- A. Purpose and Terminology
- B. Policies and Procedures
- C. Program Deliverables and Outcomes
- D. Contracts and Amendment Procedures
- E. Program Budget
- F. Shelter and Supportive Services
- G. Allowable/Unallowable Costs
- H. Program Monitoring
A. Purpose and Terminology
The Emergency and Transitional Housing (ETH) Program gives immediate and comprehensive shelter services to homeless persons and persons at risk of becoming homeless. The program provides funding for meals, shelter and support services to not-for-profit organizations and local governments.
The following terminology is used in the E&TH Program:
Advocacy: Intervening on behalf of program participants to assist in the receipt and use of services.
Alcohol Abuse Services: Providing or arranging services for participants to AA (Alcoholics Anonymous) or other programs that address alcohol abuse issues.
Case Management: Coordinating the acquisition, delivery and use of supportive services. Case management must include individual assessments that are used to develop individual service plans.
Child Care: Providing or arranging child care services.
Children's Services: Providing or arranging services for child-specific services, such as child abuse counseling or preschool programs.
Counseling: Providing or arranging for individual or group counseling to alleviate physical abuse, mental health issues, substance abuse, and/or familial obstacles that are preventing a return to self-sufficiency.
Domestic Violence: Providing or arranging services for victims of domestic violence.
Education: Providing or arranging services for participants to complete a course of study leading to a diploma or specific skill certificate.
Employment Services: Providing or arranging services for participants to complete job preparation and/or to secure job interviews or employment. This may include acquiring special tools or clothing to perform the job in which the participant is placed or receiving training.
English as a Second Language: English language services available to persons who seek to improve their English language skills.
Follow up: Assessing the need and providing additional services upon completion of, and discharge from the Emergency and Transitional Housing program - ETH (formerly known as Emergency Food and Shelter - EF&S).
Health/Dental Services: Providing or arranging services for participants and assuring use of needed medical and dental services.
HIV/AIDS Related Services: Supportive services related to the needs of participants diagnosed with HIV/AIDS.
Housing/Location Inspection: Locating and/or initial inspection of rental property on behalf of participants to ensure that the housing is decent and adequate for the household and meets general health and safety standards prior to tenant occupancy.
Legal Services Referral: Referrals to any legal services which may be needed by participants.
Mental Health Services: Providing or arranging services that address serious and persistent mental disabilities.
Outreach: Locating and contacting homeless persons in the community and informing them of available services.
Overnight/Emergency Shelter: Providing overnight sleeping accommodations for 12 or fewer hours that provides access to at least one meal and provides supportive services. Maximum length of stay to be determined by Provider. Maximum length of stay to be determined by Provider.
Substance Abuse Services: Providing or arranging services for participants to attend NA (Narcotics Anonymous) or other programs to address substance abuse issues.
Transitional Shelter: Providing shelter, food, and supportive services for up to 24 months.
Transportation: Transporting or purchasing transportation services, such as bus tokens or taxi fares, for participants to obtain medical care, public assistance, education, training and other services not provided on site.
Voucher Shelter: Providing emergency shelter on a per diem basis at a nearby hotel or motel when other overnight shelter is not available. And also provides supportive services and may provide food.
B. Policies and Procedures
- Funding: All funds awarded to a provider must be obligated by the end of the agreement period and expended by the end of the lapse period. Funding is based on the submission and approval of an annual Funding Application. Plans for funding are evaluated on the basis of provider experience, administrative capacity, need in the geographic area, program service plans and budget. Program funding typically runs from July 1 to June 30. The Illinois Department of Human Services determines which plans will be funded and the funding amounts, and has final approval on all funding amounts distributed to providers.
- 501(c)(3): If the provider is not a governmental entity, the provider must be a federally tax exempt, non-profit agency legally authorized to operate in the State of Illinois with a Not-for-Profit Corporation Charter from the Illinois Secretary of State and verification from the Internal Revenue Service of exemption from federal income tax liability under the applicable Section 501(c)(3) or 501(c)(4) of the Internal Revenue Code. Each provider must submit documentation of not-for-profit status and their 501(c)(3) status. Each provider must certify that it complies with all provisions of the Federal Internal Revenue Code, the Illinois Revenue Act, and all rules promulgated thereunder, including withholding provisions and timely deposits of employee taxes and unemployment insurance taxes. Also, an annual report must be on file with the Secretary of State that the provider is a not-for-profit provider. This report will be sent, by the Secretary of State, to each provider's registered agent 45 to 60 days in advance of the date of the provider's incorporation. A provider can contact the Secretary of State, Office/Annual Report Section at (217) 782-6961 with any questions or conflict resolutions.
