HOUSING AUTHORITY of the County of Salt Lake. Continuum of Care Administrative Plan

Transcription

1 HOUSING AUTHORITY of the County of Salt Lake Continuum of Care Administrative Plan November

2 Table of Contents I. GENERAL INFORMATION 1. Purpose of this Manual 2. Continuum of Care Summary a. Overview b. Program Goals and Objectives 3. Administrative Structure a. Overview b. Continuum of Care Components II. APPLYING FOR ADMISSION 4. Eligibility Criteria a. Homelessness b. Chronic Homelessness c. Disability d. Income e. Eligible Households f. Denial of Assistance g. Record Keeping 5. Outreach a. Outreach Policy b. Outreach Procedure 6. Referral 7. Waiting List a. Waiting List Opening b. Waiting List Order c. Waiting List Maintenance 8. Application, Screening, and Eligibility Determination Process a. Application Packet b. Eligibility Determination c. Orientation/Coupon Issuance Meeting d. Fair Housing III. SECURING A HOUSING UNIT 9. Occupancy Standards 10. Housing Search/Placement For TRA Programs a. Housing Certificate b. Housing Search Process c. Request for Lease Approval For SRA/PRA/SRO Programs d. Unit Selection Policy 11. Housing Unit Inspection 12. Allowable Rents 13. Rent Calculation 14. Hardship Waiver 15. Leasing Process 16. Security Deposits 2

3 IV. ONGOING PROGRAM PARTICIPATION 17. Participant Obligations 18. Support Services a. Service Participation Requirements b. Services Provided c. Responsibilities of Service Provider Agencies d. Service Match 19. Annual Recertification s a. Tracking Recertification Dates b. Documents Required from Participants and Case Manager c. Inspection and Rent Adjustment 20. Interim Changes a. Interim Changes b. Changes in Household Composition 21. Transfers a. Transfer Policy b. Transfer Procedures c. Transferring Between Grants 22. Vacancies V. ENDING PROGRAM PARTICIPATION 23. Termination of Housing Assistance/Eviction a. Termination by Participant b. Termination by CoC Program c. Termination of Tenancy by Landlord 24. Participant Appeals/Grievance Procedures a. Informal Grievance Process b. Informal Hearing c. Formal Hearing VI. ADMINISTRATION 25. Data Management a. Participant Files b. HMIS c. Service Match Documentation d. Participant File Quality Control 26. Reporting 27. Financial Management a. Roles and Responsibilities b. Rental Assistance Payments c. Administrative Expenses d. HUD Draws e. Financial Reports 28. Grant Administration a. Tracking Grant Income and Expenditures b. Analyzing and Responding to Grant Utilization Data c. Grant Extensions and Renewals d. Grant Amendments 3

4 I. GENERAL INFORMATION 1. Purpose of This Manual The purpose of this manual is to describe the policies and procedures of the Housing Authority of the County of Salt Lake (HACSL) for operating the Continuum of Care (CoC) program. The aim is to provide standard concepts, definitions and procedures to enable staff to understand and effectively administer the program. This manual is designed to be used as a tool to train new staff and also as a reference and resource for existing staff. It is also a public document and will be made available upon request to partner agencies, funders, participants, and others who wish to read the policies and procedures relating to the program. To the extent an issue is not otherwise explained in this manual, HACSL will follow the appropriate provisions of the HEARTH Act and the policies and procedures contained in HACSL s Section 8 Administrative Plan. This manual will be updated on a regular basis to reflect both changes in HACSL s policies and procedures as well as new HUD regulations, notices and other guidance. 2. CoC Program Summary A. Overview Continuum of Care (CoC) is a U.S. Department of Housing and Urban Development (HUD) program funded through the McKinney-Vento Act and administered by the Housing Authority of the County of Salt Lake. The Funding is allocated through the Salt Lake Continuum of Care and distributed to the various member agencies in the valley. The CoC Program assists homeless people with disabilities to gain entry to housing and to achieve residential, economic, and emotional stability. This goal is accomplished by providing safe, secure permanent housing and a broad range of supportive services. Program participants pay 30% of household income or a $50.00 minimum rent. The CoC subsidy covers the balance of the rent payable to the landlord. HACSL currently has nine CoC grants: CoC Renewal 88-unit tenant-based rental assistance (TRA) CoC New Chronic 26-unit tenant-based rental assistance (TRA) CoC Grace Mary Manor 30-unit project-based rental assistance (PRA) CoC Kelly Benson 9 -unit project-based rental assistance (PRA) CoC Sponsor Based with TRH 5-unit sponsor-based rental assistance (SRA) CoC Bud Bailey Youth 10-unit project-based rental assistance (PRA) CoC Bud Bailey Families 6-unit project-based rental assistance (PRA) CoC Leasing 15-unit project based leasing (PRA) COC PSH TRA Chronic unit tenant-based rental assistance (TRA) 4

5 B. Program Goals and Objectives The CoC program is primarily designed for people who have lived in places not ordinarily meant for human habitation or in emergency shelters. The program s goals and specific outcome objectives are designed to assist these participants in achieving: Increased Housing Stability 90% Average Occupancy Rate 85% Length of stay 7 months or longer on the program 10% or less exit to shelter, streets or unknown Increased Income/Skills 25% Employment at Program exit. 85% Income Amounts Maintained or Increased at Program Exit Greater Self Sufficiency 30% Health Insurance at Program Exit (Includes Medicaid, SAGA, Veterans Health Care, Private Insurance, etc) 50% Food Stamps at Program exit 75% Non-Cash Financial Resources Additional program goals include: HUD Compliance Drawdown of Funds within 30 days No findings addressed in Corrective Action Plan (CAP) submitted to HUD Meet Universal Data Element Requirements 3. Administrative Structure A. Overview HACSL is a tax-exempt, non-profit, municipal corporation, governed by a Board of Commissioners nominated by the Salt Lake County Mayor and confirmed by the County Commission. In accordance with 24 CFR 582(300)(a), HACSL has a former homeless resident of a HACSL property on the Board of Commissioners that contributes to decisions and policies. The Board of Commissioners is also assisted by the Resident Advisory Board that makes recommendations based on the position of the participants. All policies and procedures developed for the Continuum of Care Programs must be reviewed and approved by the Board of Commissioners. B. Continuum of Care Components 5

6 Continuum of Care has four major components or types of assistance: Tenant-based Rental Assistance (TRA), Project-based Rental Assistance (PRA), Sponsor-based Rental Assistance (SRA), and SRO Based Assistance (SRO). HACSL administers 3 of the 4 components: TRA, PRA, and SRA. Tenant-Based Program (TRA): Under the TRA component, an applicant (HACSL) requests funds to provide rental assistance on behalf of program participants who choose their own housing units. If a participant decides to move, he or she may take their rental assistance to the new housing unit. The Housing Authority of the County of Salt Lake (HACSL) is the grantee for the TRA CoC funds and is responsible for the overall management of the CoC Program. Specifically, HACSL is responsible for: (1) developing and implementing CoC policies and procedures in accordance with HUD s regulations and guidance; (2) managing all aspects of the participants housing assistance, including conducting eligibility determinations, annual recertification s, inspections; calculating tenant rent and HAP payments; and paying landlords; (3) managing CoC grant funds, (4) maintaining relevant data on program participants and compiling HUD s Annual Progress Report (APR) for each grant; and (5) coordinating with service provider agencies that provide services to CoC participants. The HACSL partners with a network of service provider agencies. These agencies are responsible for: (1) referring potential participants to the program; and (2) providing ongoing supportive services to participants who are accepted into the program. Sponsor-Based Program (SRA) The SRA component of HUD s CoC program provides grants for rental assistance through contracts between the grant recipient and sponsor organizations. A sponsor may be a private, nonprofit organization or a community mental health agency established as a public nonprofit organization. Participants reside in housing that is owned or leased by the sponsor. There are two main entities involved with the administration of the HACSL CoC/SRA Program. This entity and its primary responsibilities are summarized below. Housing Authority of the County of Salt Lake (HACSL). HACSL is the grant recipient for the CoC/SRA grant and is responsible for overall grant management. These responsibilities include: (1) developing and implementing CoC policies and procedures in accordance with HUD s regulations and guidance; (2) managing CoC grant funds; (3) compiling the HUD Annual Progress Report (APR) for the grant; and (4) coordinating with the sponsor and lead service provider to ensure that all HUD regulations and requirements relating to the grants are being met. The Road Home (TRH) is the sponsor for this grant. TRH owns and leases five units of scattered site supportive housing throughout Salt Lake County. As the sponsor for the grant, TRH is responsible for ensuring that there are at least five units available for CoC/SRA Program clients. TRH operates the largest homeless shelter in Utah and has access to the population served by this grant for referrals. TRH is also the lead service provider for CoC SRA clients. HACSL has a Memorandum of Understanding with TRH to provide case 6

7 management to eligible clients residing in properties owned by TRH. TRH is responsible for providing services to CoC SRA clients, including outreach, access to substance abuse treatment, mental health assessment, treatment and other supportive services. Services will provide an in-kind match to rental assistance as required by HUD. TRH is also responsible for documenting all services received by participants and submitting it to HACSL. Project-Based Programs (PRA) Under the PRA component, an applicant (HACSL) may request grant funds to provide rental assistance through a contract with a building owner(s). An applicant must enter into a contract with the building owner(s) for the full five- or ten-year period of assistance. The building owner must agree to accept eligible CoC participants for this time period. Participants must live in an assisted unit in a particular property. HACSL is also the grantee for CoC/PRA funds and is responsible for the overall management of the CoC Program. Specifically, HACSL is responsible for: 1) Contracting with a building owner who agrees to accept eligible CoC participants for a particular length of time: (2) developing and implementing CoC policies and procedures in accordance with HUD s regulations and guidance; (3) managing all aspects of the participants housing assistance, including conducting eligibility determinations, annual recertification s, inspections; calculating tenant rent and HAP payments; and paying landlords; (4) managing CoC grant funds, (5) maintaining relevant data on program participants and compiling HUD s Annual Progress Report (APR) for each grant; and (6) coordinating with service provider agencies that provide services to CoC participants. HACSL has developed 3 Supportive Housing Apartment complexes that house participants of the Continuum of Care program as well as other subsidized programs. Each complex has contracted a certain number units for Continuum of Care as follows: Grace Mary Manor Apartments (30 units), Kelly Benson Apartments (9 units) and Bud Bailey Apartments (16 units). Each of these locations also has on site case management that is responsible for service match requirement. II. APPLYING FOR ADMISSION 4. Eligibility Criteria The Housing Authority of the County of Salt Lake is responsible for ensuring that every individual and family admitted to the Continuum of Care program meets all program eligibility requirements. To be eligible for the HACSL CoC Programs, applicants must be homeless and disabled as defined below and meet the following eligibility criteria: A. Homelessness [24 CFR 91.5] The applicant must meet the HUD definition of homelessness. There are four categories under which an individual or family may be defined as homeless. Two of these categories are allowed under the Permanent Supportive Housing component and are as follows: 7

