[Federal Register Volume 68, Number 140 (Tuesday, July 22, 2003)]
[Notices]
[Pages 43430-43454]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-18505]



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Part II





Department of Housing and Urban Development





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Homeless Management Information Systems (HMIS) Data and Technical 
Standards Notice; Notice

  Federal Register / Vol. 68, No. 140 / Tuesday, July 22, 2003 / 
Notices  

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR 4848-N-01]


Homeless Management Information Systems (HMIS) Data and Technical 
Standards Notice

AGENCY: Office of the Assistant Secretary for Community Planning and 
Development, HUD.

ACTION: Notice.

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SUMMARY: This notice states the intent of HUD to implement Homeless 
Management Information Systems (HMIS).

DATES: Comment Due Date: September 22, 2003.

ADDRESSES: Interested persons are invited to submit comments regarding 
this notice to Michael Roanhouse, Office of Special Needs Assistance 
Programs, Office of the Assistant Secretary for Community Planning and 
Development, Room 7262, Department of Housing and Urban Development, 
451 Seventh Street, SW., Washington, DC 20410-7000. Comments should 
refer to the above docket number and title.

FOR FURTHER INFORMATION CONTACT: Michael Roanhouse, Office of Special 
Needs Assistance Programs, Office of the Assistant Secretary for 
Community Planning and Development, Room 7262, Department of Housing 
and Urban Development, 451 Seventh Street, SW., Washington, DC 20410-
7000; telephone (202) 708-1226, ext. 4482 (this is not a toll-free 
number). Hearing- or speech-impaired individuals may access this number 
by calling the toll-free Federal Information Relay Service at 1-800-
877-8339.

SUPPLEMENTARY INFORMATION:

1. Introduction

    This notice sets forth the Department's intention to implement 
Homeless Management Information Systems (HMIS). An HMIS is a 
computerized data collection application designed to capture client-
level information over time on the characteristics and service needs of 
homeless persons. This notice presents background information on 
Congressional direction on improving homeless data collection and 
analysis at the local and national levels and specific statutorily 
based programmatic and planning requirements for addressing homeless 
needs. The notice also describes the benefits of developing an HMIS 
for: Homeless persons; local homeless assistance providers; local 
bodies that plan for and coordinate homeless services, known as 
Continuums of Care (CoC); and national policy makers. The notice 
provides detailed guidance on the development of data and technical 
standards that will allow local CoC to generate consistent reports so 
that the characteristics of homeless populations across the United 
States can be determined. The notice also describes how data are to be 
collected and safeguarded.
    This notice is being published as a draft to permit CoC planning 
bodies, homeless service providers, local and state governments, 
advocates, and homeless clients an opportunity to review and comment on 
the proposed standards. The next two sections lay out Congressional 
direction to HUD on HMIS specifically and then on homelessness-related 
data collection generally.
    It has been determined in concert with the Office of Management and 
Budget (OMB) that the information collection implicit in this notice 
requires OMB clearance. For purposes of the OMB clearance, this notice 
will serve as the 60-day Federal Register Notice under the Paperwork 
Reduction Act of 1995, as amended. The final report based on the public 
comments received on this draft version will include an estimate of 
burden for all potential users of the Notice. As an interim step, this 
draft version sets out below the existing HUD information collection 
requirements that HMIS will support when fully operational in American 
communities and the proposed paperwork burden already submitted to OMB 
for each:

----------------------------------------------------------------------------------------------------------------
                                                         Annual burden      Support entire      Support part of
               Information collection*                       hours            collection          collection
----------------------------------------------------------------------------------------------------------------
Annual Performance Report (Competitive Programs).....            200,000                  X   ..................
Application/Competitive Homeless Programs............            203,280                                      X
Application/HOPWA....................................             28,625                                      X
Consolidated Plan....................................            549,925                                      X
----------------------------------------------------------------------------------------------------------------

Paperwork Reduction Act

    The information collection requirements in this notice have been 
approved by the Office of Management and Budget (OMB) and assigned OMB 
control numbers 2506-0145, 2106-0112, 2506-0133, and 2506-0117, 
respectively. In accordance with the Paperwork Reduction Act of 1995 
U.S.C. (44 U.S.C. 3501-3520), an agency may not conduct or sponsor, and 
a person is not required to respond to, a collection of information 
unless the collection displays a valid control number.
1.1. Congressional Direction on Homeless Management Information Systems
    Expressions of Congressional concern for better homeless data 
collection and analysis at both the local and national levels has 
resulted in Congressional direction in conference and committee reports 
over the past several years. The Omnibus Appropriations Act of 2003 
(Pub. L. 108-7, approved February 20, 2003), provides money to HUD to 
implement these responsibilities. The Act appropriated $1,225,000,000 
to HUD for Homeless Assistance Grants and specifically provided 
``[t]hat $11,000,000 of the funds appropriated under this heading shall 
be available for the national homeless data analysis project.'' The 
Conference Report provided guidance as to some of the steps that HUD 
should take in implementing this project. Specifically, the report 
stated as follows:

    The conferees are concerned that the Department is not taking 
the proper steps to determine the extent to which HUD's homeless 
assistance programs are meeting the needs of chronically homeless 
people. Therefore, HUD is directed to begin collecting data on the 
percentage and number of beds and supportive services programs that 
are serving people who are chronically disabled and/or chronically 
homeless.
    The conferees reiterate the direction and reporting requirement 
included in the Senate report regarding the collection and analysis 
of data to assess the effectiveness of the homeless system, and 
direct that such report also include HUD's timeline for finalizing 
data requirements for the Homeless Management Information Systems.

    The Senate Report referenced above states that:

    The Committee remains supportive of the Department's ongoing 
work on data collection and analysis within the homeless programs. 
HUD should continue its collaborative efforts with local 
jurisdictions to collect an array of data on homelessness in order 
to analyze patterns of use of assistance, including how people enter 
and exit the homeless assistance system, and to

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assess the effectiveness of the homeless assistance system. The 
Committee directs HUD to take the lead in working with communities 
toward this end, and to analyze jurisdictional data within one year. 
The Committee directs HUD to report on the progress of this data 
collection and analysis effort by no later than May 12, 2003. The 
Conference Report (H.R. Report 106-988) for Fiscal Year (FY) 2001 
HUD.

    Appropriations Act (Pub. L. 106-377, approved October 27, 2000), 
stated:

    The conferees reiterate and endorse language included in the 
Senate report regarding the need for data and analysis on the extent 
of homelessness and the effectiveness of McKinney Act programs * * 
*. The conferees concur with the importance of developing 
unduplicated counts of the homeless at the local level, as well as 
taking whatever steps are possible to draw inferences from this data 
about the extent and nature of homelessness in the nation as a 
whole.
    Likewise, the conferees agree that local jurisdictions should be 
collecting an array of data on homelessness in order to prevent 
duplicate counting of homeless persons, and to analyze their 
patterns of use of assistance, including how they enter and exit the 
homeless assistance system and the effectiveness of the systems. HUD 
is directed to take the lead in working with communities toward this 
end, and to analyze jurisdictional data within three years. 
Implementation and operation of Management Information Systems 
(MIS), and collection and analysis of MIS data, have been made 
eligible uses of Supportive Housing Program funds. The conferees 
direct HUD to report to the Committees within six months after the 
date of enactment of this Act on its strategy for achieving this 
goal, including details on financing, implementation, and 
maintaining the effort.

    Congress directed HUD to take the lead in requiring every 
jurisdiction to have unduplicated client-level data within three years. 
The reasons for the emphasis and the specific directives on encouraging 
these systems were articulated in FY 2001 Senate Report 106-410:

    The Committee believes that HUD must collect data on the extent 
of homelessness in America as well as the effectiveness of the 
McKinney homeless assistance programs in addressing this condition. 
These programs have been in existence for some 15 years and there 
has never been an overall review or comprehensive analysis on the 
extent of homelessness or how to address it. The Committee believes 
that it is essential to develop an unduplicated count of homeless 
people, and an analysis of their patterns of use of assistance (HUD 
McKinney homeless assistance as well as other assistance both 
targeted and not targeted to homeless people), including how they 
enter and exit the homeless assistance system and the effectiveness 
of assistance.

    Previously, in the FY 1999 HUD Appropriations Act, Congress had 
directed HUD to collect data from a representative sample of existing 
local HMIS. Specifically, House Report 105-610 states that HUD should:

    * * * collect, at a minimum, the following data: The 
unduplicated count of clients served; client characteristics such as 
age, race, disability status, units [days] and type of housing 
received (shelter, transitional, permanent); and services rendered. 
Outcome information such as housing stability, income, and health 
status should be collected as well.

    In the FY 2001 HUD appropriations process, Senate Report 106-410 
directed HUD to build on its earlier preliminary work with communities 
with an advanced HMIS and continue assessing data from these 
communities:

    * * * to continue on an annual basis to provide a report on a 
nationally representative sample of jurisdictions whose local MIS data 
can be aggregated yearly to document the change in demographics of 
homelessness, demand for homeless assistance, to identify patterns in 
utilization of assistance, and to demonstrate the effectiveness of 
assistance.
    * * * The Committee instructs HUD to use these funds to contract 
with experienced academic institutions to analyze data and report to 
the agency, jurisdictions, providers, and the Committee on findings.
1.2. Statutory Direction to HUD and Other Federal Agencies on Homeless 
Data Collection
    Section 1.1 outlined Congressional direction relating to Homeless 
Management Information Systems--a subset of the more general 
Congressional mandates for homeless data collection. HUD, other federal 
agencies, and the Interagency Council on the Homeless are required 
under various statutory authorities and Congressional direction to 
collect extensive information about the nature and extent of 
homelessness. In addition, individual programs authorized under the 
McKinney-Vento Homeless Assistance Act (42 U.S.C. 11301 et seq.) 
require the assessment of homeless needs, the provision of services to 
address those needs, and reporting on the outcomes of federal 
assistance in helping homeless people to become more independent. The 
major Congressional imperatives in HUD's McKinney-Vento Act programs 
are:
    [sbull] Assessing the service needs of homeless persons;
    [sbull] Ensuring that services are directed to meeting those needs;
    [sbull] Assessing the outcomes of the services in nurturing efforts 
by homeless persons to become more self-sufficient; and
    [sbull] Reporting to Congress on the characteristics and 
effectiveness of federal efforts to address homelessness.
    Both individually and as a whole, these provisions provide 
statutory imperatives for collecting data on homeless individuals and 
their needs. This section progresses from the most general of the 
statutory authorities to the most specific programmatic authorities.

Interagency Council on the Homeless

    The McKinney-Vento Homeless Assistance Act directs the Interagency 
Council on the Homeless (ICH) to undertake a number of tasks on 
interagency coordination, evaluation, and reporting that mandate the 
collection and dissemination of information on homeless individuals and 
their needs:
    (a) Duties.
    The Council shall--
    (1) Review all federal activities and programs to assist homeless 
individuals;
    (2) Take such actions as may be necessary to reduce duplication 
among programs and activities by federal agencies to assist homeless 
individuals;
    (3) Monitor, evaluate, and recommend improvements in programs and 
activities to assist homeless individuals conducted by federal 
agencies, state and local governments, and private voluntary 
organizations;
* * * * *
    (5) Collect and disseminate information relating to homeless 
individuals;
    (6) Prepare the annual reports required in subsection (c)(2) of 
this section; (Section 203(a), McKinney-Vento Homeless Assistance Act).
    Each federal agency is required to report to the Council a 
description of each program to assist homeless individuals and the 
number of homeless individuals served by the program, impediments to 
the use of the program by homeless individuals and to obtain services 
and benefits and efforts by the agency to increase homeless assistance 
services. The Council, in turn, is required to submit an annual report 
to the President and Congress that:
    (A) Assesses the nature and extent of the problems relating to 
homelessness and the needs of homeless individuals;
    (B) Provides a comprehensive and detailed description of the 
activities and accomplishments of the Federal Government in resolving 
the problems and meeting the needs assessed pursuant to subparagraph 
(A); (Section 203(a), McKinney-Vento Homeless Assistance Act)

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    In the following excerpt from the 2001 Senate Report on the HUD 
Appropriations Act, at page 53, Congress further directed the 
revitalized Council to assess how mainstream programs can prevent 
homelessness.
    The committee also recognizes that homelessness cannot be ended by 
homeless assistance providers alone--it requires the involvement of a 
range of federal programs. Accordingly it has included $500,000 for the 
staffing of the Interagency Council on the Homeless. It instructs the 
Council specifically to require HUD, HHS, Labor, and VA to quantify the 
number of their program participants who become homeless, to address 
ways in which mainstream programs can prevent homelessness among those 
they serve, and to describe specifically how they provide assistance to 
people who are homeless * * *

Comprehensive Housing Affordability Strategy/Consolidated Plan

    Every jurisdiction that receives funding from certain HUD programs 
(HOME, Community Development Block Grant, Housing Opportunities for 
Persons with AIDS, Emergency Shelter Grants) must submit a 
comprehensive housing strategy that includes a section dealing with 
homeless needs. Every jurisdiction is required to:

describe the nature and extent of homelessness, including rural 
homelessness, within the jurisdiction, providing an estimate of the 
special needs of various categories of persons who are homeless or 
threatened with homelessness, including tabular presentation of such 
information; and a description of the jurisdiction's strategy for 
(A) helping low-income families avoid becoming homeless; (B) 
addressing the emergency shelter and transitional housing needs of 
homeless persons (including a brief inventory of facilities and 
services that meet such needs within that jurisdiction); and (C) 
helping homeless persons make the transition to permanent housing 
and independent living. (Section 105(a)(2), Cranston-Gonzalez 
National Affordable Housing Act (42 U. S. C. 12701 et seq.)

    The implementing regulations and administrative directions detail 
how the 50 States, Puerto Rico, the territories, and over 1000 
metropolitan cities and urban counties present narratives and data 
tables on homeless needs, current services, and the plans to address 
and prevent homelessness.

HUD'S McKinney-Vento Act Program Requirements

    The McKinney-Vento Act contains a consistent philosophy and an 
accompanying set of statutory mandates concerning the framework for 
assessing homeless needs and addressing them with appropriate services. 
The McKinney-Vento Act also recognizes the importance of ensuring 
confidentiality in recordkeeping and public disclosure of information 
concerning homeless persons seeking domestic violence shelter and 
services. In addition, all of HUD's McKinney-Vento Act assistance must 
be consistent with the local jurisdiction's Consolidated Plan.

Emergency Shelter Grant (ESG) Program

    Each governmental and nonprofit recipient of Emergency Shelter 
Grant (ESG) funds is required to certify to HUD that it will undertake 
certain responsibilities regarding the provision of services, including 
that:
* * * * *
    (3) It will assist homeless individuals in obtaining--
    (A) Appropriate supportive services, including permanent housing, 
medical and mental health treatment, counseling, supervision, and other 
services essential for achieving independent living; and
    (B) Other federal, state, local, and private assistance available 
for such individuals;
* * * * *
    (5) It will develop and implement procedures to ensure the 
confidentiality of records pertaining to any individual provided family 
violence prevention or treatment services under any project assisted 
under this subtitle and that the address or location of any family 
violence shelter project assisted under this subtitle will, except with 
written authorization of the person or persons responsible for the 
operation of such shelter, not be made public;
    (6) activities undertaken by the recipient with assistance under 
this subtitle are consistent with any housing strategy submitted by the 
grantee in accordance with Section 105 of the Cranston-Gonzalez 
National Affordable Housing Act (Sections 415(c)(3), (5) and (6), 
McKinney-Vento Homeless Assistance Act).

