CTR066290_Contract_Documents.pdf

CTR066290

July 1, 2023

20th June 23

Solicitation Requirements Request for Proposal (RFP)

Solicitation No.: BPM005136

Description: Housing Support Services - Pima County and Balance of State

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Table of Contents Section Page

Scope of Work

Special Terms and Conditions

Uniform Terms and Conditions

Exhibit A - Unable to Serve Summary

Exhibit B - General Eligibility Determination Form

Exhibit C - DES Participant Case File Setup Checklist

Exhibit D - Mainstream Service Referral Log

Exhibit E - Continuous Process Improvement Summary

Exhibit F - Unusual Incident Report Form

Exhibit G – ESG Minimum Habitability Standard for Emergency Shelters and Permanent Housing Checklists

Exhibit H - Lead-Based Paint Certification and Checklist

Exhibit I - Emergency Shelter Low-Barrier Self-Assessment & Action Plan

Exhibit J – Income Verification Calculation Worksheet

Exhibit K – Rent Reasonableness and Fair Market Rent Under the Emergency Solutions Grants Program ... 90

Exhibit L - Rapid Re-housing & Homeless Prevention Participant Roster

Exhibit M - DES Emergency Solutions Grants Program Performance Report

Exhibit N - Itemized Service Budget

Exhibit O - Certificate of de Minimis Indirect Cost Rate https://app.az.gov/

Scope of Work

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1. ADES Mission and Vision Statements

1.1 ADES Mission: The Arizona Department of Economic Security makes Arizona stronger by helping

Arizonans reach their potential through temporary assistance for those in need, and care for the vulnerable.

1.2 ADES Vision: All Arizonans who qualify receive timely DES services and achieve their potential.

2. Purpose

2.1 Purpose Statement: The purpose is to rapidly provide Permanent Housing for individuals who are experiencing homelessness in Arizona, which includes the geographic areas in Pima County (within Tucson Pima Collaboration to End Homelessness (TPCH)) and/or Balance of State (BOS) Continuums of Care. Awarded providers will facilitate Permanent Housing Support placements by providing one (1) or a combination of the following Program Components, which are:

2.1.1 Emergency Shelter,

2.1.2 Street Outreach,

2.1.3 Rapid Re-housing,

2.1.4 Homeless Prevention, and

2.1.5 Homeless Management Information System (HMIS).

2.1.5.1 Providers must receive an award for Emergency Shelter, Street Outreach, Rapid Re-housing, or Homelessness Prevention program components to be eligible for funding under HMIS.

2.1.5.2 Awards to a victim services provider or legal service provider, may establish and operate a comparable database that collects Participant-level data as per 24 CFR § 576.107(3).

2.2 Legal Authority: A.R.S. §41-1954 (A) (6) provides ADES the authority to contract and incur obligations within the general scope of activities and operations.

2.3 Projected Awards: It is the intent of ADES to make multiple awards in Pima County and BOS when determined in the best interest of the State. Awards may be made for each county separately, and/or multiple counties together. The number of awards may be limited by available funding. Awarded providers will facilitate Permanent Housing Support placements by providing one (1) or a combination of Program Components as listed in Section 2.1. To ensure adequate coverage, ADES reserves the right to allow Contractors to expand their services to additional counties via an amendment or pursue alternative procurement methods in the best interest in the State. The anticipated start date is July 1, 2023, with an initial contract term of one (1) year with extension options in accordance with the Special Terms and Conditions, Section 13, Contract Term and Option to Extend.

2.4 Projected Utilization: In State Fiscal Year 2022 the ADES served 3,158 Individuals in Rapid Re-housing and 34,168 in Emergency Shelter through funding allocations.

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2.5 Funding: Program Components will be funded from the U.S. Department of Housing and Urban

Development (HUD) Emergency Solutions Grant (ESG), Temporary Assistance for Needy Families (TANF), Social Services Block Grant (SSBG), Lottery, State Homeless funds, and additional funding sources as may be available.

2.5.1 The approximate funding breakdown for eligible counties will be as follows:

2.5.1.1 It is estimated that $1,156,000 may be available in Pima County and $3,180,000 may be available in BOS.

2.5.1.2 ADES will in the best interest of the state determine the funding amount for

Contractors upon award.

2.5.2 The ESG program provides funding for the following objectives:

2.5.2.1 Improving the quality of Emergency Shelters for Participants experiencing homelessness; helping operate Emergency Shelters, and providing essential services;

2.5.2.2 Engaging unsheltered individuals and families experiencing homelessness by providing Street Outreach connecting them with Emergency Shelter, housing, or critical services; and providing urgent, non-facility based care to those who are unwilling or unable to access Emergency Shelter, housing, or an appropriate health facility;

2.5.2.3 Rapid Re-housing may be used for the costs of providing Housing Relocation and

Stabilization Services and short and/or medium-term rental assistance as necessary to help individuals or families living in an Emergency Shelter or other place described as homeless in CFR § 576.2 to move as quickly as possible into Permanent Housing and achieve stability in that housing; and

2.5.2.4 Homeless Prevention may be used for the costs by providing Housing Relocation and Stabilization Services and/or short and/or medium-term rental assistance necessary to prevent the individual or family from moving into an Emergency Shelter or another place described as Homeless in CFR § 576.2.

