (T/TA) Plans

Annual • Individual Monitoring Plan

ROMA and Performance Management

Annual • Other Annual & Triennial assessments

State Interagency Coordination As needed • Meeting /Presentations

CSBG Legislative/Programmatic Updates

As needed • Meetings/Presentations

• Newsletter

• Email

• public notice

• website

Tripartite Board Requirements As needed • Other Ongoing Monitoring

ADD A ROW function Note: Rows will be able to be added for each additional training

9.10. Feedback to Eligible Entities and State Community Action Association: Describe how the state will provide information to local entities and State Community Action Associations regarding performance on State Accountability Measures. [Narrative, 5000 Characters]

DOS utilizes newsletters, emails, training webinars, routine monitoring visits and various presentations to communicate with the CAAs. DOS will enhance communication methods to include the use of social media to expand outreach and provide timely updates.

Note: This information is associated with State Accountability Measure 5S(iii) and will pre-populate the Annual Report, Module 1, Item G.6.

GUIDANCE: Under this question, include how the state will provide information to local entities and state associations within 60 days of receiving feedback from OCS.

9.11. Performance Management Adjustment: Describe any adjustments the state made to the Communication Plan in this State Plan as compared to past plans. Any adjustment should be based on the state’s analysis of past performance, and should consider feedback from eligible entities, OCS, and other sources, such as the public hearing. If the state is not making any adjustments, provide further detail. [Narrative, 5000 Characters]

Based on feedback received during the regional meetings as well as comments to the newsletters, and interactions with the CSBG Advisory Council, the eligible entities are generally

Section 9 35

pleased with the State’s increased level of communication, particularly the newsletters and sharing future results of the ACSI survey during NYSCAA sponsored events and postings on social media.

Note: This information is associated with State Accountability Measures 7Sb; this response may pre-populate the state’s annual report form.

Section 10 36

SECTION 10 Monitoring, Corrective Action, and Fiscal Controls

Monitoring of Eligible Entities (Section 678B(a) of the CSBG Act)

10.1. Specify the proposed schedule for planned monitoring visits including: full on-site reviews; on- site reviews of newly designated entities; follow-up reviews – including return visits to entities that failed to meet state goals, standards, and requirements; and other reviews as appropriate.

This is an estimated schedule to assist states in planning. States may indicate “no review” for entities the state does not plan to monitor in the performance period.

Note: This information is associated with State Accountability Measure 4Sa(i); this response pre-populates the Annual Report, Module 1, Table H.1.

GUIDANCE: Monitoring that is specific to organizational standards should be referenced within Section 6, Item 6.3a.

Monitoring Schedule – Year One CSBG

Eligible Entity

Monitoring Type

Review Type Target

Quarter

Start Date of Last Full

Onsite Review

End Date of Last Full Onsite

Review

Brief Description of “Other”

Narrative, 150 characters

All NYS Eligible Entities

[Dropdown Options:

• Full On-Site

• Newly Designated

• Follow-up

• Other

• No Review]

[Dropdown Options:

• Onsite Review

• Desk Review]

[Dropdown Options:

• FY1 Q1

• FY1 Q2

• FY1 Q3

• FY1 Q4] (NOTE: Each quarter will receive either an onsite or desk review)

If “Other” is selected in Column 2, describe in this column [Narrative, 500 characters] All NYS Eligible Entities will receive a minimum of 2 – 4 (or more) on-site visits each year based on level of risk as determined by monitoring and assessment tools. Follow up monitoring

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Monitoring Schedule – Year One CSBG

Eligible Entity

Monitoring Type

Review Type Target

Quarter

Start Date of Last Full

Onsite Review

End Date of Last Full Onsite

Review

Brief Description of “Other”

will be provided at least quarterly.

Monitoring Schedule – Year Two (Same as year one)

CSBG Eligible Entity

Monitoring Type Review

Type Target

Quarter

Start Date of Last Full

Onsite Review

End Date of Last Full Onsite

Review

Brief Description of “Other”

This column will auto-populate from the CSBG Eligible Entity Master List

[Dropdown Options:

• Full On-Site

• Newly Designated

• Follow-up

• Other

• No Review]

[Dropdown Options:

• Onsite Review

• Desk Review]

[Dropdown Options:

• FY2 Q1

• FY2 Q2

• FY2 Q3

• FY2 Q4] Select a Date Select a Date

If “Other” is selected in Column 2, describe in this column [Narrative, 500 characters]

GUIDANCE: Comprehensive monitoring includes a review of program, administrative, fiscal and organizational standards.

If you are monitoring an entity as a follow up to an issue with another program this can be listed under “Other.”

When providing the date of your last full onsite review – this could be for any type of review that took place onsite. No dates for desk reviews should be provided here.

10.2. Monitoring Policies: Provide a copy of state monitoring policies and procedures by attaching and/or providing a hyperlink. [Attach a document or add a link]

See Attachment #: Response to Section 10.2 Program and Fiscal Monitoring Process Guideline for FFY 2020 and 2021 an updated monitoring guide

10.3. Initial Monitoring Reports: According to the state’s procedures, by how many calendar days must the state disseminate initial monitoring reports to local entities? [Insert a number from 1 – 100] 60

Note: This item is associated with State Accountability Measure 4Sa(ii) and may pre-populate the state’s annual report form.

Corrective Action, Termination and Reduction of Funding and Assurance Requirements (Section 678C of the Act)

10.4. Closing Findings: Are state procedures for addressing eligible entity

Section 10 38

findings/deficiencies, and the documenting closure of findings included in the state monitoring protocols attached above? X Yes No

10.4a. Closing Findings Procedures: If no, describe state procedures for addressing eligible entity findings/deficiencies, and the documenting closure of findings. [Narrative, 2500 characters]

10.5. Quality Improvement Plans (QIPs): Provide the number of eligible entities currently on QIPs, if applicable. [Numeric Response, 0 – 100] 0

Note: The QIP information is associated with State Accountability Measures 4Sc.

10.6. Reporting of QIPs: Describe the state’s process for reporting eligible entities on QIPs to the Office of Community Services within 30 calendar days of the state approving a QIP? [Narrative, 5000 characters]

DOS provides notice to its assigned OCS Program Specialist, within 30 days of issuing a QIP by attaching the QIP to the email containing the monthly agency of concern report.

Note: This item is associated with State Accountability Measure 4Sa(iii)).

10.7. Assurance on Funding Reduction or Termination: The state assure that “any eligible entity that received CSBG funding the previous fiscal year will not have its funding terminated or reduced below the proportional share of funding the entity received in the previous fiscal year unless, after providing notice and an opportunity for a hearing on the record, the state determines that cause exists for such termination or such reduction, subject to review by the Secretary as provided in Section 678C(b)” per Section 676(b)(8) of the CSBG Act. X Yes No

Note: This response will link with the corresponding assurance under item 14.8.

Policies on Eligible Entity Designation, De-designation, and Re-designation

10.8. Eligible Entity Designation: Do the state CSBG statute and/or regulations provide for the designation of new eligible entities? X Yes No

10.8a. New Designation Citation: If yes, provide the citation(s) of the law and/or regulation. [Narrative, 2500 Characters]

New York State Executive Law § 159-m.

10.8b. New Designation Procedures: If no, describe state procedures for the designation of new eligible entities and how the procedures were made available to eligible entities and the public. [Narrative, 5000 Characters]

10.9. Eligible Entity Termination: Do state CSBG statute and/or regulations provide for termination of eligible entities? X Yes No

10.9a. Termination Citation: If yes, provide the citation(s) of the law and/or regulation. [Narrative, 2500 characters]

New York State Executive Law § 159-l.

Section 10 39

10.9b. Termination Procedures: If no, describe state procedures for termination of new eligible entities and how the procedures were made available to eligible entities and the public. [Narrative, 5000 characters]

10.10. Eligible Entity Re-Designation: Do the state CSBG statute and/or regulations provide for re-designation of an existing eligible entity? X Yes No

10.10a. Re-Designation Citation: If yes, provide the citation(s) of the law and/or regulation. [Narrative, 2500 Characters]

New York State Executive Law § 159-m

10.10b. Re-Designation Procedures: If no, describe state procedures for re-designation of existing eligible entities and how the procedures were made available to eligible entities and the public. [Narrative, 5000 Characters]

GUIDANCE: Re-designation implies that an entity that is already designated/receiving funds is now performing the duties and receiving funds that were previously designated to another entity, in addition to the funding that they are already receiving. This is different from a merger as an entity is not absorbing another entity. This re-designation may be permanent (requires a formula redistribution) or temporary while the state has officially designated a new entity and has completed a formula redistribution. See CSBG Act 676A, Designation and Re-designation…, for more information.

Fiscal Controls and Audits and Cooperation Assurance

10.11. Fiscal Controls and Accounting: Describe how the state’s fiscal controls and accounting procedures will a) permit preparation of the SF-425 Federal fiscal reports (FFR) and b) permit the tracing of expenditures adequate to ensure funds have been used appropriately under the block grant, as required by Block Grant regulations applicable to CSBG at 45 CFR 96.30(a). [Narrative, 5000 Characters]

The New York State Guide to Financial Operations acts as a reference source for statewide accounting policies, procedures and rules of the Office of the State Comptroller (OSC). The NYS Statewide Financial System (SFS) segregates the CSBG expenditure accounts and cash fund from all other NYS accounts and funds. This enables the SF-425 Form preparer to isolate CSBG

Section 10 40

expenditures and respective drawdowns not only by the grant but also by award year. The financial system incorporates expenditure procedures that require Department of State supervisory approval as well as OSC approval. All expenditures are supported by an invoice or internal document and a procurement record when necessary. Expenditures at the sub-grantee level are monitored closely by DOS fiscal representatives and program analysts through desk and on-site reviews. This includes review of reported expenditures traced from the submitted financial report to the sub-grantee accounting records and supporting documents. These reviews are conducted under the guidance of and in accordance with applicable federal policies, OMB Circulars, and State procedures.

10.12. Single Audit Management Decisions: Describe state procedures for issuing management decisions for eligible entity single audits, as required by Block Grant regulations applicable to CSBG at 45 CFR 75.521. [Narrative, 5000 Characters]

Audit reports are reviewed for compliance with current OMB Circular/CFR guidance by DOS fiscal staff. Additional information regarding findings or expenditure reconciliation is obtained, if necessary, to complete the review. The review package is forwarded to a supervisor for final review. A management decision letter is then generated stating acceptance of the audit report with any finding requiring a corrective action or follow up review described as necessary. Management decisions are issued within six months of acceptance of the audit report.

Note: This information is associated with State Accountability Measure 4Sd.

10.13. Assurance on Federal Investigations: The state will “permit and cooperate with Federal investigations undertaken in accordance with Section 678D” of the CSBG Act, as required by the assurance under Section 676(b)(7) of the CSBG Act. X Yes No

Note: This response will link with the corresponding assurance, Item 14.7

10.14. Performance Management Adjustment: Describe any adjustments the state made to monitoring procedures in this State Plan as compared to past plans? Any adjustment should be based on the state’s analysis of past performance, and should consider feedback from eligible entities, OCS, and other sources, such as the public hearing. If the state is not making any adjustments, provide further detail. [Narrative, 2500 Characters]

DOS staff from across the state meet periodically for staff development and to improve communication and consistency among regional staff. In addition, a monitoring template is created by the supervisor each quarter to ensure every program analyst is covering the same topics. DOS staff will be available to assist grantees with resource development, promote grantee programs and events on DOS social media, and participate in grantee functions as appropriate. Based on feedback received during the regional meetings, eligible entities acknowledged the improvements in monitoring and responded that the frequency of monitoring (quarterly) as well as the content of monitoring reports is sufficient.

During the hearing and 30-day comment period DOS received comments on the draft plan regarding the manner in which the state conducts routine monitoring and addresses the federal requirements for annual compliance review for organizational standards and the

Section 10 41

comprehensive triennial assessment. Suggestions were made for electronic document submission and review and streamlining the overall monitoring process. In FFY 2019, DOS with input from CAAs, NYSCAA, and the advisory council, reviewed current monitoring protocols and federal requirements to be included in the FFY 2020-21 Monitoring Guide.

Note: This item is associated with State Accountability Measure 4Sb and may pre-populate the state’s annual report form.

Section 11 42

SECTION 11 Eligible Entity Tripartite Board

11.1. Tripartite Board Verification: Verify which of the following measures are taken to ensure that the state verifies CSBG Eligible Entities are meeting Tripartite Board requirements under Section 676B(a)(2) of the CSBG Act. [Check all that applies and narrative where applicable]

X Attend Board meetings X Organizational Standards Assessment X Monitoring X Review copies of Board meeting minutes X Track Board vacancies/composition Other [Narrative, 2500 characters]

11.2. Tripartite Board Updates: Provide how often the state requires eligible entities (which are not on TAPs or QIPs) to provide updates regarding their Tripartite Boards. This includes but is not limited to copies of meeting minutes, vacancy alerts, changes to bylaws, low-income member selection process, etc. [Select one and narrative where applicable]

X Annually Semiannually Quarterly Monthly X As It Occurs Other [Narrative, 2500 characters]

11.3. Tripartite Board Representation Assurance: Describe how the states will verify that eligible entities have policies and procedures by which individuals or organizations can petition for adequate representation on an eligible entity’s Tripartite Board as required by the assurance under Section 676(b)(10) of the CSBG Act. [Narrative, 2500 Characters]

DOS program analysts conduct an annual review of agency bylaws to assure this provision is included. In addition, program analysts conduct yearly board member documentation reviews to verify compliance. Analysts also receive board packets from their assigned entities which identify any changes in representation or petition for representation throughout the federal fiscal year.

Note: This response will link with the corresponding assurance, Item 14.10.

11.4. Tripartite Board Alternative Representation: Does the state permit public eligible entities to use, as an alternative to a Tripartite Board, “another mechanism specified by the state to assure decision-making and participation by low-income individuals in the development, planning, implementation, and evaluation of programs” as allowed under Section 676B(b)(2) of the CSBG Act? Yes X No

Section 11 43

11.4a. If yes, describe the mechanism used by public eligible entities as an alternative to a Tripartite Board. [Narrative, 2500 Characters]

Section 12 44

Section 12 Individual and Community Income Eligibility Requirements

12.1. Required Income Eligibility: Provide the income eligibility threshold for services in the

state. [Select one item below and numeric response where applicable.]

X 125% of the HHS poverty line X % of the HHS poverty line (fill in the threshold): % [Numeric response] Varies by eligible entity [Narrative, 5000 characters]

GUIDANCE: Under Varies by eligible entity, provide the threshold and the reason that it varies by entity.

12.1a. Describe any state policy and/or procedures for income eligibility, such as treatment of income and family/household composition. [Narrative, 5000 Characters]

Pursuant to the federal CSBG Act, the State requires that eligible entities incorporate the 125% of the Federal Poverty Line standard as a criterion of eligibility in their administration of the CSBG program. Through on-site monitoring and the provision of training and technical assistance, DOS works with eligible entities to ensure that the federal requirement regarding use of the poverty line as a criterion of eligibility is incorporated into intake procedures and program planning. DOS has provided additional guidance to eligible entities in the state through the creation and distribution of a written IM entitled Determining Income Eligibility for CSBG Funded Activities and Programs (August 11, 2011, revised July 1, 2016), and also incorporated CAPLAW’s guidance document entitled CSBG Q and A on Client Eligibility (online at: http://www.caplaw.org/resources/PublicationDocuments/CAPLAW_ClientEligibility_Sept2013.pdf) into training and technical assistance provided to eligible entities in regard to this topic. Generally, to be eligible for CSBG services in NYS, clients must be at or below 125% of the Federal poverty line as determined by the Federal Office of Management and Budget (OMB) based on the most recent Census data and as revised annually (or more frequently) by the US Department of Health and Human Services (HHS poverty guidelines). In addition, the New York City Division of Youth and Community Development (DYCD), the public eligible entity designated for the New York City service area, uses a community/neighborhood-based approach to client income eligibility, with the Federal poverty line serving as a criterion of eligibility as required pursuant to the CSBG Act. DYCD has devised this system and methodology for income eligibility around the qualification and designation of Neighborhood Development Areas (NDAs). DYCD distributes CSBG funds to neighborhood-based organizations within designated NDAs for the provision of anti-poverty services to individuals and families within those NDAs. DYCD qualifies an area as an NDA if either: (1) at least 30 percent of the area’s residents live in households with incomes at or below 125% of the poverty line; or (2) at least 30,000 residents in the area are at or below 125% of the poverty line. Through this methodology for CSBG-funded service delivery, DYCD uses the poverty line as a criterion

Section 12 45

of eligibility in the community services block grant program, as required by 42 USC § 9902[2].

