How to Successfully Fulfill HUD’s ESG-CV
Quarterly Reporting Requirements
William Snow, HUD Office of Special Needs Assistance Programs
Meradith Alspaugh, The Partnership Center, Ltd.
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Session Logistics
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Learning Objectives
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Identify the roles of ESG recipients, direct service providers, and HMIS Leads in the
ESG-CV reporting process.
Manage ESG-CV HMIS project setup.
Complete ESG-CV HMIS bundling requirements for successful submission.
Understand comparable database requirements for victim service providers.
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Status of Reporting
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362 Total ESG Recipients
144 Reports Submitted
218 Reports not yet submitted
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Important Reminders
Recipient
CONTRACTS FUNDING TO PROVIDERS
ENTERS DATA IN SAGE FOR SAGE
Direct Service Provider
(Subrecipient or Sub-subrecipient)
ENTERS DATA IN HMIS OR COMPARABLE DATABASE
HMIS Lead Staff OR Victim Service Provider
GENERATES CSV REPORT FROM THE HMIS OR
COMPARABLE DATABASE AND UPLOADS TO SAGE
Recipient
RECEIVES CSV REPORTS IN SAGE, REVIEWS THE INFORMATION
& SUBMITS THE ESG-CV REPORT TO HUD
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Reporting Requirements
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What happens after submission
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Field office review
– If the field office identifies any issues, they will work with the recipient to resolve
• The recipient may come to the HMIS Leads if there is an issue with the
client-level data
Sage opens next quarter’s reporting.
– ESG recipients may begin updating information in Sage for the next quarter’s
reporting after each submission is complete.
– HMIS Leads will not be able to upload data until after the quarter ends.
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Reporting Periods
ESG-CV Report Submissions
Due Date
Initial -- Start to September 30, 2020
October 30, 2020
Q1 -- October 1, 2020 to December 31, 2020
January 30, 2021
Q2 -- January 1, 2021 to March 31, 2021
April 30, 2021
Q3 -- April 1, 2021 to June 30, 2021
July 30, 2021
Q4 -- July 1, 2021 to September 30, 2021
October 30, 2021
Q5 -- October 1, 2021 to December 31, 2021
January 30, 2022
Q6 -- January 1, 2022 to March 31, 2022
April 30, 2022
Q7 -- April 1, 2022 to June 30, 2022
July 30, 2022
Q8 -- July 1, 2022 to September 30, 2022
October 30, 2022
Additional submissions as needed until the grant is closed out.
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Submission Date Ranges
Initial submission = Report start date to September 30 for all projects. After the initial report – there is a
quarterly and cumulative report.
Quarterly
CSV for each component funded, run from
the beginning of the reporting quarter to
the end of the reporting quarter.
Cumulative
CSV for each component funded, run
from the project start date to the end of
the reporting quarter.
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Reporting - Commonly Asked Questions
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Who has to submit a report?
– The ESG-recipient is responsible for submitting the report in Sage once all fields
are complete and bundles are uploaded (as required).
What if I can’t get all my data in time for this report?
– The ESG recipient is responsible for ensuring timely submission of the report. If
they are unable to submit by the deadline, they must work with the field office.
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ESG-CV Bundles
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What is a bundle?
– A bundle is a way to aggregate information from multiple projects in a single report. In this case, a
bundle will be one or more projects of the same component, identified for each HMIS/VSP contact to be
compiled into one ESG-CAPER report in a CSV format.
– After the initial report period (thru 9/30/20) HMIS Leads will be required to upload both the quarterly
AND cumulative bundles for each submission.
Why bundle?
– To de-duplicate, to the extent practical, at the local level.
How do I bundle?
– Select all projects funded by the same ESG-CV component (i.e. all HP, RRH, or ES) to be included in the
CAPER report generated for the specific reporting period.
– ESG recipient sets start dates in Sage – HMIS Leads generate bundles based on dates provided by Sage.
