Division of Housing, 2013
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History & Background
Test your knowledge!
HUD regulation:
◦ Definition of Homeless
◦ Documentation Requirements
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Answers & Scenarios
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1983:
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1986:
◦ First Federal task force on homeless was created.
◦ Purpose was to provide information to localities on how to obtain
surplus federal property.
◦ Congress passed only a few components of the proposed
Homeless Persons’ Survival Act.
 The Homeless Eligibility Clarification Act – removed permanent address
requirements and other barriers to existing programs like SSI, AFDC,
Veteran, Food Stamps, Medicare.
 The Homeless Housing Act – created Emergency Shelter Grant program
and transitional housing demo program.
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1987:
◦ Urgent Relief for the Homeless Act was introduced.
◦ Signed into law on July 22, 1987 by President Reagan.
◦ Renamed McKinney-Vento Homeless Assistance Act (in 2000).
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The first major federal legislative response to
homelessness.
Consisted of 15 programs providing a range
of services. Such as:
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Interagency Council of the Homeless
Emergency Food & Shelter Program
ESG, SHP, Section 8 Mod. Rehab. SRO
Community Mental Health Services block grant
Educational programs for homeless youth
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1988:
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1990:
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1992:
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1994:
◦ Minor changes focusing on distribution of funds
◦ Created Shelter Plus Care program
◦ Community Mental Health Service amended and renamed Projects
for Assistance in Transition from Homelessness (PATH)
◦ Creation of Safe Havens
◦ Creation of Rural Homeless Housing Assistance
◦ Amended the Education of the Homeless Children and Youth
program and Surplus Property Program
“Because far too many Americans go homeless on any given night, this bill
provides comprehensive new resources for homeless Americans.”
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Division A
-President Obama, May 20, 2009-
◦ Helping Families Save Their Homes Act
 President Obama signed into law on May 20, 2009
 Became Public Law 111-22
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Division B
◦ HEARTH Act
 Homeless Emergency Assistance and Rapid Transition to
Housing
 Reauthorizing and amending already existing legislation,
McKinney-Vento Homeless Assistance Act
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To codify in Federal law the Continuum of Care
planning process as a required and integral local
function necessary to generate the local
strategies for ending homelessness
To establish a Federal goal of ensuring that
individuals and families who become homeless
return to permanent housing within 30 days
To provide clarification on the following terms:
homeless, homeless individual, homeless person,
and homeless individual with a disability
CoC Program: Overview of the Interim Rule and FY 2012
Competition Webinar, July 2012
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According to Ann Oliva (Director, HUD Office of
Special Needs Assistance Programs):
“It is important to note that HUD is a key partner in
the implementation of Opening Doors, the Federal
strategic plan to prevent and end homelessness.
The goals set forth in the plan help to guide the
policies that are reflected in the regulation
itself…That is, when we look at where we want to
spend our money – we look to the federal strategic
plan to understand how funds should be targeted
at the national and local level.”
CoC Program: Overview of the Interim Rule and FY 2012 Competition Webinar, July 2012
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Opening Doors four major goals:
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End chronic homelessness by 2015
End veteran homelessness by 2015
End family & youth homelessness by 2020
Set a path to ending all homelessness
The U.S. Interagency Council on Homelessness (ICH) is tracking the
progress through HUD’s annual point-in-time (PIT) data.
To inform budgeting & planning, HUD has 3 internal measures
designed to track Rapid Re-housing, Permanent Supportive Housing,
and Affordable Housing performance.
The Federal Strategic Plan is also the policy driver for the NOFA. The
underlying assumption in meeting the goals for the Federal Strategic
Plan is that we are placing people into the right housing and services
in order to meet their needs.
Website: http://www.usich.gov/opening_doors/
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To fully implement the HEARTH legislation, it
would cost over $4 billion.
In FY2012, HUD requested approximately $2.3
billion to implement “most” aspects.
◦ Congress scaled back the request even further
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As a result, in FY2013, HUD intends to:
◦ Tailor specific, existing programs;
◦ Implement innovative strategies for engagement;
◦ Expect that homeless individuals & families will utilize
mainstream resources and benefits more often.