3. Service Description

3.1 Taxonomy Definition: Housing Support Services - Services that focus on providing the necessary support to locate and maintain a home.

3.2 Actual Service Description: Housing Support Services are intended to assist Participants to quickly regain stability in permanent housing after experiencing a housing crisis and/or homelessness through the five (5) Program Components as follows:

3.2.1 Emergency Shelter services may be provided by a government entity or nonprofit organization who provides a safe place to sleep, food, supplies, transportation, and essential services such as Case Management, licensed child care, education services, employment assistance and job training, outpatient health services, legal services, life skills training, mental health services, substance abuse treatment services and services to special populations.

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3.2.2 Street Outreach services are activities including essential services to meet the immediate needs of people in unsheltered locations by connecting them with Emergency Shelter, housing, or critical services, and providing them with urgent, non-facility-based care. Services also include street engagement, Case Management, emergency health and mental health services, transportation, and services for special populations.

3.2.3 Rapid Re-housing services provide temporary short and medium term assistance to obtain and maintain housing including but not limited to Housing Relocation and Stabilization Services, rental, financial assistance, and Case Management.

3.2.4 Homeless Prevention services include but are not limited to rental and financial assistance, Case Management, Housing Relocation and Stabilization Services that prevent Participants from becoming homeless, or moving to an Emergency Shelter, or a place not meant for human habitation.

3.2.5 HMIS is the system used for data collection and reporting designated by the Continuum of

Care (CoC) for the area, to be used to collect Participant-level data, including the CoC Coordinated Entry System, and data on the provision of housing and services to households experiencing or at risk of homelessness. Contractor may utilize a comparable database that is certified by HMIS Lead and meet standards as specified in HMIS Comparable Database Manual.

3.3 Background: As of January 2022, the number of people experiencing homelessness in Arizona was

13,553, an increase of nearly 25% since 2020. The homeless population has steadily risen in Arizona since 2017, with unsheltered homelessness increasing by 62% since 2012. Housing insecurity and homelessness are exacerbated by the lack of affordable housing, mental illness, addiction, domestic violence, poverty, and other factors impacting rural and urban communities statewide.

Based on the 2022 Point-in-Time (PIT) count, 2,300 persons in the BOS and 2,227 persons in Tucson/Pima County were experiencing homelessness, including those unsheltered and in Emergency Shelter or transitional Housing. Arizona communities and evidence-based research have shown that Rapid Re-housing is a valuable strategy for quickly transitioning individuals and families directly from shelter into permanent housing with needed and appropriate supports. Some Arizona communities have little or no shelter and/or street outreach to connect people having a housing crisis to needed support.

ADES services are critical for individuals, children and families who make Arizona their home. In partnership with community-based providers, ADES continues to support Arizonans as they reach their potential and gain greater self-sufficiency through supportive services and temporary assistance.

3.4 Priority Populations: Priority populations shall be adhered to as established by the CoC for the geographic area being served and include those households who are identified as Chronically Homeless.

3.5 Program Component Eligibility Criteria: Participant eligibility is unique to each Program Component and is based on the following Criteria for Defining Homeless Categories: 1- Literally Homeless, 2 - Imminent Risk of Homelessness, and 4 - Fleeing or Attempting to Flee Domestic Violence (DV), as further defined in the HUD Criteria and Recordkeeping Requirements for Definition of Homelessness.

Participants are eligible for the Program Components if the criteria below is met:

https://files.hudexchange.info/resources/documents/HMIS-Comparable-Database-Manual.pdf https://files.hudexchange.info/resources/documents/HMIS-Comparable-Database-Manual.pdf https://www.hudexchange.info/resource/1974/criteria-and-recordkeeping-requirements-for-definition-of-homeless/ https://www.hudexchange.info/resource/1974/criteria-and-recordkeeping-requirements-for-definition-of-homeless/

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3.5.1 Emergency Shelter is provided to Participants as determined by HUD and who qualify as Category 1 - Literally Homeless or Category 4 - Fleeing or Attempting to Flee Domestic Violence (DV).

3.5.2 Street Outreach is provided to Participants as determined by HUD and who qualify as

Category 1 - Literally Homeless or Category 4 - Fleeing or Attempting to Flee DV.

3.5.3 Rapid Re-housing is provided to Participants as determined by HUD and who have qualified as Category 1 - Literally Homeless or Category 4 - Fleeing or Attempting to Flee DV.

3.5.4 Homeless Prevention is provided to Participants as determined by HUD and who qualify as: Category 2 - Imminent Risk of Homelessness.

4. Definitions

4.1 Arrears: Unpaid, past due utility and rent payments that are barriers to obtaining housing.

4.2 Balance of State (BOS): The State of Arizona’s rural counties of Mohave, Coconino, Navajo, Apache, Gila, Graham, Greenlee, Cochise, Santa Cruz, Pinal, Yuma, La Paz, and Yavapai make up the area referred to as the Balance of State. This combined area accounts for 25% of the state’s population and 86% of the state’s land mass.

4.3 Case Management: Grounded in principles of Housing First, it includes assessing, coordinating and monitoring the needs of Participants to determine housing solutions and barriers, as well as developing housing action plans. In addition, it also includes connecting Participants with obtaining identification (driver’s license, State ID, Social Security card, birth certificates), or other documentation necessary to obtain housing or employment. Service delivery should also include connections to mainstream community services (e.g., food banks, nutrition assistance programs, healthcare), making contact with landlords, housing search, life skills training, credit repair, utility utilization information and employment/job search assistance.

