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Emergency Shelter Grant (ESG) Award Training June 22 & 24, 2009. Indiana Housing and Community Development Authority Kelli Barker, Special Needs Coordinator- ESG 317.233.4611 kbarker@ihcda.in.gov. Agenda. Contracts & Award Documents ESG Program Objectives & Requirements

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emergency shelter grant esg award training june 22 24 2009

Emergency Shelter Grant (ESG) Award TrainingJune 22 & 24, 2009

Indiana Housing and Community Development Authority

Kelli Barker, Special Needs Coordinator- ESG




Contracts & Award Documents

ESG Program Objectives & Requirements

HUD Definition of Homelessness

Continuum of Care

Eligible Activities

Homeless Documentation

Reports & HMIS


Other Federal Requirements

esg contracts award documents
ESG Contracts & Award documents
  • Review changes to Contract/Agreement
  • Other award documents:
    • Local government approval form
    • Payroll Authorization form
    • Activity Budget Plan
    • Conditional Funding
    • Score summary letter
esg program objectives
  • Increase number and quality of ES and TH for homeless individuals and families
  • Help operate facilities and provide essential social services
  • Help prevent homelessness
program requirements
  • Documentation of homelessness
  • 100% match (must be documented)
  • Keep accurate financial, service delivery records
  • Participation in state-wide Point-in-Time counts
  • Documentation of Homeless Prevention Activities
  • Participation of Homeless Persons in organization
  • Ensuring Confidentiality
  • Building and Habitability Standards
  • Use HMIS system (n/a –domestic violence shelters)
continuum of care
Continuum of Care
  • Local homeless assistance program planning networks
  • Coordinate efforts of identifying needs of local homeless populations, the resources available and resources needed to fill gaps
  • Important to attend meetings –advocate and collaborate
  • Most COC’s meet monthly. Contact your local Continuum of Care chair person in your region.
hud s definition of homeless
HUD’s Definition of Homeless

HUD defines homelessness as someone who is living on the street or in an emergency shelter, or who would be living on the street or in an emergency shelter without HUD's homelessness assistance. A person is considered homeless only when he/she resides in one of the places described below:

  • In an emergency shelter, 
  • In transitional or supportive housing for homeless persons who originally came from the streets or emergency shelters;
  • In any of the above places but is spending a short time (up to 30 consecutive days) in a hospital or other institution;
  • Is being evicted within a week from a private dwelling unit and no subsequent residence has been identified and the person lacks the resources and support networks needed to obtain housing or their housing has been condemned by housing officials and is no longer considered meant for human habitation;
  • Is being discharged within a week from an institution in which the person has been a resident for more than 30 consecutive days and no subsequent residence has been identified and the person lacks the resources and support networks needed to obtain housing; or
  • Is fleeing a domestic violence housing situation and no subsequent residence has been identified and the person lacks the resources and support networks needed to obtain housing.
homelessness documentation
Homelessness Documentation
  • ALL ESG Grantees are required to maintain adequate, written documentation of homelessness status to determine eligibility.
  • Written- HUD sample form, or similar form OK
  • Attach 3rd party doc- preferable. If not available, narrative
  • Domestic violence shelters- homelessness must be documented also!
esg eligible activities
ESG Eligible Activities
  • Essential Services
  • Operational Costs
  • Homeless Prevention
essential services es
Essential Services (ES)
  • Services for homeless clients including: employment, health, drug abuse, education, obtaining housing, counseling, child care, transportation, job placement, job training.
  • Staff salaries to provide these direct care services.
  • No more than 30% of IHCDA’s total allocation can be used for ES!
essential services ineligible activities
ESSENTIAL SERVICES: Ineligible Activities
  • Salaries of employees not working directly with clients
  • Advocacy, planning, organizational capacity building
  • Staff recruitment/training
  • Transportation costs not directly associated with service delivery
operational costs
Operational Costs
  • Shelter maintenance, repair, security, utilities, fuels, furnishings, equipment for housing, shelter operation, rent, insurance, food, furnishings
  • Payment of short-term motel/hotel stays for those who are not able to stay at shelter
  • No more than 10% of each grantee’s award can be utilized for staff salaries (if $10,000 award, no more than $1,000 for OP staff salaries)
    • Excludes maintenance and security salary costs
operations ineligible activities
OPERATIONS: Ineligible Activities
  • Recruitment or ongoing training staff
  • Depreciation
  • Costs associated with the organization rather than the facility (ex: advertisements, pamphlets about organization, survey)
  • Public Relations
  • Staff training, entertainment, conferences
  • Bad debts/late fees
  • Mortgage payments
homeless prevention
Homeless Prevention

Clients assisted must meet following:

  • The inability of the family to make the required payments is due to a sudden reduction in income;
  • The assistance is necessary to avoid the eviction or termination of services;
  • There is a reasonable prospect that the family will be able to resume payments within a reasonable period of time; and
  • The assistance will not supplant funding for pre-existing homelessness prevention activities from other sources.