8 (1) Literally Homeless: An individual or family who lacks a fixed, regular, and adequate nighttime residence, meaning: (i) An individual or family with a primary nighttime residence that is a public or private place not designed for or ordinarily used as a regular sleeping accommodation for human beings, including a car, park, abandoned building, bus or train station, airport, or camping ground; (ii) An individual or family living in a supervised publicly or privately operated shelter designated to provide temporary living arrangements (including congregate shelters, transitional housing, and hotels and motels paid for by charitable organizations or by federal, state, or local government programs for low-income individuals); or (iii) An individual who is exiting an institution where he or she resided for 90 days or less and who resided in an emergency shelter or place not meant for human habitation immediately before entering that institution; (2) Fleeing/Attempting to flee DV: Any individual or family who: (i) Is fleeing, or is attempting to flee, domestic violence, dating violence, sexual assault, stalking, or other dangerous or life-threatening conditions that relate to violence against the individual or a family member, including a child, that has either taken place within the individual's or family's primary nighttime residence or has made the individual or family afraid to return to their primary nighttime residence; (ii) Has no other residence; and (iii) Lacks the resources or support networks, e.g., family, friends, faith-based or other social networks, to obtain other permanent housing. B. Chronically Homelessness [24 CFR 91.5] In addition to the above mentioned criteria several of HACSL s CoC grants require that applicants be chronically homeless defined as: (1) An individual who: (i) Is homeless and lives in a place not meant for human habitation, a safe haven, or in an emergency shelter; and (ii) Has been homeless and living or residing in a place not meant for human habitation, a safe haven, or in an emergency shelter continuously for at least one year or on at least four separate occasions in the last 3 years, where each homeless occasion was at least 15 days; and 8

9 (iii) Can be diagnosed with one or more of the following conditions: substance use disorder, serious mental illness, developmental disability (as defined in section 102 of the Developmental Disabilities Assistance Bill of Rights Act of 2000 (42 U.S.C )), post-traumatic stress disorder, cognitive impairments resulting from brain injury, or chronic physical illness or disability; (2) An individual who has been residing in an institutional care facility, including a jail, substance abuse or mental health treatment facility, hospital, or other similar facility, for that facility; or (3) A family with an adult head of household (or if there is no adult in the family, a minor head of household) who meets all of the criteria in paragraph (1) of this definition, including a family whose composition has fluctuated while the head of household has been homeless. Those transitioning from HPRP (Rapid Re-housing Assistance) can also qualify as homeless and chronically homeless as stated below: HPRP assistance is temporary. Persons who were homeless before receiving HPRP assistance (Rapid Re-housing assistance) do not lose their homeless status and remain eligible for assistance under other CoC-funded programs. HUD recently established a new policy for the status of chronically homeless persons that receive HPRP assistance, similar to the policy for homeless status. The new policy is that if someone was chronically homeless before receiving HPRP assistance, they retain their chronically homeless status, which allows them to exit HPRP to Continuum of Care Samaritan Permanent Housing projects. C. Disability [The McKinney-Vento Homeless Assistance Act As amended by HEARTH Act of 2009]: An applicant must have one or more of the following three targeted disabilities: a. Serious Mental Illness b. Chronic alcohol and/or drug abuse; c. AIDS or related diseases Additionally, the applicant must be disabled according to the following HUD definition [The McKinney-Vento Homeless Assistance Act As amended by HEARTH Act of 2009]: (i) (ii) (iii) (I) is expected to be long-continuing or of indefinite duration; (II) substantially impedes the individual's ability to live independently; (III) could be improved by the provision of more suitable housing conditions; and (IV) is a physical, mental, or emotional impairment, including an impairment caused by alcohol or drug abuse, post-traumatic stress disorder, or brain injury; is a developmental disability, as defined in section 102 of the Developmental Disabilities Assistance and Bill of Rights Act of 2000 (42 U.S.C ); or is the disease of acquired immunodeficiency syndrome or any condition arising from the etiologic agency for acquired immunodeficiency syndrome. 9

10 In the case of a homeless household with more than one member, at least one adult member of the households must meet the disability criteria. In accordance with HUD Regulation 24 CFR (a) HACSL will not exclude other eligible disabled persons (i.e. those who do not have mental illness, substance abuse or HIV/AIDS). However, individuals with other disabilities will not be considered for admission to the program when there is sufficient demand by the three identified target populations and the other disabled homeless persons would not benefit from the services provided. D. Income [24 CFR 582.5] To be eligible for assistance, persons must be Very Low Income. Very Low-Income means an annual income not in excess of 50 percent of the median income for the area, as determined by HUD. E. Eligible Households [24 CFR 5.105, 5.403] The following households are eligible to participate in the HACSL CoC Program: 1) Family Households: Family includes, but is not limited to, the following, regardless of actual or perceived sexual orientation, gender identity, or marital status: (1) A single person, who may be an elderly person, displaced person, disabled person, nearelderly person, or any other single person; or (2) A group of persons residing together, and such group includes, but is not limited to: (i) A family with or without children (a child who is temporarily away from the home because of placement in foster care is considered a member of the family); (ii) An elderly family; (iii) A near-elderly family; (iv) A disabled family; (v) A displaced family; and (vi) The remaining member of a tenant family. 2) Households with a live in Aid [24 CFR 5.403]: Live-in aide means a person who resides with one or more elderly persons, or near-elderly persons, or persons with disabilities, and who: (1) Is determined to be essential to the care and well-being of the persons; (2) Is not obligated for the support of the persons; and (3) Would not be living in the unit except to provide the necessary supportive services. Verification must be provided by a doctor certifying that the participant requires an attendant to live with them in order to safely manage their medical and healthcare needs. Applicants who have Conventional Housing or Section 8 vouchers may not receive Continuum of Care housing assistance. Applicants who have previously been terminated by the Continuum of Care Program may reapply for the program. An applicant s past history with the program will be taken into consideration in making an eligibility determination, but will not be the sole determining factor for acceptance. 10

11 Relationship with Service Provider. HACSL s Continuum of Care programs require that applicants already be a client of a social service agency that has committed to providing ongoing case management to the applicant once they are housed. Current participating agencies are: The Road Home (TRH) Volunteers of America (VOA) Valley Mental Health (VMH) Wasatch Homeless Health Care First Step House(FSH) Family Promise Salt Lake (FPSL) Transfer of Subsidy In the case where a Head of Household (HOH) becomes deceased; the housing subsidy coupon may be transferred to another person in the household as long as that person meets the eligibility requirements for the housing program. If that individual does not meet the eligibility requirements, housing subsidy will be provided until the end of the lease (or until termination results for non-compliance to the program). (Homelessness 101 Managing a HUD Continuum of Care Homelessness Assistance Grant) In the case the Head of Household is incarcerated for less than 90 days, the Head of Household may remain on the program. If the Head of Household is incarcerated for more than 90 days and the household consists of no other members, the housing subsidy will be terminated. If the Head of Household is incarcerated for more than 90 days and the household consist of other members, HACSL will allow for housing subsidy for the remaining family members until the lease ends. F. Denial of Assistance A family that does not meet the eligibility criteria discussed in this section must be denied assistance. In addition, HUD requires the Housing Authority of the County of Salt Lake to deny assistance based on certain types of current or past behaviors of family members. Behaviors that may constitute a denial are and not limited to: Any household member has ever been convicted of drug-related criminal activity for the production or manufacturing of methamphetamine. Any household member is subject to a lifetime registration requirement under a state sex offender registration program. In addition, HUD permits the Housing Authority of the County of Salt Lake to deny assistance based on certain types of current or past behaviors of family members. Behaviors that may constitute a denial are and not limited to: Criminal activity that may threaten the health, safety, or right to peaceful enjoyment of the premises by other residents or persons residing in the immediate vicinity; or Criminal activity that may threaten the health or safety of property owners and management staff, and persons performing contract administration functions or other responsibilities on 11

12 behalf of the PHA (including a PHA employee or a PHA contractor, subcontractor, or agent). Any past history of repeated offences and/or convictions in relation to illegal drug activity within the past 6 months./ o The PHA will also consider evidence from treatment providers or communitybased organizations providing services to household members. Due to this policy the PHA will send out an intent to deny letter to the applicant and will give them 15 days to respond with any documentation that is listed above. If documentation shows that the participant is cooperating with services the denial can be reversed. The written notice of denial must contain a statement that the participant has a right to an Informal Hearing for a review of the decision, in which the participant is given the opportunity to present written or oral objections and may be represented by a third party advocate. To request an Informal Hearing, the participant must do so in writing within ten (10) days of the date of the denial letter. A participant who fails to request an informal hearing waives this right, and the decision to deny them from the program becomes final. G. Record Keeping [CFR ] HACSL must maintain sufficient records to ensure that HUD eligibility requirements are being met. Acceptable evidence of eligibility criteria are as follows: 1. Homeless Status: - Third-party documentation - Intake worker observations - Certification from the person seeking assistance. The priority for obtaining the above mentioned evidence is third-party documentation is first, intake worker observations second, and certification from the person seeking assistance third. Any certification that is accepted on behalf from the person seeking assistance may only be used document 1/3 of the time homeless. Records contained in an HMIS or comparable database used by victim service or legal service providers are acceptable evidence of third-party documentation and intake worker observations. Literally Homeless (1) If the individual or family qualifies as Literally Homeless, acceptable evidence includes a written observation by an outreach worker of the conditions where the individual or family was living, a written referral by another housing or service provider, or a certification by the individual or head of household seeking assistance. (2) If the individual qualifies as homeless and is exiting an institution where he or she resided for 90 days or less, acceptable evidence includes one of the following: 12

