Section .0100 ‑ Designation Of Service Delivery Areas

Link to law: http://reports.oah.state.nc.us/ncac/title 04 - commerce/chapter 20 - employment and training/subchapter b/subchapter b rules.html
Published: 2015

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SUBCHAPTER 20B ‑ ADMINISTRATIVE PROVISIONS

 

SECTION .0100 ‑ DESIGNATION OF SERVICE DELIVERY AREAS

 

 

04 NCAC 20B .0101          DESIGNATION OF SERVICE DELIVERY AREAS

(a)  The Governor, after recommendations from the State Job

Training Coordinating Council, designates service delivery areas, including the

Rural Service Delivery Area, to promote the efficient delivery of job training

services throughout the state, consistent with the requirements of Section 101

of JTPA.

(b)  The Rural Service Delivery Area includes units of

government that did not individually or in combination with any other units of

government seek or qualify for designation as a service delivery area other

than as a unit of government within the Rural Service Delivery Area.  The Rural

Service Delivery Area was designated to facilitate the provision of employment

and training services to citizens of those units of government.

(c)  Requests or petitions for designation as a service

delivery area must be timely received by the Director, according to schedules

published by the Director.  Requests or petitions must be approved by the State

Job Training Coordinating Council, where necessary, in compliance with Section

101 of JTPA.

(d)  The right to designation as a service delivery area

under Section 101 of JTPA may be forfeited in the event that subgrant funds are

grossly or abusively misappropriated, or the activities are grossly or

abusively maladministered.  The Governor reserves the right, after procedures

required herein, to determine that the designation of a particular service area

would not serve the best interests of the residents of the area and would not

protect the integrity of funds that the state may be liable to recoup to USDOL

in the event of misexpenditure.

 

History Note:        Authority 143B‑430(b); 20 C.F.R.

628.1; Ex. O. No. 93, June 8, 1983;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

04 NCAC 20B .0102          REDESIGNATION OF

SERVICE DELIVERY AREAS

(a)  Service delivery areas may be redesignated from time to

time, as permitted in JTPA and by this Chapter 20.  Redesignations may be

initiated by a voluntary petition for redesignation, by a notice of failure to

agree on a job training plan or by involuntary redesignation.

(b)  Voluntary petitions for redesignation.

(1)           A unit of government or a consortium of

units of government may seek redesignation by the filing of a petition for

redesignation.  The petition will request the realignment of the service

delivery area(s) that the unit(s) of government currently fall within and the

designation of either a new service delivery area or the inclusion of the

petitioning unit(s) of government in an existing service delivery area.

(2)           A redesignation petition must state the

basis on which the unit(s) of government qualify as a service delivery area, a

statement of reasons for the redesignation request, a copy of the proposed

consortium agreement, if any, a summary of the steps to be taken to procure

public comment on the redesignation, including a schedule on which the steps

should be taken, the effect, if any, on the current service delivery area(s) of

the unit(s) of government and the effect of redesignation on the provision of

services within the current service delivery area(s).

(3)           The redesignation petition must be filed

with the Director, with a copy to the chairperson(s) of the private industry

council(s) in the present service delivery area(s), at a time sufficiently in

advance of the proposed designation to permit publication, comment and approval

of the redesignation at least four months prior to the beginning of the program

year with which the redesignation would be effective.

(4)           Voluntary redesignation of a service

delivery area may not occur any more often than once every two years, provided

that inclusion of additional units in or removal of units from the Rural

Service Delivery Area shall not be subject to this restriction.

(5)           Petitions for redesignation may be filed by

unit(s) of government in a service delivery area that is subject to a

reorganization plan under Section 106(h) of JTPA, at any time, which petition

the Governor will endeavor to accommodate.

(c)  Redesignation After Notice of Failure to Agree.

(1)           A unit of government that serves as a

service delivery area or any unit or units of government in a consortium that

serves as a service delivery area must notify the Director when it is clear to

the appropriate chief elected official(s) that the private industry council and

the chief elected official will not agree on a service delivery area job

training plan.  The Director may endeavor to negotiate a mutually agreeable job

training plan, but will not be required to do so if he or she reasonably

believes that negotiation would be unproductive.

(2)           The notice of failure to agree must be

accompanied by a request for redesignation containing the information required

in Paragraph (b)(2) of this Rule and attaching a copy of the resolution of the

governing board or statement of the chief elected official that agreement on

the job training plan will not be reached.

(d)  Involuntary Redesignation.

(1)           If the Governor determines that, because of

shifts in population or changes in originally designated service delivery

areas, the existing service delivery areas do not satisfy the intent of JTPA,

the Governor may request that the State Job Training Coordinating Council

propose appropriate service delivery areas as described in Section 101 of JTPA.

Units of government and consortia of units of government may request

designation as a service delivery area.

(2)           If the Governor determines that an existing

service delivery area has grossly or abusively misappropriated funds or grossly

or abusively maladministered activities, and if corrective action has not been

taken, the Governor may condition the receipt of future subgrant funds on the

filing of a petition for redesignation under Paragraph (b) of this Rule,

provided that his sanction shall only be used where the existing designation

does not serve the best interests of the residents of the service delivery area

and would not protect the integrity of funds, for which the state may be

liable.

(e)  Redesignations will be accompanied by a reconstitution

of the affected private industry councils.

(f)  The redesignation of the service delivery area for any

unit(s) of government shall not affect the right of the Division to proceed

against the unit(s) of government for disallowed costs incurred by the service

delivery area grant recipient during the period in which the unit(s) of

government belonged to the service delivery area.

(g)  Determinations under this Section are reviewable

pursuant to 4 NCAC 20C .0002 or by the Secretary of USDOL if JTPA Section 101 (A)(4)(c)

applies.

 

History Note:        Authority G.S. 143B‑430(b); 20

C.F.R. 628.1; Ex. O. No. 93, June 8, 1983;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. August 1, 1988; July 1, 1988; October 1,

1984; August 1, 1982.

 

 

 

04 NCAC 20B .0103          RESERVED

04 NCAC 20B .0104          LOCATION

04 NCAC 20B .0105          REQUESTS FOR INFORMATION BY THE PUBLIC

04 NCAC 20B .0106          FUNCTIONS

04 NCAC 20B .0107          ADMINISTRATIVE PROCEDURES: COMPLAINTS

AND SANCTIONS

04 NCAC 20B .0108          GENERAL HEARING AND APPEAL PROCEDURES

 

History Note:        Legislative Objection Lodged Eff. March

9, 1983;

Statutory Authority G.S. 132‑1; 132‑6; 143B‑430(b);

150B‑2(2); 150B‑11; 150B‑23;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. March 1, 1983; August 1, 1982;

Repealed Eff. October 1, 1984.

 

 

 

04 NCAC 20B .0109          COMPLAINTS: DEMONSTRATED

EFFECTIVENESS: CONTRACT BIDS

 

History Note:        Legislative Objection Lodged Eff. March

9, 1983;

Statutory Authority G.S. 143B‑430(b); 150B‑2(2);

150B‑11; 150B‑23;

Eff. March 1, 1983;

Repealed Eff. October 1, 1984.

