March 31, 2009,March 31, 2009,Minneapolis Field Office of Minneapolis Field Office of

HUD's HUD's Annual Supportive Housing Annual Supportive Housing

Program (SHP) Start-up Program (SHP) Start-up Conference for All SHP Conference for All SHP

Grant RecipientsGrant Recipients

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From 9:30 a.m. to 4:00 p.m. on Tuesday, March 31, 2009

SNAPS SNAPS Field Office TrainingField Office Training

Satellite LocationSatellite Location near you near you

Overview of training and Overview of training and materialsmaterials

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Today’s presentations are Today’s presentations are mainly for agencies that:mainly for agencies that:

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Have an SHP grant agreement or fundreservation from 2008 or earlier or agencieswho expect a new or renewal SHP grant from a future SuperNOFA competition.

However all are welcome!However all are welcome!

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TOPICS TO BE COVERED:TOPICS TO BE COVERED:

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Overview,Documenting and justifying costs to bill to HUD’s grant,

Discussion on accessing your grant funds through LOCCS,Importance of Annual Progress Reports (APR) for you and your Continuum of Care that Includes goals and outcomes,

Income Determination/Rent Calculation, Obligations under the grant agreement to HUD,More on next slide

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Accessing HMIS Training and Technical Assistance,

Support Services requirements including Assessment of Client needs and services provide,

HUD Definition  and Documentation of Homeless,

Common Monitoring Findings

How to prepare for a HUD Monitoring; and depending on time a panel Q&A

TOPICS Continued:TOPICS Continued:

Today’s AgendaToday’s Agenda

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• Program Overview• Discussion on accessing your grant funds through LOCCS

• Documenting and justifying costs to bill to HUD’s grant

• Break

More on next page

Today’s Agenda ContinuedToday’s Agenda Continued

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• HUD definition and documentation of homeless and services

• LUNCH (On Your Own)

• Income Determination/Rent Calculation; Importance of Annual Progress Reports, and goals

• Break

•Monitoring and Q&A panel

Resource and training Resource and training materialmaterial

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• Resource and training material is available from a HUD website to be announced for you to download and print.

• http://www.hud.gov/local/mn/wo rking/cpd/

http://www.hud.gov/local/http://www.hud.gov/local/mn/working/cpd/mn/working/cpd/

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PresentersPresenters

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Introducing PresentersOutline their topics, andannounce breaks

First is Tom Koon presenting an overview of programs and related topics, please welcome him

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Thank you

MonitoringMonitoring

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1. Things to consider when preparing for a monitoring visit.

2. Some common Findings

3. A Q&A panel on monitoring and top finding

Once you receive an Once you receive an executed executed

Grant AgreementGrant Agreement

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Your organization Your organization will sometime in will sometime in the future have a the future have a monitoring reviewmonitoring review

Risk AnalysisRisk Analysis

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•Why us? You may ask…

•We first complete a Risk Analysis…

•HUD policies require that monitoring be risk-based

• Risk-based monitoring is used to target attention to program activities and participants that represent the greatest risk for that program.

Risk Analysis ContinuedRisk Analysis Continued

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“We consider:-Your total awards, - Number of clients, - The last time you were monitored, - Change in personnel, - APRs, - Number of grant programs, and - Areas that may be lacking in performance”

After the Analysis is completed; then a selection is made…

If your selected: Your If your selected: Your organization will be notifiedorganization will be notified

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After confirming with your organization of possible dates and times and Prior to a monitoring visit you will receive a monitoring confirmation letter [We usually try to get these letters out at least 30 days prior to the monitoring]

The purpose of a confirmation letter is: To outline the monitoring schedule, Identify the areas to be reviewed, And the names and titles of the HUD staff conducting the monitoring

Grantee Monitoring HandbookGrantee Monitoring Handbookhttp://www.hud.gov/offices/cpd/library/monitohttp://www.hud.gov/offices/cpd/library/monito

ring/handbookring/handbook.cfm.cfm

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Click on the Program to "jump to" that Click on the Program to "jump to" that specific chapter and associated specific chapter and associated

exhibits.exhibits.

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SUPPORTIVE HOUSING SUPPORTIVE HOUSING PROGRAM (SHP)PROGRAM (SHP)

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SHP Monitoring ExhibitsSHP Monitoring Exhibits

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EXHIBIT 13-1 Guide for Review of SHP Supportive Services

EXHIBIT 13-2 Guide for Review of SHP Project Progress

EXHIBIT 13-3 Guide for Review of SHP Housing EXHIBIT 13-4 Guide for Review of SHP Clients

EXHIBIT 13-5 Guide for Review of SHP Match Documentation

EXHIBIT 13-6 Guide for Review of SHP Sponsor Management

EXHIBIT 13-7 Guide for Review of SHP Overall Management Systems

Exhibits ContinuedExhibits Continued

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EXHIBIT 13-8 Guide for Review of SHP Financial Management

EXHIBIT 13-9 Guide for Review of SHP Cost Allowability

EXHIBIT 13-10 Guide for Review of SHP Procurement

EXHIBIT 13-11 Guide for Review of SHP Equipment and Equipment Disposition

EXHIBIT 13-12 Guide for Review of SHP Other Federal Requirements

What to expect during What to expect during the reviewthe review

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Entrance Conference:

The purpose is to explain how the monitoring will be conducted

Also, to confirm staff and participant interviews

And to address any changes

The Assessment ProcessThe Assessment Process

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The work begins…

Evaluate: Exhibit questions: These are designed to assess and document compliance with program requirements

File Review: To determine accuracy of the information, using both automated and manual data and reportsInterviews with program staff and participants

Exit ConferenceExit Conference

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At the end of the monitoring review, we will conduct an exit interview:

The purpose of this conference is to discuss preliminary conclusions or go over any remaining questions or additional materials provided.

