Overview

In this Consolidated Annual Performance and Evaluation Report (CAPER) edition, the U.S. Department of Housing and Urban Development is emphasizing grantee performance and the use of client outcome measures in demonstrating program effectiveness. Toward this end, the HOPWA CAPER elements for formula grant recipients have been revised to incorporate new performance measure reporting requirements. These are designed to help grantees and project sponsors aggregate results from the use of HOPWA resources: (1) to provide housing assistance as the new annual output measure; and (2) to collect client information demonstrating the outcome for improved housing stability for this special needs population.

 

HOPWA grantees must submit a CAPER on the activities undertaken during the program year in coordination with the use of the other Consolidated Plan resources. In addition to the integration of this information in the standard report, HOPWA specific information is discussed in this form, along with the HOPWA summary data charts. HOPWA grantees are required to use the Integrated Disbursement Information System (IDIS) to provide complete annual performance information on the use of program and other funds. HUD uses the CAPER and IDIS data to obtain essential information on grant activities, project sponsors, housing sites and related number of units of housing, along with information on HOPWA beneficiaries (which must include racial and ethnic data on program participants). Such information is used for program monitoring and evaluation purposes and for reporting on accomplishments. CAPER data must reflect a summary of the performance data that is entered into IDIS for that same program year, for example, on the HOPWA activities reported under the program’s series 31 matrix codes.

 

Instructions: Within 90 days after the end of each program year, the information in this package must be submitted to the CPD director in the grantee’s State or Area HUD Office, with one copy submitted to the HOPWA Program Office, Office of HIV/AIDS Housing, U.S. Department of Housing and Urban Development, 451 Seventh Street, SW Washington, D.C. 20410.

 

To report progress under these general and HOPWA specific requirements, the grantee may integrate the HOPWA elements in their standard CAPER report or establish a HOPWA-specific narrative by completing the following information. These elements are also found in the optional Consolidated Plan Management Process tool (CPMP), which is available for use in planning and reporting on Consolidated Plan activities:

 

Part 1: HOPWA Executive Summary. Provide an executive summary (1-3 pages) and a specific objectives narrative which address the following:

 

A. Grantee and Community Overview (Web summary).

A brief description of the grant organization, the area of service, the name of program contact(s), and a broad overview of the range/type of housing activities, along with information on each sponsor by name, main project site by zip code and related organization information.

 

B. Annual Performance under the Action Plan.

1. Report on the actions taken during the year that addressed the special needs of persons who are not homeless but require supportive housing, and assistance for persons who are homeless.

 

2. Evaluate the progress in meeting the project’s objectives for providing affordable housing, including a comparison of actual outputs and outcomes to proposed goals and progress made on the other planned actions indicated in the strategic and action plans. The evaluation can address any related program adjustments or future plans.

 

3. Include any assessment of client outcomes for achieving housing stability, reduced risks of homelessness and improved access to care.

 

4. Report on the use of committed leveraging from other public and private resources that helped to address needs identified in the plan. Report the number of stewardship units of housing which have been created through acquisition, rehabilitation or new construction with any HOPWA funds.

 

5. Describe any other accomplishments recognized in the community due to the use of HOPWA funds, including any projects in developmental stages that are not operational.

 

6. Provide an analysis of the extent to which HOPWA funds were distributed among different categories of housing needs consistent with the geographic distribution plans identified in its approved Consolidated Plan.

 

C. Barriers or Trends Overview.

1. Describe any barriers (including non-regulatory) encountered, actions in response to barriers, and recommendations for program improvement.

 

2. Describe any expected trends facing the community in meeting the needs of persons living with HIV/AIDS, and provide any other information important in providing services to persons with HIV/AIDS.

 

3. Note any evaluation, studies, or other assessments of the HOPWA program available to the public.

 

Part 2: Accomplishment Data – (Web summary information).

1. Complete and submit CAPER Performance Chart 1 Planned Goals and Chart 2 Actual Performance;

 

2. Complete and submit CAPER Performance Chart 3 Housing Stability Outcomes.

 

Note: in connection with this CAPER, similar information must be entered and submitted in IDIS. Use the IDIS MA04 screen actual accomplishment data to compare results with proposed accomplishment data for (1) all active HOPWA activities and (2) activities completed in the most recent program year; and enter and submit into the related HOPWA accomplishment IDIS screens accomplishment data for (1) each active HOPWA activity and (2) activities completed in the most recent program year.

 

CAPER Explanation: The attached charts are to be used in connection with the grantee narrative and performance assessment portion of the CAPER. Under that annual report, grantees address their actions and report on performance with the use of federal and other funds during the operating year. Grantees of HOPWA funding are required in the CAPER’s narrative to explain how the HOPWA-related activities address strategic plan objectives and to evaluate progress in providing affordable housing and addressing the needs of homeless persons and the special needs of persons that are not homeless but require supportive housing, including persons living with HIV/AIDS and their families. Grantees must complete and submit the attached charts as required under the Part 2: Accomplishment Data section.