 

 

 

 

 

SECTION .0200 ‑ PLANNING AND CONTRACTING

 

04 NCAC 20B .0201          JOB TRAINING PLANS FOR SERVICE

DELIVERY AREAS

(a)  An acceptable and approved job training plan is a

prerequisite to the receipt of subgrant funds from the Division.  Except for

the grant period that expires June 30, 1984, the job training plan shall cover

two program years.

(b)  The job training plan must be developed as described in

the written agreement between the private industry council and the chief

elected official(s) and in a manner consistent with federal law.  The proposed

plan or a summary thereof must be published and made available for review and

comment to groups designated in the JTPA, any specific groups required by the

Division and the public, at least 120 days before the beginning of the first of

the two program years covered by the job training plan.  The final plan must be

published not less than 80 days before the beginning of the first of the two

program years.  The final plan must be submitted in writing not less than 80 days

before the beginning of the first of the two program years.

(c)  The job training plan shall be submitted in a format

required by the Division.  It must have received the approval of the private

industry council, and bear the signature of that chairperson, and the chief

elected official(s), and bear the signature(s) of the official(s).  It shall

address all the requirements in Section 104 of the JTPA.

(d)  Modifications shall be treated in the same manner as

plans, except that publication 120 days in advance of the first of the two

program years is not required.  Modifications must be published and submitted

at least 80 days before their effective date.  Amendments of a minor matter not

effecting a material change in the job training plan may be deemed by the

Division to constitute clarifications rather than modifications.

(e)  The Governor, upon recommendation of the State Job

Training Coordinating Council, will approve job training plans and

modifications unless he finds that a condition identified in Section 105(b) of

the JTPA is present or that the plan or modification violates state law. 

Approval or disapproval will occur within 30 days of submission of the plan or

modification, except as described in Paragraphs (f) or (g) of this Rule.

(f)  Individuals who represent a substantial client interest

and took appropriate steps to present his or her views and seek resolution

prior to submission of the plan to the Governor may, upon demonstration of such

qualification, petition the Director, as delegate of the Governor, to

disapprove a plan or modification, provided that the petition must be in

writing received within 15 days of submission of the plan or modification or

within 10 days of submission of a resubmitted plan or resubmitted modification

and that the petition must specify that the request is based on a violation of

statutory requirements in the plan itself.  Petitions that fail to comply with

the requirements of this Paragraph will not be considered.  If the Governor

approves the plan, the Director, as delegate of the Governor, will notify the

petitioner of the approval and the reasons thereof.  If a petition is filed,

the time for approval or disapproval of an original plan or modification shall

be extended an additional 15 days.

(g)  In the event of disapproval of a job training plan or

modification, the Director will notify the chairperson of the private industry

council and the chief elected official(s), who shall have 20 days from receipt

of that notice to file with the Director a correction of the deficiencies in

plan or modification.  The Governor shall review and approve or disapprove the

resubmitted plan or modification within 15 days, which 15 days may not be

extended by a petition under Paragraph (e) of this Rule, although a petition

that satisfies the requirements of Paragraph (e) of this Rule will be

considered.

(h)  In the event of disapproval of a plan or modification

or a resubmitted plan or modification, the chairperson of the private industry

council, jointly and in writing, may appeal the disapproval to the Secretary of

Labor, as set forth in 20 C.F.R. 628.5(c) provided such appeal is received

within 30 days of receipt of the disapproval, that a copy of the appeal is

simultaneously provided to the Secretary of Labor, and that federal requirements

are met.

(i)  In the event that approval or disapproval is not made

within the time required by these Rules, the existing job training plan shall

continue to control the operation of activities by the service delivery area

administrative entity until approval or disapproval.

(j)  In the event of disapproval of a job training plan and

expiration of the prior approved job training plan, the Director may elect to

continue operation under the prior approved job training plan until correction

of deficiencies, resubmission and approval or until resolution of an appeal by

the service delivery area private industry council and chief elected

official(s) of the disapproval, or the Director may elect to take appropriate

measures to assure the operation of job training activities in the service

delivery area consistent with state law and policy and federal law during

resolution of the appeal of disapproval, provided that such measures may not be

punitive and shall be consistent with the job training plans approval for other

service delivery areas.

(k)  In the event of further administrative or civil action

by a petitioner under Paragraph (e) of this Rule after the Governor has

approved a job training plan or modification, the plan or modification shall

not be delayed by the further action unless ordered by a tribunal of competent

jurisdiction, by the Secretary of Labor or by the Governor in his discretion,

which discretion shall not be exercised unless there is a likelihood of

substantial injury to the petitioner's client interest and unless there is

insubstantial harm from delay.

(l)  The Rural Service Delivery area is not the state, under

Section 105(d) of the JTPA, and shall submit its job training plan and any

modification to the Governor.

 

History Note:        Authority 143B‑430(b); 20 C.F.R.

628.4; Ex. O. No. 93, June 8, 1983;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. August 1, 1988; October 1, 1984; August 1,

1982.

 

 

 

04 NCAC 20B .0202          JOB TRAINING CONTRACTS BY THE DIVISION

(a)  The Division may enter into written contracts for the

operation or administration of job training activities, or any part of them,

with contractors.  Bidders, in the case of requests for proposals, or

prospective contractors, when there is no formal request for proposals, must

submit an application in a form required by the Division, which must be

accurately completed, signed by an authorized signatory and received by the

Division in accordance with the schedule established by the Division.

(b)  Only entities that fulfill the following criteria will

be eligible to receive a contract:

(1)           As to units of government, including state

agencies, the entity must be in compliance with all applicable federal and

state statutes dealing with accounting and budgeting, must be cooperating in

the resolution and collection of previously disallowed costs, if any, in a

previously funded employment and training program (provided that the pursuit of

appeals shall not constitute failure to cooperate), and must be willing to

accept responsibility for contract funds, including any potential future

liability that may arise out of the use of the contract funds.

(2)           As to non‑governmental bidders and

prospective contractors, including profit and non‑profit organizations,

the entity must have an accounting system including a designated finance

officer and internal fiscal controls, that are compatible with the reporting

systems required by USDOL and the Division and that satisfy the Division of the

fiscal integrity of contract funds.  The entity must be capable of providing

the Division with assurances, through past performance or otherwise, that it

will comply fully with federal and state regulations, and the entity must be

willing to accept responsibility for the contract funds, including any

potential future liability that may arise out of the use of the contract funds.

(c)  Contracts may be entered into for a period that does

not extend beyond one fiscal year.  Contracts for a period of one year or less

that are part of a proposal to conduct an activity over more than one year may

be extended by the Division if the performance under the original contract is

satisfactory.  In such an event, the extension shall be accomplished by the

execution of a new contract document, but, in the event that a request for

proposals would otherwise be required, it may not be required for the

extension.

(d)  The selection of service providers by the Division

shall be guided by the following criteria: the effectiveness of the agency or

organization in developing comparable or related services based on demonstrated

performance goals, cost, quality of training, and characteristics of

participants; the ability of the service provider to provide linkages required

by the Governor's Coordination and Special Services Plan; the record of the

service provider as a contractor under previous employment and training grants

or other federal grants, including the monitoring and audit history of the contractor

and the compatibility of the service provider and the program or projects

offered with job training services and service providers throughout the area

and the state.  The Division shall not be required to contract with any service

provider about whom the Division has a verifiable reason to doubt its fiscal or

programmatic integrity.

(e)  In the event that the Division determines to accept

applications for the operation of a program or project where the program or

project could not reasonably be operated by more than three specific

contractors, such as residential programs for institutionalized individuals,

the Division will not advertise generally for proposals or applications. 

Entities that have specifically requested, by writing to the Director, that

they wish to receive and have the opportunity to submit proposals for

applications for the specific type of job training activities sought under this

Paragraph must be considered viable prospective contractors unless they fail to

meet the qualification set out in Paragraph (b) of this Rule.  This procedure

is limited to instances in which a total of three potential contractors or less

are identified, and this procedure does not affect the availability of sole

source contracting, when such is appropriate.

 

History Note:        Authority G.S. 143B‑430(b); 143B‑277;

20 C.F.R. 627.21; 20 C.F.R. 629.34;

Ex. O. No. 93, June 8, 1983;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0203          CONTRACT STANDARDS

(a)  In consideration for receiving JTPA funds from the

Division, the subrecipient shall enter into an agreement with the Division. 

Agreements may be subgrant agreements, contracts for job training services or contracts

for services or goods.  All agreements are subject to existing purchase and

contract regulations, except as specifically exempted.

(b)  Contracts for the purchase of services, other than job

training services, and goods are governed solely by the purchase and contract

regulations, except to the extent the procurement falls under the federal

regulations.  Contracts for small purchases, that is contracts for services or

goods that do not exceed ten thousand dollars ($10,000) in the aggregate from a

single contractor in a single billing period, shall be construed by the

Division to be exempt from the federal regulations as to content and provisions

for services and goods contracts.

(c)  Contracts for job training services are subagreements

for carrying out the substantive parts of the project for the purposes of the

federal regulations.

(d)  Subgrants and contracts for job training services must

contain the following minimum requirements:

(1)           A plan of work, such as a job training plan

or a proposal or application;

(2)           A budget;

(3)           A period of services, with a stipulation

that the agreement shall not be considered completed for statute of limitation

purposes until final federal action on any disallowed costs incurred under the

agreement;

(4)           Agreement to comply with applicable federal

and state laws and procedures;

(5)           A recognition of the Division's right to

modify the terms to comply with changes in federal law or state statutes,

provided that except where such changes are permitted to have retroactive

effect, such unilateral modification may only have prospective effect;

(6)           Reasonable constraints on subcontracting

and subcontract terms;

(7)           Budgeting, invoicing, payment and closeout

provisions, including provisions requiring the subgrantee or contractor to

return unexpended funds to the Division, to waive claims to reimbursement for

costs not submitted with the closeout period and to acknowledge the Division's

right to offset, withholding and other appropriate recoupment procedures,

including repayment;

(8)           Recordkeeping, reporting and accounting

provisions, consistent with federal law and state policies;

(9)           Provisions relative to property procurement

and management;

(10)         Civil rights assurances, including

provisions for a grievance procedure as required and identification of an equal

employment opportunity officer;

(11)         Provisions permitting monitoring, oversight

and investigation by division and federal personnel;

(12)         Prior approval of the governing board or

authorized official, if such is required;

(13)         The hearings procedure applicable to the

agreement and disputes thereunder;

(14)         Provisions relating the amendment of the

agreement, acknowledging the Division's right to amend the agreement

unilaterally in those instances in which the Division is permitted by law to

amend unilaterally, such as when the Division relieves the subgrantees or

contractor of an obligation under the agreement, and in those instances when a

change in federal or state law or a clarification in state policy requires an

amendment, provided that such amendments, unless otherwise permitted to have

retroactive effect, will have prospective effect only; and

(15)         The signatures of the authorized signatories

for the Division and for the subgrantee or contractor, although the signatures

may occur on identical counterparts of the same agreement.

(d)  The goals and obligations of the subgrantee or

contractor must be clearly addressed in the job training plan or application or

proposal and must be stated in unambiguous terms.  The approval of a subgrant

or a contract and its execution by the Division does not constitute agreement

by the Division that the requirements of this Paragraph have been satisfied.

(e)  To the extent that any language in the job training

plan or contract application or proposal or any term of the contract or

subgrant conflicts with federal law, it shall be construed, if possible, in a

manner that shall not cause a conflict with federal law, and if such is not

possible, it shall be construed as void ab initio but shall not effect the

remainder of the subgrant or contract.

 

History Note:        Authority G.S. 143‑277; 143B‑430(b);

20 C.F.R. 629.34; 41 C.F.R. 29‑70;

Ex. O. 93, June 8, 1983;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0204          DIVISION RESPONSIBILITIES

04 NCAC 20B .0205          TECHNICAL ASSISTANCE AND MONITORING

 

History Note:        Authority G.S. 143B‑430(b) through

279; 20 C.F.R. 676.51 through 54;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. August 1, 1982;

Repealed Eff. October 1, 1984.

 

 

 

04 NCAC 20B .0206          REQUIRED REPORTING

04 NCAC 20B .0207          REPORT TO THE GOVERNOR ON EQUAL

EMPLOYMENT OPPORTUNITY

04 NCAC 20B .0208          DISTRIBUTION OF REPORTS

 

History Note:        Authority Title VI of the Civil Rights

Act of 1964; Title VII of the Civil Rights Act

of 1964, as amended by the Equal Opportunity Act of 1972;

Federal Executive Order

11246, as amended by Executive Order 113.75;

Comprehensive Employment and

Training Act of 1973, as amended by Public Law 93‑567;

143B‑430(b);

Eff. February 1, 1976;

Transferred From T01: 18 Eff. September 15, 1981;

Repealed Eff. August 1, 1982.

 

 

 

 

 

SECTION .0300 ‑ FISCAL STANDARDS

 

04 NCAC 20B .0301          BUDGETING

(a)  Subgrantees and contractors shall prepare estimated

budgets as described in division instructions, consistent with federal

regulations and shall submit the budgets as part of their job training plans or

contract applications.  Amendments to or deviations from the budget shall be

governed by the subgrant agreement or the contract document.

(b)  Each subgrantee and contractor shall maintain its

budget in accordance with the provisions of the applicable budget and fiscal

control acts in the General Statutes, the subgrant or contract and the federal

law.

 

History Note:        Authority G.S. 143B‑430(b); 159‑7;

Ex. O. No. 93, June 8, 1983;

OMB Circular A‑102, January, 1981;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0302          ACCOUNTING STANDARDS

Accounting systems of subgrantees and contractors must be

created and maintained to provide fiscal integrity, cash management as required

by the United States Department of the Treasury, access to fiscal information for

monitoring and as required for federal and state reporting and the creation of

auditable books and records.  The Division may develop specific accounting

procedures to effectuate those goals, which, when developed and formally issued

as required by the contract and subgrant agreements, shall become terms of the

contract and subgrant agreements.

 

History Note:        Authority G.S. 143B‑430(b); 159‑7;

OMB Circular A‑102, January, 1981;

Ex. O. 93, June 8, 1983;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0303          COST STANDARDS

(a)  For cost reimbursement contracts and subgrants, the

subrecipient may elect to receive its costs by advance or by reimbursement,

unless the Division determines to condition funding by requiring reimbursement,

which shall usually be limited to interruptions in federal funding or the

absence of assurance of the fiscal integrity of the subrecipient.

(b)  Subrecipients shall include in expenditure or

reimbursement reports all allowable costs actually incurred during the report

period. Allowable costs or expenditures and the frequency and format of

financial reporting will be determined by the Division and by federal law and

reporting requirements.

(c)  Cost standards may vary according to the type of

contract or subgrant agreement executed between the Division and the

subrecipient.

(d)  Any subgrantee or division contractor that intends to

recover, by advance or reimbursement, must have an approved indirect cost rate

negotiated with its cognizant agency or, if it has no federal cognizant agency,

with the Division.  A subgrantee or division contractor that reimburses or

advances payment for indirect costs to its contractors and a contractor that

reimburses or advances payments for indirect costs to its subcontractors are responsible

for ascertaining the existence of, or negotiating those indirect cost rates.

(e)  Income derived from activities that have been funded by

JTPA funds, with the exception of on‑the‑job training and tryout

employment, is program income and is subject to division instructions on

program income. Any such income shall increase the funds for that program and

shall be used for program purposes (without regard, however, to cost

categories) unless otherwise specifically prohibited.  Program income received

by state agencies, local education agencies and quasi‑public non‑profit

organizations, such as private non‑profit hospitals, may be exempted from

all or some of the program income instructions on a showing to the Division of

good cause for the exemption.

(f)  In‑kind contributions of services and donations

of property are generally allowable only to offset disallowed costs, except

that in‑kind contributions and donations may be used for matching fund

purposes.  Offset is only permissible with the prior written approval of the

Division.

(g)  The matching contribution required for some employment

and training activities may, without limitation, consist of:

(1)           Charges incurred by a subrecipient as

project costs including charges not requiring cash outlays during the subgrant

or contract period;

(2)           Federal funds, only to the extent the

authorizing legislation specifically permits their use as matching funds;

(3)           Project costs financed with cash

contributed or donated to the subrecipient by non‑federal third parties;

(4)           Employer's on‑the‑job training

contributions;

(5)           Full time equivalency accruals in the

community college system earned by Title III participants (available for Title

III only);

(6)           Unemployment benefits paid from state funds

to participants (limited to 50 percent of the matching funds contribution);

(7)           Employers' expenditures on behalf of Title

III participants, such as the cost associated with outplacement centers,

retraining programs, resume services and the like, during the period of the

subgrant or contract and to the extent that the activities conducted are

allowable activities within the contract or subgrant;

(8)           Education costs, which may be based on a

proportion of actual costs relative to the participation of participants in the

education services, plus extraordinary costs of education services, provided to

JTPA participants;

(9)           In‑kind services, to the extent

approved, that provide services that are reasonable and necessary for the

proper and efficient operation and accomplishment of program or project

objectives;

(10)         Donated property that is necessary and

reasonable for the proper and efficient operation and accomplishment of program

or project objectives, which may be considered as part of the matching share on

approval of the Division; and

(11)         Such other property, services, expenditures

or costs as the Director may determine contributes to program or project

objectives.

 

History Note:        Authority 20 C.F.R. 629.31; 20 C.F.R.

629.46; 41 C.F.R. 29.70;

OMB Circular A‑102, January 1981; Ex. O. 93, June

8, 1983; 143B‑430(b);

February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0304          PROCUREMENT AND PROPERTY STANDARDS

(a)  In order to insure that the maximum benefit is derived

from subgrant and contract funds, subrecipients must adhere to all federal,

state, local and internal procurement guidelines.  Non‑governmental

subrecipients must adopt and adhere to procurement procedures that reflect

compliance with the intent of laws and regulations applicable to governmental

subrecipients, specifically prohibitions on solicitation or acceptance of

anything of monetary value from suppliers or potential conflict of interest for

a member of the board of the subrecipient, an officer of the subrecipient, an

employee or agency of the subrecipient, or a member of the immediate family of

a board member, officer or employee.

(b)  Cost plus a percentage of cost contracts are

prohibited.

(c)  Real property may not be procured or received without

prior written authorization from the Division.  Nonexpendable property may not

be affixed to real property without the prior written authorization of the

Division.  The Division may condition the procurement or receipt of real

property or the affixation of nonexpendable property to real property, as the

Division considers is necessary to comply with federal law and to effectuate

JTPA policies.  Except where specific written authorization has been procured,

the affixation of nonexpendable property to real property is a conversion of

that property.

(d)  Nonexpendable property shall be subject to the

following regulations:

(1)           Title to property.  Title to all

nonexpendable property, except nonexpendable property to which the federal

government claims title, that is purchased with federal employment and training

funds received directly or indirectly through the Division, shall be in the name

of the Department.  To the extent possible, nonexpendable property should be

procured with funds from a single grant source, to facilitate identification of

nonexpendable property.  Where nonexpendable property is purchased in part with

JTPA funds and in part with other funds, the Department has a proportionate

interest in the property and it is covered by this Paragraph.

(2)           Use.  Nonexpendable property may be used by

the subgrantee or contractor as long as there is a need for such property to

accomplish the subgrant or contract objectives, or the objectives of subsequent

contracts or subgrants from the Division, supported by JTPA funds.

(3)           Transfer.  When the subgrantee or

contractor no longer needs the nonexpendable property, it is the responsibility

of the subgrantee or contractor to return the property to the physical control

of the Division.  The Division may provide transportation for the property. 

This Section shall not apply if the depreciated value of the property is less

than one hundred dollars ($100.00), in which case the subgrantee or contractor,

after completion of any required forms, may retain the nonexpendable property,

unless the federal government has a claim to the title of the property.

(4)           Constructive Transfer.  The use of property

for non‑JTPA purposes will be deemed a constructive transfer to the

subgrantee or contractor, which will be liable for the fair market value of the

nonexpendable property at the time of the constructive transfer.  The fair

market value will be payable to the Division, or in the Division's discretion,

to the subgrant or contract funds, where it will be treated in all respects as

program income, except that the exemption for on‑the‑job training

and tryout employment programs will not apply to program income generated in

this manner.

(5)           Non‑expendable property must be

subjected to a physical inventory not less than once a year.  Subgrantees must

identify property officers responsible for the maintenance of an inventory. 

The Division will conduct the inventory of its contractors' nonexpendable

property and will conduct periodic reviews of the inventory of subgrantees'

nonexpendable property.  Physical inventories made other than at the close of

the fiscal year must be updated effective the last day of the fiscal year.

(6)           All nonexpendable property must have

property labels, as required by the state and federal regulations, affixed. 