HUD’s Homeless Assistance Overview of FY 2012 Funding and HEARTH
Update Webinar, July 2012
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Congress’ changing perspective on the types
of projects being renewed and the need for
strategic thinking
Recent House Appropriations Report:
◦ It is not the committee’s intention to maintain an
entitlement program for ailing and inflexible service
providers. The Committee reminds providers in the
Continuum of Care that these funds are intended to
assist and house the homeless as effectively and
efficiently as possible.
HUD’s Homeless Assistance Overview of FY 2012 Funding and
HEARTH Update Webinar, July 2012
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ESG
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CoC
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Together
◦ It was originally called “The Emergency Shelter Grant.”
◦ Now, it is called “The Emergency Solutions Grant.”
◦ It was originally comprised of 3 different homeless
assistance programs: Supportive Housing Program (SHP),
Shelter Plus Care, and Section 8 Mod. Rehab. SRO.
◦ Now, the 3 have been consolidated into, “The Continuum
of Care Program.”
◦ These regulations were intentionally designed to allow
and require ESG recipients and HUD CoC-funded
programs to coordinate planning and service delivery
across the HUD CoC’s geographic area.
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Once HEARTH was signed into law, HUD developed these 6
sets of regulations to implement the legislation.
◦ Emergency Solutions Grant (ESG) Program
 Published on December 5, 2011
 Renamed, broadened, and added activities
◦ Continuum of Care Program
 Consolidated 3 programs – Supportive Housing, Shelter Plus Care, and
Section 8 Mod. Rehab - into 1program
◦ Conforming Amendments to the Consolidated Plan
 Published on December 5, 2011
◦ Homeless Management Information Systems (HMIS)
 Proposed on December 9, 2011
◦ Rural Housing Stability Program
 Replace the Rural Homelessness Grant program
And . . .
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Category 1
◦ Literally homeless individuals and families
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Category 2
◦ Individuals and families who will imminently (within 14
days) lose their primary nighttime residence with no
subsequent residence, resources, or support networks
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Category 3
◦ Unaccompanied youth or families with children and
youth who meet the homeless definition under another
federal statute and 3 additional criteria
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Category 4
◦ Individuals and families fleeing or attempting to flee
domestic violence with no subsequent residence,
resources, or support networks
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Category 1
◦ Literally homeless individuals and families
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Category 2
◦ Individuals and families who will imminently (within 14
days) lose their primary nighttime residence with no
subsequent residence, resources, or support networks
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Category 3
◦ Unaccompanied youth or families with children and
youth who meet the homeless definition under another
federal statute and 3 additional criteria
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Category 4
◦ Individuals and families fleeing or attempting to flee
domestic violence with no subsequent residence,
resources, or support networks
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All 3 circumstances include an individual or
family who lacks a fixed, regular, adequate
nighttime residence.
CIRCUMSTANCES:
◦ Unsheltered
◦ Sheltered
◦ Exiting an Institution
◦ Persons sleeping in a place not designed for or
ordinarily used as a regular sleeping
accommodation
◦ Examples include:
 car, park, abandoned building, bus or train station,
airport, camping ground
DOCUMENTATION:
Only one form of documentation is required.
They are listed in in order of preference.
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Third Party – written examples:
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Observation and certification of the outreach
worker.
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Self-Certification of Homelessness
◦ HMIS street outreach service record
◦ Homeless Certification/written referral from local law
enforcement or emergency medical service agencies
◦ Street outreach worker observation, documented
(if Third Party documentation not obtainable)
Persons living in a supervised shelter designated to
provide temporary living arrangements. Shelters* can
be publicly or privately operated.
Includes:
◦ Emergency/ Congregate Shelters
◦ Hotel/Motel Vouchers
*HEARTH Statutes define the emergency shelter as follows: “Any facility, the primary purpose of which
is to provide a temporary shelter for the homeless in general or for specific populations of the
homeless and which does not require occupants to sign leases or occupancy agreements.”
DOCUMENTATION
Only one form of documentation is required.
They are listed in in order of preference.
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Third Party – written examples:
 HMIS shelter stay record
 Referral/Certification from another shelter
 Shelter sign-in
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Self-Certification of Homelessness
(only if third party documentation not obtainable)
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Persons who are exiting an institution,
such as jail or hospital, if the following
two conditions are true:
CONDITIONS:
1.
Length of stay is 90 days or less, and
2.