Supportive Housing Program

    The Supportive Housing Program (SHP) funds transitional and 
permanent supportive housing and supportive services only projects that 
require grant recipients to collect specific information from clients 
concerning their qualification for services, their service needs, and 
progress toward assisting clients to independent living. HUD requires 
projects to report on the number and characteristics of clients served 
and their outcomes.
    The statute provides that--
    (a) IN GENERAL--To the extent practicable, each project shall 
provide supportive services for residents of the project and homeless 
persons using the project, which may be designed by the recipient or 
participants.
    (b) REQUIREMENTS--Supportive services provided in connection with a 
project shall address the special needs of individuals (such as 
homeless persons with disabilities and homeless families with children) 
intended to be served by a project (Section 425 (a) and (b), McKinney-
Vento Homeless Assistance Act).
    The McKinney-Vento Act requires every project in the Supportive 
Housing Program to conduct an on-going assessment of client needs for 
services and their availability for the client. This information is 
necessary to assess the progress of the project in moving clients to 
independent living and to report to HUD. In addition, special 
protections on confidentiality of recordkeeping involving persons 
provided domestic violence services are specified.
    Section 426 of the McKinney-Vento Homeless Assistance Act provides 
that--
    (c) REQUIRED AGREEMENTS--The Secretary may not provide assistance 
for any project under this subtitle unless the applicant agrees--
    (1) To operate the proposed project in accordance with the 
provisions of this subtitle;
    (2) To conduct an ongoing assessment of the supportive services 
required by homeless individuals served by the project and the 
availability of such services to such individuals;
    (3) To provide such residential supervision as the Secretary 
determines is necessary to facilitate the adequate provision of 
supportive services to the residents and users of the project;
    (4) To monitor and report to the Secretary on the progress of the 
project;
    (5) To develop and implement procedures to ensure (A) the 
confidentiality of records pertaining to any individual provided family 
violence prevention or treatment services through any project assisted 
through this subtitle, and (B) that the address or location of any 
family violence shelter project assisted under this subtitle will not 
be made public, except with written authorization of the person or 
persons responsible for the operation of such project;
* * * * *
    (7) To comply with such other terms and conditions as the Secretary 
may establish to carry out this subtitle in an effective and efficient 
manner.

Shelter Plus Care Program

    The Shelter Plus Care (SPC) Program funds tenant-, sponsor-, and 
project-

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based rental assistance and rental assistance in connection with 
moderate rehabilitation for single room occupancy units in conjunction 
with supportive services funded from other sources for homeless persons 
with disabilities. Specific information is required to establish both 
the initial disability status of the client to enter the program and to 
ensure that appropriate supportive services are provided during the 
full term of the program to address the needs of the client and to meet 
the match requirement of the program.
* * * * *
    Section 454(b) of the McKinney-Vento Homeless Assistance Act 
provides in part that--
    (b) MINIMUM CONTENTS--The Secretary shall require that an 
application identify the need for the assistance in the community to be 
served and shall contain at a minimum--
* * * * *
    (2) A description of the size and characteristics of the population 
of eligible persons;
* * * * *
    (4) The identity of the proposed service provider or providers * * 
*;
    (5) A description of the supportive services that the applicant 
proposes to assure will be available for eligible persons;
    (6) A description of the resources that are expected to be made 
available to provide the supportive services required by section 453;
    (7) A description of the mechanisms for developing a housing and 
supportive services plan for each person and for monitoring each 
person's progress in meeting that plan * * *
    The McKinney-Vento Act also requires recipients to provide for 
ongoing client assessments and provision of needed services. Section 
456 states that the Secretary may not approve assistance under this 
subtitle unless the applicant agrees--
    (1) To operate the proposed program in accordance with the 
provisions of this subtitle;
    (2) To conduct an ongoing assessment of the housing assistance and 
supportive services required by the participants in the program;
    (3) To assure the adequate provision of supportive services to the 
participants in the program.
1.3 The Vision and the Development of a Local HMIS
    The development of a local HMIS is about: (1) Bringing the power of 
computer technology to the day-to-day operations of individual service 
providers; (2) knitting together service providers in a more 
coordinated and effective service delivery system for the benefit of 
homeless clients; and (3) obtaining and reporting critical aggregate 
information about the characteristics and service needs of homeless 
persons. While some sophisticated service providers have developed in-
house management information systems using technology of the time, many 
providers have not been able or willing to do so. Even those with 
working systems have not always been able to keep up with the latest 
technology. A number of communities have developed computer systems to 
manage large government programs (e.g., New York, Philadelphia). Others 
have pioneered systems linking decentralized service providers around a 
centralized bed-registry (St. Louis) or other services, such as 
emergency utility assistance (Kansas City) or an information and 
referral system. In the mid-1990s, HUD and HHS supported a 
comprehensive planning effort to develop comprehensive intake and 
assessment software. While the Automated National Client-specific 
Homeless services Recording (ANCHoR) software developed as a result of 
that initiative did not meet expectations, much was learned from that 
effort.
    Reflecting experiences at both local and national levels to develop 
and test first-generation HMIS software, today's most advanced HMIS 
software combines a number of functionalities to enhance individual 
service provider operations and to link providers together into a 
broader CoC data-sharing system. These functionalities include:
    Client Profile: Client demographic data obtained at intake and 
exit.
    Client Assessment: Information on clients' needs and goals, as well 
as case management or treatment plans.
    Service Outcomes: Client-level data on services provided, progress, 
outcomes, and follow-up.
    Information and Referral/Resource Directories: Timely data on the 
network of available services within the Continuum to determine 
eligibility and provide referrals. Some systems provide documentation 
and tracking of a referral from one provider to the next and messaging 
capability.
    Operations: Operational functionality that permits staff to manage 
day-to-day activities, including bed availability, and incident 
reporting.
    Accounting: Traditional accounting tools and special components to 
record service activity/expenditures against specific grants. Some 
systems have donor and fundraising elements.
    All these functionalities provide local providers and agencies with 
the ability to generate reports on their internal operations and for 
various funders. Because each agency agrees to share certain 
information with the HMIS, there is also the ability to generate 
reports on the operations of the Continuum of Care system as a whole.
    One of HUD's major goals in this HMIS initiative is to help 
individual homeless service providers access the very best computer 
technology to assist them in their day-to-day operations and to help 
increase the effective coordination of services in the Continuum of 
Care. To this end, HUD has developed several publications to assist 
local jurisdictions including: Homeless Management Information System 
Consumer Guide: A Review of Available HMIS Solutions, January 2003; and 
Homeless Management Information Systems: Implementation Guide, 
September 2002. These guides can be found at http://www.hud.gov/offices/cpd/homeless/hmis/guide.

The Benefits of an HMIS

    An HMIS provides significant opportunities to improve access to, 
and delivery of, services for people experiencing homelessness. An HMIS 
can accurately describe the scope of homelessness and the effectiveness 
of efforts to ameliorate it. An HMIS can strengthen community planning 
and resource allocation.
Homeless Clients
    An HMIS offers many benefits to persons seeking and receiving 
homeless assistance services. Homeless clients can benefit from more 
effective and streamlined referrals from on-line information and 
referral and service directories. Clients can benefit from enhanced 
intra-agency coordination. For example, advanced HMIS software has been 
developed that both calculates client eligibility for multiple programs 
and generates ready-to-sign applications for those programs.
    If information about clients is shared across providers, these 
systems can be used to reduce the number of times that clients are 
required to complete intake forms and assessments. They also allow 
providers to coordinate and track activities and services more 
effectively within a locality, streamline the referral process, and 
improve case management services for homeless clients. Finally, 
homeless persons benefit from the Continuum of Care's ability to better 
understand their characteristics and needs as well as the system's 
effectiveness in responding to homelessness in general and the unique

[[Page 43434]]

needs of various homeless subpopulations.
Service Providers
    An HMIS offers front-line service staff tools for providing more 
effective client services through improved referrals, interagency case 
management, and service coordination. At local discretion, an HMIS can 
be used as an operational tool to share assessments of client needs, to 
link clients to needed services from multiple providers, to track the 
provision of services across providers, and to determine the current 
location of clients within the service system. Many communities have 
already used HMIS in this way, and many more are likely to do so. 
Agency administrators can better manage operational information through 
ready access to a variety of agency, program, and client reports.
    Through funding and technical assistance, HUD intends to help 
communities develop HMIS to facilitate service delivery.
The Local Continuum of Care
    Policy makers and advocates benefit from access to CoC data that 
describe the extent and nature of homelessness and provide a greater 
understanding of service usage, effectiveness, and gaps. This 
information can be used to target limited resources and inform planning 
and policy decisions. Local CoCs can use HMIS to demonstrate the size 
and characteristics of their homeless population and current patterns 
of service use by that population, including access to mainstream 
services. CoCs can and should use analysis of HMIS data to demonstrate 
the need for additional resources to public and private funding 
sources. HMIS data can also be used to understand how to realign 
housing resources and service delivery within the CoC and how to create 
the links to mainstream programs that are essential to the prevention 
of homelessness and to sustaining formerly homeless people in permanent 
housing. Compared to other commonly used methods for gathering 
information on homeless persons, notably point-in-time census counts, 
HMIS present local CoCs with the opportunity to obtain significantly 
better data about homelessness in their communities and to analyze that 
information over time.
National Policy Makers
    HMIS will also help national policy makers and advocates more 
effectively address homelessness. Congress has charged HUD with 
producing an Annual Homeless Assessment Report (AHAR) based on HMIS 
data. To carry out that responsibility, HUD is developing the national 
HMIS data and technical standards described in this notice. In 
addition, HUD will develop a representative sample of 80 jurisdictions 
and will help those jurisdictions develop their HMIS, collect good 
quality data, and conduct analysis to support unduplicated counts of 
homeless service users and their characteristics at the local level. 
Analysis of HMIS data from the 80-jurisdiction sample will form the 
core of the AHAR and will enable Congress and HUD to better understand 
the needs of homeless persons and target federal resources accordingly.
    HUD also has responsibility for funding and monitoring several 
McKinney-Vento Act programs. HMIS will make it possible for HUD to 
request--and grantees to provide--information for Annual Progress 
Reports that will enable HUD to report program results to Congress and 
the American public as required by the Government Performance Results 
Act and to meet its administrative and program responsibilities.
1.4 Major HMIS Policy Decisions

A National Client--Level HMIS or Annual Progress Report (APR) Database 
Will Not Be Created

    The HMIS initiative will include no federal effort to track 
homeless people and their identifying information beyond the local 
level. HUD has no plans to develop a national client-level database 
with personal identifiers of homeless service users, having concluded 
that such plans would create serious impediments to provider 
participation in local HMIS and to client recourse to local services. 
This consideration was weighed against the advantages of a national 
database with personal identifiers that could be used to more 
accurately identify mainstream service use by homeless persons and 
analyze data on the characteristics of homeless persons nationwide. It 
was decided that these objectives can be accomplished through analysis 
of de-identified HMIS data compiled from CoCs across the country.

Certain Data Must Be Collected by CoCs To Obtain an Unduplicated Count 
of Homeless Persons and To Fulfill Program Requirements

    In order to obtain an unduplicated count of homeless persons at the 
CoC level, a data standard is proposed for all local HMIS that requires 
homeless clients be asked for personal identifying information, 
including name, date of birth, and Social Security number, when seeking 
housing or services. At the time that personal identifying information 
is collected from each client, he or she must be given an explanation 
of how the information will be used, how it will be protected, and the 
advantages of providing accurate information. Standards for 
notification about the purposes of data collection, non-disclosure, and 
protection of data are discussed in Part 4 of this notice.
    Providers will be required to report the client-level data 
specified in this notice on a regular basis to a central data storage 
facility. The CoC will be responsible for aggregating the data and 
preparing an unduplicated local count of homeless persons. This body 
must also retain the data for a period of five years adhering to the 
security provisions set forth in Part 4 of this notice.
    In addition to data required for creating unduplicated counts, HUD, 
other federal agencies, state and local governments, and private 
funders of homeless services often require certain information to 
determine eligibility for housing or services or to assess needed 
services. This eligibility-related information is often statutory and/
or regulation-based and is contained in provider agreements. Therefore, 
some providers are required to obtain certain information from homeless 
persons as a condition for receiving services. (See HUD's McKinney-
Vento Act client-eligibility and assessment program requirements 
above.) Exceptions to this requirement may occur in outreach programs 
to the street homeless or other nonresidential-based services such as 
soup kitchens. In such cases, an intake is often not taken, or even 
possible, and no information is required to access the service. It is 
not HUD's intention that clients be denied service if they refuse to 
supply identifying information.

Sharing of HMIS Data Among Providers Is Encouraged But Not Required

    While local providers will be required to report a limited amount 
of client-level data to a CoC's central data storage facility on a 
regular basis, sharing of HMIS data among providers within the CoC is 
not required by HUD and is at the discretion of each CoC. CoCs that 
share data may choose to share all of the information that is collected 
about clients or limit that information to a small number of data 
elements. If the CoC decides to share limited data among providers, it 
should allow access to at least the name, Social Security number, and 
birthdate of the persons served in order to determine whether the 
individual who is applying for services was previously served within 
the CoC.

[[Page 43435]]

    Sharing of HMIS information among providers within a CoC allows 
local providers and clients to obtain maximum benefits from such 
systems. From an operational perspective, it improves the ability of 
service provider staff to coordinate and deliver services to homeless 
clients. From a policy and research perspective, sharing enables the 
CoC to obtain most efficiently and accurately an unduplicated count of 
homeless persons at the CoC level, analyze its needs and service 
patterns, and determine the extent to which mainstream programs are 
serving homeless persons.
    Regardless of whether sharing among providers occurs or not, 
protected personal identifiers must be encrypted within the HMIS using 
the highest current standards. Unencrypted data should only be 
accessible through the local HMIS application at the site. Encryption 
standards are discussed in Part 4 of this notice.

