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Assessing Data Collection Systems Used by Providers of Housing Services to People Living With HIV and AIDS

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This project assessed the data collection and reporting system used by housing providers and their use of outcome data.  The methodology included secondary analysis of existing data, key informant interviews, and feedback sessions with different housing providers.  Recommendations were made for improving the system of data collection and use of the data. Workflow charts and tables are used throughout the report to clarify findings and present data.

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ASSESSING DATA COLLECTION SYSTEMS USED BY PROVIDERS OF HOUSING SERVICES TO PEOPLE LIVING WITH HIV AND AIDS
Presented to: Bailey House, Inc. Program Evaluation Services Housing and Health Evaluation Technical Assistance Project1
April 2003
Submitted by: Partnership for Community Health, Inc. 245 W. 29th Street Suite 1202 New York, NY 10001 Primary Contact: Mitchell Cohen PCH Telephone: 800 411 4399 Fax: 212 564 9781 Email: Mitchell@PCHealth.org
The Housing and Health Evaluation Technical Assistance Project (HHETA) is funded by the New York City Mayor’s Office of AIDS Policy Coordination under the U.S. Department of Housing and Urban Development’s Housing Opportunities for Persons with AIDS program and administered by the Postgraduate Center for Mental Health.
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Table of Contents INTRODUCTION ........................................................................................................................................ 2 METHODOLOGY ....................................................................................................................................... 2 Data Analysis............................................................................................................................................. 3 ANALYSIS AND FINDINGS...................................................................................................................... 3 Principles of Housing Data Collection Systems ........................................................................................ 3 Process and Outcomes Indicators .............................................................................................................. 4 Reporting Requirements ............................................................................................................................ 5 Reporting Requirements for HOPWA-funded Housing and Housing-Related Services ...................... 5 Reporting Requirements for other Sources of Funding......................................................................... 6 Data Input and Data Quality ................................................................................................................. 7 Data Analysis...................................................................................................................................... 11 Barriers to More Effective Data Use and Management ........................................................................... 11 Reporting expectations do not reflect program activities.................................................................... 11 Existing data systems are not flexible................................................................................................. 12 Not enough resources allocated to fulfill reporting needs................................................................... 12 Inconsistent reporting categories in different data systems................................................................. 12 Outcome indicators are not relevant to housing programs.................................................................. 12 Reporting needs compee with program needs..................................................................................... 13 Multiple anxieties and fears about how programs will be judged and the consequences. .................. 13 Stealing Clients .............................................................................................................................. 13 Data being used to enforce set numerical or quality criteria for services....................................... 13 Discovering or revealing redundant service provision ................................................................... 13 Mistrust of the ability of data system to maintain client confidentiality. ....................................... 13 RECOMMENDATIONS ........................................................................................................................... 14 Technical Assistance (TA) on the Use of Data, Data Entry and Quality Control, Data Analysis, and the Use of Data for Internal Needs. ............................................................................................................... 14 Minimize Duplicate Entry for Data Entry Elements................................................................................ 15 Create a System-wide client Unique Identifier ........................................................................................ 15 Realistic Cost Allocation By Funders Related to Data Entry and Analysis............................................. 16 Assurances of Client Confidentiality ....................................................................................................... 16 Relevant Outcomes.................................................................................................................................. 17 Link System Development to Billing or Provide Financial Incentives for Reporting Data Accurately and in a Timely Fashion ................................................................................................................................. 17 CONCLUSION........................................................................................................................................... 17 Figures Figure 1 Client and Data Flow at a Typical Multi-service Agency ................................................................ 9 Figure 2 Client and Data Flow through the Continuum of HOPWA-funded Services................................. 10 Tables Table 1 Agencies Interviewed ........................................................................................................................ 3 Table 2 Housing Reporting Requirements by Type of Contract .................................................................... 6 Table 3 Sources of Funding & Associated Data/Reporting Requirements..................................................... 7 Attachments Attachment 1 Housing Program Descriptions ..............................................................................................I-1 Attachment 2 Annual Performance Report (APR) .................................................................................... II-1 Attachment 3 Description of “Factors” Data Management Module.......................................................... III-1
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ASSESSING DATA COLLECTION SYSTEMS USED BY PROVIDERS OF HOUSING SERVICES TO PEOPLE LIVING WITH HIV AND AIDS By Partnership for Community Health Presented to: Bailey House, Inc. Program Evaluation Services Housing and Health Evaluation Technical Assistance Project April 2003 INTRODUCTION During FY 2001-2002, Bailey House, Inc. contracted with Partnership for Community Health (PCH) to undertake a brief study to complement the Housing and Health Evaluation Technical Assistance Project (HHETA). The goals of this study were to: ♦ Systematically describe how organizations providing housing and housing-related services with support from the US Department of Housing and Urban Development’s Housing Opportunities for Persons with AIDS (HOPWA) program currently manage data collection and reporting for multiple contracts and evaluation projects. ♦ Develop recommendations to facilitate the reduction or elimination of duplicative data collection while helping organizations to collect and share data for reporting, program evaluation and outcomes measurement. The services that were the focus of this report were supportive housing (SH), housing placement assistance (HPA), independent living skills (ILS), and outreach/harm reduction (O/HR)2. A description of the services offered by these programs is shown in Attachment 1. The recommendations are limited to those providers receiving funding under HOPWA through the Postgraduate Center for Mental Health in New York City. The research and data for these recommendations are based on these providers and findings may or may not be generalizable to other housing providers. METHODOLOGY To determine the existing reporting service definitions and reporting requirements, data collection included: ♦ Conducting secondary research: Reviewing existing housing reports, literature, and reporting requirements. Reviewing outcome and process indicators for housing programs.
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This study was started before the merger of most HPA and ILS programs.
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♦ Conducting key informant interviews with staff from five selected programs (Table 1). ♦ Holding a feedback session with staff from ACQC, African Services Committee and Osborne Association.
Table 1 Agencies Interviewed AGENCY Casa Betsaida African Services Committee Harlem United* Osborne Association Citywide Harm Reduction PERSON INTERVIEWED Francisco Quinteros Felipe Urrutia Mulusew Bekele Maaza Seyoum Wanda Mitchell Yvette Bairan Daliah Heller POSITION Program Director Fiscal Manager Health Programs Director Assistant Health Programs Director Director, Women’s Programs Senior Director of Program Planning and Operations Executive Director
Data Analysis Data was analyzed to: ♦ Determine overall principles for data collection and reporting. ♦ Specify key outcome and process indicators. ♦ Document the way data is collected and entered and assess the quality and reliability of data. ♦ Identify categories for data elements and gaps in the data collected. ♦ Identify and discuss efficiencies that may be obtained in standardizing data collection and reporting requirements. Secondary analysis involved collecting instruments and reports from organizations with housing contracts and comparing them for similarities and differences. The interviews were conducted by PCH staff and extensive notes were taken and analyzed for trends and observations. ANALYSIS AND FINDINGS Principles of Housing Data Collection Systems Based on the literature review and interviews, a number of principles were determined. A comprehensive data system would have: ♦ Minimal amounts of redundancy between inputs for the system and reporting requirements. ♦ Security that protects the privacy and confidentiality (not anonymity) of clients. ♦ Data collection protocols that: Minimize consumer reporting burden.
