HOPWA DESKTOP & SITE VISIT MONITORING TOOL Texas Department of State Health Services (DSHS) HIV Care Services Group

Transcription

1 HOPWA DESKTOP & SITE VISIT MONITORING TOOL Texas Department of State Health Services (DSHS) HIV Care Services Group HOPWA Site Visit/Desktop Program Review (Biennial) 1 Date(s) of Site Review: Administrative Agency (AA) AA Location List Each HOPWA Project Sponsor Name/HSDA Under the AA s Purview List Project Sponsor(s) and Corresponding Address if Onsite Visit(s) Made to Project Sponsor Period of Contract AA Contract Number Name of Contact/Title AA HOPWA Coordinator or Program Manager 1 Page 1 of 13 Revised October 2012

2 Services Consultant HOPWA DESKTOP & SITE VISIT MONITORING TOOL Other Program Staff Present (include title) (DSHS, AA, Project Sponsor, etc.) Instructions 1. For the first time (initial site visit) using this revised monitoring tool, the Services Consultant sends this template to the Administrative Agency. 2. The Administrative Agency will electronically submit the Policies and/or Procedures marked as DT (desktop) to the Services Consultant at least three weeks prior to the scheduled site visit so the Services Consultant can review those and be ready to discuss at the site visit. 3. After the initial site visit is completed, the Administrative Agency will only need to submit any updated Policies and Procedures that were revised since the prior submission. Revised Policies and procedures should be submitted within 30 days of the contract renewal/rfp. 4. When conducting a site visit, the Services Consultant must conduct at least one Project Sponsor site visit. Observation: Comments that describe how the AA is following their policy or procedure, utilizing a tool, or meeting a requirement. Also includes observations as to how the Project Sponsors are implementing program. Recommendation: Suggestions/ideas for the AA to consider and are not requirements. Requirement: Items/areas needing improvement in order to comply with DSHS, HOPWA, and/or AA policy or procedure requirement. This should include any follow-up or actions that need to take place, including resolution and a timeline for completion. Delineate between what are AA and what are DSHS responsibilities. Please Note: DSHS staff and contractors are expected to be familiar with the DSHS HOPWA Program Manual, the DSHS HOPWA Statement of Work (SOW), the DSHS General Provisions, the HOPWA Grantee Oversight Guide, and related federal regulations (i.e. 24 CFR, U.S. Department of Housing and Urban Development (HUD), Part 574). Page 2 of 13 Revised October 2012

3 Indicate if program has met identified requirements using the following ratings: M=Meets Expectation NI=Needs Improvement NE= Not Evaluated NA=Not Applicable A. Administration (Does not require any documents to be submitted prior to site visit) 1. The current contract renewal/rfp/rfa is on file. 2. The current application/proposal is on file. 3. The correct budget, objectives, and work plan is on file. 4. The current Project Sponsor contracts are on file. At least one staff member from the AA and from each Project Sponsor has successfully completed the required HOPWA Financial Training. List names reported below and check against HUD s financial training certification list. To check for passing scores, click on this link: Check the box to the left of the staff name once training completion confirmed Page 3 of 13 Revised October 2012

4 M=Meets Expectation NI=Needs Improvement NE= Not Evaluated NA=Not Applicable B. Fiscal 1. 2a. AA assures that expenditures reported in the HOPWA Program Reports include the following for all Project Sponsors: Emergency Assistance (STRMU) Rental Assistance (TBRA) Permanent Housing Placement (PHP) if applicable Administrative (not to exceed 7%) Supportive Services AA has a plan to address overspending/lapsing of funds by Project Sponsors. (AA submits an electronic copy of the plans(s), policy, and/or procedure) Describe how the AA follows a plan to address overspending/lapsing of funds by Project Sponsors. 2b. 3a. The AA uses a budget-screening tool to negotiate and/or develop budgets with Project Sponsors. (AA submits an electronic copy of the budget tool) There is evidence the AA utilizes a budget screening tool to negotiate and/or develop budgets with Project sponsors. 3b. Page 4 of 13 Revised October 2012

