**Housing Opportunities for Persons with AIDS (HOPWA) Program**

![](media/image1.png){width="1.25in" height="1.1611111111111112in"}

**Consolidated Annual\
Performance and Evaluation Report (CAPER)\
User Guide**

**May 2006**

> The work that provided the basis for this publication was supported by
> funding under an award from the U.S. Department of Housing and Urban
> Development, Housing Opportunities for Persons With AIDS (HOPWA)
> National Technical Assistance program. The substance and findings of
> the work are dedicated to the public. The author and publisher are
> solely responsible for the accuracy of the statements and
> interpretations contained in this publication. Such interpretations do
> not necessarily reflect the views of the Government.
>
> We acknowledge and appreciate the contribution of the following
> grantees that participated in the Performance Reporting Pilot Study:
>
> City of Baltimore, Maryland
>
> City of Chicago, Illinois
>
> City of Columbus, Ohio
>
> City of Dallas, Texas
>
> City of Houston, Texas
>
> City of Kansas City, Missouri
>
> City of Savannah, Georgia
>
> City of Portland, Oregon
>
> City of Tucson, Arizona
>
> Cochise County, Arizona
>
> Frannie Peabody Center
>
> State of Alaska
>
> State of Illinois
>
> State of West Virginia
>
> State of Wyoming

This guide was developed in collaboration with HUD's Office of HIV/AIDS
Housing and the QED Group.

> Office of HIV/AIDS Housing
>
> U.S. Department of Housing and Urban Development
>
> 451 7th Street, S.W., Room 7212
>
> Washington, DC 20410
>
> \(202\) 708-1934
>
> <HOPWA@hud.gov>
>
> [http://www.hud.gov/offices/cpd/aidshousing](http://www.hud.gov/offices/cpd/aidshousing%0D)
>
> AIDS Housing of Washington
>
> 2014 East Madison, Suite 200
>
> Seattle, WA 98122
>
> \(206\) 322-9444
>
> <info@aidshousing.org>
>
> [http://www.aidshousing.org](http://www.aidshousing.org/)
>
> **May 2006**

Table of Contents

[**[Introduction 1]{.smallcaps}**](#introduction)

[Who Should Use This Guide 1](#who-should-use-this-guide)

[Who is Required to Submit a CAPER
2](#who-is-required-to-submit-a-caper)

[Purpose of the CAPER 2](#purpose-of-the-caper)

[Goals of the CAPER Revision 3](#goals-of-the-caper-revision)

[Effective Date of the Revised CAPER
3](#effective-date-of-the-revised-caper)

[How To Use This Guide 4](#how-to-use-this-guide)

[Housing Opportunities for Persons with AIDS (HOPWA):\
Annual Progress Report --- Measuring Project Performance
7](#housing-opportunities-for-persons-with-aids-hopwa-annual-progress-report-measuring-project-performance-grant-information-cover-page)

[Part 1-A: Executive Summary 7](#part-1-a-executive-summary)

[Program Year 1 CAPER Executive Summary
7](#program-year-1-caper-executive-summary)

[General Project Sponsor Information
7](#general-project-sponsor-information)

[Part 1-B: Program Year 1 CAPER Specific HOPWA Objectives ---\
Annual Performance under the Action Plan
9](#part-1-b-program-year-1-caper-specific-hopwa-objectives-annual-performance-under-the-action-plan)

[Part 1-C: Program Year 1 CAPER Specific HOPWA Objectives ---\
Barriers or Trends Overview
11](#part-1-c-program-year-1-caper-specific-hopwa-objectives-barriers-or-trends-overview)

[Part 2: Accomplishments Data -- CAPER Chart 1 (planned goal)\
and Chart 2 (actual)
13](#part-2-accomplishments-data-caper-chart-1-planned-goal-and-chart-2-actual)

[Part 3: Instructions on HOPWA CAPER Chart 3 on Measuring Housing\
Stability Outcomes
27](#part-3-instructions-on-hopwa-caper-chart-3-on-measuring-housing-stability-outcomes)

[Part 4: HOPWA Outcomes on Access to Care and Support
33](#part-4-hopwa-outcomes-on-access-to-care-and-support)

