HOPWA 101Data Collection & Reporting

Requirements

Presented by the Office of HIV/AIDS Housing & The QED Group LLCSeptember 21, 2004

HOPWA 101 Web Broadcast Overview

HOPWA Reporting Requirements

Reporting Tools

Client Outcomes: The Future of HOPWA Reporting

Results Matter–Achievements

78,000 special needs households assisted

Collaborations with 500+ nonprofits, 117 city/state grantees and 85 competitive grants

Funds expended with leveraged resources at $2.05 for each HOPWA dollar

Nationwide program

Results Matter—Partnerships

Local discretion within eligible activities Targeted assistance with flexible design

Connections to serve the whole client in supportive housing with access to healthcare support

Evaluations and technical support

Results Matter—Planning

Create balance within HIV housing continuums, including

-- Help towards self sufficiency -- On-going care, as needed

Model projects address clients with multiple diagnoses, post-incarcerated, chronic homeless, rural, colonias

Results Matter—Special Features

Outreach and engagement with clients Assessments of special needs

Housing and service plan addresses individual challenges, ongoing housing connections and access to benefits

Results Matter—Housing

Annual project outputs in:

Short-term Rent, Mortgage & Utility Payments (46,000 households)

Rental Assistance (27,000 households)

Housing Facilities (5,000 units)

Results Matter—Clients

Focus on client outcomes in 2004-2005

Housing stability

Reduced risks of homelessness

Improved access to care

Results Matter—Accountability

Focus on project oversight: Documentation of eligibility for clients and activities Correct rent payments under new FMR and annual

income updates Timeliness in expenditures and accuracy in reports

PART I:

HOPWA Reporting

Requirements

HOPWA Reporting Requirements

•Formula grantee overview

•Competitive grantee overview

•Common errors

Why is data reporting so important?

Congressional inquiries– Reports to GAO and Congress– Budget Requests

Accurate data informs policymakers– GPRA requirements and PART reviews

Ability to analyze data for FO & grantee management reviews

Public information & client access

Section A:

Formula Grantee Reporting Requirements

Formula Grantee Overview

CAPER

IDIS

Executive Summary

*Note: Performance reports are due 90 days after close of grantee’s program year

Consolidated Annual Performance and Evaluation Report (CAPER) Required for all formula grantees Coordinate with Field Offices to review report

before submission to HQ CAPER includes two parts:

– Grantee Narrative on Results & Barriers– Housing Assistance Accomplishment Data

Chart 1: Actual Performance Chart 2: Compare to Planned Actions

CAPER Chart 1

CAPER Chart 1: Column Terminology

HOPWA Units/Funds: Number of HOPWA units supported with HOPWA funds (households)

“Grantee and Other Funds” Units/Funds: Number of units supported with non-HOPWA sources

Deduction for Units Reported in More than One: If more than one funding source is used for a unit, indicate deduction so number of units is not duplicated

CAPER Chart 2

Common Errors in Performance Reporting: CAPER

Actual Performance (Chart 1):– Number of units with grantee and other funds is leveraged units, not

HOPWA-assisted units.– Amount of grantee and other funds is leveraged dollar amounts, not

HOPWA-dollar amounts.– Deductions for units reported in more than one column (if leveraged

funds are used) need to be subtracted from the total type of unit.

Comparison to Planned Actions (Chart 2):– Planning numbers need to be reported.

CAPER Data Verification

Annual Data Verification– Data updated with IDIS information, including supportive

services, housing information, and admin costs to cover all program expenditures in year

– More detail provided in Section II: HOPWA Reporting Tools

Verified data posted on HUD website for public transparency

Questions?

Webcast participants, send questions to hudtv@hud.gov or call in to (202) 708-6073

After webcast, forward questions to hopwa@hud.gov

Visit HOPWA’s website for additional information and tutorials located at www.hud.gov

Integrated Disbursement and Information System (IDIS) Required for all formula

grantees Mainframe-based system

accessed via the Internet Drawdown of funds

expended Reports on proposed

activities, actual accomplishments, expenditure data and demographics on persons served

IDIS Overview

• Relation to CAPER

• Defining Projects and Activities

• Critical data elements

• Financial responsibilities

• Redesign pending, for internet interface, standard report features and updated program elements