Unsheltered or in emergency shelter prior to entry
CONDITION #1: Length of Stay
DOCUMENTATION
Only one form of documentation is required.
They are listed in in order of preference.
▶ 3rd party – written
 Discharge Paperwork
 Written Referral
▶ 3rd party – oral statement from institution, certified by case
worker or intake staff.
Documentation must indicate less than 90 days by either specifying entry/exit dates or
the specific duration of stay.
CONDITION #2: Homelessness Status Prior to Entry
DOCUMENTATION
Only one form of documentation is required.
They are listed in in order of preference.
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3rd Party – written records available may include:
 HMIS shelter stay/street or outreach service record
 Homeless certification or written referral from another agency
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Self-Certification of Homelessness
(only if third Party documentation not obtainable)
DEFINITION
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The primary nighttime residence may be housing they
own, rent, live in without paying rent or sharing with
others, or it can be a room in a hotel/motel that is not
paid for by federal/state/local program or by charitable
organizations.
CIRCUMSTANCES
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Client/ family is the tenant or lease-holder.
Client/ family staying in a hotel or motel paid for
by self and they lack of financial resources to
maintain tenancy.
Client/ family staying with friends or family and
they are being kicked out:
CONDITIONS
1.
They will imminently lose their primary
nighttime residence within 14 days. some
evidence that they are no longer allowed to stay where they
are staying
2.
3.
There is no other place they can go without
help.
They lack resources or support networks
needed to obtain other permanent housing.
CONDITION #1: They will imminently lose their primary nighttime
residence within 14 days.
DOCUMENTATION:
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If client/ family is tenant or lease-holder (must be 3rd Party)
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If staying in a hotel or motel paid for by self and lack of financial
resources to maintain:
◦ Court Order to leave – clearly indicating 14 days or less; or
◦ A legal Quit or Cure Notice
◦ Self-certification, supported by other documentation when practical or appropriate
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If staying with friends or family and are being kicked out:
◦ A letter from owner or renter with whom the individual or family may be staying stating
that the individual is no longer allowed to stay and why &
◦ Certification from the intake staff that reasonable effort was made to keep the
individual in the unit
CONDITION #2:
help.
There is no other place they can go without
CONDITION #3:
They lack resources or support networks
needed to obtain other permanent housing.
DOCUMENTATION:
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Self-certification, supported by other
documentation when available
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DEFINITION
Unaccompanied youth under 25 or families
with children and youth who do not
otherwise qualify as homeless, but who do
qualify in other federal statutes.
CONDITIONS:
1. Meet homeless definition under another federal
statute
2. No lease, ownership interest, occupancy agreement
in permanent housing during preceding 60 days
3. Persistent instability – two or more moves in
preceding 60 days
4. Expected to continue instability for an extended
period of time because of special needs or barriers
SPECIAL NEEDS:
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Chronic physical health or mental health conditions
Substance addiction
Histories of domestic violence or childhood abuse
(including neglect)
Presence of a child or youth with a disability
BARRIERS TO EMPLOYMENT
 Lack of a high school degree or GED
 Illiteracy
 History of incarceration
 History of unstable employment
CONDITION #1: Meet homeless definition under another federal
statute
DOCUMENTATION
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Must have 3rd Party verification – written only
Must be from agency administering the
applicable federal program
May be in the form of homeless certification or
letter from provider
CONDITION #2: No lease or any ownership interest or occupancy
agreement at any time during the last 60 days.
DOCUMENTATION
 Certification by the individual or head of household, and any
available supporting documentation of no permanent housing in
last 60 days.
CONDITION #3: Experienced two or more moves during the
preceding 60 days.
DOCUMENTATION
 Certification by the individual or head of household, and any
available supporting documentation, that (s)he has moved two
or more times in the past 60 days.
CONDITION #4: Homelessness is expected to continue because
of special needs or two barriers to employment
DOCUMENTATION
Special Needs
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Written diagnosis from professional licensed by State to diagnose
and treat condition
NOTE: If documentation of disability is not immediately available, and intake observation
confirmed by written diagnosis from licensed professional within 45 days is acceptable.
Barriers to Employment
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Employment records, Department of Correction records, Literacy,
English proficiency tests, Other reasonable documentation
DEFINITION
◦ Persons fleeing or attempting to flee domestic
violence, dating violence, sexual assault, stalking, or
other dangerous or life threatening condition.