4.4 Chronically Homeless (HUD Definition): A ‘‘Chronically Homeless’’ individual is:

4.4.1 An individual with a disability who lives either in a place not meant for human habitation, a safe haven, or in an Emergency Shelter, or lived in an institutional care facility for fewer than 90 days and had been living in a place not meant for human habitation, a safe haven, or in an Emergency Shelter immediately before entering the institutional care facility; and

4.4.2 The individual also must have been living as described above continuously for at least 12 months, or on at least four (4) separate occasions in the last three (3) years, where the combined occasions total a length of time of at least 12 months. (Each period separating the occasions must include at least seven (7) nights of living in a situation other than a place not meant for human habitation, in an Emergency Shelter, or in a safe haven.)

4.4.3 Chronically Homeless families are families with adult heads of household who meet the definition of a Chronically Homeless individual. If there is no adult in the family, the family would still be considered Chronically Homeless if a minor head of household meets all the criteria of a Chronically Homeless individual. A Chronically Homeless family includes those whose composition has fluctuated while the head of household has been homeless.

4.5 Continuum of Care (CoC): Private nonprofit organizations, state and local governments, that promotes community-wide commitment to the goal of ending homelessness. Provides funding to https://app.az.gov/ https://www.hudexchange.info/homelessness-assistance/coc-esg-virtual-binders/coc-esg-homeless-eligibility/determining-and-documenting-disability/disability-definition/ https://www.hudexchange.info/homelessness-assistance/coc-esg-virtual-binders/coc-esg-homeless-eligibility/determining-and-documenting-disability/disability-definition/

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4.6 Coordinated Entry System: A Coordinated Entry System paves the way for more efficient homeless assistance and is a system-wide process developed to ensure that all people experiencing a housing crisis have fair and equal access, are quickly identified, assessed for, referred, and connected to housing and assistance based on their strengths and needs. The local CoC has developed this process to serve any and all populations by helping move people through the system faster, reducing new entries into homelessness through prevention and diversion, and provides quality data collection.

4.7 Culturally Relevant: Responding respectfully and effectively to all people regardless of their age, religion, belief system, education level, language, gender, race, ethnic background, mental/physical status, sexual orientation, social/economic status, and customs/traditions/values. Additionally, it recognizes, affirms, and values their worth, and protects and preserves the dignity of each person.

4.8 Homeless Management Information System (HMIS): The technology system used in the State of

Arizona to collect client-level data, including the CoC Coordinated Entry System, and data on the provision of housing and services to households experiencing or at risk of homelessness. Each CoC has policies and procedures that facilitate the implementation and maintenance of the system outlining all requirements.

4.8.1 A HMIS Lead is the entity designated by the CoC to operate the area's HMIS.

4.9 Homeless (HUD Definition):

4.9.1 Category 1 – Literally Homeless: Individual or family who lacks a fixed, regular, and adequate nighttime residence, meaning:

4.9.1.1 Has a primary nighttime residence that is a public or private place not meant for human habitation;

4.9.1.2 Is living in a publicly or privately operated shelter designated to provide temporary living arrangements (including congregate shelters, transitional housing, and hotels and motels paid for by charitable organizations or by federal, state and local government programs); or

4.9.1.3 Is exiting an institution where (s)he has resided for 90 days or less and who resided in an emergency shelter or place not meant for human habitation immediately before entering that institution.

4.9.2 Category 2 – Imminent Risk of Homelessness: Individual or family who will imminently lose their primary nighttime residence, provided that:

4.9.2.1 Residence will be lost within 14 days of the date of application for homeless assistance;

4.9.2.2 No subsequent residence has been identified; and

4.9.2.3 The individual or family lacks the resources or support networks needed to obtain other permanent housing.

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4.9.3 Category 4 – Fleeing/Attempting to Flee Domestic Violence: Any individual or family who:

4.9.3.1 Is fleeing, or is attempting to flee domestic violence;

4.9.3.2 Has no other residence; and

4.9.3.3 Lacks the resources or support networks to obtain other permanent housing

4.10 Homeless Emergency Assistance and Rapid Transition to Housing (HEARTH) Act: The HEARTH Act was signed into law by Congress in 2009; it amends and reauthorizes the McKinney-Vento Homeless Assistance Act. The HEARTH Act further aligns communities to goals; the priorities are outlined in the United States Interagency Council on Homelessness’ Opening Doors: Federal Strategic Plan to Prevent and End Homelessness. HEARTH act goals may be found at https://www.hudexchange.info/programs/esg/.

4.11 Participant(s): A single individual or group of persons with or without children who either currently live together in one dwelling unit or would live together in one dwelling unit where they are able to maintain suitable housing accommodations.

4.12 Housing First: An approach to quickly and successfully connect Participants experiencing homelessness to Permanent Housing without preconditions and barriers to entry, such as sobriety, treatment, or service participation requirements. Additionally, Housing First is based on the understanding that Participant choice is valuable in housing selection and that exercising that choice is likely to make a Participant more successful in remaining housed and improving their life (see Housing First Assessment Tool).

4.12.1 Supportive services are offered to maximize housing stability and prevent returns to homelessness, as opposed to addressing predetermined treatment goals prior to Permanent Housing entry.

