SUBCHAPTER 19N ‑ EMERGENCY SHELTER GRANTS PROGRAM ADMINISTRATIVE RULES

 

SECTION .0100 ‑ GENERAL PROVISIONS

 

04 NCAC 19N .0101          PURPOSE AND OBJECTIVES

The purpose of the North Carolina Emergency Shelter Grants Program (hereinafter referred to as "ESGP") is to assist families and individuals who are homeless primarily due to their economic circumstances.  Consistent with this purpose, ESGP funds will assist local governments in improving the quality and availability of emergency shelters and services for the homeless in their community.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 143B‑276; P.L. 99‑500; 24 C.F.R. 575;

Eff. September 1, 1987.

04 NCAC 19N .0102          DEFINITIONS

The following definitions apply to the rules of this Subchapter:

(1)           "Act" means the Homeless Housing Act of 1986, P.L. 99‑500, as amended.

(2)           "Applicant" means a local government which makes an application pursuant to the provisions of this Subchapter.

(3)           "Chief Elected Official" means either the elected Mayor of a City or the Chairman of a County Board of Commissioners.

(4)           "ESGP" means the state‑administered Emergency Shelter Grants Program.

(5)           "Entitlement cities" means those cities in North Carolina that received their 1986 Community Development Block Grant allocation directly from the U. S. Department of Housing and Urban Development.

(6)           "Local Government" means any unit of general city or county government in the state.

(7)           "NRCD" means the North Carolina Department of Natural Resources and Community Development.

(8)           "Recipient" means a local government that has been awarded an ESGP grant and has executed a Grant Agreement with NRCD.

(9)           "Secretary" means the Secretary of the Department of Natural Resources and Community Development or his designee.

(10)         "State" means the state of North Carolina.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.3; P.L. 99‑500;

Eff. September 1, 1987.

 

04 NCAC 19N .0103          WAIVERS

The Secretary may waive any requirements of this Subchapter not required by law whenever he determines that undue hardship to applicants, recipients or beneficiaries will result from applying the requirements and where application of the requirements would adversely affect the purposes of the Act.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; P.L. 99‑500; 24 C.F.R. 575;

Eff. September 1, 1987.

 

04 NCAC 19N .0104          ELIGIBLE APPLICANTS

Eligible applicants are all local governments.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.23;

Eff. September 1, 1987.

 

SECTION .0200 ‑ ELIGIBLE AND INELIGIBLE ACTIVITIES

 

04 NCAC 19N .0201          ELIGIBLE ACTIVITIES

This Subchapter adopts by reference as eligible activities those activities described as such in the Act as approved by Congress on October 18, 1986 and in 24 CFR 575.21(a) as published in the Federal Register on December 17, 1986.  Copies of these sections of federal law and regulation are available for public distribution from the Division of Community Assistance of NRCD.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.21(a);

Eff. September 1, 1987.

 

04 NCAC 19N .0202          INELIGIBLE ACTIVITIES

This Subchapter adopts by reference as ineligible activities those activities described as such in the Act as approved by Congress on October 18, 1986 and in 24 CFR 575.21(b) as published in the Federal Register on December 17, 1986.  Copies of these sections of federal law and regulation are available for public distribution from the Division of Community Assistance of NRCD.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.21(b);

Eff. September 1, 1987.

 

SECTION .0300 ‑ DISTRIBUTION OF FUNDS

 

04 NCAC 19N .0301          SIZE AND USE OF GRANTS

(a)  There is no minimum grant amount which applicants may request or be awarded.  Grant awards shall not exceed five thousand dollars ($5,000) in ESGP funds per applicant per year, except in the case of entitlement cities which may request and be awarded ESGP funds up to the amount shown on the "ESGP Entitlement Allocation Table" published by the Division of Community Assistance of NRCD.  Copies of this table are available for public distribution from the Division of Community Assistance of NRCD.

(b)  Notwithstanding the provisions of Paragraph .0301(a) above, NRCD reserves the right to decrease the requested grant amounts in the event that the total amount of funds requested exceeds the total amount of funds available.  NRCD also reserves the right to increase requested grant amounts and award grants exceeding the five thousand dollar ($5000) limit if the total amount of funds requested is less than the total amount of funds available.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.37;

Eff. September 1, 1987.