CONDITIONS
1.
Violence occurred either:
o in the persons’ primary nighttime residence; or
o makes the person afraid to return to their primary
nighttime residence.
1.
2.
Person has no identified subsequent residence.
Person lacks the resources & support networks
needed to obtain other permanent housing.
CIRCUMSTANCES
1.
2.
3.
A victim services provider
An agency that is not a victim services agency and
where the client’s safety may be jeopardized
An agency that is not a victim services agency and
where the client’s safety is not in jeopardy
In NO case should one put someone’s safety in jeopardy in an attempt to
get 3rd Party documentation.
CIRCUMSTANCE #1: a victim services provider
DOCUMENTATION
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An oral statement by the individual or head of
household seeking assistance which states: they are
fleeing; they have no subsequent residence; and
they lack resources.
That the oral statement was given must then be
documented by a signed self-certification or a
signed certification by the intake worker.
CIRCUMSTANCE #2: an agency that is not a victim services agency
and where the client’s safety may be jeopardized
DOCUMENTATION
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An oral statement by the individual or head of
household seeking assistance which states: they are
fleeing; they have no subsequent residence; and they
lack resources.
That the oral statement was given must then be
documented by a signed self-certification or a
signed certification by the intake worker.
CIRCUMSTANCE #3: an agency that is not a victim services agency
and where the client’s safety is not in jeopardy
DOCUMENTATION
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3rd Party documentation or certification by the individual
or head of household seeking assistance that they are
fleeing violence; &
Certification by the individual or head of household that
no subsequent residence has been identified; &
Self-certification or other written documentation, that the
individual or family lacks the financial resources and
support networks to obtain other permanent housing
Street
Emerg.
Outreach Shelter
Category #1
Literally Homeless
X (a)
X
Rapid Re- Homeless
housing
Prevention
X (b)
Category #2
Imminent Risk of Homeless
X
X (b)
Category #3
Under other Federal Statute
X
X (b)
Category #4
Flee or attempt to flee DV
X
X
X (b)
X (b)
(a) Must serve persons sleeping in a place not designed for or ordinarily used as a
regular sleeping accommodation
(b) Must only serve participants with annual income at or below 30% of CMI.
Supportive
Service
Only (SSO)
Safe
Haven
Category #1
Literally Homeless
X
X (b)
Category #2
Imminent Risk of Homeless
X
X
Category #3
Under other Federal Statute
X (a)
X (a)
X
X
Category #4
Flee or attempt to flee DV
Transitional Permanent
Housing
Supportive
Housing
X
(a) Must receive prior HUD approval to serve this category
(b) Additional limitations on eligibility within Category 1
(see Continuum of Care Program Interim Rule)
X (b)
X
The Basics of Documentation - Overview
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According to Ann Oliva (Director, HUD Office of
Special Needs Assistance Programs):
“The HEARTH Act didn’t actually require that the
Homeless definition rule be published with a set of
documentation requirements. However, we [HUD] felt
it was important to include them in the rule…for a
couple of reasons. The first is, the law is somewhat
complex in that there is an overlap between the
definition of at-risk of homelessness and the
definition of homelessness. We have never had that
kind of overlap before . . .The second issue that many
of you may or may not know is [that] documentation
of eligibility is really the number one finding that we
[HUD] have across the board when we do monitoring.
That is, it is the number one reason that we ask
people to repay grant money.”
Determining Homeless and At-Risk Status, Income, and
Disability Webinar (December 20, 2011)
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According to Ann Oliva (Director, HUD SNAPS Office):
“These programs can really only serve those that are defined as
homeless …because we have more people who experience
homelessness at any given point in time during the year than we
actually have beds. So we want to first ensure that all of our
programs are being used for the purpose that was intended by
Congress – which is to serve people who are homeless. And we want
to make sure our resources are used in the most efficient and
effective way possible. So that we are getting at our overall goal of
preventing and ending homelessness.”
“HUD has never really written down the specific kinds of details that
we were expecting to see in your files.”
“We urge you to document your efforts to get the documentation,
understand how people are presenting in the case files, so that when
we come to monitor we can understand what you tried to do.”