12.2. Income Eligibility for General/Short Term Services: Describe how the state ensures eligible entities generally verify income eligibility for those services with limited in-take procedures (where individual income verification is not possible or practical). An example of these services is emergency food assistance. [Narrative, 5000 Characters]

Where income verification is not possible or practical, the State ensures that eligible entities generally verify income eligibility by documentation of the nature of the service being provided, the census data relating to the area in which the service is being offered, and the population being targeted by the service offered. One such example is service provided on a group, rather than individual basis where circumstances indicate that those benefiting are likely to meet the CSBG income eligibility requirements. For example, a job skills class at a homeless shelter and a parents’ group for Head Start families.

Another circumstance would be a soup kitchen or food pantry in an economically depressed area. Services are provided on an individual basis, but circumstances render income eligibility verification impossible or impracticable. And finally, another example would be services obtained during a storm or natural disaster or other like event. In that situation, income verification is an impediment to provision of needed relief efforts and can impede a timely response.

12.3. Community-targeted Services: Describe how the state ensures eligible entities’ services target and benefit low-income communities for those services that provide a community-wide benefit (e.g., development of community assets/facilities, building partnerships with other organizations). [Narrative, 5000 Characters]

For community-targeted services that are intended to increase community awareness of poverty, or involvement in poverty issues and anti-poverty community partnerships, eligible entities are not expected to verify income eligibility, as doing so would limit participation and dissuade broad participation. In such circumstances, the State monitors to ensure that eligible entities activities target and benefit low-income communities by maintaining documentation demonstrating that the nature of the activity was in accord with the purposes of the CSBG Act. Examples of such activities include an eligible entity community forum on parole re-entry in a high poverty zip code; convening a meeting of human service organizations to discuss expansion and access to anti-poverty services; and, holding an open house for community members to discuss program services.

Section 13 46

SECTION 13 Results Oriented Management and Accountability (ROMA) System

13.1. Performance Measurement System: Identify the performance measurement system

that the state and all eligible entities use, as required by Section 678E(a) of the CSBG Act and the assurance under Section 676(b)(12) of the CSBG Act. [Select one]

Note: This response will also link to the corresponding assurance, Item 14.12. and will pre-populate the Annual Report, Module 1, Item I.1.

X The Results Oriented Management and Accountability (ROMA) System Another performance management system that meets the requirements of Section

678E(b) of the CSBG Act An alternative system for measuring performance and results

13.1a. ROMA Description: If ROMA was chosen in Item 13.1, describe the state’s written policies, procedures, or guidance documents on ROMA. [Narrative, 5000 characters]

See Attachment 6: Response to Section 13.1 Excerpt from Attachment D, page 6 of 7, of the State CSBG Contract with Eligible Entities (requiring the use of ROMA by all grantees). In addition to contractually requiring the use of ROMA by all eligible entities within the State, DOS funds ROMA training by NYSCAA for CSBG grantees and uses the DOS website to describe ROMA and links users to the guidance documents made available online by the National Association for State Community Services Programs (see http://www.nascsp.org/CSBG/594/ROMA.aspx?iHt=13).

13.1b. Alternative System Description: If an alternative system was chosen in Item 13.1, describe the system the state will use for performance measurement. [Narrative, 5000 characters]

13.2. Outcome Measures: Indicate and describe the outcome measures the state will use to measure eligible entity performance in promoting self-sufficiency, family stability, and community revitalization, as required under Section 676(b)(12) of the CSBG Act. [Select one and Narrative, 5000 characters]

Note: This response will also link to the corresponding assurance, Item 14.12.

X CSBG National Performance Indicators (NPIs) NPIs and others Others

13.3. Eligible Entity Support: Describe how the state supports the eligible entities in using ROMA or an alternative performance management system. [Narrative, 5000 characters]

Two DOS program analysts as well as members of NYSCAA are certified ROMA. One program analyst is a certified ROMA implementer. DOS and NYSCAA provide training and technical assistance to eligible entities. DOS reviews eligible entity compliance with the ROMA system. DOS is supportive of the new ROMA Implementer training, encouraging every eligible entity to

Section 13 47

have a certified implementer on staff. NYSCAA, in partnership with DOS, has developed the ROMA Alliance which facilitates and supports a network of ROMA Trainers and Implementers within the NYS network.

Note: The activities described under Item 13.3 may include activities listed in “Section 8: Training and Technical Assistance.” If so, mention briefly, and/or cross-reference as needed. This response will also link to the corresponding assurance, Item 14.12.

13.4. Eligible Entity Use of Data: Describe how the state plans to validate that the eligible entities are using data to improve service delivery. [Narrative, 5000 characters]

As part of the NYS triennial assessment process, program analysts verify that qualitative and quantitative data are collected and measured against performance to improve service delivery. In addition, the DOS annual compliance review of the national organizational standards required by HHS includes a review of progress or improvement in service delivery at eligible entities based on data collected and reported to eligible entities’ management staff, governing boards, and the State.

Note: This response will also link to the corresponding assurance, Item 14.12.

Community Action Plans and Needs Assessments

13.5. Community Action Plan: Describe how the state will secure a Community Action Plan from each eligible entity, as a condition of receipt of CSBG funding by each entity, as required by Section 676(b)(11) of the CSBG Act. [Narrative, 5000 characters]

The Community Action Plan, which is an aggregate document consisting of the eligible entity’s CSBG work plan, summary of priorities contained in the community needs assessment, and summary of goals and objectives from the entity’s strategic plan, is submitted to the State annually by each eligible entity as part of the contract refunding package.

Note: This response will link to the corresponding assurance, Item 14.11.

13.6. Community Needs Assessment: Describe how the state will assure that each eligible entity includes a community needs assessment for the community served (which may be coordinated with community needs assessments conducted by other programs) in each entity’s Community Action Plan, as required by Section 676(b)(11) of the CSBG Act. [Narrative, 5000 characters]

Eligible entities are contractually required to conduct a needs assessment every three years. The methodology and priorities are included in the annual refunding package.

Note: This response will link to the corresponding assurance, Item 14.11.

Section 14 48

SECTION 14 CSBG Programmatic Assurances and Information Narrative

(Section 676(b) of the CSBG Act)

14.1. Use of Funds Supporting Local Activities

CSBG Services

14.1a. 676(b)(1)(A) Describe how the state will assure “that funds made available through grant or allotment will be used –

(A) to support activities that are designed to assist low-income families and individuals, including families and individuals receiving assistance under title IV of the Social Security Act, homeless families and individuals, migrant or seasonal farmworkers, and elderly low-income individuals and families, and a description of how such activities will enable the families and individuals--

(i) to remove obstacles and solve problems that block the achievement of self- sufficiency (particularly for families and individuals who are attempting to transition off a State program carried out under part A of title IV of the Social Security Act);

(ii) to secure and retain meaningful employment;

(iii) to attain an adequate education with specific attention toward improving literacy skills of the low-income families in the community, which may include family literacy initiatives;

(iv) to make better use of available income;

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

(vi) to obtain emergency assistance through loans, grants, or other means to meet immediate and urgent individual and family needs;

(vii) to achieve greater participation in the affairs of the communities involved, including the development of public and private grassroots partnerships with local law enforcement agencies, local housing authorities, private foundations, and other public and private partners to –

(I) document best practices based on successful grassroots intervention in urban areas, to develop methodologies for widespread replication; and

(II) strengthen and improve relationships with local law enforcement agencies, which may include participation in activities such as neighborhood or community policing efforts;

[Narrative, 5000 characters]

Section 14 49

See Attachment 7: Response to Section 14.1 a. Activities Targeting Seven Programmatic Purposes

Needs of Youth

14.1b. 676(b)(1)(B) Describe how the state will assure “that funds made available through grant or allotment will be used –

(B) to address the needs of youth in low-income communities through youth development programs that support the primary role of the family, give priority to the prevention of youth problems and crime, and promote increased community coordination and collaboration in meeting the needs of youth, and support development and expansion of innovative community-based youth development programs that have demonstrated success in preventing or reducing youth crime, such as--

(i) programs for the establishment of violence-free zones that would involve youth development and intervention models (such as models involving youth mediation, youth mentoring, life skills training, job creation, and entrepreneurship programs); and

(ii) after-school child care programs;

[Narrative, 5000 characters]

The DOS/DCS and the CSBG network are committed to addressing the needs of youth in low-income communities. To that end, the Division of Community Services contracts with a number of eligible entities each year to provide services to youth in low-income communities. Such services include summer jobs programs, youth recreation activities, school dropout prevention and homework assistance. In addition, eligible entities also provide such services as work skills employment training, education counseling, Head Start, day care, and ESOL/ESL instruction. Eligible entities are monitored by DOS for achievements in the area of Youth services.

Coordination of Other Programs

14.1c. 676(b)(1)(C) Describe how the state will assure “that funds made available through grant or allotment will be used –

(C) to make more effective use of, and to coordinate with, other programs related to the purposes of this subtitle (including State welfare reform efforts)

[Narrative, 5000 characters]

New York State eligible entities work with a number of local and statewide organizations in pursuit of expanding and enhancing services to the low-income population. This could include organizations such as food banks, faith-based entities, and local governments, to name a few. The New York State CSBG work plan includes a section on Partnerships. Grantees must identify the name of the organization, describe their involvement, and list the intended outcome for each partnership. DOS verifies that these partnerships are

Section 14 50

carried out through the routine monitoring of grantees and through the negotiation of contract work plans.

State Use of Discretionary Funds

14.2. 676(b)(2) Describe “how the State intends to use discretionary funds made available from the remainder of the grant or allotment described in section 675C(b) in accordance with this subtitle, including a description of how the State will support innovative community and neighborhood-based initiatives related to the purposes of this subtitle.”

Note: The State describes this assurance under “State Use of Funds: Remainder/Discretionary,” items 7.9 and 7.10

[No response; links to items 7.9 and 7.10.]

Eligible Entity Service Delivery, Coordination, and Innovation

14.3. 676(b)(3) “Based on information provided by eligible entities in the State, a description of…”

Eligible Entity Service Delivery System

14.3a. 676(b)(3)(A) Describe “the service delivery system, for services provided or coordinated with funds made available through grants made under 675C(a), targeted to low-income individuals and families in communities within the State;”

[Narrative, 5000 characters]

All areas of the State are presently served by the CSBG network. The 47 eligible entities within the State of New York serve all 62 counties. The specific geographic areas served by each eligible entity are defined by each agency’s Certificate of Incorporation and the terms of its CSBG designation.

Eligible Entity Linkages – Approach to Filling Service Gaps

14.3b. 676(b)(3)(B) Describe “how linkages will be developed to fill identified gaps in the services, through the provision of information, referrals, case management, and follow up consultations.”

Note: The state describes this assurance in the State Linkages and Communication section, item 9.3b.

[No response; links to 9.3b.]

Coordination of Eligible Entity Allocation 90 Percent Funds with Public/Private Resources

14.3c. 676(b)(3)(C) Describe how funds made available through grants made under 675C(a)will be coordinated with other public and private resources.”

Note: The state describes this assurance in the State Linkages and

Section 14 51

Communication section, item 9.7.

[No response; links to 9.7]

Eligible Entity Innovative Community and Neighborhood Initiatives, Including Fatherhood/Parental Responsibility

14.3d. 676(b)(3)(D) Describe “how the local entity will use the funds [made available under 675C(a)] to support innovative community and neighborhood-based initiatives related to the purposes of this subtitle, which may include fatherhood initiatives and other initiatives with the goal of strengthening families and encouraging parenting.”

Note: The description above is about eligible entity use of 90 percent funds to support these initiatives. States may also support these types of activities at the local level using state remainder/discretionary funds, allowable under Section 675C(b)(1)(F). In this State Plan, the state indicates funds allocated for these activities under item 7.9(f).

[Narrative, 5000 characters]

At the suggestion of eligible entities during the regional meetings, new pages were added to the CSBG annual work plan to allow CAAs to identify Innovative Community and Neighborhood Initiatives they either currently provide or are planning to provide. The work plan development process for eligible entities allows the opportunity to initiate new pilot programs with a portion of their CSBG funds. Once other resources are identified, and the pilots no longer require CSBG support, new pilots can be initiated.

Eligible Entity Emergency Food and Nutrition Services

14.4. 676(b)(4) Describe how the state will assure “that eligible entities in the State will provide, on an emergency basis, for the provision of such supplies and services, nutritious foods, and related services, as may be necessary to counteract conditions of starvation and malnutrition among low-income individuals.”

[Narrative, 5000 characters]

CSBG eligible entities operate food pantries and soup kitchens across the State and have increased availability and hours of operation to meet expanding needs. Nearly all eligible entities operate nutrition or nutrition-related programs using CSBG funding along with, or in concert with, other public and private resources.

State and Eligible Entity Coordination/linkages and Workforce Innovation and Opportunity Act Employment and Training Activities

14.5. 676(b)(5) Describe how the state will assure “that the State and eligible entities in

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the State will coordinate, and establish linkages between, governmental and other social services programs to assure the effective delivery of such services, and [describe] how the State and the eligible entities will coordinate the provision of employment and training activities, as defined in section 3 of the Workforce Innovation and Opportunity Act, in the State and in communities with entities providing activities through statewide and local workforce development systems under such Act.”

Note: The state describes this assurance in the State Linkages and Communication section, items 9.1, 9.2, 9.3a, 9.4, 9.4a, and 9.4b.

[No response; links to items 9.1, 9.2, 9.3a, 9.4, 9.4a, and 9.4b]

State Coordination/Linkages and Low-income Home Energy Assistance

14.6. 676(b)(6) Provide “an assurance that the State will ensure coordination between antipoverty programs in each community in the State, and ensure, where appropriate, that emergency energy crisis intervention programs under title XXVI (relating to low- income home energy assistance) are conducted in such community.”

Note: The state describes this assurance in the State Linkages and Communication section, items 9.2 and 9.5.

[No response; links to 9.2 and 9.5]

Federal Investigations

14.7. 676(b)(7) Provide “an assurance that the State will permit and cooperate with Federal investigations undertaken in accordance with section 678D.”

Note: The state addresses this assurance in the Fiscal Controls and Monitoring section, item 10.13.

[No response; links to 10.13]

Funding Reduction or Termination

14.8. 676(b)(8) Provide “an assurance that any eligible entity in the State that received funding in the previous fiscal year through a community services block grant made under this subtitle will not have its funding terminated under this subtitle, or reduced below the proportional share of funding the entity received in the previous fiscal year unless, after providing notice and an opportunity for a hearing on the record, the State determines that cause exists for such termination or such reduction, subject to review by the Secretary as provided in section 678C(b).”

Note: The state addresses this assurance in the Fiscal Controls and Monitoring section, item 10.7.

[No response; links to 10.7]

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Coordination with Faith-based Organizations, Charitable Groups, Community Organizations

14.9. 676(b)(9) Describe how the state will assure “that the State and eligible entities in the State will, to the maximum extent possible, coordinate programs with and form partnerships with other organizations serving low-income residents of the communities and members of the groups served by the State, including religious organizations, charitable groups, and community organizations.”

Note: The state describes this assurance in the State Linkages and Communication, item 9.6.

[No response; links to 9.6]

Eligible Entity Tripartite Board Representation

14.10. 676(b)(10) Describe how “the State will require each eligible entity in the State to establish procedures under which a low-income individual, community organization, or religious organization, or representative of low-income individuals that considers its organization, or low-income individuals, to be inadequately represented on the board (or other mechanism) of the eligible entity to petition for adequate representation.”

Note: The state describes this assurance under Eligible Entity Tripartite Boards, item 11.3

[No response; links to item 11.3]

Eligible Entity Community Action Plans and Community Needs Assessments

14.11. 676(b)(11) Provide “an assurance that the State will secure from each eligible entity in the State, as a condition to receipt of funding by the entity through a community services block grant made under this subtitle for a program, a community action plan (which shall be submitted to the Secretary, at the request of the Secretary, with the State plan) that includes a community-needs assessment for the community served, which may be coordinated with community-needs assessments conducted for other programs.”

