Title 500 | Chapter 010 | Regulation 030
PREVIOUS VERSION
The previous document that this document is based upon is available.
500 KAR 10:030.Community Corrections Board and grant recipient requirements.
Section 1.
Meetings and Duties.(1)
The board shall meet at least quarterly to review the status of:(a)
The goals stated in KRS 196.702(4);(b)
The board's grant application for Community Corrections funding;(c)
Expenditures and revenue for each awarded grant; and(d)
Operation of the community corrections program plan.(2)
The board shall obtain the audit required by KRS 196.725.Section 2.
Reporting Requirements.(1)
The board shall review and approve a report before it is submitted to the administrator or commission. The board shall submit progress reports at least quarterly detailing program and fiscal information for the period to the administrator in a format approved by the commission. The format for the report, report deadlines, and other requirements for the report shall be posted in the grant requirements on the Kentucky State Corrections Commission grants Web site at https://justice.ky.gov/Boards-Commissions. The report shall include the:(a)
Number of participants served during period with the type of service received;(b)
Number successfully completing the program during the period;(c)
Number of unsuccessful participants;(d)
Number of incarceration days avoided;(e)
Number of participants with new arrests or revocations;(f)
Amount expended during the period for:1.
Personnel;2.
Contract services;3.
Travel;4.
Training;5.
Operating expenses; and6.
Equipment;(g)
Total amount expended for the period;(h)
Remaining balance of the grant; and(i)
The progress toward expending the award prior to the end of the award.(2)
If the audit addressed in 500 KAR 10:040 has not been completed when the submission for final disbursement of funds for the grant is made, the board shall provide with the submission a letter certifying that it has reviewed the expenditures for the grant and that they have been expended in compliance with the grant requirements.Section 3.
Grant Award Modification.(1)
A grant award modification request shall require approval by the commission prior to the expenditure of funds by the recipient. A budget modification that significantly changes a project's goals or objectives shall not be approved.(2)
A budget modification and justification for the grant award modification shall be submitted to the administrator fifteen (15) days prior to the end of the month for which it is being requested. After review, the administrator shall direct the grantee to submit the grant award modification request within the cabinet's electronic grants management system. The chair of the commission may approve a grant modification between commission meetings. A budget modification request and action shall be reported to the commission.(3)
Any deviation from the approved budget without prior approval may result in the disallowance of the expenditure and deobligation of the remaining funds. A grant award modification shall not be retroactive without specific approval from the commission.HISTORY: (19 Ky.R. 1022; Am. 1366; eff. 12-9-1992; 2128, 2632; eff. 6-30-2020; 49 Ky.R. 894; eff. 4-4-2023.)
The Kentucky State Corrections Commission reviewed and approved this administrative regulation on August 25, 2022 prior to its filing by the Justice and Public Safety Cabinet as required by KRS 13A.120(3), 13A.220(6)(a), and 196.704(8).
APPROVED BY AGENCY: September 14, 2022
FILED WITH LRC: September 15, 2022 at 11:45 a.m.
PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held on November 30, 2022 at 9:00 a.m. at the Justice and Public Safety Cabinet, 125 Holmes Street, Frankfort, Kentucky 40601. Individuals interested in being heard at this hearing shall notify this agency in writing by five workdays prior to the hearing, of their intent to attend. If no notification of intent to attend the hearing was received by that date, the hearing may be cancelled. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted through November 30, 2022. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person.
CONTACT PERSON: Amy V. Barker, Assistant General Counsel, Justice and Public Safety Cabinet, 125 Holmes Street, Frankfort, Kentucky 40601, phone (502) 564-8207, fax (502) 564-6686, email Justice.RegsContact@ky.gov.
REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT
Contact Person:
Amy Barker
(1) Provide a brief summary of:
(a) What this administrative regulation does:
This administrative regulation establishes the procedures and reporting requirements for a Community Corrections Board or alternate board pursuant to KRS 196.725 and 196.710(3).
(b) The necessity of this administrative regulation:
This administrative regulation complies with the requirements of KRS 196.725 and 196.710(3).