13 (i) Discharge paperwork or a written or oral referral from a social worker, case manager, or other appropriate official of the institution, stating the beginning and end dates of the time residing in the institution. All oral statements must be recorded by the intake worker; or (ii) Where the evidence is not obtainable, a written record of the intake worker's due diligence in attempting to obtain the evidence and a certification by the individual seeking assistance that states he or she is exiting or has just exited an institution where he or she resided for 90 days or less. Fleeing/Attempting to Flee DV: (1) Acceptable evidence includes an oral statement by the individual or head of household seeking assistance that they are fleeing that situation, that no subsequent residence has been identified, and that they lack the resources or support networks, e.g., family, friends, faith-based or other social networks, needed to obtain other housing. 2. Disability: (1) Written verification of the disability from a professional licensed by the state to diagnose and treat the disability and his or her certification that the disability is expected to be long-continuing or of indefinite duration and substantially impedes the individual's ability to live independently; (2) Written verification from the Social Security Administration; (3) The receipt of a disability check (e.g., Social Security Disability Insurance check or Veteran Disability Compensation); (4) Intake staff-recorded observation of disability that, no later than 45 days of the application for assistance, is confirmed and accompanied by evidence in paragraph (c)(1), (2), (3), or (4) of this section; or (5) Other documentation approved by HUD. 5. Outreach A. Outreach Policy HACSL will make its best effort to ensure that eligible hard-to-reach homeless persons are served by the CoC Program. Focus should be directed toward eligible persons who have a nighttime residence that is an emergency shelter or a space that is not typically designed as a regular sleeping accommodation for humans (e.g. persons living in cars, streets, and parks) [24 CFR ]. Ongoing outreach and engagement procedures have been established through 13

14 partner agencies for the purpose of engaging with eligible persons so that they may be brought into the program. Per 24 CFR (c), if HACSL procedures that make known the availability of the program has a difficult time reaching any persons of a particular race, color, religion, sex, age, national origin, familial status, or handicap, HACSL will establish additional procedures that will ensure interested persons can obtain information concerning assistance. B. Outreach Procedures HACSL will work with partnering agencies to provide outreach to perspective participants and to those least likely to apply without regard to race, color, national origin, sex, religion, familial status and disability. HACSL staff will make presentations about the CoC Program at relevant venues (e.g. Continuum of Care meetings) and upon request. HACSL Staff will provide regular informational trainings about CoC eligibility criteria and application process to partner agency outreach workers and mobile outreach teams. 6. Referral Service provider agencies that have been recognized as a referring agency and have signed a Service Provider MOU with HACSL may refer potential participants to the CoC Program. Self referrals are not permitted. Current participating agencies include: The Road Home (TRH)/ Salt Lake County Triage Group Volunteers of America (VOA) Valley Mental Health (VMH) Wasatch Homeless Health Care First Step House Family Promise Salt Lake The referring agency must agree to provide supportive services to the potential participant and execute a Service Provider Agreement with each participant for whom they are serving as the case management agency. Referring agencies must be willing and able to meet the HUD cost match and leverage requirements. Referrals are accepted at any time that the CoC waiting list is open. When referrals are being accepted, providers may refer a potential participant to the program by completing and submitting the following documents to HACSL: Online Application Submission Referral Form o Supportive Housing Referral Form 14

15 o Copy of identification for all adults o Copy of Social Security Numbers for all households members o Income Verification (copy of benefit letter, check stubs, employer verification, etc.) o Homeless Verification Form o Disability Verification Form o Case Management commitment letter or Case Manager and Participant Agreement Forms o Criminal Background Check Consent Form o Release of information CoC Program Application o Certification Form o HUD Authorization for Release of Information o HMIS Informed Consent o Interagency Release of Information o Sex Offender Verification o Employment Verification o Income Inquiry or Zero Income o Asset Questionnaire o Declaration of U.S. Citizenship o Program Responsibilities o Termination of Assistance o Screening Policy/Termination Form (Attention Applicants) 7. Waiting List A. Waiting List Opening A Supportive Housing Specialist maintains a separate waiting list for each of the CoC Programs. An applicant may be placed on one or more waitlists depending on eligibility criteria. Due to the relatively slow turn-over of CoC subsidies, the waiting lists can become fairly large. B. Waiting List Order HACSL staff will screen all applications to make a preliminary determination of eligibility. Waiting list order is determined on a first come, first serve basis. However, for all programs HACSL may determine priority for those whose need is greater.the Kelly Benson and Grace Mary Manor programs are designed to serve those with the most severe and persistent mental, physical, and substance abuse-related disorders who are in the highest need. HACSL has discretion to make these individuals a priority. Through consultation with the referring agencies and their case managers, considerations such as length of homelessness, vulnerability, and other factors are taken into account to make a priority determination. When an applicant comes to the top of the waiting list, his or her case manager will be contacted and sent an application packet. It is the responsibility of the referring agency to contact the client, verify that the client is still available for housing and ensure that the packet is completed and turned in. 15

16 All CoC applicants who come on the CoC program will also be placed on the Section 8 and Public Housing waiting lists as availability permits. This allows additional spots to open up for CoC applicants when clients transition to Section 8 and Public Housing programs. When a Continuum of Care participant is offered a Section 8 or Public Housing Voucher, a determination will be made as to whether or not the client is prepared to move to a voucher without case management. This decision will be made through a collaborative process involving the case manager and HACSL staff but will ultimately be decided by the client. C. Waiting List Maintenance An annual wait list update will take place wherein HACSL staff will attempt to contact applicants and case managers to determine their continued interest in and eligibility for the CoC Program. Applicants will be removed from the list if: HACSL fails to contact the applicant after three attempts to reach the applicant directly or through a contact organization (e.g. emergency shelter provider, case manager, etc.). The applicant or case manager indicates he or she is no longer interested in or available for the program. The applicant indicates that he or she now has permanent housing or is otherwise ineligible for the program. Because of the nature of homelessness and lack of permanent address, HACSL may choose to suspend an applicant s removal from the wait list. Based on recommendation of the referring agency, a person may maintain a place on the wait list if it is expected that they may be contacted in the future. In such a case, vouchers will be awarded to the next eligible applicant. HACSL staff will send letters or s to partners with every client correspondence. Documentation of these correspondences will be placed in the file or tracked in system notes. 8. Application Process and Verification of Eligibility A. Application Packet Once an applicant comes to the top of the waiting list, the HACSL s Housing or Eligibility Specialist will contact the applicant and his or her case manager to gather the information needed to make a final determination of eligibility. The Eligibility Specialist will mail the applicant and case manager a packet containing the following documents: o Certification Form o HUD Authorization for Release of Information o HMIS Informed Consent o Interagency Release of Information o Sex Offender Verification o Employment Verification o Income Inquiry or Zero Income o Asset Questionnaire o Declaration of U.S. Citizenship o Program Responsibilities o Termination of Assistance o Screening Policy/Termination Form (Attention Applicants) 16

17 The participant and case manager will have 14 days to complete and return all the documents along with: Third-Party Verification of Income: For government assistance: a printout or letter from government assistance program (e.g. GA, SSI, unemployment, etc.) less than 60 days old For earned income: two pay stubs or a letter from the employer specifying hourly wage and monthly earnings For zero income: a signed affidavit of zero income. If there are additional adults in the household (over age 18), they must provide: CoC Application Supplement for Adults Criminal Background Check Consent Form Release of Information Verification of Income Picture ID Social Security Card Copy of birth certificate If there are children in the household (under 18), they must provide: CoC Application Supplement for Children Copy of Birth Certificate or Medicaid card Social Security Card B. Eligibility Determination Additional eligibility determination information can be found in section II including definitions of homelessness and disability. Once all the documents have been returned, the Eligibility Specialist will review the packet for completeness and make a determination of eligibility based on the following factors: Signed Verification of Homelessness/Disability Form plus supporting information: For persons living on the streets: signed statement from outreach worker, other organization, or participant attesting to applicant s homeless status For persons living in emergency shelters: signed statement from shelter provider attesting that applicant is residing there For persons exiting transitional housing: signed statement from transitional housing provider attesting that applicant is residing there and was homeless upon entry For persons leaving an institution following short-term stay (90 days or less): signed statement from institution verifying residence of less than 90 days and attesting that applicant was homeless at time of entry. For chronically homeless persons: one of the above documents to verify current status and duration of homelessness, plus, if applicable, a signed statement from the applicant attesting to past homeless episodes. 17

18 Verification of Disability Form signed by a qualified health care professional trained to make such a determination. Case managers are not qualified to sign the verification unless they are a qualified health care professional. Verification of income eligibility. Applicant s annual income as documented by government assistance program printouts and/or pay stubs must not exceed 50% of AMI. Signed Service Provider Agreement between participant and eligible service provider or Case Management and Participant agreements. Based on the review of the application packet, the Eligibility Specialist will make one of the following determinations: 1. File is complete and applicant is eligible. The Eligibility Specialist will schedule an application meeting (see below). 2. File is incomplete. If eligibility cannot be determined or there is missing information, the Eligibility Specialist will notify the applicant and case manager that additional information is needed. If the requested information is not supplied within 14 days, the applicant will be determined ineligible. 3. Applicant is ineligible. The application will be denied and the reasons given in writing to the applicant and case manager. The applicant may appeal the denial of eligibility by the process described in Section 23. C. Orientation/Coupon Issuance Meeting Once an applicant has been determined eligible for the CoC Program, a Eligibility Specialist will schedule an orientation meeting and will send a confirmation letter to the applicant s case management agency informing them of the appointment date and time. The Housing or Eligibility Specialist will also verbally notify the applicant s case management agency regarding the appointment date and time. At the application meeting, a Housing or Eligibility Specialist will: Review the CoC policies and program requirements, including participant obligations Review the CoC program goals Explain the process for securing a housing unit Review and have the applicant sign: CoC Housing Coupon/Voucher Hand out and review the Tenant/Landlord Packet Landlord Packet Payment Standard/Fair Market Rate Sheet Participating Landlord List D. Fair Housing and Reasonable Accommodation [24 CFR ] Nondiscrimination and equal opportunity requirements. 18