4.13 Housing Relocation and Stabilization Services: Providing support to Participants that increase housing stability, provide mediation between landlords and tenants, assist with tenant-readiness activities, empower Participants to achieve their goals, etc.

4.14 Permanent Housing: Permanent residence where continued occupancy is expected.

4.15 Positive Exit Destinations: Program specific Participant data entered into HMIS at date of Participants exit that reflects the following Participant destinations and is considered positive:

4.15.1 Moved from one Housing Opportunities for People with Aids (HOPWA) funded project to HOPWA Permanent Housing;

4.15.2 Owned by Participant, no ongoing housing subsidy;

4.15.3 Owned by Participant, with ongoing housing subsidy;

4.15.4 Permanent Housing for formerly Homeless persons;

4.15.5 Rental by Participant, no ongoing housing subsidy;

4.15.6 Rental by Participant, with other ongoing housing subsidy;

https://app.az.gov/ http://www.hudexchange.info/programs/esg/ https://www.hudexchange.info/resource/5294/housing-first-assessment-tool/

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4.15.7 Rental by Participant. with VASH subsidy (Veterans Affairs Supportive Housing);

4.15.8 Rental by Participant, with Grant Per Diem (GPD)/Transition in Place (TIP) subsidy;

4.15.9 Staying or living with family, permanent tenure;

4.15.10 Staying or living with friends, permanent tenure;

4.15.11 Foster care home or foster care group home;

4.15.12 Hotel or Motel paid for without Emergency Shelter voucher;

4.15.13 Long-term care facility or nursing home;

4.15.14 Moved from one HOPWA funded project to HOPWA transitional housing;

4.15.15 Residential project or halfway house with no Homeless criteria;

4.15.16 Staying or living with family, temporary tenure;

4.15.17 Staying or living with friends, temporary tenure;

4.15.18 Substance abuse treatment facility or detox center; or

4.15.19 Transitional housing for Homeless persons.

4.16 Service Prioritization Decision Assistance Tool (SPDAT)/Family SPDAT (F-SPDAT): Vulnerability Index (VI -SPDAT) Assessment and measurement tool within the HMIS to prioritize and identify interventions and services for homeless Participants. The tool measures the Participant’s chronicity and medical vulnerability, progress toward independence and self-sufficiency using a five (5) point scale ranging from zero (0) empowered to four (4) in crises.

4.17 Temporary Assistance for Needy Families Eligibility (TANF): A program designed to help needy families achieve self-sufficiency. States receive grants to design and operate programs that accomplish one (1) of the purposes of the TANF program. Eligibility for the Cash Assistance program is based on:

4.17.1 Citizenship; qualified noncitizen resident status; Arizona residency;

4.17.2 Limits on resources and monthly income eligibility guidelines (see Cash Assistance (CA)

Income Eligibility Guidelines);

4.17.3 Families that have a social security number;

4.17.4 Children must be 18 years of age or younger. If a child is older than 18, he/she must be a full time student with an expected graduation date before the age of 20.

4.17.5 Pregnant women are eligible for TANF during the month before their scheduled due date.

4.18 Trauma-Informed Care: Understanding trauma and how traumatic events can affect an individual is essential when promoting recovery and resilience and ensuring that individuals are not retraumatized https://app.az.gov/ https://des.az.gov/services/child-and-family/cash-assistance/cash-assistance-ca-income-eligibility-guidelines https://des.az.gov/services/child-and-family/cash-assistance/cash-assistance-ca-income-eligibility-guidelines https://des.az.gov/services/child-and-family/cash-assistance/cash-assistance-ca-income-eligibility-guidelines

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4.19 Trauma-Informed Comprehensive Services Model: A service model that centers around Trauma-

Informed Care and minimizes retraumatization while providing services.

5. General Requirements

5.1 General Requirements

The Contractor shall:

5.1.1 Adhere to the ADES, Division of Community Assistance & Development (DCAD), Statewide

Homeless Coordination Office - ESG Procedure Manual, as may be amended.

5.1.2 Collaborate and establish partnerships with other organizations, as needed, in order to provide one (1) or more of the Program Components.

5.1.2.1 If Contractor is utilizing a subcontractor to provide services, Contractor must maintain and provide a copy of the formal written contract set in place with their subcontractors. The formal written contract shall meet all the requirements outlined within this contract. All subcontractor partnerships need to be reviewed and approved through a formal contract amendment by utilizing the Subcontractor Form (Attachment 12, as may be amended) and following the steps in the Special Terms and Conditions Section 43 Subcontracts.

5.1.3 Provide all services in a Culturally Relevant and linguistically appropriate manner for the population to be served.

5.1.4 Have and maintain active membership with the Tucson Pima Collaboration to End

Homelessness (TPCH) or Balance of State (BOS) Continuums of Care as indicated by the CoC membership requirements.

5.1.5 Attend and participate in the CoC Coordinated Entry System as prescribed by the CoC

Coordinated Entry Policies and Procedures located on the regional CoC’s websites (see:

Tucson Pima and Balance of State).

5.1.6 Prioritize potential Participants following the Priority Populations identified and established by the CoC within the community in which the Contractor participates and are located on the regional CoC’s website (see Tucson Pima and Balance of State).

5.1.7 Collect and enter data into HMIS as specified in the Policies and Procedures established by the CoC within the community in which the Contractor participates. Report unduplicated counts using collected data as per the ESG Program HMIS Manual for specific ESG HMIS data and reporting requirements.