Relation to CAPER

Yes! Grantees must enter data into IDIS

Captures additional elements (e.g. supportive service and beneficiary info)

IDIS is a tool to capture and aggregate data for HUD, grantee and public use

Tracks expenditures and specific accomplishments at activity level

The Structure of IDIS: Projects and Activities

anandd

ActivitiesActivities

ProjectsProjects

IDIS Projects

Serve as an organizational structure under which activities are set up in IDIS

Associate activities with grantee’s Consolidated Action Plan

Connect an activity to a specific plan year

IDIS Activities

Provide a way to report on work being done (accomplishments) under a project

Are the level where funds are committed and drawn as used

Allow for the tracking of expenditures

HOPWA Projects

Set up separate IDIS Project for each Grantee and each Project Sponsor

Links associated Activities to initial Consolidated Action Plan (allocation year)

Often span multiple years

HOPWA Activities

Defined by eligible HOPWA Activity (CFR 374.300) for associated Sponsor

Report annual accomplishments for a specific program year

Are closed out each year (pending IDIS redesign)

Defining IDIS Activities

Facility-Based Housing Facility-Based Non-Housing Short-Term Rent, Mortgage, and Utility Payments

(Scattered Site Housing) Tenant-Based Rental Assistance (Scattered Site) Supportive Services Housing Information Services Resource Identification Administration

Facility-Based Housing

Includes:– Acquisition, Rehabilitation, New Construction– Lease & Operating Costs– Technical Assistance for a community

residence/SRO dwelling– Project-Based Rental Assistance

Requires separate Activity for each site!

Grantee AdministrationGrantee Administration

Project #3City of San Diego (grantee)

Activity #662003 Administration

03 SupportiveServices$11,500

03 ST RentalAssistance$35,000

03 Admin$3,500

Project #1AIDS Housing of Anytown

IDIS Project for Sponsor

Multi-Year Projects

Each Activity reports for one year only Grantee reports, then closes out activity at

end of year Grantee sets up new activity with

unexpended funds under same Project (Sponsor)

Include year in Activity Name!

Multi-Year Program—Year 1

AIDS Housing of Anytown (2003)

03 Supportive Services($23,000)

03 Admin ($7,000)

03 Rental Assistance($70,000)

Multi-Year Programs—Year 2

AIDS Housing of Anytown (2003)

03 Rental Assistance($35,000)

03 Admin ($3,500)

04 Admin ($3,500)

04 Rental Assistance($35,000)

03 Supportive Services($11,500)

04 Supportive Services($11,500)

Critical Data Elements

Matrix Codes (31 series only!)

Accomplishment Codes

Accomplishment Screen (MA04)– Reporting Year– Accomplishment Narrative

Matrix Codes

HOPWA Grantees must use one of following:– 31A Grantee Activity– 31B Grantee Administration– 31C Project Sponsor Activity– 31D Project Sponsor Administration

Accomplishment Codes

Accomplishment Code HOPWA Activity10 – Housing Units (same as household assisted)

Facility-based housingTBRA (scattered site)Short-term rent, mortgage and

utility assistance

1 – People Supportive servicesFacility-based non-housing

9 – Organizations Resource identification

Accomplishment Screen (MA04)

Encourage grantees to… Accomplishment Code—use Housing Units when

possible! Report Year—type in correct Report Year! Accomplishment Narrative—include outcome if

possible

Questions?

Webcast participants, send questions to hudtv@hud.gov or call in to (202) 708-6073

After webcast, forward questions to hopwa@hud.gov

Visit HOPWA’s website for additional information and tutorials located at www.hud.gov

Section B:

Competitive Grantee Reporting Requirements

Competitive Grantee Overview

APR - Annual Progress Report

Executive Summary

*Note: Performance reports are due 90 days after close of grantee’s program year

Annual Performance Report Overview

Grantee Narrative (Exhibits A & B)– Overview of accomplishments– Barriers/recommendations

Client Demographics (Exhibits C & D) Program Expenditures (Exhibits E-H)

– Housing Assistance Expenditures Facility Based Scattered Site

– Supportive Service Expenditures

APR: Demographics

Number of persons and families assisted during the program year (Exhibit C)

Characteristics of persons receiving Housing Assistance during the Program Year (Exhibit D)

– family income, age, gender – racial and ethnic information– housing situation at entry into the program

APR: Program Expenditures

Summary of Program Expenditures (Exhibit E) Program Income/Sum of Expenditures/Admin Costs

Housing Assistance Expenditures (Exhibit G) Number of Units/Amount of Funds Spent

– Facility Based Housing Assistance– Scattered-Site Housing Assistance

Supportive Service Expenditures (Exhibit H) Amount spent on eligible supportive service activities

Common Errors in Performance Reporting: APR

Demographics (Exhibit C & D)

– The total number of persons receiving housing assistance, number 1-c, should equal total in Exhibit D demographic information, 1-a thru 1-d.

– Persons assisted with supportive services only should be reported in Exhibit C, number 3.

Common Errors in Performance Reporting: APR Program Expenditures (Exhibit E)

– Housing Assistance Expenditures (line 7) should equal sum of all facility based and scattered site housing expenditures reported in Exhibit G and G(a).

– Supportive Service Expenditures (line 8) should equal sum of all activity expenditures reported in Exhibit H.

– Over life of grant, grantee administrative costs cannot exceed 3% of the total grant award; Project sponsor administrative costs cannot exceed 7% of the total grant award.

Common Errors in Performance Reporting: APR

Housing Assistance Expenditures (Exhibit G)– Total expenditure data should equal the summary data total in

Exhibit E, line 7 (housing assistance expenditures).

Supportive Service Expenditures (Exhibit H)– Total expenditure data should equal the summary data total in

Exhibit E, line 8 (supportive service expenditures).– Supportive service activities must be broken down into eligible

activities categorized as Case Management, Outreach, etc. Do not lump expenditure information under “other” or “mixed”.

Section C:

Executive Summary

Executive Summary

Required of ALL HOPWA grantees

Concise narrative highlighting program activities (less than one page in length)

Submit Executive Summary with Performance Reports

Information posted on website for public use and client access

Questions?

Webcast participants, send questions to hudtv@hud.gov or call in to (202) 708-6073

After webcast, forward questions to hopwa@hud.gov

Visit HOPWA’s website for additional information and tutorials located at www.hud.gov

Part II:

HOPWA Reporting Tools

HOPWA Reporting Tools Overview

HOPWA Works! Grantee Reports

Formula Data Verification Worksheets

Reporting Tutorials

* Send updated information to hopwa@hud.gov

Function of HOPWA Reporting Tools

Help HQ and Field Offices track report submissions and maintain accurate records

Distributed quarterly from HQ or FOs

Encourage communication among HQ, FOs, and grantees

Identify grantees in need of technical support

Verified reports becomes public information

Section A:

HOPWA Works!Grantee Reports

HOPWA Works! Formula Grantee ReportCity of Anytown

Grantee HOPWA Contact85 Main Street Anytown, US 12206Phone: 222-445-0772 Fax: 222-445-0725E-Mail: grantee.contact@organization.orgData Deficiency Report (If Applicable)

Caper Due Caper Submission Funds Spent Year Of Last Exec Date 2000 2001 2002 2003 On Time Summ Submitted8/28/2004 Y Y Y N Y 2001

General Grants Comments:

•Snapshot of grantee reporting status

•Verify Contact and Reporting Information with Field Office

•Send updated information to hopwa@hud.gov

HOPWA Works! FormulaAccomplishment Data Legend• Data Deficiency Report

• Notes/Alerts from HQ on erroneous or deficient report submissions• CAPER Due Date• CAPER Submission

• “Y” indicates that it has been processed, “N” indicates that report has not been received, “-” indicates that report was not due

• Funds Spent on Time• 2002 allocation: 10-100% of funds should be spent• 2001 allocation: 25-100% of funds should be spent• 2000 allocation: 50-100% of funds should be spent

• Year of Last Executive Summary Submission

HOPWA Works!Competitive Grantee Report

Organization, Inc.HOPWA Grantee Contact24 Main StreetAnytown, US 01930Phone: 978-283-7874 Ext. Fax: 978-283-0523E-Mail: contact.name@organization.org

Grantee Data Deficiency Report

Renewal APR Due APR Submission Fund Spent Yr Last Exec Grant No Grants PGY Start PGY End Date 2001 2002 2003 on Time Summ SubmitUS-H020024 3/1/2003 3/31/2006 06/30 -- -- N Y Missing

•Snapshot of grantee reporting status

•Verify Contact and Reporting Information with Field Office

•Send updated information to hopwa@hud.gov

HOPWA Works! CompetitiveAccomplishment Data Legend Grantee Data Deficiency Report

– Notes/Alerts from HQ on erroneous or deficient report submissions Grant Number (R if renewed grant) Program Year coverage APR Due Date

– Reminder of Report Deadlines APR Submission Status

– “Y” indicates report has been received, “N” indicates report has not been received by HQ, “-” indicates report not due

Funds spent on time– Competitive grantees should spent approximately 1/3 total allocation each

year Year of last executive summary submission

Section B:

Data Verification Worksheets

Data Verification Worksheets:CAPER Information

Type of Unit:

Number of units with

HOPWA fundsAmount of

HOPWA funds

Number of units with Other

funds Amount of

Other funds

Deduction for units in more than one

columnTOTAL by type of unit

Housing Assistance (Data Source CAPER)1. Rental Assistance 638 $4,645,818.00 235 $498,909.00 235 6382. Short-term/emergency housing payments 215 $410,590.00 225 $70,249.00 215 2253-a. Units in facilities supported with operating costs

148 $565,889.00 281 $1,989,753.00 148 281

3-b. Units in facilities that were developed with capital costs and opened and served clients

17 $451,036.00 58 $5,998,560.00 17 58

3-c. Units in facilities being developed with capital costs but not yet opened

27 $1,036,733.00 27 $1,430,195.00 27 27

4. Subtotal 1045 $7,110,066.00 826 $9,987,666.00 642 12295. Deduction for units reported in more than one category

0 $0.00 0 $0.00 0 0

6. Housing Subtotal 1045 $7,110,066.00 826 $9,987,666.00 642 1229

Grantee Name: Anywhere, USA

7. Resource Identification/Technical Assistance (Data Source IDIS)

$0.00

8. Supportive Services (Data Source IDIS)a. Outreach $0.00b. Case Management $1,327,367.00c. Life Management $92,296.00d. Nutritional Services/Meals $923,711.00e. Adult Day Care and Personal Assistance $2,098,922.00f. Child Care and other Children's Services $0.00g. Education $0.00h. Employment Assistance $25,546.00i. Alcohol and Drug Abuse Services $3,000.00j. Mental Health Services $111,389.00k. Health/Medical/Intensive Care Services $675,849.00l. Other (specify) $0.00m. Other (specify)n. Other (specify)Housing Placement Assistance Categories (Data Source IDIS)o. Housing Information Services $10,600.00p. Permanent Housing Placement Services $0.009. Grantee Administrative Costs (Data Source IDIS)

$0.00

10. Project Sponsor Administrative Costs (Data Source IDIS)

$0.00

11. Total HOPWA Funds Expended in all categories (sum)

$12,378,746.00

IDIS Information:

SupportiveServices

Beneficiary Data (Data Source IDIS)

CategoryTotal Number of Participants

White 1028Black 463Asian Pacific Islander 32American Indian/Native 50White/Hispanic 174Black/Hispanic 1Asian 21Asian/Hispanic 0Hispanic Ethnic 42Asian/Pacific Islander/Hispanic 0American/Alaskan/Hispanic 26Hawaiian/Pacific Islander 24Hawaiian/Pacific Islander/Hispanic 0American Indian/White 3American Indian/White/Hispanic 0Asian/White 0Asian/White/Hispanic 0Black/White 2Black/White/Hispanic 0American Indian/Black 1Indian/Black/Hispanic 0Other Multi Racial 23Other Multi Racial (W Hispanic) 1Total 1891

IDIS Information:

BeneficiaryData

Data Verification Worksheets: Role of the Grantee Review CAPER and IDIS data

– Coordinate with Field Office to ensure data accuracy

Verified worksheets due to HQ and Field Office ASAP. Please email to hopwa@hud.gov

Section C:

ReportingTutorials

HOPWA 101 Performance Reporting Tutorials

In depth case studies Brief overview of reporting requirements for:

– CAPER– IDIS– APR– Common deficiencies in reporting

Available online on HOPWA’s website– http://www.hud.gov/offices/cpd/aidshousing/programs/index.cfm

Where can I get more information?

Use tools provided by Headquarters– HOPWA Works! Grantee Reports – Data Verification Worksheets– HOPWA Reporting Tutorials

Refer to the HOPWA Website– http://www.hud.gov/offices/cpd/aidshousing/programs/index.cfm

Call (202) 708-1934 and ask for Sarah Finnane or Danielle McLeod

Questions?

Webcast participants, send questions to hudtv@hud.gov or call in to (202) 708-6073

After webcast, forward questions to hopwa@hud.gov

Visit HOPWA’s website for additional information and tutorials located at www.hud.gov

Part III:

Client Outcomes—The Future of HOPWA Reporting

Why change?

Provide results on client outcomes and other accomplishments

Better oversight on expenditures Ensure consistency among reports Information on area sponsors Qualitative evaluation of assistance

Output Results—Housing STRMU—58% of clients

– $660 per household average cost per year  Rental Assistance—35% of clients

– Average of $2,650 per year, (Section 8 housing choice voucher average of $6,600 per year)

Facility-based units—7% of clients– Average over $4,000 per year direct housing costs plus

other leveraged housing and service funds

Outcome Goals

Long-term goals for rental assistance and housing facilities, continued support and possible outplacement.

Short-term rent programs avoid an immediate housing crisis and allow for a connection to permanent housing and other support.

Outcome Goals

Clarity on status of household each year– Remained in permanent housing– Moved to other housing situations– Other results (back to short term efforts)– disconnected

Adapt support to the client’s challenges by planning within collaborations

Outcome Goals

Clarity on other outcomes– Access to benefits & support via case

management– Obtain job via job training – Other model results (project options)

Assess baselines on housing stability and target higher achievement (80%)

Revised CAPER for Formula Grants

Part 1, Narrative, remains the same Part 2, Accomplishment Data

– Combine charts 1 & 2 with actual compared to planned performance

– All costs, such as housing information, resource identification, supportive services, and grantee/sponsor administrative costs

– Outcomes in chart 3, Housing Stability

Revised CAPER (cont.)

Implementation date to be set with future grant cycle in FY2005

CPD Guidance on preparing 2005 Consolidated Plans (7/29/04)

Consolidated Planning Management Process (CPMP) tool (option available to ease data collection and organization)

CPMP Tool

Consolidated Plan Management Process (CPMP)

www.hud.gov/cpmp

Creates reusable format for the Strategic Plan, along with up to 5 Action Plans and up to 5 CAPERs

HOPWA CPMP Elements

Captures both narrative and data elements

HOPWA Outcomes

Expanded focus from outputs with outcomes—indicate the housing status of clients each year or as they leave the program

CPMP submission

The CPMP Tool can be submitted electronically (SF 424 and Certifications still require a signature and must be submitted on paper)

For assistance and submission send an email to CPMP@HUD.gov

Revised APR for Competitive Projects

Special Projects of National Significance and other competitive grants to use extra funds for data collection to comply with new format

Quick start on project data on client outcomes to help planning with formula programs

Integrate with evaluations underway Implementation date to be set with future grant cycle

in FY2005

Revised APR

Allow study on targeted special populations such as chronic homeless, post-incarcerated, colonias, rural, clients with multiple diagnoses

Elements tied to new HMIS standards Info on Stewardship Units (use under 10-year

commitments) Technical assistance on sharing evaluations

Revised APR

Focus on project and client outcomes to better determine the results for project activities

– Stable Housing– Case Management – Employment Services

Leveraged Funds category by source and use Tracks the type of housing or service by sponsor Client effects shown in income/benefit changes

Planned Changes to IDIS

New HOPWA Matrix codes 31 series to reflect Activity Type (e.g. Facility-Based Housing)

Design changes to be implemented in FY 2005-2006 with other CPD program edits

Internet accessibility, standard reports for grantees

Direct Client Benefits

A better housing situation, more appropriate to the person’s needs, in housing that is safe, decent and affordable

Related health outcomes for persons with HIV, a direct connection of the housing base with life improvements from engaging in care.

Reductions in disparities in access to care.

For More Information

HUD Office of HIV/AIDS Housing– HOPWA@HUD.GOV

HOPWA Website– www.hud.gov/offices/cpd/aidshousing

Questions?

Webcast participants, send questions to hudtv@hud.gov or call in to (202) 708-6073

After webcast, forward questions to hopwa@hud.gov

Visit HOPWA’s website for additional information and tutorials located at www.hud.gov