Special Provisions for Domestic Violence Shelters

    Domestic violence shelters and other programs targeting victims of 
domestic violence play an important role in many CoCs and have received 
significant funding through local Continuums. Domestic violence victims 
are also served in many general purpose emergency and transitional 
facilities funded by HUD. HUD is aware of, and is sensitive to, the 
data confidentiality and security concerns that many domestic violence 
shelters have with respect to their participation in a local HMIS. HUD 
is also aware of a range of provider practices and protocols for 
collecting intake and other information from clients who are victims of 
domestic violence.
    As mentioned in Section 1.2, the ESG and SHP programs have specific 
domestic shelter/victims protections. These programs must still 
aggregate basic demographic and other information to submit to the ESG 
Integrated Disbursement and Information System (IDIS) and/or the SHP 
Annual Progress Report. The key to many domestic shelters' 
participation in existing HMIS hinges on the availability of 
sophisticated specific HMIS software that addresses data security 
issues and the protocols for data security, confidentiality, and 
sharing developed at the local level.
    At a minimum, HUD will not expect a domestic violence shelter it 
funds to participate in a local HMIS where HMIS software or data 
protocols raise a significant risk to its clients. In addition, 
providers of homeless assistance services will not be required to 
report personal identifying information for victims of domestic 
violence or for people in witness protection programs to a central 
storage facility given the unique concerns about personal safety for 
these populations. However, providers will be expected to provide 
unduplicated project-level data about participant characteristics 
without personal identifiers.
    It should be emphasized that HMIS have the potential for providing 
valuable data concerning domestic violence victims' needs at the local 
and national levels. HUD invites continued dialogue with domestic 
violence shelters and advocates concerning appropriate national data 
and technology standards to protect domestic violence victims and 
encourage participation in local HMIS, thus extending HMIS benefits to 
victims of domestic violence.
1.5 Who Must Participate in Homeless Management Information Systems
    Given the benefits of an HMIS for improving housing and service 
provision at the local level and providing accurate estimates of the 
homeless population and its needs, all recipients of HUD McKinney-Vento 
Act program funds are expected to participate in an HMIS. The HUD 
McKinney-Vento Act programs include Emergency Shelter Grants, 
Supportive Housing Program, Shelter Plus Care, and Section 8 Moderate 
Rehabilitation for Single Room Occupancy (SRO). In the FY 2003 funding 
notices for the Supportive Housing, Shelter Plus Care, and Section 8 
SRO Moderate Rehabilitation programs, HUD announced that providing data 
to an HMIS is a condition of funding for grantees. It is expected that 
all recipients of Housing Opportunities for Persons with AIDS (HOPWA) 
funding whose projects intentionally target assistance, conduct 
outreach, and/or conduct other specialized efforts to serve HOPWA 
eligible persons who are homeless, should ensure that reporting on 
assistance to these persons is integrated within the area's HMIS 
efforts. HOPWA projects that serve homeless persons are expected to, 
and strongly encouraged to, participate in the area's HMIS.
    The annual CoC application requires information about a CoC's 
progress in developing and implementing its HMIS. This information is 
used to rank CoCs in order to determine annual program funding. The 
application questions will be more detailed in the future to make 
possible an accurate determination of the extent of coverage and stage 
of implementation of each HMIS.
    Recipients of funds under most HUD McKinney-Vento Act programs and 
HOPWA are required to submit Annual Progress Reports (APRs) to HUD. In 
the future, much of the information to be included in APRs will be 
derived from HMIS data. This will be possible since guidelines for 
reporting to the APR will reflect the data standards set forth in this 
notice and used in the HMIS. HUD will also be considering the value of 
automatic submission of aggregate APR data. For ESG and HOPWA grantees 
and recipients who are covered under the area's Consolidated Plan, 
performance reporting involves the annual submission of a Comprehensive 
Annual Performance Evaluation Report (CAPER) along with the use of the 
Department's Integrated Disbursement and Information System (IDIS). 
HMIS will also provide a valuable tool to communities to provide the 
basic data that will be used to inform the performance reports used for 
these formula programs.
    HUD may at some point use an APR driven by HMIS data to measure the 
performance of both McKinney-Vento Act program grantees and CoC more 
generally. Should that occur, performance indicators would be developed 
through a process of consultation with providers of services to 
homeless persons. Performance indicators would need to be carefully 
designed to include appropriate adjustments for the characteristics of 
the population served by a CoC and individual providers and the nature 
of the services provided. CoC grantees and software developers would be 
given sufficient time to adopt enhancements to their systems to 
accommodate these new outcome indicators.
1.6 Staging of Local HMIS Implementation
    HUD recognizes that developing and implementing an HMIS is a 
difficult and time-consuming process and must necessarily be done in 
stages. A CoC's first priority is to bring on board the emergency 
shelters and transitional housing programs that receive HUD McKinney-
Vento Act funding. However, HUD also encourages CoCs to actively 
recruit providers that receive HUD funding through sources other than 
the McKinney-Vento Act. These providers should be included in the HMIS 
as early as possible.
    Other federal agencies that fund McKinney-Vento Act programs have 
their own data collection and reporting requirements. Key federal 
agency representatives were invited and participated in consideration 
of proposed HMIS data elements for this

[[Page 43436]]

notice. HUD continues to work with those agencies to maximize 
standardization of McKinney-Vento Act reporting requirements and to 
broaden adoption of HMIS-based data.
    The inclusion of any other local homeless assistance programs in an 
HMIS is encouraged, but it is a matter of local choice and will depend 
on the nature of the local service system. The decision to include 
other programs may require local HMIS designers to make trade-offs 
between the desirability of including as many homeless service 
providers as possible and the feasibility of obtaining high quality 
data. At the same time, given the benefits of HMIS to clients, service 
providers, and the larger CoC system, a high degree of coverage is both 
desirable and advantageous.
    As the later standards indicate, HUD does not expect every CoC to 
implement the widest range of functionality for every homeless shelter 
and service provider in the short-run. HUD encourages CoCs to focus 
initially on developing demographic information about homeless clients. 
However, it should be noted that client assessment and service outcome 
modules are valuable tools to track client needs and progress. This 
greater level of data collection will enhance the ability of individual 
providers and CoCs to document client needs and ensure program 
requirements are met.
BILLING CODE 4210-29-P

[[Page 43437]]

[GRAPHIC] [TIFF OMITTED] TN22JY03.000

BILLING CODE 4210-29-C

[[Page 43438]]

1.7 Why Uniform Data Standards Are Necessary
    Uniform data standards are needed so that CoCs across the country 
can generate HMIS-based reports with comparable data elements, 
definitions, and comprehensiveness. The consistency of the HMIS reports 
will make it possible to compare the characteristics of homeless 
populations and the services provided both within and across CoCs. The 
data collection methods specified in the data standards also provide 
safeguards to the vulnerable populations that are the subjects of an 
HMIS.
    To advise HUD in developing the data standards set forth in Parts 2 
and 3 of this notice, HUD assembled a group of experts on August 27 and 
28, 2002. The experts included representatives from CoCs with more 
advanced HMIS systems, experts from federal agencies that collect data 
on vulnerable populations, researchers on homelessness, advocacy 
organizations, and providers of technical assistance to communities 
that have developed HMIS.
    Based on the advice provided in those meetings and following 
further consultations with those experts and other homelessness 
specialists, HUD has determined that there are three levels of data 
that may be included in an HMIS: Universal data elements, program-level 
data elements, and elective data elements. Only the universal and 
program-level data elements are discussed in the sections of the notice 
(Parts 2 and 3) that describe data standards.
    [sbull] Universal data elements are to be collected from all 
clients served by all programs reporting to the HMIS. These data 
elements are needed for CoCs to understand the basic dynamics of 
homelessness on the local level and for HUD to meet the Congressional 
direction for an unduplicated count of homeless service users at the 
local level and a description of their characteristics. Any personal 
identifiers collected in accordance with these standards shall be 
encrypted and subject to severely restricted access.
    [sbull] Program-level data elements are elements to be collected 
from clients served by programs--federal, state, or local--that include 
an assessment of the client's needs as a basic element in their 
provision of service. That assessment elicits key information used to 
plan service delivery (in some cases), determine eligibility for 
services, track the provision of services, and record outcomes. Program 
funders may require the collection of certain program-level data 
elements as part of their annual reporting requirements. Several 
projects under HUD's McKinney-Vento Act programs, including the 
Supportive Housing Program, Shelter Plus Care, and Section 8 Moderate 
Rehabilitation for Single Room Occupancy Dwellings, and for Housing 
Opportunities for Persons with AIDS (HOPWA), intentionally target 
assistance, conduct outreach, and/or conduct other specialized efforts 
to serve HOPWA eligible persons who are homeless. For these projects, 
program participants should ensure that reporting on assistance to 
persons who are homeless is integrated within the area's HMIS efforts. 
HOPWA projects that serve homeless persons are expected to, and 
encouraged to, participate in the area's HMIS. This is discussed in 
more detail in Part 3 of this notice.
    Program-level data elements include private or sensitive 
information on topics such as income, physical disabilities, behavioral 
health status, and whether the client is currently at risk of domestic 
violence. At the time this information is collected, the client will be 
told the purpose for which the question is being asked and the way in 
which the client may benefit from answering the question (for example, 
by suggesting need or eligibility for a particular service). Local CoCs 
will have to establish firm policies and procedures to protect against 
unauthorized disclosure of personal information. This will be discussed 
in more detail in Part 4 of this notice.
    [sbull] Elective data elements are any data elements not specified 
as universal or program-level. Some HMIS, particularly those used 
directly as a tool in the provision of services, may be very complex. 
Particular programs (or the entire local CoC) may wish to collect 
assessment, service tracking, and outcome information in more detail 
than required by the uniform HMIS standards. For example, with regard 
to behavioral health, a program may wish to capture significantly more 
information about a client's psychiatric history or current status than 
is specified under the program-level data elements. Such elective data 
elements and response categories are developed at the discretion of 
each CoC. However, if the CoC or a local provider collects more 
information than is required by the HMIS data standards, the CoC or 
provider must be able to transform the more detailed data into the 
broader data elements and response categories of HMIS data standards.
    Furthermore, HMIS are not limited to the topics covered by the data 
elements in this notice. Local patterns for delivery of services and 
local decisions on the scope of participation in the HMIS may call for 
additional data collection modules that are entirely different from the 
data elements that are the subject of this notice.
    The next two parts of the notice set forth the HMIS data standards. 
Part 2 presents the universal data elements to be collected from all 
clients. Part 3 presents program-level data elements to be collected 
from clients in certain types of programs. Recommended data collection 
guidelines, question wording, and required response categories are 
provided for each data element, and, when appropriate, there is a 
discussion of special issues. Part 4 of this notice describes in more 
detail the standards for data confidentiality and security to which an 
HMIS will be expected to adhere. Finally, Part 5 addresses technical 
standards for the creation of data systems.

2. Data Standards for Universal Data Elements

    HUD has determined that some data elements should be collected by 
all agencies serving homeless persons. HUD carefully weighed the 
reporting burden of the universal data elements against the importance 
of the information for producing meaningful reports. Of special concern 
to HUD was the reporting burden for shelters that register large 
numbers of applicants on a nightly basis, with little time to collect 
information from each applicant. As a result, the number of universal 
data elements was kept to a minimum, and the ease of providing the 
information requested was considered for each element.
    The Department is inviting comments on how Homeless Management 
Information Systems can be used to measure chronic homelessness. At 
present, the universal data standards will provide information on the 
month and year a homeless individual left his or her last permanent 
address. Further, HMIS will generate information on shelter stays and 
homelessness episodes over time. However, given shelter worker demands 
and other considerations, a determination of disability is currently 
outside the scope of what is collected as part of the universal data 
elements.
    The universal data elements include:
    [sbull] 2.1: Name
    [sbull] 2.2: Social Security Number
    [sbull] 2.3: Date of Birth
    [sbull] 2.4: Ethnicity and Race
    [sbull] 2.5: Gender
    [sbull] 2.6: Veteran Status
    [sbull] 2.7: Residence Prior to Program Entry

[[Page 43439]]

    [sbull] 2.8: Zip Code of Last Permanent Address
    [sbull] 2.9: Month and Year Person Left Last Permanent Address
    [sbull] 2.10: Program Entry Date
    [sbull] 2.11: Program Exit Date
    [sbull] 2.12: Unique Person Identification Number
    [sbull] 2.13: Program Identification Number
    [sbull] 2.14: Program Event Number
    [sbull] 2.15: Household Identification Number
    [sbull] 2.16: Children's Questions
    Data elements 2.1 through 2.11 require that staff from a homeless 
assistance agency enter information provided by a client into the HMIS 
database. For each of these data elements one or more questions and 
multiple response categories are provided. There is no requirement that 
the questions appear on the computer screens generated by the HMIS 
application. At the same time, staff are highly encouraged to use them.
    The response categories are required and the HMIS application must 
include these responses exactly as they are presented in this section. 
Part 5 of this notice, Technical Standards, discusses approaches for 
handling missing response categories throughout the HMIS application.
    The universal data questions must be asked of each adult who 
applies for a homeless assistance service. Where a group of persons 
apply for services together (as a household or family), the intake 
worker will first ask for information from the household head who is 
applying for services and then request information from him/her about 
any children under the age of 18 who are applying for services with the 
household head. (The children do not need to be present at the time the 
household head applies for services.) Any other adults (18 years of age 
or older) who are applying for services with this group of persons will 
be interviewed separately. One adult should not provide information for 
another adult.
    Because this section follows an interview format, all of the data 
elements that are asked of an adult are presented first in this 
section, followed by the data elements that are required for any 
children (presented in 2.16).
    Elements 2.12 to 2.15 are automatically generated by the data 
collection software, although staff inquiries are essential for the 
proper generation of these elements.
    All protected personal information, including data elements 2.1, 
2.2, 2.3, 2.8, 2.10, 2.11, 2.12, and 2.13 will be encrypted using at 
least 128-bit encryption standards. This will render the data unusable 
to any casual viewer, as the information will not be able to be 
unencrypted and viewed except through the local HMIS application. 
Jurisdictions must have the capacity to unencrypt HMIS data at the 
local level. HMIS user access to this information will be highly 
restricted in accordance with Part 4 of this notice.
2.1 Name
    Rationale: The first, middle, and last names should be collected to 
support the unique identification of each person served.
    Data Collection Methods: Interview or self-administered form.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter.
    Subjects: All adults and children served.
    Recommended Interview Questions and Required Response Categories:

    Q: ``What is your first, middle, and last name?'' (legal names 
only; avoid aliases or nicknames)
-----------------------------------------------------------------------
(example: John David Doe, Jr.)

88--Don't know
99--Refused

    Q: ``Have you ever received services under a different name?''

0--No
1--Yes
88--Don't know
99--Refused

    If yes:
    Q: ``What was the other name under which you received services?''

-----------------------------------------------------------------------

    Special Issues: Four fields should be created in the HMIS database 
to capture suffixes such as ``Junior'' or ``II'' in addition to their 
full first, middle, and last names. Part 5 of this notice discusses how 
to treat missing information for open-ended questions.
    This data standard should be treated as a protected personal 
identifier and is subject to the security standards for personal 
identifiers set forth in Part 4 of this notice.
2.2 Social Security Number
    Rationale: The Social Security number should be collected to 
support the unique identification of each person served.
    Data Collection Methods: Interview or self-administered form.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter.
    Subjects: All adults and children served.
    Recommended Interview Questions and Required Response Categories:
    Q: ``What is your Social Security number?'' (use ``X'' for missing 
numbers) [If client declines to provide his/her SSN, he/she cannot be 
declined services on that basis].
------/----/---- ---- (example: 123 45 6789, or 123 45 XXXX)

77--Does not have a Social Security number
88--Don't know
99--Refused

    Special Issues: Clients cannot be denied services if they refuse to 
provide their Social Security number.
    Although the HMIS application's data entry form may include hyphens 
within the SSN to improve readability, one alphanumeric field without 
hyphens should be created within the HMIS database.
    This data standard should be treated as a protected personal 
identifier, and is subject to the security standards for personal 
identifiers set forth in Part 4 of this notice.
2.3 Date of Birth
    Rationale: The date of birth can be used to calculate the age of 
persons served at time of program entry or at any point in receiving 
services. It will also support the unique identification of each person 
served.
    Data Collection Methods: Interview or self-administered form.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter.
    Subjects: All adults and children served.
    Recommended Interview Questions and Required Response Categories:
    Q: ``What is your birth date?'' (use ``X'' for missing numbers)

----/----/--------(example: 01/31/2002, or 01/XX/2002)

    (Month) (Day) (Year)If complete birth date is not known:
    Q: ``In what year were you born?''