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Minimize provider data entry. Minimize provider reporting burden. Facilitate accurate data entry for valid and reliable analysis. Facilitate efficient analysis for individual service plans and aggregate reporting. Facilitate outcome evaluation of services. Process and Outcomes Indicators There are several reasons for collecting process and outcomes data, in addition to meeting reporting requirements. They include: ♦ Providing input into organizational and regional planning. ♦ Assessing services. ♦ Contract monitoring. ♦ Quality control. ♦ Formalizing consumer input. After reviewing the process indicators from different agencies, the key process measures include: ♦ All programs Type and units of service delivered. Cost of service delivery. Number and profile of clients served (unduplicated). Quality of service delivery. Timeliness of service. Barriers to services. The key outcome measure include: ♦ All programs Client satisfaction. Maintained or improved health status. Maintained or improved quality of life. Adherence to drug regimen. ♦ Housing placement, supportive housing, and outreach/harm reduction Housing Status. Effective and timely referral to transitional or permanent housing. Placement in adequate, safe, stable housing. Sustained housing for PLWH/A.
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Effective and timely referral to services such as substance abuse treatment, mental health, case management, and employment assistance. ♦ Independent living skills Ability to handle finances. Ability to schedule day-to-day living affairs. Ability to make and keep doctors appointments. Reporting Requirements Reporting Requirements for HOPWA-funded Housing and Housing-Related Services Recipients of funding from the US Department of Housing and Urban Development’s (HUD) HOPWA program are required to provide reports to the grantor. The programs described here receive this funding through PCMH. PCMH serves as the Master Contractor for the grantee, the Mayor’s Office of AIDS Policy Coordination (MOAPC). On a monthly basis providers report the total number of clients (duplicated) and units of service for the purpose of contract monitoring. Once a year, in addition to the monthly project monitoring report, PCMH asks housing providers administering HOPWA contracts to provide an unduplicated count of their clients. From this data PCMH completes the Annual Performance Report (APR) for submission to HUD(see Attachment 2). HUD provides a database system, Integrated Disbursement Information System (IDIS) for grantees, but its use is not mandatory. IDIS gathers information at the aggregate level and is mostly designed to track money flow, i.e. allocations and spend down. It is not proficient at capturing client information. PCMH considers it cumbersome, and in key informant interviews, representatives of the PCMH say they plan to introduce a central case-management-based system called “Factors” to facilitate the collection of data to meet reporting requirements for housing and housing-related services. The module provides a suite of powerful functions, shown in Attachment 3. The types of information currently required by PCMH from providers of HPA, SH, ILS and O/HR services are shown in Table 2. HPA providers have the most reporting requirements, followed by SH providers. O/HR and ILS providers have fewer reporting requirements. Notably, while the number of referrals is tracked in several services, based on interviews with providers, there is little follow-up on referrals across agencies. Within the current system, service providers are only required to report aggregated data. Given this, determining accurate unduplicated counts of client services is challenging. According to both MOAPC and PCMH, one of the limitations in providing accurate aggregate reporting is that unduplicated data is not available at the provider level because data cannot be unduplicated between providers.
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Table 2 Housing Reporting Requirements by Type of Contract Type of Service Intakes Housing Start-up kits distributed Referral to drug and alcohol treatment or counseling Referrals to mental health treatment or counseling Referrals to case management services Referrals to employment assistance Other referrals Nutritional services (food bags, vouchers, meals, snacks) Referrals to medical treatment Referrals to legal assistance Assessments Service Plans developed Follow-up home visits Follow-up other than home visits Requests for assistance from the “sustainable living fund” Clients receiving Emergency Rent Assistance Recreational activities (# of activities/ # of clients) Advocacy encounters (i.e. case management, crisis intervention, mentoring, etc..) Apartment viewings Permanent housing placements Transitional housing placements Approvals from the sustainable living fund Housing placements (permanent or transitional) Outreach efforts to recruit new clients Outreach efforts to landlord and real estate brokers Number of training sessions completed Successful completion of ILS classes
Outreach / IndepenHousing Harm dent Living Placement Supportive Skills Asst Housing Reduction
x x x x x x x x x x x x x x x x x x x x x x x
x x x x x x x x x x x x x x x x x x x x x x x x
x x
x x x x
Reporting Requirements for other Sources of Funding To develop recommendations that both facilitate the reduction or elimination of duplicative data collection and help organizations to collect and share data for reporting, program evaluation and outcome measurement, other data collection needs have to be considered. Most organizations that receive HOPWA funds also receive other State and Federal funds, and several receive grants and contracts from other sources. By themselves, reporting requirements for each source of funding are not necessarily onerous. Taken together, though, they may present a burden. For agencies with multiple funding, the number of different systems and reports can be substantial, particularly given different system requirements, staff training needs, issues of scalability (systems designed for the size of the client population), and related costs. Common sources of other funding and associated reporting requirements are shown in Table 3. In many instances, as seen under “level of analysis”, the data is analyzed on an aggregate level. Data collection may or may not capture individual level data, as shown in the last column.
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Table 3 Sources of Funding & Associated Data/Reporting Requirements
SOURCES Housing HOPWA reporting requirement Other HUD programs (HUD's Homeless Assistance Programs, Programs for Persons with Disabilities, HOME) Housing Assessment / Outcomes Outcome Assessment (HHETA) Title I Reports and City Services MHRA Ryan White Fiscal Program Monitoring Report (URS) HRSA Standard Annual Administrative Report (AAR) Title II and State Funds AIDS Institute Aggregate Reports (URS) Other RWCA Reports (Title III, IV, SPNS, etc.) Testing and Medical Monitoring (CDC) Pre-Test Counseling Report HIV/AIDS Related Surveillance Reports (HARS) -and other surveillance Medication AIDS Drug Assistance Program (ADAP) Report (RWCA Title II) AIDS Pharmaceutical Assistance Annual Administrative Report (APA) Insurance Health Insurance (HIP) Annual Administrative Report Medicare Medicaid Other Insurance Internal Management Reports Internal Process Monitoring Client Management / Case Plan Other Funder Reporting Requirements Board Reports Referral to Programs Case Management / Case Plan & Notes Case Management Referrals Housing (Outreach / Harm reduction, ILS, SH, HPA) Other Programs (outpatient medical, food, transportation, substance abuse, prescription services, etc.) Level of Analysis Aggregate Aggregate Aggregate Aggregate Aggregate Aggregate Don’t Know (DK) X X Unique ID
Individual & Aggregate Individual & Aggregate
X X
Individual Aggregate Aggregate Aggregate Aggregate
X X DK X X
Aggregate Individual Aggregate Aggregate Individual & Aggregate Individual Individual & Aggregate Individual & Aggregate
X X DK
x x x x
Many of the same data elements are required across funding sources. However data formats and categories for the same variable often differ. Within agencies, the process of collecting data for reporting is often not coordinated. If each funding source served a set of unique clients, then multiple data forms and entry, while burdensome, would result in low redundancy in the system. This is usually not the case, however. Most funding sources are for the same client and they provide different and redundant services, thus the net result is redundant data collection for both providers and clients. Data Input and Data Quality While funders often mandate the reporting of information and may even provide systems to collect data, little effort is focused on developing protocols or refining the process of
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data collection. There are, however, similarities in the way most service providers collect information. Figure 1 diagrams the structure of a typical multi-service organization and shows points at which data collection occurs. For many agencies, their clients come into services some time after testing positive for HIV. Agencies themselves may conduct outreach to bring clients into services. Often clients are referred to an agency, but, in some instances, seek out an agency themselves. Once at the agency, clients usually undergo a general intake and, perhaps, an assessment of need. Based on the assessment, they may receive a referral to services in the same agency or other agencies. Clients referred to services, even to services within the same agency, may undergo another intake and/or assessment, both to facilitate the delivery of services and to fulfill requirements for data collection of a particular program. Next, clients may receive some type of service plan and referrals. Monitoring may occur to track progress on the service plan and re-assessments may be conducted periodically. Data collected through assessment and reassessment may be used to assess client outcomes and aggregated to determine the efficacy of the program. Figure 2 shows the continuum of housing and housing-related services funded by HOPWA and demonstrates how data collection efforts may be duplicated when clients access multiple services either within a single agency or across several agencies. Some recipients of housing and related services may be brought into the continuum through HOPWA-funded outreach and harm reduction services. They may also enter the continuum by referral to any of the other HOPWA-funded programs (or, by seeking out services themselves). What becomes clear from Figure 2 is the large amount for redundant information that is collected through numerous intakes and assessments. For each service accessed, clients typically undergo intake and/or assessment both at the agency providing the service and at entry into the funded program. For example, a client seeking HPA services may undergo intake when they reach the agency and undergo intake and/or assessment when they are referred to the HPA program within the agency. In most instances, service providers have an intake worker or case manager who makes an assessment of clients’ needs and eligibility. Depending upon the agency, this information may then be forwarded to data entry clerks. None of the groups interviewed devote many resources to determining the best process of obtaining information or entering information, and only one had quality checks on data entry as a standard part of their data entry process. Forms are not designed to be input directly and are usually not designed to facilitate data entry by pre-coding fields or using column layouts.