Board of Directors: Each provider is required to submit names of board members and chief officers who oversee the agency. The provider must maintain a current list of the board members and their terms of office and a list of phone numbers and email addresses of the board members. The board must meet at least quarterly and maintain meeting minutes. The provider must maintain a policy on conflict of interest for board of director's members.
- Records: The provider must maintain written policies and procedures regarding its fiscal activities, including but not limited to, payroll, purchasing, cash management, relevant fee schedules, contracts and risk management. The provider must submit and have on file a copy of their Annual Report to the Internal Revenue Service Form 990 and an Annual Report to the Attorney General Form AG 990. The provider must show proof that its governing body has approved a budget at least annually. All fiscal records are to be maintained for at least five years after the end of the fiscal year to which they relate. Failure to maintain adequate records to document the expenditure of IDHS funds creates a presumption in favor of the Department for recovery of the funds. The provider must have on file the by-laws, policies and procedures and a current organization chart. The provider must maintain policies concerning the hiring, termination, evaluation and discipline of staff. Also, the provider must have policies on non-discrimination in hiring, employment, sexual harassment as well as written job descriptions of employee's duties and responsibilities.
- Participant Information and Data: Each Emergency and Transitional Housing - ETH (formerly known as Emergency Food and Shelter - EF&S) provider is required to submit quarterly participant outcome data regarding demographics, population and services using the Emergency and Transitional Housing web-based reporting system. Providers report quarterly on the number and characteristics of the people served and the services provided. The reports include information on the demographic characteristics of the participants, the causes of homelessness and conditions or problems of each participant such as substance abuse. The Illinois Department of Human Services provides a web-based reporting system for use by each contracted provider.
- Participant Intake and Assessment Forms: Each provider is required to submit annually for review by IDHS all participant intake forms and assessment forms.Each provider is required to have completed intake and assessments for each participant upon entry into the program.
- Participant Files: Each Emergency and Transitional Housing - ETH (formerly known as Emergency Food and Shelter - EF&S) provider is required at a minimum to keep participant files with regard to supportive services, case management, participant intake forms, assessment forms, participant outcomes, life skills data and other information involving the participants for a five year period.
- Centralized Repository Vault (CRV): Each provider is required to upload appropriate documents to the CRV.
C. Program Deliverables and Outcomes
All deliverables will be verified by on-site monitoring visits, and/or through review of data in the required web-based reporting system or by other means as the Department deems necessary.
- All participants will be provided with case management services, counseling services, and advocacy services within 5 days of admittance to the program for transitional programs and within 15 days for overnight programs. The outcome will be verified through on-site field monitoring, and/or web-based reporting.
- All participants will have access to case management services outside of normal business hours of operation including, but not limited to, evening case management service hours. The outcome will be verified through on-site field monitoring, and/or through annual submission of Funding Plans.
- All participants will have completed intake and assessment done upon entry into the program. Providers will submit all intake and assessment forms to IDHS annually for approval. The outcome will be verified by on-site field monitoring, and/or through annual submission of Funding Plans.
- All providers will have a community outreach plan which includes a detailed description for notifying the community of the program, hours of operation and admittance/eligibility requirements into the program they administer for IDHS. This plan must include outreach to other community service agencies and the local FCRC. IDHS must be advised of any publication and distribution of flyers, printed materials, and/or brochures that are part of the IDHS funded program(s).
- All providers will have a referral process that assists program participants with enrollment into public benefit programs such as TANF, Supplemental Nutrition Assistance Program (SNAP), All Kids, medical assistance, disability assistance, as well as other resources that address the needs of the program participants. The outcome will be verified by on-site field monitoring or the IDHS web-based reporting system, and/or through information submitted in the Annual Funding Plan.
- All progress and supportive services for transitional shelter participants must be tracked and reported within each participant's case file through the development of an Individual Service Plan that includes at a minimum, a record of the participant's supportive services, case management, outcomes, goals, progress notes, and benefit assistance. The outcome will be verified through on-site field monitoring, and/or quarterly reporting.
- All providers will have the ability to download the IDHS Supplemental Nutrition Assistance Program (SNAP) application and distribute it to all eligible households. The outcome will be verified through on-site field monitoring, and/or quarterly reporting.
- All providers will have a written agreement or Memorandum of Understanding for referrals with other social services providers. The agreement or memorandum of understanding must include at a minimum: the type of services to be provided, the referral process of each agency, and follow-up actions. The outcome will be verified through on-site field monitoring, and/or through information submitted in the Annual Funding Plan.
- All providers will accurately report outcomes and submit quarterly reports to IDHS utilizing the Emergency and Transitional Housing - ETH (formerly known as Emergency Food and Shelter - EF&S) web-based reporting system. The outcome will be verified through on-site field monitoring and review of quarterly reports.
- All provider's will provide the following information in the annual Funding Application:
- an unduplicated number of projected participants to be served in the fiscal year;
- an unduplicated number of projected households to be served in the fiscal year;
- the projected nights of shelter to be provided during the fiscal year; and
- the projected number of meals to be provided, served, purchased, or vouchered, during the fiscal year.
- any other information deemed necessary by the Department.
D. Contracts and Amendment Procedures
- Contract Procedures and Approvals: Providers to be awarded funding will be notified, in writing, of annual contract award submittal dates and procedures for contracting.
- Amendment, Submittals and Approvals: If necessary, a provider may file a modification to the Funding Application. Modifications or amendments to the funding and services plan must be submitted by the provider, in writing, and are subject to approval by the Illinois Department of Human Services, Bureau of Basic Supports. All sub-contracts or pass-through funding agreements must meet all terms and conditions of the IDHS Community Services Agreement and must be approved by IDHS prior to entering into any sub-contractual or pass-through funding arrangement.
- Contract Budget Line Item Transfers: Providers are allowed to transfer up to a total of $500 among any Direct Service line items without having to obtain written permission from DHS. The provider should keep a record of the transfer in the event that a monitoring review is conducted.
E. Program Budget
- Annual Emergency and Transitional Housing Program Budget: The annual Emergency and Transitional Housing - ETH (formerly known as Emergency Food and Shelter - EF&S) Program budget establishes how funding is utilized for program implementation during the fiscal year. At least 85 percent (85%) must be spent on direct programs and no more than 15 percent (15%) on direct program cost. Several categories are defined within the Emergency and Transitional Housing Program budget including direct cost, direct program cost and payments on behalf of participants. Providers are required to identify the relevant funding sources and the percent of funding used in each budget category. Providers are required to track all IDHS funds by program and budget line item.
- Financial Management System: Providers must have an established financial management system which provides complete, separate, and accurate accountability of funds. The provider's accounting system must be well-maintained, up to date, and provide the following original documentation:
- Bank reconciliations;
- Trial balance;
- Separate identification of program expenses in a general ledger;
- Complete accountability of all obligations, payment, and reimbursements;
- Justification of allocations;
- Written administrative and accounting procedures;
- Segregation of duties for internal control; and
- Maintain an accounting system that isolates IDHS funds and allows tracking of IDHS expenditures.
- Budget Revisions - Amendment Process:
- Letters of increase or decrease; A computer-generated e-mail is sent to the provider stating the intent to increase or decrease dollars to a contract.
- Formal amendments; An agreement executed by the provider and IDHS constitutes a formal amendment. The following is required for a formal amendment to be processed:
- Adding new program services: An amendment to add a new program service must contain a detailed summary of service to be provided under the amended contract and the method of payment.
- Extending the service date of the contract: An amendment to extend the service date of the contract must contain the following information: Agreement number as it appears on the original contract; provider name; clause stating the new term; signatures of the provider and the Secretary of the Illinois Department of Human Services.
- Extending the service dates of an existing program: An amendment to extend the service dates of a specific program in the existing contract must contain the following information: Agreement number as it appears on the original contract; provider name; clause stating the new term of the agreement; signatures of the provider and the Secretary of the Illinois Department of Human Services.