19 (a) General. Recipients may establish a preference as part of their admissions procedures for one or more of the statutorily targeted populations ( i.e., seriously mentally ill, alcohol or substance abusers, or persons with AIDS and related diseases). However, other eligible disabled homeless persons must be considered for housing designed for the target population unless the recipient can demonstrate that there is sufficient demand by the target population for the units, and other eligible disabled homeless persons would not benefit from the primary supportive services provided. (b) Compliance with requirements. (1) In addition to the nondiscrimination and equal opportunity requirements set forth in 24 CFR part 5, recipients serving a designated population of homeless persons must, within the designated population, comply with the prohibitions against discrimination against handicapped individuals under section 503 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing regulations at 41 CFR chapter (2) The nondiscrimination and equal opportunity requirements set forth at part 5 of this title are modified as follows: (i) The Indian Civil Rights Act (25 U.S.C et seq. ) applies to tribes when they exercise their powers of self-government, and to IHAs when established by the exercise of such powers. When an IHA is established under State law, the applicability of the Indian Civil Rights Act will be determined on a case-by-case basis. Projects subject to the Indian Civil Rights Act must be developed and operated in compliance with its provisions and all implementing HUD requirements, instead of title VI and the Fair Housing Act and their implementing regulations. (ii) [Reserved] (c) Affirmative outreach. (1) If the procedures that the recipient intends to use to make known the availability of the program are unlikely to reach persons of any particular race, color, religion, sex, age, national origin, familial status, or handicap who may qualify for assistance, the recipient must establish additional procedures that will ensure that interested persons can obtain information concerning the assistance. (2) The recipient must adopt procedures to make available information on the existence and locations of facilities and services that are accessible to persons with a handicap and maintain evidence of implementation of the procedures. (d) The accessibility requirements, reasonable modification, and accommodation requirements of the Fair Housing Act and of section 504 of the Rehabilitation Act of 1973, as amended. A. Fair Housing Policy It is HACSL policy to comply fully with all Federal, State and local nondiscrimination laws and with the rules and regulations governing Fair Housing and Equal Opportunity in housing and employment. HACSL shall not deny any family or individual the opportunity to apply for or receive assistance under the Continuum of Care program on the basis of race, color, sex, religion, creed, national or 19

20 ethnic origin, age, familial or marital status, handicap or disability. B. Reasonable Accommodation Policy It is the HACSL s policy to provide reasonable accommodation for CoC participants who are individuals with a disability, where reasonable accommodation is necessary to provide participants with an equal opportunity to use and enjoy the Departments programs and facilities. This policy is in furtherance of the Department s goal of providing rental assistance to low income persons regardless of disability and said policy is in compliance with applicable federal, state, and local law. A reasonable accommodation is a modification or change HACSL can make to its procedures and rules which would assist an otherwise eligible person with a disability to benefit from the Department s programs, provided that the change does not pose an undue financial and administrative burden to the Department or result in a fundamental alteration of its program. The availability of reasonable accommodations will be made known by including notices on HACSL forms and letters to all participants. These notices shall explain the process whereby a participant may request an accommodation. All requests will be verified so that the HACSL can properly accommodate the need presented by the disability. HACSL is also committed to assuring that all of its programs, services, and activities are accessible to all persons with disabilities, as well as the facility locations where the programs are housed, and to remove any barriers that would prohibit participation. III. SECURING A HOUSING UNIT 9. Occupancy Standards The PHA must establish subsidy standards that determine the number of bedrooms needed for families of different sizes and compositions. This part presents the policies that will be used to determine the family unit size (also known as the voucher size) a particular family should receive, and the policies that govern making exceptions to those standards. The PHA also must establish policies related to the issuance of the coupon/voucher, to the voucher term, and to any extensions or suspensions of that term. For each family, the HACSL determines the appropriate number of bedrooms under the HACSL subsidy standards and enters the family unit size on the coupon/voucher that is issued to the family. The family unit size does not dictate the size of unit the family must actually lease, nor does it determine who within a household will share a bedroom/sleeping room. The following requirements apply when the Housing Authority of the County of Salt Lake determines family unit size: The subsidy standards must provide for the smallest number of bedrooms needed to house a family without overcrowding. The subsidy standards must be consistent with space requirements under the housing quality standards. 20

21 The subsidy standards must be applied consistently for all, families of like size and composition. A child who is temporarily away from the home because of placement in foster care is considered a member of the family in determining the family unit size. A family that consists of a pregnant woman (with no other persons) must be treated as a two- person family. Any live-in aide must be counted in determining the family unit size; Unless a live-in-aide resides with a family, the family unit size for any family consisting of a single person must be either a zero- or one-bedroom unit, as determined under the subsidy standards. The Housing Authority of the County of Salt Lake will assign one bedroom for each two persons within the household, except in the following circumstances: Persons of the opposite sex (other than spouses, and children under age 5 will be allocated separate bedrooms. Live-in aides will be allocated a separate bedroom. No additional bedrooms will be provided for the live-in aide s family. Single person families will be allocated a zero or one bedroom. Foster children will be included in determining unit size. Two children of the same sex will be allocated one room regardless of age. Current CoC Housing Participants Children of the opposite sex, both under the age of five (5), will share a bedroom. Family will be eligible for a larger bedroom voucher, at the next annual re-certification following older child s fifth birthday. Single pregnant women are eligible for a one bedroom voucher. A single parent expecting an additional child will be eligible for a larger voucher at the next annual re-certification, following the child s second birthday if: - family size exceeds two children per bedroom, or - if there are no additional children under the age of ten that the child can share a room with, regardless of sex A couple expecting a child is eligible for a two bedroom voucher at the next annual re-certification Live in Aid Live-in aide means a person who resides with one or more elderly persons, or near-elderly persons, or persons with disabilities, and who: (1) is determined to be essential to the care and well-being of the persons, (2) is not obligated for the support of the persons, and (3) would not be living in the unit except to provide the necessary supportive services [24 CFR 5.403]. The Housing Authority of the County of Salt Lake must approve a live-in aide if needed as a reasonable accommodation in accordance with 24 CFR 8, to make the program accessible to and usable by the family member with disabilities. A live-in aide is a member of the household, not the family, and the income of the aide is not considered in income calculations [24 CFR 5.609(b)]. Relatives may be approved as live-in aides if they meet all of the criteria defining a live-in aide. However, a relative who serves as a live-in aide is not 21

22 considered a family member and would not be considered a remaining member of a tenant family. 22

23 A family s request for a live-in aide must be made in writing. Written verification will be required from a reliable, knowledgeable professional, such as a doctor, social worker, or case worker, that the live-in aide is essential for the care and well-being of the elderly, near-elderly, or disabled family member. In addition, the family and live-in aide will be required to submit a certification stating that the live-in aide is (1) not obligated for the support of the person(s) needing the care, and (2) would not be living in the unit except to provide the necessary supportive services. The Housing Authority of the County of Salt Lake will not approve a particular person as a livein aide, and may withdraw such approval if [24 CFR (b)]: The person commits fraud, bribery or any other corrupt or criminal act in connection with any federal housing program; The person commits drug-related criminal activity or violent criminal activity; or The person currently owes rent or other amounts to the Housing Authority of the County of Salt Lake or to another PHA in connection with Section 8 or public housing assistance under the 1937 Act. Within 10 business days of receiving a request for a live-in aide, including all required documentation related to the request, the Housing Authority of the County of Salt Lake will notify the family of its decision in writing. 10. Housing Search/Housing Placement TRA Program A. Housing Coupon/Voucher HACSL will issue each participating household a Housing Coupon/Voucher that is valid for 60 days from the date it is issued (usually the date of the Application Meeting). Participants must locate a suitable unit within the 60-day term of the Certificate. If an applicant does not locate a unit within the 60-day term, the applicant may request up to 2 additional 30-day extensions. The second extension must be approved by the Supportive Housing Manager. B. Housing Search Process Participants may search for a unit anywhere in Salt Lake County unless Housing Specialists determine that a participant shall move in a specific structure or specific area in order to facilitate the coordination of supportive services [24CFR (a)]. All applicants receive a copy of a current Landlord List at the Orientation Meeting. This list is merely a compilation of landlords HACSL is aware of that participate in our programs and is not comprehensive. It is the responsibility of the Case Management Agency to assist the participant in locating housing. If an applicant is having difficulty finding a housing unit, the Housing Specialists are available to assess their housing search strategy and make any suggestions or provide assistance with available units. Landlords are legally obligated to screen CoC applicants in the same way as non-coc applicants. 23

24 C. Request for (Tenant)Unit Approval Once an applicant locates a suitable unit, he or she will work with the landlord to complete the Request for Tenant/Unit Approval (RFTA). The RFTA must be turned in to the CoC Program before the applicant s Coupon/Voucher expires. A Housing Specialist will review the RFTA for completeness and accuracy. If the form is not complete, the Housing Specialist will contact the applicant and/or the case manager to obtain the needed information. SRA and PRA Programs D. Unit Selection Policy HACSL and its partnering agencies have units available at various housing sites for certain SRA and PRA Grants. When more than one appropriately-sized unit is available, the participant may choose from among available units. The participant does not, however, have the option of rejecting all available units and returning to the waiting list until another unit becomes available. The participant must choose one of the available units or be terminated from the program. If only one appropriately-sized unit is available at the time the participant is admitted into the CoC program, he or she must take that unit or be terminated from the program. 11. Housing Unit Inspection All housing units are inspected by a HACSL Certified Housing Inspector. The inspection must take place before the applicant moves into the unit and must meet HUD s Housing Quality Standards (HQS) prior to move in [24CFR (a)]. The HACSL Housing Inspector will complete a Housing Inspection Worksheet at the time of the inspection. The Housing Inspection Worksheet is based upon the Housing Quality Standards. At the time of the inspection, the utilities must be turned on so that they can be verified. The utilities do not need to be established under the participant s name until the unit passes inspection. If the Housing Inspector determines that a unit does not meet HQS, the landlord will have the option to resolve the deficiencies within 10 business days. The Housing Specialist will provide the landlord with a written list of items to be repaired or improved. The Housing Specialist will deny the Request for Unit Approval if: the deficiencies are not resolved within 10 business days the landlord chooses not to resolve the deficiencies the participant chooses not to rent the unit If a unit fails the HQS inspection, the participant may continue the housing search for the time remaining in the 60 day search period. 12. Allowable Rents 24