5.1.7.1 If the Contractor is a victim services provider or legal services provider, funds may be used to establish and operate a comparable database that collects Participant-level data and generates required reports.

https://des.az.gov/sites/default/files/media/Homeless-Unit-Procedure-Manual.pdf?time=1670525132508 https://des.az.gov/sites/default/files/media/Homeless-Unit-Procedure-Manual.pdf?time=1670525132508 https://tpch.net/about/tpch-governing-documents/ https://housing.az.gov/balance-state-continuum-care-boscoc https://tpch.net/about/tpch-governing-documents/ https://housing.az.gov/balance-state-continuum-care-boscoc https://files.hudexchange.info/resources/documents/ESG-Program-HMIS-Manual.pdf

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5.1.7.2 Comparable databases must be certified by HMIS Lead and meet standards as specified in HMIS Comparable Database Manual.

5.1.7.3 Maintain the accuracy of reporting program data through the term of the contract.

5.1.8 Align all housing and supportive services delivery with the HEARTH Act and the CoC standards within the community in which the Contractor participates. The CoC standards are located on the regional CoC’s website (see Tucson Pima and Balance of State).

5.1.8.1 Establish connections and community partnerships with other organizations to assist in addressing Participants needs to end their homelessness and stabilize them in housing.

5.1.9 Align all housing and supportive services delivery with the Housing First approach to assist individuals and households experiencing homelessness without requiring preconditions and barriers to entry such as income, sobriety, or treatment (see Housing First in Permanent Supportive Housing Brief).

5.1.10 Identify Participants that are not able to be served utilizing the Unable to Serve Summary, (Exhibit A, as may be amended).

5.1.11 Establish and implement Trauma-Informed Care practices with an emphasis on acknowledging Participants and the role trauma may play in an individual’s life (see https://www.usich.gov/news/trauma-informed-care-building-on-our-commitment-to-strengths-based-approaches-to-ending-homelessness/).

5.1.11.1 Document all staff, including new hires, are trained to provide Trauma-Informed

Care using a Trauma-Informed Comprehensive Services Model that centers around Trauma-Informed Care and minimizes retraumatization while providing services.

5.1.11.2 Complete annual training on Trauma-Informed Care.

5.1.12 In collaboration with each Participant, develop a Housing Stability Case Plan by conducting a Participant Assessment (Service Prioritization Decision Assistance Tool (SPDAT)/Family SPDAT (F-SPDAT) or similar assessment) within five (5) days of a Participant entering the program to assess: stability; income and ability to manage income; support systems; and identify housing objectives.

5.1.12.1 The Housing Stability Case Plan shall be used to track the following: progress towards targeted goals; target dates and ongoing progress towards goals; need for diversion to permanent supportive housing arrangements to meet Participants special needs; length of time necessary to reach self-sufficiency and independent living goals.

5.1.13 Provide through initial and ongoing Case Management, connection to mainstream services, employment assistance, and benefits and document Participant’s progress on a monthly basis.

5.1.13.1 Case Managers or Housing Specialists shall meet with Participants at a minimum of once per month.

https://tpch.net/about/tpch-governing-documents/ https://housing.az.gov/balance-state-continuum-care-boscoc https://www.hudexchange.info/resource/3892/housing-first-in-permanent-supportive-housing-brief/ https://www.hudexchange.info/resource/3892/housing-first-in-permanent-supportive-housing-brief/ https://www.usich.gov/news/trauma-informed-care-building-on-our-commitment-to-strengths-based-approaches-to-ending-homelessness/ https://www.usich.gov/news/trauma-informed-care-building-on-our-commitment-to-strengths-based-approaches-to-ending-homelessness/

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5.1.13.2 In person meetings are strongly encouraged; however, virtual meetings are an option, as applicable.

5.1.13.3 Case Managers may need to visit more frequently if a Participant is experiencing challenges in stabilizing the household.

5.1.13.4 Update and provide a complete summary of Participant’s progress toward Case

Management plan objectives, exit destination, and referrals for further services before closing the case files.

5.1.14 Establish and document evidence of Participant’s Eligibility for Program Components by completing the General Eligibility Determination Form (Exhibit B, as may be amended) and save in Participant’s file.

5.1.15 Create and maintain a case file for each Participant that includes all required items from the

DES Participant Case File Setup Checklist (Exhibit C, as may be amended).

5.1.16 Connect Participants to any and all mainstream services and benefits utilizing the

Mainstream Service Referral Log (Exhibit D, as may be amended), including, but not limited to:

5.1.16.1 Housing,

5.1.16.2 Health care,

5.1.16.3 Social services,

5.1.16.4 Employment, and/or

5.1.16.5 Education.

5.1.17 Utilize available ADES Services, when applicable, including, but not limited to:

5.1.17.1 Division of Employment Rehabilitation Services Workforce initiatives and

5.1.17.2 Division of Benefits and Medical Eligibility initiatives.

5.1.18 Collect, enter, and update at time of change, and at exit, all required HUD data elements in HMIS, including, but not limited to:

5.1.18.1 Income and Sources,

5.1.18.2 Non-Cash Benefits,

5.1.18.3 Health Insurance, and

5.1.18.4 Exit Destination (enter data at exit only).

5.1.19 Develop and maintain a confidentiality policy statement and establish procedures that restrict access to confidential Participant records and information. This provision shall not be construed to limit the right of Contractors’ staff or other authorized representative(s) to access Participant case records and information pertinent to the provision of the contracted service.

