Notice of the FY 2011 Substantial Amendment Process and Other Related Information for Recipients of Emergency Solutions Grants Program Funds, 4337-4358 [2012-1710]

Agencies

• DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Federal Register Volume 77, Number 18 (Friday, January 27, 2012)]
[Notices]
[Pages 4337-4358]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-1710]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5594-N-01]


Notice of the FY 2011 Substantial Amendment Process and Other 
Related Information for Recipients of Emergency Solutions Grants 
Program Funds

AGENCY: Office of Assistant Secretary for Community Planning and 
Development, HUD.

ACTION: Notice of funding allocations and requirements.

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SUMMARY: This Notice advises the public of the amounts, and spending 
restrictions on the use, of the second allocation of Fiscal Year (FY) 
2011 Emergency Shelter Grants/Emergency Solutions Grants funding 
(including requirements for establishing each recipient's expenditure 
limit for emergency shelter and street outreach activities), 
requirements for receiving the second allocation, and requirements that 
apply to FY 2012 and future consolidated planning submissions.

DATES: Effective Date: January 27, 2012.
    Overview Information:
    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title: Funding Availability for the 
Emergency Solutions Grants (ESG) program.
    C. Publication: This Notice is initially being published on HUD's 
Web site. All HUD materials will be posted on the HUD Homelessness 
Resource Exchange at: www.hudhre.info.
    D. Catalog of Federal Domestic Assistance (CFDA) Number: 14.231: 
Emergency Solutions Grants program (ESG).
    E. Dates: Substantial amendments submitted pursuant to this Notice 
must be submitted in compliance with 24 CFR part 91 and the recipient's 
citizen participation plan no later than May 15, 2012.
    F. Additional Overview Content Information: On November 15, 2011, 
the Department of Housing and Urban Development (HUD) posted the 
interim rule for the Emergency Solutions Grants program and 
Consolidated Plan conforming amendments (Interim Rule) on HUD's 
Homelessness Resource Exchange Web site at www.hudhre.info. On December 
5, 2011, the Interim Rule was published in the Federal Register (see 76 
FR 75954). Also on November 15, HUD announced the amounts of the second 
allocation of FY 2011 Emergency Shelter Grants program/Emergency 
Solutions Grants program funds. To receive funds from the second 
allocation, each eligible recipient must prepare, and obtain HUD 
approval of, a substantial amendment to its Fiscal Year (FY) 2011 
Consolidated Plan Annual Action Plan (Annual Action Plan). This Notice 
advises recipients of the 24 CFR part 91 requirements that will apply 
to this substantial amendment, highlights the relevant changes under 
the Interim Rule, and provides guidance on critical decisions to be 
made in the planning process.

[[Page 4338]]

    G. For Further Information: For questions about ESG, please submit 
them to the HUD Homelessness Resource Exchange Virtual Help Desk at 
https://www.hudhre.info/index.cfm?do=viewHelpdesk. For more information 
about ESG, or to view a copy of the McKinney-Vento Homeless Assistance 
Act (42 U.S.C. 11371 et seq.) (McKinney-Vento Act), as amended by the 
Homeless Emergency and Rapid Transition to Housing Act of 2009 (Pub. L. 
111-22) (HEARTH Act), or the amended ESG regulations, go to 
www.hudhre.info/hearth.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Purpose
II. Overview
III. Spending Requirements and Critical Recipient Funding Decisions
IV. Requirements for Receiving the Second Allocation
V. Requirements That Apply to FY 2012 and Future Consolidated 
Planning Submissions

Appendices

    A. FY 2011 ESG Allocations by State and Recipient Name
    B. Checklist of Requirements for FY 2011 Substantial Amendment
    C-1. Table 3C for local governments and territories: 
Consolidated Plan Listing of Projects
    C-2. Table 3C for States: Annual Action Plan Planned Project 
Results

I. Purpose

    On December 5, 2011 (76 FR 75954), the interim regulation for the 
Emergency Solutions Grants (ESG) program was published (Interim Rule). 
On January 4, 2012, it went into effect. ESG recipients will be 
eligible to receive additional FY 2011 ESG funds to carry out the new 
activities. This Notice provides further guidance on the requirements 
for receiving and using the additional funding (referred to in this 
Notice as ``the second allocation'') and other requirements for future 
consolidated planning submissions.

II. Overview

A. Background

    The Full-Year Continuing Appropriations Act, 2011 (Pub. L. 112-10, 
Division B) appropriated at least $225 million for the Emergency 
Solutions Grants program for FY 2011. Accordingly, HUD used its 
discretion to allocate $250 million in FY 2011 funds for the ESG 
program. However, because the program regulations were still being 
revised when this funding became available, HUD chose to release the 
funding in a two-stage allocation process. The first allocation was 
made available immediately, to avoid a lapse in funding for existing 
Emergency Shelter Grants activities. This allocation, which equaled the 
FY 2010 ESG funding level of $160 million, was made in May 2011 and was 
subject to the Emergency Shelter Grants regulations in effect at that 
time.
    The amounts for each recipient for the second allocation of $90 
million, which reflects the national increase in ESG funding from FY 
2010 to FY 2011, were posted on HUD's Web site on November 15, 2011, 
the same day that the Interim Rule was posted on HUD's Web site. HUD 
provided this early notification so that recipients could begin their 
local planning processes. Appendix A of this Notice lists the amount 
allocated to each recipient. Section III of this Notice describes some 
of the key spending requirements and decisions that recipients must 
make. It also explains how the program's new expenditure limits will 
apply to the funds from the second allocation for the FY 2011 ESG 
grant, and how to calculate and document the amount of funds committed 
to homeless assistance activities in FY 2010.
    To receive the second allocation of funds for the FY 2011 ESG 
grant, each recipient will be required to submit, and obtain HUD 
approval of, a substantial amendment to the FY 2011 Consolidated Plan 
Annual Action Plan (Annual Action Plan), in accordance with the 
recipient's citizen participation plan and 24 CFR part 91, as amended 
by the Interim Rule. Each must submit its substantial amendment to HUD 
no later than May 15, 2012. Section IV of this Notice specifies which 
24 CFR part 91 requirements will apply to this substantial amendment 
and provides guidance on critical decisions to be made in the planning 
process.
    Section V of this Notice highlights the Interim Rule's other 
changes to 24 CFR part 91, which will affect FY 2012 Annual Action 
Plans and future Consolidated Plan submissions. HUD plans to provide 
further guidance on those requirements in the coming months.

