hmis 101: orientation for new grantees and staff

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.


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.


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.


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


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)


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)


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


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.


11

HMIS Data Collection

1. Name2. Social Security Number (SSN)3. Date of Birth4. Ethnicity and Race 5. Gender 6. Veteran Status 7. Disabling Condition8. Residence Prior to Program

Entrance

9. Zip Code of Last Permanent Residence

10. Program Entry Date11. Program Exit Date12. Personal Identifier (Unique ID)13. Household Identifier14. Program Identification

Information


Universal Data Elements (UDE) must be entered in HMIS for all clients and include:

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

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


Program Specific Data Elements (PDE) must be entered in HMIS by HUD funded programs required to generate an Annual Progress Report (APR) and include:

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 disposal2008 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


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


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?


HUD HMIS and Other Data Requirements


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


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


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


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


http://www.hudhre.info/documents/counting_sheltered.pdf

http://www.hudhre.info/documents/counting_unsheltered.pdf

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


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.info2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

http://www.hmis.info/

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 CoC2008 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


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


27

Questions?


28

HMIS Benefits – What are they?


29

Benefits for Homeless Men, Women, and Children

• A decrease in duplicative intakes and assessments

• Streamlined referrals

• Coordinated case management

• Benefit eligibility


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


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


32

Key Components of HMIS

• Information and Referral (I&R)

• Client Intake

• Bed Management

• Case Management

• Service Tracking


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


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


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


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


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


38

Governance Structure

• 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


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


40

QUESTIONS?


41

5 Steps

to a

Successful Implementation


42

• 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


Implementation Framework: CUPID

43

Step 1:

Create your Vision


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?


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


46

Step 2:

Uncover Your

System Requirements


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 capacity2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

48

Uncover: Functional and Technical Requirements


Functional Requirements

• System Functions• Performance Needs• Customization

Needs

Technical Requirements

• Equipment Needs• Software Needs• Communication

Needs• Security Needs

49

Step 3:

Plan

the

Implementation


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


51

Plan: Document HMIS Objectives

• Define objectives for how the HMIS project/system will achieve success– example: Achieve at least 65% coverage of ES

and TH in HMIS for participation in AHAR

• Each of the HMIS objectives should clearly articulate:– A completion timeline– Resource requirements – Funding needs– Assessment of risks – Define who or what group is responsible


52

Plan: Assess Risk

• Risk planning increases your chance of success

• When assessing risks:

– Assess the probability it will occur

– The impact if it does occur

– How to prevent it from occurring

– What actions are necessary if it does occur


53

Plan: Assess Risk (cont.)

• Develop policy and technology solutions to prevent, respond to, and recover from a disaster (natural or man-made)

• What kind of backups do you have in place so you can continue to do business in the event that hardware/software fails or your entire operation is impacted by weather? What is the plan if the….– Central server hard drive fails? – Community loses power due to weather? – ISP becomes unavailable?


54

Plan: Assess Risk (cont.)

• How does the computer system and software itself protect the data?– What are the risks to hardware?– What are the risks to software?– How do we plan for reduction in “human error”?

• Each CoC must define both the technology and policy solutions to address risk. Each CoC must define in a policies and procedures manual:– Technology solutions including procedures for securing

and monitoring the system – Policy solutions for defining the behaviors of how

people interact with the system2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

55

Plan: Estimate Costs

• There are 5 Cost Categories of SHP funding for an HMIS grant:

1. Equipment

2. Software

3. Services

4. Personnel

5. HMIS Space and Operations2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

56

Plan: Estimate Costs (cont.)

• Eligible Use of HMIS Grant Funds– Purchasing HMIS software

– Leasing or purchasing computer equipment for providers and the central server

– Staffing associated with operating the HMIS

– SHP HMIS funds can be used in non-HUD funded agencies to purchase computers

• Ineligible Use of HMIS Grant Funds– HMIS planning

– Development of entirely new software

– Replacing state and local funds with federal funds2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

57

Plan: Estimating Costs (cont.)