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Please reference the Statewide Homeless Coordination Office - ESG Procedure Manual for more information.

5.1.20 Establish and follow a formal notification and appeals process for termination of assistance to Participants who violate program requirements.

5.1.21 Establish and follow a monthly formalized supervisory review and approval of each

Participant’s case notes and housing/case plans.

5.1.22 Participate in all coordinated ADES technical assistance activities, including, but not limited to Monthly Coffee Talk meetings, and training(s).

5.1.23 Establish and follow a formalized Continuous Process Improvement (CPI) and utilize the CPI

Summary (Exhibit E, as may be amended) to gather ESG Participant feedback within the past six (6) months (both identified and confidential) to regularly review and improve service delivery. CPI is a process or method of receiving ongoing and reviewing feedback to improve service delivery.

5.1.23.1 Collect Participants feedback anonymously or by name (based on Participants request) through comment boxes, Participant focus groups, one on one interviews, and/or using other feedback methods.

5.1.23.2 Use Participants feedback to implement simple improvements, policy related changes, or much larger changes that require additional time and resources.

5.1.23.3 Evaluate service delivery processes and improvements in areas of Participant centered efficiency, effectiveness, and flexibility.

5.1.24 Report all unusual incidents to the ADES Homeless State Coordination office within one (1) business day of the occurrence. Complete and submit the Unusual Incident Report Form (Exhibit F, as may be amended) within three (3) business days to the ADES Homeless State Coordination office at statewidehomeless@azdes.gov. Unusual incidents include, but are not limited to:

5.1.24.1 Alleged neglect, abuse, mistreatment, or exploitation of a Participant by Contractor staff;

5.1.24.2 Sexual abuse against a Participant, including consensual sexual activity by

Contractor staff;

5.1.24.3 Inappropriate sexual behavior toward a Participant by Contractor staff; and/or

5.1.24.4 Any suspicion or alleged misuse of funds, fraud, theft, or inappropriate financial activity by Contractor staff.

5.1.25 Maintain all Participant eligibility and back-up documentation in the case file for all expenses as directed in the Special Terms and Conditions Section 39, Records. ADES will conduct a semi-annual desk audit of files during the contract year, as directed by ADES.

5.1.26 Maintain oversight over all ESG funds and activities. The Contractor is required to maintain all required documentation from any eligible subcontractor in accordance with Section 5.1.2.

(see SNAPS-Shots: Using Contractors in the ESG and CoC Programs).

https://app.az.gov/ https://des.az.gov/sites/default/files/media/Homeless-Unit-Procedure-Manual.pdf?time=1670525132508 mailto:statewidehomeless@azdes.gov https://www.hud.gov/sites/dfiles/CPD/documents/SNAPS-Shots-Using-Contractors-in-ESG-and-CoC-Programs.pdf

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5.1.27 Establish and adhere to a code of conduct and provide a copy of the code of conduct to the

ADES Homeless State Coordination office upon request, that meets the following, at a minimum:

5.1.27.1 Complies with the Uniform Terms and Conditions Section 3.2, Non-Discrimination and that are Culturally Relevant and linguistically appropriate to the population.

5.1.27.2 The Contractor, its personnel, subcontractors and any other individuals on the

Contractor’s premises shall:

a. Ensure at all times that Participant information is used only for the purpose of fulfilling contractual responsibility and is not released to any other individual, agency, or organization. Confidential information and reports obtained, purchased, and paid for under this contract shall never be shared without the expressed permission from the Participant and Case Manager.

b. Ensure that Participants are safeguarded and supervised when providing contracted services.

c. Always act in a professional manner, honor commitments, treat Participants with respect, dignity, and courtesy, and project a positive attitude.

5.1.27.3 The Contractor shall never:

a. Engage in any form of intimate and sexual activity with an Participants.

b. Enter into any business partnership with a Participant.

c. Employ authority or influence with Participants for the benefit of third parties, including the Participant’s family or friends.

d. Exploit the Participant’s trust in the Contractor or its personnel for any purpose.

e. Accept any commission, rebates, or any other form of remuneration when serving Participants, except payment for service provided by ADES.

5.2 Emergency Shelter Requirements

The Contractor Shall:

5.2.1 Provide appropriate levels of service to meet the Participants needs and maximize the number of Participants being served.

5.2.2 Certify all dwellings meet HUD Habitability Standards as defined in the ESG Minimum

Habitability Standard for Emergency Shelters and Permanent Housing Checklists (Exhibit G, as may be amended). Checklist(s) shall be retained in each shelter’s file as per the ESG Minimum Habitability Standards for Emergency Shelters and Permanent Housing.

5.2.3 Comply with applicable state and local zoning, fire, environmental, health, and safety standards and regulations.

https://www.hudexchange.info/resource/3766/esg-minimum-habitability-standards-for-emergency-shelters-and-permanent-housing/ https://www.hudexchange.info/resource/3766/esg-minimum-habitability-standards-for-emergency-shelters-and-permanent-housing/

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5.2.4 Complete the Disclosure of Information on Lead-Based Paint Certification and Checklist (Exhibit H, as may be amended). Checklist(s) shall be retained in each shelter’s file for each structure as per the ESG Minimum Habitability Standards for Emergency Shelters and Permanent Housing.