The property officer for the subgrantee shall be responsible, in concert with

the Division, for assuring that all subgrantee nonexpendable property bears the

appropriate label(s).

(7)           Property records shall be maintained

accurately and shall provide:

(A)          A description of the property;

(B)          Manufacturer's serial number or other identification

number;

(C)          Acquisition date and unit acquisition cost;

(D)          Source of the property;

(E)           Percentage of JTPA funds used in the acquisition;

(F)           Location, use and condition of the property;

(G)          State and/or federal government control number from

label; and

(H)          Ultimate disposition data.

(8)           Adequate maintenance procedures shall be

implemented to insure maximum use of the property.

(9)           Nonexpendable intangible property shall

become the property of the Division when developed by or in a funded activity,

as a work for hire by the Division.  The intangible property shall be

available, for the costs of reproduction to any subgrantee or contractor for

JTPA purposes, and shall be available as otherwise required by the federal

regulations.  Income generated from intangible property will be payable to the

Division, to the subgrant or contract funds where the intangible property was

developed, where it will be treated as program income.

(e)  Nothing in Rule .0304 is meant or should be interpreted

to contravene applicable federal law governing the procurement, use or

disposition of property acquired by a subrecipient with federal funds.

(f)  Property donated to a subrecipient shall not be

construed as donated to the grant or contract itself unless it is specifically

so designated.  The value of donated property may be used for matching funds

purposes without donation to the grant or contract.  In the event that property

is donated to the grant or contract, it shall be treated as acquired property

subject to applicable regulations.  The unit acquisition cost upon which the

property should be categorized is the fair market value at the time of

donation.

(g)  Property purchased by a subrecipient with funds

generated by or in a performance‑based contract is not subject to Rule

.0304.

 

History Note:        Authority G.S. 143‑277; 143B‑430(b);

Ex. O. 93, June 8, 1983; 20 C.F.R. 629.41;

41 C.F.R. 29‑70;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. June 1, 1985; October 1, 1984; August 1,

1982.

 

 

 

04 NCAC 20B .0305          ADMINISTRATION OF THE PLANS

 

History Note:        Authority G.S. 143B‑430(b) through

279; 20 C.F.R. 676.37:

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. August 1, 1982;

Repealed Eff. October 1, 1984.

 

 

 

04 NCAC 20B .0306          PROGRAM ASSESSMENT

04 NCAC 20B .0307          CORRECTIVE ACTION

 

History Note:        Authority G.S. 143B‑430(b); 143B‑395;

P.L. 93‑203 as amended by P.L. 93‑567;

Eff. February 1, 1976;

Transferred From T01: 18 Eff. September 15, 1981;

Repealed Eff. August 1, 1982.

 

 

 

 

 

SECTION .0400 ‑ PERSONNEL STANDARDS FOR SUBRECIPIENTS

 

04 NCAC 20B .0401          GENERAL PERSONNEL STANDARDS FOR

SUBRECIPIENTS

Proper and efficient administration of employment and

training programs requires proper and efficient personnel administration within

a subrecipient's organization and in cooperation with federal, state and local

agencies involved in administering employment and training activities. 

Subrecipients should engage in activities to enhance efficiency such as clear

organization structure, definition of job functions, recruitment and employment

of qualified personnel and the development of individual employee efficiency.

 

History Note:        Authority G.S. 126; 143B‑430(b);

Ex. O. 93, June 8, 1983; 20 C.F.R. 628.3;

5 C.F.R. 900, Subpart F;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20b .0402          federal personnel standards

04 NCAC 20B .0403          state personnel standards for

subrecipients

 

History Note:        Authority G.S. 115C, Subchapter V (Rule

.0403); 126-1 (Rule .0403); 143-16; 143-16.1; 143-341; 143B-430(b); 5 C.F.R.

900, Subpart F (Rule .0402); 20 C.F.R. 629.1 (Rule .0402);

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982;

Repealed Eff. July 1, 2012.

 

04 NCAC 20B .0404          CERTAIN POLITICAL ACTIVITIES

PROHIBITED

(a)  The federal Political Activities Act, commonly referred

to as the Hatch Act, places certain restrictions on the political activity of

individuals employed in federally funded activities.  The Hatch Act is

applicable to subrecipient employees who are covered by the definitions in the

act.

(b)  Technical assistance in the interpretation and

application of the act is available from the Office of the Special Counsel of

the United States Merit Systems Protection Board, 1120 Vermont Avenue, N.W.,

Washington, D.C., 20419.

 

History Note:        Authority G.S. 143‑16; 143‑16.2;

143‑341; 143B‑430(b); 5 U.S.C. 1502(a)(3); 5 U.S.C. 1503;

20 C.F.R. 629.3;

Eff. February 1, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0405          FISCAL REPORTING REQUIREMENT: GENERAL

04 NCAC 20B .0406          METHODS OF PAYMENT

04 NCAC 20B .0407          INVOICE PROCEDURES AND PENALTIES

04 NCAC 20B .0408          OTHER REPORTING REQUIREMENTS

04 NCAC 20B .0409          AUDITING REQUIREMENTS

04 NCAC 20B .0410          PROGRAM MONITORING REQUIREMENTS

04 NCAC 20B .0411          CONTRACTS ADMINISTRATION POLICIES AND

PROCEDURES BULLETIN

 

History Note:        Authority G.S. 143B‑430(b); 143B‑395;

P.L. 93‑203 as amended by P.L. 93‑567;

Eff. February 1, 1976;

Transferred From T01: 18 Eff. September 15, 1981;

Repealed Eff. August 1, 1982.

 

 

 

04 NCAC 20B .0412          NON‑DISCRIMINATION AND EQUAL

EMPLOYMENT OPPORTUNITY

(a)  Subrecipients shall not discriminate against any

employee, including participants and potential beneficiaries of employment and

training programs or projects because of race, color, sex, religion, handicap,

political affiliation or national origin.  This applies to all programs,

projects or activities funded in whole or in part with federal employment and

training funds received directly or indirectly through the Division.

(b)  Each subgrantee and division contractor is responsible

for designating an equal employment opportunity officer, who shall be

responsible for assuring that discrimination does not occur in that

subrecipient's programs or projects.  The Division may require the equal

employment opportunity officer to certify the procedures by which the officer

secured that assurance.  The equal employment officer for a subrecipient is

also responsible for the development of a grievance procedure that provides an

opportunity for hearings that USDOL designates are not the primary

responsibility of USDOL.  The equal employment officer is responsible for

disseminating information to employees and participants concerning the

subrecipient's nondiscrimination policy and the grievance procedures.

(c)  Division contractors may request that the Division

provide equal employment opportunity services for the contractor.

(d)  All subrecipients will be subject to periodic review

for compliance with Paragraph (a) of this Rule, which review will be made by

division staff.  Division staff may recommend corrective measures to assure

nondiscrimination, and, in the event of failure to correct deficiencies, the

Director may impose such sanctions as are available under the contract or

subgrant for failure to comply with a term of the contract or subgrant.

 

History Note:        Authority G.S. 143‑16; 143‑16.1;

143‑341; 143B‑430(b); Ex. O. 93, June 8, 1983;

20 C.F.R. 629.3;

Eff. October 1, 1984.

 

 

 

04 NCAC 20B .0413          NEPOTISM PROHIBITED

(a)  Subrecipients must include provisions in their

personnel policies guarding against nepotism.  The nepotism prohibition should

apply to subrecipient staff.

(b)  At a minimum the nepotism provisions should prohibit

the employment of two or more members of an immediate family within the same

agency if such employment will result in one member supervising another member

of his or her immediate family, or where one member occupies a position that

has influence over the other's employment, promotion, salary administration or

other related management or personnel considerations, except where such

functions are wholly ministerial.

(c)  All subrecipients must ensure that the selection of

program participants is protected from undue consideration being granted to

immediate family of program or administrative staff members.

 

History Note:        Authority G.S. 14‑234; 143B‑430(b);

Eff. October 1, 1984.

 

 

 

 

 

SECTION .0500 ‑ REPORTING AND EVALUATION

 

04 NCAC 20B .0501          REPORTING AND RECORDS

(a)  Each subgrantee and division contractor is required to

report data to the Division in a manner prescribed by the Division.  The

Division shall require the reporting of such data as is necessary for the

administration of an effective, efficient and complying program and is

necessary for preparation of reports as required by USDOL.

(b)  To the extent that automated or electronic data systems

can be utilized to gather, prepare and disseminate such reports, the subgrantee

and contractor should endeavor to use such systems.  The Division will provide

guidance and technical assistance regarding standards for data formats, files

and other related aspects of a system.

(c)  Records relating to funded activities must be

maintained for at least three years from the close of the fiscal year in which

the activities were conducted.  In the event that an audit has been conducted

that identifies questioned costs, the records must be maintained until final

resolution of the questioned costs (through recoupment or allowance) by USDOL

or in a court of last resort.

(d)  The Division shall endeavor to utilize available

automated or electronic data systems to facilitate reporting, by developing reporting

formats compatible with such systems and by permitting reporting and

recordkeeping through such systems.

(e)  Every subrecipient shall be obligated to notify the

Division by the quickest means appropriate of all violations or reasonable

suspicion of violations occurring in any funded activity or in the

administration of an entity that manages or operates funded activities.  The

subrecipients shall inform all staff that they have an independent obligation

to make such reports.  It shall be a violation of these Regulations and a

ground for revocation of funding to take retaliatory action in any way against

any person who reports alleged misconduct under this Paragraph.

 

History Note:        Authority G.S. 143‑16; 143‑16.1;

143‑341; 143B‑430(b); Ex. O. 93, June 8, 1983;

20 C.F.R. 529.35; 41 C.F.R. 29‑70.203;

Eff. November 17, 1976;

Transferred from T01: 18; Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0502          EVALUATION

(a)  Subrecipients shall assist the Division, USDOL, and, if

applicable, the private industry council in the service delivery area and/or

the State Job Training Coordinating Council, or any agent of them, in

conducting evaluations, monitoring and assessment of their funded activities. 

This requirement includes access to local records (including the records of on‑the‑job

training and tryout employment employers), staff and participants and, if

requested, the participation of local staff on evaluation task forces and at

workshops.  The Division will be responsible for ensuring the subrecipients are

informed as soon as possible about evaluation and monitoring needs and emphasis

will be placed on minimizing disruption of subrecipient operation.  Unless the

regulations or policy of USDOL prohibit it, or unless the matter is referred to

state or local prosecutorial or investigatory officials for review, the

Division will provide results of pertinent evaluations and monitoring to the

subrecipient.

(b)  The Division will monitor for fiscal and programmatic

compliance, for proper management, for civil rights compliance and for such

other purposes as are reasonable for administration of the grants by the

Division and/or are required by federal law.

(c)  The Division will perform the functions of the Governor

with regard to assessment of a subrecipient's compliance with its job training

plan and the subrecipient's performance based on the performance standards set

forth in Section 106 of the Job Training Act and any federal regulations or

directives issued pursuant to that section.  The Division, as delegate of the

Governor, may vary the performance standards suggested by USDOL, to the extent

permitted by Section 106(e), and the Division shall provide technical

assistance to subgrantees that fail to meet performance criteria.

(d)  The Division, as delegate of the Governor, shall impose

a reorganization plan on a subgrantee that fails to meet performance standards

for two consecutive years.  The reorganization plan may involve restructure of

the private industry council, prohibition of designated service provider

contracts, selection of an alternate administrative entity and/or such other

changes as are deemed necessary to improve performance.  In the event an

alternate administrative entity is selected, the Division and the chief elected

official of the largest unit, in population, of general local government in the

service delivery area shall jointly select the new administrative entity.

(e)  The Division will notify the chief elected official and

chairperson of the private industry council in a service delivery area of the

determination under Paragraph (d) of this Rule.  The subgrantee has a right to

a hearing on the issue of whether the determination is contrary to Section 106

of the Job Training Partnership Act.  A request to exercise the right to a

hearing must be filed in accordance with Subchapter 20C .0002.  During the

pendency of the appeal at the state level, no reorganization plan will be

carried out.

(f)  A subgrantee aggrieved by the determination and

decision in Paragraphs (d) and (e) of this Rule may appeal the decision to the

Secretary of USDOL, which appeal must be in writing and must be received within

thirty days of receipt of the final decision under Paragraph (e) of this Rule. 

A copy of such an appeal to USDOL must be provided simultaneously to the

Division, as delegate of the Governor.

(g)  The existence of sanctions in this Section for failure

to meet performance standards does not prevent the Division from imposing

contractually permitted sanctions, not specified in this Section, for failure

to comply with the terms of subgrant agreement or contract document.

 

History Note:        Authority G.S. 143‑16; 143‑16.1;

143‑341; 143B‑430(b); Ex. O. 93, June 8, 1983;

20 C.F.R. 629.46;

Eff. November 17, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. August 1, 1988; July 1, 1988; October 1,

1984; August 1, 1982.

 

 

 

04 NCAC 20B .0503          MEETINGS

04 NCAC 20B .0504          STAFF SUPPORT

 

History Note:        Authority G.S. 143B‑430(b); 143B‑341;

20 C.F.R. 676.7(c);

Eff. November 17, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. August 1, 1982;

Repealed Eff. October 1, 1984.

 

 

 

 

 

SECTION .0600 ‑ AUDIT STANDARDS

 

04 NCAC 20B .0601          ANNUAL FINANCIAL AND COMPLIANCE AUDIT

Unless specifically permitted to conduct a financial and

compliance audit every two years or unless exempted from this Section, each

subrecipient shall have an annual financial and compliance audit by an

independent audit organization.  Audits shall be conducted in accordance with

the applicable auditing standards established by the General Accounting Office,

the Comptroller General (in Standards for Audit of Governmental Organizations,

Programs, Activities and Functions) and the American Institute of Certified

Public Accountants and any compliance supplements issued by the State Of North

Carolina.  Two copies of the audit and a management letter, which may be

separate from the audit, shall be provided to the Division by the auditor.

 

History Note:        Authority G.S. 143B‑430(b); Ex. O.

93, June 8, 1983; 20 C.F.R. 629.42;

OMB Circular A‑102, January 1981;

Eff. November 17, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0602          AUDIT CONTRACTS

(a)  The Division policy on JTPA audits is that each

subrecipient shall have an annual single audit pursuant to Attachment

"P" of the Office of Management and Budget, that is a financial and

compliance audit of an entity on an organization‑wide basis rather than

an audit of JTPA subgrants or contracts only.  Exceptions to this policy will

be made only to the extent permitted by USDOL or the Division pursuant to Rule

.0603 of this Section or otherwise excepted by the Division and acknowledged in

writing by the Director.

(b)  The service delivery grant recipient is responsible for

assuring that its contractors and subcontractors have annual financial and

compliance audits, and the delegation of that responsibility to the contractors

and subcontractors shall not relieve the service delivery area grant recipient

of that responsibility.

(c)  The auditor should be selected and report to the

governing board or commission of a subrecipient.  The selection of an auditor

should be made in accordance with procurement requirements.  The audit contract

should be in writing and shall contain all appropriate terms and conditions,

including access of the Division to audit workpapers for use in audit

resolution.  Specific mention shall be made in the contract of the scope of the

audit, completion date, financial statements to be provided, and assurance that

the statements will be in a generally accepted format for such funds. 

Attachment "P" of the Office of Budget and Management Circular A‑102

should be provided to the auditor.

(d)  The costs of such audits shall be borne by the

subrecipient and are allowable administrative expenses, provided the costs are

reasonable and subject to applicable limitations on administrative expenses. 

The Division may determine to bear the costs of all or some of such audits, but

shall not be required to do so.

 

History Note:        Authority G.S. Ex. O. 93, June 8, 1983;

20 C.F.R. 629.42; 143B‑430(b);

OMB Circular A‑102, January, 1981;

Eff. November 17, 1976;

Transferred from T01: 18; Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0603          EXCEPTIONS TO AUDIT REQUIREMENTS

(a)  Unless otherwise directed by federal or state law or by

federal directive, subrecipients who provide services, other than job training

services, or who provide goods and provide no other services under the grant

activities shall not be subject to audit under Rule .0601 of this Section.

(b)  Subrecipients who have been specifically excluded or

who are within a group that has been specifically excluded from the audit

requirements by the Secretary of Labor shall not be subject to audit under Rule

.0601 of this Section.

 

History Note:        Authority Ex. O. 93, June 8, 1983; 20

C.F.R. 629.42; 143B‑430(b);

OMB Circular 102, January, 1981;

Eff. November 17, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

04 NCAC 20B .0604          AUDIT RESOLUTION PROCESS

(a)  The auditor that conducts a financial and compliance

audit of a subrecipient has the responsibility to identify questioned costs in

funded activities.  The failure of the auditor to identify questioned costs

shall not prevent the Division or USDOL from identifying questioned costs.  The

Division may identify questioned costs at any time, including prior to audit as

during monitoring, except that the Division will not identify questioned costs

after acceptance of the audit and audit resolution by USDOL.

(b)  The Division will make the initial determination on the

allowability of questioned costs in audits.  The Division will be guided in its

determination by its audit resolution manual, which is updated as necessary and

which is available for inspection by the public.  The Division is not bound by

its initial determination, as the determination may be overturned by USDOL. 

The subrecipient is responsible for cooperating in the gathering of information

to support allowability.  The Division shall not be required to resolve the

questioned costs of a subrecipient who fails to cooperate in audit resolution.

(c)  The subrecipient is responsible for preparing

documentation in a timely fashion for the Division to submit to USDOL to

support an application for a waiver of liability under Section 164 of the JTPA.

(d)  USDOL makes the final decisions on the acceptability of

audits and on the allowance, waiver of liability or disallowance of questioned

costs in audits.

(e)  A subrecipient may seek administrative review of a

determination by the Division to disallow costs that were questioned in an

audit or of a division order to recoup disallowed costs that have been

disallowed by USDOL.  The failure to seek administrative review within thirty

days of receipt of such a determination may result in an order of the Secretary

authorizing recoupment.

 

History Note:        Authority Ex. O. 93, June 8, 1983; 20

C.F.R. 629.42; 143B‑430(b);

OMB Circular 102, January, 1981;

Eff. November 17, 1976;

Transferred from T01: 18 Eff. September 15, 1981;

Amended Eff. October 1, 1984; August 1, 1982.

 

 

 

 

 

SECTION .0700 ‑ STATE JOB TRAINING COORDINATING COUNCIL

 

04 NCAC 20B .0701          MEMBERSHIP AND FUNCTIONS OF COUNCIL

The State Job Training Coordinating Council is constituted

according to Section 122 of the Job Training Partnership Act.  The functions of

the council shall include, but not be limited to, the functions identified in

Section 122 and elsewhere in federal law.  The Division provides the staff

services required for the council to provide its functions.

 

History Note:        Authority Ex. O. 93, June 8, 1983; 20

C.F.R. 627.4; 143B‑430(b);

Eff. August 1, 1982;

Amended October 1, 1984.

 

 

 

04 NCAC 20B .0702          ACTIONS AGAINST THE COUNCIL OR COUNCIL

MEMBERS

(a)  All actions against the council or against a council

member in his or her capacity as a council member or against a council member

in his or her individual capacity alleging misfeasance, malfeasance or

nonfeasance in his or her role as a council member shall be brought by filing a

complaint in accordance with Subchapter 20C .0002.

(b)  Members of the council shall only be liable in the

event that the complainant establishes by a preponderance of the evidence that

such member(s) engaged in misconduct that constituted fraud.  Complaints that

fail to allege facts constituting fraud shall be dismissed.

(c)  Awards or damages shall be limited to actual losses of

the complainant.  Council members are not individually liable for any award

against the council.

(d)  Class action complaints are not permitted, except in

extraordinary circumstances.

 

History Note:        Authority Ex. O. 93, June 8, 1983; 20

C.F.R. 629.51; 143B‑430(b);

Eff. August 1, 1982;

Amended August 1, 1988; October 1, 1984.

 

 

 

04 NCAC 20B .0703          MEETINGS

04 NCAC 20B .0704          STAFF SUPPORT

 

History Note:        Authority G.S. 143B‑430(b); 143B‑341;

20 C.F.R. 679.3‑5;

Eff. August 1, 1982;

Repealed Eff. October 1, 1984.

 

 

 

 

 

SECTION .0800 ‑ MISCELLANEOUS PROVISIONS

 

04 NCAC 20B .0801          COOPERATIVE AGREEMENTS

The Division is authorized to execute any cooperative

agreement, including interstate agreements, that the governor is permitted to

execute under the Job Training Partnership Act or in furtherance of employment

and training activities, but only to the extent such agreements are permitted

by state law.

 

History Note:        Authority Ex. O. 93, June 8, 1983; 20

C.F.R. 627.5; 143B‑430(b);

Eff. October 1, 1984.