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Figure 1 Client and Data Flow at a Typical Multi-service Agency
TESTING/OUTREACH REFERRAL TO AGENCY
INTAKE
HOUSING
CASE MANAGEMENT
FOOD
MEDICAL
Intake
Intake
Intake
Intake
Assessment
Assessment
Assessment
Assessment
Referral
Referral
Referral
Referral
Service Plan Service Plan Monitoring Monitoring Outcome Re-assessment Re -assessment Outcome Monitoring
Service Plan
Service Plan
Outcome
Monitoring
Outcome
Re -assessment
Re-assessment
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Figure 2 Client and Data Flow through the Continuum of HOPWA-funded Services
HOUSING OUTREACH HARM REDUCTION OUTCOMES Engagement Awareness INTAKE Eligibility
ASSESSMENT Need REFERRAL
HOUSING PLACEMENT ASST INTAKE Eligibility ASSESSMENT Need REFERRAL SERVICE PLAN Action MONITORING Utilization Quality of service Barriers OUTCOME Housing Status Health Status Adherence
SUPPORTIVE HOUSING INTAKE Eligibility ASSESSMENT Need REFERRAL SERVICE PLAN Action MONITORING Utilization Quality of service Barriers OUTCOME Housing Status Health Status Adherence
INDEPENDENT LIVING SKILLS TRAINING / WORKSHOP Action MONITORING Utilization Quality of service Barriers OUTCOME Ind Living Skills Quality of life Housing status
VOCATIONAL INTAKE Eligibility ASSESSMENT Need REFERRAL
Re-assessment
SERVICE PLAN Action MONITORING Utilization Quality of service Barriers OUTCOME Jobs
Re-assessment
Re-assessment
Re-assessment
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Data Analysis In general, agencies performed very basic analyses of the data they collected. Some standard report formats are available, however, there is little in-house capacity to model data to project service trends or needs. Data reports are often seen as something that must be provided to funders to meet contractual commitments. Internal analysis and review of data is not viewed as a high priority, and there is little staff capacity to conduct more in-depth analysis. A few examples highlight these findings. At Harlem United Community AIDS Center, data collection is ad-hoc. A monthly report prepared for presentation to the Board suggests that most of the client data is derived from a number of sources and presented for several programs. However, data for the report comes primarily from chart reviews of a sample of cases, not from a database or some other repository maintained on an ongoing basis. Data prepared by an outside consultant on client attitudes and behaviors is a main source of information for one report, but not systematically updated for future reports. Only marginal tabulations prepared by the consultant were presented with no analysis by demographic subgroups. The Uniform Reporting System (URS), the reporting system supported by MHRA and the AIDS Institute for programs receiving support under the Ryan White Care Act, is not operational at that agency. Interestingly, while there is little effort to adopt URS, a new billing system is being installed that will capture client activity. On the other hand, the Osborne Associates, a large multi-service agency, uses a proprietary system designed by IMA to collect data on an ongoing basis. The data is used extensively for internal reports. However, this system is not entirely compatible with other reporting systems, such as URS, which they do not use internally to examine data. Program staff reported that they would like to be able to more readily perform more sophisticated analyses. A smaller agency, African Services Committee (ASC), relies on URS. Program staff reported that URS meets their reporting needs, but does not supply data readily to meets the internal analytical interests. They are working with staff from Defran, the consultant that created URS, to have custom fields and reports designed for these purposes. Barriers to More Effective Data Use and Management Data managers interviewed in the housing organizations identified ten main barriers to more effective data use and management. Reporting expectations do not reflect program activities. Agencies are aware of their capacity. However, in responding to RFP’s and trying to meet the expectations funders, agencies feel pressure to report the services they provide in ways that they perceive to be desirable, even if they do not accurately represent what they do. When funders design reporting formats with service categories that do not
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match those developed at the agency level, resulting reports may not accurately represent the agencies’ actual levels of service delivery. The lack of data systems are unable to unduplicate clients with multiple services. The absence of accurate monitoring about program capacity may lead agencies to overestimate their performance in funding applications. One person interviewed summarized this barrier by saying, “We may know how many we can serve, but the city and state want you to inflate that number so that they can get the money.” Existing data systems are not flexible. Staff responsible for data at most agencies had few positive things to say about the systems that some funders asked them to use. URS is widespread and, the mandated Title II client management system, and the endorsed system by MHRA for Title I. It is one of the most complex systems the agencies use. Whether or not it currently works well as a reporting tool, there is a huge reservoir of frustration among users who are interested in examining the data they collect internally. One data manager, reflecting often heard comments said, “URS is a horrible system – it’s not flexible and it doesn’t give you what you need. The fields are pre-determined.” Not enough resources are allocated to fulfill reporting needs. Many contracts require agencies to collect and report data, but, in general, they do not provide sufficient funds or other support for this function in order to assure high-quality data. Under most contracts, support for data collection and reporting come out of administrative overhead, which is limited to 10% in many contracts. Regarding data entry, one data manager said, “We go into these contacts assuming a deficit because we have to pay additional administrative costs.” Inconsistent reporting categories in different data systems. While many of the data systems capture similar information, many use slightly different formats. One data manager noted, “You have client level data you have to provide to funders. One may have a list of ethnicities while the other wants another list of ethnicities with different codes.” This barrier is heightened because the ability to manipulate data internally is limited and categories that might be combined for reporting purposes is usually not considered because internal staff cannot manipulate the data. Outcome indicators are not relevant to housing programs. Data managers and management interviewed in housing organizations questioned the ability to show that housing contributed to better health outcomes or more stable medical conditions. One manager said, “My concern is you can’t say housing is the lone factor to some of the outcomes e.g. quality of life. I think ‘Is our housing doing this alone?’ No, there is more than this one component.” For most housing projects, it is true that the number of clients would be too small to demonstrate, at the program level, the clear impact of housing on health-related outcomes
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or adherence. If the data was combined at a city-wide level, or if there was an interagency plan to show outcomes, then it might be possible. The HHETA project is combining data citywide to assess outcomes, but this purpose is not well known by program staff. Reporting needs compete with program needs. Because data collection and data entry are not seen as part of the program activities, and case managers and line-staff typically do not use the data systems to recall individual client data or aggregated trends, there is a perception that data needs and program needs are different. In addition, data collected for evaluation is rarely filtered in a constructive way to line-staff, so they often perceive it as an unwelcome addition to their schedule. For example, one data manager noted, “You can’t allow evaluation to co-exist in service provision. I think it reduces the quality of the service.” Multiple anxieties and fears about how programs will use data. Stealing Clients Given the current funding mechanisms and focus on numbers of clients served, there is a fear that a central data system where client information is available would be used by some agencies to “steal” clients from other agency. Data being used to enforce set numerical or quality criteria for services. To date data has not been used to enforce numerical quotas on units of services offered or quality standards. With improved data available, there is some fear that it would be used in a punitive way to enforce contractual commitments or develop standards for accountability. Discovering or revealing redundant service provision Although multiple data systems are cumbersome and inefficient, since they do not reference each other, the same service may be provided by multiple programs. With an ability to uniquely identify clients and services, revenue may be reduced. Mistrust of the ability of data system to maintain client confidentiality. Many of the line-staff and their managers do not believe that data systems can maintain their clients’ confidentiality. Anecdotes abound about systems that have been breached. However, there is little appreciation of the security measures available and the vulnerability of files and charts maintained in paper files
