SUBCHAPTER 19Q ‑ EMERGENCY SHELTER GRANTS PROGRAM ADMINISTRATIVE   RULES

 

 

 

SECTION .0100 ‑ GENERAL PROVISIONS

 

 

04 NCAC 19Q .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. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 143B‑276; P.L. 100‑628; 24 C.F.R. 575 and 576;

Eff. August 1, 1989.

04 NCAC 19Q .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)           "ECD" means the North Carolina Department of Economic and Community Development.

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

(7)           "Secretary" means the Secretary of the Department of Economic 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 substance abuse rehabilitation centers.

(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.

(11)         "Obligated" means the recipient or subrecipient has placed orders, awarded contracts, or performed similar transactions that require payment from the ESGP grant amount.

(12)         "Expended" means purchases have been made, deliveries received, or costs incurred for goods and services to be paid with ESGP funds.

 

History Note:        Filed as a Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire

on September 8, 1990;

Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.3; P.L. 100‑77;

Eff. August 1, 1989.

 

04 NCAC 19Q .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. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; P.L. 100‑77; 24 C.F.R. 576;

Eff. August 1, 1989.

 

04 NCAC 19Q .0104          ELIGIBLE APPLICANTS

Eligible applicants are all local governments.

 

History Note:        Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.23;

Eff. August 1, 1989.

 

SECTION .0200 ‑ ELIGIBLE AND INELIGIBLE ACTIVITIES

 

04 NCAC 19Q .0201          ELIGIBLE ACTIVITIES

This Subchapter, in accordance with G.S. 150B‑14(c), adopts by reference as eligible activities those Operations/Services activities described as such in 24 CFR 576.21(a) 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 ECD.

 

History Note:        Filed as a Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire

on September 8, 1990;

Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 150B‑14; 24 C.F.R. 576.21;

Eff. August 1, 1989.

 

04 NCAC 19Q .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 576.21(c), as amended.  Copies of these sections of federal law and regulation are available for public distribution from the Division of Community Assistance of ECD.

 

History Note:        Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 150B‑14; 24 C.F.R. 576.21;

Eff. August 1, 1989;

Amended Eff. August 1, 1990.

 

SECTION .0300 ‑ GENERAL REQUIREMENTS

 

04 NCAC 19Q .0301          APPLICATION REQUIREMENTS

(a)  Local governments are required to submit applications in a manner prescribed by ECD 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 ECD 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)  ECD shall designate specific dates for submission of ESGP grant applications.  Grant application submission dates will be announced by ECD a minimum of 20 days before the date applications are due.

(d)  Applications must be received by ECD 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 ECD 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 ECD.

(2)           Notwithstanding the provisions of Paragraph (d) in this Rule, certifications of compliance may be postmarked or received by ECD 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 ECD.

 

History Note:        Filed as a Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire

on September 8, 1990;

Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.81;

Eff. August 1, 1989.

 

04 NCAC 19Q .0302          SIZE OF GRANTS

Grants are applied for and awarded in one category:  Operations/Services.

(1)           Operations/Services.  The maximum amount which may be applied for and awarded in the Operations/Services category depends on the size of the shelter on whose behalf the application is made.  Shelter size shall be determined by overnight lodging capacity.  Maximum awards per shelter are:

(a)           Thirty thousand dollars ($30,000) for a shelter with a capacity of 10 or fewer persons per night;

(b)           Forty‑five thousand dollars ($45,000) for a shelter with a capacity from 11 to 20 persons per night;

(c)           Sixty thousand dollars ($60,000) for a shelter with a capacity of 21 to 30 persons per night;

(d)           Seventy‑five thousand dollars ($75,000) for a shelter with a capacity of 31 or more persons per night.

(2)           The minimum grant which may be applied for or awarded is one thousand five hundred dollars ($1,500).

(3)           Notwithstanding the provisions of Paragraph (1) in this Rule, ECD 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; ECD 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 Amendment Eff. March 12, 1990, for a period of 180 days to expire

on September 8, 1990;

Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576;

Eff. August 1, 1989.

 

04 NCAC 19Q .0303          DISTRIBUTION OF FUNDS

A maximum of 20 percent of ESGP funds will be awarded to domestic violence shelters.

 

History Note:        Filed as a Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire

on September 8, 1990;

Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576;

Eff. August 1, 1989.

