SUBCHAPTER 19P ‑ EMERGENCY SHELTER GRANTS PROGRAM ADMINISTRATIVE RULES

 

SECTION .0100 ‑ GENERAL PROVISIONS

 

04 NCAC 19P .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. April 4, 1988 for a period of 180 days to expire on October 1, 1988;

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

Eff. October 1, 1988.

04 NCAC 19P .0102           DEFINITIONS

The following terms shall apply to the rules of this Subchapter:

(1)           "Act" means the Stewart B. McKinney Homeless Assistance Act, P.L. 100‑77, as amended.

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

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

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

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

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

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

(8)           "Shelter" means an individual facility with the capacity to provide overnight lodging whose purpose is to assist homeless persons through activities funded under this Subchapter.  For purposes of this program, the term "shelter" excludes those facilities chartered and intended to function primarily as foster care or similar children's facilities or to serve victims of domestic violence.

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

(10)         "Subrecipient" means a nonprofit service‑providing agency that a recipient contracts with to carry out services and activities funded under this Subchapter.

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.3; P.L. 100‑77;

Eff. October 1, 1988.

 

04 NCAC 19P .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. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

Authority G.S. 143‑323; 143B‑10; P.L. 100‑77; 24 C.F.R. 575;

Eff. October 1, 1988.

 

04 NCAC 19P .0104           ELIGIBLE APPLICANTS

Eligible applicants are all local governments.

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

Eff. October 1, 1988.

 

SECTION .0200 ‑ ELIGIBLE AND INELIGIBLE ACTIVITIES

 

04 NCAC 19P .0201           ELIGIBLE ACTIVITIES

This Subchapter, in accordance with G.S. 150B‑14(c), adopts by reference as eligible activities those Operations activities described as such in 24 CFR 575.21(a)(3) and in corresponding sections of the Act, as amended.  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. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

Authority G.S. 143‑323; 143B‑10; 150B‑14; 24 C.F.R. 575.21;

Eff. October 1, 1988.

 

04 NCAC 19P .0202           INELIGIBLE ACTIVITIES

This Subchapter, in accordance with G.S. 150B‑14(c), adopts by reference as ineligible activities those activities described as such in the Act and in 24 CFR 575.21(b), as well as in 24 CFR 575.21(a)(1) and (2), as amended.  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. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

Authority G.S. 143‑323; 143B‑10; 150B‑14; 24 C.F.R. 575.21;

Eff. October 1, 1988.

 

SECTION .0300 ‑ GENERAL REQUIREMENTS

 

04 NCAC 19P .0301           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.

(b)  Applicants may apply for more than one grant and be awarded more than one grant, providing the total amount of funds awarded to a single shelter does not exceed the maximum limits described in Rule .0302 of this Section.

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

(d)  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 or before the submission date.

(e)  The applicant shall certify to NRCD that it will comply with all applicable federal and state laws, regulations, rules and executive orders.

(1)           Copies of these federal and state documents are available for public distribution from the Division of Community Assistance of NRCD.

(2)           Notwithstanding the provisions of Paragraph (d) in this Rule, certifications of compliance may be postmarked or received by NRCD up to two weeks after the date the application is due.  This provision applies only to certifications.

(f)  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. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

Eff. October 1, 1988.

 

04 NCAC 19P .0302           SIZE OF GRANTS

(a)  The maximum amount which may be applied for is five thousand dollars ($5,000) per shelter.

(b)  The minimum grant which may be applied for is one thousand dollars ($1,000).

(c)  Notwithstanding the provisions of Paragraphs (a) and (b) in this Rule, NRCD reserves the right to award grants for less than the requested amount in the event that the total amount of funds requested exceeds the total amount of funds available.  NRCD also reserves the right to award grants exceeding the amount requested if the total amount of funds requested is less than the total amount of funds available.

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575;

Eff. October 1, 1988.