25 In accordance with 24 CFR (b), HUD will only provide assistance for a unit for which the rent is reasonable. HACSL will determine whether a rent is reasonable by comparing the rent being charged for the unit receiving rental assistance to rents being charged for comparable, unassisted units. The comparison also takes into account the location, size, type, quality, amenities, facilities and management and maintenance of each unit, as well as not in excess of rents currently being charged by the same owner for comparable unassisted units. This comparison is documented using the Rent Reasonableness Form. 13. Rent Calculations Upon completion of the inspection and receipt of the completed Land Lord/Tenant packets, the Housing Specialist will determine the tenant s portion of the rent and the utility allowance using the Participant Rent Calculation spreadsheet. Participant rent shall be the highest of: $50 minimum rent 30 percent of monthly adjusted income 10 percent of monthly gross income; or If receiving payments for welfare assistance from a public agency and a part of such payments, adjusted in accordance with actual housing costs, is specifically designated by such agency to meet housing costs, the portion of such payments which is so designated. The income of a HACSL-approved Live-In Aide shall not be included for the purpose of calculating the participant s rent. The Housing Specialist will then complete the Rent Calculation Worksheet, which documents the contract rent for the unit, the tenant s portion and the CoC subsidy. 14. Hardship Waiver [24 CFR 5.630] HACSL must grant an exemption from the minimum rent if a family is unable to pay the minimum rent because of financial hardship. The financial hardship exemption applies only to families required to pay the minimum rent. If a family s TTP is higher than the minimum rent, the family is not eligible for a hardship exemption. If HACSL determines that a hardship exists, the family share is the highest of the remaining components of the family s calculated TTP. The following qualify for a Hardship Waiver 1: When the family has lost eligibility for or is awaiting an eligibility determination for a Federal, State, or local assistance program, including a family that includes a member who is a noncitizen lawfully admitted for permanent residence under the Immigration and Nationality Act who would be entitled to public benefits but for title IV of the Personal Responsibility and Work Opportunity Act of 1996; 2: When the family would be evicted because it is unable to pay the minimum rent; 3: When the income of the family has decreased because of changed circumstances, including loss of employment; 25

26 4: When a death has occurred in the family; and 5: Other circumstances determined by the responsible entity or HUD. A) If a family requests a financial hardship exemption, HACSL must suspend the minimum rent requirement beginning the month following the family's request for a hardship exemption, and continuing until the PHA determines whether there is a qualifying financial hardship and whether it is temporary or long term. (B) HACSL must promptly determine whether a qualifying hardship exists and whether it is temporary or long term. (C) HACSL may not evict the family for nonpayment of minimum rent during the 30-day period beginning the month following the family's request for a hardship exemption. Verifications for hardship include but are not limited to: - A letter from Social Security indicating the client is in the application process - A letter from Social Security indicating that the client has been denied assistance and is in the appeal process. - If none of the above verifications are available: a letter from the client and/or referring or partner agency case manager detailing the hardship 15. Leasing Process Participants must enter into a lease agreement of at least one month and it must be automatically renewable upon expiration, except on prior notice by either party [24CFR (a)]. Occupancy agreements may include a provision requiring the participant to take part in supportive services provided through the program as a condition of continued occupancy [24CFR (b)]. Both the lease and contract must be executed and on file before any check may be issued to the landlord. Once the Lease and HAP contact have been completed and signed by all parties, and the inspection has been completed, the Housing Specialist will add the participant to the HACSL tracking systems Elite and HMIS Client Track. Rental assistance checks or direct deposits will be processed according to HACSL procedures. If the tenant moves into the unit in the middle of the month, the landlord will receive a rent payment beginning the date of occupancy not the beginning of the month. 16. Security Deposits [24 CFR ]. Program Uses CoC Funds for Security Deposits The landlord has the right to require any security deposit. However, HACSL may use CoC funds to cover security deposits not to exceed two month s contract rent. This deposit assistance will be available only for initial move-in. Participants who transfer to a new unit will be required to pay 26

27 the entire security deposit (unless they have not previously received deposit assistance from HACSL or if they are forced to move due to reasons beyond their control). To recieve this assistance, the requested security deposit must be listed in the lease. HACSL will pay the deposit directly to the landlord along with the initial rental assistance payment. IV. ONGOING PROGRAM PARTICIPATION 17. Participant Obligations By signing the CoC Program Agreement, the participant agrees to comply with the following obligations: The participant shall: 1. Supply such certification, release of information, and documentation as HACSL or HUD determine to be necessary, including submissions required for an annual or interim reexamination of Family income and composition. 2. Allow HACSL or referring/partner agency staff to inspect the dwelling unit at renewal and as deemed necessary with reasonable notice. 3. Use the dwelling unit solely for residence by the participant s family, and as the family s principal place of residence; and not assign the Lease or transfer the unit. 4. Keep the unit clean inside and out. 5. Pay the participant s portion of rent on or before the day of the month established in the lease. The participant shall not: 6. Move from the unit within the initial lease term, or without landlord approval. 7. Own or have any interest in the dwelling unit. If the Owner is a cooperative, the participant may be a member. 8. Commit any fraud in connection with the CoC Program. 9. Receive assistance under the CoC Program while occupying, or receiving assistance for occupancy of, any other unit assisted under any Federal Housing assistance program. The participant must: 10. Continue to use case management services as needed. 11. Immediately submit verification for all changes in income or family status within 10 days to the CoC program. 27

28 13. Not allow any additional family members to move into the CoC subsidized unit without prior approval from the case manager and CoC staff. 14. Be responsible for any damage to the unit during the participant s residency. 15. Notify HACSL in writing no less than 30 days before moving from a CoC subsidized unit. 16. Not use the CoC subsidized unit for any illegal drug-related activities. The participant and any members of the participant s family or guests will not engage in drug-related criminal activity or any criminal activity. Drug -related activities include the felonious manufacture, sale, or distribution or the possession with intent to manufacture, sell or distribute a controlled substance. 18. Support Services A. Service Participation Requirements Per 24 CFR , recipients of grants for rental assistance must provide or ensure the provision of supportive services. This includes funding these services itself if these services do not become available for any reason. The supportive services may be newly created or already in operation and they may be provided or funded by federal, state, local, and private programs. Only services provided after the execution of the grant agreement may be counted towards the match. Services Are Not Mandatory As a condition of referring a household for housing assistance, the referring agency must: Provide an identified case manager from a participating service provider agency Participate in case management services by meeting at least once per month with their current clients Work with the client to develop an individualized case plan designed to assist the participant to gain housing stability, increase skills and/or income, and increase self-determination; and B. Services Provided HACSL must assure that adequate supportive services are available to participants in the program [24 CFR (c)]. All CoC participants will have access to the supportive services they need to assist them to remain housed, increase their skills and/or income; and increase their self-sufficiency. HACSL must conduct an ongoing assessment of the housing assistance and supportive services required by participants, and make adjustments as appropriate [24 CFR (b)]. These services may include: 28

29 Case management Life skills or independent living skills training Mental health services Alcohol and/or drug services Primary health services HIV/AIDS-related services Education Employment and training Child care Transportation assistance Legal assistance Benefits advocacy Housing search assistance Other services as needed C. Responsibilities of Service Provider Agencies Each CoC participant must have a case manager from a participating CoC Provider Agency. Participating service providers must sign the CoC Service Provider Memorandum of Understanding (MOU) and must be approved by HUD. Under the terms of this agreement, the provider must: 1. Assist clients to complete the referral and initial application process, as well as the annual recertification requirements. 2. Assist clients in their housing search to find a unit where they can use their CoC certificate. 3. Provide the property manager of the client s unit with contact information so that the case manager can be informed in the event that concerns or problems arise. 4. Provide ongoing case management and service coordination, including regular home visits (at least once monthly) for as long as the client is receiving rental assistance through the CoC Program. 5. Develop an individualized service plan that includes the CoC goals contained in the Case Manager and Participant agreement forms. 6. Intervene in the event that a client s behavior is jeopardizing their housing, or if critical concerns arise regarding their health or safety. 7. Notify the CoC Program if there are changes in staffing such that the client s case manager changes. 8. Notify the CoC Program in a timely manner when a client is at risk of being discharged from the provider s services due to non-participation or program violations. Whenever possible, prior to discharging the client from services, the Provider will follow due process, including informing the client that discharge from services may result in the termination of their CoC rental subsidy, and offering the client the opportunity to appeal the discharge in accordance with the Provider s policies. 29

30 9. If the Provider determines that a client no longer requires intensive services and plans to discharge the client, the Provider will develop a discharge plan in consultation with the CoC program to assure that the client remains connected with adequate supportive services while continuing to receive a CoC subsidy. 10. Identify a staff member to act as liaison with the Continuum of Care Program, who can assist in coordination with the CoC Program and attend quarterly meetings with the program. 11. Maintain up-to-date client files in HMIS Client Track documenting client contact and provision of services, and all related documents and records to assure proper accounting of services and performance. 13. Submit service match reports to the CoC Program on a yearly basis, documenting service utilization and value of services provided as necessary for the CoC Program to continue to qualify for HUD funding. D. Service Match HUD requires that HACSL obtain a 25% service match of total CoC award amount provided by the grant. Additionally, leverage dollars must equal 150% of the CoC total award amount. The Supportive Housing Manager shall obtain documentation of service match and leverage from participating providers at least annually. 19. Annual Recertifications A. Tracking Recertification Dates In accordance with HUD requirements, on an annual basis the Housing Specialist will reexamine the income and household composition of all participants, work with HACSL inspectors to ensure the participant s housing unit passes an HQS inspection, and make necessary adjustments to the tenant rent [24 CFR (b)(2)]. The Housing Specialist will use the monthly re-certification report from the Elite System to keep track of the renewal dates for each participant. 90 days prior to the re-certification due date, the Housing Specialist will contact the participant, and the participant s case manager to inform them of the upcoming renewal and housing inspection. In the event that the participant does not complete the re-certification within 60 days of notification, the landlord will be notified that rent may be placed on hold until completion of the re-certification. B. Documents Required from Participant and Case Manager The Housing Specialist will send the participant and case manager a notice of the required annual re-certification along with forms to be completed. The partner agency case manager is responsible to work with the participant to complete this packet and return it to the Program Specialist within the specified time frame. The forms include: Certification Form 30