--------
88--Don't know
99--Refused

    Q: ``In what month were you born?''

--------
88--Don't know
99--Refused

    If neither year nor month of birth is known:
    Q: ``What is your age?''
-------- years old
88--Don't know
99--Refused

    Special Issues: One date-format field for complete birth dates 
should be created in the HMIS database.

[[Page 43440]]

    This data standard should be treated as a protected personal 
identifier, and is subject to the security standards for personal 
identifiers set forth in Part 4 of this notice.
2.4 Ethnicity and Race
    Rationale: Ethnicity and race can be used to count the number of 
homeless persons who identify themselves as Hispanic and to count the 
number of homeless persons who identify themselves within five 
different racial categories. In the October 30, 1997, issue of the 
Federal Register (62 FR 58782), the Office of Management and Budget 
(OMB) published ``Standards for Maintaining, Collecting, and Presenting 
Federal Data on Race and Ethnicity.'' All existing federal 
recordkeeping and report requirements must be in compliance with these 
Standards as of January 1, 2003.
    Data Collection Methods: Interview or self-administered form. Staff 
observations should not be used to collect information on ethnicity and 
race.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter.
    Subjects: All adults and children served.
    Recommended Interview Questions and Required Response Categories:
Ethnicity
    Q: ``Are you Hispanic or Latino?''

0--No (Non-Hispanic/Non-Latino)
1--Yes (Hispanic or Latino)
88--Don't know
99--Refused
Race
    Q: ``What is your race (you may name more than one race)?''

1--American Indian or Alaska Native (A person having origins in any of 
the original peoples of North and South America--including Central 
America--and who maintains tribal affiliation or community attachment.)
2--Asian (A person having origins in any of the original peoples of the 
Far East, Southeast Asia, or the Indian subcontinent including, for 
example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the 
Philippine Islands, Thailand, and Vietnam.)
3--Black or African American (A person having origins in any of the 
black racial groups of Africa. Terms such as ``Haitian'' or ``Negro'' 
can be used in addition to ``Black or African American''.)

4--Native Hawaiian or Other Pacific Islander (A person having origins 
in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific 
Islands.)

5--White (A person having origins in any of the original peoples of 
Europe, the Middle East, or North Africa.)

88--Don't know
98--Not applicable
99--Refused

    Special Issues: The HMIS should treat race as five separate fields 
to account for multiple race responses. For instance, if a respondent 
identifies herself as White and Asian, code ``5'' is recorded in the 
first data field, ``2'' is recorded in the second data field, and 
``98'' (Not applicable) in the remaining data fields.
2.5 Gender
    Rationale: To create separate counts of homeless men and homeless 
women served.
    Data Collection Methods: Interview, observation, or self-
administered form.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter.
    Subjects: All adults and children served.
    Recommended Interview Questions and Required Response Categories:
    Q: ``Are you male or female?''

0--Male
1--Female
88--Don't know
99--Refused

    Special Issues: The gender questions are meant to capture the self-
perceived sexual identity of the person interviewed and the caregiver's 
perception of the children who are with him/her. If the person replies 
that he/she is unsure of gender for any member of the household, the 
interviewer should record ``Don't know.''
    Programs may add a ``transgender'' category as needed. However, for 
reporting purposes this category will be represented as ``Don't know.''
2.6 Veteran Status
    Rationale: To determine the number of homeless veterans.
    Data Collection Methods: Interview or self-administered form.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter.
    Subjects: All adults served.
    Recommended Interview Question and Required Response Categories:
    Q: ``Have you ever served on active duty in the Armed Forces of the 
United States?''

0--No
1--Yes
88--Don't know
99--Refused

    Special Issues: The ``Armed Forces'' do not include inactive 
military reserves or the National Guard unless the person has been 
called up to active duty.
2.7 Residence Prior to Program Entry
    Rationale: To identify the type of residence experienced just prior 
to program admission.
    Data Collection Methods: Interview or self-administered form.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter.
    Subjects: All adults and, if necessary, children served.
    Recommended Interview Questions and Required Response Categories:
    Q: ``Where did you stay last night?''

1--Emergency shelter
2--Transitional housing for homeless persons
3--Permanent housing for formerly homeless persons
4--Psychiatric facility
5--Substance abuse treatment facility
6--Hospital
7--Jail
8--Prison
9--Hotel or motel
10--Foster care home
11--Own room, apartment, or house
12--Living with someone else (family and friends)
13--A car or other vehicle
14--An abandoned building
15--At a transportation site (bus station, airport, subway station, 
etc.)
16--Anywhere outside (streets, parks, campgrounds, cardboard boxes, 
etc.)
17--Other
88--Don't know
99--Refused
    Q: ``How long did you stay at that place?''

1--Less than one week
2--One to two weeks
3--Three weeks to one month
4--Two to three months
5--Four to six months
6--Seven months to one year
7--More than one year
88--Don't know
99--Refused

    Special Issues: This standard does not preclude the collection of 
residential history information beyond the residence experienced the 
night prior to program admission.
2.8 Zip Code of Last Permanent Address
    Rationale: To identify the former geographic location of persons 
experiencing homelessness.
    Data Collection Methods: Interview or self-administered form.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter.

[[Page 43441]]

    Subjects: All adults and, if necessary, children served.
    Recommended Interview Questions and Required Response Categories:
    Q: ``What is the zip code of the apartment, room, or house where 
you last lived for six consecutive months or more?''

----------(5 digits)
88--Don't know
99--Refused
    If zip code is unknown, ask:
    Q: ``What was the street address?''

-------------------- ---------- --
(Number and Street) (City) (State)

    Special Issues: If the last permanent address was institutional 
(e.g., prison, psychiatric hospital), ask for its address. If a street 
address is provided, three separate fields for number/street, city, and 
state should be generated. Use standard state abbreviations for the 
state data field. Part 5 of this notice discusses how to treat missing 
information for open-ended questions.
    This data standard should be treated as a protected personal 
identifier and is subject to the security standards for personal 
identifiers set forth in Part 4 of this notice.
2.9 Month and Year Person Left Last Permanent Address
    Rationale: To estimate the amount of time a person has been 
homeless or unstably housed.
    Data Collection Methods: Interview or self-administered form.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter.
    Subjects: All adults and, if necessary, children served.
    Recommended Interview Question and Required Response Categories:
    Q: ``What month and year did you leave the last apartment, room, or 
house where you lived for six months or more?'' (use ``X'' for missing 
numbers)

----/-------- (example: 01/2002, or XX/2002) (Month) (Year)

88--Don't know
99--Refused
2.10 Program Entry Date
    Rationale: To calculate the length of stay in a homeless 
residential program or the amount of time spent participating in a 
services-only program.
    Data Collection Methods: Recorded by the staff responsible for 
registering program entrants.
    When Data Are Collected: Upon any program entry (whether or not it 
is an initial program entry).
    Subjects: All adults and children served.
    Recommended Interview Question and Required Response Categories:

----/----/--------(example: 01/31/2002) (Month) (Day) (Year)

    Special Issues: For a shelter visit, this date would represent the 
first day of residence in a shelter program following residence outside 
of the shelter or in another program. For example, the first date of 
service may be the date a person is admitted into a shelter, after 
residing in an abandoned building or with relatives the night before. 
It may also represent the first date of residence in a transitional 
program after transferring from an emergency shelter program. For 
services, this date may represent the day a service was provided, or 
the first date of a period of continuous service. For example, if a 
person receives daily counseling as part of an ongoing treatment 
program, the first date of service could be the date of enrollment in 
the treatment program.
    Any return to a program one day or more after the last date of 
utilization must be recorded as a new program entry date.
    This data standard should be treated as a protected personal 
identifier and is subject to the security standards for personal 
identifiers set forth in Part 4 of this notice.
2.11 Program Exit Date
    Rationale: To calculate the length of stay in a homeless 
residential program or the amount of time spent participating in a 
services-only program.
    Data Collection Methods: Recorded by the staff responsible for 
monitoring program utilization or conducting exit interviews.
    When Data Are Collected: Upon any program exit.
    Subjects: All adults and children served.
    Recommended Interview Question and Required Response Categories:

----/----/-------- (example: 01/31/2002) (Month) (Day) (Year)

    Special Issues: For a shelter visit, this date would represent the 
last day of residence in a shelter program before the day that the 
client transfers to another residential program or otherwise leaves the 
shelter. For example, the last date of service would be the last night 
the person stayed at the shelter prior to moving into permanent or 
transitional housing, or failing to return to the shelter. For 
services, this date may represent the day a service was provided or the 
last date of a period of continuous service. For example, if a person 
has been receiving daily counseling as part of an ongoing treatment 
program and either formally terminates their involvement or fails to 
return for counseling, the last date of service could be the date of 
termination or date of the last counseling session.
    If a client has not utilized a program for one day or more, the 
last day of utilization must be recorded as the program exit date.
    This data standard should be treated as a protected personal 
identifier and is subject to the security standards for personal 
identifiers set forth in Part 4 of this notice.
2.12 Unique Person Identification Number
    Rationale: Every client receiving homeless assistance services 
within a CoC is assigned a Personal Identification Number (PIN), which 
is a permanent and unique number generated by the HMIS application. The 
PIN is used to obtain an unduplicated count of persons served within a 
CoC.
    Data Collection Methods: Where data are shared across programs in a 
CoC, staff will determine at intake whether a client has been 
previously assigned a PIN. To make this determination, the staff enters 
personal identifying information (Name, Social Security Number, Date of 
Birth, and Gender) into the HMIS application. The application then 
searches a CoC's centralized database for matching records. If a match 
is found and a PIN is retrieved, the same PIN will be assigned to the 
client. If no matches are found, a new randomly generated PIN is 
assigned to the client.
    Where data are not shared across programs, programs will provide 
client-level information on a regular basis to the CoC system 
administrator. The CoC administrative staff are responsible for 
assigning PINs by searching and matching client records using personal 
identifying information.
    When Data Are Collected: When data are shared across programs, upon 
program entry or as soon as possible thereafter. When data are not 
shared across programs, the assignment of PINs occurs after client 
records are submitted to the CoC system administrator.
    Subjects: All adults and children served.
    Recommended Interview Question and Required Response Categories:
    The following question may facilitate the search for an existing 
Personal Identification Number:
    Q: ``Have you ever been served by this [name of facility or 
program] before?''

0--No
1--Yes
88--Don't know
99--Refused

    Special Issues: The PIN is a random number automatically generated 
by the

[[Page 43442]]

HMIS application (see Part 5 of this notice).
    This data standard should be treated as a protected personal 
identifier and is subject to the security standards for personal 
identifiers set forth in Part 4 of this notice.
2.13 Program Identification Number
    Rationale: Program identification numbers will indicate the 
geographic location of a program, its facility and CoC affiliation, and 
whether the program is a street outreach, emergency shelter, 
transitional housing, permanent supportive housing, or services-only 
type of program.
    Data Collection Methods: Selected by staff from a list of programs 
available within a particular agency or the CoC. Upon selection of a 
program from the list, the HMIS application will assign the program 
identification number to the client's record.
    When Data Are Collected: Upon any program entry (whether or not it 
is an initial program entry).
    Subjects: All adults and children served.
    Special Issues: The program identification number will be 
constructed in a way that identifies the geographic location of a 
program, its facility and CoC affiliation, and whether it is a street 
outreach, emergency shelter, transitional housing, permanent supportive 
housing, or services-only type of program. On an HMIS data entry 
screen, program staff may view and select from a listing of programs. 
The HMIS application then generates the program identification number. 
For more information, see Part 5 of this notice. This data standard 
should be treated as a protected personal identifier and is subject to 
the security standards for personal identifiers set forth in Part 4 of 
this notice.
2.14 Program Event Number
    Rationale: To distinguish the unique episodes of program service 
utilization.
    Data Collection Methods: A Program Event Number is automatically 
generated for each episode of service by the HMIS application. The 
number is generated from program entry and exit dates, program 
identifier numbers, and Personal Identification Numbers.
    Subjects: All adults and children served.
    Special Issues: This number is necessary for identifying unique 
episodes of program service utilization. It is particularly useful when 
a client has received multiple services from a single program or 
provider on the same day. For example, if a client receives mental 
health counseling and general medical services from a single provider 
on the same day, separate program event numbers will be generated for 
each service. For more information, see Part 5 of this notice.
2.15 Household Identification Number
    Rationale: To count the number of households served.
    Data Collection Methods: Interview or staff observation that client 
is participating in a program with other members of a household.
    When Data Are Collected: Upon any program entry (whether or not it 
is an initial program entry) or as soon as possible thereafter. Persons 
can join a household with members who have already begun a program 
event, or leave a program although other members of the household 
remain in the program.
    Subjects: All adults and children served.
    Recommended Interview Questions and Required Response Categories:
    If it is not evident that others are applying for or receiving 
assistance with the client, then ask:
    Q: ``Who else is applying for (or receiving) assistance with you?''
    Q ``What is their first, middle, and last name?'' (legal names 
only; avoid aliases and nicknames)

-----------------------------------------------------------------------
(example: John David Doe, Jr.)

88--Don't know
99--Refused

    Special Issues: A household is a group of persons who together 
apply for and/or receive a specific homeless assistance service.
    A common household identification number should be assigned to each 
member of the same household. Individuals in a household (adults and/or 
children) who are not present when the household initially applies for 
assistance and later join the household should be assigned the same 
household identification number that links them to the rest of the 
persons in the household. Part 5 of this notice discusses how to treat 
missing information for open-ended questions.
    See section 2.16 for questions that may be asked about household 
members under 18 years of age.
2.16 Children's Questions
    Recommended Interview Questions and Required Response Categories:
Name
    Q. ``Do you have any children under 18 years of age with you?''
0--No
1--Yes
88--Don't know
99--Refused

    If yes,
    Q: ``What is (are) the first, middle, and last name(s) of the 
child(ren) with you?''

-----------------------------------------------------------------------
(example: Jane Mary Doe)

88--Don't know
99--Refused
Social Security Number
    Q: ``What is (are) the Social Security number(s) for [name of 
child]?'' (use ``X'' for missing numbers)

------ ---- -------- (example: 123 45 6789 or 123 45 XXXX)

77--Does not have a Social Security number
88--Don't know
99--Refused
Date of Birth
    Q: ``What is the birth date of [name of child]?'' (use ``X'' for 
missing numbers)

----/----/-------- (example: 01/31/2002 or 01/XX/2002) (Month) (Day) 
(Year)

    If complete birth date(s) is(are) not known:
    Q: ``What year was [name of child] born in?''