5 M=Meets Expectation NI=Needs Improvement NE= Not Evaluated NA=Not Applicable C. AA Planning and Evaluation and AA Review of Project Sponsors Time frame evaluated: 1a. The AA has a policy/procedure that identifies the process and frequency of on-site and desktop HOPWA reviews of Project Sponsors. (AA submits 1. an electronic copy of the policy or procedure and 2. the most recent schedule and results of completed monitoring ) There is documentation/evidence that the AA has followed its policy/procedure regarding HOPWA monitoring/reviews. 1b. 2a. The AA uses a publicized monitoring tool. (AA submits an electronic copy of the AA monitoring tool or consultant verifies DSHS has the most current monitoring tool on file in the Shared Drive) The AA uses a publicized monitoring tool. 2b. 3a. The AA assures that Project Sponsors have developed (and the AA has approved) a local policy to address the provision of assistance (grace period) to survivors and remaining household members of clients entering incarceration, drug treatment, long term/hospice care, or who have had a life event (death). (AA submits an electronic copy of the policy or procedure for each Project Sponsor) The Project Sponsors have developed, and the AA approved, a local policy to address the grace period for survivors and remaining household members of clients entering incarceration, drug treatment, long term/hospice care, or who have experienced a life event. 3b. Page 5 of 13 Revised October 2012

6 C. AA Planning and Evaluation and AA Review of Project Sponsors There is evidence that Project Sponsors share/promote HOPWA program assistance and eligibility information within the HSDA. (Give a brief description below) 4. 5a. The AA assures the Project Sponsors conducts needs assessments and collaborate with local entities. (AA submits electronic copies of the most current completed needs assessments) Project Sponsors regularly conduct needs assessments and collaborate with local entities. 5b. 6a. There is documentation that the AA and Project Sponsors collaborate to develop emergency assistance (STRMU) caps (including utilities). (AA submits an electronic copy of the policy or procedure) Observations concerning the AA and Project Sponsors collaboration efforts to develop emergency assistance (STRMU) caps including utilities, including documentation (e.g. copies of s, meeting notes, correspondence, or other documentation). 6b. Page 6 of 13 Revised October 2012

7 C. AA Planning and Evaluation and AA Review of Project Sponsors The AA assures the following: a. Project Sponsors obtain the local Utility Allowance Schedule from the Public Housing Authority b. Project Sponsors use the latest Income Table for use in establishing low-income eligibility c. Project Sponsors use the latest Fair Market Rental table to establish rental assistance allowances 7. The AA has documentation that Project Sponsors file IRS Form 1099 for rental assistance payments to individuals and partnerships, if applicable. 8. Observations and documentation concerning the Project Sponsors liaison with local Housing Choice Voucher Programs (formerly Section 8) and public housing authorities a. The AA assures that the Project Sponsors have a policy requiring HOPWA clients to apply for the Housing Choice Voucher (HCV) Program (formerly Section 8) and other affordable housing programs and renew this application every 90 days or as required by the Housing Choice Voucher Program and other programs, if applicable. (AA submits an electronic copy of the policy or procedure) Page 7 of 13 Revised October 2012

8 C. AA Planning and Evaluation and AA Review of Project Sponsors Observations concerning AA/Project Sponsors compliance with their policy requiring HOPWA clients to apply for the HCV Program and new this application every 90 days or as required by the HCV program. 10b. Observations concerning Project Sponsors system(s) to track HOPWA clients applying for and renewing applications for the Housing Choice Voucher Program (formerly Section 8) and other affordable housing programs. 11. Observations concerning Project Sponsors system(s) to track the actual number of clients transitioning to the Housing Choice Voucher Program or other types of housing in the contract year. ( a. The AA assures that all Project Sponsors maintain a wait list, have a policy/plan to prioritize clients on HOPWA wait list, and that the waitlists are for TBRA and STRMU and that STRMU is itemized by the categories of assistance below. (AA submits an electronic copy of the waiting list policy or procedure for each Project Sponsor for the initial site visit utilizing this revised monitoring tool and then subsequently submits policies or procedures with renewals or new contracts or when the policies are updated) Page 8 of 13 Revised October 2012

9 C. AA Planning and Evaluation and AA Review of Project Sponsors Confirm that all Project Sponsors have wait lists (even if there are no clients currently on them), they are updated every three (3) months indicating the number of clients on the waiting list by housing assistance category, and have the date clients were added and removed. Confirm there are separate wait lists for clients needing TBRA and/or STRMU assistance, using the following criteria: TBRA - number of clients who: a) Are HIV-Positive; b) Are Income Eligible (as defined in the DSHS HOPWA Manual located at ); and c) Are unable to receive rental assistance due to insufficient HOPWA funds. 13b. STRMU - number of clients who: a) Are HIV-Positive; b) Are Income Eligible (as defined in the DSHS HOPWA Manual located at ); c) Are the owner or named occupant on the lease/rental agreement/utility bill; d) Already in housing and have a short-term emergency situation that may put the client at risk of becoming homeless; and e) Are unable to receive emergency assistance due to insufficient HOPWA funds. Clients on the STRMU wait list should be under one of three categories: assistance with rental costs, mortgage payments, and/or utility costs 14a. The AA a. Has a written confidentiality policy b. Assures that all Project Sponsors have established a written confidentiality policy c. AA assures that AA and Project Sponsors consistently follow the policy. (AA submits an electronic copy of the policy or procedure) AA has, and complies, with the confidentiality policy(s). Also describe how the AA assures Project Sponsors follow, and are compliant with, confidentiality policies and procedures. 14b. Page 9 of 13 Revised October 2012