31 HUD Authorization for Release of Information HACSL Authorization for Release of Information HMIS Informed Consent Interagency Release of Information Notification for Lead Based Paint Sex Offender Verification Employment Verification Income Inquiry or Zero Income Asset Questionnaire Program Responsibilities Termination of Assistance Screening Policy/Termination Form (Attention Applicants) If the participant or case manager does not respond within 30 days, the Housing Specialist will send another letter and packet of forms, requiring a response within 10 business days and notify the case manager. If the participant does not respond within the stated period of time, HACSL will send out another letter and packet of forms, requiring response within 10 business days. If no response if made within that stated period of time, HACSL will initiate probationary action. In accordance with 24 CFR (b)(3), as a condition of participation in the program, each participant must agree to supply the information or documentation necessary to verify the participant s income. Also, participants must provide the recipient information at any time their income or circumstances changes that may result in changes to the participant s rental payment. C. Inspection and Rent Adjustment While the Housing Specialist works on obtaining all the necessary documents from the participant, HACSL inspectors will schedule a home inspection. The participant s landlord will receive a letter, and a copy of the Housing Inspection Checklist. The annual housing inspection will be conducted in accordance with the procedure described in Section 11. The inspection will follow the same guidelines (Housing Quality Standards) that were used prior to move in. If the landlord requests a rent increase, the Housing Specialist will complete a Rent Reasonableness Form to determine whether the new rent is reasonable and if it falls within the FMR payment standard. If the participant reports a change in income, the Housing Specialist will perform a revised rent calculation. If there is a change in contract rent and/or tenant income, the Housing Specialist will notify the participant and landlord in writing. If the landlord s rent increase is denied because it is not reasonable, or does not fit within the FMR payment standard, the letter will also explain the basis for the denial. If the landlord or participant wishes to enter into another lease, a new lease and contract will be generated and signed. If the landlord does not require the participant to hold a lease, the participant s housing shall revert to a month to-month basis and no new lease shall be signed. The landlord may choose to sign a new lease and contract, but it is not required. 20. INTERIM CHANGES 31

32 A. Income Changes HUD regulations require that a participant s portion of the rent be adjusted any time there is a change in income. Per 24 CFR (b)(2), HACSL must examine a participant s income initially, and at least annually thereafter, to determine the participant s portion of rent. Adjustments to participant s rental payment must be made as necessary. Participants are required to notify the Housing Specialist when there is a change in income and participants must supply the information or documentation necessary to verify their income within 10 business days of the change [24 CFR (b)(3)]. When an income change is reported, the Housing Specialist will recalculate the tenant s portion of the rent and will notify both the participant and landlord. The adjusted rent will be effective 30 days beyond the end of the month that it was reported. B. Changes in Family Composition Participants are required to notify HACSL of any proposed change in household composition. The Housing Specialist will review all requests and notify the participant in writing of the determination. The following policies will apply: No family members will be approved to be added to the family composition within the first 12 month of participation, with exceptions made only for birth of a child or reunification with a child in foster care. After the initial 12 month period, only family members or live-in aides may be added to the household. The definition of family may be found in Section TRANSFERS A. Transfer Policy CoC participants may move with continued assistance to another unit within Salt Lake County. The CoC program does not allow for moves with continued assistance outside of Salt Lake County. Restrictions on moves: Participants may not break a lease in order to move. If the participant wishes to break a lease he or she must obtain permission from their landlord. Participants may not move if they are not complying with CoC program obligations. B. Transfer Process A participant must contact their assigned Housing Specialist to request approval to move. If the move is approved, the participant will then give the landlord written 30-day notice of their move out date or longer notice if the participant s lease requires. The landlord must sign the 30 day notice to indicate that the tenant is in good standing. When the participant locates a new unit, he or she must submit a new Request for Tenant/Unit Approval. The RFTA and will be processed and the lease-up managed in accordance with the 32

33 policies and procedures set forth in Section 11 through 15. C. Transferring Between Grants During the course of their participation in the CoC program, the source of a participant s housing assistance may change. This transfer from one funding source to another may or may not be associated with a physical move. The policies governing grant transfers and intra-program transfers are detailed below. 1. Transfers at the Request of Support Service Provider A transfer from TRA to a PRA or SRA may be requested in situations where: A participant is experiencing difficulty in complying with the terms of the lease and; The case manager or other support service provider believes the participant would be more successful in a project based or sponsor-based unit where a non-profit organization is the landlord. A transfer from PRA or SRA to TRA may be requested in situations where: A participant has had a stable tenancy in an SRA or PRA unit and wishes to increase his or her self-sufficiency by moving to a unit owned by a private landlord; and The case manager or other support service provider supports the participant s move to a TRA unit. The case manager must make the request for transfer in writing, stating the reasons for the request. HACSL will grant the request on the condition a subsidy of the type requested is available and that the change is warranted. 2. Transfers by the HACSL HACSL may elect to transfer participants from one grant component type to another if HACSL determines such transfer is necessary for grants management reasons, (e.g. to increase or decrease spending rates in a given grant.) HACSL will notify the participant and case manager in writing of the change in grant assignment. Such transfers do not involve a physical move by the participant. HACSL shall document the date of the transfer and the reason for the transfer in the participant s file. 22. Vacancies Per 24 CRF (d), the CoC program may not pay rent on a vacant unit for longer than 30 days, unless the participant has entered an in-treatment program. If a participant vacates the unit for a period of less than 30 days for any reason other than to enter residential treatment, the CoC Program will continue to pay the rent. At the end of the 30 days, if the participant has not returned, the CoC Program Specialist will send written notice to the landlord to terminate the rental subsidy for the unit. 33

34 The assistance for the unit may continue for a maximum of 30 days from the end of the month in which the unit was vacated, unless occupied by another eligible person. No additional assistance will be paid until the unit is occupied by another eligible person. If a participant being housed through CoC enters a residential treatment program or other forms of inpatient care, they have the option to retain their unit for up to 90 days while they complete the program. HACSL will pay the rent for the 90 day period that the unit is vacant. If the participant will be in residential treatment for longer than 90 days (or if they enter a 90-day program, but prefer to give up their unit), he or she must give a 30 day notice to the landlord, and the rental subsidy will be terminated. The participant can then qualify for another CoC certificate upon completion of the program. V. ENDING PROGRAM PARTICIPATION 23. Termination of Housing Assistance/Eviction [24 CFR ] (a) Termination of assistance. The recipient may terminate assistance to a participant who violates program requirements or conditions of occupancy. Recipients must exercise judgment and examine all extenuating circumstances in determining when violations are serious enough to warrant termination, so that a participant's assistance is terminated only in the most severe cases. Recipients are not prohibited from resuming assistance to a participant whose assistance has been terminated. (b) Due process. In terminating assistance to a participant, the recipient must provide a formal process that recognizes the rights of individuals receiving assistance to due process of law. This process, at a minimum, must consist of: (1) Written notice to the participant containing a clear statement of the reasons for termination; (2) A review of the decision, in which the participant is given the opportunity to present written or oral objections before a person other than the person (or a subordinate of that person) who made or approved the termination decision; and (3) Prompt written notice of the final decision to the participant. Partner case managers must be included in all correspondence that deals with terminations. A. Termination by Participant The participant may elect to leave the CoC Program at any time and may do so by informing their case manager, who will then inform HACSL and the landlord. Participants who are currently receiving rental assistance must provide their landlord with a 30 day notice (or longer according to their lease) prior to vacating a unit. 34

35 If the tenant provides the required notice, HACSL will pay the rent up to end of the 30 day period, unless the landlord rents the unit to another tenant during that period. If the participant vacates the unit without notice, the CoC Program will pay the rent for a maximum of 30 days following the day the participant left the unit. B. Termination by CoC Program (HACSL) The Continuum of Care Program is designed to serve disabled people who are homeless and have had poor access to housing and support services. In order to reach this disadvantaged and hard-to-reach homeless population, sensitivity, flexibility, and respect for the participant s past experiences is critical. Behavior that might be grounds for dismissal in more traditional programs may not be appropriate grounds for dismissal from Continuum of Care. 1. Grounds for Termination a. Assistance may be terminated or a participant may be put on probation if the participant violates program requirements or conditions of occupancy [24 CFR (a)]. Examples of program violations are: 1. Repeated complaints from the landlord due to violations of the lease agreement, such as disturbing the quiet enjoyment of the neighbors, allowing unauthorized persons to visit or live in the unit, property damage, repeated failure of HQS inspections, or non-payment of rent 2. Violent or threatening behavior, or other behavior that seriously threatens the health and safety of the community 3. Illegal activities, including illicit drug-related activities 4. Vacating the unit without notice for more than 30 consecutive days. b. The CoC Program shall exercise judgment in determining when violations are serious enough to warrant probation or termination. The program will do as much as possible to ensure the adequacy of support services so that a participant s assistance is terminated only in the most severe cases [24 CFR (a)]. Whenever possible the program will give participants written warning prior to termination so that they have an opportunity to take appropriate action to resolve the problems and thus continue their participation in the program. c. HACSL will not terminate a participant s assistance simply because the landlord or service provider feels the participant is difficult. In requesting that HACSL initiate termination procedures, the landlord must demonstrate that the participant has committed repeated and serious violations of the lease. The service provider may request that a participant be terminated due to lack of participation in services, but only if the service provider can demonstrate that the refusal to participate is the underlying cause of repeated and serious lease violations. d. Extremely serious program violations (including violent behavior, drug sales, or other criminal behavior) will result in proceeding immediately to termination proceedings. In all other cases, the participant will first be placed on probation. (See below) 2. Roles and Responsibilities of Parties in Termination Process 35

36 There are four parties that have roles and responsibilities relating to a participant s participation in the CoC program and any decisions regarding termination of the participant s CoC assistance: HACSL: As grantee for the CoC funds, HACSL is ultimately responsible for determining whether a participant continues to receive CoC assistance and for termination of assistance in cases where it is warranted. HACSL will, in all cases, consult extensively with the other parties (i.e. the referring partner case manager) prior to terminating a participant from the program. In the event that agreement cannot be reached with all parties, the HACSL s decision will prevail. Landlord: as sponsor for the program and landlord for the assisted units, the landlord will advise HACSL as to whether a participant should be placed on probation or terminated from the program for repeated, serious lease violations. In the event that HACSL elects not to terminate program participation and/or the participant refuses to leave the unit following termination of assistance, the landlord may terminate tenancy by undertaking an eviction procedure in accordance with state and local law (see Section C, below). In the event that the participant is evicted but HACSL chooses not to terminate participation in CoC, HACSL may assist the participant in locating a new unit. Service Provider: the service provider will advise the HACSL as to whether a participant should be placed on probation or terminated from the program for failure to participate in needed services. In the event that HACSL elects not to terminate CoC program participation, the service provider may terminate the participant from support services by following their established termination process. HACSL may assist the participant in locating a new service provider. Participant: throughout the probation and termination process, the participant has a right to be treated respectfully, fairly and to be afforded due process under the law. 3. Termination Process Termination is a formal process that recognizes the rights of individuals receiving assistance to due process of law. The termination process is as follows: Step One: Informal Resolution. The Housing Specialist and/or the partner case manager will meet informally with the participant to address the problem. Both the Housing Specialist and the partner case manager should document in the client file these efforts to resolve the problem informally. In the case of serious criminal or violent acts HACSL may proceed to termination procedures of the client. Step Two: Written Warning. If the behavior cannot be corrected informally, the Housing Specialist will send the participant written notice specifying the reasons his or her participation in the program may be in jeopardy, and that if the issues are not resolved, the next step may be terminate their housing assistance. Copies of the letter will be sent to the partner case manager. If the participant disagrees with the warning notice, s/he may request an informal conference with the CoC Program Manager, and the Housing Specialist to review the matter. Step 3: Written Notice of Termination. If the participant does not fulfill the terms of the written warning, the CoC Program Manager shall either proceed with a termination, or postpone the termination for up to 30 days if the participant has demonstrated a willingness 36