No more than 30% of IHCDA’s total allocation can be used for HP!

homeless prevention activities
Homeless Prevention Activities
  • Short term financial assistance with rent, utilities, mortgage, security deposits or utility payments
  • Mediation programs for landlord-tenant disputes
  • Legal services to prevent eviction
homeless prevention ineligible activities
HOMELESS PREVENTION:Ineligible Activities
  • Housing/services to homeless persons (hotel/motel stays are claimed as Operations cost)
  • Direct payments to individuals needing assistance
  • Long term assistance beyond several months
  • Application for federal funds or unprogrammed funds
homeless prevention documentation
  • Must obtain documentation of :
    • Formal eviction, foreclosure or utility term. proceedings
    • Inability to pay due to sudden loss of income
    • Payment is necessary to prevent homelessness
    • Resumption of payment being reasonably expected in the near future
    • Only send proof of payment with claims. All the above documentation maintained in client files. Reviewed at monitoring.
esg homeless prevention vs hprp homelessness prevention and rapid rehousing program
ESG Homeless Prevention vs. HPRP (Homelessness Prevention and Rapid-Rehousing Program)
  • See HUD’s Comparison chart on: http://hudhre.info/documents/HPRP_NoticeRedline_6_08_09.pdf
  • Pg. 53-55
  • NEW: No more Quarterly Performance Reports- questions were moved to SR and APR.
  • Late Reports- lose points
  • Turn in by e-mail preferably
  • All Report forms to be posted on IHCDA Web site in July
hmis hoosier management information system
HMIS (Hoosier Management Information System)
  • Secure, confidential electronic data collection system used to determine the nature and extent of homelessness. Report to HUD.
  • All ESG grantees (except Domestic violence shelters) are required to enter client data on regular and consistent basis
  • System moved from ICHHI to IHCDA this year.
  • IHCDA pulls reports quarterly to ensure data is being inputted into HMIS regularly.
award monitoring
Award Monitoring
  • IHCDA required to monitor 25% of shelters annually
  • Monitoring Tool & checklist
  • Emphasis on financial records, cost allocation chart, homeless documentation
  • Health /Safety brief physical inspection
  • Will be contacted when your facility is due for a visit.
  • Use “Financial Management for Nonprofits” resource guide
  • 100% match
  • Must be documented and designated as ESG match (cost allocation chart)
  • Cannot use funds used to match previous ESG Grant
  • Eligible Match:
    • Cash/Grant
    • Value of any donated material or building
    • Value of any lease on a building
    • Any salary paid to staff to carry out the ESG program
    • Value of time and services of volunteers to carry out the ESG program at rate of $5/hr. (professional services-medical/legal- at reasonable and customary rate)
budget modifications
Budget Modifications
  • Move money between activities (from ES to OP, from OP to HP, etc.)
    • Must submit request on letterhead with Exec. Dir. signature, explaining reason why necessary; AND
    • Also, submit revised Budget plan (new form)
    • Budget Amendment (new form)
  • Move money among line items within activities
    • Must submit revised Budget plan with next claim


claim process
Claim Process
  • Payment by reimbursement only
  • No more than 12 monthly claims per year. Cannot combine months.
  • Can skip a month (Sept.), but once skipped and next month is claimed (Oct.), cannot go back and claim for skipped month (Sept.)
  • Must be PAID or INCURRED in month claimed
  • What needs to be submitted with claim?
    • Claim Voucher & Financial Narrative ( one Excel doc)
    • Documentation that expense was paid (either invoice with check # and date paid written/stamped OR cancelled check)
  • Check #’s and signature before sending!
civil rights accessibility
  • Required to maintain compliance with civil rights and fair housing laws
  • Required to make ESG funded facilities and services available to all on a nondiscriminatory basis and publicize this fact
    • If not, must establish additional procedures that will ensure these persons are referred to appropriate facilities
    • If cannot provide handicap accessible services, must provide a procedure to refer people to accessible facilities/services
  • All ESG Grantees required to post Equal Housing Opportunity poster
lead based paint lbp requirements
  • All requirements are in your manual however there is a section just for ESG Lead requirements.
  • Most emergency shelters are exempt from the lead-based paint regulations, however encouraged to test for lead if frequented by children less than 6 and building is older than 1978.
  • Applies to: Longer-term Transitional Housing in an apartment with one or more bedrooms AND has family residents who are in a program that requires continual residence of more than 100 days.
lead based paint brochures
Lead Based Paint brochures
  • IHCDA requires long term transitional housing to participate in educating the public on the hazards. EPA lead brochures must be distributed and in their files.
  • Websites for information & brochures: http://www.epa.gov/lead/pubs/nlicdocs.htm
defining a successful esg program
Defining a successful ESG program
  • One that successfully moves people to permanent housing/ Housing First models
  • One that moves individuals toward employment
  • One that engages persons with appropriate case management and mainstream resources
  • One that actively collaborates with other community organizations and planning organizations
  • NOT solely defined by the # served
  • Future of ESG: similar to HPRP model- homeless prevention and rapid re-housing, delivering home-based services, moving people out of homeless system
thank you for staying awake

Thank you for staying awake!


Kelli Barker, Special Needs Monitor-ESG