B. Environmental Review

    This Notice provides operating instructions and procedures in 
connection with activities under the Interim Rule. The Interim Rule was 
subject to a required environmental review. Accordingly, under 24 CFR 
50.19(c)(4), this Notice is categorically excluded from environmental 
review under the National Environmental Policy Act (42 U.S.C. 4321).

III. Spending Requirements and Critical Recipient Funding Decisions

    The funds provided to recipients in the second allocation will be 
subject to all of the ESG requirements under the Interim Rule. These 
funds must be expended within 24 months after the date HUD signed the 
amendment to the recipient's FY 2011 grant agreement.
    When making funding decisions, recipients should take into account 
several requirements and considerations. The Interim Rule increases 
communities' capacity to engage in strategic planning and program 
oversight by raising the expenditure limit on administrative 
activities. Also, the Interim Rule shifts the focus from emergency 
shelter to assisting people to quickly regain stability in permanent 
housing--this is reflected in the expenditure limits on street outreach 
and emergency shelter activities. Compliance with these expenditure 
limits will be measured using the total amount of the FY 2011 grant, 
not just the second allocation. HUD is encouraging communities to focus 
as much of their funding as possible on rapidly re-housing persons who 
are literally homeless in order to reduce the number of persons who are 
living in shelters and on the streets, in order to end homelessness in 
this country.
    Now that the Interim Rule has become effective, recipients have the 
option of re-designating funds from the first allocation of FY 2011 
grant funds to be used for the new eligible activities. However, this 
``reprogramming'' of funds is subject to three conditions. First, the 
reprogramming and use of the funds must comply with the Interim Rule. 
Second, the reprogramming must not violate existing contracts or 
subgrant agreements. Third, unlike the second allocation of funds, the 
reprogrammed funds must still be expended within 24 months after the 
date HUD signed the original FY 2011 grant agreement.

A. Expenditure Limit for Administrative Activities

    The Interim Rule increases the expenditure limit for administrative 
activities from 5 percent to 7.5 percent. Because each recipient could 
only spend up to 5 percent of the first allocation on administrative 
costs, a recipient will be able to use more than 7.5 percent of its 
second allocation for administrative costs, so long as the total 
expenditures for administrative activities using both the first and 
second allocations do not exceed 7.5 percent of the recipient's total 
FY 2011 ESG grant.

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    To calculate the maximum amount that recipients may use for 
administrative costs under the second allocation, recipients must first 
multiply the total FY 2011 grant by 7.5 percent. Next, the recipient 
must subtract from this amount the amount of funds allocated to 
administrative costs from the first allocation. The resulting amount is 
the maximum amount of funds available to recipients for administrative 
activities under the second allocation. For example, if the recipient 
received an initial allocation of $100,000 and a second allocation of 
$75,000 (for a total FY 2011 grant of $175,000), then the maximum 
amount that the recipient could spend on administrative activities from 
the second allocation is $8,125. This example is detailed here:

 
 
 
Step 1: Determine Total Amount Available for Administrative Activities
Total FY 2011 ESG Grant =                                       $175,000
                                                                  x .075
                                                              ----------
                                                                 $13,125
Step 2: Determine Total Amount Allocated to Administrative Activities in
 Initial Allocation
First Allocation =                                              $100,000
                                                                   x .05
                                                              ----------
                                                                  $5,000
Step 3: Determine Total Amount Available for Administrative Activities
 From Second Allocation
                                                                 $13,125
                                                                 -$5,000
                                                              ----------
                                                                  $8,125
 

B. Expenditure Limit for Street Outreach and Emergency Shelter 
Activities

    Under 24 CFR 576.100(b) of the Interim Rule, the total amount of 
each recipient's fiscal year grant that may be used for street outreach 
and emergency shelter activities cannot exceed the greater of:
    (1) 60 percent of the recipient's fiscal year grant; or
    (2) The amount of FY 2010 grant funds committed for homeless 
assistance activities.
    To count toward the amount in paragraph (2), the FY 2010 funds must 
have been committed between the date that HUD signed the FY 2010 grant 
agreement and January 4, 2012, the effective date of the Interim Rule. 
In addition, each commitment must be sufficiently documented. HUD is 
defining ``committed'' as obligated; therefore, recipients must use the 
same type of evidence they will use to document an ``obligation'' under 
24 CFR 576.203(a) of the Interim Rule. For states, this evidence 
consists of a subgrant agreement or a letter of award requiring payment 
from the grant to a subrecipient. For metropolitan cities, urban 
counties, and territories, this evidence may consist of a subgrant 
agreement, a letter of award requiring payment from the grant to a 
subrecipient, a procurement contract, or a written designation of a 
department within the government of the recipient to directly carry out 
an eligible activity. If the recipient is an urban county, the evidence 
may also consist of an agreement with, or letter of award requiring 
payment to, a member government that has designated a department to 
directly carry out an eligible activity.
    To ensure that each recipient's use of its second allocation 
complies with the expenditure limit for street outreach and emergency 
shelter, each recipient must notify HUD of the amount of FY 2010 grant 
funds the recipient committed for homeless assistance activities. This 
notification must be made in writing to the HUD field office or on, or 
before, the date the recipient submits its substantial amendment. HUD 
strongly encourages recipients to use the format detailed in Table 1 to 
declare the total amount of FY 2010 grant funds obligated to homeless 
assistance activities. These activities include all activities that 
recipients would report as homeless assistance activities in the 
Integrated Disbursement Information System (IDIS) for the Emergency 
Shelter Grants program (emergency shelter renovation, major 
rehabilitation, conversion, essential services, maintenance, operation, 
etc.). Table 1 also includes spaces for recipients to declare the total 
amounts of FY 2010 grant funds committed for homelessness prevention 
and administrative activities. The amount for homelessness prevention 
plus the amount for homelessness assistance activities plus the amount 
for administrative activities must equal the recipient's total FY 2010 
grant amount.
    Recipients are not required to submit documentation at this time. 
However, recipients must retain documentation to support the amounts 
declared, and provide these documents when HUD requests them.