------
88--Don't know
99--Refused

Q: ``What month was [name of child] born in?''

------
88--Don't know
99--Refused

    If neither year nor month of birth is known:
    Q: ``What is the age of [name of child]?''

------years old
88--Don't know
99--Refused
Ethnicity
    Q: ``Is [name of child] Hispanic or Latino?''

0--No (Non-Hispanic/Non-Latino)
1--Yes (Hispanic or Latino)
88--Don't know
99--Refused
Race
    Q: ``What is the race of [name of child] (you may name more than 
one race)?''

1--American Indian or Alaska Native (A person having origins in any of 
the original peoples of North and South America--including Central 
America--and who maintains tribal affiliation or community attachment.)
2--Asian (A person having origins in any of the original peoples of the 
Far

[[Page 43443]]

East, Southeast Asia, or the Indian subcontinent including, for 
example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the 
Philippine Islands, Thailand, and Vietnam.)
3--Black or African American (A person having origins in any of the 
black racial groups of Africa. Terms such as ``Haitian'' or ``Negro'' 
can be used in addition to ``Black or African American''.)
4--Native Hawaiian or Other Pacific Islander (A person having origins 
in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific 
Islands.)
5--White (A person having origins in any of the original peoples of 
Europe, the Middle East, or North Africa.)
88--Don't know
98--Not applicable
99--Refused
Gender
    Q: ``Is [name of child] male or female?''

0--Male
1--Female
88--Don't know
99--Refused
Residence Prior to Program Entry
    Q: ``Where did [name of child] stay last night?''

1--Emergency shelter
2--Transitional housing for homeless persons
3--Permanent housing for formerly homeless persons
4--Psychiatric facility
5--Substance abuse treatment facility
6--Hospital
7--Jail
8--Prison
9--Hotel or motel
10--Foster care home
11--Own room, apartment, or house
12--Living with someone else (family and friends)
13--A car or other vehicle
14--An abandoned building
15--At a transportation site (bus station, airport, subway station, 
etc.)
16--Anywhere outside (streets, parks, campgrounds, cardboard boxes, 
etc.)
17--Other

    Q: ``How long did [name of child] stay at that place?''

1--Less than one week
2--One to two weeks
3--Three weeks to one month
4--Two to three months
5--Four to six months
6--Seven months to one year
7--More than one year
8--Don't know
9--Not applicable
10--Refused
Zip Code of Last Permanent Address
    Q: ``Was [name of child] living with you at the last place you 
lived for six consecutive months or more?''

0 --No
1--Yes
88--Don't know
99--Refused
Month and Year Child Left Last Permanent Address
    If response to ``Was [name of child] living with you at the last 
place you lived for six consecutive months or more'' question is 
``No,'' ask:

    Q: ``What month and year did [name of child] leave the last place 
where [he or she] lived for six months or more?'' (use ``X'' for 
missing numbers)

----/----/-------- (example: 01/2002, or XX/2002) (Month) (Year)

88--Don't know
99--Refused

                                       Summary of Universal Data Elements
----------------------------------------------------------------------------------------------------------------
                                                        Protected personal
         Data standards                 Subjects           information        Data entry or computer-generated
----------------------------------------------------------------------------------------------------------------
Name............................  Adults and Children  Protected..........  Data Entry.
SSN.............................  Adults and Children  Protected..........  Data Entry.
Date of Birth...................  Adults and Children  Protected..........  Data Entry.
Ethnicity and Race..............  Adults and Children  ...................  Data Entry.
Gender..........................  Adults and Children  ...................  Data Entry.
Veteran Status..................  Adults.............  ...................  Data Entry.
Residence Prior to Program Entry  Adults and Children  ...................  Data Entry.
Zip Code of Last Permanent        Adults and Children  Protected..........  Data Entry.
 Address.
Month and Year Left Last          Adults and Children  ...................  Data Entry.
 Permanent Address.
Program Entry Date..............  Adults and Children  Protected..........  Data Entry.
Program Exit Date...............  Adults and Children  Protected..........  Data Entry.
Unique Personal Identification    Adults and Children  Protected..........  Computer-Generated.
 Number.
Program Identification Number...  Adults and Children  Protected..........  Computer-Generated.
Program Event Number............  Adults and Children  ...................  Computer-Generated.
Household Identifier Number.....  Adults and Children  ...................  Computer-Generated.
----------------------------------------------------------------------------------------------------------------

3. Data Standards for Program-Level Data Elements

    Program-level data elements are to be collected from all clients 
served by some types of programs. These are programs that include as a 
basic element in their provision of service an assessment of the 
client's needs. That assessment elicits key information used to plan 
service delivery, determine eligibility for services (in some cases), 
track the provision of services, and record outcomes.
    The program-level data elements are to be completed as required by 
a locality or funder. They are provided as part of this notice so that 
consistent information can be obtained from programs that collect this 
type of data from homeless persons. For the Supportive Housing Program, 
Shelter Plus Care, Section 8 Moderate Rehabilitation for Single Room 
Occupancy Dwellings (SRO) Program, and the Housing Opportunities for 
Persons with HIV/AIDS (HOPWA) Program, the following program-level data 
elements and definitions are needed to complete Annual Progress 
Reports: 3.1 (Income and Sources) through 3.4 (Developmental 
Disability), 3.7 ( HIV/AIDS Status), 3.8 (Behavioral Health Status), 
3.9 (Domestic Violence), 3.11 (Employment), 3.13 (Services Received), 
3.14 (Destination), and 3.15 (Follow-up After Program Exit).
    The program-level data elements include:
    [sbull] 3.1: Income and Sources

[[Page 43444]]

    [sbull] 3.2: Non-Cash Benefits
    [sbull] 3.3: Physical Disability
    [sbull] 3.4: Developmental Disability
    [sbull] 3.5: General Health Status
    [sbull] 3.6: Pregnancy Status
    [sbull] 3.7: HIV/AIDS Status
    [sbull] 3.8: Behavioral Health Status
    [sbull] 3.9: Domestic Violence
    [sbull] 3.10: Education
    [sbull] 3.11: Employment
    [sbull] 3.12: Veterans
    [sbull] 3.13: Services Received
    [sbull] 3.14: Destination
    [sbull] 3.15: Follow-up After Program Exit
    [sbull] 3.16: Children's Education
    [sbull] 3.17. Other Children's Questions
    Most of the data elements require that staff from a homeless 
assistance agency enter information provided by the client into the 
HMIS database. For each data element one or more questions and multiple 
response categories are provided. As with the universal data elements, 
there is no requirement that the questions appear on the computer 
screens generated by the HMIS application. At the same time, staff are 
highly encouraged to use them. For APR-required data elements, the 
response categories are required and the HMIS application must include 
these responses exactly as they are presented in this section.
    The program-level data questions are asked of each adult who 
applies for a homeless assistance service. Where a group of persons 
apply for services together (as a household or family), the intake 
worker will first ask for information from the household head who is 
applying for services and then request information from him/her about 
any children under 18 years of age who are applying for services with 
the household head. (The children do not need to be present at the time 
the household head applies for services.) Any other adults who are 
applying for services with this group of persons should be interviewed 
separately, unless an adult is unable to provide information for 
himself/herself.
    Because these standards are presented in an interview format, all 
of the data elements that are asked of an adult are presented first in 
this section, followed by the data elements that are required for any 
children.
    Since many program-level data elements include private or sensitive 
information, HUD requires that the client be told the purpose for which 
the question is being asked and the ways in which the client may 
benefit from answering the question (e.g., by suggesting need or 
eligibility for a particular service). Local CoCs will have to 
establish firm policies and procedures to protect against unauthorized 
disclosure of, or misuse of, personal information. These issues will be 
discussed in more detail in Part 4 of this notice.
3.1 Income and Sources
    Rationale: Income and sources of income are important for 
determining service needs of people at the time of program entry, 
determining whether they are accessing all income sources for which 
they are eligible, assessing their degree of vulnerability to chronic 
homelessness, and describing the characteristics of the homeless 
population. Capturing the amount of cash income from various sources 
will help to: Assure all income sources are counted in the calculation 
of total income; enable program staff to take into account the 
composition of income in determining needs; determine if people are 
receiving the mainstream program benefits to which they may be 
entitled; help clients apply for benefits assistance; and allow 
analysis of changes in the composition of income between entry and exit 
from the program.
    Data Collection Method: Interview or self-administered form.
    When Data Are Collected: Upon initial program entry (or as soon as 
possible thereafter), at program exit and during periodic follow-up. 
Needed to complete Annual Progress Reports for certain HUD McKinney-
Vento Act programs.
    Subjects: All adults served by the program.
    Recommended Questions and APR-Required Response Categories:
Earned Income
    Q: ``Have you [and/or the children who are coming into this program 
with you] received money from working in the last month?''

0--No
1--Yes
88--Don't know
99--Refused

    If yes, then ask the following question:
    Q: ``Over the last month, how much money did you [and/or the 
children who are coming to this program with you] receive from 
working?''

$-- -- -- --00
88--Don't know
99--Refused
Income from Other Sources
    Q: Have you [and/or the children who are coming to this program 
with you] received money from any other sources in the last month?''

0--No
1--Yes
88--Don't know
99--Refused

    If yes, then ask the following questions:
    Q: ``Over the last month, how much money did you [and/or the 
children who are coming into this program with you] receive from the 
following sources?''
    Q: ``Unemployment Insurance?''

$-- -- -- --.00
88--Don't know
99--Refused

    Q: ``Supplemental Security Income or SSI?''

$-- -- -- --.00
88--Don't know
99--Refused
(For household head with children)

    Q: ``Was this SSI for you or for a child who is with you?''
1--Self
2--A child

    Q: ``Over the last month, how much money did you [and/or the 
children who are coming into this program with you] receive from the 
following sources?'' (Ask each)

$-- -- -- --.00
88--Don't know
99--Refused
a--Social Security Disability Income (SSDI)
b--A veteran's disability payment
c--Private disability insurance
d--Worker's compensation
e--Temporary Assistance for Needy Families (TANF) (or replace with 
local name)
f--General Assistance (GA) (or replace with local name)
g--Retirement income for Social Security
h--Veteran's pension
i--Pension from a former job
j--Child support
k--Alimony or other spousal support
l--Any other sources

    If the client reported any sources of income as ``Don't Know'' or 
``Refused,'' then ask:
    Q: ``Over the last month, what was your total income? Please do not 
include the income of any persons in your household who are 18 years of 
age or older.''

$-- -- -- --.00
88--Don't know
99--Refused
    Special Issues: Note that this is the only data element that 
combines information for an adult and his or her children under 18 
years of age who are participating in a program. Income for any other 
adult members of the household should be reported separately. Programs 
may choose to

[[Page 43445]]

disaggregate the sources of income into more detailed categories as 
long as these categories can be aggregated into the above stated 
sources of income.
3.2 Non-Cash Benefits
    Rationale: Non-cash benefits are important to determine whether 
people are accessing all mainstream program benefits for which they may 
be eligible and to ascertain a more complete picture of their 
situation.
    Data Collection Method: Interview or self-administered form.
    When Data Are Collected: Upon initial program entry or as soon as 
possible thereafter, at program exit, and during periodic follow-up. 
Needed to complete Annual Progress Reports for certain HUD McKinney-
Vento Act programs.
    Subjects: All adults served by program.
    Recommended Questions and APR-Required Response Categories:
    Q: ``Have you [and/or the children who are coming into this program 
with you] received food stamps or money for food on a benefits card in 
the past month?''

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you participate in the MEDICAID health insurance program?'' 
(or replace with local name)

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you participate in the MEDICARE health insurance program?'' 
(or replace with local name)

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you participate in the State Children's Health Insurance 
Program (SCHIP)?'' (or replace with local name)

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you participate in WIC?''

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you receive Veteran's Administration (VA) Medical 
Services?''

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you receive TANF Child Care services?'' (or replace with 
local name)

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you receive TANF transportation services?'' (or replace 
with local name)

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you receive any other TANF-funded services?'' (or replace 
with local name)

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you receive help paying for your rent, for instance, 
Section 8, public housing, or a housing voucher?''

0--No
1--Yes
88--Don't know
99--Refused

    Special Issues: Programs may choose to disaggregate the non-cash 
sources of income into more detailed categories as long as these 
categories can be aggregated into the above-stated non-cash sources of 
income. Programs may also choose to ask additional questions about non-
cash sources of income, including: information related to benefit 
eligibility (e.g., if a person is not receiving a service is it because 
they are not eligible or eligibility has not yet been determined); and 
start and stop dates for receipt of benefits.
3.3 Physical Disability
    Rationale: To count the number of physically disabled persons 
served by homeless programs, and to determine eligibility for 
disability benefits.
    Data Collection Methods: Interview or self-administered form.
    When Data Are Collected: Upon program entry or as soon as possible 
thereafter. Needed to complete Annual Progress Reports for certain HUD 
McKinney-Vento Act programs.
    Subjects: All adults and children served.
    Recommended Question and APR-Required Response Categories:
    Q: ``Do you consider yourself to have a physical disability? By 
physical disability, I mean that you have a physical problem that is 
not temporary and that limits your ability to get around or work, or 
your ability to live on your own.''

0--No
1--Yes
88--Don't know
99--Refused
3.4 Developmental Disability
    Rationale: To count the number of developmentally disabled persons 
served by homeless programs, and to determine eligibility for 
disability benefits.
    Data Collection Methods: Interview or self-administered form.
    When Data Are Collected: Upon program entry or as soon as possible 
thereafter. Needed to complete Annual Progress Reports for certain HUD 
McKinney-Vento Act programs.
    Subjects: All adults and children served.
    Recommended Question and APR-Required Response Categories:
    Q: ``Have you ever received benefits or services (such as an income 
supplement or special education classes) for a developmental 
disability?''

0--No
1--Yes
88--Don't know
99--Refused

    Special Issues: Those with developmental disabilities may include 
persons who have a severe, chronic disability that is attributed to a 
mental or physical impairment (or combination of physical and mental 
impairments) that occurs before 22 years of age and limits the capacity 
for independent living and economic self-sufficiency.
3.5 General Health Status
    Rationale: Information on general health status is a first step to 
identifying what types of health services a client may need. Changes in 
health status between intake and exit can be a valuable outcome 
measure. This data element permits the self-reported health status of 
homeless persons to be compared with the self-reported health status of 
the U.S. population in general.
    Data Collection Method: Interview or self-administered form.
    When Data are Collected: Upon initial program entry (or as soon as 
possible thereafter), program exit, and during periodic follow-up.
    Subjects: All adults and children served by the program.
    Recommended Questions and Response Categories:
    Q: ``Compared to other people your age, would you say your health 
is excellent, very good, good, fair, or poor?''

