HMIS 101: Orientation for New Grantees and Staff

1. HMIS 101: Orientation for New Grantees and Staff Michael Roanhouse, SNAPs Office, HUD Kat Freeman, Cloudburst Consulting Group

2. Learning Objectives • To familiarize new HMIS grantees and new CoC or HMIS staff with the basics of HMIS, including: • HMIS terms, definitions, roles, and responsibilities • HUD HMIS grant requirements • Importance of HMIS to HUD, CoC, and local grantees • General process for implementing an HMIS • The many resources available to CoCs to achieve a functional HMIS 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

3. The Workbook The workbook contains: • Technical assistance documentation developed by HUD • Sample documents developed by and for communities • Sample worksheets and checklists • A glossary of common HMIS and CoC terms • Important links to federal and resource websites The icon indicates that there is a corresponding document in the workbook and a page number(s) will be indicated. The icon indicates where a HUD requirement, directive, standard and/or procedure applies. 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

4. What is HMIS? • A Homeless Management Information System (HMIS) is a locally administered, electronic data collection system that stores longitudinal person-level information about persons who access the homeless service system. • HMIS is HUD’s response to a Congressional Directive to capture better data on homelessness. 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

5. Why is HMIS Important? • Every Continuum of Care (CoC) is required to implement an HMIS and is scored annually in the CoC NOFA. • Local HMIS data is critical for the Annual Homeless Assessment Report (AHAR). • Implementation of HMIS at the local level can support coordinated case management. 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

6. The History of HMIS • Late 80’s to early 90’s • National effort to better understand homelessness • Grassroots effort to capture electronic data on who is homeless Workbook Page: 1 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

7. The History of HMIS (cont.) • Several communities in early 90’s had locally developed data collection systems (i.e. St. Louis, Kansas City) • Spearheaded by HUD, HHS, and Dr. Dennis Culhane (UPenn) - the first national software prototype (ANCHoR) was deployed in 1995/6 • 1996 - National Survey of Homeless Assistance Providers and Clients (Burt) • 1999 - First attempt to generate national estimates of homelessness from local administrative data (Culhane) 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

8. The History of HMIS (cont.) • Ongoing challenges with implementation of ANCHoR • Technical • Programmatic Support • Sustainability • Communities band together to look for new software product through joint RFP published by National Human Services Data Consortium (NHSDC) 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

9. 2001 Congressional Directive • Recognizing the importance of community efforts to capture better data, in 2001 Congress directed HUD on the need for data and analysis on the extent of homelessness and the effectiveness of the McKinney-Vento Act Programs including: • Developing unduplicated counts of clients served at the local level • Analyzing patterns of use of people entering and exiting the homeless assistance system • Evaluating the effectiveness of these systems • HMIS becomes eligible activity under 2001 CoC NOFA 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

10. HMIS Data and Technical Standards • Homeless Management Information Systems Data and Technical Standards (HMIS Standards) published via Federal Register in 2004 and define standards for: • Data collection (universal and program data elements) • Privacy • Security • The HMIS Standards define baseline and additional Security and Privacy requirements. Appendix: A 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

11. HMIS Data Collection Universal Data Elements (UDE) must be entered in HMIS for all clients and include: • Name • Social Security Number (SSN) • Date of Birth • Ethnicity and Race • Gender • Veteran Status • Disabling Condition • Residence Prior to Program Entrance • Zip Code of Last Permanent Residence • Program Entry Date • Program Exit Date • Personal Identifier (Unique ID) • Household Identifier • Program Identification Information Workbook Page: 2 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

12. HMIS Data Collection 1. Income and Sources 2. Non-Cash Benefits 3. Physical Disability 4. Developmental Disability 5. HIV/AIDS 6. Mental Health 7. Substance Abuse 8. Domestic Violence Program Specific Data Elements (PDE) must be entered in HMIS by HUD funded programs required to generate an Annual Progress Report (APR) and include: 9. Services Received 10. Destination at Leaving 11. Reasons for Leaving 12. Employment 13. Education 14. General Health Status 15. Pregnancy Status 16. Veteran’s Information 17. Children’s Education Workbook Page: 3 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

13. Baseline Security Requirements • User authentication • Limited multiple access • Virus protection with auto-update • Firewalls - individual workstation or network • Encryption - transmission • Public access controls • Location control • Backup and disaster recovery • System monitoring • Secure disposal Workbook Page: 4 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

14. Privacy Standards Framework • Personal Protected Information (PPI) • Includes name, SSN, program entry/exit, zip code of last permanent address, system/program ID, and program type. • Allow for reasonable, responsible data disclosures • Derived from principles of fair information practices • Borrowed from HIPAA - Health Insurance Portability and Accountability Act Workbook Page: 9 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