     Table 1--Suggested Format for Declaration of FY 2010 Grant Fund
                               Commitments
------------------------------------------------------------------------
               Activity type                      Obligated amount
------------------------------------------------------------------------
Homeless Assistance.......................  $
Homelessness Prevention...................  $
Administrative Activities.................  $
                                           -----------------------------
    Total FY 2010 Award...................  $
------------------------------------------------------------------------

    For most, if not all, recipients, the amount of FY 2010 grant funds 
committed for homeless assistance activities will be greater than 60 
percent of the recipient's total FY 2011 ESG grant. For these 
recipients, the amount of FY 2010 grant funds committed for homeless 
assistance activities will be the FY 2011 expenditure limit for 
emergency shelter and street outreach activities. If a recipient 
reached this limit when obligating funds from the first allocation, 
that recipient cannot use any funds from its second allocation for 
emergency shelter or street outreach activities. In the rare case where 
a recipient did not reach the limit when obligating funds from the 
first allocation, that recipient may use some funds from its second 
allocation for emergency shelter and/or street outreach activities, 
provided that (1) those activities comply with the Interim Rule, and 
(2) the total FY 2011 grant funds used for those activities do not 
exceed the FY 2011 expenditure limit.

C. Critical Need for Rapid Re-Housing

    HUD strongly encourages each jurisdiction to focus as much of its 
new ESG funding as possible on rapidly re-housing individuals and 
families living on the streets or in emergency shelters. While both 
rapid re-housing and homelessness prevention are eligible activities, 
only rapid re-housing assistance targets those individuals and families 
living on the streets or in emergency shelters. Effective rapid re-
housing programs help people transition out of the homeless assistance 
system as quickly as possible, decreasing the number of persons who are 
homeless within the community. Rapid re-housing also ensures that 
emergency shelter resources are used to serve individuals and families 
with the most urgent housing crises. In contrast, the success of 
homelessness prevention activities are much more difficult to measure 
and the prevention assistance is harder to strategically target. These 
difficulties increase the risk that the use of ESG funds for 
homelessness prevention assistance will be inefficient at demonstrably 
preventing people from going to the streets or shelters. As public and 
nonprofit resources become increasingly strained, rapid re-housing 
should be given the highest priority under ESG to help ensure that 
existing resources--both within and outside the homeless assistance 
system--are used as efficiently as possible to help those most in need.

[[Page 4340]]

IV. Requirements for Receiving the Second Allocation

    To receive funds under the second allocation, recipients must 
submit and obtain HUD approval of a substantial amendment to the FY 
2011 Annual Action Plan. The substantial amendment must be prepared and 
submitted in accordance with the recipient's citizen participation plan 
and the requirements of 24 CFR part 91, as amended by the Interim Rule. 
Note that 24 CFR 576.200 requires territories to follow the 
requirements that apply to local governments under 24 CFR part 91.
    Table 2, below, shows the regulatory requirements that will apply 
to the preparation and contents of the substantial amendment.

      Table 2--Relevant Requirements for the Substantial Amendment
------------------------------------------------------------------------
                                Local governments
                                 and territories           States
------------------------------------------------------------------------
Consultation................  24 CFR 91.100(d)....  4 CFR 91.110(e).
Citizen Participation.......  24 CFR 91.105(c),     24 CFR 91.115(c),
                               (k).                  (i).
Action Plan.................  24 CFR 91.220(a),     24 CFR 91.320(a),
                               (c), (d), (e),        (c), (d), (e),
                               (l)(4).               (k)(3).
Certifications..............  24 CFR 91.225(c)....  24 CFR 91.325(c).
------------------------------------------------------------------------

A. Requirements for Preparing the Substantial Amendment to the FY 2011 
Consolidated Plan Annual Action Plan

1. Consultation--24 CFR 91.100(d), 91.110(e)
    The Interim Rule promotes greater collaboration between ESG 
recipients and Continuums of Care in planning, funding, implementing 
and evaluating homeless assistance and homelessness prevention programs 
locally. In preparing the substantial amendment, each recipient must 
follow the consultation requirements at 24 CFR 91.100(d) for local 
governments and territories or 24 CFR 91.110(e) for states, as 
applicable. In particular, the Interim Rule requires ESG recipients to 
consult with the Continuum(s) of Care within their geographic area 
regarding: Determining how to allocate ESG funds for eligible 
activities; developing the performance standards for activities funded 
under ESG; and developing funding, policies, and procedures for the 
operation and administration of the Homeless Management Information 
System (HMIS). Examples of possible consultation processes include 
meetings with Continuum of Care leadership and members, and joint 
workgroups or committees.
2. Citizen Participation--24 CFR 91.105(c), (k), 91.115(c), (i)
    Each recipient must follow its existing citizen participation plan 
when completing its substantial amendment.

B. Required Contents of Substantial Amendments--24 CFR 91.220(a), (c), 
(d), (e), (l)(4), 91.225(c), 91.320(a), (c), (d), (e), (k)(3), 
91.325(c)

1. Standard Form 424 (SF-424)
    The substantial amendment must include a Standard Form 424, as 
required by 24 CFR 91.220(a) for local governments and territories and 
24 CFR 91.320(a) for states.
2. Summary of Consultation Process
    Based on the requirements in 24 CFR 91.220(l)(4)(vi) for local 
governments and territories, and 24 CFR 91.320(k)(3)(v) for states, 
each recipient's substantial amendment must describe how the recipient 
consulted with the Continuum(s) of Care regarding: Determining how to 
allocate ESG funds for eligible activities; developing the performance 
standards for activities funded under ESG; and developing funding, 
policies, and procedures for the operation and administrative of the 
HMIS.
3. Summary of Citizen Participation Process
    In accordance with 24 CFR 91.105(c)(3) for local governments and 
territories and 24 CFR 91.115(c)(3) for states, the substantial 
amendment must summarize the citizen participation process used in 
preparing the substantial amendment. It must also summarize the public 
comments or views received, along with a summary of the comments or 
views not accepted, including the reasons for not accepting those 
comments or views.
4. Match
    All recipients, except territories, must match the second 
allocation with an equal amount of other federal, state and local 
resources (cash and non-cash) in accordance with the revised matching 
requirements at 24 CFR 576.201. States should note that the matching 
requirement applies to the entire FY 2011 ESG grant; therefore, the 
exception of the first $100,000 in 24 CFR 576.201(a)(2) was applied to 
the first allocation and states are required to match 100 percent of 
the second allocation. In accordance with 24 CFR 91.220(c) for local 
governments and territories and 24 CFR 91.320(c) for states, the 
substantial amendment must specify the types, amounts, and proposed 
uses of these resources. These resources must be contributed, used and 
reported in accordance with the Interim Rule's new requirements in 
order to count as match for the second allocation.
5. Proposed Activities and Overall Budget
a. Proposed Activities
    The substantial amendment must provide certain details for each 
activity to be funded using the second allocation of funds and any 
reprogrammed funds from the first allocation. Possible activities 
include the following:

 Rapid Re-Housing--Rental Assistance;
 Rapid Re-Housing--Housing Relocation and Stabilization 
Services;
 Homelessness Prevention--Rental Assistance;
 Homelessness Prevention--Housing Relocation and Stabilization 
Services;
 HMIS;
 Emergency Shelter--Shelter Operations
 Emergency Shelter--Essential Services
 Emergency Shelter--Renovation
 Emergency Shelter--Assistance Required Under the Uniform 
Relocation and Real Property Acquisition Act of 1970 (URA)
 Street Outreach--Essential Services

The required details for each activity include:
    (1) The corresponding priority need from the recipient's Annual 
Action Plan;
    (2) A concise description of the activity, including the number and 
types of persons to be served;
    (3) The corresponding standard objective category (decent housing, 
suitable living environment, or economic opportunity) and the 
corresponding outcome category (availability/accessibility, 
affordability, or sustainability), as described in the Federal Register 
Notice of Outcome Performance Measurement System for

[[Page 4341]]

Community Planning and Development Formula Grant Programs, dated March 
7, 2006 (71 FR 11470); and
    (4) The start date and completion date (to indicate the period over 
which the grant will be used for that activity).
    (5) ESG and other funding amounts
    In addition, the following activity details are required for local 
governments and territories, and recommended for States:
    (6) One or more performance indicators, such as the number of 
persons or households prevented from becoming homeless, the number of 
persons or households assisted from emergency shelters/streets into 
permanent housing, or the number of persons or households covered by 
the HMIS;
    (7) Projected accomplishments, in accordance with each performance 
indicator, to be made within one year; and
    (8) Projected accomplishments, in accordance with each performance 
indicator, to be made over the period for which the grant will be used 
for that activity.
    These details can be provided in any clear, concise format. 
Recipients may use the projects workbook spreadsheet in the 
Consolidated Plan Management Process (CPMP) tool, which can be found 
at: https://www.hud.gov/offices/cpd/about/conplan/toolsandguidance/cpmp. 
As an alternative, local governments may use Table 3C (``Consolidated 
Plan Listing of Projects'' for local governments and territories,), 
which can be found in Appendix C or at: https://www.hud.gov/offices/cpd/about/conplan/toolsandguidance/guidance. Local governments and 
territories that use Table 3C should substitute ``activity'' for 
``project'' and do not need to enter information not mentioned above. 
States may use Table 3C, (``Annual Action Plan Planned Project 
Results'' for states) to provide some of the required information; 
however, because it does not capture all that is required, they will 
need to provide the remaining details in another format.
b. Discussion of Funding Priorities
    The substantial amendment must explain why the recipient chose to 
fund the proposed activities at the amounts specified under section 
IV.B.5.a above. The more specific the explanations are, the more useful 
the consultation and citizen participation process will be. If locally-
relevant data is available, HUD strongly encourages recipients to use 
that data to support its funding priorities. In addition, HUD 
encourages each recipient to describe how its funding priorities will 
support the national priorities established in ``Opening Doors: Federal 
Strategic Plan to Prevent and End Homelessness,'' which can be found 
at: https://www.usich.gov/opening_doors. The amendment must also 
identify any obstacles to addressing underserved needs in the 
community.
c. Detailed Budget
    The substantial amendment must include a detailed budget of the 
planned activities and funding levels. This budget must account for the 
entire second allocation, and any reprogrammed funds from the first 
allocation. Recipients may use Table 3 to complete this requirement (to 
access this table as an Excel document, with embedded formulas, please 
see www.hudhre.info/esg). Note that this table assumes that recipients 
will obligate the entire second allocation, and any reprogrammed funds, 
to the new eligible activities and administrative costs. If a recipient 
is eligible and proposes to obligate any of its second allocation for 
emergency shelter or street outreach activities, that recipient should 
contact its local HUD field office for additional guidance and 
resources.
BILLING CODE 4210-67-P

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[GRAPHIC] [TIFF OMITTED] TN27JA12.005