What to expect next?What to expect next?The The Monitoring ReportMonitoring Report

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The report due to the grantee within 45 days following the monitoring review.

The report will detail the areas covered during the review.

The report will not include any participant’s personal identifiers within the body of the report.

The Monitoring Report ContinuedThe Monitoring Report Continued

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• The report may contain: Conclusions, such as:

• Performance was adequate or exemplary;

•There were Significant achievements;

• There were Concerns that need to be brought to attention of the grantee;

• Technical Assistance was provided;

• There were Findings that require corrective actions

More on Conclusions; More on Conclusions; moreover moreover

On Findings and ConcernsOn Findings and Concerns

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First on Findings:Identified deficiencies and non-compliance with HUD regulations, SuperNOFA, the approved applications

This action results in a Finding; the Finding will include a:condition, criteria, cause, effect, and required corrective action.

They mean:

HUD FindingsHUD Findings

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Condition - What was wrongCriteria - Cite regulations or statutory requirementsCause - Why this happenedEffect - What happened as a result, andCorrective action - Steps needed to resolve the findings may include:Providing additional information; Or change a practice; Also, steps do not necessary require repayment of funds; And grants are seldom cancelled

Concerns.Concerns.

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Monitoring concerns are brought to the program participant’s attention

They should include the condition, cause, and effect.

The HUD reviewer will suggest or recommend actions that the program can take to address a concern, based on sound management principles or other guidelines.

However, a response is not required.

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Monitoring Issues Could come from a

number of areas

For Example: Monitoring Issues For Example: Monitoring Issues could come from: Confusing the could come from: Confusing the

usage of FMR and Leasingusage of FMR and Leasing

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FMRs are used to establish the maximum amount available to the applicant during the competitive process.

Once a project is approved, the actual lease amount (not exceeding the FMR) then becomes the Leasing budget line item amount. Or the reasonable rents if less.

Monitoring Issues could come Monitoring Issues could come from: from:

Not documenting the Supportive Not documenting the Supportive Services participants received Services participants received

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•Such as: •Costs (might be time sheets) associated with providing direct services to homeless participants.•Which may includes:

–Outreach;–Case management;–Counseling;–Child care; and,–Job training.

Monitoring Issues could come Monitoring Issues could come from:from:

Not documenting Match Not documenting Match

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Supportive Services 80/20 split: [SHP grantees must share in the costs of supportive services, including a 20 percent cash match of the total services budget.]

Operations 75/25 split [In addition, grantees must provide a cash contribution equal to 25 percent of the total operating costs budget.]

Capitol 50/50 split [Acquisition, Rehabilitation, New Construction: The recipient must match the funds received for this purpose with money from other sources. ]

Grantees must have records that document the match provided.

You should develop a system for collecting match information from any participating agencies. (see MB slides)

Ineligible ParticipantsIneligible Participants

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Do you have the necessary source documentation supporting Homelessness?

If your serving Chronically Homeless, are they and do you have their history documented

If it’s a permanent housing project for persons with disabilities do you have the documentation demonstrating their disability?

Calculating Resident Calculating Resident RentsRents

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Visit HUD’s website for http://www.hudhre.info/index.cfm?do=viewShpDeskguideK

SHP allows grantees to charge participants rent under specific guidelines outlined in 24 CFR 583.315 . Rent collected from participants is considered program income.

This means that grantees and project sponsors must comply with the regulations at 24 CFR 84.24 and 24 CFR 85.25 regarding the use of program income or use rent as permitted by 24 CFR 583.315 (b). (see SB slides)

CommunicationsCommunicationswith your CPD Repwith your CPD Rep

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Before contacting your Rep for questions concerning your monitoring; we recommend that you have available the monitoring confirmation letter to refer too

If you email your question: Please provide the background information and summary of the issue, including the grant numbers please

CommunicationsCommunicationswith your Repwith your Rep

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We always appreciate your timely responses to our monitoring confirmation letter or other requests prior to the monitoring

Wrap-UpWrap-Up

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When you get back to your office Please take time to bookmark the

monitoring website:

Department’s homeless assistanceprograms. Good Afternoon and have a safe

trip home.

Another Helpful SiteAnother Helpful Sitehttp://www.hudhre.info/http://www.hudhre.info/

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And top ten listAnd top ten list

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Problem Area Number of Findings

Ineligible Participants 14

Progress or Occupancy Levels 8

Lack of Homeless or Disability Documentation 6

Lack of Source Documentation for Costs Billed to Grant (invoices and primarily timesheets)

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Inadequate Accounting Systems (OMB Standards) 5

Incorrect Tenant Rent Calculations 5

Inadequate Level of Supportive Services 5

Fails Habitability or Housing Quality Standards 4

Lack of Grantee Board Member who is Homeless or Formerly Homeless

APR Deadline Missed

4

1

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Monitoring Q&A Discussion