(c) How this administrative regulation conforms to the content of the authorizing statutes:
The commission is required to award grants for the implementation and operation of community corrections programs pursuant to 196.710. KRS 196.704(8) requires the commission to promulgate administrative regulations for the operating procedures of the commission. KRS 15A.160 and 196.035 authorize the secretary to promulgate administrative regulations necessary or suitable for the proper administration of the functions vested in the cabinet or any division in the cabinet.
(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes:
This administrative regulation establishes the procedures and reporting requirements for a Community Corrections Board or alternate board pursuant to KRS 196.725 and 196.710(3) for compliance with grant management requirements.
(2) If this is an amendment to an existing administrative regulation, provide a brief summary of:
(a) How the amendment will change this existing administrative regulation:
The amendment adds the Kentucky State Corrections Commission’s website address and rewrites the grant modification process.
(b) The necessity of the amendment to this administrative regulation:
The commission is required to award grants for the implementation and operation of community corrections programs pursuant to 196.710. KRS 196.704(8) requires the commission to promulgate administrative regulations for the operating procedures of the commission. KRS 15A.160 and 196.035 authorize the secretary to promulgate administrative regulations necessary or suitable for the proper administration of the functions vested in the cabinet or any division in the cabinet.
(c) How the amendment conforms to the content of the authorizing statutes:
This administrative regulation establishes the procedures and reporting requirements for a Community Corrections Board or alternate board pursuant to KRS 196.725 and 196.710(3).
(d) How the amendment will assist in the effective administration of the statutes:
This administrative regulation provides detailed meeting and reporting requirements for a Community Corrections Board or alternate board pursuant to KRS 196.725 and 196.710(3) for compliance with grant management requirements.
(3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation:
This affects approximately thirty or more governments or organizations applying for or awarded grants by the commission, the Justice and Public Safety Cabinet, and the Department of Corrections (DOC).
(4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:
(a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment:
The boards will have to comply with the detailed meeting and reporting requirements for grant awards. DOC administrative staff review reports to ensure requirements have been met and collaborate with the Justice and Public Safety Cabinet Grants Management Division if a budget modification is requested by a grantee.
(b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3):
Grantees are required to track and provide specific information each quarter. Grantee administrative duties are typically included within a grant program budget. Over the course of approximately eighty hours, DOC administrative staff reviews reporting information provided by grantees and provides it to the commission. This review process roughly equates to $2,500.00. DOC administrative staff also collaborates with the Justice and Public Safety Cabinet Grants Management Division if a budget modification is requested by a grantee. Time spent in collaboration between the Department of Corrections and the Justice and Public Safety Cabinet has the potential to cost $2,500.00 or more, which is the approximate compensation for forty hours each for two staff.
(c) As a result of compliance, what benefits will accrue to the entities identified in question (3):
The board may be eligible for continued grant funding and future grant awards. (5) Provide an estimate of how much it will cost to implement this administrative regulation:
(5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:
(a) Initially:
The cost to an applicant depends on the amount of time dedicated by the grantee. Cost to compensate administrative staff is allotted within the allocated funds. DOC administrative staff cost to assist the commission with the tasks that are part of this administrative regulation is anticipated to be approximately $1,250.00.
(b) On a continuing basis:
Additional costs to grantees may accrue if the need for corrections or modifications arise after the review of grantee reports. It is estimated that ten to fifteen percent of the program oversight staff time is dedicated to tracking outcome measures and compiling reports as required by the commission.
(6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation:
Funds allocated by the legislature to the commission.
(7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment:
An increase in fees or funding to implement the administrative regulation amendment is not anticipated.
(8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees:
Fees are not established in this administrative regulation.
(9) TIERING: Is tiering applied?
No. Tiering was not appropriate in this administrative regulation because the administrative regulation applies equally to all those individuals or entities regulated by it.
FISCAL NOTE
(1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation?
This impacts approximately thirty or more governments or organizations applying for or awarded grants by the commission. Along with applicants, this regulation affects Department of Corrections (DOC) administrative staff. DOC administrative staff review reports to ensure requirements have been met. Additionally, Department of Corrections administrative staff will collaborate with the Justice and Public Safety Cabinet Grants Management Division if a budget modification is requested by a grantee.
(2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation.
KRS 15A.160, 196.035, 196.704, 196.710
(3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect.
(a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year?
Revenue is not anticipated.
(b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years?