 

04 NCAC 19Q .0304          REALLOCATION

Any ESGP funds recaptured by ECD will be reallocated in a manner to be prescribed by ECD.

 

History Note:        Filed as a Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire

on September 8, 1990;

Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.61;

Eff. August 1, 1989.

 

SECTION .0400 ‑ OPERATIONS/SERVICES CATEGORY

 

04 NCAC 19Q .0401          DEFINITION

The operations/services category includes those eligible activities referenced in 24 CFR 576.21(a).

 

History Note:        Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.21(a)(2)(3);

Eff. August 1, 1989.

 

04 NCAC 19Q .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)           Funds used for the provision of essential services:

(a)           Total 20 percent or less of the entire Operations/Services grant amount and;

(b)           Are used to provide either a new service or a quantifiable increase in the level of service.

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

(a)           Matching Resources ‑ 24 CFR 576.71;

(b)           Nondiscrimination ‑ 24 CFR 576.79(a).

(6)           The subrecipient must continue operation as an emergency shelter for at least one year after the date of the grant award.

 

History Note:        Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576;

Eff. August 1, 1989.

 

04 NCAC 19Q .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 Rules .0302(1), (3) and (4), and .0303.

 

History Note:        Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576;

Eff. August 1, 1989.

 

SECTION .0500 ‑ REHABILITATION CATEGORY

 

04 NCAC 19Q .0501          DEFINITION

04 NCAC 19Q .0502          ELIGIBILITY REQUIREMENTS

04 NCAC 19Q .0503          AWARDS

 

History Note:        Filed as a Temporary Repeal Eff. March 12, 1990, for a period of 180 days to expire on

September 8, 1990;

Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576;

Eff. August 1, 1989.

 

SECTION .0600 ‑ GRANT ADMINISTRATION

 

04 NCAC 19Q .0601          GRANT AGREEMENT

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

(b)  A copy of the grant agreement in its original form along with any and all modifications thereto shall be kept on file in the office of the recipient in accordance with Rule .0604 of this Section.

(c)  ESG Program amendments.  Recipients shall request prior ECD 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 types of eligible activities as described in 24 CFR 576.21(a).

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

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

 

History Note:        Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.81;

Eff. August 1, 1989;

Amended Eff. August 1, 1990.

 

04 NCAC 19Q .0602          METHOD OF ADMINISTRATION

(a)  Recipients may delegate to nonprofit subrecipients the responsibility of undertaking or carrying out ESGP activities pursuant to 24 CFR 576.3 and 24 CFR 576.23.  This does not prohibit the designation of an administering agency, so long as no ESGP funds are used for administrative costs.

(b)  ECD 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 ECD.

(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.

 

History Note:        Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576;

Eff. August 1, 1989;

Amended Eff. August 1, 1990.

 

04 NCAC 19Q .0603          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. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.81;

Eff. August 1, 1989.

 

04 NCAC 19Q .0604          RECORDKEEPING

(a)  ECD, or any of ECD'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. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.87;

Eff. August 1, 1989;

Amended Eff. August 1, 1990.

 

04 NCAC 19Q .0605          GRANT CLOSEOUTS

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

(1)           ECD will initiate closeout procedures after ECD 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 ECD or the recipient, prior to the completion of the approved ESG 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.  Termination of grant shall be in writing.

(3)           Termination for cause.  The secretary may terminate the recipient's entire grant, or the remaining balance thereof, in accordance with Rule .0704 of this Subchapter.

 

History Note:        Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 159‑34; 24 C.F.R. 576.81;

Eff. August 1, 1989;

Amended Eff. August 1, 1990.

 

SECTION .0700 ‑ COMPLIANCE AND REPORTING REQUIREMENTS

 

04 NCAC 19Q .0701          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. March 6, 1989 for a period of 180 days to expire on September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.81;

Eff. August 1, 1989.

 

04 NCAC 19Q .0702          REPORTING

(a)  NRCD may require recipients to provide interim performance reports 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 be 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. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.85;

Eff. August 1, 1989.

 

04 NCAC 19Q .0703          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. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.89;

Eff. August 1, 1989.

 

04 NCAC 19Q .0704          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. March 6, 1989 for a period of 180 days to expire on

September 2, 1989;

Authority G.S. 143‑323; 143B‑10; 24 C.F.R. 576.89;

Eff. August 1, 1989.