[No response; links to items 13.5 and 13.6]

State and Eligible Entity Performance Measurement: ROMA or Alternate system

14.12. 676(b)(12) Provide “an assurance that the State and all eligible entities in the State will, not later than fiscal year 2001, participate in the Results Oriented Management and Accountability System, another performance measure system for which the Secretary facilitated development pursuant to section 678E(b), or an alternative system for measuring performance and results that meets the requirements of that section, and [describe] outcome measures to be used to measure eligible entity performance in

Section 14 54

promoting self-sufficiency, family stability, and community revitalization.”

Note: The state describes this assurance in the ROMA section, items 13.1, 13.2, 13.3, and 13.4.

[No response; links to 13.1, 13.2, 13.3, and 13.4]

Validation for CSBG Eligible Entity Programmatic Narrative Sections

14.13. 676(b)(13) Provide “information describing how the State will carry out the assurances described in this section.”

Note: The state provides information for each of the assurances directly in section 14 or in corresponding items throughout the State Plan, which are included as hyperlinks in section 14.

[No response for this item]

X By checking this box, the state CSBG authorized official is certifying the assurances set out above.

Section 15 55

SECTION 15 Federal Certifications

The box after each certification must be checked by the State CSBG authorized official.

15.1. Lobbying

Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

The undersigned states, to the best of his or her knowledge and belief, that:

If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress regarding this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

X By checking this box, the state CSBG authorized official is providing the certification set out above.

Section 15 56

15.2. Drug-Free Workplace Requirements

This certification is required by the regulations implementing the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F. Sections 76.630(c) and (d)(2) and 76.645 (a)(1) and (b) provide that a Federal agency may designate a central receipt point for STATE-WIDE AND STATE AGENCY-WIDE certifications, and for notification of criminal drug convictions. For the Department of Health and Human Services, the central point is: Division of Grants Management and Oversight, Office of Management and Acquisition, Department of Health and Human Services, Room 517-D, 200 Independence Avenue, SW Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements (Instructions for Certification)

(1) By signing and/or submitting this application or grant agreement, the grantee is providing the certification set out below.

(2) The certification set out below is a material representation of fact upon which reliance is placed when the agency awards the grant. If it is later determined that the grantee knowingly rendered a false certification, or otherwise violates the requirements of the Drug-Free Workplace Act, the agency, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug-Free Workplace Act.

(3) For grantees other than individuals, Alternate I applies.

(4) For grantees who are individuals, Alternate II applies.

(5) Workplaces under grants, for grantees other than individuals, need to be identified on the certification. If known, they may be identified in the grant application. If the grantee does not identify the workplaces at the time of application, or upon award, if there is no application, the grantee must keep the identity of the workplace(s) on file in its office and make the information available for Federal inspection. Failure to identify all known workplaces constitutes a violation of the grantee’s drug-free workplace requirements.

(6) Workplace identifications must include the actual address of buildings (or parts of buildings) or other sites where work under the grant takes place. Categorical descriptions may be used (e.g., all vehicles of a mass transit authority or State highway department while in operation, State employees in each local unemployment office, performers in concert halls or radio studios).

(7) If the workplace identified to the agency changes during the performance of the grant, the grantee shall inform the agency of the change(s), if it previously identified the workplaces in question (see paragraph five).

(8) Definitions of terms in the Nonprocurement Suspension and Debarment common rule and Drug-Free Workplace common rule apply to this certification. Grantees’ attention is called specifically to the following definitions from these rules:

Controlled substance means a controlled substance in Schedules I through V of the Controlled Substances Act (21 U.S.C. 812) and as further defined by regulation (21 CFR 1308.11 through 1308.15);

Conviction means a finding of guilt (including a plea of nolo contendere) or imposition of

Section 15 57

sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes;

Criminal drug statute means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, use, or possession of any controlled substance;

Employee means the employee of a grantee directly engaged in the performance of work under a grant, including: (i) All direct charge employees; (ii) All indirect charge employees unless their impact or involvement is insignificant to the performance of the grant; and, (iii) Temporary personnel and consultants who are directly engaged in the performance of work under the grant and who are on the grantee’s payroll. This definition does not include workers not on the payroll of the grantee (e.g., volunteers, even if used to meet a matching requirement; consultants or independent contractors not on the grantee’s payroll; or employees of subrecipients or subcontractors in covered workplaces).

Certification Regarding Drug-Free Workplace Requirements

Alternate I. (Grantees Other Than Individuals)

The grantee certifies that it will or will continue to provide a drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee’s workplace and specifying the actions that will be taken against employees for violation of such prohibition;

(b) Establishing an ongoing drug-free awareness program to inform employees about - - (1) The dangers of drug abuse in the workplace; (2) The grantee’s policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring

in the workplace;

(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a);

(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will - - (1) Abide by the terms of the statement; and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug

statute occurring in the workplace no later than five calendar days after such conviction;

(e) Notifying the agency in writing, within 10 calendar days after receiving notice under paragraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant;

Section 15 58

(f) Taking one of the following actions, within 30 calendar days of receiving notice under paragraph (d)(2), with respect to any employee who is so convicted - - (1) Taking appropriate personnel action against such an employee, up to and including

termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f).

The grantee may insert in the space provided below the site(s) for the performance of work done regarding the specific grant:

Place of Performance (Street address, city, county, state, zip code) [Narrative, 2500 characters]

Check if there are workplaces on file that are not identified here. Alternate II. (Grantees Who Are Individuals)

(a) The grantee certifies that, as a condition of the grant, he or she will not engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in conducting any activity with the grant;

(b) If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any grant activity, he or she will report the conviction, in writing, within 10 calendar days of the conviction, to every grant officer or other designee, unless the Federal agency designates a central point for the receipt of such notices. When notice is made to such a central point, it shall include the identification number(s) of each affected grant.

[55 FR 21690, 21702, May 25, 1990]

X By checking this box, the state CSBG authorized official is providing the certification set out above.

Section 15 59

15.3. Debarment

CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS

Certification Regarding Debarment, Suspension, and Other Responsibility Matters - - Primary Covered Transactions

Instructions for Certification

(1) By signing and submitting this proposal, the prospective primary participant is providing the certification set out below.

(2) The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered relating to the department or agency’s determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such person from participation in this transaction.

(3) The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default.

(4) The prospective primary participant shall provide immediate written notice to the department or agency to which this proposal is submitted if at any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous due to changed circumstances.

(5) The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meanings set out in the Definitions and Coverage sections of the rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is being submitted for assistance in obtaining a copy of those regulations.

(6) The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction.

(7) The prospective primary participant further agrees by submitting this proposal that it will include the clause titled “Certification Regarding Debarment, Suspension, Ineligibility and

Section 15 60

Voluntary Exclusive-Lower Tier Covered Transaction,” provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

(8) A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Nonprocurement Programs.

(9) Nothing contained in the foregoing shall be construed to require establishment of a system of records to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

(10) Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default.

************

Certification Regarding Debarment, Suspension, and Other Responsibility Matters - -

Primary Covered Transactions

(1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals:

(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency;

(b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and

(d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default.

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(2) Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - - Lower Tier Covered Transactions

Instructions for Certification

(1) By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below.

(2) The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

(3) The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or had become erroneous due to changed circumstances.

(4) The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.

(5) The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated.

(6) The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

(7) A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from covered transactions, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Nonprocurement Programs.

Section 15 62

(8) Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

(9) Except for transactions authorized under paragraph five of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

************

Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - - Lower Tier Covered Transactions

(1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.

(2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

X By checking this box, the state CSBG authorized official is providing the certification set out above.

15.4. Environmental Tobacco Smoke Public Law 103227, Part C Environmental Tobacco Smoke, also known as the Pro Children Act of 1994, requires that smoking not be permitted in any portion of any indoor routinely owned or leased or contracted for by an entity and used routinely or regularly for provision of health, day care, education, or library services to children under the age of 18, if the services are funded by Federal programs either directly or through State or local governments, by Federal grant, contract, loan, or loan guarantee. The law does not apply to children’s services provided in private residences, facilities funded solely by Medicare or Medicaid funds, and portions of facilities used for inpatient drug or alcohol treatment. Failure to comply with the provisions of the law may result in the imposition of a civil monetary penalty of up to $1000 per day and/or the imposition of an administrative compliance order on the responsible entity by signing and submitting this application the applicant/grantee certifies that it will comply with the requirements of the Act.

The applicant/grantee further agrees that it will require the language of this certification be

Section 15 63

included in any sub-awards which contain provisions for the children’s services and that all sub-grantees shall certify accordingly.

X By checking this box, the state CSBG authorized official is providing the certification set out above.

Ch. EIGHTEEN, Art. 6-D, Refs & Annos, NY EXEC Ch. EIGHTEEN, Art. 6-D, Refs &...

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program

McKinney's Executive Law Ch. EIGHTEEN, Art. 6-D, Refs & AnnosCurrentness

McKinney's Executive Law Ch. EIGHTEEN, Art. 6-D, Refs & Annos, NY EXEC Ch. EIGHTEEN, Art. 6-D, Refs &AnnosCurrent through L.2019, chapters 1 to 10.

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§ 159-e. Definitions, NY EXEC § 159-e

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Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-e

§ 159-e. Definitions

Effective: April 7, 2009Currentness

When used in this article:

1. “Eligible entity” shall mean any organization

(a) officially designated as a community action agency or a community action program under the provisions of section

two hundred ten of the economic opportunity act of 1964 1 for fiscal year 1981, unless such community action agencyor a community action program lost its designation under section two hundred ten of such act as a result of a failureto comply with the provisions of such act; or

(b) designated by the process described in section one hundred fifty-nine-m of this article (including an organizationserving migrant or seasonal farmworkers that is so described or designated).

Such eligible entity shall have a tripartite board as its governing board which fully participates in the development,planning, implementation, and evaluation of the program to serve low-income communities and through which theentity shall administer the community services block grant program. However, such eligible entities which are publicorganizations shall have either a tripartite board or another mechanism specified by the state to assure decision makingand participation by low-income individuals in the development, planning, implementation, and evaluation of programsfunded under this article.

2. “Tripartite board” shall mean

(a) the governing board of a private nonprofit entity selected by the entity and composed so as to assure that

(1) one-third of the members of the board are elected public officials, holding office on the date of selection, or theirrepresentatives, except that if the number of such elected officials reasonably available and willing to serve on the boardis less than one-third of the membership of the board, membership on the board of appointive public officials or theirrepresentatives may be counted in meeting such one-third requirement;

§ 159-e. Definitions, NY EXEC § 159-e

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(2)(A) not fewer than one-third of the members are persons chosen in accordance with democratic selection proceduresadequate to assure that these members are representative of low-income individuals and families in the neighborhoodserved; and

(B) each representative of low-income individuals and families selected to represent a specific neighborhood within acommunity under clause (A) of this subparagraph resides in the neighborhood represented by the member; and

(3) the remainder of the members are officials or members of business, industry, labor, religious, law enforcement,education, or other major groups and interests in the community served; or

(b) the governing board of a public organization, which shall have members selected by the organization and shall becomposed so as to assure that not fewer than one-third of the members are persons chosen in accordance with democraticselection procedures adequate to assure that these members

(1) are representative of low-income individuals and families in the neighborhood served;

(2) reside in the neighborhood served; and

(3) are able to participate actively in the development, planning, implementation, and evaluation of programs fundedunder this article.

3. “Indian tribes” and “tribal organizations” shall mean those tribes, bands or other organized groups of Indiansrecognized in the state or considered by the federal secretary of the interior to be an Indian tribe or an Indian organizationfor any purpose.

4. “Community based organization” shall mean any organization incorporated for the purpose of providing services orother assistance to economically or socially disadvantaged persons within its designated community. Such organizationmust have a board of directors of which more than half of the members reside in such designated community.

5. “Department” shall mean the department of state.

6. “Secretary” shall mean the secretary of state.

Credits(Added L.1982, c. 728, § 1. Amended L.1983, c. 710, §§ 1, 2; L.2009, c. 59, pt. R, §§ 1 to 3, eff. April 7, 2009.)

Footnotes1 42 USCA § 2790 (repealed).

§ 159-e. Definitions, NY EXEC § 159-e

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McKinney's Executive Law § 159-e, NY EXEC § 159-eCurrent through L.2019, chapters 1 to 10.

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§ 159-f. Functions, powers and duties of the secretary, NY EXEC § 159-f

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Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-f

§ 159-f. Functions, powers and duties of the secretary

Currentness

The secretary or his duly authorized officers or employees, shall have the following functions, powers and duties:

1. To act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with

the federal government in connection with the federal community services block grant act of 1981 1 , as amended;

2. To allocate federal community services block grant funds pursuant to contracts with recipients of such funds in themanner required by federal law and regulation;

3. To assist the governor in applying for the state's allocation under the federal community services block grant act 1 ,including the fulfillment of any planning requirements;

4. To cooperate with the legislature in conducting hearings required by the federal community services block grant act 1 ;and

5. To monitor and evaluate the use of funds received by the state pursuant to the federal community services block grant

act 1 .

Credits(Added L.1982, c. 728, § 1.)

Footnotes1 42 USCA § 9901 et seq.

McKinney's Executive Law § 159-f, NY EXEC § 159-fCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-g. Rules and regulations, NY EXEC § 159-g

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-g

§ 159-g. Rules and regulations

Currentness

The secretary shall promulgate rules and regulations necessary to carry out the provisions of this article.

Credits(Added L.1982, c. 728, § 1.)

McKinney's Executive Law § 159-g, NY EXEC § 159-gCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-h. Limitation of administrative costs, NY EXEC § 159-h

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-h

§ 159-h. Limitation of administrative costs

Currentness

Not more than five percent of the community services block grant funds received by the state shall be retained foradministration at the state level.

Credits(Added L.1982, c. 728, § 1.)

McKinney's Executive Law § 159-h, NY EXEC § 159-hCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-i. Distribution of funds, NY EXEC § 159-i

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-i

§ 159-i. Distribution of funds

Effective: March 31, 2011Currentness

At least ninety percent of the community services block grant funds received by the state shall be distributed pursuantto a contract by the secretary to eligible entities as defined in subdivision one of section one hundred fifty-nine-e of thisarticle. Each such eligible entity shall receive the same proportion of community services block grant funds as was theproportion of funds received in the immediately preceding federal fiscal year under the federal community services blockgrant program as compared to the total amount received by all eligible entities in the state, under the federal communityservices block grant program.

The secretary shall, pursuant to section one hundred fifty-nine-h of this article, retain not more than five percent of thecommunity services block grant funds for administration at the state level.

The remainder of the community services block grant funds received by the state shall be distributed pursuant to acontract by the secretary in the following order of preference: a sum of up to one-half of one percent of the communityservices block grant funds received by the state to Indian tribes and tribal organizations as defined in this article, onthe basis of need; and to community based organizations. Such remainder funds received by eligible entities will not beincluded in determining the proportion of funds received by any such entity in the immediately preceding federal fiscalyear under the federal community services block grant program.

Credits(Added L.1982, c. 728, § 1. Amended L.1983, c. 710, § 3; L.1984, c. 870, § 1; L.1985, c. 362, § 1; L.1986, c. 213, § 1; L.1987,c. 349, § 1; L.1988, c. 211, § 1; L.1989, c. 593, § 1; L.1990, c. 536, § 1; L.1991, c. 492, § 1; L.1992, c. 338, § 1; L.1993, c.486, § 1; L.1994, c. 326, § 1; L.1995, c. 656, § 1; L.1996, c. 335, § 1; L.1997, c. 480, § 1, eff. Aug. 26, 1997; L.1998, c. 310,§ 1, eff. July 14, 1998; L.1999, c. 156, § 1, eff. July 6, 1999; L.2000, c. 338, § 1, eff. Aug. 23, 2000; L.2001, c. 360, § 1, eff.Oct. 3, 2001; L.2002, c. 606, § 1, eff. Oct. 2, 2002; L.2003, c. 196, § 1, eff. July 29, 2003; L.2004, c. 105, § 1, eff. June 8,2004; L.2005, c. 329, § 1, eff. July 26, 2005; L.2006, c. 78, § 1, eff. June 7, 2006; L.2007, c. 59, pt. L, § 1, eff. Sept. 30,2008; L.2008, c. 59, pt. R, § 1, eff. Sept. 30, 2008; L.2009, c. 59, pt. R, § 4, eff. April 7, 2009; L.2010, c. 59, pt. Y, § 1, eff.June 22, 2010; L.2011, c. 60, pt. K, § 1, eff. March 31, 2011.)