10 C. AA Planning and Evaluation and AA Review of Project Sponsors 15a. The AA assures that Project Sponsors have developed (and the AA has approved) a local policy to address client terminations from the HOPWA program that meets HUD s requirements. At a minimum, the policy should address: a. Reasons clients can and/or will be terminated from the program along with formal termination steps/procedures b. Termination Form for client s file to be completed correctly each time client leaves the program c. Serving the participant with a written notice containing a clear statement of the reasons for termination and if client was terminated for violating program requirements or conditions of occupancy d. Permitting the participant to have a review of the decision, in which the participant is given the opportunity to confront opposing witnesses, present written objections, and be represented by their own counsel, before a person other than the person (or a subordinate of that person) who made or approved the termination decision; and e. Providing prompt written notification of the final decision to the participant (AA submits an electronic copy of the policy or procedure for each Project Sponsor) Describe how the AA and Project Sponsors comply with the termination policy(s)? 15b. 16a. The AA assures that the Project Sponsors have implemented their Quality Assurance Plan. (AA submits an electronic copy of the QA plan(s) for each Project Sponsor along with any reviews, findings and updates.) Observations concerning implementation of Quality Assurance Plans. 16b. 17a. The AA assures policies are in place, and followed, for grievances which includes follow-up, outcomes, and reporting to DSHS as required. Each Project Sponsor should have an AA-approved grievance policy/procedure and the AA should also have a grievance policy. Page 10 of 13 Revised October 2012

11 C. AA Planning and Evaluation and AA Review of Project Sponsors (AA submits electronic copies of the policies/procedures.) Observations concerning implementation of, and compliance with, grievance policies and procedures at both the AA and Project Sponsor levels. 17b. Page 11 of 13 Revised October 2012

12 D. Client File Review (Complete this table for the AA and for each client file reviewed when onsite at a Project Sponsor s location) STRMU (Y/N or N/A) TBRA (Y/N or N/A) AA assures that the following items are documented in the Project Sponsors client files or if conducting client file reviews and a Project Sponsor, complete one of these charts for each file reviewed: 1. Client File Contents Checklist (this list, at a minimum) 2. Consent to Release and/or Obtain Confidential Information 3. Signed and completed HOPWA application 4. Client Rights and Responsibilities Statement 5. HIV-positive status 6. a. Client s gross income calculated correctly on the Gross Income Worksheet b. Client s adjusted income calculated correctly on the Adjusted Income Worksheet c. Supporting documents verifying income d. Earned Income Disregard (EID) documentation and tracking, if applicable 7. Description and evidence of client s emergency situation and housing plan are fully documented on the Emergency Worksheet and reassessed each time the client applies for Emergency Assistance 8. a. Appropriate section on Rental (TBRA) or Emergency Assistance (STRMU) Worksheet calculated correctly b. Correct backup documents (lease agreements, mortgage statement, and/or utility bills) c. Rental/Emergency Assistance Worksheet signed by the client and the case manager 9. Case management and supportive services offered to client 10. Case notes are timely, legible, and complete 11. Completed Client Housing Plan 12. a. Acknowledgment that the client received the Lead-Based Paint and Fair Housing pamphlets b. Housing Quality Standards inspection has been performed and documented if client is certified for Rental Assistance c. A hard-wired or battery operated smoke detector is installed in client s residence; or for Emergency Assistance, a signed client acknowledgment is on file 13. Client s application is updated annually for Rental Assistance or every time the client s financial or household composition changes. 14. a. Termination Form completed correctly each time client leaves the program b. Notice containing a clear statement of the reason for termination was provided to the client, if client was terminated for violating program requirements or conditions of occupancy 15. Documentation that client is on Housing Choice Voucher Program (Section 8) waiting list and other affordable housing programs (if applicable) or there is an Other Housing Waiver Comments: Page 12 of 13 Revised October 2012

13 Post-Site Visit Monitoring Evaluation & Summary (Refer to Contract Monitoring Policies for Instructions and Timeline) Summary of Strengths: Summary of Observations and Recommendations (for non-significant findings): Findings/Requirements (including timelines): Page 13 of 13 Revised October 2012