 

04 NCAC 20B .0802          STATE LABOR MARKET INFORMATION SYSTEM

DESIGNATION

The Governor shall designate a state agency as responsible

for oversight and management of a statewide comprehensive labor market and

occupational supply and demand information system under Section 125 of the

JTPA.

 

History Note:        Authority Ex. O. 93, June 8, 1983; P.L.

97‑300, Section 125; 143B‑430(b);

Eff. October 1, 1984.

 

 

 

04 NCAC 20B .0803          WAIVER UNDER SECTION 108(C) OF JTPA

Waiver requests under Section 108(c) of the JTPA must be

filed by subrecipients with the Division when a waiver is sought.  The request

must meet the requirements of the Act and will be reviewed by the Division on a

case by case basis.  The burden of proof to support the terms

"disproportionately high" and "substantial portion" of

participants shall be with the subrecipient.

 

History Note:        Authority Ex. O. 93, June 8, 1983; 20

C.F.R. 629.21; 143B‑430(b);

Eff. October 1, 1984.

 

 

 

04 NCAC 20B .0804          DIVISION DIRECTIVES

(a)  SDA Issuances include information that represents an

official communication of a policy or issue interpretation.  The SDA issuances

become, under the terms of the subgrant agreement, a part of that agreement. 

An issuance will be printed on department letterhead, will be numbered

sequentially for each calendar year and will be signed by the Director. 

Issuances may be provided in draft form to subgrantees and contractors for

their assistance in finalizing policy or developing interpretations.  An

issuance will not, however, represent the official position of the Division

until such time as the elements in this Rule are present.  Subgrantees and

contractors should retain the directives.

(b)  Technical Assistance Packages represent advice on

technical issues, examples of compliance methodology, sample documents for

subrecipient consideration in their activities and other data such as

program/project sharing information.  These packages are printed on department

letterhead, number sequentially and initialled by the Planning and Program

Management Coordinator.

(c)  JTPA Bulletins include information of a general or

public nature. The bulletins may include items submitted by subgrantees or

contractors. Bulletins are printed on a special heading, numbered sequentially

by calendar year and signed by the Director.

 

History Note:        Authority 143B‑430(b); Ex. O. 93,

June 8, 1983;

Eff. October 1, 1984.

 

 

 

04 NCAC 20B .0805          SECTARIAN ACTIVITIES PROHIBITED

(a)  Participants may not be placed in prohibited sectarian

activities.

(b)  Sectarian activities prohibited under JTPA are:

(1)           Any activity involved in the construction,

including remodeling, of a facility that is used or is intended to be used as a

place of sectarian instruction or as a place of religious worship, except as

such activities may be a minimal or incidental activity with relation to the

primary use of the facility, such as the construction of a community center

that would permit use or rental or rooms by any community group, including

sectarian organizations.

(2)           Any activity involved in the operation or

maintenance of those portions of a facility that are used as places of

sectarian instruction or worship, except where such activities are minimal or

incidental with relation to the primary use of those portions of the facility.

(c)  Participants may be employed at religiously affiliated

elementary or secondary schools or day care facilities or at elementary or

secondary schools or day facilities used for religious worship if:

(1)           Attendance at the school or facility if

open to the community at large without regard to religious affiliation; and

(2)           The participant is not leading or instructing

in religious or sectarian activities.

(d)  The Division will endeavor to evaluate the functions of

the participants rather than the scope of the activities conducted in a

facility, to the extent the Division is permitted to do so under federal law.

 

History Note:        Authority Ex. O. 93, June 8, 1983; 20

C.F.R. 629.3; 143B‑430(b);

Eff. October 1, 1984.

 

 

 

 

 

section .0900 - EMPLOYMENT AND TRAINING GRANT PROGRAM

 

04 NCAC 20b .0901          purpose

04 NCAC 20B .0902          grant applications

 

History Note:        Authority G.S. 143B-438.6;

Filed as a Temporary Adoption Eff. July 25, 1991 for a

period of 180 days to expire on January 21, 1992;

Eff. December 1, 1991;

Repealed Eff. July 1, 2012.

 

04 NCAC 20B .0903          ALLOCATION OF GRANTS

 

History Note:        Filed as a Temporary Adoption Eff. July

25, 1991 for a period of 180 days to expire on

January 21, 1992;

Statutory Authority G.S. 143B‑438.6;

ARRC Objection Lodged August 22, 1991;

Repealed Eff. December 1, 1991.

 

Editor's Note:  Agency repealed rule to satisfy objection

to permanent rule.

 

 

 

04 NCAC 20b .0904          coordination with other employment and

training funds

 

History Note:        Authority G.S. 143B-438.6;

Temporary Adoption Eff. July 25, 1991 for a period of 180

days to expire on January 21, 1992;

Eff. December 1, 1991;

Repealed Eff. July 1, 2012.

 

04 NCAC 20B .0905          ELIGIBILITY

 

History Note:        Filed as a Temporary Adoption Eff. July

25, 1991 for a period of 180 days to expire on

January 21, 1992;

Statutory Authority 143B‑438.6;

ARRC Objection Lodged August 22, 1991;

Repealed Eff. December 1, 1991.

 

Editor's Note:  Agency repealed rule to satisfy objection

to permanent rule.

 

 

 

04 NCAC 20b .0906          use of funds

04 NCAC 20B .0907          cost limitations/categories

 

History Note:        Authority G.S. 143B-438.6;

Temporary Adoption Eff. July 25, 1991 for a period of 180

days to expire on January 21, 1992;

ARRC Objection Lodged August 22, 1991 (Rule .0907);

Eff. December 1, 1991;

Repealed Eff. July 1, 2012.

 

04 NCAC 20B .0908          REPORTING

 

History Note:        Filed as a Temporary Adoption Eff. July

25, 1991 for a period of 180 days to expire on

January 21, 1992;

Statutory Authority G.S. 143B‑438.6;

ARRC Objection Lodged August 22, 1991;

Repealed Eff. December 1, 1991.

 

Editor's Note:  Agency repealed rule to satisfy objection

to permanent rule.

 

 

 

04 NCAC 20b .0909          PERFORMANCE STANDARDS

04 NCAC 20B .0910          MONITORING/OVERSIGHT

04 NCAC 20B .0911          FUND AVAILABILITY/REDISTRIBUTION

 

History Note:        Authority G.S. 143B-438.6;

Temporary Adoption Eff. July 25, 1991 for a period of 180

days to expire on January 21, 1992;

ARRC Objection Lodged August 22, 1991 (Rule .0909,

.0911);

Eff. December 1, 1991;

Repealed Eff. July 1, 2012.

 

04 NCAC 20B .0909          PERFORMANCE STANDARDS

Program performance will be evaluated by the Division using

a process patterned after the system of performance standards and measures

required by the JTPA.  Local performance measures will be entered employment rate

at termination; average wage at placement; welfare entered employment rate at

termination.

 

History Note:        Filed as a Temporary Adoption Eff. July

25, 1991 for a period of 180 days to expire on

January 21, 1992;

Statutory Authority G.S. 143B‑438.6;

ARRC Objection Lodged August 22, 1991;

Eff. December 1, 1991.