McKinney's Executive Law § 159-i, NY EXEC § 159-iCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-j. Repealed by L.2018, c. 58, pt. V, § 1, eff. Oct. 1, 2018., NY EXEC § 159-j

© 2019 Thomson Reuters. No claim to original U.S. Government Works. 1

KeyCite Red Flag - Severe Negative Treatment

 KeyCite Red Flag Negative Treatment§ 159-j. Repealed by L.2018, c. 58, pt. V, § 1, eff. Oct. 1, 2018.

 KeyCite Yellow Flag - Negative TreatmentProposed Legislation

McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-j

§ 159-j. Repealed by L.2018, c. 58, pt. V, § 1, eff. Oct. 1, 2018.

Effective: October 1, 2018Currentness

McKinney's Executive Law § 159-j, NY EXEC § 159-jCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-k. Monitoring and evaluation, NY EXEC § 159-k

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-k

§ 159-k. Monitoring and evaluation

Currentness

1. The secretary shall monitor and evaluate the use of community services block grant funds made available pursuantto this article by the recipients of such funds in order to evaluate the performance of such recipients. Evaluations shallinclude, but not be limited to:

(a) determining the effectiveness of recipients' administrative operations, organizational structure, planning andprogramming, self evaluation, and general decision making; and

(b) reviewing the recipients' compliance with federal and state law and regulation.

2. For purposes of evaluations conducted under this section, recipients shall make available to the secretary, or any dulyauthorized officer or employee of the department, appropriate books, documents, papers and records for examination,copying or mechanical reproduction on or off the premises of the recipient upon a reasonable request therefor.

Credits(Added L.1982, c. 728, § 1.)

McKinney's Executive Law § 159-k, NY EXEC § 159-kCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-l. Decertification and reduction of entity shares, NY EXEC § 159-l

© 2019 Thomson Reuters. No claim to original U.S. Government Works. 1

McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-l

§ 159-l. Decertification and reduction of entity shares

Effective: April 7, 2009Currentness

1. Any eligible entity that received funding in the previous federal fiscal year through a community services block grantmade under this article shall not have its funding terminated under this article or reduced below the proportional shareof funding the entity received in the immediately preceding federal fiscal year, as determined pursuant to section onehundred fifty-nine-i of this article, unless, after providing notice and an opportunity for a hearing on the record, thestate determines that cause exists for such termination or such reduction, subject to review by the secretary of the UnitedStates department of health and human services. For purposes of making a determination that cause exists for:

(a) a funding reduction, the term “cause” shall include

(1) a statewide redistribution of funds provided through a community services block grant under this article to respond to

(A) the results of the most recently available census or other appropriate data;

(B) the designation of a new eligible entity; or

(C) severe economic dislocation; and

(2) the failure of an eligible entity to comply with the terms of an agreement or a state plan, or to meet a state requirement,as described in this section; or

(b) a termination, the term “cause” includes the failure of an eligible entity to comply with the terms of an agreement ora state plan, or to meet a state requirement, as described in this section.

2. If the state determines, on the basis of a final decision in a review pursuant to this article, that an eligible entity failsto comply with the terms of an agreement or the state plan to provide services under this article or to meet appropriatestandards, goals, and other requirements established by the state (including performance objectives), the state shall:

(a) inform the entity of the deficiency to be corrected;

§ 159-l. Decertification and reduction of entity shares, NY EXEC § 159-l

© 2019 Thomson Reuters. No claim to original U.S. Government Works. 2

(b) require the entity to correct the deficiency;

(c)(1) offer training and technical assistance, if appropriate, to help correct the deficiency, and prepare and submit to thesecretary of the United States department of health and human services a report stating the reasons for the determination;or

(2) if the state determines that such training and technical assistance are not appropriate, it shall prepare and submit to thesecretary of the United States department of health and human services a report stating the reasons for the determination;

(d)(1) at the discretion of the state (taking into account the seriousness of the deficiency and the time reasonably requiredto correct the deficiency), allow the entity to develop and implement and submit to the state, within sixty days after beinginformed of the deficiency, a quality improvement plan to correct such deficiency within a reasonable period of time,as determined by the state; and

(2) not later than thirty days after receiving from an eligible entity a proposed quality improvement plan pursuant tosubparagraph one of this paragraph, either approve such proposed plan or specify the reasons why the proposed plancannot be approved; and

(e) after providing adequate notice and an opportunity for a hearing, initiate proceedings to terminate the designationof or reduce the funding under this article of the eligible entity unless the entity corrects the deficiency.

3. A determination to terminate the designation or reduce the funding of an eligible entity pursuant to subdivision twoof this section is reviewable by the secretary of the United States department of health and human services, pursuant tothe processes set forth in the federal community services block grant act of 1981, as amended.

Credits(Added L.2009, c. 59, pt. R, § 5, eff. April 7, 2009.)

McKinney's Executive Law § 159-l, NY EXEC § 159-lCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-m. Designation and redesignation of eligible entities in..., NY EXEC § 159-m

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-m

§ 159-m. Designation and redesignation of eligible entities in unserved areas

Effective: April 7, 2009Currentness

1. Qualified organization in or near area. (a) In general. If any geographic area of the state is not, or ceases to be, servedby an eligible entity under this article, and if the governor decides to serve such area, the governor may solicit applicationsfrom, and designate as an eligible entity

(1) a private nonprofit organization (which may include an eligible entity) that is geographically located in the unservedarea, that is capable of providing a broad range of services designed to eliminate poverty and foster self-sufficiency, andthat meets the requirements of this article; and

(2) a private nonprofit eligible entity that is geographically located in an area contiguous to or within reasonableproximity of the unserved area and that is already providing related services in the unserved area.

(b) Requirement. In order to serve as the eligible entity for the area, an entity described in subparagraph two of paragraph(a) of this subdivision shall agree to add additional members to the board of the entity to ensure adequate representation

(1) in each of the three required categories described in paragraph (a) of subdivision two of section one hundred fifty-nine-e of this article, by members that reside in the community comprised by the unserved area; and

(2) in the category described in subparagraph two of paragraph (a) of subdivision two of section one hundred fifty-nine-e of this article, by members that reside in the neighborhood to be served.

2. Special consideration. In designating an eligible entity under subdivision one of this section, the governor shall grantthe designation to an organization of demonstrated effectiveness in meeting the goals and purposes of this article andmay give priority, in granting the designation, to eligible entities that are providing related services in the unserved area,consistent with the needs identified by a community-needs assessment.

3. No qualified organization in or near area. If no private, nonprofit organization is identified or determined to bequalified under subdivision one of this section to serve the unserved area as an eligible entity the governor may designatean appropriate political subdivision of the state to serve as an eligible entity for the area. In order to serve as the eligibleentity for that area, the political subdivision shall have a tripartite board or other mechanism as required in section onehundred fifty-nine-e of this article.

§ 159-m. Designation and redesignation of eligible entities in..., NY EXEC § 159-m

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Credits(Added L.2009, c. 59, pt. R, § 5, eff. April 7, 2009.)

McKinney's Executive Law § 159-m, NY EXEC § 159-mCurrent through L.2019, chapters 1 to 10.

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§ 159-n. Report of the Secretary, NY EXEC § 159-n

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-n

§ 159-n. Report of the Secretary

Effective: April 7, 2009Currentness

The secretary of state shall report to the governor and the legislature by March fifteenth of each year on theadministration of the community services block grant program. The report shall include, but not be limited to, the resultsof the monitoring and evaluation of recipients of funds under the program and any recommendation for changes whichthe secretary of state deems necessary for the effective administration of the program.

Credits(Formerly § 159-l, added L.1983, c. 710, § 5. Renumbered § 159-n and amended L.2009, c. 59, pt. R, § 5, eff. April 7, 2009.)

McKinney's Executive Law § 159-n, NY EXEC § 159-nCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

MISCELLANEOUSNOTICES/HEARINGS

Notice of Abandoned PropertyReceived by the State Comptroller

Pursuant to provisions of the Abandoned Property Law and relatedlaws, the Office of the State Comptroller receives unclaimed moniesand other property deemed abandoned. A list of the names and lastknown addresses of the entitled owners of this abandoned property ismaintained by the office in accordance with Section 1401 of theAbandoned Property Law. Interested parties may inquire if they ap-pear on the Abandoned Property Listing by contacting the Office ofUnclaimed Funds, Monday through Friday from 8:00 a.m. to 4:30p.m., at:

1-800-221-9311or visit our web site at:

www.osc.state.ny.us

Claims for abandoned property must be filed with the New YorkState Comptroller’s Office of Unclaimed Funds as provided in Section1406 of the Abandoned Property Law. For further information contact:Office of the State Comptroller, Office of Unclaimed Funds, 110 StateSt., Albany, NY 12236.

NOTICE OFPUBLIC HEARING

Department of Environmental Conservation

Development Authority of the North Country (DANC)

PROJECT TITLE: The Development Authority of the NorthCountry’s Application for Co-location of Broadband.

PROJECT LOCATION: Adirondack Loj Road, Town of North Elba,Essex County

PROJECT DESCRIPTION: The Development Authority of theNorth County (DANC) has applied to co-locate broadband public util-ity service on the existing utility line owned by Lake Placid MunicipalElectric (LPME) that runs along and parallel to the Adirondack LojRoad. There is about 7,400 feet of line within the High PeaksWilderness. The DANC will receive a permit for this project asprovided for in the Constitutional Amendment adding Section 6 toArticle XIV and authorized under Environmental Conservation LawArticle 9-2103. There will be no trees cut for this installation. Previ-ously on March 19, 2019 a Temporary Revocable Permit (TRP) wasissued to LPME for routine maintenance of this utility line. This TRPprovided for tree cutting, tree pruning and brushing.

DATE: The DANC will hold a public hearing to receive commentson this project on May 29, 2019 at 4:00 PM at the DEC Regional Of-fice,1115 State Route 86, Ray Brook, NY 12977.

FOR FURTHER INFORMATION CONTACT: Peter Innes, Depart-ment of Environmental Conservation, Division of Lands and Forests,625 Broadway, Albany, NY 12233-4250, (518) 402-9405, e-mail:peter.innes@dec.ny.gov

Written comments are welcome and will accepted by mail or e-mailby the contact person until June 14, 2019. Electronic copies of the ap-plication letter and location maps are available from the contactperson, or may viewed at DEC’s headquarters, 5th Floor, 625 Broad-way, Albany, NY 12233.

NOTICE OFPUBLIC HEARING

Department of StateDivision of Community Services

SUBJECT: Proposed State Application and Plan for FFY 2020 andFFY 2021 for the Community Services Block Grant (CSBG) Program.

PURPOSE: To obtain input regarding the Department of State’sproposed CSBG Application and Plan for Federal Fiscal Years 2020and 2021 (Plan).

Federal CSBG funds are awarded to grantees in all counties of NewYork State. Community action agencies, community-based organiza-tions, and Indian tribes or tribal organizations receive CSBG funds toprovide advocacy, outreach, services and programs for economicallydisadvantaged persons in their local communities. The hearing willfocus on the New York State Department of State’s Plan for federalfiscal years 2020 and 2021. The Plan delineates the manner in whichfunds will be expended and how the State will meet the federal CSBGprogram requirements during the applicable time period covered bythe Plan. Pursuant to 42 U.S.C. § 9908, the Department of State Divi-sion of Community Services will be holding this public hearing at thetime and place as follows:

June 13, 2019 from 10:00 a.m. until 1:00 p.m.

One Commerce Plaza

99 Washington Ave.

Rm. 505

Albany, NY 12231

With videoconference to:

123 William St.

Conference Rm. 231

New York City, NY 10038

and

65 Court St.

Rm. 208

Buffalo, NY 14202

The Plan may be obtained from the Department of State website at:http://www.dos.ny.gov/dcs/documents.htm or by writing to Depart-ment of State, Division of Community Services, One CommercePlaza, 99 Washington Ave., Suite 1020, Albany, NY 12231-0001.

Persons wishing to present testimony at the public hearing on theproposed Plan are requested to complete the Public Hearing ReplyForm (available at http://www.dos.ny.gov/dcs/documents.htm) andmail to the above address or provide it by e-mail todos.sm.dcs@dos.ny.gov on or before June 20, 2019. Written com-ments on the proposed Plan may be submitted until the close of busi-ness on June 21, 2019.

Oral testimony will be limited to 10 minutes. In preparing the orderof witnesses, DOS will attempt to accommodate individual requests tospeak at particular times in view of special circumstances. Theserequests should be made on the Public Hearing Reply Form or com-municated to DOS staff as early as possible. In the absence of arequest, witnesses will be scheduled in the order in which reply formsare postmarked. Five copies of any prepared testimony should besubmitted at the hearing registration desk. DOS would appreciateadvance receipt of prepared statements.

77

PUBLIC NOTICEDepartment of Health

Pursuant to 42 CFR Section 447.205, the Department of Healthhereby gives public notice of the following:

The Department of Health proposes to amend the Title XIX(Medicaid) State Plan for non-institutional services to comply withSocial Services Law 365-a. The following changes are proposed:

Non-Institutional Services

Effective on or after October 1, 2019, Medical assistance shallinclude the coverage of Applied Behavior Analysis, as defined in sec-tion eighty-eight hundred one of the education law, where such ser-vice is provided by a licensed behavior analyst or certified behavioranalyst assistant, licensed or certified under article one hundred sixty-seven of the education law, for the treatment of autism spectrumdisorders and related disorders.

The estimated annual net aggregate increase in gross Medicaidexpenditures attributable to this initiative contained in the budget forstate fiscal year 2019/2020 is $6.4 million.

The public is invited to review and comment on this proposed StatePlan Amendment, a copy of which will be available for public reviewon the Department’s website at http://www.health.ny.gov/regulations/state_plans/status. Individuals without Internet access may view theState Plan Amendments at any local (county) social services district.

For the New York City district, copies will be available at the fol-lowing places:

New York County250 Church StreetNew York, New York 10018

Queens County, Queens Center3220 Northern BoulevardLong Island City, New York 11101

Kings County, Fulton Center114 Willoughby StreetBrooklyn, New York 11201

Bronx County, Tremont Center1916 Monterey AvenueBronx, New York 10457

Richmond County, Richmond Center95 Central Avenue, St. GeorgeStaten Island, New York 10301

For further information and to review and comment, please contact:Department of Health, Division of Finance and Rate Setting, 99Washington Ave., One Commerce Plaza, Suite 1432, Albany, NY12210, spa_inquiries@health.ny.gov

PUBLIC NOTICEDepartment of Health

Pursuant to 42 CFR Section 447.205, the Department of Healthhereby gives public notice of the following:

The Department of Health proposes to amend the Title XIX(Medicaid) State Plan for institutional services to comply with a jointpolicy objective of the Office for Persons with Developmental Dis-abilities, the Office of Mental Health and the Department of Health.The following changes are proposed:

Institutional Services

Effective on or after October 1, 2019, the Department of Health, inconjunction with the Office of Mental Health, will certify specializedinpatient psychiatric units that focus on the treatment of adolescentsand children with a diagnosis of both developmental disability andserious emotional disturbance. Special admission criteria and rateswill be created.

The costs associated with these specialized inpatient units areexpected to be fully offset by reduction in lengths of inpatient stays ofthe adolescent and child populations, therefore it is anticipated therewill be no net increase to aggregate Medicaid spending.

The estimated aggregate increase in gross Medicaid expendituresattributable to this initiative contained in the budget for state fiscalyear 2019/2020 is $2,928,720. The annualized aggregate increase at-tributable to this initiative is $5,857,436.

The public is invited to review and comment on this proposed StatePlan Amendment, a copy of which will be available for public reviewon the Department’s website at http://www.health.ny.gov/regulations/state_plans/status. In addition, approved SPA’s beginning in 2011, arealso available for viewing on this website.

Copies of the proposed State Plan Amendments will be on file ineach local (county) social services district and available for publicreview.