Revenue is not anticipated.
(c) How much will it cost to administer this program for the first year?
$643,500 is anticipated for grant funds for FY23. In addition, there are salary costs incurred by the Department as a staff member administers the program.
(d) How much will it cost to administer this program for subsequent years?
Grant funds may be increased by the General Assembly. Annual salary costs are incurred by the Department as a staff member administers the program.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Revenues (+/-):
Expenditures (+/-):
Other Explanation:
(4) Estimate the effect of this administrative regulation on the expenditures and cost savings of regulated entities for the first full year the administrative regulation is to be in effect.
(a) How much cost savings will this administrative regulation generate for the regulated entities for the first year?
Receiving grant funds from the community corrections grant program may provide cost savings to regulated entities by funding services, which provide an alternative to incarceration decreasing costs associated with incarceration and increasing program completion rates. Examples of services may include substance abuse treatment, mental health treatment, housing assistance, transportation services, hygiene, and health prevention efforts. Provision of grant funds allows agencies to maximize other funding sources to enhance overall services provided, such as program capacity or provision of additional services. Expanded programming/ services for participants reduces costs associated with unsuccessful program participation, often necessitating repeat program participation. Further, provision of services reduces medical/social service needs that communities incur (such as continued substance use, homelessness, medical treatment, etc.). Overall, estimated cost savings is indeterminable.
(b) How much cost savings will this administrative regulation generate for the regulated entities for subsequent years?
Receiving grant funds from the community corrections grant program may provide cost savings to regulated entities by funding services which provides the same preventative cost avoidance in subsequent years.
(c) How much will it cost the regulated entities for the first year?
There is no cost incurred for regulated entities under this regulation.
(d) How much will it cost the regulated entities for subsequent years?
There is no cost incurred for regulated entities under this regulation.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Cost Savings (+/-):
Expenditures (+/-):
Other Explanation:
(5) Explain whether this administrative regulation will have a major economic impact, as defined below.
"Major economic impact" means an overall negative or adverse economic impact from an administrative regulation of five hundred thousand dollars ($500,000) or more on state or local government or regulated entities, in aggregate, as determined by the promulgating administrative bodies. [KRS 13A.010(13)] This administrative regulation is not expected to have a major economic impact.
500 KAR 10:030.Community Corrections Board and grant recipient requirements.
Section 1.
Meetings and Duties.(1)
The board shall meet at least quarterly to review the status of:(a)
The goals stated in KRS 196.702(4);(b)
The board's grant application for Community Corrections funding;(c)
Expenditures and revenue for each awarded grant; and(d)
Operation of the community corrections program plan.(2)
The board shall obtain the audit required by KRS 196.725.Section 2.
Reporting Requirements.(1)
The board shall review and approve a report before it is submitted to the administrator or commission. The board shall submit progress reports at least quarterly detailing program and fiscal information for the period to the administrator in a format approved by the commission. The format for the report, report deadlines, and other requirements for the report shall be posted in the grant requirements on the(a)
Number of participants served during period with the type of service received;(b)
Number successfully completing the program during the period;(c)
Number of unsuccessful participants;(d)
Number of incarceration days avoided;(e)
Number of participants with new arrests or revocations;(f)
Amount expended during the period for:1.
Personnel;2.
Contract services;3.
Travel;4.
Training;5.
Operating expenses; and6.
Equipment;(g)
Total amount expended for the period;(h)
Remaining balance of the grant; and(i)
The progress toward expending the award prior to the end of the award.(2)
(3)
If the audit addressed in 500 KAR 10:040 has not been completed when the submission for final disbursement of funds for the grant is made, the board shall provide with the submission a letter certifying that it has reviewed the expenditures for the grant and that they have been expended in compliance with the grant requirements.Section 3.
Grant Award Modification.(1)
A grant award modification request shall require approval by the commission prior to the expenditure of funds by the recipient. A budget modification that significantly changes a project's goals or objectives shall not be approved.(2)
A budget modification and justification for the grant award modification shall be submitted to the administrator fifteen (15) days prior to the end of the month for which it is being requested. After review, the administrator shall direct the grantee to submit the grant award modification request within the cabinet's electronic grants management system. The chair of the commission may approve a grant modification between commission meetings. A budget modification request and action shall be reported to the commission.(3)
Any deviation from the approved budget without prior approval may result in the disallowance of the expenditure and deobligation of the remaining funds. A grant award modification shall not be retroactive without specific approval from the commission.HISTORY: (19 Ky.R. 1022; Am. 1366; eff. 12-9-1992; 2128, 2632; eff. 6-30-2020; 49 Ky.R. 894; eff. 4-4-2023.)
