transition issues and building a foundation for success bridget kurtt dejong stacey murphy
TRANSCRIPT
TRANSITION ISSUES AND BUILDING TRANSITION ISSUES AND BUILDING A FOUNDATION FOR SUCCESSA FOUNDATION FOR SUCCESS
Bridget Kurtt DeJong
Stacey Murphy
2
TOPICS:TOPICS:
Differences between current CoC and new CoC practices and roles
New requirements for CoC oversight structure, oversight, and responsibilities under HEARTH Act (changeover to be completed by 2011)
Possible Structures for CoCs Under HEARTH
3
CoC Leaders’ Goals:CoC Leaders’ Goals:
o Realistically assess their current CoC’s inter-organizational arrangements and current strengths, weaknesses, and opportunities
o Understand what they need to do to work towards designing an optimal alternative
4
AGENDAAGENDA
I. HEARTH Changes to CoC Structure and Activitieso Discussion of Impact on CoC Stakeholders
II. Restructuring Your CoC Governance/Management
o Discussion of Choosing an Entity to Lead
III. A New Grant System
5
I. HEARTH CHANGES TO COC STRUCTURE AND I. HEARTH CHANGES TO COC STRUCTURE AND ACTIVITIES- ACTIVITIES- BIG OVERVIEWBIG OVERVIEW
Continuum of Care (CoC) becomes Collaborative Applicant (CA) o CA has a few more responsibilities
CA receives funds to do work
CA can become Unified Funding Agency (UFA) o take on more responsibilitieso receive even more funding
6
THE PRE-HEARTH SYSTEMTHE PRE-HEARTH SYSTEM
A Continuum of Care:o Engaged in community planning o Filed the annual HUD application o Oversaw HMIS implementation
Project grantees:o Contracted with HUDo Monitored fund useo Maintained financial management procedures
7
POST-HEARTH SYSTEM- OPTION 1POST-HEARTH SYSTEM- OPTION 1
A Continuum of Care:o Engages in community planning (including
Con Plan)o Files the annual HUD application and tracks
outcome datao Oversees HMIS implementationo Oversees project requirements
Project grantees:o Contract with HUDo Monitor fund useo Maintain financial management procedures
8
POST-HEARTH SYSTEM- OPTION 2POST-HEARTH SYSTEM- OPTION 2
A Continuum of Care:o Engages in community planning (including
Con Plan)o Files the annual HUD application and tracks
outcome datao Oversees HMIS implementationo Oversees project requirementso Contracts with HUDo Monitors fund useo Oversees financial management procedures
Project sponsors: o Run the projects and keep accurate files
9
Option 2:
Option 1:
Map of the Old to New System:Map of the Old to New System:
Two OptionsTwo Options
10
CHANGES, CHANGES…CHANGES, CHANGES…
The changes in structure and responsibilities could change other parts of your CoC tooo Role of your CoC in the communityo Relationships among CoC memberso CoC power structure
11
COLLABORATIVE APPLICANTCOLLABORATIVE APPLICANT
Collaborative Applicant:o Submits CoC application for all projects in its
community o Is not required to be a legal entityo Can receive up to 3% of a community’s CoC
grant to cover its costs Conflict of Interest: No board member of a CA
may participate in decisions concerning an award to her or her organization
12
DUTIES OF A COLLABORATIVE APPLICANTDUTIES OF A COLLABORATIVE APPLICANT
1. Submits consolidated CoC grant application a) Designs collaborative process to apply for
funding b) Evaluates outcomesc) Determines compliance with program
requirements and selection criteria d) Establishes funding priorities
2. Participates in the Consolidated Plan3. Ensures operation of and consistent participation in
HMIS
Summary: Much of what CoCs currently do,
with additional roles and responsibilities.
