Emergency Shelter Grants Program

Published on AidPage by IDILOGIC on Jun 24, 2005

Administered by:

Purpose of this program:

The program is designed to help improve the quality of emergency shelters and transitional housing for the homeless, to make available additional shelters, to meet the costs of operating shelters, to provide essential social services to homeless individuals, and to help prevent homelessness.

Possible uses and use restrictions...

Grantees may use the grant for one or more of the following activities relating to emergency shelter and transitional housing for the homeless: (1) renovation, major rehabilitation, or conversion of buildings for use as shelters for the homeless; (2) provision of essential services to the homeless (not more than 30 percent of the grant, unless waived by HUD); (3) payment of operations (not more than 10 percent of the grant for staff management costs), maintenance, rent, repair, security, fuel, equipment, insurance, utilities, and furnishings; and (4) homeless prevention activities (not more than 30 percent of the grant). Grantees can use up to five percent of the allocation for administering the grant. In the case of State grantees, the grant for administration must be shared with funded recipients.

Who is eligible to apply...

States, metropolitan cities, urban counties, and territories. Local governments receiving formula allocations may distribute all or part of their grants to nonprofit recipients to be used for ESG activities. State grantees must distribute ESG funds to local governments, or directly to nonprofit organizations with the approval of the local government. Only local governments and nonprofit organizations may apply for ESG funds directly from States. The territories receive their allocations based on their population size.

Eligible Applicant Categories:
Eligible Functional Categories:

States, metropolitan cities, urban counties, and territories that elect to participate in the program must submit (1) an approved Consolidated Plan; and (2) certifications that each grantee will (a) supplement the assistance provided under the program with an equal amount of funds from other sources, except for State grantees under the $100,000 exemption, (b) ensure that any building using ESG funds will continue as a homeless shelter for specified periods, (c) ensure that assisted rehabilitation is sufficient to make the structure safe and sanitary, (d) provide for a procedure to ensure the confidentiality of victims of domestic violence, and assist homeless individuals in obtaining appropriate supportive services and other available assistance, and (e) meet other generally applicable requirements, such as nondiscrimination and equal opportunity. Costs will be determined in accordance with OMB Circular No. A-133 for State and local governments. State grantees are exempt from matching the first $100,000 of their award, but States must certify that they will provide the benefits of that exemption to local government and nonprofit recipients.

Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.

About this section:

This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy. For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree, 3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible. Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they must satisfy.

Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs, the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.

How to apply...

Application Procedure:

To be eligible, each grantee must have a HUD-approved Consolidated Plan, which contain descriptions of the community's homeless assistance needs, details available resources, and provides a five year plan and an annual action plan. The annual action plan specifies new projects being funded, along with any revisions in the overall document. Each participating grantee must submit certifications required by HUD.

Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.

Award Procedure:

The HUD field office reviews the grantee's Consolidated Plan and, if approved, executes a grant agreement.

Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check. Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office, or by an authorized county office. The assistance may pass through the initial applicant for further distribution by intermediate level applicants to groups or individuals in the private sector.

Deadlines and process...


Each State, metropolitan city, urban county, and territory grantee should submit its Consolidated Plan to its local HUD office no later than 45 days before the start of its program year as required by 24 CFR Part 91.

Note: When available, this section indicates the deadlines for applications to the funding agency which will be stated in terms of the date(s) or between what dates the application should be received. When not available, applicants should contact the funding agency for deadline information.

Range of Approval/Disapproval Time

The Consolidated plan is generally approved in 10 working days or deemed approved by HUD within 45 days of receipt.

Preapplication Coordination

This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the State office or official designated as the single point of contact for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review. The Consolidated Plan required by 24 CFR Part 91 must be used for this program.

Note: This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units prior to the submission of a formal application to the federal funding agency.



Note: In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).



Note: In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.

Who can benefit...

Homeless families and individuals, and low-income persons in immediate risk of losing their housing due to eviction, foreclosure, or utility shutoffs.

About this section:

This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.

What types of assistance...

Formula Grants

Allocations of money to States or their subdivisions in accordance with distribution formulas prescribed by law or administrative regulation, for activities of a continuing nature not confined to a specific project.

How much financial aid...

Range and Average of Financial Assistance

For fiscal year 2003 the grant allocations ranged from $75,000 to $7,480,000. The mean average allocation was $408,000.

Note: This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.


(Grants) FY 03 $149,025,000; FY 04 est $159,056,000; and FY 05 est $160,000,000. (NOTE: Amounts reported reflect allocation of new budget authority rather than obligation amounts.)

Note: The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.

Account Identification


Note: Note: This 11-digit budget account identification code represents the account which funds a particular program. This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.

Examples of funded projects...

Not applicable.

About this section

This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.

Program accomplishments...

