ESG Supporting_Statement_062912 (3)[1]

Supporting Statement A
Introduction
This submission is to request a reinstatement with revisions of an expired information collection for the
reporting burden associated with program and recordkeeping requirements that Emergency Solutions
Grants (ESG) program recipients will be expected to implement and retain. This submission is limited to
the reporting burden under the ESG entitlement program, which is covered by OMB control number
2506-0089. The data collection package is titled Emergency Shelter Grants Program; however, the
HEARTH Act changed the name of the program and HUD is changing the name of the data collection
package to match the new program name.
A1

Need and Legal Basis

Why is this information necessary? Identify any legal or administrative requirements that necessitate the
collection.
On May 20, 2009, Congress passed the Homeless Emergency Assistance and Rapid Transition to
Housing Act of 2009 (HEARTH Act). The HEARTH Act revises the Emergency Shelter Grants program
and renames the program the Emergency Solutions Grants program. The change in the program’s name
reflects the change in the program’s focus from addressing the needs of homeless people in emergency or
transitional shelters to assisting people in quickly regaining stability in permanent housing after
experiencing a housing crisis and/or homelessness. The key changes that reflect this new emphasis are
the expansion of the homelessness prevention component of the program and the addition of new rapid
re-housing assistance components.
The statute and implementing regulations reflect this new emphasis by placing a cap on street outreach
and emergency shelter activities (§576.100). The cap is the greater of 60 percent of the recipient’s fiscal
year grant or the amount of FY2010 funds committed for homeless assistance activities. Determining the
amount of FY2010 funds committed to homeless assistance activities places an initial documentation
requirement on recipients; however, once established it will never change.
The statutory provisions and the implementing interim regulations found at 24 CFR 576 that govern the
program establish new program and recordkeeping requirements.
The Emergency Solutions Grants program places an increased emphasis on targeted and coordinated use
of local resources. The implementing interim regulations require that ESG recipients consult with local
Continuums of Care within their geographic areas (§576.400(a)) and requires recipients and subrecipients
to coordinate ESG assistance to program participants with other targeted homeless services (§576.400(b))
and other mainstream resources available within the community (§576.400(c)).

The implementing regulations for the ESG program require recipients to develop written standards to
determine the amount and type of assistance each eligible individual or family may receive when they
present for assistance (§576.400(d). All recipients and subrecipients must then evaluate individuals and
families who present for assistance initially (§576.401(a)) to determine eligibility and to determine the
amount and type of assistance they may receive using the written standards, and then recertify each
program participant every 3 months for homelessness prevention assistance and annually for rapid rehousing assistance (§576.401(b)).
Once an individual or family becomes a program participant, the ESG recipient or subrecipient must
connect the program participant to other mainstream resources to help the individual or family obtain and
maintain housing stability (§576.401(d)), develop a housing retention plan (§576.401(e)), and ensure that
the individual or family is residing in a unit or shelter that meets habitability standards (§576.401(d)).
The recipient must establish and follow termination of assistance procedures before terminating
assistance to any program participant receiving ESG assistance (§576.402).
To ensure that projects carried out with ESG funds meet the needs of homeless persons and persons at
risk of homelessness within the geographic area, recipients and subrecipients, not including States, of
ESG funds must have a homeless or formerly homeless person serve on the board or other decision
making body (§576.405).
The recipient and subrecipient must keep records verifying that all of the program requirements have
been met (§576.500) and ensure that these records are maintained in a secure and confidential manner.
Recipients must monitor subrecipients to ensure that program requirements are being met and take
sanctions against subrecipients if the requirements are not being met (§576.501(c)).
The recipient and subrecipient must supply HUD with the information necessary for HUD to complete
the environmental review (§576.407). The HEARTH Act repealed Section 443 of the McKinney-Vento
Act, which allowed HUD to apply the environmental regulations in
24 CFR Part 58 to ESG activities. Instead, activities are subject to environmental review by HUD under
24 CFR Part 50. To collect the information needed to complete a review, HUD has developed the form
HUD-4150. HUD is currently pursuing a technical fix to allow HUD to use 24 CFR Part 58. If this
technical fix is passed then HUD-4150 will not be used.
A2

Information Users

How is the information collected and how is the information to be used?
HUD requires recipients of ESG funds to carry out certain program requirements and maintain records
that the program requirements were carried out. HUD field offices, HUD Headquarters, and ESG
recipients use this information to track compliance with the statutory and regulatory provisions. If HUD
determines that the recipient has not been meeting the requirements of this program, it may take the
remedial actions set forth in §576.501(b).
A3

Improved Information Technologies

Describe whether, and to what extent, the collection of information is automated (item 13b1 of OMB form 83i). If it is not automated, explain why not. Also describe any other efforts to reduce burden.