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RECOMMENDATIONS There is no question that the current system of data collection and management among providers of housing and housing-related services could be less fractured, more effective, and encourage more accurate data reporting. Currently, data collection and reporting are largely seen as requirements imposed by funders and, secondarily, as a management tool. This attitude is reinforced by the cumulatively large data collection demands placed on agencies with little thought or training as to how the data might be used to help agencies plan more effectively and better meet the needs of their clients. In many instances, limited expertise in data manipulation and analysis exacerbate barriers experienced by agency staff. For example, data formats that differ (e.g. age in years vs. date of birth) may be recoded into several different categories to meet multiple funder needs. However this requires a level of analytic expertise that is not available in many agencies. Funders could effect some change in this inefficient system. So far, however, there is little evidence that they are coordinating their reporting requirements or standardizing their data collection instruments. Programs, in general, are left largely to fend for themselves in developing data collection procedures that minimize error and cost. In some instances, funders have spent considerable time and resources developing systems and forms and mandating programs for reporting. Yet, they dedicate relatively little time and few resources to their implementation and to the necessary quality checks to assure the accuracy of data. Program staff, in general, does not see the utility of much of the data recorded. In many agencies many more data fields are collected than used in analysis increasing the perceived, if not actual, magnitude of data collection efforts, without a corresponding benefit in monitoring or understanding the clients’ needs and barriers. Redundancy and lack of coordination in data collection does not come without a cost. First, there is the burden it places on clients, and the barriers that it causes for clients who are discouraged by what they perceive as red tape and insensitive providers. Second, there are costs to the agencies in terms of processing forms, entering data, reporting data, and receiving training on the use of data collection systems. Based on the interviews and secondary data collection, PCH recommends: Technical Assistance (TA) on the Use of Data, Data Entry and Quality Control, Data Analysis, and the Use of Data for Internal Needs. Group and agency specific TA is likely to improve agency appreciation and use of the data. TA providers must be trained in data management and analysis and understand agencies’ reporting requirements. The TA should be less “process” oriented and more “skill-based” and educational. That is, the TA should provide details on how data is collected, processed, and used rather than address the process of whether or not data should be used or the process of determining question wording and categories.
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The outcome of the TA should be more efficient data collection, higher quality data, and improved ability to use data for internal management needs. Agencies would benefit if there was a better understanding of the different options for data collection and data entry (on-line, paper forms, etc.), collection of data on-line or through systematic interviews with clients, populating the same data fields in different systems, data cleaning, and the types of data analysis that can be done internally to help plan and monitor services. The more that data collection efforts are seen as functional for agencies, the greater the likelihood of cooperation. Minimize Duplicate Entry for Data Entry Elements To minimize duplicate entry, providers first have to agree to share data, and second funders must decide on reporting formats that are consistent across multiple forms. For reasons listed above, achieving agreement to sharing data across different providers may be challenging. Still, with continued emphasis on referrals and letters of agreement (LOA’s) between agencies, data sharing should be part of those referral agreements. For funders, establishing standardized reporting formats or designing systems that allow data to be recoded into different formats should be top priority. If the barrier is an interest in collecting trend data then an analyst could design a standard that exports or translates data into existing categories of different databases while allowing the questions to be more general. For example, age could be determined by date of birth rather than asking a series of age categories. Once coded as a continuous variable, it could then be recoded into the different age categories demanded in the different required reports. Race could be asked in several different ways, as long as it is collapsible into uniformly agreed upon categories. For open-ended questions, there is usually enough experience to design close-ended questions with frequently used categories. Create a System-wide client Unique Identifier Key to reducing duplication of data is having a system-wide unique client identification number. This would require an agreed upon standard, but it is an important part of any system wide effort to reduce redundancy. Given the adoption of proper practices and encryption, there is no reason to fear that a database would compromise the confidentiality of clients. One solution would be to have funders and grantees agree upon a uniform intake form and create a modular set of forms or data entry screens that are capable of capturing common elements, but have the flexibility to capture in-depth information about different service categories. With agreed upon formats, the actual system used to collect data could be scaled to the needs of the user. In general, it would be useful for funders to limit their database design and distribution ambitions. Once the data elements are specified, the providers should be funded to purchase or design the database that best fits their needs. TA would be useful
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in helping them select the appropriate system. This would limit the database development costs and help desk and maintenance functions necessary to correctly implement and update programs. An added benefit of this option is that agencies with their own systems already in place, like IMA or URS, would not have to adopt a new, parallel system. However, as mentioned previously, they may require funding to have their existing systems adapted to meet the agreed upon reporting requirements. Funders may also wish to specify available databases that meet their standards and establish group buying discounts. As web-based databases and support becomes more secure and accessible, they offer an attractive solution to centralized databases that have real time distribution among different providers. Further, it saves on the need to support different systems and hardware at each provider location. Based on PCH’s experience we would not recommend mandating a system based on one particular case management model. Providers may not be willing to adopt that particular case management model, or have the expertise or resources to operate and maintain the system. Any mandated system has to have proper preparation and training. For smaller providers, the learning curve and maintenance costs may present a high barrier to adoption. Realistic Cost Allocation By Funders Related to Data Entry and Analysis In requests for proposals and related TA, it would be useful for funders to specify a percentage of the total amount or provide an equation that can be applied to calculate the cost of data collection, data entry, quality assurance, and analysis. These costs might be allowed as a line item and removed from the general overhead category. That would serve to increase awareness, and reward agencies that correctly plan for data collection and analysis. Assurances of Client Confidentiality Data systems should be designed with adequate encryption to assure client confidentiality. The most appropriate systems would use unique client identifiers and have the actual names, addresses, and numbers in a related highly secured file with highly restricted access. In that way, anyone who might penetrate the system would not be able to link clinical or personal data with a name. Even without that “gold standard,” procedures can be designed to encrypt and limit access to names. Many database programs are password protected, but the underlying tables can be accessed without passwords, and that leaves names open to anyone with slightly advanced database skills. It is necessary to password-protect specific files as well as programs, and that technology is available in most operating systems. Once the standards are adopted and implemented, it is necessary to show PLWH/A in the system as well as line providers that the system is secure. Without that assurance, cooperation will be limited.