The Kentucky State Corrections Commission reviewed and approved this administrative regulation on August 25, 2022 prior to its filing by the Justice and Public Safety Cabinet as required by KRS 13A.120(3), 13A.220(6)(a), and 196.704(8).
APPROVED BY AGENCY: September 14, 2022
FILED WITH LRC: September 15, 2022 at 11:45 a.m.
PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held on November 30, 2022 at 9:00 a.m. at the Justice and Public Safety Cabinet, 125 Holmes Street, Frankfort, Kentucky 40601. Individuals interested in being heard at this hearing shall notify this agency in writing by five workdays prior to the hearing, of their intent to attend. If no notification of intent to attend the hearing was received by that date, the hearing may be cancelled. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted through November 30, 2022. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person.
CONTACT PERSON: Amy V. Barker, Assistant General Counsel, Justice and Public Safety Cabinet, 125 Holmes Street, Frankfort, Kentucky 40601, phone (502) 564-8207, fax (502) 564-6686, email Justice.RegsContact@ky.gov.
REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT
Contact Person:
Amy Barker
(1) Provide a brief summary of:
(a) What this administrative regulation does:
This administrative regulation establishes the procedures and reporting requirements for a Community Corrections Board or alternate board pursuant to KRS 196.725 and 196.710(3).
(b) The necessity of this administrative regulation:
This administrative regulation complies with the requirements of KRS 196.725 and 196.710(3).
(c) How this administrative regulation conforms to the content of the authorizing statutes:
The commission is required to award grants for the implementation and operation of community corrections programs pursuant to 196.710. KRS 196.704(8) requires the commission to promulgate administrative regulations for the operating procedures of the commission. KRS 15A.160 and 196.035 authorize the secretary to promulgate administrative regulations necessary or suitable for the proper administration of the functions vested in the cabinet or any division in the cabinet.
(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes:
This administrative regulation establishes the procedures and reporting requirements for a Community Corrections Board or alternate board pursuant to KRS 196.725 and 196.710(3) for compliance with grant management requirements.
(2) If this is an amendment to an existing administrative regulation, provide a brief summary of:
(a) How the amendment will change this existing administrative regulation:
The amendment adds the Kentucky State Corrections Commission’s website address and rewrites the grant modification process.
(b) The necessity of the amendment to this administrative regulation:
The commission is required to award grants for the implementation and operation of community corrections programs pursuant to 196.710. KRS 196.704(8) requires the commission to promulgate administrative regulations for the operating procedures of the commission. KRS 15A.160 and 196.035 authorize the secretary to promulgate administrative regulations necessary or suitable for the proper administration of the functions vested in the cabinet or any division in the cabinet.
(c) How the amendment conforms to the content of the authorizing statutes:
This administrative regulation establishes the procedures and reporting requirements for a Community Corrections Board or alternate board pursuant to KRS 196.725 and 196.710(3).
(d) How the amendment will assist in the effective administration of the statutes:
This administrative regulation provides detailed meeting and reporting requirements for a Community Corrections Board or alternate board pursuant to KRS 196.725 and 196.710(3) for compliance with grant management requirements.
(3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation:
This affects approximately thirty or more governments or organizations applying for or awarded grants by the commission, the Justice and Public Safety Cabinet, and the Department of Corrections (DOC).
(4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:
(a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment:
The boards will have to comply with the detailed meeting and reporting requirements for grant awards. DOC administrative staff review reports to ensure requirements have been met and collaborate with the Justice and Public Safety Cabinet Grants Management Division if a budget modification is requested by a grantee.