1--Excellent
2--Very Good
3--Good
4--Fair
5--Poor
88--Don't know
99--Refused

[[Page 43446]]

3.6 Pregnancy Status
    Rationale: To determine eligibility for benefits and need for 
services, and to determine the number of women entering programs for 
homeless persons while pregnant.
    Data Collection Method: Interview or self-administered form.
    When Data are Collected: Upon initial program entry or as soon as 
possible thereafter.
    Subjects: All adult females served by the program.
    Recommended Questions and Response Categories:
    Q: ``Are you pregnant?''

0--No
1--Yes
88--Don't know
98--Not applicable
99--Refused

    If yes, then ask the following question:
    Q: ``What is your due date?'' (use ``X'' for missing numbers)

----/----/-------- (example: 01/31/2002, or 01/XX/2002) (Month) (Day) 
(Year)
3.7 HIV/AIDS Status
    Rationale: To count the number of persons who have been diagnosed 
with AIDS or have tested positive for HIV.
    Data Collection Methods: Interview or self-administered form.
    When Data are Collected: Upon program entry or as soon as possible 
thereafter. Needed to complete Annual Progress Reports for certain HUD 
McKinney-Vento Act programs.
    Subjects: All adults served.
    Recommended Questions and APR-Required Response Categories:
    Q: ``Have you been diagnosed with AIDS or have you tested positive 
for HIV?''

0--No
1--Yes
88--Don't know
99--Refused

    Special Issue: It is only appropriate to ask these questions if the 
program is prepared to help persons, in a confidential manner, in order 
to assess the need for service and/or for programmatic reporting 
purposes. This assessment process should result in enhanced provision 
and coordination of both specific HIV-related services and/or other 
general services addressing a client's needs. As in other areas 
involving sensitive client information, these questions should be asked 
and recorded when a program has adequate data confidentiality 
protections, including adequate training of staff, to ensure that HIV-
related information on this person, such as their HIV status or their 
participation in related care, cannot be learned by anyone whom they 
themselves do not voluntarily provide or give permission to have this 
information. For more information on security and confidentiality, see 
Part 4 of this notice.
3.8 Behavioral Health Status
    Rationale: To count the number of persons served with substance 
abuse and mental illness problems, and to assess the need for 
treatment.
    Data Collection Methods: Interview or self-administered form.
    When Data are Collected: Upon program entry or as soon as possible 
thereafter. Needed to complete Annual Progress Reports for certain HUD 
McKinney-Vento Act programs.
    Subjects: All adults served.
    Recommended Questions and APR-Required Response Categories:
    Q: ``Have you ever been in a residential, day, or outpatient 
treatment program (detox) or hospitalized for the treatment of 
alcoholism?''

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you feel that you have a problem with alcohol?''

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Have you ever been in a residential, day, or outpatient 
treatment program (detox) or hospitalized for treatment of drug 
dependency?''

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you feel that you have a problem with drugs?''

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Have you ever been treated or hospitalized for a psychiatric 
problem?''

0--No
1--Yes
88--Don't know
99--Refused

    Q: ``Do you feel that you have any current psychiatric or emotional 
problem(s) such as serious depression, serious anxiety, hallucinations, 
violent behavior, thoughts of suicide?''

0--No
1--Yes
88--Don't know
99--Refused
3.9 Domestic Violence
    Rationale: Ascertaining whether a person is a victim of domestic 
violence is necessary to provide the person with the appropriate 
services to prevent further abuse and to treat the physical and 
psychological injuries from prior abuse. Also, ascertaining that a 
person may be experiencing domestic violence may be important for the 
safety of program staff and other clients. At the aggregate level, 
knowing the size of the homeless population that are victims of 
domestic violence can provide information needed for determining the 
resources needed to address the problem in this population.
    Data Collection Method: Interview or self-administered form.
    When Data are Collected: Upon initial program entry or as soon as 
possible thereafter or during assessment phase. Needed to complete 
Annual Progress Reports for certain HUD McKinney-Vento Act programs.
    Subjects: All adults, except those who are entering domestic 
violence shelters.
    Recommended Questions and APR-Required Response Categories:
    Q: ``Have you experienced domestic or intimate partner violence?''

0--No
1--Yes
88--Don't know
99--Refused

    If yes, ask the following question:
    Q: ``How long ago did you have this experience?''

1--within the past three months
2--three to six months ago
3--from six to twelve months ago
4--more than a year ago
88--Don't know
99--Refused

    Special Issues: First, it is only appropriate to ask these 
questions if the program is prepared to help the person, either by 
directly providing necessary support services or providing a referral 
to a program that can provide these services. Second, these questions 
are screening questions for identifying potential victims of domestic 
violence. Local programs have to decide what additional information is 
needed to assess the appropriate course of treatment or referral. 
Third, it is paramount that collecting information on domestic violence 
does not put the person at risk of suffering further abuse. Thus, these 
questions should only be asked and recorded when a program has adequate 
data confidentiality protections to ensure that this person or their 
location cannot be learned by anyone whom they themselves do not 
voluntarily provide or give permission

[[Page 43447]]

to have this information. For more information on security and 
confidentiality, see Part 4 of this notice.
3.10 Education
    Rationale: To assess the program participant's readiness for 
employment and need for education or employment services. It can also 
serve as an important outcome measure.
    Data Collection Methods: Interview or self-administered form.
    When Data are Collected: Upon initial program entry or as soon as 
possible thereafter, program exit, and during periodic follow-up.
    Subjects: All adults served.
    Recommended Question and Response Categories:
    Q: ``Are you in school now, or working on any degree or 
certificate?''

1--Yes
0--No
88--Don't know
98--Not applicable
99--Refused

    Q: ``Have you received any vocational training or apprenticeship 
certificates?''

1--Yes
0--No
88--Don't know
98--Not applicable
99--Refused

    Q: ``What is the highest level of school that you have completed?''

0--No schooling completed
1--Nursery school to 4th grade
2--5th grade or 6th grade
3--7th grade or 8th grade
4--9th grade
5--10th grade
6--11th grade
7--12th grade, No diploma
8--High school diploma
9--GED
10--More than twelve years
88--Don't know
99--Refused

    If client has received a high school diploma or GED, ask the 
following questions:
    Q: ``Have you received any of the following degrees?''

[Ask about each degree until the client answers ``no.''] Code each 
response as: 0--No; 1--Yes; 88--Don't know; 98--Not applicable; 99--
Refused]

a--Bachelors
b--Masters
c--PhD
d--Other graduate degree
3.11 Employment
    Rationale: To assess the program participant's employment status. 
This can serve as an important outcome measure.
    Data Collection Methods: Interview or self-administered form.
    When Data are Collected: Upon initial program entry or as soon as 
possible thereafter, program exit, and during periodic follow-up. 
Needed to complete Annual Progress Reports for certain HUD McKinney-
Vento Act programs.
    Subjects: All adults served
    Recommended Questions and APR-Required Response Categories:
    Q: ``Are you currently employed?''

1--Yes
0--No
88--Don't know
99--Refused

    If yes, ask the following questions:
    Q: ``How many hours did you work last week?''

------ hours of work last week
88--Don't know
99--Refused

    Q: ``Was this permanent, temporary, or seasonal work?''

1--Permanent
2--Temporary
3--Seasonal
88--Don't know
99--Refused

    If client reports that he/she is not working, ask the following 
question:
    Q: ``Are you currently looking for work?''

1--Yes
0--No
2--Disabled
3--Retired
88--Don't know
99--Refused

    Special Issues: Programs may choose to ask additional information 
about benefits received through employment.
3.12 Veterans
    Rationale: To collect a more detailed profile of the homeless 
veteran's experience and to determine eligibility for Department of 
Veterans Affairs programs and benefits. These questions were developed 
in consultation with the Department of Veterans Affairs.
    Data Collection Methods: Interview or self-administered form.
    When Data are Collected: Upon program entry or as soon as possible 
thereafter.
    Subjects: All persons who answered ``Yes'' to Veterans Status data 
element.
    Recommended Question and Response Categories:
    Q: ``In which military service eras did you serve (choose all that 
apply)?''

[Ask each. Code each response as: 1--Yes; 0--No; 88--Don't know; 99--
Refused]

a. World War I (April 1917--November 1918)
b. Between WWI and WWII (December 1918--August 1940)
c. World War II (September 1940--July 1947)
d. Between WWII and Korean War (August 1947--May 1950)
e. Korean War (June 1950--January 1955)
f. Between Korean and Vietnam War (February 1955--July 1964)
g. Vietnam Era (August 1964--April 1975)
h. Post Vietnam (May 1975--July 1991)
i. Persian Gulf Era (August 1991--Present)

    Q: ``How many months did you serve on active duty in the 
military?''

------ months

    Q: ``Did you serve in a war zone?''

1--Yes
0--No
88--Don't know
99--Refused

    If served in a war zone, then ask:
    Q: ``What war zone(s) (choose all that apply)?''

[Ask each. Code each response as: 1--Yes; 0--No; 88--Don't know; 99--
Refused]
a. Europe
b. North Africa
c. Vietnam
d. Laos and Cambodia
e. South China Sea
f. China, Burma, India
g. Korea
h. South Pacific
i. Persian Gulf
j. Other

    Q: ``What was the number of months served in a war zone?''

------ months

    Q: ``Did you ever receive hostile or friendly fire in a war zone?''

1--Yes
0--No
88--Don't know
99--Refused

    Q: ``What branch of the military did you serve in?''

1--Army
2--Air Force
3--Navy
4--Marines
5--Other
88--Don't know
99--Refused

    Q: ``What type of discharge did you receive?''

1--Honorable
2--General
3--Medical
4--Bad Conduct
5--Dishonorable
6--Other
88--Don't know

[[Page 43448]]

99--Refused

3.13 Services Received
    Rationale: To determine the services provided during a program stay 
and their outcomes. Some funders may want information on service 
receipt as a performance measure, and service receipt may also be 
useful to CoCs to identify service gaps.
    Data Collection Methods: Recorded by staff.
    When Data are Collected: At or immediately after an assessment 
interview, at appropriate points during the program stay, and at 
program exit. Needed to complete Annual Progress Reports for certain 
HUD McKinney-Vento Act programs.
    Subjects: All adults and children served.
    APR-Required Response Categories:
    For each service encounter, the following information should be 
recorded:
1. Date of Service
----/----/-------- (example: 01/31/2002)(Month) (Day) (Year)
2. Encounter Type
1--Referral
2--Service Provided
3. Type of Service Provided
    Use service codes from: A Taxonomy of Human Services: A Conceptual 
Framework with Standardized Terminology and Definitions for the Field, 
1994.
    Special Issues: The Taxonomy is a classification system for human 
services that has been adopted by information and referral programs, 
libraries, crisis lines, and other programs throughout the United 
States. It features a five-level hierarchical structure that contains 
4,300 terms that are organized into 10 basic service categories and a 
separate target group section. The Taxonomy provides a common language 
for human services, ensuring that people have common terminology for 
naming services, agreements regarding definitions for what a service 
involves, and a common way of organizing service concepts. The taxonomy 
is co-published by the Alliance of Information and Referral Systems 
(AIRS) and INFO LINE of Los Angeles. For more information visit http://www.airs.org.
3.14 Destination
    Rationale: Destination is an important outcome measure.
    Data Collection Method: Interview or self-administered form.
    When Data Are Collected: At program exit. Needed to complete Annual 
Progress Reports for certain HUD McKinney-Vento Act programs.
    Subjects: All adults and children served by the program.
    Recommended Questions and APR-Required Response Categories:
    Q: ``After you leave this program, where will you be living?''

1--Emergency shelter
2--Transitional housing for homeless persons
3--Permanent housing for formerly homeless persons
4--Psychiatric facility
5--Substance abuse treatment facility
6--Hospital
7--Jail
8--Prison
9--Hotel or motel
10--Foster care home
11--Own room, apartment, or house
12--Living with someone else (family and friends)
13--A car or other vehicle
14--An abandoned building
15--At a transportation site (bus station, airport, subway station, 
etc.
16--Anywhere outside (streets, parks, campgrounds, cardboard boxes, 
etc.)
17--Other
88--Don't know
99--Refused

    Q: ``Is this move permanent (more than 90 days) or temporary?''

1--Permanent
2--Temporary
88--Don't know
99--Refused

    Q: [For staff only]: Did your agency provide assistance for this 
move?

0--No
1--Yes
88--Don't know

    Special Issues: Programs may choose to ask additional questions 
such as the reason for the client's departure, or whether upon leaving 
the program the client will be reuniting with other family members who 
have not been with them during the program stay.
3.15 Follow-Up After Program Exit
    Rationale: Follow-up after program exit provides for important 
outcome measurements.
    Data Collection Method: Interview or self-administered form.
    When Data are Collected: Timing of follow-up is at the discretion 
of the local program. Needed to complete Annual Progress Reports for 
certain HUD McKinney-Vento Act programs.
    Subjects: All adults served by the program.
    Questions and Response Categories: Obtain follow-up information on 
six data elements previously described in this notice:
    [sbull] 3.1 Income and Sources
    [sbull] 3.2 Non-Cash Benefits
    [sbull] 3.10 Education
    [sbull] 3.11 Employment
    The system should provide for changes in household composition at 
the time of the follow-up data collection--in particular, for dropping 
individuals from the household record or recording the addition of 
adults or children to the household. Changes in household composition 
can lead to changes in several of the required follow-up data elements, 
particularly a household's income and types of income sources.
    Read names of members of household at exit and then ask:
    Q: ``Are they all living with you now?''

0--No
1--Yes
88--Don't know
98--Not applicable
99--Refused

    If not all living with person, ask:
    Q: ``Who is not?'' (list all separately)

-----------------------------------------------------------------------
(example: John David Doe, Jr.)

88--Don't know
99--Refused

    Q: ``Does anyone else live with you now?''

0--No
1--Yes
88--Don't know
99--Refused

    If there are additional members, ask:
    Q: ``How many new additional adults?''

------

    Q: ``How many new additional children?''

------

    Staff: For each time a follow-up interview occurs, when did the 
interview happen?

----/----/--------(example: 01/31/2002) (Month) (Day) (Year)

88--Don't know
3.16 Children's Education
    Rationale: To determine if homeless children and youth have the 
same access to free, public education, including public preschool 
education, that is provided to other children and youth. It can also 
serve as an important outcome measure. These questions were developed 
in consultation with the U.S. Department of Education.
    Data Collection Methods: Interview or observations of program 
staff.
    When Data are Collected: Upon initial program entry or as soon as 
possible thereafter, program exit, and during periodic follow-up.

[[Page 43449]]

    Subjects: All children between 5 and 17 years of age.
    Question and Response Categories:
    Q: ``Is [name of child] currently enrolled in school?''

1--Yes
0--No
88--Don't know
98--Not applicable
99--Refused

    If child is currently enrolled in school, ask:
    Q: ``What is the name of the child's school(s)?''

----------
88--Don't know
98--Not applicable
99--Refused

    Q: ``What type of school is it? Is it a public or private school?'

1--Public school
2--Parochial or other private school
88--Don't know
98--Not applicable
99--Refused

    If child is currently not enrolled in school, ask:
    Q: ``When was [name of child] last enrolled in school?'' (use ``X'' 
for missing numbers)

----/----/--------(example: 01/31/2002, or 01/XX/2002) (Month) (Day) 
(Year)

88--Don't know
98--Not applicable
99--Refused

    If child is currently not enrolled in school, ask:
    Q: ``I'm going to read a list of problems that you may have had 
getting your child into a school. Please tell me if you have 
experienced any of these problems for [name of child].''