- Changing the language within an existing program attachment only: An amendment to change the language of a specific program attachment of an existing contract must contain the following information: Agreement number as it appears on the original contract; provider name; clause(s) stating the new language of the agreement; signatures of the provider and the Secretary of the Illinois Department of Human Services.
- Fiscal Audits: If deemed necessary, a program and fiscal audit will be conducted by the IDHS Office of Contract Administration.
- Match Requirements: All contracts approved for funding under the Emergency and Transitional Housing - ETH (formerly known as Emergency Food & Shelter - EF&S) Program must be matched by at least 25% from other sources. Of the 25% match, at least one-half must be matched with cash ( e.g., fund raising, donations, ESG, United Way, EHP, FEMA). The remaining one-half may be matched with cash, in-kind services or property from sources other than the funds granted through the EF&S program. Volunteer services at $10.00 per hour and other in-kind contributions may be applied toward meeting the match requirement. If a provider chooses to apply volunteer services and in-kind contributions toward the match requirement, the minimum records to document the contributions are:
- For volunteer services, the name and address of the volunteer and documentation of the dates and hours of service, as well as a description of the service provided.
- For contribution of personal or real property, whether in title or in usage, a written description of the property and the value of the property. The contribution will be valued at fair market value at the time of the contribution.
- Recovery: The Office of Contract Administration (OCA) is responsible for financial reconciliation and financial recovery of unspent funds. As part of the funds recovery procedure, the Office of Contract Administration will send to each provider an "Informal Notice" letter containing the state fiscal year, the provider's name, and FEIN number and the amount of IDHS funds provided to each provider. The letter will also include a Grant Reconciliation Report to be completed by each provider. The provider will have fifteen days from the receipt of the informal notice to request, in writing, an informal hearing on lapsed funds or a plan of correction dealing with other violations. If the informal hearing does not result in a resolution of the lapsed funds, a "Formal Notice to Recover Lapsed Funds" letter will be sent by registered mail to the provider. The provider will then have thirty-five days to request, in writing, a Formal Hearing. At the end of thirty-five days, if no request has been received, the OCA may proceed to recover the amount of funds. If the provider does not have an upcoming fiscal year contract from which to deduct the lapsed funds owed, the Bureau of Collections will establish a collection account in the name of the provider. The Bureau of Collections will generate an invoice and mail it to the provider for payment. The provider will then receive monthly billing statements. The debt may also be referred by the IDHS to the Attorney General's Office if the debt remains unpaid for one year.
- Program Payments: Payments for Emergency and Transitional Housing Program will be made as prescribed by the IDHS.
IDHS reserves the right to advance additional funds to the agency beyond the prescribed method when it is in the best interest of the provider to do so.
- Provider Responsibilities: The provider must submit, on a timely basis, complete and accurate fiscal and participant service reports. Access to a computer is required for electronic reporting to IDHS. Emergency and Transitional Housing - ETH (formerly known as Emergency Food and Shelter - EF&S) providers are required to submit quarterly participant service and fiscal reports on the IDHS web-based reporting system not later than 20 days after the end of each state fiscal quarter. The State of Illinois' fiscal year operates from July 1 to June 30 each year. Participant service reports provide details as to the number and characteristics of the people served and the services provided. Fiscal reports provide detailed line item expenditures documented for each quarter. The participant service reports and fiscal reports must be submitted quarterly and are due on October 20, January 20, April 20, and July 20.
F. Shelter and Supportive Services
The supportive services provided through the Emergency and Transitional Housing Program are those deemed necessary to move people to self-sufficiency. Supportive services help families and individuals in the network of programs that can assist them to attain self-sufficiency. In addition to supportive services, Emergency and Transitional Housing program providers must offer one or more of the following basic shelter services.
(See Purpose and Terminology):
- Overnight/Emergency shelter: Providing overnight sleeping accommodations for a period not to exceed 12 hours. Access to food service for at least one meal is required. In addition, case management, counseling, and advocacy services are required. Maximum length of stay to be determined by Provider.
