DAR File No. 30335

Governor, Planning and Budget

R361-2

Rules of Procedure for the Utah Federal Assistance and Activity Review System

NOTICE OF PROPOSED RULE

DAR File No.: 30335
Filed: 08/20/2007, 09:25
Received by: NL

RULE ANALYSIS

Purpose of the rule or reason for the change:

Existing statute governs general federal assistance funds procedures. Provisions of the rule specific to the Governor's Office are being moved to policy.

Summary of the rule or change:

This rule is repealed in its entirety.

State statutory or constitutional authorization for this rule:

Title 63, Chapter 38e

Anticipated cost or savings to:

the state budget:

There are no anticipated costs or savings to the state budget. The rule change does not alter federal fund requirements in the Governor's Office or state agencies as policy retains the same provisions.

local governments:

There are no anticipated costs or savings to local government as the rule change applies only to the Governor's Office and state agencies.

small businesses and persons other than businesses:

There are no anticipated costs or savings to small businesses and/or persons other than businesses as the rule change applies only to the Governor's Office and state agencies.

Compliance costs for affected persons:

There are no anticipated costs or savings to affected persons as the rule change applies only to the Governor's Office and state agencies.

Comments by the department head on the fiscal impact the rule may have on businesses:

I have reviewed the repeal of this rule and do not anticipate any fiscal impact on businesses as the rule only applies to the Governor's Office and state agencies. John Nixon, Director

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Governor
Planning and Budget
Room E210 EAST BUILDING
420 N STATE ST
SALT LAKE CITY UT 84114-2210

Direct questions regarding this rule to:

Hunter Finch at the above address, by phone at 801-538-1553, by FAX at 801-538-1547, or by Internet E-mail at HFINCH@utah.gov

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

10/15/2007

This rule may become effective on:

10/22/2007

Authorized by:

John Nixon, Director

R361. Governor, Planning and Budget.

[R361-2. Rules of Procedure for the Utah Federal Assistance and Activity Review System.

R361-2-1. Authority, Purpose and History.

This rule is promulgated under authority of Sections 63-28-1, 63-28-4, 63-40-2, 63-40-4 and Presidential Executive Order 12372, issued July 14, 1982.

The purpose of the rule is to adopt a review and consultation procedure consistent with the provisions of the Order and the needs of the state and its political subdivisions.

Upon issuance of Presidential Executive Order 12372, the provisions of federal Office of Management and Budget Circular A-95 were revoked. The Order redefined the review process expected to occur between federal agencies and state and local governments for federal financial assistance and direct federal development activities. The change provided the state with an opportunity to design its own intergovernmental consultation and review process, involving state agencies and local governmental entities.

 

R361-2-2. Definitions.

A. "Applicant" shall mean a person (natural or corporate), unit of state or local government, or other entity submitting an application for federal financial assistance to any federal agency or other federal entity.

B. "Application" shall mean all written documentation required as part of a request for federal financial assistance.

C. "Area Clearinghouse" shall be defined as stated in R361-1-2(A).

D. "Comment" shall mean a written description based on the analysis of an application or project description.

E. "Commentator" shall mean any party who submits a comment.

F. "Direct Federal Development Activity" shall mean planning or construction of public works, physical facilities, and installations or real property development (including the acquisition, use and disposal of real property) undertaken by or for the use of the federal government or any of its agencies; or major changes in the use or intensity of use of airspace, water, or real property owned, leased or controlled by the federal government. Land use planning activities of the federal government, issuance or modification of licenses and permits, and documents and notices issued under the authority of the National Environmental Policy Act, P.L. 91-190, 83 Stat. 852 (1969), fall within the scope of this definition.

G. "Federal Financial Assistance" shall mean a grant or other financial disbursement program conducted under congressional authorization by the executive branch of the federal government. Certain loan programs which require reimbursement to the disbursing agency may be included.

H. "Federal Response" shall mean the written description, required by Section 2(c) of the Order, of the modification(s) to a proposed grant, loan or activity by the federal funding agency or federal sponsoring agency as a result of a state process recommendation, or the written description of the reason(s) for not changing the proposed federal assistance or direct development activity if the process recommendations cannot be accommodated.

I. "Federal Sponsoring Agency" shall mean the federal agency or entity proposing a direct federal development activity.

J. "Order" shall mean Presidential Executive Order 12372, issued July 14, 1982, 55 F.R. 30959.

K. "Project Description" shall mean a written description of a direct federal development activity, submitted pursuant to R361-2-6(C).