For the New York City district, copies will be available at the fol-lowing places:

New York County250 Church StreetNew York, New York 10018

Queens County, Queens Center3220 Northern BoulevardLong Island City, New York 11101

Kings County, Fulton Center114 Willoughby StreetBrooklyn, New York 11201

Bronx County, Tremont Center1916 Monterey AvenueBronx, New York 10457

Richmond County, Richmond Center95 Central Avenue, St. GeorgeStaten Island, New York 10301

For further information and to review and comment, please contact:Department of Health, Division of Finance and Rate Setting, 99Washington Ave., One Commerce Plaza, Suite 1432, Albany, NY12210, spa_inquiries@health.ny.gov

PUBLIC NOTICENew York City Deferred Compensation Plan & NYCE IRA

The New York City Deferred Compensation Plan & NYCE IRA(the “Plan”) is seeking proposals from insurance consultants orbrokers to provide a range of consulting services in the area of cyberinsurance. The Request for Proposals (“RFP”) will be available begin-ning on Thursday, April 18, 2019. Responses are due no later than4:30 p.m. Eastern Time on Thursday, May 23, 2019. To obtain a copyof the RFP, please visit www1.nyc.gov/site/olr/about/about-rfp.pageand download the RFP along with the applicable documents.

If you have any questions, please submit them by fax to GeorgetteGestely, Director, at (212) 306-7376.

Consistent with the policies expressed by the City, proposals fromNew York City certified minority-owned and/or women-owned busi-nesses or proposals that include partnering arrangements with NewYork City certified minority-owned and/or women-owned firms areencouraged. Additionally, proposals from small and New York City-based businesses are also encouraged.

PUBLIC NOTICENew York City Deferred Compensation Plan

The New York City Deferred Compensation Plan (the “Plan”) isseeking qualified vendors to provide U.S. Treasury Inflation Protected

NYS Register/May 15, 2019Miscellaneous Notices/Hearings

78

Securities (“TIPS”) investment management services, with the objec-tive to exceed the Barclay’s U.S. TIPS Index, for the TIPS componentof certain of the Pre-Arranged Portfolio investment options of thePlan. To be considered, vendors must submit their product informa-tion to Milliman Investment Consulting at the following e-mailaddress: sanf.investment.search@milliman.com. Please complete thesubmission of product information no later than 4:30 P.M. EasternTime on May 23, 2019.

Consistent with the policies expressed by the City of New York,proposals from certified minority-owned and/or women-owned busi-nesses or proposals that include partnering arrangements with certi-fied minority-owned and/or women-owned firms are encouraged. Ad-ditionally, proposals from small and New York City-based businessesare also encouraged.

PUBLIC NOTICEDepartment of State

F-2019-0184Date of Issuance – May 15, 2019

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act of 1972, as amended.

The applicant has certified that the proposed activity complies withand will be conducted in a manner consistent with the approved NewYork State Coastal Management Program.

In F-2019-0184 or the “Caruso Dock Reconstruction”, the ap-plicant, Michael Mainland, is proposing reconstruction 20' x 30' stormdamaged- pile supported over water fixed platform within footprint oforiginal platform, replace original 8' x 32' floating head dock and 3' x20' gangway, and installation of a 8-pile (40,000 lb.), a new 4-pile lift,and a 2-pile personal watercraft lift. This project is located at 571 EastBay Drive, Long Beach on Reynolds Channel.

The applicant’s consistency certification and supporting informa-tion are available for review at: http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2019-0184_Caruso_Dock_Rec_App.pdf

Original copies of public information and data submitted by the ap-plicant are available for inspection at the New York State Departmentof State offices located at One Commerce Plaza, 99 Washington Ave-nue, in Albany, New York.

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 30 days fromthe date of publication of this notice, or, June 14, 2019.

Comments should be addressed to the Consistency Review Unit,Department of State, Office of Planning, Development & CommunityInfrastructure, One Commerce Plaza, 99 Washington Ave., Albany,NY 12231, (518) 474-6000; Fax (518) 473-2464. Electronic submis-sions can be made by email at: CR@dos.ny.gov

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.

PUBLIC NOTICEDepartment of State

F-2019-0380Date of Issuance – May 15, 2019

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act (CZMA) of 1972, asamended.

The applicant has certified that the proposed activities comply withand will be conducted in a manner consistent with the federally ap-proved New York State Coastal Management Program (NYSCMP).The applicant’s consistency certification and accompanying public in-formation and data are available for inspection at the New York StateDepartment of State offices located at One Commerce Plaza, 99Washington Avenue, in Albany, New York.

In F-2019-0380, EVW, LLC is proposing to construct a 4' x 170'wide fixed catwalk with stair access, ramp, and float. A 4 foot mowedpath to stairs to access fixed catwalk from the landward edge of bufferto landward wetland boundary is also proposed. The project is locatedat Admiral’s Court Lot #5, East Moriches, NY 11940 in SuffolkCounty on Harts Cove.

The applicant’s consistency certification and supporting informa-tion are available for review at: http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2019-0380EVWLLClot5.pdf

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 30 days fromthe date of publication of this notice or June 14, 2019.

Comments should be addressed to the Department of State, Officeof Planning and Development and Community Infrastructure, Consis-tency Review Unit, One Commerce Plaza, Suite 1010, 99 WashingtonAve., Albany, NY 12231, (518) 474-6000. Electronic submissions canbe made by email at: CR@dos.ny.gov

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.

PUBLIC NOTICEDepartment of State

F-2019-0381Date of Issuance – May 15, 2019

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act (CZMA) of 1972, asamended.

The applicant has certified that the proposed activities comply withand will be conducted in a manner consistent with the federally ap-proved New York State Coastal Management Program (NYSCMP).The applicant’s consistency certification and accompanying public in-formation and data are available for inspection at the New York StateDepartment of State offices located at One Commerce Plaza, 99Washington Avenue, in Albany, New York.

In F-2019-0381, EVW,LLC proposed to construct a recreationaldock. Dock structures shall include a 4' x 210' fixed catwalk, 4' x 6.5'stair access, aluminum ramp (4' x 20'), and float dock (6' x 20')constructed to a ‘‘T’’. Project also proposes a mowed path throughnaturally vegetated uffer for access to catwalk (approximately 125' x4'). The project is located at Admiral’s Court Lot #6, East Moriches,NY 11940 in Suffolk County on Harts Cove.

The applicant’s consistency certification and supporting informa-tion are available for review at: http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2019-0380EVWLLClot6.pdf

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 30 days fromthe date of publication of this notice or June 14, 2019.

Comments should be addressed to the Department of State, Officeof Planning and Development and Community Infrastructure, Consis-tency Review Unit, One Commerce Plaza, Suite 1010, 99 WashingtonAve., Albany, NY 12231, (518) 474-6000. Electronic submissions canbe made by email at: CR@dos.ny.gov

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.

PUBLIC NOTICEDepartment of State

F-2019-0382Date of Issuance – May 15, 2019

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act (CZMA) of 1972, asamended.

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The applicant has certified that the proposed activities comply withand will be conducted in a manner consistent with the federally ap-proved New York State Coastal Management Program (NYSCMP).The applicant’s consistency certification and accompanying public in-formation and data are available for inspection at the New York StateDepartment of State offices located at One Commerce Plaza, 99Washington Avenue, in Albany, New York.

In F-2019-0382, EVW,LLC proposes to construct a recreationaldock. Structures shall include a 140’ x 4’ fixed open-grate catwalk, 4'x 6.5'stair access, aluminum ramp (4' x 20'), and float dock (6' x 20')constructed to a ‘‘T’’. Project also proposes a mowed path throughnaturally vegetated buffer for access to catwalk (approximately 150' x4'). The project is located at Admiral’s Court Lot #7, East Moriches,NY 11940 in Suffolk County on Harts Cove.

The applicant’s consistency certification and supporting informa-tion are available for review at: http://www.dos.ny.gov/opd/programs/pdfs/Consistency/F-2019-0380EVWLLClot7.pdf

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 30 days fromthe date of publication of this notice or June 14, 2019.

Comments should be addressed to the Department of State, Officeof Planning and Development and Community Infrastructure, Consis-tency Review Unit, One Commerce Plaza, Suite 1010, 99 WashingtonAve., Albany, NY 12231, (518) 474-6000. Electronic submissions canbe made by email at: CR@dos.ny.gov

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.

PUBLIC NOTICEDepartment of State

Uniform Code Variance / Appeal Petitions

Pursuant to 19 NYCRR Part 1205, the variance and appeal petitionsbelow have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Prevention and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2019-0239 Matter of Brookhaven Expeditors, Andrew Malguarnera,713 Main Street, Port Jefferson, NY 11777, for a variance concerningsafety requirements, including the height under a girder/soffit.Involved is an existing single family dwelling located at 168 SmithAvenue; Town of Brookhaven, NY 11741 County of Suffolk, State ofNew York.

2019-0240 Matter of Brookhaven Expeditors, Andrew Malguarnera,713 Main Street, Port Jefferson, NY 11777, for a variance concerningsafety requirements, including the required ceiling height and heightunder a girder/soffit. Involved is an existing single family dwelling lo-cated at 21 Curtis Street; Town of Brookhaven, NY 11720 County ofSuffolk, State of New York.

2019-0242 Matter of Brookhaven Expeditors, Andrew Malguarnera,713 Main Street, Port Jefferson, NY 11777, for a variance concerningsafety requirements, including the required ceiling height and heightunder a girder/soffit. Involved is an existing single family dwelling lo-cated at 122 Ronkonkoma Blvd; Town of Brookhaven, NY 11720County of Suffolk, State of New York.

2019-0243 Matter of Brookhaven Expeditors, Andrew Malguarnera,713 Main Street, Port Jefferson, NY 11777, for a variance concerningsafety requirements, including the required ceiling height and heightunder a girder/soffit. Involved is an existing single family dwelling lo-cated at Five Harrison Avenue; Town of Brookhaven, NY 11720County of Suffolk, State of New York.

2019-0244 Matter of Brookhaven Expeditors, Andrew Malguarnera,713 Main Street, Port Jefferson, NY 11777, for a variance concerningsafety requirements, including the required ceiling height and height

under a girder/soffit. Involved is an existing single family dwelling lo-cated at 221 William Floyd Parkway; Town of Brookhaven, NY 11967County of Suffolk, State of New York.

2019-0245 Matter of Brookhaven Expeditors, Andrew Malguarnera,713 Main Street, Port Jefferson, NY 11777, for a variance concerningsafety requirements, including the required ceiling height and heightunder a girder/soffit. Involved is an existing single family dwelling lo-cated at 50 Lake Grove Blvd; Town of Brookhaven, NY 11720 Countyof Suffolk, State of New York.

PUBLIC NOTICEDepartment of State

Uniform Code Variance / Appeal Petitions

Pursuant to 19 NYCRR Part 1205, the variance and appeal petitionsbelow have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Prevention and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2019-0249 In the matter of Schopfer Architects, LLP. DavidSchlosser, 1111 James Street, Syracuse, NY 13203 concerning safetyrequirements including a variance including to allow openings thatexceed maximum allowable area in an exterior wall.

Involved is a conversion of a portion of an existing building frombusiness and mercantile to residential occupancy, eight stories inheight, known as Deys Plaza, located at 401 South Salina Street, Cityof Syracuse, County of Onondaga, New York.

PUBLIC NOTICEDepartment of State

Uniform Code Variance / Appeal Petitions

Pursuant to 19 NYCRR Part 1205, the variance and appeal petitionsbelow have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Prevention and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2019-0251 Matter of Manuela Izquierdo, 22 Champlain Street, PortJefferson Station, NY 11776, for a variance concerning safety require-ments, including the required height under a girder/soffit. Involved isan existing single family dwelling located at 22 Champlain Street;Town of Brookhaven, NY 11776 County of Suffolk, State of NewYork.

2019-0254 Matter of Richard Trpicovsky, 173 N. Main Street #152,Sayville, NY 11782, for a variance concerning safety requirements,including the required ceiling height in habitable space. Involved is anexisting single family dwelling located at 20 All Points Road; Town ofBrookhaven, NY 11741 County of Suffolk, State of New York.

2019-0255 Matter of John Moreno, 837 Sayville Avenue, Bohemia,NY 11716, for a variance concerning safety requirements, includingthe required height under a girder/soffit. Involved is an existing singlefamily dwelling located at 837 Sayville Avenue; Town of Islip, NY11716 County of Suffolk, State of New York.

2019-0259 Matter of Lynda M. Waring, Six Douglas Street, CarlePlace, NY 11514, for a variance concerning safety requirements,including the required height under a girder/soffit. Involved is an exist-ing single family dwelling located at Six Douglas Street; Town ofNorth Hempstead, NY 11514 County of Nassau, State of New York.

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PUBLIC NOTICEDepartment of State

Uniform Code Variance / Appeal PetitionsPursuant to 19 NYCRR Part 1205, the variance and appeal petitions

below have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Prevention and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2019-0257 In the matter of Patricia Sue Mundell, Executor for theEstate of Helen Mundell, 59 Sapsucker Woods Road, Ithaca, NY14850 concerning safety requirements including a variance for reduc-tion in required height of existing interior handrails and guardrails.

Involved is the certificate of compliance inspection of an existingresidential occupancy, two stories in height, located at 315-17 NorthAlbany Street, City of Ithaca, County of Tompkins, New York.

PUBLIC NOTICEDepartment of Taxation and Finance

Interest Rates

The Commissioner of Taxation and Finance hereby sets the interestrates for the months of July, August, September 2019 pursuant to sec-tions 697(j) and 1096(e) of the Tax Law, as follows:

For purposes of section 697(j) the overpayment rate of interest isset at 4 percent per annum, and the underpayment rate of interest is setat 7.5 percent per annum. For purposes of section 1096(e), the over-payment rate of interest is set at 4 percent per annum, and theunderpayment rate of interest is set at 9 percent per annum. (Theunderpayment rates set pursuant to sections 697(j) and 1096(e) maynot be less than 7.5 percent per annum.) Pursuant to section 1145(a)(1)of the Tax Law, the underpayment rate for State and local sales anduse taxes administered by the Commissioner of Taxation and Financeis 14.5 percent per annum. The underpayment rate for the special as-sessments on hazardous waste imposed by section 27-0923 of theEnvironmental Conservation Law is 15 percent.

For the interest rates applicable to overpayments (refunds) andunderpayments (late payments and assessments) of the following taxesadministered by the Commissioner of Taxation and Finance for theperiod July 1, 2019 through September 30, 2019, see the table below:

7/1/19 - 9/30/19Interest Rate Per Annum

Compounded Daily

Commonly viewed tax types Refunds Late Payments& Assessments

Income ** 4% 7.5%

Sales and use 4% 14.5% *

Withholding 4% 9%

Corporation ** 4% 9%

All other tax types Refunds Late Payments& Assessments

Alcoholic Beverage 4% 9%

Authorized Combative Sports 4% 9%

Beverage Container Deposits 4% 9%

Cigarette NA 9%

Congestion Surcharge 4% 9%

Diesel Motor Fuel 4% 9%

Estate 4% 7.5%

Fuel Use Tax *** ***

Generation-Skipping Transfer 4% 7.5%

Hazardous Waste 4% 15%

Highway Use 4% 9%

Medical Marihuana 4% 9%

New York City Taxicab and HailVehicle Trip Tax

4% 9%

Metropolitan CommuterTransportation Mobility Tax

4% 7.5%

Mortgage Recording 4% 9%

Motor Fuel 4% 9%

Petroleum Business 4% 9%

Real Estate Transfer 4% 9%

Tobacco Products NA 9%

Transportation NetworkCompany Assessment

4% 9%

Waste Tire Fee 4% 9%

Wireless Communications Sur-charge

4% 14.5%

* The Tax Law requires the interest rate on sales tax assessments orlate payments to be set at 14-1/2% for this quarter. However, if theCommissioner determines that the failure to pay or the delay in pay-ment is due to reasonable cause and not willful neglect, the Commis-sioner may impose interest at the corporation tax late payment and as-sessment rate. That rate is 9% for this quarter.

** There are a number of state and local governmental bodies thathave interest rates tied to the overpayment and underpayment ratescontained in either section 697(j) (Income Tax) or section 1096(e)(Corporation Tax) of the Tax Law. For purposes of section 697(j) andsection 1096(e) of the Tax Law, the overpayment rate for this period is4%. For purposes of section 697(j) of the Tax Law, the underpaymentrate for this period is 7.5%. For purposes of section 1096(e) of the TaxLaw, the underpayment rate for this period is 9%.

*** Under section 527(f) of the Tax Law, the interest rates relatingto the Fuel Use tax are set pursuant to the International Fuel Tax Agree-ment (IFTA). For more information regarding IFTA interest rates, seewww.iftach.org.