BILLING CODE 4210-67-C

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    Table 3 provides a format for recipients to describe their detailed 
budget. It also includes space to detail funding for tenant-based 
rental assistance and project-based rental assistance. Numbers in the 
table are included only as examples.
    HUD encourages this level of detail in the substantial amendment 
for two reasons. First, the more specific the activities and funding 
amounts are in the substantial amendment, the more useful the 
consultation and citizen participation process will be. Second, 
distinguishing the tenant-based rental assistance amount from the 
project-based rental assistance amount will help HUD assess the level 
of environmental review required. Project-based rental assistance will 
require a more extensive environmental review because the assistance is 
tied to the dwelling unit, not the tenant.
6. Written Standards for Provision of ESG Assistance (24 CFR 
91.220(l)(4)(i), 91.320(k)(3)(i), 576.400 (e)(1), (e)(2), and (e)(3))
    If the recipient is a metropolitan city, urban county, or 
territory, the substantial amendment must include written standards for 
providing the proposed ESG assistance, as required under 24 CFR 
91.220(l)(4)(i) and 576.400 (e)(1) and (e)(3). If the recipient is a 
state, it must include written standards for providing ESG assistance 
or describe the requirements for subrecipients to establish and 
implement written standards, as required under 24 CFR 91.320(k)(3)(i) 
and 576.400(e)(2) and (e)(3).
    HUD recognizes that development of comprehensive, coordinated, and 
effective policies and procedures is a process that takes a substantial 
amount of time and thought. HUD encourages recipients, therefore, to 
establish initial standards for this grant and continue to refine these 
standards in their Annual Action Plans as the community adapts and 
further develops strategies for targeting resources, and as new best 
practices are established. Recipients may use the policies and 
procedures developed for their Homelessness Prevention and Rapid Re-
Housing Program (HPRP) as a place to start in developing the standards, 
but should also evaluate the effectiveness of these standards and make 
changes as necessary to meet ESG requirements. Recipients should also 
keep in mind that the amount of funding available under the ESG program 
is far less than the amount of funding available under HPRP; therefore, 
effective targeting becomes even more vital.
    a. Standard policies and procedures for evaluating individuals' and 
families' eligibility for assistance under Emergency Solutions Grant 
(ESG).
    The written standards must include standard policies and procedures 
for evaluating each individual or family's eligibility for ESG 
assistance. These policies and procedures must be consistent with the 
definitions of homeless and at risk of homelessness in 24 CFR 576.2 and 
the recordkeeping requirements in 24 CFR 576.500(b), (c), (d), and (e).
    b. Policies and procedures for coordination among emergency shelter 
providers, essential service providers, homelessness prevention and 
rapid re-housing assistance providers, other homeless assistance 
providers, and mainstream service and housing providers.
    The written standards must include policies and procedures for 
coordinating and integrating the proposed program components with other 
homeless assistance programs and mainstream housing and service 
programs, in order to promote a strategic, community-wide system to 
prevent and end homelessness. Sections 576.400(b) and (c) of the 
Interim Rule provide a list of these programs. The required 
coordination and integration may be done over the area covered by the 
Continuum of Care or a larger area over which services are coordinated.
    c. Policies and procedures for determining and prioritizing which 
eligible families and individuals will receive homelessness prevention 
assistance and which eligible families and individuals will receive 
rapid re-housing assistance.
    The amount of funds that will be available to recipients will 
likely not be enough to serve all persons who are homeless and all 
persons at risk of homelessness; therefore, the written standards must 
include targeting policies and procedures for rapid re-housing and 
homelessness prevention. For example, if a local government proposes to 
fund homelessness prevention, it must include policies and procedures 
for determining which individuals and families who qualify as at risk 
of homelessness can receive homelessness prevention assistance and 
which of those individuals and families should be prioritized for that 
assistance.
    HUD encourages each jurisdiction to consider how these policies and 
procedures can be designed to provide rapid re-housing assistance to as 
many homeless people as possible, including those individuals and 
families who face multiple obstacles to obtaining and sustaining 
housing. An individual or family's ability to sustain housing should 
not be a threshold requirement. Instead, each program should focus on 
helping individuals and families overcome their immediate housing 
obstacles and connecting them with the resources they need to stay 
housed when the program ends.
    In addition, for homelessness prevention assistance, recipients 
must include the risk factors that will be used to help determine 
individuals and families who are most in need of ESG homelessness 
prevention assistance to avoid moving into an emergency shelter or 
another place described in paragraph (1) of the `homeless' definition 
in 24 CFR 576.2.
    Because predicting which families and individuals will become 
homeless ``but for'' ESG assistance is difficult, HUD encourages 
recipients to target assistance to families and individuals who are 
closest to going to a shelter, car, or the street, if not those who are 
about to spend their first night there (often referred to as 
``diversion''). Typically, these families and individuals will have the 
same characteristics as families and individuals who are already in 
shelters and on the streets. However, these characteristics can vary 
from one community to the next, so an effective targeting policy will 
depend on good local data. HUD recommends that communities not just 
identify these characteristics, but identify the combinations of these 
characteristics that are typical of families and individuals living in 
shelters or on the streets. These combinations of characteristics 
should serve as a guide for targeting and prioritizing prevention 
assistance to those families and individuals who are most in need.
    d. Standards for determining the share of rent and utilities costs 
that each program participant must pay, if any, while receiving 
homelessness prevention or rapid re-housing assistance.
    The written standards must include guidelines for determining a 
program participant's contribution to rent and utilities, if any, while 
they are receiving homelessness prevention or rapid re-housing 
assistance. When developing these guidelines, recipients should 
consider the challenges associated with homelessness in their 
community, the other resources available or lacking in their community, 
and the existing housing and economic conditions in their community. 
Additionally, HUD reminds recipients that they are able to be flexible 
and consider a wide range of options, including providing a fixed 
amount of assistance per person or requiring the program participant to 
pay