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Relevant Outcomes For the evaluation of housing and housing-related services, two types of processes should be considered. First, agencies should be able to assess their own services with a limited set of process and outcome measures that are directly attributable to services. For example, number of persons placed in transitional or permanent housing, increased knowledge of housing services, improved access to support services, or increased ability to live independently. Second, funders might consider a series of system-wide assessments clustered around service categories for outcomes that require greater sample sizes and more challenging design and analysis. For example, physical or mental health outcomes such as morbidity and mortality, adherence to drug regimens, or improved quality of life might require several providers participating in a study where data is collected using a uniform protocol. The design of these types of studies should take into consideration recommendations to minimize redundant data collection and to provide agencies with necessary resources to accomplish this. Link System Development to Billing or Provide Financial Incentives for Reporting Data Accurately and in a Timely Fashion Linking client databases to billing offer a strong incentive for providers to adopt and maintain client databases. This is done with COBRA case management, and while there are complaints about the system, compliance is not a major hurdle. Alternatively, incentives for entering data accurately and in a timely manner may be built into contracts, rewarding agencies for performance in this area above the amount of their contracts. CONCLUSION Overall, we find that providers of housing and housing-related services are attempting to manage competing demands for data, reporting, and evaluation in an environment where there are considerable resources allocated to software development for the grantee, but few resources allocated to providers to fulfill data requirements or train providers on inputting, processing, and analyzing data. From a systems’ viewpoint, the emphasis on different systems and databases has, so far, failed to achieve a non-redundant system-wide data management system which promotes improved client access to services without increasing the data reporting burden of clients and providers. We suggest that there be a greater emphasis on uniform data standards and providing TA to providers to facilitate the understanding of how data enters, is processed, and is output from the system. If funders had less vested in a particular system and cooperated more on establishing uniform data elements, along with providing TA that would show
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providers now to use the data for their own planning, the overall system would be more useful for providers and provide more reliable and valid data for aggregate analysis.
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I. Attachment 1 Housing Program Descriptions
HOUSING PLACEMENT ASSISTANCE The primary goals of this program category are locating and securing permanent housing and housingrelated support for homeless or inadequately housed individuals, including rental assistance entitlements and utility subsidies. Other goals include referrals for other needed services including, but not limited to, case management, medical, mental health, substance abuse treatment services; housing-related workshops; community outreach and educational activities regarding the availability of HAP services.
Kim Nichols Development African Services Committee, Inc. 429 W. 127th St., 2nd Flr. NY, NY 10027 P-212-222-3882 x119 F-212-222-7067 Rosemary Lopez Director HIV AIDS Center of Queens County, Inc. 88-10 178th St., #1D Jamaica, NY 11432 P-718-262-8929/8750 F-718-262-8760 Martine Barbier Client Services Haitian Women's Program, Inc. 464-466 Bergen St. Bklyn, NY 11217 P-718-399-0200 F-718-399-0360 Dicxon Valderruten Director, Living Well Osborne Association 809 Westchester Ave. Bronx, NY 10455 P-718-842-0500 F-718-378-1964 Victor Seltzer Program Manager - Brooklyn and Manhattan Programs Praxis Housing Initiatives, Inc. 470 Bergen St. Bklyn NY 11217 P-718-623-9810 F-718-378-1964 Sue Sabarra Director of Supportive Housing Project Hospitality, Inc. 150B Richmond Terr. Staten Island, NY 10302 P-718-448-1544 x 120 F-718-448-0421 Leona Williams Coordinator Research Foundation of CUNY on Behalf of Bronx Community College Health Force 552 Southern Blvd. Bronx, NY 10455 P-718-585-8585 x 235 F-718-585-5041
INDEPENDENT LIVING SKILLS Primary goals for this program category are to provide independent living skills training through workshops and/or support groups to clients who are in the process of obtaining permanent housing or who have been in permanent housing for less than one (1) year. Additional goals include follow-up home visits to assess the client's ability to implement what has been taught in the workshops, and to offer assistance as individual need indicates.
Rosemary Lopez Director HIV AIDS Center of Queens County, Inc. 88-10 178th St., #1D Jamaica, NY 11432 P-718-262-8929/8750 F-718-262-8760 Maria Romero Assistant Deputy Director - ILS Church Avenue Merchants Block Association, Inc. (CAMBA) 19 Winthrop Street Bklyn NY 11213 P-718-462-8654 x 332 F-718-703-8635 Stanley Richards Senior Director Fortune Society, Inc. 53 W. 23 St., 8th Flr. NY, NY 10010 P-212-691-7554 x575 F-212-255-4948 Dicxon Valderruten Director, Living Well Osborne Association. Inc. 809 Westchester Ave. Bronx, NY 10455 P-718-842-0500 F-718-378-1964 Lori Howe F-718-876-7761
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OUTREACH - SRO HARM REDUCTION Primary goals of this program category are to provide SROs with low-threshold harm reduction interventions including the provision of harm reduction and personal hygiene supplies and HIV/AIDS literature, and to perform harm reduction outreach. Additional goals include the provision of on-site medical assessments and case management services and referrals for mental health, substance abuse, medical and housing services as needed.
Fulvia Alvelo Assistant Director/Prevention Services AIDS Service Center, Inc. 80 5th Ave., 3rd Flr. NY NY 10011 P-212-645-0875 F-212-645-8712 L. Synn Stern Director/Programs CitiWide Harm Reduction, Inc. 260 E. 143 St. F-718-299-5229 Bronx, NY 10451 P-718-292-7718 F-718-292-0500 Allen Feldman Principal Investigator Services for the Underserved, Inc. STOREFRONT 263 East Tremont Ave. Bronx, NY 10457 P-718-299-5943
OUTREACH - STREET YOUTH Primary goals of this program category are to provide outreach, HIV/AIDS prevention and intervention services and harm reduction and personal hygiene supplies to homeless adolescents and street youth (ages 13 - 24 years).Other goals include the provision of on-site medical, case management and mental health services, and substance abuse counseling; referrals for similar services; housing placements and educational workshops.
Angela Amel Program Director Safe Horizon, Inc. 545 8th Ave. NY, NY 10001 P-212-563-9638 F-212-695-2317 Susan Baydur Director of Homeless Youth Services Safe Space NYC, Inc. 133 W. 46TH St. NY, NY 10036 P-212-354-7233 x231 F-212-213-4594/4710
SUPPORTIVE HOUSING Primary goals for this program category are to identify and secure or provide appropriate permanent housing for individuals with HIV/AIDS. Additional goals include providing case management and supportive services to enable clients to maximize entitlements, be referred to needed medical, mental health, legal and other services, and the provision of nutritious meals. Independent living and life skills workshops and support groups may also be offered.