[Ask each. Code each response as: 0--No; 1--Yes; 88--Don't know; 98--
Not applicable; 99--Refused]

a. Residency requirements
b. Availability of school records
c. Birth certificates
d. Legal guardianship requirements
e. Transportation
f. Lack of available preschool programs
g. Immunization requirements
h. Physical examination records
i. Other

    Special Issues: If only the month and year of the last enrollment 
date is known, the HMIS application should record the day as ``01.'' 
One date-format field for last enrollment date should be created by the 
HMIS application.
    Programs may choose to obtain additional information related to 
children's education, such as the number of school days missed over a 
specific period of time and the barriers to school attendance.
3.17 Other Children's Questions
Child's Physical Disability
    Q: ``Do you consider [name of child] to be physically disabled?''

0--No
1--Yes
88--Don't know
99--Refused
Child's Developmental Disability
    Q: ``Has [name of child] ever received benefits or services (such 
as an income supplement or special education classes) for a 
developmental disability?''

0--No
1--Yes
88--Don't know
99--Refused
Child's General Health Status
    Q: ``Compared to other children [name of child's] age, would you 
say [name of child's] health is excellent, very good, good, fair, or 
poor?''

1--Excellent
2--Very Good
3--Good
4--Fair
5--Poor
88--Don't know
99--Refused
Services Received
    Record all services received by children, including the date and 
type of service (see 3.13 above).
Destination
    Upon leaving the program, the following question should be asked 
about each child who has been with the adult client in the program.
    Q: ``Will [name of child] be staying with you?''

0--No
1--Yes
88--Don't know
98--Not applicable
99--Refused

    If child will not be staying with the person, then ask:
    Q: ``In what kind of place will [name of child] be staying?''

1--Residence of other parent
2--Residence of friends or family (excluding other parent)
3--Foster care home
4--Child care residential institution
5--Runaway facility
6--Substance abuse treatment facility
7--Psychiatric facility
8--Juvenile detention center
9--Hospital
10--Anywhere outside (streets, parks, campgrounds, cardboard boxes, 
etc.)
11--Other

                                     Summary of Program--Level Data Elements
----------------------------------------------------------------------------------------------------------------
                                                                                        Data entry or computer-
           Data standards                     Subjects            Required for APR?            generated
----------------------------------------------------------------------------------------------------------------
Income and Sources..................  Adults and Children....  Yes...................  Data Entry.
Non-Cash Benefits...................  Adults and Children....  Yes...................  Data Entry.
Physical Disability.................  Adults and Children....  Yes...................  Data Entry.
Developmental Disability............  Adults and Children....  Yes...................  Data Entry.
General Health Status...............  Adults and Children....  No....................  Data Entry.
Pregnancy Status....................  All Adult Females......  No....................  Data Entry.
HIV/AIDS Status.....................  Adults.................  Yes...................  Data Entry.
Behavioral Health Status............  Adults.................  Yes...................  Data Entry.
Domestic Violence...................  Adults.................  Yes...................  Data Entry.
Education...........................  Adults.................  No....................  Data Entry.
Employment..........................  Adults.................  Yes...................  Data Entry.
Veterans............................  Adults.................  No....................  Data Entry.
Services Received...................  Adults and Children....  Yes...................  Data Entry.
Destination.........................  Adults and Children....  Yes...................  Data Entry.
Follow-up After Program Exit........  Adults and Children....  Yes...................  Data Entry.
Children's Education................  Children...............  No....................  Data Entry.
Other Children's Questions..........  Children...............  No....................  Data Entry.
----------------------------------------------------------------------------------------------------------------


[[Page 43450]]

4. Standards for Data Confidentiality and Security

    This section describes standards for the security of data collected 
and stored in HMIS at a local program or at a central storage facility, 
and the rights of individuals who are participating in the HMIS to have 
personal information kept secure. The intent of this section is to 
ensure the privacy and confidentiality of information collected by 
HMIS, while allowing for the use of data as needed by homeless 
assistance programs, CoCs and researchers. The information contained in 
this section of the notice is based upon common practice and standards 
within the information technology community, as well as in large 
measure upon the HIPAA (Health Insurance Portability and Accountability 
Act of 1996) standards for securing and protecting private medical 
information.
    This section describes the minimum standards required by federal 
law. State and local laws may require confidentiality and security 
standards beyond those described in this notice. Local CoCs may also 
develop additional protocols or policies to further ensure the privacy 
and confidentiality of information collected through HMIS.
4.1 Protected Personal Information
    This section identifies specific types of information that are 
considered protected personal information.
    Any information that can be used to identify a particular 
individual is protected personal information. An HMIS user for these 
purposes is defined as program staff (or trained volunteers) and CoC 
system administrators who use the HMIS. A developer is defined for 
these purposes as both the individuals and organization responsible for 
developing the HMIS and any functionality that is built into HMIS. HMIS 
users and developers should consider the following to be protected 
personal information of an individual and his or her relatives, 
employers, or household members:
    [sbull] Names.
    [sbull] All geographic subdivisions smaller than a state, including 
street address, city, county, precinct, zip code, and their equivalent 
geocodes.
    [sbull] All elements of dates (except year) directly related to an 
individual, including birth date, admission date, discharge date, and 
date of death.
    [sbull] Telephone numbers.
    [sbull] Social Security numbers.
    [sbull] Medical record numbers.
    [sbull] Vehicle identifiers and serial numbers, including license 
plate numbers.
    [sbull] Device identifiers and serial numbers.
    [sbull] Any other unique identifying number, characteristic, or 
code.
    The HMIS user or developer must not use any other data element to 
identify an individual. Any other data element that can be used to 
identify an individual is considered protected personal information.
4.2 Securing HMIS and Data
    This section describes the standards for system and application 
security.
System Security
    Applicability. These system security provisions apply to the 
systems where the HMIS application is installed (networks, desktops, 
laptops, mini-computers, mainframes and servers).
    User authentication. HMIS workstations and server shall be secured 
with, at a minimum, a user authentication system consisting of a 
username and a password. Passwords shall be at least eight characters 
long and meet industry standard complexity requirements, including, but 
not limited to, the use of at least one of each of the following kinds 
of characters in the passwords: Upper and lower-case letters, and 
numbers and symbols. Passwords shall not be, or include, the username, 
the HMIS name, or the HMIS vendor's name. In addition, passwords should 
not consist entirely of any word found in the common dictionary or any 
of the above spelled backwards. The use of default passwords on initial 
entry into the HMIS application is allowed so long as the application 
requires that the default password be changed on first use.
    Written information specifically pertaining to user access (e.g., 
username and password) shall not be stored or displayed in any publicly 
accessible location.
    Virus protection. HMIS workstations and server shall be protected 
from viruses by commercially available virus protection software. Virus 
protection must include automated scanning of files as they are 
accessed by users on the system where the HMIS application is housed.
    Firewalls. HMIS workstations and server shall be protected from 
malicious intrusion behind a secure firewall.
    Public access. HMIS data shall not be housed on computers with 
public access to any part of the computer through the Internet, modems, 
bulletin boards, public kiosks, or similar arenas. HMIS that use such 
public forums for data collection or reporting must be secured to allow 
only connections from previously approved computers and systems through 
Public Key Infrastructure (PKI) certificates, extranets that limit 
access based on the Internet Provider (IP) address, or similar means. 
Further information on these tools can be found in the HMIS Consumer 
Guide and the HMIS Implementation Guide, both available on HUD's 
website.
Physical Access to Systems With Access to HMIS Data
    Computers that are used to collect and store HMIS data shall be 
staffed at all times when in public areas. When workstations are not in 
use and staff are not present, steps should be taken to ensure that the 
computers and data are secure and not publicly accessible. These steps 
should minimally include: Logging off the data entry system, shutting 
down the computer, and storing the computer and data in a locked room.
Disaster Protection and Recovery
    HMIS data shall be copied on a regular basis to another medium 
(e.g., tape) and stored in a secure off site location where these same 
standards would apply. Ideally, off site storage shall include fire and 
water protection for the storage medium.
    HMIS that store data in a central server, mini-computer, or 
mainframe shall store the central hardware in a secure room with 
appropriate temperature control and fire suppression systems.
    Surge suppressors shall protect physical systems for collecting and 
storing the HMIS data.
Application Security
    Applicability. These application security provisions apply to how 
the data are secured by the HMIS application itself, during entry, 
storage and review, or any other HMIS function.
    User authentication. HMIS workstations and server shall be secured 
with, at a minimum, a user authentication system consisting of a 
username and a password. Passwords shall be at least eight characters 
long and meet industry standard complexity requirements, including, but 
not limited to, the use of at least one of each of the following kinds 
of characters in the passwords: Upper and lower-case letters, and 
numbers and symbols. Passwords shall not be, or include, the username, 
the HMIS name, or the HMIS vendor's name. In addition, passwords should 
not consist entirely of any word found in the common dictionary or any 
of the above spelled backwards. The use of default passwords on initial 
entry into the HMIS application is allowed so

[[Page 43451]]

long as the application requires that the default password be changed 
on first use.
    Written information specifically pertaining to user access (e.g., 
username and password) shall not be stored or displayed in any publicly 
accessible location.
    Electronic data transmission. MIS data that are electronically 
transmitted over publicly accessible networks or phone lines shall be 
encrypted to at least 128-bit encryption. Unencrypted data may be 
transmitted over secure direct connections between the two systems. A 
secure direct connection is one that can only be accessed by users who 
have been authenticated on at least one of the systems involved and 
does not utilize any tertiary systems to transmit the data.
    Electronic data storage. HMIS data shall be stored in a binary, not 
text, format. Protected personal information shall be stored in an 
encrypted format using at least a 128-bit key. This encryption must be 
done within the HMIS so that the data are not readable from outside the 
local HMIS application.
Hard Copy Security
    Applicability. This section is intended to provide standards for 
securing any hard copy that is either generated by or for HMIS, such as 
reports, data entry forms, and signed consents.
    Any paper or other hard copy generated by or for HMIS that contain 
individually identifiable information as defined in this standard must 
be under constant supervision by an HMIS user or developer when in a 
public area. When staff are not present, the information shall be 
secured in areas that are not publicly accessible.
    Written information specifically pertaining to user access (e.g., 
username and password) shall not be stored or displayed in any publicly 
accessible location.
4.3 Privacy of Protected Personal Information
    An HMIS user or developer may not use or disclose protected 
personal information except to the individual whose information it is 
or as permitted or required by this standard or by law.
Uses and Disclosures of Protected Personal Information Assumed by Entry 
Into the HMIS
    By providing data to HMIS user or developer for entry into HMIS, an 
individual provides oral assent to the uses described in the following 
section. Such assent should only be assumed if the individual has been 
advised how he or she could benefit by providing the requested 
information, how the data will be protected, and how the data will be 
used.
    An HMIS user or developer may use or disclose protected personal 
information without the written consent of the individual in situations 
specified in this notice, subject to the notice's applicable 
requirements. When the HMIS user or developer is required to inform the 
individual of, or when the individual may agree to a permitted use or 
disclosure, oral announcement is sufficient.
    Uses and disclosures for administrative purposes. A CoC system 
administrator or developer may use or disclose protected personal 
information to program staff within the same program so they may 
perform necessary administrative functions (e.g., ensure data integrity 
and create an unduplicated count of homeless persons). For the purpose 
of creating an unduplicated count within a CoC in which data are 
accessible across programs, the CoC may decide that oral consent is not 
sufficient. This notice neither requires nor prohibits the sharing of 
client information among programs in the CoC, but does require that 
local policy regarding information sharing be established and that 
either client notification or written consent be provided for in the 
event that information is shared.
    Uses and disclosures for academic research purposes. An HMIS user 
or developer may use or disclose protected personal information to 
individuals performing academic research who have a formal relationship 
with a local program or CoC. Such research would be conducted either by 
an individual employed by the program, so long as the research has been 
approved by a program administrator, or by an outside institution that 
has entered into a research agreement with the program or CoC. Such 
data are to be used within the boundaries set by an approved research 
agreement. Such approvals do not substitute for Institutional Review 
Board (IRB) approvals, and researchers should seek appropriate IRB 
approvals.
    Use for creating de-identified information. An HMIS user or 
developer may use protected personal information to create information 
that is not individually identifiable or disclose protected personal 
information to a third party to be used only for such purpose, whether 
or not the de-identified information is to be used by the HMIS user or 
developer.
    Uses and disclosures required by law. An HMIS user or developer may 
use or disclose protected personal information to the extent that law 
requires such use or disclosure and the use or disclosure complies with 
and is limited to the relevant requirements of such law.
    Disclosures about victims of abuse, neglect, or domestic violence. 
Consistent with applicable law and standards of ethical conduct, an 
HMIS user or developer may disclose protected personal information 
about an individual who is reasonably believed to be a victim of abuse, 
neglect, or domestic violence to a government authority (including a 
social service or protective services agency) authorized by law to 
receive reports of such abuse, neglect, or domestic violence. 
Disclosures to other entities are permissible only if the individual 
agrees to such disclosure.
    Uses and disclosures to avert a serious threat to health or safety. 
An HMIS user or developer may, consistent with applicable law and 
standards of ethical conduct, use or disclose protected personal 
information if the HMIS user or developer, in good faith, believes the 
use or disclosure is necessary to prevent or lessen a serious and 
imminent threat to the health or safety of a person or the public and 
is made to a person or persons reasonably able to prevent or lessen the 
threat, including the target of the threat.
    Uses and disclosures about decedents.
    [sbull] Coroners and medical examiners. An HMIS user or developer 
may disclose protected personal information to a coroner or medical 
examiner for the purpose of identifying a deceased person, determining 
a cause of death, or other duties as authorized by law.
    [sbull] Funeral directors. An HMIS user or developer may disclose 
protected personal information to funeral directors, consistent with 
applicable law, as necessary to carry out their duties with respect to 
a decedent. If necessary for funeral directors to carry out their 
duties, the HMIS user or developer may disclose the protected personal 
information prior to, and in reasonable anticipation of, the 
individual's death.
    Disclosures for law enforcement purposes. An HMIS user or developer 
may, consistent with applicable law and standards of ethical conduct, 
disclose protected personal information for a law enforcement purpose 
to a law enforcement official. Such disclosure should meet only the 
minimum standards necessary for the law enforcement official's 
immediate purpose and not disclose information about other individuals 
within the program or CoC not specifically required by that purpose. A 
court order or search warrant may be required for