5.2.5 Ensure that Emergency Shelter Services are low barrier housing focused for all Participants.

Complete the National Alliance to End Homelessness’ Emergency Shelter Low-Barrier Self- Assessment and Action Plan (Exhibit I, as may be amended) and review progress quarterly.

5.2.6 Update and provide a complete summary of client’s progress toward Case Management plan objectives, exit destination, and referrals for further services before closing the case files.

5.2.7 Ensure all services provided are allowable based on the list below:

EMERGENCY SHELTER

Eligible Services Allowable Activities

Essential Services (24 CFR § 576.102 (a)(1))

The contractor shall provide the services listed below:

5.2.7.1 Case Management shall

include:

(24 CFR § 576.102 (a)(1)(i))

Assess, arrange, coordinate, and monitor individualized services.

5.2.7.2 Emergency Shelter

Operations shall include:

(24 CFR 576.102(a)(3)

Eligible costs are the costs of maintenance (including minor or routine repairs), rent, security, fuel, equipment, insurance, utilities, food, furnishings, and supplies necessary for the operation of the emergency shelter. Where no appropriate emergency shelter is available for a homeless family or individual, eligible costs may also include a hotel or motel voucher for that family or individual.

Renovation costs are not being funded through this contract

The contractor may provide one (1) or a combination of the services listed below:

5.2.7.3 Child Care may include:

(24 CFR § 576.102 (a)(1)(ii))

Licensed childcare for Participants with children under the age of 13, or disabled children under the age of 18.

5.2.7.4 Education Services may

include:

(24 CFR § 576.102 (a)(1)(iii))

When necessary for the Participant to obtain and maintain housing, the costs of improving knowledge and basic educational skills are eligible.

5.2.7.5 Employment Assistance

and Job Training may include:

(24 CFR § 576.102 (a)(1)(iv))

The costs of employment assistance and job training programs are eligible.

https://app.az.gov/ https://www.hudexchange.info/resource/3766/esg-minimum-habitability-standards-for-emergency-shelters-and-permanent-housing/ https://www.hudexchange.info/resource/3766/esg-minimum-habitability-standards-for-emergency-shelters-and-permanent-housing/

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5.2.7.6 Outpatient Health

Services may include:

(24 CFR § 576.102 (a)(1)(v)):

Eligible costs are for the direct outpatient treatment of medical conditions and are provided by licensed medical professionals.

Funds may be used only for these services to the extent that other appropriate health services are unavailable within the community.

5.2.7.7 Legal Services may

include:

(24 CFR § 576.102 (a)(1)(vi))

Eligible costs are the hourly fees for legal advice and representation by attorneys licensed and in good standing with the bar association of the State in which the services are provided, and by person(s) under the supervision of the licensed attorney, regarding matters that interfere with the Participant's ability to obtain and retain housing. Funds may be used only for these services to the extent that other appropriate legal services are unavailable or inaccessible within the community.

5.2.7.8 Life Skills Training may

include:

(24 CFR § 576.102 (a)(1)(vii))

The costs of teaching critical life management skills that may never have been learned or have been lost during the course of physical or mental illness, domestic violence, substance use, and homelessness are eligible costs. These services must be necessary to assist the Participant to function independently in the community.

5.2.7.9 Mental Health Services

may include:

(24 CFR § 576.102 (a)(1)(viii))

Eligible costs are the direct outpatient treatment by licensed professionals of mental health conditions. Funds may only be used for these services to the extent that other appropriate mental health services are unavailable or inaccessible within the community.

5.2.7.10 Substance Abuse

Treatment Services may include:

(24 CFR § 576.102 (a)(1)(ix))

Eligible substance abuse treatment services are designed to prevent, reduce, eliminate, or deter relapse of substance abuse or addictive behaviors and are provided by licensed or certified professionals. Funds may only be used for these services to the extent that other appropriate substance abuse treatment services are unavailable or inaccessible within the community.

5.2.7.11 Transportation may

include:

(24 CFR § 576.102 (a)(1)(x))

Eligible costs consist of the transportation costs of a Participant's travel to and from medical care, employment, child care, or other eligible essential services facilities.

5.2.7.12 Services for Special

Populations may include:

(24 CFR § 576.102 (a)(1)(xi))

Funds may be used to provide services for homeless youth, victim services, and services for people living with HIV/AIDS, for the above eligible services.

5.3 Street Outreach Requirements

5.3.1 Conduct Street Outreach where people experiencing homelessness are located such as parks, cars, abandoned buildings, bus or train stations, parking lots and public storage lockers, etc. Contractor should draw on informal community contacts such as baristas, public librarians, and sanitation workers.

5.3.2 Provide initial contact, engagement, and ongoing outreach to connect Participants with shelter, housing, and mainstream services.

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5.3.3 Update and provide a complete summary of Participant’s progress toward Case Management plan objectives, exit destination, and referrals for further services before closing the case files.

5.3.4 Exit Participants from Street Outreach in HMIS after the Participant has i) entered Permanent

Housing, ii) is enrolled in another appropriate housing project, or iii) has not had any contact within the past six (6) months.