• Equipment– Central servers

– Personal computers and printers

– Networking

– Security

• Software– Software/User Licensing

– Software installation

– Support and maintenance

– Supporting software tools2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

58


• Services– Training by third parties

– Hosting/Technical services

– Programming: customization, system interface, & data conversion

– Security assessment and setup

– Online connectivity (internet access)

– Facilitation

– Disaster and recovery


59


• Personnel– Project management and coordination

– Data analysis

– Programming

– Technical assistance and training

– Administrative support staff

• HMIS Space and Operations– Space rental costs

– Operational costs


60

Plan: Management Structure

• Common HMIS Management structures include: – HMIS Lead Agency provides project management,

system administration, and hosting (unless hosting is provided by HMIS solution provider)

– Contractual Project Management: CoC hires a professional IT Project Manager to implement and run the HMIS

– Non-Profit Partner: A non-profit partner (like a homeless coalition) acts as the community’s HMIS Lead

• HMIS staffing will vary within each management structure


61

Plan: Staffing Models

• Staff needed for administration, user training, report generation and analysis– Assessment of existing staff to assume HMIS

responsibilities based on skills and experience

• Costs for space rental, equipment, benefits, and consumer involvement

• Typical staffing models: • Centralized staff (i.e., employees of CoC

organization)• Outsourced staff (i.e., staff are contracted

through a consulting agreement or other contract)


62

Plan: Funding Strategies

– Federal

– State

– Local

– Private

– In-kind

– Participation fees

– Other

Funding for HMIS is not limited to HUD’s SHP and ESG funds. Other potential funding sources include:


63

Plan: Budgeting

Cost Estimation Budget

Creating your budget:

– Use the SHP HMIS cost categories

– Necessary to report to HUD annually

Best Practice: Create a multi-year budget

– Monetary uses will shift as your HMIS matures.

• Examples:

– Year 1-2: training, technical support

– Year 3-4: data analysis, reporting


64

Plan: SHP Grant Management

• Application

• Submission

• Technical Submission

• Cash Match


65

SHP Grant: Application & Submission

There are 3 ways to fund HMIS with SHP grants:• Dedicated Grant - the HMIS is applied for as a

separate dedicated grant.

• Shared Grant - the cost of the HMIS Implementation is shared among other project applicants. – For example, each project applicant contributes 2%

of total budget to HMIS shared grant.

• Expansion Grant - additional funds can be added to an existing grant by proposing a new expansion project for HMIS.


66

SHP Grant: Technical Submission

• Technical submission solidifies project plan, budget, staffing, etc.

• Must be completed for each conditionally selected SHP project– New HMIS Projects: Exhibit 1, Project Summary,

and Exhibit 6

– Renewal HMIS Projects: Limited Technical Submission requirements starting in 2007

• The total budget amount must match original application; category amount changes must be approved by the field office


67

SHP Grant: Cash Match

• Applicants may request no more than 80% of:– Total eligible HMIS project costs (dedicated grant)

– Total for eligible supportive services (shared grant)

• Grantees must make up the difference between the total costs of the HMIS budget and the amount of the SHP HMIS project

• The grantee must provide 20% of the total cost of the project as cash match


68

SHP Grant: Cash Match vs. Leverage

• Cash Match– The actual dollar resources contributed and spent

on eligible HMIS project costs

– Must be actual money received by the applicant

• Leveraged resources – All those additional resources, both cash and in-

kind, raised by the project (e.g. data analysis conducted by outside researcher)

– Includes cash match resources


69

SHP Grant: Cash Match Documentation

• Cannot be used for more than one contract and/or revenue source

• Must be funds spent on eligible activities

• Identify potential sources in Technical Submission

• Report actual sources and amounts in the Annual Progress Report (“APR”)

• Match requirement based on amount of SHP funds expended each operating year

• Documentation reviewed during HUD and/or grantee monitoring visits


70

SHP Grant: Sources of Cash Match

• Grantees & project sponsors

• Local government

• State government

• Federal government

• Foundations

• Private cash resources

• Occupancy charges or fees

• HMIS participation fees

– Provided those fees were not paid by other SHP Project grants


71

Any Questions about Planning?