37 to address the problems and has partially corrected the issue. If the matter proceeds to termination, the CoC Program Manager shall notify the participant in writing that he or she is being terminated from the program. The notice must contain a clear statement of the reason(s) for termination. The written notice of termination must also contain a statement that the participant has a right to an Informal Hearing for a review of the decision, in which the participant is given the opportunity to present written or oral objections and may be represented by a third party advocate. To request an Informal Hearing, the participant must do so in writing within ten (10) days of the date of the termination letter. A participant who fails to request an informal hearing waives this right, and the decision to terminate them from the program becomes final. Once the participant receives a Notice of Termination, HACSL will send the landlord a 30- day Notice of Termination and will place a hold on the account, effective the last day of the 30 day period. If the participant requests a hearing within the allotted time period, HACSL will remove the hold on the account and will pay for the unit for the month throughout the hearing process. Procedures for the Informal Hearing are described in Section 24. Step 4: Informal Hearing. If the participant requests an informal hearing, the hearing committee must schedule an Informal Hearing within ten (10) working days of receipt of the request. The Informal Hearing shall be a meeting between the participant, the Housing Specialist, and the Hearing Committee. Additional groups of people may also attend as deemed necessary by the participant including legal representation, family supports, relevant witnesses or character references, and/or the partner agency case manager. The Hearing Committee is comprised of 2 or more HACSL employees who are unrelated to the decision for termination and can assess the situation objectively. The Hearing Committee will make its decision based on the Continuum of Care HUD regulations as well as HACSL s own policies and procedures. The hearing committee shall issue prompt written notification of the decision to the participant within 10 business days, including a clear statement of the reason(s) for the decision. The finding of the Hearing Committee is final and may not be further appealed. HACSL will also be responsible to pay it s potion of rent to the Landlord for the month the hearing proceedings take place. Step 5: Termination. Once the decision to terminate the participant from the program becomes final, the Housing Specialist shall terminate the CoC assistance by issuing a 30-day Notice to Terminate to the participant and to the landlord, with a copy to the case manager. The case manager shall assist the landlord in obtaining the participant's voluntary agreement to move out of the unit. If the tenant has not moved out at the end of the 30-day notice period, the landlord may evict the tenant through the legal eviction process. HACSL will continue to pay rent during the thirty day notice period, unless another tenant moves into the unit prior to the end of the 30 days. 4. Returning to the CoC Program Following Termination 37

38 After termination, the participant may be given the opportunity to continue with the support services provided through his or her existing service provider or another agency. By showing responsibility, motivation, and readiness the participant may become eligible for reinstatement into the program.in order to qualify for reinstatement, at a minimum the participant must have continued to participate in services at the partner agency, and resolved any outstanding financial liabilities associated with the program. If HACSL and the service provider determine that the participant qualifies for reinstatement, she or he will be placed at the bottom of the CoC waiting list. Once the participant reaches the top of the waiting list, his or her eligibility for the program must be verified prior to re-admission. C. Termination of Tenancy by Landlord All CoC program participants have the same tenancy rights as any tenant in the State of Utah. If the landlord decides to evict a tenant in a CoC subsidized unit, they must follow the legal requirements governing the eviction of tenants under Utah law, as well as any applicable local laws governing the landlord-tenant relationship. As noted above, a decision by the landlord to evict the participant from his or her unit does not necessarily mean that the participant will be terminated from the CoC program. Depending on the circumstances, HACSL may elect to continue CoC program participation and offer the participant alternative housing and/or services. 24. Participant Appeals/Grievance Procedures A. Informal Grievance Process Participants who have a complaint or problem relating to their participation in the CoC Program may communicate their grievance to the CoC Program by completing a Grievance Form and submitting it to the Supportive Housing Manager. The Manager will meet with the participant and any other relevant parties to discuss the issue and will gather any relevant information needed to make a decision. The Manager s decision will be communicated in writing to the participant and cannot be appealed. The informal grievance process is not applicable for participants who are being terminated from the program. Participants who have received a termination notice may request an Informal Hearing (see above). Participants may not submit a grievance request for the following types of actions or decisions: General policy issues Actions by HACSL which are required under CoC regulations (e.g. limiting security deposit amounts to a maximum of one month s rent). Supportive Services as participation is mandatory. B. Informal Hearing As discussed in Section 21, participants who have received a written termination notice may request an informal hearing within 10 working days of receiving the termination letter. The 38

39 informal hearing will be a meeting between the participant, the Housing Specialist, the Hearing Committee and any other relevant parties (e.g. the landlord). 1. Hearing Notification The hearing shall be scheduled within 10 calendar days. The notification of hearing will contain: The date and time of the hearing The location where the hearing will be held An explanation of the participant s rights at the hearing 2. Rights of the Parties Prior to the hearing, the participant has the right to: View any documents or evidence in the possession of the CoC Program on which HACSL bases the action and to obtain a copy of such documents prior to the hearing. Copy any relevant documents at their expense; Request that CoC staff or staff from other organizations be available or present at the hearing to answer question pertinent to the case At the hearing, the participant has the right to: Be represented by legal counsel, advocate, or other designated representative at his or her own expense. Present written or oral objections to HACSL s determination. Present any information or witnesses pertinent to the issue of the hearing; Prior to the hearing, HACSL has the right to: View and obtain copies of documents or evidence which the participant intends to present at the hearing. If the participant request copies of documents relevant to the hearing, CoC staff will make copies and assess a charge of $.25 per copy. The participant will not be allowed to remove the file from the CoC office. At the hearing, the participant may be represented by a third party advocate. The hearing allows the participant and/or the advocate: The opportunity to hear the reasons for the termination and to review any supporting documentation or other evidence The opportunity to make a written or oral presentation of the participant s reasons why he or she should not be terminated The opportunity to rebut any information presented by HACSL or other parties 3. Rescheduling Hearings After a hearing date is agreed upon, the participant may request to reschedule only upon showing good cause, which is defined as an unavoidable conflict which seriously affects the health, safety or welfare of the participant. A maximum of one re-scheduling request will be allowed. If the tenant does not attend the second re-scheduled hearing, a finding will be made in favor of HACSL. 39

40 If the participant does not appear at a scheduled hearing and had not rescheduled the hearing in advance, the participant must contact the CoC Program within 48 hours, excluding weekends and holidays. HACSL will reschedule the hearing only if the participant can show good cause for the failure to appear. As noted above, only one re-scheduling request is allowed. 4. Hearing Procedures The Administrative Hearing shall be conducted by the Hearing Officers appointed by HACSL who is neither the person who made or approved the decision. The CoC program utilizes HACSL hearing officers. The hearing shall concern only the issues for which the participant has received the opportunity for hearing. Evidence presented at the hearing may be considered without regard to admissibility under the rules of evidence applicable to judicial proceedings. No documents may be presented which have not been provided to the other party before the hearing if requested by the other party. Documents includes records and regulations. The Hearing Officer will determine whether the action, inaction or decision of HACSL is legal in accordance with HUD regulations and HACSL s own policies and procedures based upon the evidence and testimony provided at the hearing. Factual determinations relating to the individual circumstances of the participant will be based on a preponderance of the evidence presented at the hearing. The finding of the Hearing Committee is final and may not be further appealed. HACSL is not bound by hearing decisions: Which conflict with or contradict HUD regulations or requirements; Which conflict with or contradict Federal, State, or local laws; or Which exceeds the authority of the person conducting the hearing. 5. Notice of Hearing Finding A notice of Hearing Finding shall be provided in writing to CoC staff and the participant within 10 business days and shall include: A clear summary of the decision and reasons for the decision; If the decision involves money owed, the amount owed; and Further instructions as needed All requests for a hearing, supporting documentation, and a copy of the final decision will be retained in the participant s file. At the hearing, the participant may be represented by a third party advocate. The hearing allows the participant and/or the advocate: The opportunity to hear the reasons for the termination and to review any supporting documentation or other evidence The opportunity to make a written or oral presentation of the participant s reasons why he or 40

41 she should not be terminated The opportunity to rebut any information presented by HACSL or other parties The Hearing Committee shall have 10 business days following the hearing to submit a response in writing to the participant, partner case manager, and CoC staff, clearly stating the reasons for the decision. The finding of the Hearing Committee is final and may not be further appealed. VI. ADMINISTRATION 25. Data Management (c) Calculating the value of supportive services. In calculating the amount of the matching supportive services, applicants may count: (1) Salaries paid to staff of the recipient to provide supportive services to CoC participants; (2) The value of supportive services provided by other persons or organizations to CoC participants; (3) The value of time and services contributed by volunteers at the rate of $10.00 an hour, except for donated professional services which may be counted at the customary charge for the service provided (professional services are services ordinarily performed by donors for payment, such as the services of health professionals, that are equivalent to the services they provide in their occupations); (4) The value of any lease on a building used for the provision of supportive services, provided the value included in the match is no more than the prorated share used for the program; and (5) The cost of outreach activities, as described in (a). Per 24 CFR 300(d), HACSL must keep any records and make any reports that HUD requires. HACSL must develop and make available a description of the procedures used to select sponsors under the SRA component and buildings under the SRA, and PRA components. HACSL must also develop, and make available to the public upon request, its procedures for managing the rental housing assistance funds provided by HUD. A. Participant Files 1. Applicant Files HACSL s Eligibility Specialist is responsible for setting up and maintaining a file for each CoC applicant. The file shall be created at the time HACSL receives a Referral Form from a participating support service agency and shall be updated throughout the application and eligibility verification process. 41