5.3.5 Ensure all services provided are allowable based on the list below:

STREET OUTREACH

Eligible Services Allowable Activities:

Essential Services (24 CFR § 576.101)

The contractor shall provide the services listed below:

5.3.5.1 Case Management shall

include:

(24 CFR § 576.101(a)(2)):

The cost of assessing housing and service needs, arranging, coordinating, and monitoring the delivery of individualized services to meet the needs of the Participant.

5.3.5.2 Essential Services shall

include:

(24 CFR § 576.101)

Funds may be used for costs of providing essential services necessary to reach out to unsheltered homeless people; connect them with Emergency Shelter, housing, or critical services; and provide urgent, non facility-based care to unsheltered homeless people who are unwilling or unable to access Emergency Shelter, housing, or an appropriate health facility.

5.3.5.3 Street Engagement shall

include:

(24 CFR § 576.101(a)(1))

The costs of activities to locate, identify, and build relationships with unsheltered homeless people and engage them for the purpose of providing immediate support, intervention, and connections with homeless assistance programs and/or mainstream social services and housing programs.

The contractor may provide one (1) or a combination of the services listed below:

5.3.5.4 Emergency Health

Services may include:

(24 CFR § 576.101(a)(3))

Eligible costs are for the direct outpatient treatment of medical conditions and are provided by licensed medical professionals operating in community-based settings, including streets, parks, and other places where unsheltered homeless people are living.

5.3.5.5 Emergency Mental Health

Services may include:

(24 CFR § 576.101(a)(4))

Eligible costs are the direct outpatient treatment by licensed professionals of mental health conditions operating in community-based settings, including streets, parks, and other places where unsheltered people are living.

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5.3.5.6 Transportation may

(24 CFR § 576.101(a)(5))

The transportation costs of travel by outreach workers, social workers, medical professionals, or other service providers are eligible, provided that this travel takes place during the provision of eligible services.

5.3.5.7 Services for Special

Population may include:

(24 CFR § 576.101(a)(6))

Funds may be used to provide services for homeless youth, victim services, and services for people living with HIV/AIDS, for the above eligible services.

5.4 Rapid Re-housing Requirements

5.4.1 Provide appropriate levels of service to meet the Participant’s needs and maximize the number of Participants being served in accordance with the Housing Relocation and Stabilization services.

5.4.2 Designate a Case Manager or Housing Specialist to identify appropriate housing options and facilitate communication between the Participant and the property manager, landlord and/or owner.

5.4.3 Assist Participants in submitting rental and lease applications.

5.4.3.1 Understand rental and lease agreements; advocate rental and lease agreements on behalf of Participants with owners or landlords; help Participants understand the Arizona Landlord Tenant Act (see Arizona Residential Landlord and Tenant Act).

5.4.4 Provide financial assistance to cover move-in costs, deposits, and the rental/lease and/or utility Arrears necessary to allow Participants to move immediately out of homelessness and stabilize in Permanent Housing.

5.4.4.1 Utility Arrears will only be paid for Rapid Re-housing Participants if utility Arrears prevent the household from establishing utility service in their new housing.

5.4.5 Provide certification of domestic violence, dating violence, sexual violence, sexual assault, or stalking using the HUD-5382 form. The Violence Against Women Reauthorization Act of 2013 (VAWA 2013) required that HUD create a certification form that serves as a means of documenting incidents of violence per CFR 5.2005(a) (see Violence Against Women Act (VAWA) Resources For Multifamily Assisted Housing).

5.4.6 Except for a one-time payment of rental arrears on the tenant's portion of the rental payment, rental assistance cannot be provided to a Participant who is receiving tenant-based rental assistance, or living in a housing unit receiving project-based rental assistance or operating assistance, through other public sources. Rental assistance may not be provided to a Participant who has been provided with replacement housing payments under the Uniform Relocation Assistance (URA) during the period of time covered by the URA payments.

5.4.7 Provide rental assistance payments (typically around six (6) to nine (9) months) to an owner with whom the Participant has entered into a rental assistance agreement.

https://app.az.gov/ https://housing.az.gov/general-public/landlord-and-tenant-act https://housing.az.gov/general-public/landlord-and-tenant-act https://www.hud.gov/program_offices/housing/mfh/violence_against_women_act

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5.4.8 Conduct income verifications for all Rapid Re-Housing Participants utilizing the Rapid Re-housing & Homeless Prevention (RRH & HP) Income Verification Calculation Worksheet (Exhibit J, as may be amended) and updated in the HMIS.

5.4.8.1 At annual assessment, household income must be below 30% Area Median

Income to continue to receive assistance.

5.4.9 Certify all dwellings and rental units meet HUD Rent Reasonableness and Fair Market Rent Under the Emergency Solutions Grants Program (Exhibit K, as may be amended) in the Participant’s case file.

5.4.10 Certify all dwellings and rental units meet HUD Habitability Standards as defined in the ESG

Minimum Habitability Standard for Emergency Shelters and Permanent Housing Checklists (Exhibit G, as may be amended). Checklist shall be retained in each Participant’s case file.

5.4.11 Complete the Disclosure of Information on Lead-Based Paint Certification and Checklist (Exhibit H, as may be amended) as necessary and retain documentation in each Participant’s case file.

5.4.12 Review and retain each Participant’s signed (executed) rental or lease agreement for Rapid Re-housing in the Participant’s case file.

5.4.13 Establish and follow a formalized supervisory review and approval of the Case Managers determination for each…