[Part 5: Appendix -- Worksheet on Determining HOPWA Housing\
Stability Outcomes
41](#part-5-appendix-worksheet-on-determining-hopwa-housing-stability-outcomes)

[Appendix A. HOPWA Technical Notes and Other Errata on\
Performance Reports
A-1](#appendix-a.-hopwa-technical-notes-and-other-errata-on-performance-reports)

[Appendix B. Glossary A-7](#appendix-b.-glossary)

[Appendix C. Frequently Asked Questions
A-13](#appendix-c.-frequently-asked-questions)

# Introduction

In this chapter:

-   Who Should Use this Guide

-   Who is Required to Submit a CAPER

-   How to Use this Guide

-   Purpose of CAPER Reporting

-   Effective Date and Goals of the CAPER Revisions

## Who Should Use This Guide

Administered by the U.S. Department of Housing and Urban Development
(HUD), the Housing Opportunities for Persons with AIDS (HOPWA) Program
is the only federal program dedicated to the housing needs of people
living with HIV/AIDS and their families. Ninety percent of available
HOPWA funds are awarded as grants based on a formula allocation to
states and metropolitan areas where 1,500 cumulative cases of AIDS have
been reported. HOPWA formula grantees are required to report program
activities to HUD using the Consolidated Annual Performance and
Evaluation Report (CAPER) and Integrated Disbursement & Information
System (IDIS) reports.

This guide is primarily intended for HOPWA formula grantees and was
designed to help aggregate results from the use of HOPWA funding. The
guide provides step-by-step guidance on how to fill out the revised
CAPER, using illustrations to explain how and where data should be
reported. The guide follows the format of the CAPER to introduce
grantees to the new data requirements and layout of the form. Formula
grantees may use the APR to collect data from their project sponsors,
consolidate the information and use this in completing their CAPER and
Integrated Disbursement & Information System (IDIS) reports. For this
reason, HOPWA formula grantees may also choose to use the APR User
Guide.

This User Guide may also be useful for:

-   City and State governmental entities involved in the administration
    of the HOPWA program or other local programs that work
    collaboratively with the HOPWA program and therefore need to
    understand its reporting requirements

-   HOPWA Technical Assistance providers using this guide as a training
    tool or reference

-   Consultants working with HOPWA grantees or project sponsors on any
    aspect of program design, implementation, administration, or
    evaluation

While this guide focuses specifically on the CAPER, other guides and
resources are available on HUD's HOPWA web pages:
<http://www.hud.gov/offices/cpd/aidshousing>

## Who is Required to Submit a CAPER

The CAPER is used by formula HOPWA grantees and must be completed and
submitted to HUD within 90 days after the end of each operating year in
which funds were expended. Formula grantees have the option of using the
APR to track accomplishments of their project/sponsors and then
consolidating the information for reporting through the CAPER.

Information for all project sponsors within the entitlement area should
be reported through the CAPER. However, the grantee should consolidate
sponsor and provider information in one report covering the grantee's
operating year. The grantee's CAPER should be the only report filed
directly with HUD.

Grantees must submit a completed CAPER to HUD within 90 days after the
end of each operating year. The report must be submitted to:

> \(1\) The CPD Division Director in the local HUD field office that is
> responsible for managing the grant, and
>
> \(2\) An additional copy must be sent to: HOPWA Program Office, Office
> of HIV/AIDS Housing, U.S. Department of Housing and Urban Development,
> 451 7th Street, S.W., Room 7212, Washington, DC 20410.

After the area HUD Office has received and reviewed the CAPER the
grantee may be contacted about the information presented and may be
asked to submit additional or corrective information. The information
may also be used in connection with HUD monitoring visits.

## Purpose of the CAPER

The AIDS Housing Opportunity Act requires that recipients of HOPWA
grants report on the use of amounts received, including the number of
individuals assisted, the types of assistance provided, and other
information determined to be appropriate. The CAPER, in conjunction with
IDIS, fulfills these statutory reporting requirements and provides the
grantee and HUD with the necessary information to assess the overall
performance and accomplishments of the grantee's program activities.