 

04 NCAC 19N .0302          REALLOCATION

Any ESGP funds recaptured by NRCD, as provided for in Rule .0604 and Rule .0505 of this Subchapter, may be distributed to grant recipients in a manner to be prescribed by NRCD.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 24 C.F.R. 575.37;

Eff. September 1, 1987.

 

04 NCAC 19N .0303          GENERAL APPLICATION REQUIREMENTS

(a)  Local governments are required to submit applications in a manner prescribed by NRCD in order to be considered for funding.  Selection of applications for funding will be based primarily on information contained in the application, thus applications must provide sufficient information for NRCD to evaluate them.  Applicants may apply for more than one grant and be awarded more than one grant, providing the total amount of grants awarded to an applicant does not exceed the maximum limits described in Rule .0301 of this Section.

(b)  NRCD shall designate specific dates for submission of ESGP grant applications.  Grant application submission dates will be announced by NRCD at least 20 days before the date applications are due.

(c)  Applications must be received by NRCD administrative offices in Raleigh before 5:00 p.m. on the submission date or, if sent by mail, must be postmarked on the submission date.

(d)  The applicant shall certify to NRCD that it will comply with all applicable federal and state laws, regulations, rules and executive orders.  Copies of these federal and state documents are available for public distribution from the Division of Community Assistance of NRCD.

(e)  Applicants must comply with the Act, all applicable federal and state laws, regulations, rules, executive orders and guidelines issued by NRCD.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.37; 24 C.F.R. 575.61;

Eff. September 1, 1987.

 

SECTION .0400 ‑ GRANT SELECTION PROCESS

 

04 NCAC 19N .0401          ELIGIBILITY REQUIREMENTS

(a)  Applications must show that funds received under ESGP will be expended within 180 days after the date that NRCD makes the grant available to the recipient.  Applications that do not meet this requirement will not be rated or funded.

(b)  Applications must show that matching resources required by the federal government are available.  Applications that do not meet this requirement will not be rated or funded.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.33;

Eff. September 1, 1987.

 

04 NCAC 19N .0402          EVALUATION FACTORS

(a)  Applications will be selected for funding by NRCD based on overall project quality, geographic distribution of applicants, and the availability of ESGP funds.

(b)  Project quality will be determined by NRCD based on the following factors:

(1)           Benefits of proposed activities to homeless persons, including type and number of both current and new beneficiaries;

(2)           Feasibility of the proposed activities, including:

(A)          Local resources for sheltering the homeless;

(B)          Local commitment to continue the program to be assisted with ESGP Funds.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.33;

Eff. September 1, 1987.

 

SECTION .0500 ‑ GRANT ADMINISTRATION

 

04 NCAC 19N .0501          GRANT AGREEMENT

(a)  Upon approval of the application by NRCD, a written grant agreement will be executed between the recipient and NRCD.  The Rules in this Subchapter, subsequent guidelines prepared by NRCD, the approved application, and any subsequent amendments to the approved application shall become a part of the grant agreement.

(b)  The grant agreement in its original form and all modifications thereto shall be kept on file in the office of the recipient in accordance with Rule .0504 of this Section.

(c)  ESGP Program amendments. Recipients shall request prior NRCD approval for all amendments to the grant agreement when:

(1)           The recipient proposes to change the approved project budget amount for any of the three categories of eligible activities as described in 24 CFR 575.21(a).

(2)           The recipient proposes to distribute all or part of their grant(s) to programs or agencies other than originally approved in the application.

(d)  NRCD reserves the right to disallow any proposed amendment to the grant agreements.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.61;

Eff. September 1, 1987.

 

04 NCAC 19N .0502          METHOD OF ADMINISTRATION

(a)  Recipients may delegate to statutorily authorized subrecipients the responsibility of undertaking or carrying out ESGP activities.  All entities so designated under this Subparagraph by recipients to undertake or carry out ESGP activities pursuant to this Subchapter shall be considered subrecipients.

(b)  Recipients may contract with any person, association, or corporation in undertaking specified ESGP activities.

(c)  NRCD shall make payments of ESGP funds to recipients on a cost‑reimbursement or cost‑incurred basis.  A recipient may request up to three payments of ESGP grant funds per grant in the manner prescribed by NRCD.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.59; 24 C.F.R. 575.61;

Eff. September 1, 1987.

 

04 NCAC 19N .0503          PROPERTY MANAGEMENT STANDARDS

(a)  Property acquired with ESGP grant funds shall be used to provide benefits to the homeless.