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a certain portion of his or her income over the course of the 
assistance. If the assistance will be based on a percentage of the 
program participant's income, the standards must specify what 
percentage will be used and how income will be calculated.
    e. Standards for determining how long a particular program 
participant will be provided with rental assistance and whether and how 
the amount of that assistance will be adjusted over time.
    The written standards must include guidelines for determining the 
length and amount of assistance a participant will receive, as well as, 
changes in assistance amounts over time. ESG recipients must ensure 
that the following regulatory provisions are met when developing 
standards related to rental assistance: (1) Program participants 
receiving project-based rental assistance must have a lease that is for 
a period of 1-year, regardless of the length of rental assistance; (2) 
program participants receiving rapid re-housing assistance must be re-
evaluated at least once every year and program participants receiving 
homelessness prevention assistance are required to be re-evaluated at 
least once every 3 months; and (3) no program participant may receive 
more than 24 months of assistance in a 3-year period.
    As mentioned above, HUD encourages recipients to consider the 
challenges associated with homelessness in their community, the other 
resources available or lacking in their community, and the existing 
housing and economic conditions in their community. If recipients 
choose to establish additional criteria for re-evaluating eligibility, 
these should be described in this section.
    f. Standards for determining the type, amount, and duration of 
housing stabilization and/or relocation services to provide a program 
participant, including the limits, if any, on the homelessness 
prevention or rapid re-housing assistance that each program participant 
may receive, such as the maximum amount of assistance, maximum number 
of months the program participant receives assistance; or the maximum 
number of times the program participant may receive assistance.
    The written standards must include standards for determining the 
housing stabilization and/or relocation services that will be provided 
to a participant, including the types of services, amount of services, 
and the length of time a participant can receive services. The written 
standards must also include any limits that will be imposed above and 
beyond the Interim Rule's limits on the types and amount of assistance 
that a participant can receive. As with the standards for rental 
assistance, recipients are able to be flexible and consider a wide 
range of options when setting standards for housing stabilization and 
relocation standards for the jurisdiction. For example, recipients 
could adjust the services over time based on a set of indicators or 
require the program participant to contribute a certain portion of his 
or her income while receiving assistance. Except as provided for 
housing stability case management in Sec.  576.105(b)(2) of the Interim 
Rule, no program participant may receive more than 24 months of 
assistance in a 3-year period.
7. Making Sub-Awards
    Each recipient must describe its process for making sub-awards. 
Each state recipient must describe how it intends to make its 
allocation available to units of general local government and private 
nonprofit organizations, including community and faith-based 
organizations. Each territory or metropolitan city must describe how it 
intends to make its allocation available to private nonprofit 
organizations. Each urban county must describe how it intends to make 
its allocation available to private nonprofit organizations and to 
participating units of local government.
8. Homeless Participation Requirement
    Under Sec.  576.405(a) of the Interim Rule, each recipient that is 
not a state must provide for the participation of not less than one 
homeless individual or formerly homeless individual on the board of 
directors or other equivalent policymaking entity of the recipient, to 
the extent that the entity considers and makes policies and decisions 
regarding any facilities, services, or other assistance that receive 
ESG funding. This requirement remains the same as it was in the prior 
ESG regulations.
    However, because all ESG recipients are governments, the 
policymaking entities for most, if not all, ESG recipients can only 
consist of elected officials. Before the Interim Rule, these recipients 
could request a waiver of the participation requirement, if they agreed 
to consult with homeless or formerly homeless individuals in 
considering and making policies and decisions regarding ESG-funded 
facilities, services, or other assistance. Now, under Sec.  576.405(b) 
of the Interim Rule, recipients unable to meet the participation 
requirement are not required to apply for a waiver. Instead, they must 
develop and implement a plan (as part of their Annual Action Plan) to 
consult with homeless or formerly homeless individuals in considering 
and making policies and decisions regarding any ESG-funded facilities, 
services, or other assistance. Therefore, for those recipients that 
cannot meet the participation requirement in Sec.  576.405(a), the 
substantial amendment must include a plan that meets the requirements 
under Sec.  576.405(b).
9. Performance Standards
    The recipient must describe the performance standards for 
evaluating ESG activities. These performance standards must be 
developed in consultation with the Continuum of Care. Unlike the 
performance indicators, the performance standards should go beyond 
projecting the number of persons or households who will exit or avoid 
homelessness under the grant. The purpose of these performance 
standards is to provide a measure for the ESG recipient and the 
Continuum of Care to evaluate each ESG service provider's 
effectiveness, such as how well the service provider succeeded at: (1) 
Targeting those who need the assistance most; (2) reducing the number 
of people living on the streets or emergency shelters; (3) shortening 
the time people spend homeless; and (4) reducing each program 
participant's housing barriers or housing stability risks.
    HUD encourages recipients to develop performance standards for ESG 
activities that will complement or contribute to the Continuum of Care 
program performance measures detailed in Section 427 of the McKinney-
Vento Act, as amended by the HEARTH Act. In future years, each 
Continuum of Care will be responsible for measuring the performance of 
ESG recipients within its geographic boundaries against these 
performance standards.
    HUD also encourages recipients to carefully consider how the 
standards might help or hinder service providers' ability to target and 
design their programs so that homelessness is effectively shortened and 
reduced in the recipient's jurisdiction.
    HUD recognizes that these standards will evolve over the next few 
years as ESG recipients and subrecipients have increasing access to 
HMIS data and as they become more integrated with the Continuums of 
Care within their geographic area.
10. Certifications--24 CFR 91.225(c), 91.325(c)
    Each recipient must submit new ESG certifications in accordance 
with the requirements in 24 CFR 91.225(c) for local governments and 
territories and 24

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CFR 91.325(c) for states. Recipients can find updated certifications on 
HUD's Web site at www.hudhre.info.

C. Written Standards Required for Recipients Who Are Eligible and 
Decide To Use Part of the Second Allocation of FY 2011 Funds for 
Emergency Shelter and Street Outreach Activities

    Recipients that plan to obligate funds to emergency shelter or 
street outreach activities, and that are eligible to do so (see Section 
III of this Notice for more information) must meet additional written 
standards requirements under 24 CFR 576.400 (e)(1), (2) and (3). HUD 
will not approve any emergency shelter or street outreach activities 
proposed in the substantial amendment until these requirements are met.
1. Local Governments and Territories
    a. If a local government or territory decides to use the second 
allocation to fund essential services related to street outreach, the 
jurisdiction must include its standards for targeting and providing 
those services.
    b. If a local government or territory decides to use the second 
allocation to fund any emergency shelter activities (such as 
rehabilitation/conversion, operations, or essential services) the 
jurisdiction must include its policies and procedures for admission, 
diversion, referral, and discharge by emergency shelters assisted under 
ESG. These policies and procedures must include standards regarding 
length of stay, if any, and safeguards to meet the safety and shelter 
needs of special populations--e.g., victims of domestic violence, 
dating violence, sexual assault, and stalking--and individuals and 
families who have the highest barriers to housing and are likely to be 
homeless the longest.
    c. If a local government or territory decides to use the second 
allocation to fund essential services related to emergency shelter, the 
jurisdiction must include its policies and procedures for assessing, 
prioritizing, and reassessing individuals' and families' needs for 
essential services related to emergency shelter.
2. States
    If a state decides to use the second allocation to fund street 
outreach and/or emergency shelter activities, then the state must 
either (1) include its own written standards as local governments and 
territories must do for those activities (see a, b, and c under 
paragraph 1 above) or (2) describe its requirements for its 
subrecipients to establish and implement the relevant written 
standards, as provided under 24 CFR 576.400(e)(2) and (3).

