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HOPWA 101 Data Collection & Reporting Requirements

HOPWA 101 Data Collection & Reporting Requirements

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HOPWA 101 Data Collection & Reporting Requirements

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  1. HOPWA 101Data Collection & Reporting Requirements Presented by the Office of HIV/AIDS Housing & The QED Group LLC September 21, 2004

  2. HOPWA 101 Web Broadcast Overview • HOPWA Reporting Requirements • Reporting Tools • Client Outcomes: The Future of HOPWA Reporting

  3. 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

  4. 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

  5. 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

  6. 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

  7. 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)

  8. Results Matter—Clients Focus on client outcomes in 2004-2005 • Housing stability • Reduced risks of homelessness • Improved access to care

  9. 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

  10. PART I: HOPWA Reporting Requirements

  11. HOPWA Reporting Requirements • Formula grantee overview • Competitive grantee overview • Common errors

  12. 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

  13. Section A: Formula Grantee Reporting Requirements

  14. Formula Grantee Overview • CAPER • IDIS • Executive Summary *Note: Performance reports are due 90 days after close of grantee’s program year

  15. 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

  16. CAPER Chart 1

  17. 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

  18. CAPER Chart 2

  19. 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.

  20. 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

  21. Questions? • Webcast participants, send questions to or call in to (202) 708-6073 • After webcast, forward questions to • Visit HOPWA’s website for additional information and tutorials located at

  22. 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

  23. 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

  24. 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

  25. Projects and Activities The Structure of IDIS: Projects and Activities

  26. 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

  27. 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

  28. 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

  29. 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)

  30. 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

  31. 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!

  32. Project #3 City of San Diego (grantee) Activity #66 2003 Administration Grantee Administration

  33. IDIS Project for Sponsor Project #1 AIDS Housing of Anytown 03 Supportive Services $11,500 03 ST Rental Assistance $35,000 03 Admin $3,500

  34. 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!

  35. Multi-Year Program—Year 1

  36. Multi-Year Programs—Year 2

  37. Critical Data Elements • Matrix Codes (31 series only!) • Accomplishment Codes • Accomplishment Screen (MA04) • Reporting Year • Accomplishment Narrative

  38. Matrix Codes • HOPWA Grantees must use one of following: • 31A Grantee Activity • 31B Grantee Administration • 31C Project Sponsor Activity • 31D Project Sponsor Administration

  39. Accomplishment Codes

  40. 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

  41. Questions? • Webcast participants, send questions to or call in to (202) 708-6073 • After webcast, forward questions to • Visit HOPWA’s website for additional information and tutorials located at

  42. Section B: Competitive Grantee Reporting Requirements

  43. Competitive Grantee Overview • APR - Annual Progress Report • Executive Summary *Note: Performance reports are due 90 days after close of grantee’s program year

  44. 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

  45. 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

  46. 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

  47. 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.

  48. 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.

  49. 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”.

  50. Section C: Executive Summary