15. Baseline Privacy Standards • Must comply with other federal, state, and local confidentiality law • Must comply with limits to data collection (relevant, appropriate, lawful, specified in privacy notice) • Must have written privacy policy - and post it on your web site • Must post sign at intake or comparable location with general reasons for collection and reference to privacy policy • May infer consent for uses in the posted sign and written privacy policy Workbook Page: 13, 23, 27, 31, 32 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

16. Summary of HMIS Standards • HUD expects every HMIS to meet the baseline requirements. • Standards are in process of revision and will be published for notice and comment via the Federal Register. Any Questions? 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

17. HUD HMIS and Other Data Requirements 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

18. HUD HMIS Participation Requirements • HUD encourages participation of all homeless service providers, regardless of funding source(s), except where restricted or prohibited by laws or regulation (e.g., VAWA) • HUD McKinney-Vento Act recipients are required to participate in HMIS: • Emergency Shelter Grants (ESG) • Supportive Housing Program (SHP) • Note: SHP Domestic Violence Service providers are prohibited from participation in HMIS per VAWA pending further guidance from HUD • Shelter Plus Care (S+C) • Single Room Occupancy (SRO) • Housing Opportunities for Persons with AIDS (HOPWA) projects targeting homelessness • Street Outreach Programs Appendix: B 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

19. HUD Uses of CoC Data • Myth: HUD does not use the data reported in CoC applications • Reality: HUD analyzes and publishes data reported in CoC applications including: • Housing Inventory Chart • Point-in-Time Counts • HMIS Unduplicated Counts 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

20. Housing Inventory Chart (eHIC) • Purpose: • To understand the capacity to house homeless persons at local and national levels • Required Data: • Annual capacity, including seasonal and overflow beds and units for: • Emergency shelter • Transitional housing • Permanent supportive housing • Program level data • Target population served • Extent of HMIS data collection Workbook Page: 33 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

21. Point-In-Time Counts • Purpose • To understand the number and characteristics of homeless people at one point-in-time • Requirement: • Counts at least every other year; encouraged to conduct annual counts • Counts must take place during last 10 days of January - next count required January 2009 • Must use statistically reliable counting methods • Guidance available for counting sheltered and unsheltered persons available at: • www.hudhre.info/documents/counting_sheltered.pdf • www.hudhre.info/documents/counting_unsheltered.pdf 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

22. Annual Homeless Assessment Report (AHAR) • Purpose: • To produce an unduplicated count of all homeless persons in the United States • Develop a descriptive profile of the homeless population using services provided by CoC’s throughout the nation • Required Data: • HMIS (counts, UDE’s) • Note: PDE’s will be added in the future • Housing Inventory • PIT counts of sheltered/unsheltered 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

23. Annual Homeless Assessment Report (AHAR) • HUD intends to require AHAR participation for all CoCs. • HUD scores HMIS implementation and participation in CoC competitive process. • In 2008 HUD significantly increased # of points associated with HMIS and HMIS data • AHAR reporting periods • AHAR 4: October 1, 2007 to September 30, 2008 • AHAR 5: October 1, 2008 to September 30, 2009 • AHAR 6: October 1, 2009 to September 30, 2010 • 3 AHAR reports have been published to date • More AHAR information at www.HMIS.info 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

24. HMIS: Who is Responsible? The Continuum of Care (CoC) is responsible for HMIS implementation including planning, software selection, and compliance with HMIS Standards Project applicants must participate in the local HMIS HUD only allows one HMIS-dedicated grant within a CoC The HMIS Lead Agency (or grantee) is an agent of the CoC. Manages HMIS operations and provides HMIS administration functions at the direction of the CoC 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

25. Beyond the requirements…. • Washington, D.C. is rating and ranking projects for the CoC NOFA through HMIS • Cincinnati/Hamilton County CoC has made the HUD homeless certification electronic through HMIS • 11 CoCs are working together to understand regional movement and service utilization patterns of the homeless within the San Francisco Bay Area 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

26. Beyond the requirements…. • Houston/Harris County, TX CoC is using Geographic Information Systems (GIS) data with the HMIS to rapidly identify at-risk populations during natural disasters or health outbreaks • The States of Michigan, Hawaii, and Iowa, among others, are generating state reports on homelessness for policy makers, advocates, and local homeless planners • Columbus, OH and Quincy, MA CoCs are using HMIS to evaluate the effectiveness of their local plans to end homelessness 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

27. Questions? 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

28. HMIS Benefits – What are they? Workbook Page: 38 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

29. Benefits for Homeless Men, Women, and Children • A decrease in duplicative intakes and assessments • Streamlined referrals • Coordinated case management • Benefit eligibility 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

30. Benefits for Agency Directors and Program Managers • Measuring client outcomes • Coordinating services internally among agency programs and externally with other providers • Preparing financial and programmatic reports for funders, boards, and other stakeholders • Ability to measure performance of programs 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

31. Benefits for Public Policy Makers and Advocates • Understanding the extent and scope of homelessness • Unduplicated counts of clients served • Identifying service gaps • Informing systems design and policy decisions • Ability to measure the performance of the community system to prevent and end homelessness 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

32. Key Components of HMIS • Information and Referral (I&R) • Client Intake • Bed Management • Case Management • Service Tracking Workbook Page: 40 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

33. Key Components of HMIS (cont.) • Information and Referral (I & R) • Database of available resources (i.e., 2-1-1) • Online referrals • Possible electronic submission of applications and benefits eligibility assessments • Client Intake • Client-specific tracking of intake process • Demographic and basic assessment of needs • Bed Management • Day to day emergency and transitional bed utilization • Housing registry 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

34. Key Components of HMIS (cont.) • Case Management • Client-specific intake and tracking system • Ability to capture change over time • Goals and outcomes tracking • Service Tracking • Services delivered by provider • Services received by clients • Ability to plan, schedule, and follow up on delivery of services; assess gaps across continuum 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

35. Implementation Models • There are 3 typical implementation models: • Statewide • Multi-CoC and/or Regional • Single CoC • Each model has its own pros and cons • CoCs with small HMIS grants can take advantage of the resource leveraging that multi-CoC and statewide implementations bring to the table Workbook Page: 41 35 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

36. Governance Structure • The CoC is responsible for the implementation and oversight of the HMIS. All key decisions for the HMIS must be made by the CoC • A formal written agreement between the CoC and the HMIS Lead Agency is recommended and encouraged • An agreement is critical to define lines of authority and responsibility Workbook Page: 42 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

37. CoC / HMIS Lead Governance Agreement • The CoC/HMIS Lead Governance Agreement must clarify the roles, relationships, responsibilities, and rights of each of the HMIS stakeholders groups: • CoC Lead Decision-making Entity • HMIS Committee/Data Subcommittee • HMIS Grantee/Lead Organization • HMIS Software/Solution Provider or Host • Participating Agencies • HMIS Users • Clients 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

38. Governance Structure Workbook Page: 46 • CoC is responsible for: • HMIS planning and software selection • Selection of HMIS administering agency/grantee • Establishing HMIS policies/protocols • Accurate data reporting in CoC Application • Contributing data to the Annual Homeless Assessment Report (AHAR) • Typical oversight of the HMIS is designated to a subcommittee or working group of the CoC 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

39. Governance Structure (cont.) • HMIS Grantee or Lead Organization is responsible for: • Grant administration requirements (match, technical submission, reporting, field office monitoring, etc.) • System administration • Promoting use of HMIS • Assisting with APRs • Monitoring and promoting good data quality • Generating data necessary for CoC application • Producing quality AHAR data 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

40. QUESTIONS? 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

41. 5 Steps to a Successful Implementation 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

42. Implementation Framework: CUPID • For your HMIS to be successful, you will need help from CUPID: • Create a vision for your HMIS • Uncover the system requirements • Plan the implementation • Implement the plan • Do it! Go live with HMIS Workbook Page: 49 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

43. Step 1: Create your Vision 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

44. Create:Vision Planning Questions • Create a vision for the HMIS with broad-based stakeholder input that answers key questions: • Why are we doing this? • What is the overall vision for the system? • What are the benefits for consumers, agencies/programs, and the CoC? • What opportunities are achieved by implementing an HMIS? Workbook Page: 50 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

45. Create: System Vision • The HMIS must have: • Centralized database of clients served • Ability to collect HUD data elements • Ability to adhere to HMIS Standards • The HMIS must be able to: • Report unduplicated client counts across all CoC programs • Analyze the extent and nature of homelessness within your community • Evaluate your homeless programs and system 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

46. Step 2: Uncover Your System Requirements 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

47. Uncover:Defining System Requirements • What functional and technical requirements do you want from the HMIS? Options include: • Web-based, central server with direct data entry • Central server with some direct input that also has capacity to upload data • Central server with no direct input and only uploads data • Data sharing capacity • Bed management capacity • Case management capacity Workbook Page: 51 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

48. Uncover: Functional and Technical Requirements • Technical Requirements • Equipment Needs • Software Needs • Communication Needs • Security Needs • Functional Requirements • System Functions • Performance Needs • Customization Needs Workbook Page: 52 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

49. Step 3: Plan the Implementation 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

50. Plan • To complete your planning, your CoC must have completed: • HMIS Vision and Ranking Worksheet • Functional and Technical Requirements Document • Primary planning steps: • Objectives identification • Risk management assessment • Staffing needs assessment • Funding needs assessment 2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development