D. Requirements for Recipients Who Plan To Use the Risk Factor Under 
Paragraph (1)(iii)(G) of the ``At Risk of Homelessness'' Definition

    If the recipient plans to serve individuals or families that are 
``at risk of homelessness,'' as defined under 24 CFR 576.2, based on 
the risk factor, ``otherwise lives in housing that has characteristics 
associated with instability and an increased risk of homelessness,'' 
the recipient must describe the specific characteristics associated 
with instability and increased risk of homelessness as specified in 
paragraph (1)(iii)(G) of the ``at risk of homelessness'' definition. 
The characteristics may be evidenced by characteristics and needs of 
individuals and families currently entering the homeless assistance 
system or the streets. If a recipient does not describe these 
characteristics in the substantial amendment, the recipient cannot 
serve individuals and families using this risk factor in the ``at risk 
of homelessness'' definition. Note that an individual or family may not 
qualify simply by exhibiting this risk factor. In order to qualify as 
at risk of homelessness under paragraph (1) of the definition, that 
individual or family must also meet the criteria under paragraphs 
(1)(i) and (1)(ii) with respect to income and resources or support 
networks.

E. Requirements for Optional Changes to the FY 2011 Annual Action Plan

    This part of the Notice describes changes to the FY 2011 Annual 
Action Plan that HUD encourages, but does not require recipients to 
make, including adding a description of the centralized or coordinated 
assessment system being used by recipients or subrecipients, if 
applicable, and providing updated monitoring standards and procedures.
1. Centralized or Coordinated Assessment System
    Recipients are not required to participate in a centralized or 
coordinated assessment system until HUD provides additional standards 
to Continuums of Care through the publication of the Continuum of Care 
program rule. However, HUD recognizes that some communities have 
already established such systems and that ESG recipients and 
subrecipients either are participating in them or would like to 
participate in them. If the recipient's jurisdiction, or a portion of 
the recipient's jurisdiction, currently has a centralized or 
coordinated assessment system and the recipient or subrecipients 
participate in this system, HUD encourages the recipient to describe 
the assessment system in the substantial amendment.
2. Monitoring
    The consolidated plan requires recipients to describe the standards 
and procedures that the jurisdiction will use to monitor activities 
carried out in furtherance of the plan and will use to ensure long-term 
compliance with requirements of the programs involved. The Interim Rule 
introduces a number of substantial changes to the activities and 
procedures required of ESG recipients and subrecipients that were not 
considered when these standards and procedures were originally 
developed. As recipients prepare their substantial amendments, HUD 
encourages recipients to review their monitoring standards and 
procedures accordingly. To help prevent future monitoring findings by 
HUD for noncompliance, recipients should ensure that established 
standards and procedures will allow them to monitor compliance with 
these new requirements. If existing procedures fall short in this 
regard, or if modifications are needed, then HUD encourages recipients 
to update their monitoring standards and procedures in this substantial 
amendment. As a key component of these modifications, recipients should 
address associated requirements for appropriate levels of staffing, as 
HUD has found that recipients that dedicate staff to monitoring 
compliance and carrying out other administrative tasks are better able 
to implement the changes in, and assure compliance with, the rule.

V. Requirements That Apply to FY 2012 and Future Consolidated Planning 
Submissions

    This Notice focuses on requirements for receiving the second 
allocation of FY 2011 ESG funds. To receive any formula grant funds for 
FY 2012 and future fiscal years, all Consolidated Plan jurisdictions--
regardless of whether they receive ESG funds--are required to comply 
with all of the revised requirements for preparing and submitting the 
Annual Action Plan, including all applicable consultation and citizen 
participation requirements. These requirements are specified under 24 
CFR 91.100, 91.105, 91.220, and 91.225 for local governments (and 
territories for ESG) and under 24 CFR 91.110, 91.115, 91.320, and 
91.325 for states.
    In addition, after January 4, 2012 (the effective date of the 
Interim Rule), all submissions of Consolidated Plan

[[Page 4346]]

jurisdictions' housing and homeless needs assessments, housing market 
analyses, and strategic plans must comply with all of the revised 
requirements in 24 CFR part 91 that apply to submitting the complete 5-
year Consolidated Plan. However, jurisdictions will not be required to 
submit a complete Consolidated Plan in accordance with the revised 
requirements until the next submission date scheduled under the 
jurisdiction's existing Consolidated Planning cycle.
    With regard to the Consolidated Annual Performance and Evaluation 
Report (CAPER): ESG recipients will be required to report on ESG 
activities included in the substantial amendment to the 2011 Annual 
Action Plan and future Annual Action Plans using the new ESG-specific 
reporting requirements under Sec.  91.520(g). All jurisdictions which 
submit a CAPER (both those receiving ESG funds and those not receiving 
ESG funds) will be required to report annually using the new 
homelessness reporting requirements under Sec.  91.520(c), for FY 2012 
and future program years. HUD plans to issue further guidance for all 
jurisdictions about complying with these other part 91 requirements.


    Dated: January 20, 2012.
Mercedes M. M[aacute]rquez,
Assistant Secretary for Community Planning and Development.

Appendix A: FY 2011 ESG Allocations by State and Recipient Name

    The following list provides the first and second allocations to 
Emergency Solutions Grants recipients for FY 2011.
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Appendix B: Checklist of Requirements for the Substantial Amendment to 
the FY 2011 Consolidated Plan Annual Action Plan

    The substantial amendment must be prepared and submitted in 
accordance with the recipient's citizen participation plan and the 
requirements of 24 CFR part 91, as amended by the Interim Rule. The 
following outline is provided as a checklist to ensure an accurate 
and complete submission in accordance with the details of this 
Notice.

A. Requirements for Preparation

1. Consultation

 Consult with the Continuum(s) of Care within the geographic 
area on:
    [cir] Determining how to allocate ESG funds for eligible 
activities;
    [cir] Developing the performance standards for activities funded 
under ESG; and
    [cir] Developing funding, policies, and procedures for the 
operation and administration of the HMIS.

[[Page 4356]]

2. Citizen Participation

 Follow existing citizen participation plan for completing a 
substantial amendment.

B. Required Contents of Substantial Amendments

1. SF-424

2. Summary of Consultation Process

 Describe how the recipient consulted with the Continuum(s) 
of Care on:
    [cir] Determining how to allocate ESG funds for eligible 
activities;
    [cir] Developing the performance standards for activities funded 
under ESG; and
    [cir] Developing funding, policies, and procedures for the 
operation and administration of the HMIS.

3. Summary of Citizen Participation Process

 Summarize citizen participation process used;
 Summarize the public comments or views received; and
 Summarize the comments or views not accepted and include 
the reasons for not accepting those comments or views.