– TIP: If there is a single project in a “bundle” – simply generate the CAPER report on that single project!
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HMIS Lead Bundle Review
HMIS Leads and VSPs have 3 days to review the bundle request and identify any issue
to the Recipient.
Locks at Midnight
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ESG-CV Bundles
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HMIS Leads DO NOT need
access to Sage to upload
bundles.
HMIS Leads upload bundles
into the Sage Report Portal.
– HMIS Leads must
provide bundles exactly
as described in Sage –
date range, project
type, etc.
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Sage Report Portal
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Sage identifies the recipient
name, report period, and
provides a contact at the
recipient if there are
questions.
Bundles may not be uploaded
until links become active to
allow for review time.
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Bundles - Commonly Asked Questions
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How do I delete a bundle uploaded incorrectly?
– The recipient is responsible for requesting that a bundle be deleted from a
submission. They should submit an AAQ to make the request.
What if my 3-day window doesn’t open until after report due date?
– The recipient must submit an AAQ to unlock the reporting portal link.
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Project Setup – HP and RRH
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NEW ESG-CV-funded HP & RRH projects must be setup in HMIS
– If multiple organizations are operating the same HP or RRH projects, it is
preferred that a single project is created in HMIS that both organizations have
access to record data.
– Services Only projects should not be set up for ESG-CV (or normal ESG) funded
projects.
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Project Setup – Ongoing Emergency Shelter
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Funding for ongoing shelter projects DOES NOT have to be set up as a new ES in
HMIS
– Funding from multiple ESG Jurisdictions can be combined in ongoing ES projects
– Shelter ESG-CV bundle will be provided for each recipient, for all clients served
in shelter
– HUD recognizes this will result in the same client being reported by multiple
jurisdictions – that is okay.
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Project Setup – Temporary Emergency Shelter
For purposes of distinguishing between emergency shelter and temporary emergency shelter for HMIS
project setup, a temporary emergency shelter meets the following criteria:
1. Structure or portion of a structure is used to provide shelter to individuals and families displaced
from their normal place of residence or sheltered/unsheltered locations due to a natural disaster or
public health emergency
2. Local public health official determined that temporary emergency shelter is necessary for the
community’s coronavirus response; and
3. Structure or portion of a structure is in use for the period of time needed for coronavirus response
or until January 31, 2022, whichever is earlier.
A facility that meets the definition above does not have to conduct an environmental review or
habitability analysis but must still comply with nondiscrimination and applicable accessibility
requirements.
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TES – Commonly Asked Questions
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If we used hotel/motel vouchers for our shelter clients – is that Temporary Emergency
Shelter?
– Maybe. Generally, if a structure can meet habitability standards and
environmental review requirements…then it can be considered an emergency
shelter for purposes of using ESG or ESG-CV funding. If unable to meet ESG
habitability requirements, a structure or portion of a structure may be eligible
for ESG or ESG-CV funding if the criteria listed below are met.
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Comparable Databases
• Victim Service Providers (VSP) prohibited from using HMIS are required to
record and report on participant data from a comparable database.
• A comparable database is a relational database that meets all HMIS Data
Standards and the minimum standards of HMIS privacy and security
requirements, including HUD’s most recent reporting standards and comma
separated value (CSV) format specifications.
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Comparable Databases – Commonly Asked
Questions
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How do we know if an organization is required to use a comparable database?
– Comparable Database decision tree
What if the VSP did not record data in a comparable database?
– The ESG recipient must contact the AAQ.
Can ESG-CV funds be used to purchase or license a comparable database?
– Yes!
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Resources
•Don’t be afraid to STOP and Ask A Question but keep in mind – ESG
recipients are required to ask for bundle changes, amendments, etc.
To submit a question to the HMIS AAQ portal:
Select “Sage” in the “My question is related to” drop down list
on Step 2 of the question submission process.
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Questions?
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