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Emergency Solutions Grant (ESG)

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Presentation on theme: "Emergency Solutions Grant (ESG)"— Presentation transcript:

1 Emergency Solutions Grant (ESG)
Shelter Program Award Training ESG Grant Administration 7/23/12 , 10:00-11:30am, EDT OR 7/30/12, 1:00-2:30pm, EDT , Access Code: # Attendance to one Grant Administration Webinar & one Documentation/Definition Webinar is required for all ESG-Shelter Program Subrecipients Documentation & Definition - 7/25, 10-11:30 am– 7/26, 10-11:30am . See registration links on IHCDA’s Web site as well as all ESG documents at: Indiana Housing and Community Development Authority Presenter: Kelli Barker, Homeless Prevention Programs Analyst **NEW ESG Shelter Program Coordinator: Angie Hass ,

2 Agenda Summary of Allocations Review Award Agreement & Documents
Performance Objectives Program Requirements Regional Planning Councils Activities HMIS & Database Requirement Reporting, Monitoring Claims, Budget Modifications Upcoming Trainings

3 Homeless Emergency Assistance and Rapid Transition to Housing Act (HEARTH Act)
Will be covered on July 23rd & July 30th Webinars Webinar will cover: Overview of HEARTH Act changes, it’s purpose and goals Homeless definitions revisions AND Revised homeless documentation requirements

4 Homeless definition - revised
Category 1: Literally homeless Category 2: Imminent Risk of Homelessness Category 3: Homeless Under Other Federal Statute Category 4: Fleeing/Attempting to Flee DV *NOTE: “At Risk of Homeless” definition does not fall under the definition of Homeless, and is not included in Indiana’s ESG program -Will elaborate on this topic during the Definition & Documentation Training

5 Essence of HEARTH “Reorienting the service system from one that shelters and manages homelessness, focusing on making people ‘housing ready,’ to a ‘housing first’ course of action that ends chronic and all types of homelessness through prevention, diversion and rapid re-housing.” ~ Lancaster County Coalition to End Homelessness, Kay Moshier McDivitt

6 ESG Allocations through the years
*2011 – HEARTH Act implemented, round 2 of ESG funding amounts between 2 activities in FY12 still undecided. $3.6 allocation; last year $3.1 Rapid Re-housing is emphasized by HUD because the data proves it works and directly reduces homeless numbers.

7 Allocations – Shelter Program FY12
Indiana ESG Program received $3,609,214, Of this, IHCDA is allocating $2,165,528 to ESG Shelter Program. The rest goes to Rapid Re-housing Program 5% to IHCDA grant administration Requests = $2,552,377 85% of Requests Funded Avg. Award = $36,092.14, (FY11=$36,157.70) Award amount – resulted from request amount and score ES Funded=46, TH =16, DV=24 Counties = 30

8 Score Summary- Overall Notes
Most frequently lost points: HPRP – no contact or referrals No participation of homeless consumers Financial mgmt. system Permanent housing placement Late reports (1 pt. for each day late) Completeness, not following instructions -This year applicants did not receive points for the number served and the % full since these are no longer indicators of a successful shelter. Future scores will be centered on outcomes of moving people onto perm. housing rapidly, decreasing length of stay, increasing income & mainstream resources, reduced returns to homelessness (recidivism)

9 Example of perm. housing strategy
“LTHC operates four different programs. Two of the programs are Transitional Housing, one is a Permanent Supportive Housing Project, and the fourth is the Supportive Services Program. In order to transition clients from temporary housing to permanent housing, the case management staff works with a wide variety of organizations, programs, and landlords. The staff advocate for their clients with the various housing opportunities to ensure certain that all of the pieces fit together. The housing market in our community is rather soft, therefore we are able to communicate with landlords on reducing deposits or monthly rent charges. LTHC works with private landlords, the Lafayette Housing Authority, the subsidized housing complexes, and several property management companies. We make many referrals to different housing opportunities, based on the specific guidelines of the housing entity. The numbers below are the referrals made to our top 8 housing providers. “ - Lafayette Transitional Housing Center, Jennifer Layton, Executive Director

10 Performance Objectives
Program outputs and outcomes on these objectives will be measured in Semi-Annual Report and Annual Report. FY13: Performance will affect allocations.

11 Other HEARTH Measurements
Length of Stay (in homelessness) New entries into homelessness Repeat entries into homelessness (recidivism) Obtain (or retain) permanent housing Those with no income at entry, exit with an income How well does your community SYSTEM work to reduce homelessness in your community? How well does your agency facilitate that system working better for persons experiencing homelessness? IHCDA will be holding many trainings and Webinars as HEARTH is unrolled.

12 ESG Contracts & Award documents
Review Contract/Agreement Award Term: 7/1/12-6/30/12 Audits 16. Faith Based Organizations Conflicts of Interest Exhibit A: Claims, HMIS/Other Databases, PIT, Match, Confidentiality, Fees, Occupancy Agreements, Access to those with Limited English Proficiency, RPC Coordination Agreement Budget - may be amended, up to one time /year Budget Activity Plan- limited to Shelter Activity for now - Award Numbers look like this: ES-011-XXX – The last three digits are unique to each grant. You can find the Award Number on the top of Exhibit A. -Can use ESG funds on any homeless client served in organization, regardless of shelter program (TH, ES, DS) - Due to IHCDA 7/31/12

13 ESG Program Requirements
Funds can serve homeless only Document homelessness 100% match (must be documented) Termination/Grievance Procedure Participation of Homeless Persons in organization Keep accurate financial, service delivery records Working and access to Internet, Microsoft Office Non- domestic violence shelter must use HMIS Must attend Award Trainings/Webinars Must submit Semi-Annual Report and Annual & Close-out Report -all of these requirements are provided in more detail in the ESG Award Manual or HUD ESG Deskguide -send all info. out in s, try to limit # of s. Please read thoroughly when you do receive.

14 Requirements (continued)
Participation in state-wide Point-in-Time count (held in late Jan.) Ensuring Confidentiality Building and Habitability Standards Use HMIS system (n/a for domestic violence shelters)- Must enter not just for ESG program, but all homeless programs in agency

15 NEW Program Requirements
Cannot use the age of a child under 18 to deny any family’s admission to an emergency shelter DV shelters are required to use a client-level database, comparable to HMIS, by June 30, 2013. Agreements & future ESG allocations will be performance-based New subrecipients cannot use occupancy agreements or leases with homeless participants

16 Governance Structures
Continua of Care (CoC)- HUD recognizes 3 CoC’s in State of Indiana: Balance Of State 2) Indianapolis 3) St. Joseph County Balance of State CoC Governed by Indiana Planning Council on Homeless (meets quarterly at IHCDA) Regional Planning Councils (RPC) on the Homeless (former CoC, 15 total). RPC structures reflects local planning priorities and is a regionally-based homeless assistance programs planning group Goals: Coordinate efforts of identifying needs of local homeless populations (rental assistance, education and services, permanent supportive housing, affordable housing; gaps in services, and identify the resources needed to fill gaps and strategies to obtain them.) ESG Subrecipients are required to attend at least 75% of RPC meetings annually. CoC - coordinated community-based process of identifying needs and building a system to address those needs. The approach is predicated on the understanding that homelessness is not caused merely by a lack of shelter, but involves a variety of underlying, unmet needs in a community and economic system. Recognizes your agency alone cannot end homelessness working in a silo, but can work collaboratively and to improve the system required to end homelessness. If you don’t find your RPC mtg. relevant to your community, then I encourage you to make it relevant. Speak up. Organize. Converse. When you come to the table, you should be considering what you are willing to relinquish control of in your agency in order to improve the efficiency of the system as a whole.

17 Regional Planning Councils – A systemic approach
“Ending homelessness requires community ownership of the causes and the solutions and challenges all parties to examine their programs, policies, and principles and redirect those that may sustain homelessness to those that prevent and end homelessness. It will require that our community commits to providing the budget and resources necessary to achieve the stated goals. It will require that these resources produce measurable results…” ~Lancaster county, PA 10 year plan to end homelessness

18 ESG Eligible Activities
Emergency Shelter (limited to 60% of total allocation) Essential Services Operations Rapid Re-housing*: Housing Relocation & Stabilization Services (no limit) Financial Assistance Services Victim Service Provider Database* -Still no HUD ESG Manual/Guidebook, so we will know more detail on the activities at that time. We will release ours in late August/September. -Rapid Re-housing- RR pgm. awards will be announced in August 23. Will know who will be eligible to budget for RR and send notice out at that point. Will provide short training to those interested. Can exceed $50,000. Will amend current contract. Rental Assistance is NOT available through the Shelter Program. -DV Database- We will know what the set-up costs are before we can begin to amend budgets for this. *Not available at time of award

19 Shelter: Essential Services
Essential services provided directly to individuals and families who are in an emergency shelter, including salaries to provide direct services noted below: Case management Housing Stability Case Management* Child Care Education Services Employment Assistance and Job Training Outpatient Health Services Legal Services Life Skills Training Mental Health Services Substance Abuse Treatment Services Transportation Services for Special Populations Note the difference between case management and housing stability case management *This line item can be claimed for shelters in regions with no funded Rapid Re-housing program OR for persons denied access to RR program. Read RFP for full details on eligible activities. Has been expanded and provided greater detail. Will also be included in ESG Manual.

20 Essential Services: Ineligible Activities
Salaries of employees not working directly with clients Staff recruitment/training Transportation costs not directly associated with service delivery

21 Operations (OP) Eligible operating costs related to the provision of emergency and transitional housing Including: Rent, security, fuel, equipment, insurance, utilities, food, furnishings, and supplies necessary for the operation of the emergency shelter Payment of short-term motel/hotel stays where no appropriate emergency shelter is available No more than 10% of each subrecipient’s total award can be utilized for operations staff salaries Excludes maintenance and security salary costs Ex. if $10,000 award, no more than $1,000 for OP staff salaries. Staff salaries was accidentally left off of the original version of activity budget plan mailed out. Please be sure to complete the revised one Angie sent out last week if you plan on budgeting for Operations- salaries.

22 OPERATIONS: Ineligible Activities
Recruitment or ongoing staff training 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 No Mortgage payments!

23 What is Rapid Re-housing and why should we use it?
Housing relocation and stabilization services and short term, one-time financial assistance, as necessary, to help a homeless individual or family move as quickly as possible out of shelter system and into permanent housing and achieve stability in that housing. It works! Communities that have most successfully decreased homeless numbers have employed Rapid Re-housing programs as a central part of the solution. Directly reduces homelessness, frees up space in emergency shelter to be able to more effectively and rapidly triage people through emergency crisis center Helps your shelter program to reduce length of stays and be able to serve more people Funded RR programs are required to execute MOU’s with all ESG funded shelters in service area. More information will be provided to you on the referral process and targeting. Rapid Re-Housing is a strategy that has been successfully used by many communities to reduce homelessness. Today, most households become homeless as a result of a financial crisis that prevents them from paying the rent, or a domestic conflict that results in one member being ejected or leaving with no resources or plan for housing. Most households who become homeless today have already lived in independent permanent housing, and they can generally return and remain stably housed with limited assistance. And homelessness itself is associated with a host of negative outcomes that can be minimized by limiting the period of time people experience it. By helping homeless households return to permanent housing as soon as possible, communities have been able to reduce the length of time people remain in homeless shelters. This opens beds for others who need them, and reduces the public and personal costs of homelessness. -

24 Rapid Re-housing Activities
Financial Assistance (Short-term only) Security, Utility Deposits Utility Payments & Arrears Last Month’s Rent Rental Application Fees Moving costs Services Housing Search & Placement Housing Stability Case Management Legal Services Credit Repair

25 Rapid Re-housing: Ineligible Activities
Housing/services to persons who don’t meet HUD’s literally homeless definition Direct payments to individuals needing assistance Long term assistance Rental Assistance (ineligible for the ESG Shelter Program Subrecipients only) -hotel/motel stays- if paid for by ESG or public funds, the person meets the homeless definition.

26 ESG Reports Report Due Date Semi-Annual Report Mid-January 2013 Annual Report & Close-out Report Late July 2013 Late Reports- lose 1 point on application for every day late Submit reports by preferably More information will be provided closer to the dates. Will be given at least 2 weeks to complete report. -Quarterly reports no longer exist. -will send at least one reminder by 1-2 weeks prior to due dates. -All reports are on Excel spreadsheets and submitted to me through . Please don’t copy and paste my form onto another document! Contact Brennan or me if logistical issues.