For further information contact: Kathleen Chase, Office of Counsel,Department of Taxation and Finance, W. A. Harriman Campus,Albany, NY 12227, (518) 530-4153

For rates for previous periods, visit the Department of Taxation andFinance website: www.tax.ny.gov/taxnews/int_curr.htm

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Ch. EIGHTEEN, Art. 6-D, Refs & Annos, NY EXEC Ch. EIGHTEEN, Art. 6-D, Refs &...

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program

McKinney's Executive Law Ch. EIGHTEEN, Art. 6-D, Refs & AnnosCurrentness

McKinney's Executive Law Ch. EIGHTEEN, Art. 6-D, Refs & Annos, NY EXEC Ch. EIGHTEEN, Art. 6-D, Refs &AnnosCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-e. Definitions, NY EXEC § 159-e

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-e

§ 159-e. Definitions

Effective: April 7, 2009Currentness

When used in this article:

1. “Eligible entity” shall mean any organization

(a) officially designated as a community action agency or a community action program under the provisions of section

two hundred ten of the economic opportunity act of 1964 1 for fiscal year 1981, unless such community action agencyor a community action program lost its designation under section two hundred ten of such act as a result of a failureto comply with the provisions of such act; or

(b) designated by the process described in section one hundred fifty-nine-m of this article (including an organizationserving migrant or seasonal farmworkers that is so described or designated).

Such eligible entity shall have a tripartite board as its governing board which fully participates in the development,planning, implementation, and evaluation of the program to serve low-income communities and through which theentity shall administer the community services block grant program. However, such eligible entities which are publicorganizations shall have either a tripartite board or another mechanism specified by the state to assure decision makingand participation by low-income individuals in the development, planning, implementation, and evaluation of programsfunded under this article.

2. “Tripartite board” shall mean

(a) the governing board of a private nonprofit entity selected by the entity and composed so as to assure that

(1) one-third of the members of the board are elected public officials, holding office on the date of selection, or theirrepresentatives, except that if the number of such elected officials reasonably available and willing to serve on the boardis less than one-third of the membership of the board, membership on the board of appointive public officials or theirrepresentatives may be counted in meeting such one-third requirement;

§ 159-e. Definitions, NY EXEC § 159-e

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(2)(A) not fewer than one-third of the members are persons chosen in accordance with democratic selection proceduresadequate to assure that these members are representative of low-income individuals and families in the neighborhoodserved; and

(B) each representative of low-income individuals and families selected to represent a specific neighborhood within acommunity under clause (A) of this subparagraph resides in the neighborhood represented by the member; and

(3) the remainder of the members are officials or members of business, industry, labor, religious, law enforcement,education, or other major groups and interests in the community served; or

(b) the governing board of a public organization, which shall have members selected by the organization and shall becomposed so as to assure that not fewer than one-third of the members are persons chosen in accordance with democraticselection procedures adequate to assure that these members

(1) are representative of low-income individuals and families in the neighborhood served;

(2) reside in the neighborhood served; and

(3) are able to participate actively in the development, planning, implementation, and evaluation of programs fundedunder this article.

3. “Indian tribes” and “tribal organizations” shall mean those tribes, bands or other organized groups of Indiansrecognized in the state or considered by the federal secretary of the interior to be an Indian tribe or an Indian organizationfor any purpose.

4. “Community based organization” shall mean any organization incorporated for the purpose of providing services orother assistance to economically or socially disadvantaged persons within its designated community. Such organizationmust have a board of directors of which more than half of the members reside in such designated community.

5. “Department” shall mean the department of state.

6. “Secretary” shall mean the secretary of state.

Credits(Added L.1982, c. 728, § 1. Amended L.1983, c. 710, §§ 1, 2; L.2009, c. 59, pt. R, §§ 1 to 3, eff. April 7, 2009.)

Footnotes1 42 USCA § 2790 (repealed).

§ 159-e. Definitions, NY EXEC § 159-e

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McKinney's Executive Law § 159-e, NY EXEC § 159-eCurrent through L.2019, chapters 1 to 10.

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§ 159-f. Functions, powers and duties of the secretary, NY EXEC § 159-f

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-f

§ 159-f. Functions, powers and duties of the secretary

Currentness

The secretary or his duly authorized officers or employees, shall have the following functions, powers and duties:

1. To act as the official agent of the state for the purpose of administering, carrying out and otherwise cooperating with

the federal government in connection with the federal community services block grant act of 1981 1 , as amended;

2. To allocate federal community services block grant funds pursuant to contracts with recipients of such funds in themanner required by federal law and regulation;

3. To assist the governor in applying for the state's allocation under the federal community services block grant act 1 ,including the fulfillment of any planning requirements;

4. To cooperate with the legislature in conducting hearings required by the federal community services block grant act 1 ;and

5. To monitor and evaluate the use of funds received by the state pursuant to the federal community services block grant

act 1 .

Credits(Added L.1982, c. 728, § 1.)

Footnotes1 42 USCA § 9901 et seq.

McKinney's Executive Law § 159-f, NY EXEC § 159-fCurrent through L.2019, chapters 1 to 10.

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§ 159-g. Rules and regulations, NY EXEC § 159-g

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-g

§ 159-g. Rules and regulations

Currentness

The secretary shall promulgate rules and regulations necessary to carry out the provisions of this article.

Credits(Added L.1982, c. 728, § 1.)

McKinney's Executive Law § 159-g, NY EXEC § 159-gCurrent through L.2019, chapters 1 to 10.

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§ 159-h. Limitation of administrative costs, NY EXEC § 159-h

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-h

§ 159-h. Limitation of administrative costs

Currentness

Not more than five percent of the community services block grant funds received by the state shall be retained foradministration at the state level.

Credits(Added L.1982, c. 728, § 1.)

McKinney's Executive Law § 159-h, NY EXEC § 159-hCurrent through L.2019, chapters 1 to 10.

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§ 159-i. Distribution of funds, NY EXEC § 159-i

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-i

§ 159-i. Distribution of funds

Effective: March 31, 2011Currentness

At least ninety percent of the community services block grant funds received by the state shall be distributed pursuantto a contract by the secretary to eligible entities as defined in subdivision one of section one hundred fifty-nine-e of thisarticle. Each such eligible entity shall receive the same proportion of community services block grant funds as was theproportion of funds received in the immediately preceding federal fiscal year under the federal community services blockgrant program as compared to the total amount received by all eligible entities in the state, under the federal communityservices block grant program.

The secretary shall, pursuant to section one hundred fifty-nine-h of this article, retain not more than five percent of thecommunity services block grant funds for administration at the state level.

The remainder of the community services block grant funds received by the state shall be distributed pursuant to acontract by the secretary in the following order of preference: a sum of up to one-half of one percent of the communityservices block grant funds received by the state to Indian tribes and tribal organizations as defined in this article, onthe basis of need; and to community based organizations. Such remainder funds received by eligible entities will not beincluded in determining the proportion of funds received by any such entity in the immediately preceding federal fiscalyear under the federal community services block grant program.

Credits(Added L.1982, c. 728, § 1. Amended L.1983, c. 710, § 3; L.1984, c. 870, § 1; L.1985, c. 362, § 1; L.1986, c. 213, § 1; L.1987,c. 349, § 1; L.1988, c. 211, § 1; L.1989, c. 593, § 1; L.1990, c. 536, § 1; L.1991, c. 492, § 1; L.1992, c. 338, § 1; L.1993, c.486, § 1; L.1994, c. 326, § 1; L.1995, c. 656, § 1; L.1996, c. 335, § 1; L.1997, c. 480, § 1, eff. Aug. 26, 1997; L.1998, c. 310,§ 1, eff. July 14, 1998; L.1999, c. 156, § 1, eff. July 6, 1999; L.2000, c. 338, § 1, eff. Aug. 23, 2000; L.2001, c. 360, § 1, eff.Oct. 3, 2001; L.2002, c. 606, § 1, eff. Oct. 2, 2002; L.2003, c. 196, § 1, eff. July 29, 2003; L.2004, c. 105, § 1, eff. June 8,2004; L.2005, c. 329, § 1, eff. July 26, 2005; L.2006, c. 78, § 1, eff. June 7, 2006; L.2007, c. 59, pt. L, § 1, eff. Sept. 30,2008; L.2008, c. 59, pt. R, § 1, eff. Sept. 30, 2008; L.2009, c. 59, pt. R, § 4, eff. April 7, 2009; L.2010, c. 59, pt. Y, § 1, eff.June 22, 2010; L.2011, c. 60, pt. K, § 1, eff. March 31, 2011.)

McKinney's Executive Law § 159-i, NY EXEC § 159-iCurrent through L.2019, chapters 1 to 10.

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§ 159-j. Repealed by L.2018, c. 58, pt. V, § 1, eff. Oct. 1, 2018., NY EXEC § 159-j

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KeyCite Red Flag - Severe Negative Treatment

 KeyCite Red Flag Negative Treatment§ 159-j. Repealed by L.2018, c. 58, pt. V, § 1, eff. Oct. 1, 2018.

 KeyCite Yellow Flag - Negative TreatmentProposed Legislation

McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-j

§ 159-j. Repealed by L.2018, c. 58, pt. V, § 1, eff. Oct. 1, 2018.

Effective: October 1, 2018Currentness

McKinney's Executive Law § 159-j, NY EXEC § 159-jCurrent through L.2019, chapters 1 to 10.

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§ 159-k. Monitoring and evaluation, NY EXEC § 159-k

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-k

§ 159-k. Monitoring and evaluation

Currentness

1. The secretary shall monitor and evaluate the use of community services block grant funds made available pursuantto this article by the recipients of such funds in order to evaluate the performance of such recipients. Evaluations shallinclude, but not be limited to:

(a) determining the effectiveness of recipients' administrative operations, organizational structure, planning andprogramming, self evaluation, and general decision making; and

(b) reviewing the recipients' compliance with federal and state law and regulation.

2. For purposes of evaluations conducted under this section, recipients shall make available to the secretary, or any dulyauthorized officer or employee of the department, appropriate books, documents, papers and records for examination,copying or mechanical reproduction on or off the premises of the recipient upon a reasonable request therefor.

Credits(Added L.1982, c. 728, § 1.)

McKinney's Executive Law § 159-k, NY EXEC § 159-kCurrent through L.2019, chapters 1 to 10.

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§ 159-l. Decertification and reduction of entity shares, NY EXEC § 159-l

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McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-l

§ 159-l. Decertification and reduction of entity shares

Effective: April 7, 2009Currentness

1. Any eligible entity that received funding in the previous federal fiscal year through a community services block grantmade under this article shall not have its funding terminated under this article or reduced below the proportional shareof funding the entity received in the immediately preceding federal fiscal year, as determined pursuant to section onehundred fifty-nine-i of this article, unless, after providing notice and an opportunity for a hearing on the record, thestate determines that cause exists for such termination or such reduction, subject to review by the secretary of the UnitedStates department of health and human services. For purposes of making a determination that cause exists for:

(a) a funding reduction, the term “cause” shall include

(1) a statewide redistribution of funds provided through a community services block grant under this article to respond to

(A) the results of the most recently available census or other appropriate data;

(B) the designation of a new eligible entity; or

(C) severe economic dislocation; and

(2) the failure of an eligible entity to comply with the terms of an agreement or a state plan, or to meet a state requirement,as described in this section; or

(b) a termination, the term “cause” includes the failure of an eligible entity to comply with the terms of an agreement ora state plan, or to meet a state requirement, as described in this section.

2. If the state determines, on the basis of a final decision in a review pursuant to this article, that an eligible entity failsto comply with the terms of an agreement or the state plan to provide services under this article or to meet appropriatestandards, goals, and other requirements established by the state (including performance objectives), the state shall:

(a) inform the entity of the deficiency to be corrected;

§ 159-l. Decertification and reduction of entity shares, NY EXEC § 159-l

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(b) require the entity to correct the deficiency;

(c)(1) offer training and technical assistance, if appropriate, to help correct the deficiency, and prepare and submit to thesecretary of the United States department of health and human services a report stating the reasons for the determination;or

(2) if the state determines that such training and technical assistance are not appropriate, it shall prepare and submit to thesecretary of the United States department of health and human services a report stating the reasons for the determination;

(d)(1) at the discretion of the state (taking into account the seriousness of the deficiency and the time reasonably requiredto correct the deficiency), allow the entity to develop and implement and submit to the state, within sixty days after beinginformed of the deficiency, a quality improvement plan to correct such deficiency within a reasonable period of time,as determined by the state; and

(2) not later than thirty days after receiving from an eligible entity a proposed quality improvement plan pursuant tosubparagraph one of this paragraph, either approve such proposed plan or specify the reasons why the proposed plancannot be approved; and

(e) after providing adequate notice and an opportunity for a hearing, initiate proceedings to terminate the designationof or reduce the funding under this article of the eligible entity unless the entity corrects the deficiency.

3. A determination to terminate the designation or reduce the funding of an eligible entity pursuant to subdivision twoof this section is reviewable by the secretary of the United States department of health and human services, pursuant tothe processes set forth in the federal community services block grant act of 1981, as amended.

Credits(Added L.2009, c. 59, pt. R, § 5, eff. April 7, 2009.)

McKinney's Executive Law § 159-l, NY EXEC § 159-lCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-m. Designation and redesignation of eligible entities in..., NY EXEC § 159-m

© 2019 Thomson Reuters. No claim to original U.S. Government Works. 1

McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-m

§ 159-m. Designation and redesignation of eligible entities in unserved areas

Effective: April 7, 2009Currentness

1. Qualified organization in or near area. (a) In general. If any geographic area of the state is not, or ceases to be, servedby an eligible entity under this article, and if the governor decides to serve such area, the governor may solicit applicationsfrom, and designate as an eligible entity

(1) a private nonprofit organization (which may include an eligible entity) that is geographically located in the unservedarea, that is capable of providing a broad range of services designed to eliminate poverty and foster self-sufficiency, andthat meets the requirements of this article; and

(2) a private nonprofit eligible entity that is geographically located in an area contiguous to or within reasonableproximity of the unserved area and that is already providing related services in the unserved area.

(b) Requirement. In order to serve as the eligible entity for the area, an entity described in subparagraph two of paragraph(a) of this subdivision shall agree to add additional members to the board of the entity to ensure adequate representation

(1) in each of the three required categories described in paragraph (a) of subdivision two of section one hundred fifty-nine-e of this article, by members that reside in the community comprised by the unserved area; and

(2) in the category described in subparagraph two of paragraph (a) of subdivision two of section one hundred fifty-nine-e of this article, by members that reside in the neighborhood to be served.

2. Special consideration. In designating an eligible entity under subdivision one of this section, the governor shall grantthe designation to an organization of demonstrated effectiveness in meeting the goals and purposes of this article andmay give priority, in granting the designation, to eligible entities that are providing related services in the unserved area,consistent with the needs identified by a community-needs assessment.

3. No qualified organization in or near area. If no private, nonprofit organization is identified or determined to bequalified under subdivision one of this section to serve the unserved area as an eligible entity the governor may designatean appropriate political subdivision of the state to serve as an eligible entity for the area. In order to serve as the eligibleentity for that area, the political subdivision shall have a tripartite board or other mechanism as required in section onehundred fifty-nine-e of this article.

§ 159-m. Designation and redesignation of eligible entities in..., NY EXEC § 159-m

© 2019 Thomson Reuters. No claim to original U.S. Government Works. 2

Credits(Added L.2009, c. 59, pt. R, § 5, eff. April 7, 2009.)

McKinney's Executive Law § 159-m, NY EXEC § 159-mCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

§ 159-n. Report of the Secretary, NY EXEC § 159-n

© 2019 Thomson Reuters. No claim to original U.S. Government Works. 1

McKinney's Consolidated Laws of New York AnnotatedExecutive Law (Refs & Annos)

Chapter Eighteen. Of the Consolidated LawsArticle 6-D. Community Services Block Grant Program (Refs & Annos)

McKinney's Executive Law § 159-n

§ 159-n. Report of the Secretary

Effective: April 7, 2009Currentness

The secretary of state shall report to the governor and the legislature by March fifteenth of each year on theadministration of the community services block grant program. The report shall include, but not be limited to, the resultsof the monitoring and evaluation of recipients of funds under the program and any recommendation for changes whichthe secretary of state deems necessary for the effective administration of the program.

Credits(Formerly § 159-l, added L.1983, c. 710, § 5. Renumbered § 159-n and amended L.2009, c. 59, pt. R, § 5, eff. April 7, 2009.)

McKinney's Executive Law § 159-n, NY EXEC § 159-nCurrent through L.2019, chapters 1 to 10.

