265—41.11(16) Administration.

1. 41.11(1)  Contracts. Upon selection of an application for funding, the authority will initiate a contract. These rules and applicable federal and state laws and regulations will become part of the contract. Certain activities may necessitate that permits or clearances be obtained from other state agencies before the start of the project. Funding awards may be conditioned upon the timely completion of these requirements or any other conditions stipulated in the contract at the authority’s sole discretion.

2. 41.11(2)  Recordkeeping and retention. Financial records, supporting documents, statistical records, and all other records pertinent to the funded project shall be retained by the recipient and made available to the authority upon request. Proper record retention shall be in accordance with the following:

   1. a. Retention of records for any assisted activity for five years after the end of the grant period and, if applicable, until audit and compliance monitoring procedures are completed and accepted by the authority.
   2. b. Access to all books, accounts, documents, records, and other property belonging to or in use by a recipient pertaining to the receipt of assistance under these rules by the office of auditor of state, the authority or the authority’s designee.

3. 41.11(3)  Reporting requirements. Recipients shall submit reports to the authority as prescribed in the contract. Reports include:

   1. a. HMIS data reports. All recipients are required to submit regular reports on participants served using the current HMIS reporting process as prescribed by the authority unless a recipient qualifies as a domestic violence shelter, in which case the recipient shall submit reports using the DVIMS.
   2. b. Requests for funds. Recipients shall submit requests for funds during the contract period at intervals and using forms as prescribed by the authority. The authority may perform any review or field inspections it deems necessary to ensure SAF program compliance, including review of recipient records and reports. When problems of compliance are noted, the authority may require remedial actions to be taken. Failure to respond to notifications of need for remedial action may result in the remedies for noncompliance set forth in subrule 41.11(4).

4. 41.11(4)  Remedies for noncompliance. Should the authority find that a recipient is not in compliance with the requirements under this SAF program, the authority may employ any remedies it deems appropriate, including but not limited to the following:

   1. a. Issue a warning letter stating that continued failure to comply with SAF program requirements within a stated period of time will result in a more serious action.
   2. b. Condition a future award on correcting compliance issues.
   3. c. Direct the recipient to stop incurring costs with grant funds.
   4. d. Require that some or all of the awarded funds be remitted to the authority.
   5. e. Reduce the level of funds the recipient would otherwise be entitled to receive.
   6. f. Elect not to provide future award funds to the recipient until appropriate actions are taken to ensure compliance.
   7. g. Prohibit a future award of funds.

[ARC 9407C, IAB 7/9/25, effective 8/13/25]