13
BECOMING A UNIFIED FUNDING AGENCYBECOMING A UNIFIED FUNDING AGENCY
A CA can apply to serve as a UFA
or
HUD can designate a CA as a UFA if: o the CA has capacity
o the change would serve the purposes of HEARTH
14
UNIFIED FUNDING AGENCY DUTIESUNIFIED FUNDING AGENCY DUTIES
In addition to the CA duties, a UFA:o Receives and distributes funds from HUDo Requires each project to establish proper fiscal
control and fund accounting procedureso Arranges for an annual audit of the financial
records of each project
15
UNIFIED FUNDING AGENCYUNIFIED FUNDING AGENCY
A UFA can receive up to 6% of a community’s CoC grant to cover the administrative costs of performing these duties
Summary: UFA takes on CA duties PLUS other key tasks
related to grant management and oversight
16
AGENT OF COLLABORATIVE APPLICANTAGENT OF COLLABORATIVE APPLICANT
A CA may designate an agent to:o Apply for grant fundingo Receive and distribute grant funds o Perform other administrative duties
But CA retains all duties and responsibilities
17
REMINDER: DUTIES OF A COLLABORATIVE REMINDER: DUTIES OF A COLLABORATIVE APPLICANTAPPLICANT
1. Submits consolidated CoC grant application a) Designs collaborative process to apply for
funding b) Evaluates outcomesc) Determines compliance with program
requirements and selection criteria d) Establishes funding priorities
2. Participates in the Consolidated Plan3. Ensures operation of and consistent
participation in HMIS
18
CA RESPONSIBILITY #1A : APPLICATIONCA RESPONSIBILITY #1A : APPLICATIONWHAT’S THE APPLICATION PROCESS WHAT’S THE APPLICATION PROCESS
GOING TO BE LIKE?GOING TO BE LIKE?
Still a competition Some selection criteria for CoCs described in
legislation Funding directly awarded to projects or to UFAs
19
CA RESPONSIBILITY #1A AND B: CA RESPONSIBILITY #1A AND B: APPLICATIONAPPLICATION
COC SELECTION CRITERIA IN THE COC SELECTION CRITERIA IN THE LEGISLATION…LEGISLATION…
CA’s Plan for reducing homelessness and length of homelessness, which should include:o Needs of subpopulationso Comprehensive strategieso Quantifiable performance measureso Timelineso Funding sourceso Responsible partieso And more
20
CA RESPONSIBILITY #1A AND B: CA RESPONSIBILITY #1A AND B: APPLICATIONAPPLICATION
MORE COC SELECTION CRITERIAMORE COC SELECTION CRITERIA
Prior performance of ESG and CoC grants and including at least: o Length of time people remain homelesso Extent of repeated homelessnesso Thoroughness in reaching homeless peopleo Reduction in number of people who are
homelesso Jobs and income growth for homeless peopleo Reduction in number of people who become
homeless
21
CA RESPONSIBILITY #1A AND B: CA RESPONSIBILITY #1A AND B: APPLICATIONAPPLICATION
EVEN MORE COC SELECTION CRITERIAEVEN MORE COC SELECTION CRITERIA
Review and Rank Process:o Uses outcome data o Involves a range of stakeholderso Based on objective criteria that are publicly
announcedo Open to proposals from previously unfunded
entities Leverage for CoC grants Coordination with other Federal, State, local,
private and other entities ending homelessness
22
CA RESPONSIBILITY #1A AND B: CA RESPONSIBILITY #1A AND B: APPLICATIONAPPLICATION
EVEN MORE COC SELECTION CRITERIAEVEN MORE COC SELECTION CRITERIA
Outcomes of projects serving DOE-defined homeless families with children and youth (e.g. doubled up), such aso Preventing literal homelessness for those at
highest risko Achieving independent living in permanent
housing among highest risk households Other criteria HUD creates The need within the geographic area for
homeless services
23
CA RESPONSIBILITY #1C: CA RESPONSIBILITY #1C: PROGRAM REQUIREMENTSPROGRAM REQUIREMENTS
By submitting application, CA agrees to:o Ensure operation of projecto Monitor and report progress of project o Ensure consumer involvement in management
and execution of project
24
CA RESPONSIBILITY #1C: CA RESPONSIBILITY #1C: PROGRAM REQUIREMENTSPROGRAM REQUIREMENTS