 

Performance Charts 1 Planned Goals and 2 Actual Performance are integrated and will help illustrate progress in leveraging resources by providing a means to report on the grantee’s progress in obtaining “other” public and private resources that address needs identified in the plan. The HOPWA section of the CAPER also requires that grantees provide a narrative with information on what other resources were used in conjunction with HOPWA-funded activities. These charts provide a method to illustrate this use of other resources in addressing the housing needs of persons living with HIV/AIDS and their families and the supportive services provided.

 

Performance Chart 3 uses client outcome measures to demonstrate program effectiveness. The HOPWA program’s overall outcome is that assisted households have been enabled to better maintain a stable living environment in housing that is safe, decent, and sanitary, and to reduce the risks of homelessness, and improve access to HIV treatment and other health care increases through the use of annual resources with the goal that this reaches 80 percent by 2008.

 

Goal is the planned scope of the HOPWA activity and related program budget measuring the number of households to be assisted or units of housing in facilities, along with its funding.

 

Actual is the performance accomplished during the grantee operating year, including activities undertaken by all project sponsors using HOPWA funds under this program.

 

Non-Facility based Housing Assistance: All HOPWA Housing expenditures for the current operating year to support tenant-based rental assistance or short-term, rent, mortgage, and utility assistance.

 

Tenant-based Rental Assistance (TBRA) means a form of on-going rental housing subsidy for the individual or household, such as tenant-based rental assistance payments or other units that may be leased by the client, in which the amount is determined based in part on household incomes and rent costs. Project-based costs should be counted in the operation costs category.

 

Short-term Rent, Mortgage and Utility payments (STRMU) means a limited subsidy or payments subject to the limited time period to prevent the homelessness of a household (e.g., HOPWA short-term rent, mortgage and utility payments within a 21 week period).

 

Facility-based Housing Assistance: All HOPWA Housing expenditures for the current operating year to support facilities including community residences, SRO dwellings, short-term or transitional facilities, project-based units, master leased units, and other housing facilities approved by HUD, and supportive services only facilities.

 

Units in facilities supported with operating costs means the facility units and costs for leasing, maintaining or operating the housing facility, such as a community residence, SRO dwelling or other multi-unit dwelling; transitional housing, project-based rental assistance and leasing costs should be counted in this category as well as costs for minor repairs or other maintenance costs, costs for security, operations, insurance, utilities, furnishings, equipment, supplies, other incidental costs in providing housing to clients in these units. Supportive service costs associated with counseling programs, skills development, etc. should not be counted as housing costs. (These costs are captured under supportive service costs.)

 

Units in facilities developed with capital costs and placed in service during the program year means units and costs for the development or renovation of a housing facility, such as a community residence, SRO dwelling or other multi-unit dwelling, in which costs for acquisition of the unit, new construction or conversion, substantial or non-substantial rehabilitation of the unit were expended during the period and the number of units reported were used by clients for some part of this period.

 

Units in facilities being developed with capital costs but not yet opened means units and costs for the development or renovation of a housing facility were expended during the period BUT the units were still in development and not yet used by clients during the period. Please do not report “planned” units for which no capital costs or related pre-development costs were incurred.

 

Stewardship Units means those units developed with HOPWA but no longer have current operation or other housing costs. Report information as the units remain subject to the three- or ten-year use agreements.

 

Housing Assistance Total means the non-duplicated number of households receiving housing subsidies and the units of housing in facilities that were dedicated to persons living with HIV/AIDS and their families that were supported with HOPWA or other funds during this operating year.

 

Amount of Non-HOPWA Funds means the amount of funds that were expended during the reporting period from non-HOPWA sources that are under the control of the Grantee or sponsors in dedicating assistance to this client population. Please only count other leveraged funds or other assistance that is directly connected to the HOPWA or community HIV/AIDS housing program in providing housing assistance or other support or services, to the degree that this practicable.

 

TOTAL by type of housing assistance/services means the non-duplicated number of units of housing (by type of housing) that were dedicated to persons living with HIV/AIDS and their families or services provided and that were supported with HOPWA and other funds, during this operating year.

 

Output Assessed: The number of units of housing or households that receive HOPWA housing assistance during the operating year.

 

Outcome Assessed: The HOPWA-assisted households who have been enabled to establish or better maintain a stable living environment in housing that is safe, decent, and sanitary, and to reduce the risks of homelessness, and improve access to HIV treatment and other health care increases through the use of annual resources with the goal that this is achieved for at least 80 percent of clients by 2008.

 

Grassroots organization: The term grassroots organization means the organization is headquartered in the local community where it provides services; it has a social services budget of $300,000 or less annually; and it has six or fewer full-time equivalent employees. Local affiliates of national or larger organizations are not considered “grassroots.”

 

Permanent Housing Placement: A supportive housing service that helps establish the household in the housing unit, including reasonable costs for security deposits not to exceed two months of rent costs.