Utah responses to the federal grant review process survey, 2021
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States employ a variety of processes to apply for and administer federal grants. Ballotpedia's 2021 state survey of the federal grant review process examined the general processes applied by the 50 states in order to seek and distribute federal funds.
Research from the Pew Charitable Trusts found that federal funds made up 32% (roughly $639 billion) of all state revenue in 2017, making them the second-largest source of state revenue behind state tax collections.[1] States direct federal funds to government programs related to education, healthcare, transportation, infrastructure, and other policies.[1]
This page features Utah's responses to Ballotpedia's 2021 survey.
Background
From August 5, 2021, to September 27, 2021, Ballotpedia staff contacted the executive and legislative budget offices of all 50 states via email and/or telephone to update a publicly available 2016 survey on state approaches to the federal grant review process.
Our staff contacted state officials with the following survey questions:
- Approval processes for federal grants
- What is your state’s process for federal grant applications and the approval process?
- What is your state’s approval process when the legislature is not in session?
- How does the legislature monitor the intent of federal grants? What legislative rules allow the state greater oversight of federal funds in the budgets?
- Contingency plans for the loss or decline of federal funds
- What is your state’s contingency plan in the case of a decline or loss of federal funds?
- Quality control processes for federal grants
- What is your state’s quality control process for tracking the effectiveness of federal funds?
- Does your state attempt to estimate the cost of federal fund requirements? If so, how?
- How does your state prioritize federal funds to best meet the needs of constituents?
- If your state doesn’t appropriate key federal funds like food stamps and unemployment benefits, are your state’s federal funds off-budget? How do you track this information?
Our staff also contacted state officials with the following two new survey questions regarding federal funds made available in response to the coronavirus (COVID-19) pandemic:
- Coronavirus (COVID-19) pandemic funds
- Who has decision rights over American Rescue Plan Act (ARPA) State Fiscal Recovery Fund allocations in your state?
- Who has decision rights over Elementary and Secondary School Emergency Relief (ESSER) Fund allocations in your state?
Utah 2021 survey responses
What is your state’s process for federal grant applications and the approval process?
“1) Agencies report all grants they expect to receive for the following fiscal year to the Governor's Office during budget season
"2) A report is compiled by the Governor's budget office that shows, by agency, all budgeted grants
"3) That report goes to the legislature for approval, and authority to receive and spend those grants is given during session
"4) Throughout the year and during interim, agencies are then required to submit ALL grants (whether they were approved by the legislature during last session or brand new grants) to the governor's office to a centralized grants reporting system.
"5) Grants reported to the system are either approved by the Governor's office, go to the monthly interim appropriations committee, or marked as already receiving approval if they were approved during the last legislative session.”
What is the approval process when the legislature is not in session?
“Throughout the year and during interim, agencies are then required to submit ALL grants (whether they were approved by the legislature during last session or brand new grants) to the governor's office to a centralized grants reporting system. Grants reported to the system are either approved by the Governor's office, go to the monthly interim appropriations committee, or marked as already receiving approval if they were approved during the last legislative session.”
How does the legislature monitor the intent of federal grants?
“Intent is monitored through information collected and reported in the state grants system, which includes a complete description of the purpose, conditions of receipt, pass through recipients, among other information. Oversight is primarily carried out through legislative analysis of the annual grants report to the legislature and monthly grants reporting during interim committee meetings. Legislature also has authority to reject receipt of any Federal grant throughout the process.”
What is your state’s contingency plan for state financing in the case of losses or decline in federal funds?
“A decline or loss of federal funding would require a proportional reduction or elimination of the program that was federally funded. In an extreme case like the loss of Medicaid funding or other essential services, the state would likely temporarily use GF or rainy days funds.
“The State of Utah also performs an annual comprehensive budget stress testing analysis that seeks to quantify the state’s ability to absorb an unforeseen budget shock (primarily related to an adverse or severe economic recession, but could be extended to the loss of federal funds). Stress testing includes identifying and enumerating both formal and informal reserves, prioritizing areas for spending reductions, anticipating counter cyclical expenditure risks, etc.”
What is your state’s quality control process for tracking the effectiveness of federal funds?
“No formal statewide process is in place, although agencies with a heavy reliance on federal funds often have metrics and processes to determine effectiveness at program level.”
Does your state attempt to estimate the cost of federal fund requirements? If so, how?
“The state grants reporting system and annual grants report to the legislature both require a complete breakdown of state match funding to determine the full cost of the grant to the state.”
How does your state prioritize federal funds to best meet the needs of constituents?
“State agencies strategically apply for and use federal funding (in connection with state funding) to fulfill their agency missions and to best meet the needs of constituents.”
If your state does not appropriate key federal funds like food stamps and unemployment benefits, are your state’s federal funds off budget? How do you track this information?
“All federal funds are appropriated. Agencies can only use up to 125% of the approved amount without having to receive approval to go over that amount. Many large federally funded programs like Medicaid, CHIP, TANF, SNAP, WIC, and highway funding are exempt from the federal funds process described above.”
Who has decision rights over American Rescue Plan Act (ARPA) State Fiscal Recovery Fund allocations in your state?
"The Legislature will directly appropriate funds to specific purposes and programs, with consideration of the Governor’s recommendations. The Legislature will then provide oversight of the appropriations while the Governor’s Office is responsible for the management and monitoring of the eligible spending of the funds. The Governor’s Office of Planning and Budget will ensure that each appropriation and subsequent expenditures satisfy the eligibility requirements set by the U.S. Treasury."
Who has decision rights over Elementary and Secondary School Emergency Relief (ESSER) Fund allocations in your state?
"ESSER allocation is based on the federal directives in the various acts that approved the funds. Subject to approval and appropriation by the Legislature, the State Board of Education accepted the funds and oversees distribution to the local education agencies (LEAs). 90% of funds are distributed directly to LEAs which develop plans for fund usage; these plans are then approved by the State Board of Education as are requests for reimbursement. The State Board has direct control of up to 10% of the federal distribution."
Other state survey responses
Click on a state below to view its responses to the 2021 survey on the federal grant review process:
- Alabama
- Alaska
- Arizona
- Arkansas
- California
- Colorado
- Connecticut
- Delaware
- Florida
- Georgia
- Hawaii
- Idaho
- Illinois
- Indiana
- Iowa
- Kansas
- Kentucky
- Louisiana
- Maine
- Maryland
- Massachusetts
- Michigan
- Minnesota
- Mississippi
- Missouri
- Montana
- Nebraska
- Nevada
- New Hampshire
- New Jersey
- New Mexico
- New York
- North Carolina
- North Dakota
- Ohio
- Oklahoma
- Oregon
- Pennsylvania
- Rhode Island
- South Carolina
- South Dakota
- Tennessee
- Texas
- Utah
- Vermont
- Virginia
- Washington
- West Virginia
- Wisconsin
- Wyoming
See also
- State survey of the federal grant review process, 2021
- State responses to the federal grant review process survey, 2021
- State responses by question to the federal grant review process survey, 2021
- Federalism
External links
Footnotes
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