Difficult to Serve Francisco Quinteros Executive Director Casa Betsaida, Inc. 267 Hewes St. Brooklyn, NY 11211 P-718-218-7890 F-718-218-8264 Women with Mental Illness Michael Erhard CAMBA 19 Winthrop Street Bklyn NY 11213 P-718-462-8654 x 306 F-718-703-7210 Women with Children Delores Moon Deputy Dir./Programs Harlem United Community AIDS Center, Inc. 123-125 W. 124th St. NY, NY 10027 P-212-803-2850 F-212-803-2899 Seniors Carlos Bristol Program Director Services for the Underserved, Inc. 50 Court St. Bklyn NY 11201 P-718-403-9846 F-718-643-685
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II. Attachment 2 Annual Performance Report (APR)
U.S. Department of Housing and Urban Development Office of Community Planning and Development
OMB Approval No. 2506-0133 (exp.11/30/2003)
Annual Progress Report (APR) for Housing Opportunities for Persons With AIDS (HOPWA)
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form HUD-40110-C (11/97)
Housing Opportunities for Persons With AIDS (HOPWA) Annual Progress Report Public reporting burden for this collection of information is estimated to average 65 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. This agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless that collection displays a valid OMB control number. This information is collected under the authority of the AIDS Housing Opportunity Act (AHOA), as amended, 42 U.S.C. 12901, which authorizes HUD to provide States and localities with the resources and incentives to devise long-term comprehensive strategies for meeting the housing needs of persons living with acquired immune deficiency syndrome (AIDS) or HIV infection and their families. The statute includes the following items that necessitate the collection of this information: (1) the AHOA authorizes the Department to conduct a national competition for the award of funds for ten percent of the annual appropriation for the Housing Opportunities for Persons With AIDS (HOPWA) program; and (2) the AHOA requires that recipients of assistance report on the use of amounts received, including the number of individuals assisted, the types of assistance provided and other information determined to be appropriate by the Secretary. This notice applies to grants selected under the national competitions. HUD selects the highest rated applicants for special projects of national significance and applicants for projects that are part of long-term comprehensive strategies for providing housing and related services in areas that do not qualify for formula allocations. Annual Progress Reports provide HUD with essential information on project activities in reporting to Congress and the public on the use of program funds. In addition, the reports assist HUD Offices in monitoring the use of Federal funds, and ensuring statutory and regulatory compliance. Information is collected on an annual basis in the application to make selections and in the annual progress report to report on program activities based on statutory requirements at 42 U.S.C. 12903(b)(3) and 12911. Less frequent submission of information on program accomplishments, which is contained in the Annual Progress Report, could compromise the legal, efficient and effective implementation of the program. The information to be submitted by applicants and recipients is considered public information, except to the extent that applications contain personal or proprietary information or are in use for the competition during a covered use period under the HUD Reform Act. General Instructions Purpose. The Annual Progress Report (APR) tracks the accomplishments of the Housing Opportunities for Persons With AIDS (HOPWA) Program. This report will provide the grantee and HUD with important information necessary to assess the grantee's program. Applicability. Grantees must complete this report for each program year in which HOPWA grant funds were expended. Each competitive grant should be reported in a separate APR. Recordkeeping. An optional worksheet is included to assist grantees and project sponsors in recording the information necessary for completing this report. The worksheet may be used to record program information manually or to design a
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computer database to store and tabulate the information. Names and other individual information must be kept confidential, as required by 24 CFR 574.440. However, HUD reserves the right to review the information used to complete this report, except for names and other identifying information. Information is reported in aggregate to HUD. Do not submit the worksheet to HUD. Operating Year. Grantees have flexibility in setting the dates of operating years. A grantee of a competitively-awarded grant may set the operating start date for its program on a date up to four months following the date of the signing of the grant agreement and any change requires the approval of HUD by amendment. Organization of the Report. The information included in this report is organized in the following manner:
form HUD-40110-C (11/97)
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Part 1 Summary. This section provides an overview of the activities carried out. Grantees also describe any barriers encountered and their actions in response and recommendations for program improvements. Part 2 Demographics. This part provides information on the characteristics of persons assisted by the program. Part 3 Program Expenditures and Housing Provided. This part provides information on the financial status of the program including summary expenditure information and information on housing assistance and supportive services by each site and project sponsor. Final Assembly of Report. After the entire report is assembled, please number every page sequentially. Filing Requirements. The information in this package must be submitted to: (1) the CPID Division Director in the HUD Field Office 90 days after the end of each program year. Failure to submit an Annual Progress Report may lead to a delay in receiving future grant funds; and (2) an additional copy should be sent to: HOPWA Program, Office of HIV/AIDS Housing U.S. Department of Housing and Urban Development Off ice of Community Planning and Development 451 Seventh Street, SW Washington, D.C. 20410
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form HUD-40110-C (11/97)
Housing Opportunities for Persons with AIDS (HOPWA) Annual Progress Report Grant Number(s) Program Year for this report From (mm/dd/yy) To (mm/dd/yy)
Grantee Name Name of EMSA (if applicable) I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate. Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties. (18 U.S.C. 1001, 1010, 1012, 31U.S.C.3729,3802) Signature & Date (mm/dd/yy) Name & Title of Authorized Official Name & Title of the Person who can answer questions about this report Address Phone (include area code)
Part 1 Summary. Exhibit A - Overview of Accomplishments. Please briefly describe the principal activities carried out during the program year on a page(s) attached to this report. List your specific objectives and briefly describe your success in meeting these objectives. Technical Assistance / Resource Development activities should be described in this section. Including information on how recipients of assistance were chosen and on what services were provided. Exhibit B - Program Improvements. Describe on a page(s) attached to this report: (1) Barriers. Any barriers or difficulties that were encountered in implementing the program, including residents’ concerns, and actions that were taken to address those issues: and (2) Recommendations. Any recommendations that you may have for program improvements, including procedural, regulatory, or other changes, and how such improvements would assist eligible persons.
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form HUD-40110-C (11/97)
Part 2 Demographics. Exhibit C - Numbers of Persons and Families Assisted During the Program Year with HOPWA Funds. 1. Persons Assisted With Housing Assistance. In the table below, enter the number of persons who received housing assistance funded by HOPWA during the program year. Do not report on persons only receiving supportive services or persons only receiving housing information services. If a person's HIV status is unknown, count that person in (b). a. Number of persons (adults and children) with HIV/AIDS who received housing assistance b. Number of other persons in family units who received housing assistance c. Total of persons who received housing assistance (a. plus b.)* * Note that this number will be the basic participation number used for reporting other program information throughout the report, including the characteristics of persons assisted (Exhibit D).
2. Families Assisted With Housing Assistance. Of the total of persons assisted with housing assistance (1-c, above), how many family units were assisted (do not include single person households). (Definition of Family: "Family" means a household composed of two or more related persons. The term "family" also includes one or more eligible persons living with another person or persons who are determined to be important to their care or well being, and the surviving member or members of any family described in this definition who were living in a unit assisted under the HOPWA program with the person with AIDS at the time of his/her death. [Section 574.3]) Total of family units assisted with housing assistance:
3. Persons Assisted With Supportive Services Only. In the table below, enter the number of persons who received only supportive services funded by HOPWA during the program year. Do not include persons who received supportive services in conjunction with housing assistance (1-c. above). a. Number of persons (adults and children) with HIV/AIDS who received supportive services only b. Number of other persons in family units who received supportive services only c. Total of persons who received supportive services only (a. plus b.)