(b)  Recipients and subrecipients are encouraged to use proceeds from the disposition of property acquired with ESGP funds in a manner which provides benefit to the homeless in their community.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.21; 24 C.F.R. 575.61;

Eff. September 1, 1987.

 

04 NCAC 19N .0504          RECORDKEEPING

(a)  NRCD, or any of NRCD's duly authorized representatives, shall have access to all books, accounts, records, reports, files, and other papers or property of recipients or their subrecipients and contractors pertaining to funds provided under this Subchapter for the purpose of making surveys, audits, examinations, excerpts and transcripts.

(b)  Financial records, supporting documents and all other reports and records required under this Subchapter, and all other records pertinent to the ESGP Program shall be retained by the recipient for a period of at least one year from the date of the closeout of the program, or longer in the following circumstances:

(1)           Records documenting compliance with 24 CFR 575.53 shall be kept for the period of compliance;

(2)           Records shall be retained until all litigations, claims, or audit findings involving the records have been resolved.

(c)  All records shall be sufficient to determine compliance with the requirements and primary objectives of the ESGP Program and all other applicable laws and regulations.  All accounting records shall be supported by source documentation and show compliance with Rule .0503 of this Section.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.67;

Eff. September 1, 1987.

 

04 NCAC 19N .0505          GRANT CLOSEOUTS

ESGP grants will be closed out by NRCD in the following circumstances:

(1)           NRCD will initiate closeout procedures after NRCD determines, in consultation with the recipient, that there are no impediments to closeout and that all ESGP funds have been expended.

(2)           Termination of grant for mutual convenience.  Grant assistance provided under this Subchapter may be cancelled, in whole or in part, by NRCD or the recipient, prior to the completion of the approved ESGP Program, when both parties agree that the continuation of the program no longer is feasible or would not produce beneficial results commensurate with the further expenditure of funds.

(3)           Termination for cause.  The Secretary may terminate the recipient's entire grant, or the remaining balance thereof, in accordance with Rule .0604 of this Subchapter.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 159‑34; 24 C.F.R. 575.61;

Eff. September 1, 1987.

 

SECTION .0600 ‑ COMPLIANCE AND REPORTING REQUIREMENTS

 

04 NCAC 19N .0601          COMPLIANCE

Recipients shall have responsibility for ensuring that ESGP funds are expended as stated in their grant agreement and in conformance with all applicable federal and state laws, regulations, and guidelines, regardless of whether activities are carried out by the recipient or a subrecipient.  NRCD may prescribe procedures for ensuring compliance with the provisions of this Rule.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.61;

Eff. September 1, 1987.

 

04 NCAC 19N .0602          REPORTING

(a)  NRCD may require recipients to provide an interim performance report in a form prescribed by NRCD.  Recipients will be notified at least 20 days before the report will be due.

(b)  The recipient shall submit an Annual Performance Report to NRCD no later than 210 days after the date that NRCD makes the grant available to the recipient.  The annual performance report shall be in a form prescribed by NRCD.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.65;

Eff. September 1, 1987.

 

04 NCAC 19N .0603          MONITORING BY NRCD

(a)  The secretary may evaluate activities conducted under this Subchapter and their effectiveness in meeting the objectives of the ESGP program.

(b)  The secretary may conduct such evaluations using NRCD personnel, or by contract or other arrangement with public or private agencies.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑322; 143B‑10; 24 C.F.R. 575.61;

Eff. September 1, 1987.

 

04 NCAC 19N .0604          REMEDIES

When the secretary determines on the basis of a review of a recipient's performance that the objectives of an ESGP program described in the grant agreement have not been met, NRCD may take one or more of the following actions as appropriate:

(1)           Issue a warning letter that further failure to comply with such requirements will result in a more serious sanction;

(2)           Condition a future grant;

(3)           Direct the recipient to stop the incurring of costs with grant amounts;

(4)           Require that some or all of the grant amounts be remitted to NRCD;

(5)           Reduce the level of funds the recipient would otherwise be entitled to receive; or

(6)           Elect not to provide future grant funds to the recipient until appropriate actions are taken to ensure compliance.

 

History Note:        Filed as a Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on

October 21, 1987;

Filed as a Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on

June 30, 1987;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.69;

Eff. September 1, 1987.