Homeless Status: Recordkeeping Requirements Webinar, May 2012
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Adopt checklists that reflect preferred order
◦ Incorporate guidance and examples
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Have staff check for existing documentation
◦ e.g. HMIS records or discharge paperwork
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Create forms for tracking and documenting due
diligence
In various places HUD states its recommendation
for the use of standardized forms
◦ Creating clearly labeled sections, fill-in-the-blank, for
including relevant details and certifications
◦ HUD will not be creating these standardized forms.
◦ Instead, HUD expects this to occur on the local level.
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The written policies and procedures must:
◦ Require intake staff to document:
 Evidence gathered as part of the intake/screening
process for ALL persons seeking assistance
 Not just those deemed eligible for assistance
 If a person is determined ineligible, the documentation in
their case file must reflect reasons related to eligibility
 Evidence relied upon to establish and verify Homeless
status
◦ Be consistent with recordkeeping requirements &
reflect HUD’s preferred order
1.
3rd Party (written)
◦ includes already available documents
2.
3rd Party (oral)
◦ Statements recorded by intake staff from the 3rd
party
3.
Intake Observation
4.
Self-certification
◦ Affidavit or statement provided by the potential
program participant
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The lack of 3rd Party documentation should not
prevent access to and assistance with:
◦ Emergency Shelter
◦ Street outreach services
◦ Victim Services
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The regulations make specific provisions related
to documenting housing status of
individuals/families fleeing or attempting to flee
domestic violence.
◦ 3rd Party documentation is only required if the agency
providing the services is not a victim service provider.
◦ Additionally, providers should not attempt to obtain 3rd
Party documentation if the safety of the family or the
individual is jeopardized in any way.
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Written letters/Referrals from 3rd parties
◦ Official communication (issues on agency stationary or
program template)
◦ Signed and dated by appropriate 3rd party representative
◦ Additional standards depend on category and
circumstance of the Homeless Definition category being
used
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Recorded Oral Statements
◦ Statements made by 3rd party to intake staff and intake
staff records into the case file
◦ Clear as to who made the statement, when the statement
was made, and what the 3rd party is saying
◦ Certify – Sign and date as true and complete by intake
staff
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Recorded intake staff observations
◦ Intake staff documents their own observations and
assessments
◦ Certify – Sign and date as true and complete by
intake staff
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Individual or Head of Household Statement
◦ Written statements certified (signed and dated) as
true and complete by the potential program
participant
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Regulations specify when oral statements can
be used
Used only as the last resort & only after
efforts are made to obtain 3rd party
documentation
Exceptions include:
◦ Those fleeing or attempting to flee violence
◦ Those in need of emergency shelter
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Describe efforts to obtain 3rd party
documentation in the case file
◦ May include phone logs, fax transmittals, email
correspondence, copies of certified letters, etc.
◦ Describe circumstances so that an outside 3rd party
[HUD] would understand why 3rd party
documentation was unable to be obtained
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Outcome of effort, including obstacles
encountered
Certified by intake staff as true and complete
◦ Signed and dated
Determining Homeless and At-Risk Status, Income, and Disability Webinar (December 20, 2011)
https://www.onecpd.info/resource/1953/determining-homeless-and-at-risk-status-incomeand-disability-webinar/
Homeless Definition Final Rule
https://www.onecpd.info/resources/documents/HEARTH_HomelessDefinition_FinalRule.pdf
Homeless Status: Recordkeeping Requirements Webinar (May 2012)
https://www.onecpd.info/resource/2016/homeless-status-recordkeeping-requirements-webinar/
The Homelessness Definition and Eligibility for SHP, SPC, and ESG (May 2012)
https://www.onecpd.info/resources/documents/HomelessDefEligibility%20_SHP_SPC_ESG.pdf
Desk Guide and Program Requirements for 2012-13 ETH
http://doa.wi.gov/docview.asp?docid=9992&locid=173
Checklist Homelessness Prevention http://doa.wi.gov/docview.asp?docid=9892&locid=173
Checklist Rapid Re-Housing http://doa.wi.gov/docview.asp?docid=9893&locid=173
Checklist Shelter http://doa.wi.gov/docview.asp?docid=9895&locid=173
Checklist Street Outreach http://doa.wi.gov/docview.asp?docid=9894&locid=173