4. Match

 Describe:
    [cir] Types of cash and/or non-cash resources used as match;
    [cir] Specific amounts of resources used as match;
    [cir] Proposed uses of match resources.

5. Proposed Activities and Overall Budget

a. Proposed Activities

 All recipients must include the following details for each 
proposed activity:
    (1) corresponding priority needs from recipient's Annual Action 
Plan
    (2) concise description of the activity, including the number 
and types of persons to be served
    (3) corresponding standard objective and outcome categories
    (4) start date and completion date
    (5) ESG and other funding amounts
 Local governments and territories are required, and States 
are encouraged, to include the following details for each proposed 
activity:
    (6) one or more performance indicators
    (7) projected accomplishments, in accordance with each 
indicator, to be made within one year
    (8) projected accomplishments, in accordance with each 
performance indicator, to be made over the period for which the 
grant will be used for that activity
    Note: Table 3C (``Consolidated Plan Listings of Projects'' for 
local governments and territories, or ``Annual Action Plan Planned 
Project Results'' for states) or the projects workbook spreadsheet 
in the Consolidated Plan Management Process tool may be used to 
format and provide some or all of these details, as applicable.

b. Discussion of Funding Priorities

 Explain why the recipient chose to fund the proposed 
activities at the amounts specified (recommended: if available, use 
locally relevant data to support the funding priorities, and explain 
how the funding priorities will support the national priorities 
established in Opening Doors: Federal Strategic Plan to Prevent and 
End Homelessness).
 Identify any obstacles to addressing underserved needs in 
the community.

c. Detailed Budget

 Include detailed budget of planned activities and funding 
levels accounting for entire second allocation and any reprogrammed 
funds from the first allocation (may use Table 3 in this Notice).

6. Written Standards for Provision of ESG Assistance

 If the recipient is a metropolitan city, urban county, or 
territory: include written standards for providing the proposed 
assistance.
 If the recipient is a state: include written standards for 
providing the proposed assistance or describe the requirements for 
subrecipients to establish and implement written standards.
    The written standards must include:
    a. Standard policies and procedures for evaluating individuals' 
and families' eligibility for assistance under ESG.
    b. Policies and procedures for coordination among emergency 
shelter providers, essential service providers, homelessness 
prevention and rapid re-housing assistance providers, other homeless 
assistance providers, and mainstream service and housing providers.
    c. Policies and procedures for determining and prioritizing 
which eligible families and individuals will receive homelessness 
prevention assistance and which eligible families and individuals 
will receive rapid re-housing assistance.
    d. Standards for determining the share of rent and utilities 
costs that each program participant must pay, if any, while 
receiving homelessness prevention or rapid re-housing assistance.
    e. Standards for determining how long a particular program 
participant will be provided with rental assistance and whether and 
how the amount of that assistance will be adjusted over time.
    f. Standards for determining the type, amount, and duration of 
housing stabilization and/or relocation services to provide a 
program participant, including the limits, if any, on the 
homelessness prevention or rapid re-housing assistance that each 
program participant may receive, such as the maximum amount of 
assistance, maximum number of months the program participants 
receives assistance; or the maximum number of times the program 
participants may receive assistance.

7. Describe Process for Making Sub-Awards

8. Homeless Participation Requirement

     For those recipients who cannot meet the participation 
requirement in Sec.  576.405(a), the substantial amendment must 
include a plan that meets the requirements under Sec.  576.405(b).

9. Performance Standards

     The recipient must describe the performance standards 
for evaluating ESG activities, which must be developed in 
consultation with the Continuum(s) of Care.

10. Certifications

C. Written Standards Required for Recipients Who Are Eligible and 
Decide To Use Part of the Second Allocation of Fy 2011 Funds for 
Emergency Shelter and Street Outreach Activities

    1. If the recipient is a metropolitan city, urban county, or 
territory: include written standards for providing the proposed 
assistance, as follows.
    2. If the recipient is a state, either: (1) include written 
standards for providing the proposed assistance or (2) describe the 
requirements for subrecipients to establish and implement written 
standards.
    The written standards must include:
    a. If funding essential services related to street outreach with 
second allocation: standards for targeting and providing these 
services.
    b. If funding any emergency shelter activities with second 
allocation: policies and procedures for admission, diversion, 
referral and discharge by emergency shelters assisted under ESG, 
including standards regarding length of stay, if any, and safeguards 
to meet the safety and shelter needs of special populations and 
persons with the highest barriers to housing.
    c. If funding essential services related to emergency shelter 
with second allocation: policies and procedures for assessing, 
prioritizing, and reassessing individuals' and families' needs for 
essential services related to emergency shelter.

D. Requirements for Recipients Who Plan To Use the Risk Factor Under 
Paragraph (1)(iii)(G) of the ``at Risk of Homelessness'' Definition

     If recipient plans to serve persons ``at risk of 
homelessness,'' based on the risk factor ``otherwise lives in 
housing that has characteristics associated with instability and an 
increased risk of homelessness:'' describe specific characteristics 
associated with instability and increased risk of homelessness.

E. Requirements for Optional Changes to the FY 2011 Annual Action Plan

1. Centralized or Coordinated Assessment System

     If the recipient's jurisdiction, or a portion of the 
recipient's jurisdiction, currently has a centralized or coordinated 
assessment system and the recipient or subrecipients utilize the 
centralized or coordinated assessment system, the recipient should 
describe the assessment system in the substantial amendment.

2. Monitoring

     If existing monitoring procedures are not sufficient to 
allow recipients to monitor compliance with the new requirements, 
HUD encourages recipients to update their monitoring standards and 
procedures in the process of submitting this substantial amendment. 
This should address appropriate levels of staffing.

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Appendix C-1: Table 3C for Local Governments and Territories: 
Consolidated Plan Listing of Projects

    An electronic copy of this table can be found at: https://www.hud.gov/offices/cpd/about/conplan/toolsandguidance/guidance. 
Recipients should substitute ``activity'' for ``project'' and do not 
need to enter information not mentioned in Section IV.B.5.a of this 
Notice.
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Appendix C-2: Table 3C for States: Annual Action Plan Planned Project 
Results

    An electronic copy of this table can be found at: https://www.hud.gov/offices/cpd/about/conplan/toolsandguidance/guidance.
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[FR Doc. 2012-1710 Filed 1-26-12; 8:45 am]
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