72

Step 4:

Implement

Your

Plan


73

Choose Implementation Model

• Decide on model for moving forward: – Purchasing new software as single CoC – Enhancing existing software as single CoC – Joining regional or statewide implementation

• Collaborative considerations include assessment of: – HMIS goals and vision– Financial viability – Staffing and technical support– Software contracts and software ease of use– Expectations from your CoC


74

Implement: A Plan in Motion

• To implement your plan, your CoC will need to have made final decisions on: – Project goals & objectives

– Implementation type

– Governance structure

– Functional & technical requirements

– Software (if applicable)

– Staffing

– Funding

– Policies and procedures2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

75

Implement: 4 Basic Steps

• Issue an RFP

• Review a Product

• Issue a Statement of Work

• Negotiate a Contract


76

Implement: Issue an RFP

• Outlines the key requirements of the system• Requests that potential solution providers

provide– Demonstration of their product – Technical solution response to the HMIS needs – Quote/basic fee structure for purchasing and using

their product– Expertise and experience in HMIS implementation

• Use general requirements from the Functional and Technical Requirements Document

• Use as a guideline for comparing potential solution providers


77

Implement: RFP Responses

• Price of the solution– Direct costs

– Indirect costs

• Solution provider technical skills

• Solution provider technical services

• Solution provider technical approach to meeting the community’s needs


78

Implement: 7 Steps to Software Selection

1. Document your vision: What do you want the system to do?

2. Document the requirement: What functional and technical requirements do you have?

3. Issue an RFP: Open solicitations from solution providers

4. Review the solutions

5. Assess cost vs. benefit: How do you get want you want with what you have?

6. Product recommendation: Make a choice

7. Contract negotiation2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development

79

Implement: Review the Solutions

• Software Check Sheet– Data collection and user friendliness– Data sharing– Reporting and data transfer capacities– Information and Referral, and housing information– Security– Systems integration– Training & documentation– Support and maintenance– Vendor history and HMIS services– Costs


80

Implement: Product Recommendation

• After the software demonstrations:– Reconvene your HMIS Committee– Discuss the pros and cons of each system– Decide which software to purchase– Issue Statement of Work (SOW) to solution

provider

• Remember, SHP funds cannot pay for building a new software application.– If you choose to build your own HMIS, then you

will need to obtain funding from another source to do so


81

Implement: SOW

• Statement of Work (SOW) documents:

– The work to be performed, including hardware and software to be used

– The location the work will be performed

– The schedule

– Specific deliverables and their descriptions and due dates

– Standards that must be complied with

– Acceptance criteria


82

Implement:Tips on Contract Negotiations

• Tips to Negotiate a Contract - use:– the Software Check Sheet or the

Collaborative Assessment Sheet

– the Statement of Work (SOW) (if applicable)

– the solution provider response (if applicable) to make sure that all requirements are covered

• Make sure that you know exactly what your organization or CoC will be required to do and what the solution provider will be required to do


83

Step 5:

Do

It!


84

Do: Getting Ready to “Go Live”

• Execute agreements

• Purchase equipment and set up staff space

• Purchase or build software

• Implement hosting, access, and customization

• Implement privacy, confidentiality, and data security

• Conduct training

• Review the HMIS Data Standards Checklist


85

“Go Live”


Start using your HMIS!

86

Beyond Implementation

• Planning, training, and grants management are ongoing requirements for successful project implementation

• Do not reinvent the wheel - learn from others

• Monitor participation on an ongoing basis including compliance with HMIS Standards


87

Questions?


88

Resources

• www.HUDHRE.info

• www.HMIS.info

• National TA

• Local TA

• Regional HMIS Collaboratives

• Community Resources


http://www.hudhre.info/

http://www.hmis.info/

89

Evaluation Form

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2008 HMIS Training: Setting the Standard - U.S. Department of Housing and Urban Development 89

hmis 101: orientation for new grantees and staff

Documents

hmis staff

implementation of hmis

hmis important

basics of hmis

hmis terms

homeless2008 hmis training

local hmis data

new hmis grantees