Annual performance reporting is an integral component of measuring and
evaluating grantees' accomplishments. The CAPER, along with information
entered into IDIS, are management tools to assist local grantees in
evaluating program performance, including the performance of project
sponsors and contracted service providers, in identifying
recommendations for program improvements, and in setting future
objectives for the community's efforts. The CAPER also provides
communities with an opportunity to review how the area HOPWA program has
helped participants obtain appropriate assistance that addresses the
housing needs of low-income persons living with HIV/AIDS and their
families.

In considering program successes, the CAPER may also be used to discuss
how activities are carried out in conjunction with other resources in
the community. These related efforts might include collaborations in the
planning or design of housing assistance activities and in coordination
with other programs to avoid duplication of efforts while ensuring an
appropriate level of assistance for clients. The activities may also
relate to the community's overall strategy for housing and community
development and how those activities have been evaluated, including
clients' satisfaction with services and performance. In addition, in
describing performance, the grantees may report on the use of
performance measures and benchmarks in program development and operation
to demonstrate accomplishments or lessons learned in administering these
grants.

## Goals of the CAPER Revision 

HUD and the Office of HIV/AIDS Housing recently revised the CAPER forms
to integrate the CAPER with the e-grants initiative, reflect the data
elements of the Homeless Management Information System (HMIS)---which
can decrease reporting burdens if grantees make use of HMIS tools for
HOPWA clients---and implement the recommendations of the Program
Assessment Rating Tool (PART) that identified a need for the HOPWA
program to better demonstrate program results and establish long-term
performance measures that focus on outcomes with associated indicators.
The revised format also informed the proposed CPD Performance Measures,
and is being used to inform a redesign of the Integrated Disbursement
and Information System (IDIS). The revisions to the CAPER forms and the
consolidation of elements will improve the focus of the data to be
collected on the HOPWA program, reduce burdens to applicants and
recipients in accessing these federal resources, and help clarify
program components. It is hoped these changes will result in more
accurate information and program accountability. The CAPER emphasizes
grantee performance and client outcomes, and fulfills statutory
reporting requirements, while providing HUD with the information
necessary to assess the overall performance and accomplishments of
grantee activities.

The information gathered will also allow HUD and the Office of HIV/AIDS
Housing to use the aggregate national performance accomplishment data
and report to Congress more accurately on HOPWA's program
accomplishments, allowing for greater public accountability in the use
of these federal funds.

## Effective Date of the Revised CAPER 

HOPWA grant recipients that begin a new program year on or after April
1, 2006, are required to collect data under the new report format and
report on all of the elements used in these forms. Grantees with program
years beginning between October 1, 2005 and March 31, 2006 should also
use these revised forms to report on their project activities, although
some of the new data elements may not be completely available until the
next grant cycle. All other grantees are also strongly encouraged to
complete the new forms, wherever possible. Almost all of the prior data
elements on program use in expending funds for housing activities and
characteristics of beneficiaries are being continued. By using the new
forms, these grantees will meet the reporting requirements for 2005 and
test the new format, as required for 2006 reports.

In addition, grantees are encouraged to provide the additional data,
wherever available, on the new elements to help gain insight on these
accomplishments. If the data on the new elements are not available,
grantees using the forms will help identify those issues for themselves
and the need to develop appropriate plans to collect this new data in
order to report in the next operating year.

Many HOPWA recipients already collect information on client outcome
results, or are using compatible data reporting systems such as the
Homeless Management Information System (HMIS). Grantees also engage in
ongoing assessments of the client's housing needs in updating and
providing the program support. If the data is not available on a
program-wide basis, it is possible that some of the project sponsors
would have relevant information in client files that could help inform
the start-up use of the new HOPWA reports. In providing this information
to HUD, please note if there are special data collection issues with
your report, such as *the data is complete for one project sponsor but
not for all the program efforts*. Most of the required reporting
elements are continued on the 2006 forms in some direct manner.

HUD is interested in assisting the grantees in reviewing the quality of
this data, wherever available, along with offering support needed to
accurately provide data in future reports. The type of factual
information on program operations, such as information on the project
sponsors and your use of other leveraged resources, will help
demonstrate the accomplishments of these HOPWA projects.

## 

## How To Use This Guide

This User Guide is designed for easy use, reference and instruction on
each section of the CAPER. A quick look at the Table of Contents will
identify which pages of the guide correspond to sections of the CAPER.