- Voucher shelter: Providing emergency shelter on a per diem basis at a nearby hotel, motel or similar facility when other overnight shelter is not available. Access to food service for at least one meal is required (food vouchers are allowed). Case management, counseling, and advocacy services are required.
- Transitional shelter: Providing temporary residence for a period not to exceed 24 months. Access to food, case management, counseling, and advocacy services are required.
All facilities utilized in the program must meet local health and safety code requirements.
Each provider is required to provide open access to the Emergency and Transitional Housing Program for everyone on a non-discriminatory basis.
G. Allowable/Unallowable Costs
The Emergency and Transitional Housing Program limit costs to specific categories. Providers should review the Department's budget pages for this program for a complete list of allowable costs. The following are allowable and unallowable costs under the Emergency and Transitional Housing Program:
- Direct Costs:
- Insurance - Professional Liability
- Insurance - Shelter
- Direct Service personnel
- Rent - Equipment
- Rent Shelter Space
- Supplies - Shelter
- Training and Education of Staff
- Client Transportation
- Utilities - Shelter
- Maintenance Shelter
- Direct Program Costs: (May not exceed 15% of IDHS funds)
- Insurance - Office
- Maintenance - Office
- Direct Program Personnel
- Rent - Office
- Supplies - Office
- Utilities - Office
- Payments on behalf of Clients:
- Voucher - Food
- Voucher - Shelter
- Collection of Fees: The collection of any fees or solicitation of contributions for homeless persons or persons at risk of becoming homeless as a condition to receive services through an overnight shelter or through a voucher program is prohibited. Transitional shelters are permitted to charge fees for shelter services. Fees cannot exceed 30% of the adjusted households income in any one month and cannot be used as a source of match to E&TH funds.
Unallowable Costs: The following are some examples of unallowable costs;
- Cell Phone Purchase
- Property Acquisition
- Major Renovation
- Lap Top Computer Purchases
H. Program Monitoring
Representatives of the IDHS may perform periodic monitoring reviews, during normal business hours to review the management practices, fiscal procedures or other aspects of the provider's operations to ensure compliance with IDHS, State and Federal rules, regulation and policies. Providers must maintain all participant and fiscal records on site to facilitate program monitoring by IDHS.
- Notification: The IDHS will send a written notification thirty days prior to visiting a provider, if at all possible. Official notice will include a monitoring review sheet that must be completed before the IDHS representative arrives.
- Initial Site Visit: Once a new grant is awarded by the IDHS a representative from or designated by the IDHS may conduct a site visit to advise the provider of the IDHS program standards and reporting documents. The visit is to help the provider understand and follow IDHS rules and regulations. The initial visit to the site is also to make sure all State rules and regulation are followed. The IDHS, when doing a site visit, will review a sampling of all case files to determine service availability and utilization. Included in the case files for example are: intake forms, assessment forms, case management, short and long term goals, referrals, and medical information.
- Program Review: Whenever problems or issues are identified during monitoring, the IDHS may issue a Corrective Action Plan. Technical assistance may be provided by appropriate staff from the IDHS. The IDHS may also make recommendations to the provider.
- Corrective Action Plans: Problems of continuing or serious nature may result in a Corrective Action Response from the IDHS. If a site has a serious violation, the provider will be notified in writing within ten days. The provider will then have thirty days to respond with a mandatory written plan of action to the violation. If necessary, the IDHS will conduct a follow-up visit to the provider to ensure implementation of the approved Corrective Action Plan.
- Technical Assistance: The IDHS will provide technical assistance to the providers, if needed. Upon request, the IDHS will respond to questions pertaining to fiscal reports, policy and procedures, rules and regulations and Federal and State laws.
- Fiscal Reporting: Throughout the year, the IDHS will be available to help with questions pertaining to quarterly fiscal reporting that is required by the IDHS.
- Program: The IDHS is available to advise the provider, if needed, on the policy and procedures of the program.
- Training: The IDHS may conduct mandatory training sessions throughout the year. If feasible, and to the extent possible, the IDHS will notify agencies at least 30 days in advance of a mandatory training. These training seminars will cover areas such as fiscal reporting, participant reports and other areas designed to help agencies meet State and Federal guidelines and requirements. The agencies are required to attend mandatory training sessions.