 

04 NCAC 19P .0303           REALLOCATION

Any ESGP funds recaptured by NRCD, as provided for in Rule .0604 and Rule .0505 of this Subchapter will, if practicable, be added to the amount available for the next round of funding.  If this is not feasible, the recaptured funds will be reallocated in a manner to be prescribed by NRCD.

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575.41;

Eff. October 1, 1988.

 

SECTION .0400 ‑ OPERATIONS CATEGORY

 

04 NCAC 19P .0401           DEFINITION

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

ARRC Objection May 19, 1988;

Expired Eff. October 1, 1988.

 

04 NCAC 19P .0402           ELIGIBILITY REQUIREMENTS

Applications for ESGP funds must be complete and show that:

(1)           The application was duly authorized by the local governing body, or that such authorization is imminent;

(2)           Grant funds will be expended by a shelter as defined in Rule .0102 of this Subchapter;

(3)           Funds will be expended within 180 days of the date of the grant award;

(4)           All federal requirements will be met, including:

(a)           Matching Resources ‑ 24 CFR 575.51;

(b)           Continuation of Shelter ‑ 24 CFR 575.53;

(c)           Nondiscrimination ‑ 24 CFR 575.59(a).

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575;

Eff. October 1, 1988.

 

04 NCAC 19P .0403           AWARDS

All eligible applications received will be funded using a pro rata formula based on the total amount requested that is eligible for funding and the total amount available for distribution, in accordance with Rule .0302(c).

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575;

Eff. October 1, 1988.

 

SECTION .0500 ‑ GRANT ADMINISTRATION

 

04 NCAC 19P .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, application guidelines, 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 the recipient proposes to distribute all or part of its grant(s) to programs, shelters, or agencies other than those approved in the current Grant Agreement.

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

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

Eff. October 1, 1988.

 

04 NCAC 19P .0502           METHOD OF ADMINISTRATION

(a)  Recipients may delegate to nonprofit subrecipients the responsibility of undertaking or carrying out ESGP activities pursuant to 24 CFR 575.3 and 24 CFR 575.23.  This does not prohibit the designation of an administering agency, so long as no ESGP funds are used for administrative costs.

(b)  NRCD shall make payments of ESGP funds to recipients on a cost‑reimbursement or cost‑incurred basis.  Recipients shall request payment of ESGP funds in a manner prescribed by NRCD.

(c)  All payments of ESGP funds to recipients must be for costs incurred during the period of the grant.  Recipients will not receive payment for costs incurred before the execution of the Grant Agreement.

(d)  All grant funds must be expended or costs incurred within 180 days of the date of the grant award.

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 575;

Eff. October 1, 1988.

 

04 NCAC 19P .0503           PROPERTY MANAGEMENT STANDARDS

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

(b)  Recipients and subrecipients should 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. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

Eff. October 1, 1988.

 

04 NCAC 19P .0504           RECORDKEEPING

(a)  NRCD, or any of NRCD's duly authorized representatives, shall have access to all books, accounts, records, reports, files, audits, 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 audits and records pertinent to the ESGP Program shall be retained by the recipient for a period of at least three years from the date of the closeout of the program, except that 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.

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

Eff. October 1, 1988.

 

04 NCAC 19P .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. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

Eff. October 1, 1988.

 

SECTION .0600 ‑ COMPLIANCE AND REPORTING REQUIREMENTS

 

04 NCAC 19P .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. April 4, 1988 for a period of 180 days to expire on October 1, 1988;

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

Eff. October 1, 1988.

 

04 NCAC 19P .0602           REPORTING

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

(b)  The recipient shall submit an Annual Performance Report to NRCD as part of closeout procedures.  NRCD will notify grantees of the date the Annual Performance Report is due.  The Annual Performance Report shall be in a form prescribed by NRCD.

 

History Note:        Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

Eff. October 1, 1988.

 

04 NCAC 19P .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. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

Eff. October 1, 1988.

 

04 NCAC 19P .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. April 4, 1988 for a period of 180 days to expire on

October 1, 1988;

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

Eff. October 1, 1988.