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form HUD-40110-C (11/97)
4. Persons Receiving Housing Information Services. Enter the estimated number of persons who received housing information services funded by HOPWA during the program year. This number may include persons also reported above (1, 2, and 3). Estimated total of persons receiving housing information services:
Exhibit D - Characteristics of Persons Receiving Housing Assistance During the Program Year. Throughout this exhibit answer all questions regarding persons receiving HOPWA supported housing assistance during the year (i.e. persons reported in Exhibit C 1). Do not include information on persons only provided with supportive services or housing information . c. Race. How many participants are in the following racial categories? 1. Demographics. a. Age and gender. Of those who received housing assistance during the operating year, how many are in the following age and gender categories? Persons a. 17 years and under b. 18 to 30 years c. 31 to 50 years d. Recent living situation. How many participants were in the following living situations immediately prior to entering the program? Include participants in the one category that best describes the participant's b. Hispanic/non-Hispanic. How many participants most recent living situation. are in the following ethnic categories? a. Homeless from the streets a. Hispanic b. NonHispanic b. Homeless from emergency shelters c. Transitional housing d. 51 years and over male female a. Asian/Pacific Islander b. Black c. Native American or Alaskan Native d. White
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form HUD-40110-C (11/97)
d. Psychiatric facility* j. Rental housing e. Substance abuse treatment facility* f. Hospital or other medical facility* g. Jail/prison * h. Domestic violence situation i. Living with relatives/friends
* If a participant or family head(s) of household came from one of these facilities but were there less than 30 days and were living on the street or in emergency shelter before entering the treatment facility, they should be counted in either the street or shelter category, as appropriate.
k. Participant-owned housing 1. Other (please specify)
2. Incomes. For those receiving housing assistance, enter the number of individuals and family units falling under these income categories at the time of their entry into the program. (The total for this element may differ from the total in Exhibit C 1.) $0-250 Number of individuals and family units Gross Monthly Incomes at Entry in Program $251-500 $501-1000 $1001-1500 $15012000 $2001+
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form HUD-40110-C (11/97)
3. Reasons for leaving. Of those who left a program that provided housing assistance during the operating year and are not expected to return (do not include, for example, participants who temporarily left their housing for a brief period of hospitalization), complete the chart below based on how long they were in the program before leaving and the primary reason for their leaving the program. If a participant left for multiple reasons. Include only the primary reason for their departure. Reason for Leaving less than 3 a. Voluntary departure b. Non-payment of rent c. Non-compliance with supportive service requirements d. Unknown/Disappeared e. Criminal activity / destruction of property / violence f. Death g. Other (please specify) Number of Months in Program 3 to 6 7 to 12 more than 12
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form HUD-40110-C (11/97)
Part 3 Program Expenditures and Housing Provided. Expenditures are amounts spent for eligible activities. Do not include non-HOPWA sources or in-kind items, such as the value of services or materials provided by volunteers or by other individuals or organizations. Exhibit E - Summary of Program Expenditures. This exhibit will provide information about available HOPWA funds and HOPWA expenditures for the program during the reporting period. Include only expenditures made from a single competitively-awarded HOPWA grant. Please round dollar amounts to the nearest dollar. HOPWA Funding Available 1. Unexpended HOPWA funds at end of previous report period (this balance is 0 in the first year of program) 2. Amount of HOPWA grant received during period 3. Program income (e.g., loan repayments) 4. Total of HOPWA funds available during period (sum of lines 1 thru 3) Also report the following aggregate totals by type of activity for the report period (totals equal all expenditures of HOPWA funds during this period): HOPWA Expenditures (Totals by Eligible Activity) 5. Expenditures for Housing Information Services 6. Expenditures for Resource Identification 7. Expenditures for Housing Assistance (equals the sum of all sites and scattered-site Housing Assistance reported in Exhibit G.) 8. Expenditures for Supportive Services (equals the sum of all Exhibit H funds used) 9. Grantee Administrative Costs expended 10. Project Sponsor(s) Administrative Costs expended 11. Total of HOPWA funds expended during period (sum of lines 5 thru 10) 12. Balance of HOPWA funds at end of report period (line 4 minus line 11)
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form HUD-40110-C (11/97)
Exhibit F - Units of Housing Assistance. For housing assistance provided in facilities, including project-based rental assistance, complete Item 1. For housing assistance payments, either tenant-based rental assistance or short-term payments, complete Item 2. 1. Units by type of housing facility. Report the number of units that were used during the program year by number of bedrooms. Enter the number of units of project-based rental assistance under the appropriate type of facility. Type of housing facility SRO a. Short-term facility b. Single room occupancy dwelling c. Community residence d. Other housing facility (specify): 2. Units by type of housing assistance payment. Report the number of units that were used during the program year by number of bedrooms. Count each unit assisted as one entry regardless of the number of monthly payments made for that unit. Type of housing assistance payment SRO a. Tenant-based rental assistance b. Short-term rent, mortgage and utility payments (Note: This page summarizes information provided on each site or activity location in Exhibit G.) 0 bdrm Units by Number of Bedroom size 1 bdrm 2 bdrms 3 4 bdrms bdrms 5+ bdrms 0 bdrm Units by number of Bedrooms 1 2 3 4 bdrm bdrms bdrms bdrms 5+ bdrms
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form HUD-40110-C (11/97)
Exhibit G - Housing Assistance Expenditures. 1. Facility Based Housing Assistance. For each site, provide information on development actions and actual HOPWA expenditures for a facility during the report period. Such facilities include community residences, SRO dwellings, short-term facilities, and other housing facilities approved by HUD, and non-housing based facilities. A site may include more than one structure or type of facility. All expenditures for acquisition, rehabilitation/conversion, lease, repairs, new construction, operating costs and technical assistance for a facility should be reported in this exhibit. (Please do not include funding for related supportive services; these services are reported in Exhibit H. Except for administrative costs for community residences supported by a 1992 grant, all grantee and project sponsor administrative expenses are reported in Exhibit E. Housing information services and resource identification are also reported in Exhibit E.) 1-a Site Information. Name of project Address/location of site Name and Address of project sponsor
1-b Site development actions. For each site, provide the following dates or other information. (Do not submit if a previous annual progress report indicated that all activities at this site were completed and that services had been initiated.) a. Date of closing on purchase of building or execution of lease b. Date rehabilitation started c. Date rehabilitation was completed d. Date new construction started e. Date new construction was completed
f. Date operations staff was hired g. Date residents began to occupy h. Date supportive services began
1-c Units by type of housing facility. Indicate the type of housing that was provided (i.e., enter one of the following: Short-term facility, SRO dwelling, Community residence, or specify another type of housing facility). Type of housing facility SRO 0 bdrm Units by number of Bedrooms 1 2bdrms 3 drms 4 bdrms 5+bdrm bdrm s
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form HUD-40110-C (11/97)
a. Short-term facility b. Single room occupancy dwelling c. Community residence d. Other housing facility (specify):
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form HUD-40110-C (11/97)
1-d Expenditures by facility site. Enter the amount of HOPWA funds expended during the operating year for the activities listed below. Type of activity a. Acquisition b. Rehabilitation/conversion/repair c. Lease d. New construction (community residences/SRO dwellings only) e. Operating costs f. Technical assistance (community residences only) g. Project-based rental assistance h. Other (specify) HOPWA Funds
i. HOPWA Total for this site
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form HUD-40110-C (11/97)
2. Scattered-Site Housing Assistance. For housing assistance provided through tenant-based rental assistance and short-term rent, mortgage, and utility payments, submit this form for each project carrying out scattered-site housing assistance. 1-a Name and address of project sponsor
2-b General location(s) of activity
2-c Implementation actions. For the project, provide the following dates. (Do not submit if a previous annual progress report indicated that housing assistance and services had been initiated.) a. Date residents began to use payments (mm/dd/yy) b. Date supportive services began (mm/dd/yy) 2-d Units by type of housing assistance payments. Report the number of units that were used during the program year by number of bedrooms. Count each unit assisted as one entry regardless of the number of monthly payments made for that unit. Type of housing assistance payment SRO a. Tenant-based rental assistance b. Short-term rent, mortgage and utility payments 2-e Expenditures by type of housing assistance payment. Enter the amount of HOPWA funds expended during the operating year for the activities listed below. Units by Number of Bedrooms 0 1 2 3 4 bdrm bdrm bdrms bdrms bdrms 5+ bdrms
Type of housing assistance payment a. Tenant-based rental assistance b. Short-term rent, mortgage and utility payments
HOPWA Funds
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form HUD-40110-C (11/97)
Exhibit H- Supportive Service Expenditures. Submit this form for each project carrying out supportive services activities.* Name and Address of project sponsor
General location(s) of activity
Date services began: Enter amount for supportive services(s) which apply 1. Outreach 2. Case management/client advocacy/access to benefits/services 3. Life management (outside of case management) 4. Nutritional services/meals 5. Adult day care and personal assistance 6. Child care and other children services 7. Education 8. Employment assistance 9. Alcohol and drug abuse services 10. Mental health services . 11. Health/medical/intensive care services 12. Permanent housing placement 13. Other (specify) Amount
14. HOPWA total for this sponsor
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form HUD-40110-C (11/97)
*For each project sponsor or for the grant in total, report on the amounts expended by type of activity. In cases where multiple activities are carried out by the sponsor and records do not reflect actual expenditures by individual services, provide the total amount expended by the sponsor during the reporting period and an estimate of the amounts by type of activity or, aggregate the amount reported under the primary type of service provided by the sponsor.