A grantee that is familiar with the CAPER may only need guidance about
the HOPWA performance outcomes section, in which case the grantee can
reference the Table of Contents and go to the specific page for complete
instructions on the outcomes section of the CAPER. The first page of
each chapter identifies what is found within the chapter and the
corresponding pages of the CAPER. Within the chapter, call-outs will
identify important terms, definitions, and notes to the user.

> On May 4, 2006 the "HOPWA Technical Notes and Other Errata on
> Performance Reports and Updated Worksheet on Determining Housing
> Stability Outcomes," was issued. Throughout the text of this User
> Guide a number ^1-15^ will indicate an item referenced in the errata.
> Users can click on the number to be taken to the description.
> Instructions have modified where possible to reflect the errata
> without changing the content of the CAPER document.

Taken as a whole, this guide may be followed from beginning to end to
provide a comprehensive picture of all that is involved in using the
HOPWA CAPER. Appendices include a glossary of terms, and frequently
asked questions. Other supplemental and training materials for both the
CAPER and APR can be found on HUD's HOPWA web pages:
<http://www.hud.gov/offices/cpd/aidshousing>

# Housing Opportunities for Persons with AIDS (HOPWA): Annual Progress Report --- Measuring Project Performance (Grant Information Cover Page)

This chapter covers page 4 of the CAPER:

-   Providing an Executive Summary

-   Providing general HOPWA grant and contract information

-   Providing a narrative summary of HOPWA Objects - Annual Performance
    under the Action Plan

-   Providing a narrative summary of HOPWA Objectives - Barriers and
    Trends

# Part 1-A: Executive Summary 

## Program Year 1 CAPER Executive Summary

In this portion of the CAPER, grantees are to provide a one- to
three-page narrative summary that gives a grantee and community overview
including: 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.

This narrative also provides the grantee an opportunity to more fully
explain and provide a context for the data contained in the CAPER. In
your first year reporting with these revised forms, note any special
data challenges you or your project sponsors have encountered, e.g.,
missing forms or incomplete data elements.

## General Project Sponsor Information

Provide the following information for **every** project sponsor
undertaking HOPWA program activities. This information will improve the
quality of national data on the HOPWA program.

**NOTE:** Grantees that operate the program directly and directly carry
out activities should also fill out this portion of the CAPER.

-   Project Sponsor Name

-   Name and Title of Contact at Project Sponsor

-   Email Address

-   Business Address

-   City, State, Zip

-   Phone

-   Fax Number (including area code)

-   Website

-   Total HOPWA Subcontract Amount for this Organization

-   Primary Service or Site Information: Project Zip Code(s)

-   Is the sponsor a nonprofit organization:

    -   Yes (If yes, indicate if the organization is either faith-based
        or grassroots --- see the glossary for a definition of
        "grassroots" organization)

    -   No

# Part 1-B: Program Year 1 CAPER Specific HOPWA Objectives --- Annual Performance under the Action Plan 

This chapter covers Part 1-B (page 4) of the CAPER:

-   Providing an overview of annual performance under the Action Plan

    []{.mark}

The integration of the HOPWA program into the Consolidated Plan process
is a HUD requirement that each HOPWA program grantee must comply with.
The Consolidated Plan is a community-based strategic planning document
mandated by federal law and administered through HUD. It is the
community's application to HUD for specific housing funds administered
by HUD's Office of Community Planning and Development (HUD), including
HOPWA funds, and is intended to be a long-range planning document that
describes housing needs, market conditions and housing strategies,
including an action plan for the investment of federal housing funds.

The integration of HOPWA with local planning processes helps communities
to coordinate comprehensive housing and services, improve access to
mainstream services, and leverage funding from other sources.
Ultimately, coordinated planning will help communities reach the
outcomes they seek from the use of HOPWA funds: helping to ensure
housing stability, improve access to care and services, and reduce
homelessness for people living with HIV/AIDS in their community.