HUD does not require the use of any form to document compliance with program regulations; however,
the implementing interim regulation allows communities to maintain documentation by microfilming,
photocopying, or other similar methods, including electronic. HUD expects that some communities will
maintain paper records, while others will maintain electronic records.
A4

Duplication of Similar Information

Is this information collected elsewhere? If so, why cannot any similar information already available be
used or modified?
No similar information exists. The program and recordkeeping requirements are unique to the ESG
program. The planning and reporting requirements for this program are already covered in the
Consolidated Plan & Annual Performance Report for Grantees, which is covered by OMB control
number 2506-0117.
A5

Small Businesses

Does the collection of information impact small businesses or other small entities (item 5 of OMB form
83-i)? Describe any methods used to minimize burden.
There is no burden on small businesses or other small entities.
A6

Less Frequent Data Collection

Describe the consequence to Federal program or policy activities if the collection is not conducted or is
conducted less frequently, as well as any technical or legal obstacles to reducing burden.
If no records are collected on this aspect of the program, HUD will not be able to determine program
regulatory compliance. The information is collected on a project-by-project basis to permit ESG recipients
to draw down ESG funds from the U.S. Treasury and to ensure ESG funds are used for eligible purposes. It
is not possible to collect the information less frequently.
A7

Special Circumstances

Explain any special circumstances that would cause an information collection to be conducted in a
manner that would impose additional workload burden on recipients (see eight items listed in OMB
guidance).
There are no special circumstances that would cause this information collection to be conducted in a
manner that would impose one or more of the additional requirements identified under this item.

A8

Federal Register Notice/Outside Consultation

Identify the date and page number of the Federal Register notice (and provide a copy) soliciting
comments on the information. Summarize public comments and describe actions taken by the agency in
response to these comments. Describe all efforts to consult with persons outside the agency.
In accordance with the Paperwork Reduction Act of 1995, the Department of Housing and Urban
Development published a notice in the Federal Register on February 23, 2012 (77 FR 5523, page 5523)
announcing the agency’s intention to request an OMB review of data collection activities for the ESG.
The notice provided a 7-day period for public comments and no comments were received. A copy of the
Notice is in attached.
No comments were received.
A9

Payment/Gift to Respondents

Explain any payments or gifts to respondents, other than remuneration of contractors or grantees.
Not applicable. No payment or gifts are provided to any respondents for any information.
A10 Confidentiality
Describe any assurance of confidentiality provided to respondents and the basis for assurance in statute,
regulation or agency policy.
Section 576.500(w) of the interim ESG regulations states that recipients and subrecipient must develop
and implement procedures to ensure that all records containing personally identifying information will be
kept secure and confidential; the address or location of any domestic violence, dating violence, sexual
assault, or stalking shelter project will not be made public, except with written authorization of the person
responsible for the operation of shelter; and the address or location of any housing of a program
participant will not be made public, except as provided under a preexisting privacy policy of the recipient
or subrecipient and consistent with state and local laws regarding privacy and obligations of
confidentiality..
A11 Sensitive Questions
Justify any questions of a sensitive nature, such as sexual, religious beliefs, and other matters that are
commonly considered private.
Not applicable. The information collection request does not include any sensitive questions.
A12 Burden Estimate (Total Hours and Wages)
Estimate public burden: number of respondents, frequency of response, annual hour burden. Explain
how the burden was estimated.

Exhibit A-1 below demonstrates how the public burden for ESG Data Collection was calculated based on
estimated time and expenditures required to complete the collection. The total burden for data collection
from all recipients and subrecipients is estimated at 367,441 hours. The table estimates the amount of
time required for each individual data collection activity including the number of times the activity is
carried out during the year and the number of responses expected per activity.

Exhibit A-1: Estimated Annual Burden Hours for ESG Data Collection
A

Information Collection
576.100(b)(2) Emergency
Shelter and Street Outreach
Cap
Records showing the percent
of total ESG funds spent on
Emergency Shelter and Street
Outreach and that the
regulatory Cap has not been
exceeded.
576.400(a) Consultation with
Continuums of Care
Records of the required
consultation with the local
Continuums of Care.
576.400(b) Coordination with
other Targeted Homeless
Services
576.400(c) System and
Program Coordination with
Mainstream Resources
Records of the required
coordination and integration
of ESG funded-activities with
applicable mainstream
services.
576.400(d) Centralized or
Coordinated Assessment
Records of participation in
the CoC developed
Centralized of Coordinated
Assessment system.
576.400(e) Written Standards
for Determining the Amount
of Assistance
576.400(f) Participation in
HMIS
Records showing that data on