By submitting application, CA agrees to:o Require certification from project sponsors to
maintain DV confidentialityestablish policies/staff to protect educational rights
provide data/reportso Monitor and report provision of matching fundso Consider educational needs when placing
familieso Other activities
25
CA RESPONSIBILITY #1C: CA RESPONSIBILITY #1C: MATCHING FUNDSMATCHING FUNDS
CAs demonstrate match Match required: At least 25% of funds provided
to the area (except admin, leasing) Match may be:
o Funding for eligible activitieso In-kind services
By an entity other than sponsorNeed an MOU in place
26
CA RESPONSIBILITY #1D: CA RESPONSIBILITY #1D: FUNDING PRIORITIESFUNDING PRIORITIES
Determining how to use CoC fundso Including scoring of project applications,
perhaps using CoC Selection Criteria as guidance (esp about Project Performance and Review and Rank process)
HEARTH: CA may use up to 10% of funds to serve families w/ children and youth defined as homeless under other Federal statutes, IF the CA shows use of such funds is:o Of an equal or greater priority OR o Equally or more cost effective in meeting the
goals of the CA’s plan
27
REMINDER: DUTIES OF A COLLABORATIVE REMINDER: DUTIES OF A COLLABORATIVE APPLICANTAPPLICANT
1. Submits consolidated CoC grant application a) Designs collaborative process to apply for
funding b) Evaluates outcomesc) Determines compliance with program
requirements and selection criteria d) Establishes funding priorities
2. Participates in the Consolidated Plan3. Ensures operation of and consistent
participation in HMIS
28
CA RESPONSIBILITY #2: CA RESPONSIBILITY #2: CON PLAN PARTICIPATIONCON PLAN PARTICIPATION
CA must participate in the Con Plan
CA must consult with the body allocating ESG funds (prevention and shelter)
29
CA RESPONSIBILITY #3: OPERATE AND ENSURE CA RESPONSIBILITY #3: OPERATE AND ENSURE PARTICIPATION IN HMISPARTICIPATION IN HMIS
HMIS must: Collect unduplicated counts Analyze patterns of use Provide information to projects for needs
analyses and funding priorities Meet all technical and privacy standards
o encryptiono documentationo rights protectedo criminal/civil penalties for unlawful disclosureo etc.
30
KEY DIFFERENCES BETWEEN CA AND UFAKEY DIFFERENCES BETWEEN CA AND UFA
A CA does the things CoC currently does plus some oversight of program requirements and outcomes
A UFA does everything a CA does plus grants management– it receives the grant funds, distributes them, audits programs, etc.
31
THINGS TO THINK ABOUT: THINGS TO THINK ABOUT: CURRENT STAKEHOLDERSCURRENT STAKEHOLDERS
Changing roles Changing relationships among sister agencies Data driven Best practices Evaluation Monitoring Centralization (esp. UFA) Current authority or decision-making within the
CoC
32
THINGS TO THINK ABOUT: GEOGRAPHYTHINGS TO THINK ABOUT: GEOGRAPHY
Improving partnerships with Con Plan bodies and Education Coordinator
Meeting additional data collection and outcome tracking requirementso Merging may increase competitiveness
Administrative capacity UFA duties may require an economy of scale
o Consider current grant administrators in community
o Consider CoC mergers to achieve greater efficiency
33
THINGS TO THINK ABOUT: THINGS TO THINK ABOUT: SO MUCH MORE!SO MUCH MORE!
Big decisions!o Mergingo Choosing one entity to serve as CAo Structureo Aligning funding streams
Each CoC will need to determine their existing players, structures, processes, funding, and decide how to best allocate resources and design its system
34
A CASE STUDY: COMMUNITY XA CASE STUDY: COMMUNITY X
X has a young CoC, led by local providers City and county staff have been involved, but
peripherally X has been moderately successful in the
competition, but mostly focuses on coordinating services and advocacy
Each provider is its own grantee
35
A CASE STUDY: COMMUNITY XA CASE STUDY: COMMUNITY X
How will HEARTH changes affect CoCs current role in the community and its stakeholders?