[]{.mark}

There are planning processes that HOPWA grantees must engage with and
others that are voluntary. First and foremost, administrators of HOPWA
programs must fully integrate their planning process with the
Consolidated Plan process. The Consolidated Plan process must provide
information on HOPWA-eligible activities and programs, people served by
current programs, existing gaps, and community priorities for HOPWA
funding. The Consolidated Plan identifies community housing,
homelessness, and economic development needs and sets priorities and
objectives. Consolidated Plan program funds are allocated to programs
that meet the greatest needs, as identified in the plan. HOPWA funds
must be allocated in accordance with the priorities established in the
Consolidated Plan.

The Consolidated Plan is an important document for persons living with
HIV/AIDS because it determines how your community or state decides where
to spend millions of dollars in Federal government resources for housing
and services.

In this section of the CAPER, formula grantees must provide a narrative
to address each of the six items listed below. It will be helpful to
have a copy of the local Consolidate Plan Strategic Plan and Annual
Action Plan available when completing this narrative.

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 that 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.

# Part 1-C: Program Year 1 CAPER Specific HOPWA Objectives --- Barriers or Trends Overview 

This chapter covers Part 1-A (page 4) of the CAPER:

-   Providing information about barriers and trends

This section asks the grantees to provide a narrative to each of the
three items below to describe the barriers and trends encountered in
their program. The grantee may use this narrative to explain how these
barriers affected their program's ability to produce the objectives and
outcomes discussed in the previous section.

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: Accomplishments Data --- CAPER Chart 1 (planned goal) and Chart 2 (actual)

This chapter covers Part 2 (page 5) of the CAPER:

-   Reporting aggregate information from all project sponsors on grant
    activities, the goal and actual number of households served with
    HOPWA housing assistance and non-HOPWA housing assistance, the
    amount of budgeted and actual funds expended, and leveraged funds
    expended by activity

This chart summarizes all grant activities included in the CAPER. When
filling out the CAPER, grantees report in the aggregate; therefore, data
should be gathered from all project sponsors and reported as the total
number of households and total amount of funds expended by activity.
Grantees must report on both the planned (goal) and actual number of
households assisted, by type of activity, with both HOPWA funds and
other funds (Columns a--d). In addition, the budgeted and actual HOPWA
funds and the leveraged non-HOPWA funds must be reported (Columns e--g).

The chart includes five sections each relates to a HOPWA-eligible
activity and includes two or more rows that are subcategories. Each
section of the chart will be discussed separately.

-   Types of Housing Subsidy Assistance (*report on households*)

-   Housing Development, Construction and Stewardship of facility-based
    housing (*report on units*)

-   Supportive Services (*report on households*)

-   Housing Placement Assistance *(report on households*)

-   Housing Development, Administrative, and Management Services
    *(report on funds only)*

The first section of this chart includes information about the **Housing
Subsidy Assistance** provided.

*Figure 1 (see CAPER page 5): Housing Subsidy Assistance (Rows
1--4)[**1**](#Update1)*

<table style="width:100%;">
<colgroup>
<col style="width: 2%" />
<col style="width: 60%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 5%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 0%" />
<col style="width: 5%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="2" rowspan="4"><p><strong>HOPWA Performance<br />
Charts 1 (planned goal)</strong></p>
<p><strong>and 2 (actual)</strong></p></td>
<td></td>
<td colspan="6"><strong>Outputs Households</strong></td>
<td colspan="4">Funding</td>
</tr>
<tr class="even">
<td></td>
<td colspan="4">HOPWA Assistance</td>
<td colspan="2">Non-HOPWA</td>
<td colspan="4"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2">a.</td>
<td colspan="2">b.</td>
<td>c.</td>
<td>d.</td>
<td>e.</td>
<td colspan="2">f.</td>
<td>g.</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"><blockquote>
<p>Goal</p>
</blockquote></td>
<td colspan="2"><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>Goal</p>
</blockquote></td>
<td><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>HOPWA Budget</p>
</blockquote></td>
<td colspan="2"><blockquote>
<p>HOPWA Actual</p>
</blockquote></td>
<td><blockquote>
<p>Leveraged Non-HOPWA</p>
</blockquote></td>
</tr>
<tr class="odd">
<td>1.</td>
<td><blockquote>
<p>Tenant-based Rental Assistance</p>
</blockquote></td>
<td> </td>
<td>40</td>
<td colspan="2">36</td>
<td colspan="2">15</td>
<td>16</td>
<td>194,400</td>
<td>177,984</td>
<td colspan="2">45,000</td>
</tr>
<tr class="even">
<td>2.<a href="#Update2"><strong>2</strong></a></td>
<td><blockquote>
<p>Units in facilities supported with operating costs: <u>Number of
households supported</u></p>
</blockquote></td>
<td> </td>
<td></td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td> </td>
<td> </td>
<td></td>
<td colspan="2"> </td>
</tr>
<tr class="odd">
<td>3.<a href="#Update3"><strong>3</strong></a></td>
<td><blockquote>
<p>Units in facilities developed with capital funds and placed in
service during the program year: <u>Number of households
supported</u></p>
</blockquote></td>
<td> </td>
<td></td>
<td colspan="2"> </td>
<td colspan="2"> </td>
<td> </td>
<td> </td>
<td></td>
<td colspan="2"> </td>
</tr>
<tr class="even">
<td>4.</td>
<td><blockquote>
<p>Short-term Rent, Mortgage and Utility payments</p>
</blockquote></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
</tr>
</tbody>
</table>