B

C

D

E

F

Number of
Respondents
360

Response
Frequency
(average)
1

Total
Annual
Responses
360

Burden
Hours Per
Response
1.0

Total
Annual
Hours
360

360

1

360

6.0

2,160

2,360

1

2,360

8.0

18,880

2,360

1

2,360

16.0

37,760

2,000

1

2,000

3.0

6,000

808

1

808

5.0

4,040

78,000

1

78,000

0.5

39,000

all persons served and all
activities assisted under ESG
are entered into the
applicable community-wide
HMIS
576.401(a) Initial Evaluation
Records showing an initial
evaluation to determine the
eligibility of each individual
or family’s eligibility for
ESG assistance and the
amount and types of
assistance the individual or
family needs to regain
stability in permanent
housing
576.401(b) Recertification
576.401 (d) Connecting
Program Participants to to
Mainstream and Other
Resources
Records showing evidence of
these connections from both
recipients and subrecipients
576.401(e) Housing retention
plan
576.402 Terminating
Assistance
Written notice, decision
review, prompt written notice
of final decision,
576.403 Habitability review
Records showing that
buildings/units meet federal,
state, and local housing and
shelter requirements
576.405 Homeless
Participation
Records of the participation
of homeless or formerly
homeless individuals on ESG
policy and decision making
bodies.
576.500 Recordkeeping
Requirements
Records regarding the

50,000

1

30,000

1.0

30,000

20,000
78,000

2
3

40,000
234,000

0.5
0.25

20,000
58,500

50,000

1

50,000

.75

37,500

808

1

808

4.0

3,232

52,000

1

52,000

0.6

31,200

2,360

12

28,320

1.0

28,320

2,360

1

2,360

12.75

30,009

following: Homeless status;
At-risk of homelessness
status; Determination of
ineligibility; Annual income;
Participant records;
Centralized or coordinated
assessment systems and
procedures; Rental assistance
agreements and payments;
Utility allowance; Shelter and
housing standards;
Emergency shelter facilities;
Services and assistance
provided; Coordination with
Continuum(s) of Care and
other programs; HMIS;
Matching; Conflicts of
interest; Homeless
participation; Faith-based
activities; Compliance with
other Federal requirements;
Participant relocation;
Financial records;
Subrecipients and contractors
Other records specified by
HUD; Participant
confidentiality; Reporting
into IDIS;
576.501(b) Remedial Actions
Records of any remedial
actions to recapture or
reprogram ESG funds
576.501(c) Recipient
Sanctions
Records of the recipient’s
implemented sanction
process for non-compliance
with ESG
576.501(c) Subrecipient
Response
Records of the subrecipient’s
response to the implemented
sanction process for noncompliance with ESG
Total

20

1

20

8

160

360

1

360

12

4,320

2,000

1

2,000

8

16,000

367,441

A13 Capital Costs
Estimate the annual capital cost to respondents or record keepers.
There are no additional costs to the respondents (other than the cost shown in item 12 above).

A14 Cost to the Federal Government
Estimate annualized costs to the Federal government.
The cost to the government to review the records and compliance with program requirements
(but not including the cost of reviewing the reports, follow-up management, or technical
assistance) is estimated at $82,128:
HUD monitoring: 118 recipients per year x 24 hours per recipient x $29*
Total cost to the Federal Government: $82,128
*this figure is based on a GS-12 salary
A15 Program or Burden Changes
Explain any program changes or adjustments in burden.
The increase in respondents reflects the increase in ESG entitlement jurisdictions (recipients)
over the years.
In addition to increased ESG entitlement jurisdictions, the statutory provisions required by the
HEARTH Act increased programmatic requirements, and thus burden, on these recipients and
subrecipients. In creating the regulatory provisions to implement the statutory requirements,
HUD relied heavily on its administration of the previous Emergency Shelter Grants program and
the Homelessness Prevention and Rapid Re-Housing Program. HUD implemented regulatory
requirements that HUD has determined are necessary to prevent fraud, ensure that program
participants receive appropriate housing and services, and ensure that the rights of program
participants are protected.
A16 Publication and Tabulation Dates
If the information will be published, outline plans for tabulation and publication.
HUD does not intend to publish any information as a result of this collection.
A17 Expiration Date
Explain any request to not display the expiration date.

HUD is not seeking approval to not display the expiration date for OMB approval of the
information collection.
A18 Certification Statement
Explain each exception to the certification statement identified in item 19.
There are no exceptions to the signed certification.