End of Document © 2019 Thomson Reuters. No claim to original U.S. Government Works.

Attachment 4

County/Counties Eligible Entities % of Total FFY 2020 Allocation

Albany Albany County Opportunity, Inc. 0.459231% $                  259,112 

Allegany Allegany County Community Opportunities and Rural Development, Inc 0.412699% $                  232,857 

Broome Opportunities for Broome, Inc. 0.621539% $                  350,691 

Cattaraugus Cattaraugus Community Action, Inc. 0.421083% $                  237,588 

Cayuga and Seneca Cayuga/Seneca Community Action Agency, Inc. 0.730606% $                  412,229 

Chautauqua Chautauqua Opportunities, Inc. 0.421083% $                  237,588 

Chemung and Schuyler Economic Opportunity Program, Inc. of Chemung County 0.730606% $                  412,229 

Chenango Opportunities for Chenango, Inc. 0.421083% $                  237,588 

Clinton and Franklin Joint Council for Economic Opportunity of Clinton and Franklin Counties, Inc 0.908945% $                  512,853 

Columbia Columbia Opportunities, Inc. 0.421083% $                  237,588 

Cortland Cortland County Community Action Program, Inc. 0.421083% $                  237,588 

Delaware Delaware Opportunities, Inc. 0.421083% $                  237,588 

Dutchess Community Action Partnership for Dutchess County, Inc. 0.802966% $                  453,056 

Erie Community Action Organization of Erie County, Inc. 3.648283% $               2,058,463 

Essex Adirondack Community Action Programs, Inc. 0.421083% $                  237,588 

Fulton and Montgomery Fulmont Community Action Agency, Inc. 0.633160% $                  357,248 

Greene Community Action of Greene County, Inc. 0.421083% $                  237,588 

Jefferson Community Action Planning Council of Jefferson County, Inc. 0.421083% $                  237,588 

Lewis Lewis County Opportunities, Inc. 0.421083% $                  237,588 

Livingston Livingston County Board of Supervisors (Community Initiatives Council) 0.412699% $                  232,857 

Madison Community Action Program for Madison County, Inc. 0.412699% $                  232,857 

Monroe and Ontario Action for a Better Community, Inc. 3.098488% $               1,748,254 

Nassau Economic Opportunity Commission of Nassau County, Inc. 4.097073% $               2,311,682 

Niagara Niagara Community Action Program, Inc. 0.611992% $                  345,303 

New York City New York City Department of Youth and Community Development 58.760229% $             33,154,144 

Oneida and Herkimer Mohawk Valley Community Action Agency, Inc. 1.151688% $                  649,815 

Onondaga People's Equal Action and Community Effort, Inc. 2.731687% $               1,541,294 

Orange Regional Economic Community Action Program, Inc. 0.966267% $                  545,195 

Orleans and Genesee Community Action of Orleans and Genesee, Inc. 0.730606% $                  412,229 

Oswego Oswego County Opportunities, Inc. 0.412699% $                  232,857 

Otsego Opportunities for Otsego, Inc. 0.421083% $                  237,588 

Rensselaer Commission on Economic Opportunity for the Greater Capital Region, Inc 0.421083% $                  237,588 

Statewide PathStone Corporation 0.621632% $                  350,743 

Saratoga Saratoga County Economic Opportunity Council, Inc. 0.421083% $                  237,588 

Schenectady Schenectady Community Action Program, Inc. 0.421083% $                  237,588 

Schoharie Schoharie County Community Action Program, Inc. 0.421083% $                  237,588 

Steuben and Yates Pro Action of Steuben and Yates, Inc. 0.730606% $                  412,229 

St. Lawrence St. Lawrence County Community Development Program, Inc. 0.421083% $                  237,588 

Suffolk Economic Opportunity Council of Suffolk, Inc. 2.292473% $               1,293,477 

Sullivan* To Be Determined 0.421083% $                  237,588 

Tioga Tioga Opportunities, Inc. 0.421083% $                  237,588 

Tompkins Tompkins Community Action, Inc. 0.421083% $                  237,588 

Ulster Ulster County Community Action Committee, Inc. 0.421083% $                  237,588 

Warren and Hamilton Warren‑Hamilton Counties Action Committee for Economic Opportunity, Inc 0.633160% $                  357,248 

Washington Washington County Economic Opportunity Council, Inc. 0.421083% $                  237,588 

Wayne Wayne County Action Program, Inc. 0.421083% $                  237,588 

Westchester, Putnam, Rockland Westchester Community Opportunity Program, Inc. 2.879853% $               1,624,894 

Wyoming Wyoming County Community Action, Inc. 0.412699% $                  232,857 

City of Yonkers Yonkers Community Action Program, Inc. 0.831604% $                  469,215 

Attachment 6

CSBG Contract Work Plan for FFY

2020

Contractor FFY 2020

10/1/19 to 9/30/20 Contract #

1. Date of most recent needs assessment:

2. Describe the process used to conduct the assessment, including the involvement of low-income persons, the

community served, agency staff members and the board of directors. If the community needs assessment

process was conducted in collaboration with other community partners, fully identify those partners and

their roles.

In compliance with the above, please provide the information below:

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-1a Needs Assessment

Budget Period

42 U.S.C. 9901 et seq., Section 676, (b), (11) states that ". . . the State will secure from each eligible entity in the

State, as a condition to receipt of funding by the entity through a community services block grant made under

this subtitle for a program, a community action plan (which shall be submitted to the Secretary, at the request of

the Secretary, with the State plan) that includes a community-needs assessment for the community served,

which may be coordinated with community-needs assessments conducted for other programs;"

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

10/1/19 to 9/30/20 Contract # 0

A.

B.

C.

D.

E.

F.

G.

H.

I.

J.

*"Sub-community" means a city or other area of distinct and unique needs within the greater service area.

J.

H.

I.

F.

G.

D.

E.

B.

C.

A.

1. Name of Community Served:

Greatest Demonstrated Need(s): Programs/Services that help address the need:

Budget Period

Below, summarize the greatest needs of the community (and each sub-community*) served, as demonstrated by the most recent

community needs assessment.

ADD ADDITIONAL LINES AS NEEDED IN ORDER TO INCLUDE ALL PROGRAMS OPERATED BY THE AGENCY

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-1b Demonstrated Community Needs and Programs and Services to Address the Needs

0

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

10/1/19 to 9/30/20 Contract # 0

A.

B.

C.

A.

B.

C.

A.

B.

C.

*"Sub-community" means a city or other area of distinct and unique needs within the greater service area.

B.

C.

A.

2-c. Name of Sub-Community Served (where applicable):

Greatest Demonstrated Need(s): Programs/Services that help address the need:

B.

C.

A.

2-b. Name of Sub-Community Served (where applicable):

Greatest Demonstrated Need(s): Programs/Services that help address the need:

B.

C.

A.

2-a. Name of Sub-Community Served (where applicable):

Greatest Demonstrated Need(s): Programs/Services that help address the need:

Below, summarize the greatest needs of the sub-community* served, as demonstrated by the most recent community needs

assessment.

ADD ADDITIONAL LINES AS NEEDED IN ORDER TO INCLUDE ALL PROGRAMS OPERATED BY THE AGENCY

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-1b Demonstrated Community Needs and Programs and Services to Address the Needs (continued)

0

Budget Period

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

a)

b)

c)

d)

a)

b)

c)

d)

CSBG Funds will not be used to support this goal.

ADD ADDITIONAL GOALS AS NEEDED

Goal:

Objectives:

Check One: CSBG Funds will be used to support this goal.

Goal:

Objectives:

Check One: CSBG Funds will be used to support this goal.

CSBG Funds will not be used to support this goal.

Briefly list the major goal and corresponding objectives contained in the plan that drive capacity building activities.

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-1c Strategic Plan Goals and Objectives

0

Time frame of current Strategic Plan:

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

Briefly list the major goal and corresponding objectives contained in the plan that drive capacity building activities.

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-1c Strategic Plan Goals and Objectives

0

Time frame of current Strategic Plan:

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

Briefly list the major goal and corresponding objectives contained in the plan that drive capacity building activities.

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-1c Strategic Plan Goals and Objectives

0

Time frame of current Strategic Plan:

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

Briefly list the major goal and corresponding objectives contained in the plan that drive capacity building activities.

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-1c Strategic Plan Goals and Objectives

0

Time frame of current Strategic Plan:

New York State Department of State Division of Community Services CSBG Contract

Page 1 of

Work Plan Amendment

Contractor FFY 2020 PPR #1 PPR #3

PPR #2 PPR #4

Budget Period Contract # 0

0 #DIV/0!

(continue on next page, if necessary)

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0

10/1/19 to 9/30/20

PP

R #

1 A

chie

ved

PP

R #

2 A

chie

ved

PP

R #

3 A

chie

ved

PP

R #

4 A

chie

ved

YTD

To

tal

YTD

%

Agency needs identified in the needs assessment or strategic plan as summarized on Attachment C-1b Demonstrated Needs and C-1c Strategic Plan will form the basis for capacity building activities.

AGENCY CAPACITY BUILDING

PLEASE ADD COMMUNITY INITIATIVE GOALS (C-4d) ON THIS PAGE

Interventions

Briefly describe the activities that will

address the agency need or strategic plan

objective.

Benchmarks

List the expected outcome of the capacity

building activity.

NPI(s) or

Service/

Capacity

Codes

Method(s) of Measurement/Verification

Briefly describe the tool or process to be used

to verify progress on the outcome.

An

nu

al T

arge

t

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-2a Work Plan and Program Progress Report (PPR) Check One:

New York State Department of State Division of Community Services CSBG Contract

Page of

Work Plan Amendment

Contractor FFY 2020 PPR #1 PPR #3

PPR #2 PPR #4

Budget Period Contract # 0

0 0 #DIV/0!

(continue on next page, if necessary)

Number of Organizations (Total): 0 0 0 0

Number of organizations, both public and

private, that Community Action actively works

with to expand resources and opportunities in

order to achieve family and community

outcomes.

Please describe specific partnerships on

Attachment C-4a.

Statewide Associations or collaborations B.5.l 0 #DIV/0!

Health Service Institutions B.5.k 0 #DIV/0!

Financial/Banking Institutions B.5.j 0 #DIV/0!

Institutions of post-secondary education/training B.5.i 0 #DIV/0!

0 #DIV/0!

School District B.5.h 0 #DIV/0!

For-Profit Business or Corporation B.5.f 0 #DIV/0!

Federal Government B.5.e 0 #DIV/0!

B.5.c 0 #DIV/0!

State Government B.5.d 0 #DIV/0!

0 #DIV/0!

Faith Based B.5.b

Non-Profit B.5.a

Consortiums/Collaboration B.5.g

0 #DIV/0!

Local Government

0

10/1/19 to 9/30/20

PP

R #

1 A

chie

ved

PP

R #

2 A

chie

ved

PP

R #

3 A

chie

ved

PP

R #

4 A

chie

ved

YTD

To

tal

YTD

%

Agency needs identified in the needs assessment or strategic plan as summarized on Attachment C, C-2 Demonstrated Needs and C-4 Community Partnerships will form the basis for community partners.

AGENCY PARTNERS (Agency-wide Unduplicated Count)

Interventions

Briefly describe the activities that will address

the agency need or strategic plan objective.

Benchmarks

List the expected outcome of the capacity building

activity.

Capacity

Codes

Method(s) of

Measurement/Verification

Briefly describe the tool or process to be

used to verify progress on the outcome.

An

nu

al T

arge

t

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-2b Work Plan and Program Progress Report (PPR) Check One:

New York State Department of State Division of Community Services CSBG Contract

Page of

Work Plan Amendment

Contractor FFY 2020 PPR #1 PPR #3

PPR #2 PPR #4

Budget Period Contract # 0

0 #DIV/0!

(continue on next page, if necessary)

#DIV/0!

0 #DIV/0!

0

#DIV/0!

#DIV/0!0

0

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

0 #DIV/0!

Interventions

Briefly describe the services, activities, and

advocacy that will address the need and

achieve the outcome.

(Use service and strategy terminology from

CSBG Annual Report Module 3 & Module 4).

Benchmarks or Milestones and Outcomes

List the projected baseline number starting with the

number seeking assistance followed by the number

of customers to be enrolled. Then identify the

expected benchmarks or milestones and outcomes

to be achieved for the service or activity (Funnel).

When possible, describe the outcome using

language from the NPIs.

NPI(s) or

Service/

Capacity

Codes

Method(s) of Measurement/Verification

Identify the tool or process to be used to

verify progress on the outcome or milestone.

An

nu

al T

arge

t

PP

R #

1 A

chie

ved

PP

R #

2 A

chie

ved

PP

R #

3 A

chie

ved

PP

R #

4 A

chie

ved

YTD

To

tal

YTD

%

Program that addresses the need described above:

0

10/1/19 to 9/30/20

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-2c Work Plan and Program Progress Report (PPR) Check One:

Description of Need (Family, Community, Agency)

Briefly identify the need that documents the reason for the programs/services/milestones and outcomes listed

below. Corresponds to the needs/strategic objectives identified in Attachment C-1b Demonstrated Needs and

Attachment C-1c Strategic Plan.

New York State Department of State Division of Community Services CSBG Contract

Page

Work Plan Amendment

Contractor PPR #1 PPR #3

PPR #2 PPR #4

Budget Period 9/30/20 Contract #

Quarter 1:

Quarter 2:

Quarter 3:

Quarter 4:

Quarter 1:

Quarter 2:

Quarter 3:

Quarter 4:

Quarter 1:

Quarter 2:

Quarter 3:

Quarter 4:

Quarter 1:

Quarter 2:

Quarter 3:

Quarter 4:

(copy this page as many times as needed)

Program(s): NPI(s) or Service/Capacity codes affected:

1. Describe progress and/or challenges during reporting period in implementing the program(s):

2. Describe corrective measures undertaken to address challenges experienced during this period. (Please indicate by whom and when.)

1. Describe progress and/or challenges during reporting period in implementing the program(s):

2. Describe corrective measures undertaken to address challenges experienced during this period. (Please indicate by whom and when.)

Use this Narrative form to explain variances in PPR Outcomes that are under 80% or over 120% for the quarter.

Program(s): NPI(s) or Service/Capacity codes affected:

10/1/19 to 0

0 FFY 2020

ATTACHMENT C of

COMMUNITY SERVICES BLOCK GRANT

C-2d Work Plan and Program Progress Report (PPR) Narrative Check One:

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

1 Please select one Domain per work plan page A -$ -$ -$

Please select one Domain per work plan page C/F/A -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

0

Summary of Work Plan pages and related attachments. (This is for Direct Costs only - no Administrative Costs should be included in top table.)

C-3a Summary of Work Plan and Attachments

Primary Service Domain

Corresponds to Attachment C-1a Needs Assessment

and C-1b Demonstrated Needs

Individual/ Family

(F)

Community (C)

Agency (A)

CSBG

Grant

Funds

DIRECT

Prior Year

Unexpended

CSBG Grant Funds

DIRECT

Strategic Plan (refer to Attachment C-2a) Agency Capacity Building

Needs Assesment or Strategic Plan (refer to

Attachment C-1b and C-1c) Partnerships

Work

Plan

Page

#

Demonstrated NeedProgram Priority/

Program Name(s)

Other Cash

Resources

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

0

Summary of Work Plan pages and related attachments. (This is for Direct Costs only - no Administrative Costs should be included in top table.)

C-3a Summary of Work Plan and Attachments

Primary Service Domain

Corresponds to Attachment C-1a Needs Assessment

and C-1b Demonstrated Needs

Individual/ Family

(F)

Community (C)

Agency (A)

CSBG

Grant

Funds

DIRECT

Prior Year

Unexpended

CSBG Grant Funds

DIRECT

Work

Plan

Page

#

Demonstrated NeedProgram Priority/

Program Name(s)

Other Cash

Resources

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

Please select one Domain per work plan page -$ -$ -$

-$ -$ -$

ENTER DATA FROM THE ATTACHMENT B WORKSHEETS:

$ -

-$

-$

-$

#DIV/0!