WHAT GETS MEASURED, GETS DONE! HMIS (Homeless Management Information System) Secure, confidential Web-based data collection system that tracks data on the nature and extent of homelessness in your individual program(s), your community, and also statewide and nationally. All ESG grantees (except Victim Service Providers) are required to enter client data into HMIS on regular and consistent basis Indiana CoC’s HMIS Software Vendor: ClientTrack HMIS Staff: Kerrie Kikendall, HMIS Manager Brennan Butler, HMIS Data Specialist Questions? Features of Client Track: User-friendly, customizable, easy to generate reports Case Management Tool: Can track employee hours, client goals, outcomes, and manage case loads Arizona Self-Sufficiency Matrix- built in vulnerability matrix to quantify clients’ progress over time -regular and consistent: up to date as of last two weeks

28 WHAT GETS MEASURED, GETS DONE! Domestic Violence Database Requirements
New Requirement! Must meet by June 30, 2013 Must be comparable to HMIS system (collect same universal data elements, produce aggregate, client-level, unduplicated reports) IHCDA is creating separate ClientTrack program, available to DV shelters who cannot meet the requirement with their current database. Will only be charged set-up fees. Budgets can be amended once amounts are known, and costs can be billed to ESG grant. Will know more in late Summer/early Fall -Due to Violence Against Women’s Act- DV shelters are not permitted to use HMIS

29 Award Monitoring IHCDA required to monitor 25% of shelters annually.
Emphasis on financial records, cost allocation, compliance with federal requirements such as homeless documentation, match documentation. Health /Safety habitability inspection Will be contacted for monitoring visit “Financial Management for Nonprofits” guide is a good resource to improve financial capacity. Send monitoring checklist in advance. Give about 2 or more weeks notice. Look more in depth into financial system- internal controls, proof of expenditure, match documentation and cost allocations plan- especially if you have more than one shelter program.

30 Match 100% match required Must use NEW ESG Match Documentation Form to track match. All match listed on form must be well documented upon monitoring. Match must directly benefit ESG beneficiaries and must be expended (cash) or provided (in-kind) during the award term Cannot use funds used to match previous ESG Grant Cannot use federal funds to match (except CDBG) Eligible Match: Cash/Grant (United Way, donations, Foundations, etc.) In-Kind 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) -Match: match dollar-for-dollar the ESG funding provided by HUD with funds from other public or private sources -cannot use federal funds, EXCEPT for CDBG. -See Match documentation form for examples of some examples of eligible sources of match. Form is not exhaustive. -Matching funds must be provided after the date of the grant award to the grantee.

31 Budget Modifications Changing budget from what is listed in Exhibit B of Award Agreement Process: Submit request on letterhead with justification and with Exec. Dir. Signature, AND Submit revised Budget modification form IHCDA will respond within 5 business days. If approved, will send Budget Amendment. Sign and send back. IHCDA will adjust internal and HUD system and send back executed copy via Maximum of one per year! Move funds among line items within the activities No limit on number, no need to notify IHCDA -Budget Modification Form – posted on IHCDA’s ESG Web page -why necessary?– Is a change to the contract and original proposal, need to amend contract and make changes in claims system and HUD’s system

32 Claim Process – Revised for 2012-13
NEW!: Claims are submitted electronically through IHCDA Online; supporting documentation and signature page will have to be scanned and submitted electronically or mailed in. No more Excel Claim forms. 60 days to submit claim! Payment by reimbursement only, within 5-7 business days from receipt 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 Will give more information about how to submit claim in August. Example: 60 days- submit for month of July, have until Sept. 30th to claim for that month. Will send out step-by-step instructions on how to interact with this, and if necessary offer a quick Webinar on the process. New claims system will notify you of deposit

33 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 -can find posters online on HUD’s Web site

34 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 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. -However any ESG housing or services sites regularly frequently by children less then 6 yrs of age are encouraged to test for lead -only applies for buildings build prior to Jan. 1, 1978 -If applies to your shelter/TH program, read more in ESG Deskguide or contact me about what you are required to do.

35 IHCDA sponsored Upcoming Trainings Opportunities
ESG Shelter Program Award Webinars (Required) Grant Administration Webinar Definition & Documentation Webinar Statewide Housing & Community Development Conference (9/18/12-9/19/12) Victim Service Providers & HEARTH: 10/9/12– in conjunction with Annual ICADV Conference; 3 sessions: HEARTH Act & victim service providers, ClientTrack Database, Best Practice Models Transitional Housing Program Models under HEARTH - November Motivational Interviewing – for case management staff- Date TBD

36 Thank you for listening!
Questions? Contact: Kelli Barker (until Aug. 2) Homeless Prevention programs analyst OR Angie HAss ESG Coordinator -your attendance will be recorded and noted. Powerpoint will also be posted online at

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