Will the CoC be able to collect data and report out on the Selection Criteria under HEARTH? How will that affect projects?
Would the CoC want to become a legal entity and centralize grants? How would that affect members?
36
A CASE STUDY: COMMUNITY XA CASE STUDY: COMMUNITY X
Would the CoC benefit from increasing economy of scale by merging with a staffed CoC nearby?
How will the CoC structure and membership need to change? How will that affect the current CoC’s activities and success?
What is the effect of changes on sister agency relationships?
What else?
37
ACTIVITY: ACTIVITY: IMPACT ON YOUR GEOGRAPHY AND IMPACT ON YOUR GEOGRAPHY AND STAKEHOLDERSSTAKEHOLDERS
38
II. RESTRUCTURING YOUR II. RESTRUCTURING YOUR COC GOVERNANCE/MANAGEMENT COC GOVERNANCE/MANAGEMENT
The big question….
39
POSSIBLE MODELSPOSSIBLE MODELS
Disclaimer: The following models may not work in precisely the way presented below for your CoC. They are only for discussion.
Other Disclaimer: We do not know if additional CA/UFA administrative funds will be available. You may not receive more funding.
Final Disclaimer: These slides should not be used on their own. Discussing Pros and Cons and resources is key to fully understanding these models.
40
COLLABORATIVE APPLICANT: OPTION 1COLLABORATIVE APPLICANT: OPTION 1COC GOVERNING BODY BECOMES C.A.COC GOVERNING BODY BECOMES C.A.
• Current CoC takes on all CA responsibilities• May assume 3% of grant
All CA Responsibilities – HMIS, application, planning, monitoring
41
COLLABORATIVE APPLICANT: OPTION 2COLLABORATIVE APPLICANT: OPTION 2CA RESPONSIBILITIES DIVIDED BETWEEN CA RESPONSIBILITIES DIVIDED BETWEEN
COC GOVERNING BODY AND AGENTCOC GOVERNING BODY AND AGENT
• CA responsibilities AND 3% admin divided between CA (planning, HMIS participation) and Agent (monitoring, application)
• Similar to current CoC structure, but allows agent to take on new CA responsibilities
3% admin
42
UNIFIED FUNDING AGENCY: OPTION 1UNIFIED FUNDING AGENCY: OPTION 1COC GOVERNING BODY BECOMES UFACOC GOVERNING BODY BECOMES UFA
• Existing CoC becomes legal entity and contracts with HUD as UFA
• UFA contracts with agent for grants management
• Grant recipients contract with UFA, not HUD
• UFA and Agent divide UFA responsibilities and up to 6% of grant
• May make sense where there is a very strong CoC body
6% Admin
43
UNIFIED FUNDING AGENCY: OPTION 2UNIFIED FUNDING AGENCY: OPTION 2UFA AND COC BODY IN GOVERNMENT AGENCYUFA AND COC BODY IN GOVERNMENT AGENCY
Government Agency becomes UFA and contracts directly with HUD UFA contracts directly with grant recipients Government Agency assumes up to 6% of grant and most UFA responsibilities CoC Advisory Commission created for planning May make sense in CoC where a government agency is involved now
CoC Commission with CoC Members
44
UNIFIED FUNDING AGENCY: OPTION 3UNIFIED FUNDING AGENCY: OPTION 3NONPROFIT OR JOINT POWERS AUTHORITY (JPA) BECOMES NONPROFIT OR JOINT POWERS AUTHORITY (JPA) BECOMES UFAUFA
Nonprofit or Joint Powers Authority becomes UFA and contracts with HUD UFA assumes all UFA responsibilities and up to 6% of grant, and contracts
with grant recipients UFA establishes mechanism for ensuring CoC member
participation/representation May make sense in a CoC that contains multiple jurisdictions or a large
geographic area
45
BARRIERSBARRIERS
Each CA/UFA will be required to collect and report on complex data and do project oversight
Additionally, each UFA will need to have excellent financial oversight and management procedures and capacity
46
BARRIERSBARRIERS
HUD usually looks to past performance to establish capacity; will possible entities in your area have experience?