-$ Total Admin Reported on C-3b, Lines 5 & 6

-$

-$

-$

Budget Check (this should be $0)

Adminstrative Costs Percentage:

Other Costs - Admin Costs (B-3)

TOTAL ADMIN COSTS:

TOTAL ALLOCATION & DIRECT COSTS

ENTER CSBG Allocation as reported on B-1, Line (a):

Total Admin Costs:

CSBG Allocation less Admin Costs = Direct Costs:

Amount Reported as Direct above:

Budget Check (this should be $0):

TOTAL ADMIN COSTS

Contractual/Audit - Administrative Costs (B-1, Line 3)

Equipment - Administrative Costs (B-1, Line 4)

ICR, De Minimis or Admin Rate (B-1, Line 6)

Salaries - Admin Costs (B-2)

-$

-$

-$

-$

Include additional rows, if necessary: highlight blank rows (to the left), right-click mouse and choose Copy; right-click on a blank row and choose Insert Copied Cells.

Total Direct Costs

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

0

Summary of Work Plan pages and related attachments. (This is for Direct Costs only - no Administrative Costs should be included in top table.)

C-3a Summary of Work Plan and Attachments

Primary Service Domain

Corresponds to Attachment C-1a Needs Assessment

and C-1b Demonstrated Needs

Individual/ Family

(F)

Community (C)

Agency (A)

CSBG

Grant

Funds

DIRECT

Prior Year

Unexpended

CSBG Grant Funds

DIRECT

Work

Plan

Page

#

Demonstrated NeedProgram Priority/

Program Name(s)

Other Cash

Resources

New York State Department of State Division of Community Services CSBG Contract

FFY 2020

10/1/19 to 9/30/20 Contract # 0

1. -$

2.

B C

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

CSBG Prior Year

Grant Unexpended

Funds CSBG Grant Funds

3. -$ -$

4. -$ -$

5. -$ -$

6. -$ -$

Budget Period

TOTAL CSBG ALLOCATION OF GRANT FUNDS (FEDERAL)

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-3b Planned Use of CSBG Funds by Contractor

Contractor 0

TOTAL

If CSBG spending on administrative costs will exceed 15% of CSBG grant funds, please explain:

Service Domains

Income, Infrastructure, and Asset Building

Housing

Health and Social/Behavioral Development (includes nutrition)

CSBG

Grant

Funds

Education & Cognitive Development

Prior Year

Unexpended

CSBG Grant Funds

Civic Engagement and Community Involvement

Agency Capacity Building

Other (e.g. emergency management/disaster relief)

Funds direct charged for administration, other than Attachment B-1, Line 6

Total grant funds approved for indirect cost rate, de minimis cost rate or admin. cost rate

(same as Attachment B-1, Line 6)

Total CSBG grant funds awarded to Delegate Agencies

Grand Total of CSBG Grant Funds (should match lines 1 above)

FOR EACH SERVICE DOMAIN, ENTER THE AMOUNT OF CSBG GRANT FUNDS USED (EXCLUDING ADMINISTRATIVE FUNDS):

A

Services Supporting Multiple Domains

Linkages (e.g. partnerships that support multiple domains)

Employment

New York State Department of State Division of Community Services CSBG Contract

FFY 2020

10/1/19 to 9/30/20 Contract # 0

1. -$

2.

B C

CSBG

Grant

Funds

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

-$ -$

CSBG Prior Year

Grant Unexpended

Funds CSBG Grant Funds

3. -$ -$

4. 0.00% 0.00%

5. -$ -$

Total Delegate Agency Amount Reported on C-3b: -$

Total C-3c, Line 6 (above): -$

Budget Check (this should be $0): -$

Budget Period

Service Domains

For each Service Domain (Column A), enter the aggregate amount of CSBG grant funds used (Column B and Column C) by

Delegate Agencies (excluding administrative funds):

Prior Year

Unexpended

CSBG Grant Funds

A

Employment

Education & Cognitive Development

Income, Infrastructure, and Asset Building

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-3c Summary of Planned Use of CSBG Grant Funds by Delegate Agencies

Contractor 0

If CSBG spending on administrative costs will exceed 15% of CSBG grant funds, please explain:

Housing

TOTAL CSBG ALLOCATION OF GRANT FUNDS TO DELEGATE AGENCIES

Total CSBG grant funds used for administration by Delegate Agencies

Services Supporting Multiple Domains

Linkages (e.g. partnerships that support multiple domains)

Agency Capacity Building

Other (e.g. emergency management/disaster relief)

Total Number of Delegate Agencies

Average percentage of CSBG grant funds used for administration by Delegate Agencies

Grand Total of CSBG Grant Funds and Prior Year Unexpended CSBG Grant Funds

(should match lines 1 above)

Health and Social/Behavioral Development (includes nutrition)

Civic Engagement and Community Involvement

TOTAL

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

4

Name and Type of Organization:

Description of Involvement:

Description of Involvement:

Name and Type of Organization:

COPY AND PASTE PARTNERSHIP LINES AS NEEDED

Description of Involvement:

County Department of Social Services, Local Government

Name and Type of Organization:

1. CAA will provide training/work experience to participants in the Employment & Training Program.

3. CAA staff will teach life skills to youth in foster care.

Description of Involvement:

Name and Type of Organization:

Description of Involvement:

42 U.S.C. 9901 et seq., Section 676, (b), (9) states that ". . . the State and eligible entities in the State will, to the maximum extent

possible, coordinate programs with and form partnerships with other organizations serving low-income residents of the communities

and members of the groups served by the State, including religious organizations, charitable groups, and community organizations;"

Name and Type of Organization:

2. County will provide Family Development staff use of County vehicle to transport enrolled youth to Life Skill classes.

EXAMPLE:

Describe the role(s) of other groups, associations, and organizations in the provision of services and activities (Number of

partnerships listed here should match those tracked on Attachment C-2b, Agency Partners):

Number of Partners listed below:

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-4a Community Partnerships

0

Community-based Faith-Based Private Sector Public Sector Educational Institutions

Community-based Faith-Based Private Sector Public Sector Educational Institutions

Community-based Faith-Based Private Sector Public Sector Educational Institutions

Community-based Faith-Based Private Sector Public Sector Educational Institutions

Community-based Faith-Based Private Sector Public Sector Educational Institutions

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 0

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-4b Community Partnerships (continued)

0

Contract #

Describe other linkages (optional):

42 U.S.C. 9901 et seq., Section 676, (b), (5) states that ". . . the State and the eligible entities in the State will coordinate,

and establish linkages between, governmental and other social services programs to assure the effective delivery of such

services to low-income individuals and to avoid duplication of such services, and a description of how the State and the

eligible entities will coordinate the provision of employment and training activities, as defined in section 101 of such Act,

in the State and in communities with entities providing activities through statewide and local workforce investment

systems under the Workforce Investment Act of 1998;"

Describe linkages with workforce investment:

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 0

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-4c Child Support Services and Referrals

0

Please describe the process used to identify and inform custodial parents in single-parent families that participate in CSBG

funded programs, services, and activities of the availability of child support services, and refer eligible parents to the child

support office of the State and local governments.

Contract #

Under Public Law 105-205, section 678G(b) CHILD SUPPORT SERVICES AND REFERRALS.—During each fiscal year for which an

eligible entity receives a grant under section 675C, such entity shall—

(1) inform custodial parents in single-parent families that participate in programs, activities, or services carried out or provided

under this subtitle about the availability of child support services; and

(2) refer eligible parents to the child support offices of State and local governments.

As per Appendix A1, AGENCY SPECIFIC CLAUSES, Section 10.07 "The CONTRACTOR warrants that it shall inform custodial parents in

single-parent families that participate in CSBG funded programs, services, and activities of the availability of child support services,

and refer eligible parents to the child support office of the State and local governments."

New York State Department of State Division of Community Services CSBG Contract

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period to Contract # 0

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.

10/1/19 9/30/20

Initiative Name

Initiative Year

Problem Identification

Goal/Agenda

Issue/CSBG Community Domain

Final Status

Ultimate Expected Outcome

Identified Community

Expected Duration

Partnership Type

Partners

Community Level National Performance Indicators (NPIs)

[Please report C-NPI Outcomes on Agency Capacity Building Page (C-2a)]

To be reported annually as part of the APR.

Strategy(ies)

Progress on Outcomes/Indicators

Impact of Outcomes

Outcomes/Indicators to Report

Independent CAA Initiative, CAA is the core organizer of multi-partner Initiative, or CAA is one of multiple

active investors and partners.

Narrative

(Provide a narrative on the key 1-3 partners.)

Select from the Community Level Strategies listed in Module 3, Section C (separate document list).

To be reported annually as part of the APR.

Narrative

(Provide additional information on the scope of the impact of these outcomes. For example, if an initiative

created a health clinic, please describe how many individuals and families are expected to be impacted.)

To be reported annually as part of the APR.

Narrative

(Provide a narrative on the goal/agenda.)

Please select one Community Domain*

Please select Community Level National Performance Indicators (NPIs) from Module 3, Section B:

Community National Performance Indicators (NPIs) - Data Entry Form

Neighborhood, City, School District, County, Service Area, State, Region, or Other

Narrative

(Provide the range in years, e.g. 1-3 years.)

Initiative Active, Initiative Ended Early, Initiative Ended as Planned, Completed Still Delivering Value

To be reported annually as part of the APR.

Narrative

To be reported annually as part of the APR.

0

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-4d Community Initiative Status Form

Corresponds to Module 3 - Identify one community initiative to be reported on at the end of this FFY.

Lessons Learned

Use the dropdown menu to select the response where appropriate *

1-7+ years

Narrative

(Provide a narrative on the scope of the problem.)

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

C-4e Innovative Initiative

Under Public Law 105-205, section 675C(a) Describe the use of CSBG "funds to support innovative community and

neighborhood-based initiatives related to the purposes of this subtitle, which may include fatherhood initiatives and other

initiatives with the goal of strengthening families and encouraging parenting.”

Please describe an innovative initiative currently being delivered or an initiative in the planning stages during this

contract year. The status of this initiative will be reported at the end of the contract period as part of the annual report.

0

New York State Department of State Division of Community Services CSBG Contract

Contractor FFY 2020

Budget Period 10/1/19 to 9/30/20 Contract # 0

1 0 0

0 0 0 Do not alter these lists.

0 0 0 Please select one Domain per work plan page

0 0 0 Employment

0 0 0 Education & Cognitive Development

0 0 0 Income, Infrastructure, and Asset Building

0 0 0 Housing

0 0 0 Health and Social/Behavioral Development (includes nutrition)

0 0 0 Civic Engagement and Community Involvement

0 0 0 Services Supporting Multiple Domains

0 0 0 Linkages (e.g. partnerships that support multiple domains)

0 0 0 Agency Capacity Building

0 0 0 Other (e.g. emergency management/disaster relief)

0 0 0

0 0 0 Please select one Community Domain:

0 0 0 Employment

0 0 0 Education & Cognitive Development

0 0 0 Income, Infrastructure, and Asset Building

0 0 0 Housing

0 0 0 Health and Social/Behavioral Development (includes nutrition)

0 0 0 Civic Engagement and Community Involvement

0 0 0 Services Supporting Multiple Domains

0 0 0 Linkages (e.g. partnerships that support multiple domains)

0 0 0 Agency Capacity Building

0 0 0 Other (e.g. emergency management/disaster relief)

0 0 0

0 0 0

0 0 0

0 0 0

0 0 0

0 0 0

0 0 0

Be sure to add rows here if rows were added on Summary page - copy/drag formulas/links.

Service Domain

Totals

This FY

Planned Use

Totals This FY

Planned Use

Totals this FY

Delegate

Difference

S/B ZeroCSBG Grant Funds by Service Domain Total This FY

(Attachment C-3b)

Service Domain

Totals Prior

Year

Unexpended

Planned Use

Prior Year

Unexpended

Totals

Planned Use

Prior Year

Unexpended

Funds -

Delegate

Difference

S/B Zero

-$ -$ -$ -$ Employment -$ -$ -$ -$

-$ -$ -$ -$ Education & Cognitive Development -$ -$ -$ -$

-$ -$ -$ -$ Income, Infrastructure, and Asset Building -$ -$ -$ -$

-$ -$ -$ -$ Housing -$ -$ -$ -$

-$ -$ -$ -$

Health and Social/Behavioral Development (includes

nutrition) -$ -$ -$ -$

-$ -$ -$ -$ Civic Engagement and Community Involvement -$ -$ -$ -$

-$ -$ -$ -$ Services Supporting Multiple Domains -$ -$ -$ -$

-$ -$ -$ -$

Linkages (e.g. partnerships that support multiple

domains) -$ -$ -$ -$

-$ -$ -$ -$ Agency Capacity Building -$ -$ -$ -$

-$ -$ -$ -$ Other (e.g. emergency management/disaster relief) -$ -$ -$ -$

If adding rows above - extend range for each goal.

IF FORMULA & LINKS ARE DAMAGED (ERROR/VALUE), CONTACT YOUR CSBG PROGRAM ANALYST.

Remember to add rows to match any rows added to the Summary page - see instructions on Summary page.

Please select one Domain per work plan page

ATTACHMENT C

COMMUNITY SERVICES BLOCK GRANT

Domain Calculator

0

This form is used to match funds listed on the Summary (B-6) page

with the goals listed on the Planned Use (B-5) page.

NO DIRECT ENTRIES SHOULD BE MADE ON THIS PAGE.

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Work Plan

Page #

CSBG Grant

Funds

Prior Year

Unexpended

CSBG Grant

Funds

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Services Domains

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

Please select one Domain per work plan page

New York State Department of State Division of Community Services CSBG Contract

Attachment 8: Response to Section 13.1 – Excerpt from Attachment D, Pages 4 & 5, of the State CSBG Contract with Eligible Entities (requiring the use of ROMA by all grantees).

New York State Department of State Division of Community Services CSBG Contract

extended contract.

b. The Unaudited Financial Statements and Audit will be the final project budget documents from which

preliminary and final determinations of allowable costs will be made.

1.3 Payment Office

a. Vouchers, Audits, unaudited financial statements, and periodic financial reports shall be submitted to the

Contract Administration Unit (CAU), Department of State, 99 Washington Avenue, Suite 1110, Albany, NY

12231. The Department shall notify the Contractor within 15 days if its voucher contains any claim for payment

that is incomplete or contains a claim for any payment that is not in compliance with this Agreement, and the

Contractor shall take corrective action in a timely manner.

b. Refunding Applications, Contract Amendments, Budget Amendments, and Program Progress Reports shall be

submitted to the assigned program analyst or as directed by written correspondence.

1.4 Program Reports

In accordance with PL. 105-285, Section 678E, all eligible entities are required to participate in a performance

measurement system in a form and manner as directed by the Department. All CSBG Contractors and Delegate

Agencies in New York State will participate in the Result-Oriented Management and Accountability (ROMA)

system approved by the US Department of Health and Human Services, Office of Community Services.

a. Program Progress Reports (PPR): Each Contractor shall prepare and submit four (quarterly) PPRs documenting

progress toward achieving the milestones as stated in the approved Work Plan. The PPRs are due with the

Contractor’s submission of documents for the following: (1) Second payment; (2) Third payment; (3) Fourth

payment; and (4) the earlier of: (a) the end of the Term of this Agreement, or (b) expenditure of all the funds

provided pursuant to this Agreement. Where applicable, the PPRs must include reports of Delegate Agencies.

Notwithstanding the foregoing, in addition to the four PPRs required above, Contractor agrees that it shall

submit supplemental and additional PPRs upon request of the Division of Community Services during the Term

of this Agreement. Such supplemental or additional PPRs shall be submitted in a timely fashion and in the form

and manner as required by the Division of Community Services.

b. Annual Report: Each Contractor shall annually prepare and submit to the Department a comprehensive report.

The report must include the following:

• comparison of planned uses of CSBG funds and the actual uses of the funds

• accounting of the use of CSBG funds for administrative costs

• accounting of CSBG funds used for direct delivery of services to low-income persons

• the numbers, characteristics and demographics of all persons served

• a summary of the outcomes and results achieved in accordance with the purposes, goals and assurances of

CSBG and ROMA Next Gen

• National Performance Indicators

• listing of all resources leveraged

The Annual Report shall be prepared on forms provided by the Department or other designee in the format

requested by the Department and must be submitted within the first quarter of the fiscal year.

c. Quarterly Program and Fiscal Attestation Forms: Due within 30 days of the close of each quarter.

d. Quarterly M/WBE Reports (Form C and Form F) are due within 10 days of the close of each quarter.

1.5 Contractor shall complete and provide all required reports, surveys, or questionnaires referenced in this contract on-

time. Upon request by the Department, the Contractor shall provide other reports, surveys, or questionnaires as the