(b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3):
Grantees are required to track and provide specific information each quarter. Grantee administrative duties are typically included within a grant program budget. Over the course of approximately eighty hours, DOC administrative staff reviews reporting information provided by grantees and provides it to the commission. This review process roughly equates to $2,500.00. DOC administrative staff also collaborates with the Justice and Public Safety Cabinet Grants Management Division if a budget modification is requested by a grantee. Time spent in collaboration between the Department of Corrections and the Justice and Public Safety Cabinet has the potential to cost $2,500.00 or more, which is the approximate compensation for forty hours each for two staff.
(c) As a result of compliance, what benefits will accrue to the entities identified in question (3):
The board may be eligible for continued grant funding and future grant awards. (5) Provide an estimate of how much it will cost to implement this administrative regulation:
(5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:
(a) Initially:
The cost to an applicant depends on the amount of time dedicated by the grantee. Cost to compensate administrative staff is allotted within the allocated funds. DOC administrative staff cost to assist the commission with the tasks that are part of this administrative regulation is anticipated to be approximately $1,250.00.
(b) On a continuing basis:
Additional costs to grantees may accrue if the need for corrections or modifications arise after the review of grantee reports. It is estimated that ten to fifteen percent of the program oversight staff time is dedicated to tracking outcome measures and compiling reports as required by the commission.
(6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation:
Funds allocated by the legislature to the commission.
(7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment:
An increase in fees or funding to implement the administrative regulation amendment is not anticipated.
(8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees:
Fees are not established in this administrative regulation.
(9) TIERING: Is tiering applied?
No. Tiering was not appropriate in this administrative regulation because the administrative regulation applies equally to all those individuals or entities regulated by it.
FISCAL NOTE
(1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation?
This impacts approximately thirty or more governments or organizations applying for or awarded grants by the commission. Along with applicants, this regulation affects Department of Corrections (DOC) administrative staff. DOC administrative staff review reports to ensure requirements have been met. Additionally, Department of Corrections administrative staff will collaborate with the Justice and Public Safety Cabinet Grants Management Division if a budget modification is requested by a grantee.
(2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation.
KRS 15A.160, 196.035, 196.704, 196.710
(3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect.
(a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year?
Revenue is not anticipated.
(b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years?
Revenue is not anticipated.
(c) How much will it cost to administer this program for the first year?
$643,500 is anticipated for grant funds for FY23. In addition, there are salary costs incurred by the Department as a staff member administers the program.
(d) How much will it cost to administer this program for subsequent years?
Grant funds may be increased by the General Assembly. Annual salary costs are incurred by the Department as a staff member administers the program.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Revenues (+/-):
Expenditures (+/-):
Other Explanation:
(4) Estimate the effect of this administrative regulation on the expenditures and cost savings of regulated entities for the first full year the administrative regulation is to be in effect.
(a) How much cost savings will this administrative regulation generate for the regulated entities for the first year?
Receiving grant funds from the community corrections grant program may provide cost savings to regulated entities by funding services, which provide an alternative to incarceration decreasing costs associated with incarceration and increasing program completion rates. Examples of services may include substance abuse treatment, mental health treatment, housing assistance, transportation services, hygiene, and health prevention efforts. Provision of grant funds allows agencies to maximize other funding sources to enhance overall services provided, such as program capacity or provision of additional services. Expanded programming/ services for participants reduces costs associated with unsuccessful program participation, often necessitating repeat program participation. Further, provision of services reduces medical/social service needs that communities incur (such as continued substance use, homelessness, medical treatment, etc.). Overall, estimated cost savings is indeterminable.
(b) How much cost savings will this administrative regulation generate for the regulated entities for subsequent years?
Receiving grant funds from the community corrections grant program may provide cost savings to regulated entities by funding services which provides the same preventative cost avoidance in subsequent years.
(c) How much will it cost the regulated entities for the first year?
There is no cost incurred for regulated entities under this regulation.
(d) How much will it cost the regulated entities for subsequent years?
There is no cost incurred for regulated entities under this regulation.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Cost Savings (+/-):
Expenditures (+/-):
Other Explanation:
(5) Explain whether this administrative regulation will have a major economic impact, as defined below.
"Major economic impact" means an overall negative or adverse economic impact from an administrative regulation of five hundred thousand dollars ($500,000) or more on state or local government or regulated entities, in aggregate, as determined by the promulgating administrative bodies. [KRS 13A.010(13)] This administrative regulation is not expected to have a major economic impact.