The States and entitlement communities make grants to thousands of homeless emergency shelters and transitional housing programs to assist them in maintaining and operating their facilities and providing essential services to homeless clients. In additions, financial assistance and services are provided to help prevent families and individuals from becoming homeless.

Criteria for selecting proposals...

Proposed ESG projects are part of the prospective grantee's Consolidated Plan, which are reviewed according to criteria set forth in 24 CFR 91.

Assistance considerations...

Length and Time Phasing of Assistance

Length and Time Phasing of Assistance: Grant awards should be made within 45 days of HUD's receipt and approval of the Consolidated Plan. A State should make available to its recipients all of its grant allocation within 65 days of the date of the grant award by HUD. A State recipient should have its entire grant obligated by 180 days from the date on which the State made the grant available to it, and spent the entire grant within 24 months of this date. For State homeless prevention funds, the State may continue to make available homeless prevention funds within 180 days of grant award. State recipient local government agencies and nonprofit organizations then have 30 days to obligate the funds, and up to 24 months to spend them. Each local government grantee should have all of its grant obligated by 180 days from its grant award by HUD, and entirely spent within 24 months.

Formula and Matching Requirements

After the ESG appropriation is set aside for the territories, the amount of each grant for formula grantees is determined by the Community Development Block Grant (CDBG) formula using several objective measures of community need, including poverty, population, housing overcrowding, age of housing and growth lag. Allocations among the territories are based on their populations. If, according to the formula, an eligible government receives less than .05 percent of the yearly appropriation, then that grant is added to the allocation for that State. A State must allocate to its local governments or to nonprofit organizations the entire grant, except for the up to five percent used to administer the grant. The administrative funds must be shared with local government grantees in that State. Grantees must match grant funds with an equal amount of funds from other sources including donated material or a building, leasehold value, additional staff salaries, and volunteer time.

A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.

Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.

In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.

Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.

Post assistance requirements...


Each grantee shall annually report on its uses of funds and program progress in a HUD-approved format within 90 days after the close of its program year. State and local governments report via an on-line computer linkup with HUD, and a consolidated annual performance and evaluation report.

Note: This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.


In accordance with the provisions of OMB Circular No. A- 133, "Audits of States, Local Governments, and Nonprofit Institutions, "State and local governments that expend total Federal financial assistance of $500,000 or more within their fiscal year must have an independent financial audit conducted for that year. This single audit combines the government's annual financial statement audit with additional audit coverage of its Federal funds.

Note: This section discusses audits required by the Federal agency. The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133. These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year, as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period, rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).


According to the ESG regulations, grantees and recipients must retain records for four years from the date of submission of the annual performance report.

Note: This section indicates the record retention requirements and the type of records the Federal agency may require. Not included are the normally imposed requirements of the General Accounting Office. For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C. For other programs, record retention is governed by the funding agency's requirements.



McKinney-Vento Homeless Assistance Act of 1987, Title IV, as amended, 42 U.S.C. 11371-78.

Note: This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).

Regulations, Guidelines, And Literature

The program is governed by streamlined final regulations published in the Federal Register on October 2, 1996, at 24 CFR Part 576. A comprehensive "Emergency Shelter Grants (ESG) Program Desk Guide" is available from HUD at 1-800-998- 9999, Or can be found on the ESG homepage on HUD's Website at http://www.hud.gov/offices/cpd/homeless/library/esg/esgdeskguide/.

Contact information...

Web Sites
Regional Or Local Office

Contact appropriate HUD State or Field Office listed in Additional Contact Information - FMR Help.

Note: This section lists the agency contact person, address and telephone number of the Federal Regional or Local Office(s) to be contacted for detailed information regarding a program such as: (1) current availability of funds and the likelihood of receiving assistance within a given period; (2) pre-application and application forms required; (3) whether a pre-application conference is recommended; (4) assistance available in preparation of applications; (5) whether funding decisions are made at the headquarters, regional or local level; (6) application renewal procedures (including continuations and supplementals) or appeal procedures for rejected applications; and (7) recently published program guidelines and material. However, for most federal programs, this section will instruct the reader to consult the so-called Appendix IV of the Catalog due to the large volume of Regional and Local Office Contacts for most agencies. This information is provided in Additional Contact Information (see below).

Headquarters Office

Mark Johnston, Deputy Director, Office of Special Needs Assistance Programs, Room 7262. Telephone: (202) 708-4300, e-mail Mark_Johnston@hud.gov.

Note: This section lists names and addresses of the office at the headquarters level with direct operational responsibility for managing a program. A telephone number is provided in cases where a Regional or Local Office is not normally able to answer detailed inquiries concerning a program. Also listed are the name(s) and telephone number(s) of the information contact person(s) who can provide additional program information to applicants.

Additional Contact Information (Appendix IV)

Due to the large volume of regional and local office contacts for most agencies, full contact information is also provided separately here in a PDF format: