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HOPWA 101 Data Collection & Reporting Requirements. Presented by the Office of HIV/AIDS Housing & The QED Group LLC September 21, 2004. HOPWA 101 Web Broadcast Overview. HOPWA Reporting Requirements Reporting Tools Client Outcomes: The Future of HOPWA Reporting. - PowerPoint PPT Presentation
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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 [email protected] or call in to (202) 708-6073
After webcast, forward questions to [email protected]
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 [email protected] or call in to (202) 708-6073
After webcast, forward questions to [email protected]
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 [email protected] or call in to (202) 708-6073
After webcast, forward questions to [email protected]
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 [email protected]
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: [email protected] 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 [email protected]
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: [email protected]
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 [email protected]
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 [email protected]
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 [email protected] or call in to (202) 708-6073
After webcast, forward questions to [email protected]
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 [email protected]
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– [email protected]
HOPWA Website– www.hud.gov/offices/cpd/aidshousing
Questions?
Webcast participants, send questions to [email protected] or call in to (202) 708-6073
After webcast, forward questions to [email protected]
Visit HOPWA’s website for additional information and tutorials located at www.hud.gov