42 Each file shall contain: Supportive Housing Eligibility Checklist All Referral Forms listed in Section 6 All documents relating to the eligibility determination (e.g. homeless/disability verification form, income verification etc.) Complete applicant files will be handled as follows: For applicants who are determined to be ineligible, a notice will be sent to the referring agency case manager and the file will be placed in an archived files box. For applicants who are determined to be eligible, the contents of the file shall be placed in a pending file cabinet. 2. Participant Files The Housing Specialist is responsible for maintaining and storing a file for each CoC participant once the eligibility process is completed and the coupon/voucher has been issued. Each file shall contain: Checklist/Audit Form Applicable Application Forms listed in Section 6 Each file shall be organized as follows: Left Side: Eligibility Checklist, Eligibility Documentation and Identifications Ride Side: Audit Form, income verifications, rental adjustment statements, application forms, landlord and unit information, leases, coupons, annual recertification and interim information and any correspondence on the right side. Files are audited by another Housing Specialist and the Supportive Housing Manager before activation into the program to verify that correct procedures have been implemented and followed. The file shall be continuously updated throughout the participant s tenure in the CoC Program. When a participant leaves the program, the folder shall be placed in an archived files box with the exit date listed on the file. B. HMIS System The Homeless Management Information System (HMIS), is a computerized data collection application that facilitates the collection of information on homeless individuals and families using residential or other homeless assistance service agencies, and stores that data in a centralized database for analysis. HACSL is one of many organizations that participate in the HMIS. HACLS will comply with all HMIS Requirements. The Supportive Housing Manager will work with the UHMIS Technical Assistance Department to gain access to and remove access from the HMIS system. Access will be requested only for Housing Specialists and Case Managers who provide direct services to participating clients, the 42

43 appropriate department managers, and the grant writer. New employees will attend the required HMIS training and sign the End User Agreement before they are given access to the HMIS System. Employees will also be required to attend HMIS meetings and training as needed. Revocation to HMIS access will be immediately requested for terminated employees. HACSL and all employees with access to the system will be held to the policies and procedures established by UHMIS as follows: HMIS PARTICIPATION Must have an Agency Partner Agreement (Appendix) and End-User Agreements (Appendix ) signed before an agency can receive training to ultimately participate in UHMIS. CLIENT INFORMED CONSENT AND PRIVACY RIGHTS Participating Agencies will need to display the Privacy Posting in clear sight of clients that are being served. If an agency is collecting more than the Universal Data Elements for one or more of their programs then they will need to have the client sign an Informed Consent Release Form and have it in the client s file. Agencies will be required to provide a client with a Grievance Filing Form if the client feels that the security or integrity of their information has been violated by the end-user or agency itself. DATA POLICIES AND PROCEDURES Agencies that wish to share client information with other agencies to better facilitate program management must have a Data Sharing MOU (Appendix) in place before the UHMIS team will grant access to information outside of the originating agency. HACSL privacy policies signed by all employees will also apply. Data on CoC participants is entered into the HMIS system at the following times: When a participant first enters the program When a participants moves with continued assistance When a participant has a re-examination When a participant reports changes in household or income When a participant exits the program Assessments: All entry, follow-up and exit assessments must be completed by HACSL staff. Partner agencies should not enter any entry, follow-up or exit assessments. C. Service Match Documentation Under HUD regulations, HACSL is required to match each dollar of housing assistance with a dollar of in-kind support services [24CFR (c)]. A list of matching supportive services applicants may count may be found in 24CFR (c). Service match is documented using the following forms of documentation: 43

44 Service match log. On a yearly basis, every service provider agency that works with CoC clients is required to submit a tracking log documenting the total of all services provided on a year-to-date basis for all clients on that program. Mental health and health services computer printout. Services provided by Volunteers of America (VOA), The Road Home (TRH), Valley Mental Health (VMH), Wasatch Homeless Healthcare, First Step House and Family Promise of Salt Lake are documented using a printout from those agencies databases. Printouts must include a total listing of all services received and the value of those services. Inpatient acute hospital care is not eligible to count as support service match. The CoC Program Manager will review the printout to ensure that none of the services listed are inpatient acute hospital care. If any such services are listed, the CoC Program Manager will manually delete them from the printout (by crossing out the information) and remove the value of those services from the total value of services provided. D. Participant File Quality Control The Supportive Housing Manager is responsible for ensuring quality control of all data in the participant files. The Supportive Housing Manager will conduct random file audits ensure: All required documents have been completed and signed The eligibility requirements have been met and have been properly documented That all required HMIS data entry forms have been completed and entered into the HMIS system. Additional financial quality control procedures are described in Section Reporting HUD requires HACSL to submit an Annual Progress Report for the CoC program on an annual basis. The report is due 90 days after the end of the program operating year. The CoC Housing Specialist is responsible for compiling the APR using data from the following sources: HMIS system (for data on participant demographics, income changes, and services received) Service match documentation (for calculation of service match) Participant case records (for tracking of participant outcomes) The Supportive Housing Manager shall review the APR (including relevant backup documentation) on a quarterly basis and prior to submitting the report to HUD, to ensure its accuracy. 27. FINANCIAL MANAGEMENT Rental assistance amounts and payments. 44

45 Rental payments may be used in the following situations: Vacancies If a participant vacates the unit before the expiration of the occupancy agreement, assistance may continue for a maximum of 30 days from the end of the month in which the unit was vacated unless the unit is occupied by another eligible person. This does not include participants who are in brief periods of inpatient care, which is not to exceed 90 days for each occurrence. Administrative costs [24 CFR ] HACSL may use up to 10 percent of any grant awarded for Administrative Costs Eligible administrative costs include: Eligible administrative activities include processing rental payments to landlords, examining participant income and family composition, providing housing information and assistance, inspecting units for compliance with housing quality standards, and receiving into the program new participants. This administrative allowance does not include the cost of administering supportive services or the grant ( e.g., costs of preparing the application, reports or audits required by HUD), which are not eligible activities under a CoC grant. A. Roles and Responsibilities As grantee for the CoC funds, HACSL is responsible for financial management. This responsibility is divided between two groups: the CoC Program staff (Supportive Housing Manager and CoC Housing Specialists) and the Accounting Department (Accounting Manager and Accounting Clerks). The roles of each group in relation to financial management are: CoC Program Staff: Collect and verify information on applicant s income, document contract rent for applicant s housing unit Calculate and document participant s rental portion and CoC subsidy amount. Accounting Department Review CoC subsidy calculations performed by CoC program staff Issue rental assistance checks to landlords Track and document grant administration expenses Draw down CoC funds from HUD Produce monthly financial reports documenting actual versus budgeted income and expenses. B. Rental Assistance Payments HACSL s Accounting Department is responsible for issuing rental assistance payments to landlords (including payments for security deposits) C. Administrative Costs 45

46 HACSL s Accounting Manager will record in the general ledger all eligible actual administrative expenses for the CoC Program based on information from staff time sheets, plus any nonpersonnel related administrative expenses (e.g. cost of vehicles). In accordance with HUD regulations, the following activities are eligible as administrative costs: Receiving new participants into the program; Providing housing information and search assistance; Determining participant income and rent contributions; Inspecting units for compliance with Housing Quality Standards and Processing rental payments to landlords. These activities are ineligible as administrative costs: Administering the grant; Preparing reports to HUD; and Costs associated with conducting audits of the grant. The Accounting Clerk will use the monthly financial report (see below) to track the administrative costs and to ensure that they do not exceed 10% of the total grant. D. HUD Draws On a monthly basis the Accounting Clerk will use HUD s eloccs system to draw down CoC funds to reimburse HACSL for its eligible expenditures. The following procedure will be followed: The Accounting Clerk will generate a General Ledger report documenting all expenditures for the period, including both administrative costs and rent payments. The Accounting Clerk will check the General Ledger report against the CoC Rental Assistance Report and Participant Log to ensure it is accurate The Accounting Clerk will complete a LOCCS voucher, attaching a copy of the General Ledger Report, CoC Rental Assistance Report, Participant Log and Rental Assistance Worksheets. The Accounting Manager and Director of Housing will review and sign the voucher (HUD regulations require two signatures) The Accounting Manager will call in the voucher using HUD s electronic LOCCS system. E. Financial Reports On a monthly basis the Accounting Clerk will run a CoC Financial Report using the general ledger module of the accounting system. This report will document actual income and expenses for the current month, prior months, and year to date totals for the term of the grant. This report will also show the total number of units under lease at the end of each month of the grant term. The Accounting Clerk will distribute this report to the CoC Program Manager. 28. GRANT ADMINISTRATION A. Tracking Grant Income and Expenditures 46

47 As noted above, the Accounting Clerk will provide the Supportive Housing Manager with a monthly CoC Financial Report showing a month-by-month breakdown of expenses and number of units assisted in each month. The purpose of this report is to provide a tool that the Director and Program Manager can use to monitor grant expenditures and make the adjustments necessary to ensure that the maximum number of clients are served without going over budget. B. Analyzing and Responding to Grant Utilization Data The Supportive Housing Manager is responsible for monitoring grant utilization and making needed program adjustments. On a monthly basis, the Manager reviews the CoC Financial Report prepared by the Accounting Manager, assesses the lease-up rate, and projects whether the grant will be overspent or underspent at the end of the grant term. If there is a possibility of under spending, the CoC Program Manager will inform the service provider agencies that referrals are being accepted for new clients. If the summary report indicates that there is a possibility of overspending the grant, the Manager will recommend that no new clients are admitted into the program until the spending rate is reduced to the desired level. C. Grant Extensions and Renewals The Grant Writer in connection with the Supportive Housing Manager is responsible for submitting an annual request for renewal of the CoC grant as part of the Salt Lake Continuum of Care process by completing the required applications and processes. Since CoC grants with oneyear renewal terms may not be extended, HACSL will make its best effort to expend all grant funds before the end of the 12-month grant term. As per HUD requirements, the deadline for drawing down grant funds is 90 days from the end of the grant term (for expenses incurred during the grant term). Unexpended funds will be returned to HUD. D. Grant Amendments Any significant grant changes require written HUD approval [24 CFR ]. HACSL will submit a written request to HUD and obtain a written grant amendment for any major changes, such as changing the target population for the grant. As per HUD regulations, HACSL is not permitted to change units from one CoC program component to another (e.g. changing TRA units to SRA units). E. Obligation and De-Obligation of Funds When HUD and the applicant execute a grant agreement, HUD will obligate the funds to cover the approved grant. The recipient is expected to carry out the proposed activities in the application. However, if the recipient does not carry out the proposed activities or if the grant amount is not used in a timely manner, HUD may de-obligate all or a portion of the funds. Appendix: 47