L. "Resource Development Coordinating Committee" or "Committee" shall mean that state advisory committee governed by Title 63, Chapter 28a and R361-1.

M. "State Agency" shall mean an administrative unit of state government.

N. "State Application Identification (SAI) Number" shall mean the number assigned by the Utah State Clearinghouse to identify a particular application or project description.

O. "State Process Recommendation" shall mean specifically designated written comments or recommendations from the state to the federal funding agency or federal sponsoring agency concerning a particular application or project description which triggers a formal federal response.

P. "State Response" shall mean comments or recommendations from the state to the federal funding agency or federal sponsoring agency other than a state process recommendation.

Q. "Utah State Clearinghouse" shall mean that part of the Office of Planning and Budget under the control of the State Planning Coordinator which receives and distributes information under this rule, in addition to the items received pursuant to R361-1-2(K).

R. "Weekly Status Report" shall mean a written summary of all applications or project descriptions received by the Utah State Clearinghouse during each calendar work week.

 

R361-2-3. State Single Point of Contact.

The Utah State Clearinghouse is designated as the Single Point of Contact (SPOC) for the state for all activities under the Order.

 

R361-2-4. Responsibilities of the Utah State Clearinghouse.

The responsibilities of the Utah State Clearinghouse include the following:

A. Receiving all items submitted for review under R361-2-6.

B. Assigning the State Application Identification number to each item upon receipt of all information required under R361-2-6(D)(1)-(4).

C. Preparing and distributing the weekly status report.

1. All items received for review each calendar work week will be listed. Information in the report will include;

a. the name of the applicant or federal sponsoring agency;

b. the State Application Identification number;

c. a brief description of the purpose of the application or the nature of the proposed activity;

d. the location or impact area of the application or proposed activity;

e. the name and telephone number of the applicant's or federal sponsoring agency's contact person;

f. the dollar amount and source of funding, if applicable;

g. the date by which all comments must be received by the Clearinghouse and the federal funding agency or federal sponsoring agency; and

h. other information as needed.

2. The weekly status report shall be distributed to all state agencies, institutions of higher education, area clearinghouses, and other interested parties as requested, including members of the press. The area clearinghouses are delegated the authority to, and shall, distribute the report as appropriate to all general and special purpose local governments within their boundaries. Requests to receive the weekly status report should be directed to the Utah State Clearinghouse, Office of Planning and Budget. Requests for further information or for a copy of an application or project description should be directed to the listed contact person.

D. Considering each application or project description for inclusion on the next agenda of the Resource Development Coordinating Committee. Items which meet the criteria set out in R361-1-4(E) shall be included on the Committee agenda, and thereafter be reviewed pursuant to the rules of the Committee.

E. Setting the date by which all comments on an application or project description must be received by the Clearinghouse. The scheduled date shall allow the State Planning Coordinator or the Governor sufficient time to review and distribute the state process recommendation or state response within the following time parameters:

1. For federally-assisted actions; within 30 days of submission, or such response date as may be lawfully set by the federal funding agency.

2. For direct federal development activities; within 60 days of submission, or by such date lawfully set by the federal sponsoring agency.

F. Receiving all comments about review items submitted by commentators.

G. Submitting all comments to the State Planning Coordinator for consideration pursuant to R361-2-5.

H. Receiving all federal responses to state process recommendations.

I. Submitting all federal responses to the State Planning Coordinator for review pursuant to R361-2-5.

J. Archiving files assigned State Application Identification numbers pursuant to Section 63-2.

 

R361-2-5. Responsibilities of the State Planning Coordinator.

Comments concerning individual applications and project descriptions shall be reviewed pursuant to the duties of the State Planning Coordinator set by Sections 63-28 and 63-40. If state agencies submit conflicting comments, the State Planning Coordinator will act as mediator for the unresolved differences, unless the differences occur within the same department, in which case the department head may be asked to resolve the differences. After review of all comments and resolution of differences, if necessary, and consultation with the Governor, as needed, the State Planning Coordinator shall send a state response or state process recommendation to the federal funding agency or federal sponsoring agency. A copy of the state response or state process recommendation concerning applications shall be sent to the applicant.

 

R361-2-6. Responsibilities of Applicants and Federal Sponsoring Agencies.

A. State Agency Applicants.

All state agencies applying for federal financial assistance shall submit the information required by R361-2-6(D)(1), (2) and (4) to the Utah State Clearinghouse prior to filing the application with the federal funding agency. This requirement includes all applications for continuation, supplemental or renewal grants.