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form HUD-40110-C (11/97)
HUD HOPWA Annual Progress Report Worksheet This worksheet is optional and is intended to help you collect project information needed to complete Part II of the HOPWA Annual Progress Report. It should not be submitted to HUD. However, HUD reserves the right to request or review the information used to complete the report, except for names and identifying information. See Worksheet Instructions for directions on using this worksheet. Please keep a file of' “other information” (item 14 below) to specify on the annual report. Names and personal data on participants must be kept confidential; a unique identifying code could be used to track participants. For families, list the head of household first and aggregate family information following that entry. Other family members can be sequentially listed to provide space for demographic information. As described in this instructions for the worksheet, codes are used for entries in items 9 to 12.
1. Participant’s Name or Unique ID Code (if any) 2. Date entering program 3. 4. 5. Number of Number of Race adults(18+) children (A, B, residing with residing with NA,W) participant participant 6. 7. Hispanic/ Age (at non entry) Hispanic and /sex (H or N) 8. Gross monthly income 9. Recent living situation 10. Date leaving program 11. Reason for Departure 12. Housing facility type and unit size by number of bedrooms 13 Housing assistance payment and unit size by number of bedrooms 14. Other Information
Codes: Enter appropriate number(s) in the column above. (See back of page for codes.) form HUD-401 10-C (8/1)
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form HUD-40110-C (11/97)
HOPWA Annual Progress Report Worksheet Information is reported in aggregate to HUD. Do not submit this worksheet to HUD. This worksheet is optional and is intended to help you collect project information needed to complete the HOPWA Annual Progress Report. Please keep a list of “other" answers to specify on the annual report. 1. Enter the participant's full name or a unique identification code (if any). The use of names and other personal identification must be kept confidential. Information on the family unit should be captured with the first participant listed. The additional members of the family unit should be separately listed for items 5, 6, an d 7. 2. Enter date participant entered the HOPWA program. Usually, this will be the date of consultation with a case manager. 3. Enter the number of additional adult (18 years and older) family members residing with the participant, who are also receiving housing assistance. Enter "0" if the participant resides alone. Other eligible beneficiaries residing in shared housing should be separately reported. 4. Enter the number of additional children (under 18 years) who are family members residing with the participant, receiving housing assistance. Enter "0" if the participant resides alone. 5. For each participant, enter race (A = Asian/Pacific Islander, B = Black, NA = Native American/Alaskan Native, or W White). 6. For each participant, enter Hispanic or non-Hispanic (H = Hispanic or N = non-Hispanic) 7. For each participant, enter age at entry into program and sex (M = Male or F = Female) and age; ages will be reported as under 18 years, 18 through 30 years, 31 through 50 years, and 51 years and older. 8. Enter the amount of gross monthly income that the participant or the family unit receives on the average at entry into the program; incomes will be reported as $O to 250, $251 to 500, $501 to 1000, $1001to 1500, $1501 to 2000, or $2001 + per month. 9. Enter the participant's most recent living situation prior to program entry. a. Homeless from the streets b. Homeless from shelters c. Transitional housing facilities d. Psychiatric facilities * e. Substance abuse treatment facility*
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f. Hospitals or other medical facilities* g. Jail or prison * h. Domestic violence situation i. Living with relative or friend j. Rental housing k. Participant-owned housing 1. Other; specify type * If a person (from Exhibit C) came from a treatment facility but they were there less than 30 days and were in another living situation before they entered the treatment facility, they should be counted as though they were still in the prior living situation. 10. Enter date participant or family ended program participation. 11. When the participant or family left the HOPWA assisted program, what was the primary reason for the departure and how long were they in the program. Enter the code and number of months in the program, less than 3, 3 to 6, 7 to 12, greater than 12 months, which indicates: a. Voluntary departure b. Non-payment of rent c. Non-compliance with supportive service requirements d. Unknown/disappeared e. Criminal activity/destruction of property/violence f. Death g. Other (please specify) 12. Enter the type of housing facility and unit size by number of bedrooms used. Count each family unit as a single entry. Enter the code which indicates type and number of bedrooms as SRO, 0, 1, 2, 3, 4, or 5+. a. Short-term facility. b. Single room occupancy (SRO) dwelling. c. Community residence. d. Other housing facility (please specify). 13. Enter the type of housing assistance payment and unit size by number of bedrooms used. Enter the code which indicates type and unit size by number of bedrooms as SRO, 0, 1, 2, 3, 4, 5+. a. Tenant-based rental assistance. b. Short-term rent, mortgage and utility payments. 14. Enter other information as necessary. Do not submit this worksheet to HUD.
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III. Attachment 3 Description of “Factors” Data Management Module
The FACTORS Residential Facilities Module™ The FACTORS Residential Facilities Module, first released in conjunction with version 3.1 of FACTORS/SA™, PMA’s enterprise case management solution, is a one-stop workbench for coordinating all aspects of residential housing services. The module provides a suite of powerful functions: ♦ Detailed tracking of housing facilities and units within them, including information on lease terms, costs, accessibility, and eligibility restrictions ♦ Capacity management ♦ Housing referral tracking ♦ Census management ♦ Family and individual placement ♦ Blocking of units barred from placement because of inspection failure, crime incidents, permitting problems, etc. ♦ Logging of rent payments and defaults; rent history tracking for each individual unit ♦ Linkage of placements to contracts ♦ Automatic reconciliation of current address information and living arrangement history ♦ Full integration of housing referrals and census events with the overall case management record (i.e., housing placements can be viewed side by side with other types of referrals) ♦ Integrated production of agency-definable forms (referrals, reports, etc.) prepopulated with client data; powerful support for embedded form scripting using the industry-standard JavaScript and VBScript languages ♦ Standard reports
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Housing Data Report.doc

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