[[Page 43452]]

the disclosure of information about an individual in an HMIS. Such 
orders are restricted only to the individual(s) identified in the court 
order.
    Disclosures for national security and intelligence activities. An 
HMIS user or developer may disclose protected personal information to 
authorized federal officials for the conduct of lawful intelligence, 
counter-intelligence, and other national security activities authorized 
by the National Security Act (50 U.S.C. 401, et seq.) and implementing 
authority (e.g., Executive Order 12333).
    Disclosures for protective services for the President and others. 
An HMIS user or developer may disclose protected personal information 
to authorized federal officials for the provision of protective 
services to the President or other persons authorized by 18 U.S.C. 
3056, or to foreign heads of state or other persons authorized by 22 
U.S.C. 2709(a)(3), or for the conduct of investigations authorized by 
18 U.S.C. 871 and 879.
Uses and Disclosures of De-Identified Protected Personal Information
    Information that meets the standard and implementation 
specifications for de-identification or has been aggregated is 
considered not to be individually identifiable information and, 
therefore, is not protected personal information. In order to meet this 
standard, none of the information listed in this notice as being part 
of the protected personal information may be included in the de-
identified data. The restrictions concerning disclosure in this notice 
do not apply to information that has been de-identified in accordance 
with the applicable requirements, provided that there is no disclosure 
of a code or other means of record identification designed to enable 
coded or otherwise de-identified information to be re-identified. If 
de-identified information is re-identified, an HMIS user or developer 
may use or disclose such protected personal information only as 
permitted or required by this notice.
Re-Identification
    An HMIS user or developer may assign a code or other means of 
record identification to allow information de-identified under this 
notice to be re-identified by the HMIS user or developer, provided 
that: The code or other means of record identification is not derived 
from or related to information about the individual and is not 
otherwise capable of being translated so as to identify the individual; 
and the HMIS user or developer does not use or disclose the code or 
other means of record identification for any other purpose, and does 
not disclose the mechanism for re-identification.
Consent for Other Uses or Disclosures of Private Information
    An HMIS user or developer must obtain the individual's consent 
prior to using or disclosing protected personal information. A consent 
form must:
    [sbull] Be stated in plain language;
    [sbull] Include full disclosure of all the ways in which otherwise 
protected personal information might be used;
    [sbull] State that the terms of its notice may change and describe 
how the individual may obtain a revised notice;
    [sbull] State that the HMIS user or developer is not required to 
agree to additional restrictions that may be requested by the 
individual;
    [sbull] Indicate that if the HMIS user or developer agrees to a 
requested restriction, the restriction is binding on the HMIS user or 
developer;
    [sbull] State that the individual has the right to revoke the 
consent in writing, except to the extent that the HMIS user or 
developer has taken action in reliance thereon; and,
    [sbull] Be signed and dated by the individual.
1.1 Notice of Privacy Practices for Protected Personal Information
    An individual has a right to adequate notice of the uses and 
disclosures of protected personal information that may be made by the 
HMIS user or developer, and of the individual's rights and the HMIS 
user or developer's legal duties with respect to protected personal 
information.
    The notice should be prominently displayed in the program offices 
where intake occurs.
    The HMIS user or developer must promptly revise and distribute its 
notice whenever there is a substantive change to the uses or 
disclosures, the individual's rights, the HMIS user or developer's 
legal duties, or other privacy practices stated in the notice. Except 
when required by law, a substantive change to any term of the notice 
may not be implemented before the effective date of the notice in which 
a substantive change is reflected.
    An HMIS user or developer must maintain documentation of compliance 
with the notice requirements by retaining copies of the notices issued 
by the HMIS user or developer.
    The individual has the right to obtain a paper copy of the notice 
from the HMIS user or developer upon request.
    An inmate does not have a right to notice, and the requirements of 
this notice do not apply to a correctional institution that is an HMIS 
user.
Content of Notice
    The HMIS user or developer must provide a notice that is written in 
plain language and that contains the elements required by this section. 
These elements are not exclusive, and either oral or written notice may 
inform the individual of the uses of information that may help provide 
service or otherwise benefit the individual.
    [sbull] The following statement as a header or otherwise must be 
prominently displayed: ``THIS NOTICE DESCRIBES HOW INFORMATION ABOUT 
YOU MAY BE USED AND DISCLOSED AND HOW YOU CAN GET ACCESS TO THIS 
INFORMATION. PLEASE REVIEW IT CAREFULLY.''
    [sbull] A description of each of the purposes for which the HMIS 
user or developer is permitted or required by this notice to use or 
disclose protected personal information without the individual's 
written consent or authorization. These include administrative, 
programmatic, and academic research purposes.
    [sbull] If a use or disclosure is prohibited or materially limited 
by other applicable law, the description of such use or disclosure must 
reflect the more stringent law.
    [sbull] A statement that other uses and disclosures will be made 
only with the individual's written authorization and that the 
individual may revoke such authorization.
    [sbull] A statement of the individual's rights with respect to 
protected personal information and a brief description of how the 
individual may exercise these rights.
    [sbull] A statement that the HMIS user or developer is required by 
law to maintain the privacy of protected personal information and to 
provide individuals with notice of its legal duties and privacy 
practices with respect to protected personal information.
    [sbull] A statement that the HMIS user or developer is required to 
abide by the terms of the notice currently in effect.
    [sbull] A statement that reserves the right to change the terms of 
this notice and to make the new notice provisions effective for all 
protected personal information that it maintains. The statement must 
also describe how it will attempt to provide individuals with a revised 
notice.
    [sbull] A statement that individuals may complain to the HMIS user 
or developer if they believe their privacy rights have been violated.

[[Page 43453]]

    [sbull] A brief description of how the individual may file a 
complaint with the HMIS user or developer.
    [sbull] A statement that the individual will not be retaliated 
against for filing a complaint.
    [sbull] The name, or title, and telephone number of a person or 
office to contact for further information.
    [sbull] The date on which the notice is first in effect, which may 
not be earlier than the date on which the notice is printed or 
otherwise published.
4.5 Rights To Request Privacy Protection for Protected Personal 
Information
Access of Individuals to Protected Personal Information
    An individual has a right of access to inspect and obtain a copy of 
his/her own protected personal information in a record set, for as long 
as the protected personal information is kept, except for information 
compiled in reasonable anticipation of, or for use in, a civil, 
criminal, or administrative action or proceeding. The individual also 
has the right to correct protected personal information (such as name 
and date of birth) when that information is inaccurate.
    An HMIS user or developer must permit individuals to request and 
must accommodate reasonable requests by individuals to receive 
communications of protected personal information from the HMIS user or 
developer by alternative means or at alternative locations.
Accounting of Disclosures of Protected Personal Information
    An individual has a right to receive an accounting of disclosures 
of protected personal information made by an HMIS user or developer in 
the six years prior to the date on which the accounting is requested, 
except for disclosures for national security or intelligence purposes 
or to correctional institutions or law enforcement officials.
    The HMIS user or developer must temporarily suspend an individual's 
right to receive an accounting of disclosures to a health oversight 
agency or law enforcement official, for the time specified by such 
agency or official, if the agency or official provides the HMIS user or 
developer with a written statement confirming that such an accounting 
would impede the agency's activities. The notification should specify 
the time for which such a suspension is required.
4.6 Administrative Requirements
Local Protocol
    A CoC system administrator is required to have a written policy 
governing its use and disclosure of information collected by HMIS. This 
policy should address the specifics of how use and disclosure decisions 
will be made and who will make them and with what documentation, as 
well as the specifics of how the data security standard will be met. 
These decisions should include who will have access to HMIS data and 
the level of access granted to each user. The policy should also 
address grievance procedures and penalties for non-compliance. Examples 
of such policies are discussed in the HMIS Implementation Guide 
available on HUD's Web site.
    To test system and application security, a CoC system administrator 
is encouraged to periodically conduct penetration testing, a procedure 
which is also described in the Implementation Guide.
Local Policies
    A CoC system administrator or developer who has instituted policies 
in addition to those listed in this notice must maintain a written copy 
detailing any and all additions and specifications beyond the content 
of this notice. Such written policy must be distributed to all staff 
and included as an additional notice for individuals affected.
Safeguards
    A CoC system administrator or developer must have in place 
appropriate administrative, technical, and physical safeguards to 
protect the privacy of protected personal information including, but 
not limited to, those described in this notice and required by law.
Training
    A CoC system administrator user or developer must provide 
orientation and ongoing training to all of its staff on the policies 
and procedures relating to protected personal information sufficient 
for staff to carry out their functions.

5. Technical Standards

    This section presents the technical standards that will be required 
for HMIS applications and for the CoCs responsible for storing HMIS 
data. Except as otherwise provided, these standards do not specify or 
recommend any particular operating system, development environment, 
networking environment, database, hardware, or other aspect of the HMIS 
application. This part of the notice is primarily directed to HMIS 
developers and CoC system administrators.
5.1 Required HMIS Capabilities
Automatic Generation of Identification Numbers and Information
    Based on the data collected through program staff interviews or 
self-administered forms, the HMIS application must be capable of 
automatically generating data for each record. This capability includes 
the automatic generation of:
    (1) Unique personal identification numbers (PINs) for persons who 
have not been previously served within the CoC, and re-assignment of 
PINs for persons who have been served previously within the CoC;
    (2) Household identification numbers for persons who have been 
identified as members of a household that participated in the same 
program event;
    (3) Program identification information that is uniquely associated 
with each program within a CoC and is assigned to every program event; 
and,
    (4) A program event number that distinguishes each episode of 
program utilization.
Personal Identification Numbers (PINs)
    PIN is a number randomly and automatically generated by the HMIS 
application. All records associated with the same person should be 
assigned the same PIN. The PIN is used to produce an unduplicated count 
of all persons within a CoC.
    HMIS must be capable of searching the entire CoC database (whether 
or not data are shared across programs within a CoC) to determine if 
clients have been previously served. The search must involve the 
matching of client records using personal identifier fields (e.g., 
Name, Social Security Number, Date of Birth, and Gender) to retrieve a 
record(s) with identical or similar values in each of these fields.
Household Identification Numbers
    HMIS must generate the same household identification number for 
every person designated by program staff as being together for an 
episode of service (i.e., program event). The household identification 
numbers assigned will be maintained in each person's permanent record 
and will be unique for each program event experienced by the client.
    As discussed in Parts 2 and 3 of this notice, when a group of 
persons apply for services together (as a household or family), 
information is first asked of the household head who is applying for 
services and then information is

[[Page 43454]]

requested from him/her about any children under 18 years of age who are 
applying for services with the household head. The children do not need 
to be present at the time the household head applies for services. The 
same household identification number is assigned to the adult head of 
household and any children who have been identified as applying for 
services with the head. If there are other adult members of the 
household (over 18 years of age) who are reported to be part of this 
household, a separate intake is conducted. As part of this intake, this 
individual is assigned the same household identification number as the 
other household members.
Program Identification Information
    Program identification information for every program offered in a 
CoC consists of the following four fields:
    [sbull] Federal Information Processing System (FIPS) Code. To find 
the 10-digit FIPS code consisting of 2-digit state code, 3-digit county 
code, and 5-digit place code: (1) Go to website http://geonames.usgs.gov/fips55.html; (2) Click on ``Search the FIPS55 Data 
Base''; (3) Click on state from ``State Number Code'' pull down menu 
(this also tells you 2-digit state code); (4) Type town or city name in 
``Fips55 Feature Name'' box; and (5) Click on ``Send Query'', and 3-
digit county code and 5-digit place code will be shown.
    [sbull] Facility Code (to be locally determined)
    [sbull] Continuum of Care (CoC) Code (HUD-assigned)
    [sbull] Program Type Code:

0--Not applicable
1--Street outreach
2--Emergency shelter (e.g., facility or vouchers)
3--Transitional housing
4--Permanent supportive housing
5--Homeless prevention (e.g., security deposit or one month's rent)
6--Services-only type of program
7--Other

    The FIPS code, facility code, CoC code, and program type code may 
be separate fields in the HMIS application. There is no requirement to 
merge them into a single field.
    For each client intake, staff are only required to enter the 
program type code. Programs may choose to provide more detailed 
response categories for the services-only type program response. 
However, staff must be able to collapse these detailed categories into 
a single service-only type category. A corresponding FIPS code, 
facility code, and CoC code should be automatically generated by the 
HMIS. Once program identification information has been created, the 
HMIS must ensure that the information is associated with every program 
event recorded within the CoC.
Program Event Numbers
    The HMIS application should generate unique codes for every program 
event occurring within the CoC. This will enable the system to 
distinguish episodes of service that occur on the same date and within 
the same program (e.g., two counseling sessions conducted on the same 
day).

Missing Value Categories

    Don't know, not applicable, and refused response categories 
specified for close-ended questions should appear on the same list as 
the valid responses. For open-ended questions (e.g., name or the name 
of the child's school), the HMIS application should include the don't 
know, not applicable, and refused response categories for each field in 
the data element (e.g., first name, last name, middle initial, and 
suffix).

Other Response Categories

    Certain data elements may contain a response category labeled 
``other.'' When a data element contains such an option, there should 
also be, within the same database table, a separate alphanumeric field 
where the other value may be entered by program staff. For instance, a 
coded field that accepts the values 0-Red, 1-Yellow, 9-Other should 
have an accompanying field that accepts open-ended answers such as 
tangerine, blue, or magenta. The analysis of such data will allow the 
standard to adapt to include codes for common answers to questions that 
may not have been anticipated within the current standard.

Data Export

    Although a standard environment is not specified, any HMIS 
application must be capable of exporting any and all data collected 
into a comma-separated values text file using the following format:
    [sbull] All fields in a given record are separated by a comma;
    [sbull] All records within a given text file contain the same 
fields;
    [sbull] Blank fields are signified by the comma ending the previous 
field (or the beginning of the line if the field is the first in the 
record) followed by a comma indicating the end of the empty field;
    [sbull] Fields containing text information (as opposed to numeric) 
will be surrounded by double quotes whenever the field includes blank 
spaces, commas, or other symbols not part of the standard alphabet;
    [sbull] The first line of the file shall be a list of the field 
names included in every record in the file; and
    [sbull] The list of field names shall be in the same format 
described above.
5.2 Continuum of Care Requirements

Storage Requirements

    The CoC must have or designate a central coordinating body that 
will be responsible for centralized collection and storage of HMIS 
data.
    HMIS data must be collected to a central location at least once a 
year from all HMIS users within the CoC.
    HMIS data must be stored at the central location for a minimum of 
seven years after the date of collection by the central coordinating 
body or designee of the CoC.
5.3 Anonymous Data Collection
    An anonymous data record is a record that does not provide 
sufficient (or any) of the protected personal identifiers to uniquely 
identify the individual in the record. Certain types of service 
providers, especially those dealing with victims of domestic violence, 
occasionally use anonymous records to protect a client's privacy and 
safety. Some HMIS collect anonymous data and assign a system-generated 
ID to the individual for the purposes of tracking a client's history of 
services. Other HMIS simply accept anonymous data and do not attempt to 
associate previously collected data with the data from the current 
event.
    This notice does not preclude the collection of anonymous data 
within HMIS. It is important to note, however, that there are several 
important shortcomings associated with the collection of anonymous 
data. Anonymous data are nearly impossible to be-duplicated at any 
level. Also, depending on the amount of data collected for the 
anonymous client, there may be little practical use for the data, 
except to count intakes within a particular program.

    Dated: July 16, 2003.
William H. Eargle,
Deputy Assistant Secretary for Operations, Office of Community, 
Planning and Development.
[FR Doc. 03-18505 Filed 7-17-03; 2:52 pm]
BILLING CODE 4210-29-P