B. Other Applicants.

Applicants other than state agencies shall be responsible for determining whether or not the financial aid program of concern is available for review under the terms of the Order. If the program is available for review, the applicant shall submit the information required by R361-2-6(D)(1), (2) and(4) to the Utah State Clearinghouse prior to filing the application with the federal funding agency. This requirement to determine availability and submit also applies to applications for continuation, supplemental and renewal grants containing changes in the direction, nature, scope, location or scale of the project or activity previously approved, or changes in the beneficiaries or target group(s) served.

C. Federal Sponsoring Agencies

Federal sponsoring agencies shall submit the information required by R361-2-6(D)(3) and (4) to the Utah State Clearinghouse not less than 60 days prior to commencement of the proposed activity, unless a different time frame is required by federal law, in which case the agencies shall inform the Clearinghouse of the required comment period.

D. Information Required

1. All applicants shall submit the following information to the Utah State Clearinghouse:

a. Applicant's name (personal, agency or corporate) and address;

b. Name of a responsible contact person and telephone number;

c. Program number from the Catalog of Federal Domestic Assistance, if applicable;

d. Title of project;

e. Area of project impact (cities, counties, states, etc.);

f. Type of assistance (grant, loan, insurance, etc.);

g. Sources and amounts of proposed funding (federal, applicant, state, local, or other);

h. Type of application (new, renewal, revision, continuation, etc.);

i. Project start date and duration;

j. Name and address of federal funding agency, including contact person if known;

2. Applicants may substitute the federal Standard Form 424 for all or part of the information listed in R361-2-6(D)(1).

3. All federal sponsoring agencies shall submit the information required by R361-2-6(D)(1)(a), (b), (d), (e), and (i).

4. All applicants and federal sponsoring agencies shall submit a summary of the funding proposal or direct federal development activity. This summary should include a statement of the intent of the proposal, beneficiaries, vicinity maps, involvement of local government in the planning efforts, and any other pertinent information relative to compliance with state and local plans, programs or projects that may be affected by the proposal or activity. Documents prepared pursuant to the National Environmental Policy Act, P.L. 91-190, 83 Stat. 852 (1969) may be used to satisfy the requirements of this rule.

5. Copies of the information submitted to the Utah State Clearinghouse shall be sent by the applicant or federal sponsoring agencies to the area clearinghouse(s) covering the impacted area. A list of the area clearinghouses is available from the Utah State Clearinghouse, Office of Planning and Budget.

 

R361-2-7. Responsibilities of Commentators.

A. Each comment should contain a specific recommendation concerning the state's response or process recommendation about the application or project description. The recommendation should be substantiated by reference to statute, regulation, rule, bibliography of research or other objective criteria including, for example

1. Compatibility with, state, area or local comprehensive planning efforts;

2. Duplication or negation of other on-going programs;

3. Technical changes in design which could increase effectiveness or efficiency;

4. Contribution of the project toward achievement of state, area, and local objectives and priorities related to natural and human resources and economic development, as specified in Section 401 of the Intergovernmental Cooperation Act of 1968, Pub. L. No. 91-190, 83 Stat. 852 (1969), including

a. Appropriate uses of land for housing, commercial, industrial, governmental, institutional, and other purposes;

b. Wise development and conservation of natural resources;

c. Balanced transportation systems;

d. Adequate outdoor recreation and open space;

e. Protection of areas of unique natural beauty, and historical and scientific interest;

f. Properly planned community facilities, utilities and other services;

g. Concern for high standards of design.

5. Adverse, unavoidable environmental impacts should the project be implemented;

6. Displacement of people or businesses, and the availability of relocation assistance;

7. Effects on energy resource supply and demand;

8. Contribution of the project toward more balanced patterns of settlement and delivery of services to all sectors of the area population, including minority groups; and

9. any other relevant information.

B. Comments should not contain opinions or value judgements concerning federal funding priorities, acceptability of federal legislation, or the ability of federal agencies to fairly administer programs or projects.

C. Comments not meeting the requirements of R361-2-7(A) and (B) may be disregarded by the State Planning Coordinator during the preparation of the state process recommendation or response.

 

R361-2-8. Emergency Financial Assistance.

The State Planning Coordinator may modify the time and comment requirement provisions of these rules for applications for federal disaster or other emergency financial relief.

 

KEY: natural resources, federal aid, intergovernmental cooperation

Date of Enactment or Last Substantive Amendment: 1991

Notice of Continuation: October 29, 2002

Authorizing, and Implemented or Interpreted Law: 63-40-1; 63-28a-1]