Your community is likely comfortable with the current set-up; getting buy-in may be difficult especially if stakeholder roles will be diminished.
47
PREPARING FOR THE APPLICATION PREPARING FOR THE APPLICATION PROCESS PROCESS
Each CA/UFA will need to be collecting more information than it does now
Each CA/UFA will need to be engaging in restructuring activities in order to be ready for the application process in 2011
48
IMPLICATIONS FOR HMISIMPLICATIONS FOR HMIS
HMIS will: Need to be more robust to meet HEARTH data
requirements Need to collect additional information Be supported by the oversight structure
49
CHOOSING AN ENTITY TO BE THE CA OR CHOOSING AN ENTITY TO BE THE CA OR UFAUFA
Consider current structureo What works or doesn’t work
Consider entities in community o Their capacity to be CA/UFAo Their interest in being the CA/UFA
Consider bringing other funding streams under central oversighto May present the opportunity to improve
alignment among various funding streams/application processes, creating efficiencies at many levels
50
CASE STUDY: COMMUNITY YCASE STUDY: COMMUNITY Y
Community Y is a successful, established CoC that would like to centralize homeless system oversight (e.g. Ten Year Plan, CoC, shelter system, etc.) and improve its adequate HMIS system.
CoC membership wants what is best for the community.
With budget cuts, the PHA, the County, the Cities, local United Way and foundations are nervous about taking on the responsibilities of the CoC.
Y has a strong faith-based community and provider network.
51
CASE STUDY: COMMUNITY YCASE STUDY: COMMUNITY Y
What is the next step for Community Y? What models could Community Y consider? What
resources would it need for each? What challenges should Y expect, and how could
it overcome them?
52
ACTIVITY: ACTIVITY: CAPACITY ASSESSMENT FOR CA/UFACAPACITY ASSESSMENT FOR CA/UFA
53
III. A NEW GRANT SYSTEMIII. A NEW GRANT SYSTEM
Pre-HEARTH: grants were subdivided into different programs o different match requirements, activities, and
structures HEARTH: SHP, S+C, and Section 8 SRO Mod
Rehab are combined into one CoC programo one set of eligible activitieso a single match requiremento a unified set of operating rules
54
ELIGIBLE ACTIVITIESELIGIBLE ACTIVITIES
Included: o acquisition, rehabilitation, constructiono rental assistance (short and long term)o operating costso supportive serviceso re-housing serviceso HMIS
Key points:o No cap on acquisition/ rehabilitation/ constructiono PH Rental Assistance must be administered by unit
of government or public housing agencyo Addition of Re-housing serviceso Staff training now allowable
55
ADMINISTRATIVE COSTSADMINISTRATIVE COSTS
Project sponsors can receive 10% of total project funds for admin (up from 5%)
Reminder: Continuums must demonstrate 25% match for all activities except leasing and administration (which have no match requirement)
56
GRANT TERMSGRANT TERMS
Permanent housing leasing/ rental assistance/operations: o New: may have a 15-year initial term
first 5 years funded through CoC next 10 years funded through CoC or through
Section 8 Project-based Rental Assistanceo Renewals:
Can be funded either through CoC or through Section 8 Project-based Rental Assistance
Tenant-based assistance: 1-year termsProject-based assistance: up to 15 years subject to
applicant’s discretion and annual appropriations
57
CONTRACT RENEWALCONTRACT RENEWAL
Renewal amounts for Permanent Housing leasing, operations, or rental assistance: o HUD will adjust proportional to increases in
fair market rents in the geographic areao This expands the S+C FMR increases to all
permanent housing activities HUD may impose minimum grant terms (up to 5
years) for new permanent housing projects
58
FUNDING RECAPTUREFUNDING RECAPTURE
Acquisition, Rehabilitation, or Construction If project ceases to operate within 15 years (used
to be 20 years) of award, it must repay funds according to a new schedule o Except under certain circumstances