-   [Outputs **Households **]{.smallcaps}--- [HOPWA Assistance (goal and
    actual) and Non-HOPWA Assistance (goal and actual):]{.smallcaps}
    Grantees should report the number of households that received
    assistance in each category.

![](media/image2.wmf){width="0.5in" height="0.7925196850393701in"}

> *Row 1. Tenant-based rental assistance:*
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee planned to assist with
> HOPWA-funded tenant-based rental assistance.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee actually assisted with
> HOPWA-funded tenant-based rental assistance.
>
> ***Scenario:*** At the beginning of the operating year the grantee
> planned to assist 40 households
>
> with TBRA assistance. This estimate was based on the number of
> households served in the
>
> prior year and the local Consolidated Plan and Annual Action Plan
> objectives. The grantee actually served 36 households.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee planned to assist with
> non-HOPWA leveraged tenant-based rental assistance funds.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee actually assisted with
> non-HOPWA leveraged tenant-based rental assistance funds.

***Scenario:*** The same grantee anticipated that 15 of the 40
households could be served through

the use of leveraged HOME funds that were pooled with HOPWA funds to
provide TBRA.

16 households were actually served leveraged HOME funds.

[]{.mark}

> []{.mark}
>
> Row 2.[**2**](#Update2) *Units in facilities supported with operating
> costs*:
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee planned to assist in
> facility-based units supported with HOPWA operating funds.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee actually assisted in
> facility-based units supported with HOPWA operating funds.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee planned to assist in
> facility-based units supported with non-HOPWA leveraged operating
> funds.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee actually assisted in
> facility-based units supported with non-HOPWA leveraged operating
> funds.
>
> *Row 3*.[**3**](#Update3) *Units in facilities developed with capital
> funds and placed in services during the program year:*
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee planned to assist in newly opened
> facility-based units supported with HOPWA funds.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee actually assisted in newly opened
> units supported with HOPWA funds.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee planned to assist in units
> supported with non-HOPWA leveraged funds.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee actually assisted in units
> supported with non-HOPWA leveraged funds.
>
> *Row 4. Short-term Rent, Mortgage, and Utility Assistance:*
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee planned to assist with
> HOPWA-funded Short-term Rent, Mortgage, or Utility assistance.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee actually assisted with
> HOPWA-funded Short-term Rent, Mortgage, or Utility assistance.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee planned to assist with a
> non-HOPWA leveraged source of Short-term Rent, Mortgage, or Utility
> assistance.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Households:*
> Report the actual number of households the grantee assisted with a
> non-HOPWA leveraged source of Short-term Rent, Mortgage, or Utility
> assistance.

***NOTE:** The errata*[**4**](#Update4) *indicates that an "adjustment
to eliminate duplication" line can be added*

*after Row 4. Grantees can insert this information where possible for
all columns except Column*

*g. Leveraged non-HOPWA.*

-   [**Funding** --- HOPWA Budget and Actual and Leveraged
    Non-HOPWA]{.smallcaps}:

In this column, grantees should report the amount of HOPWA funds that
were budgeted for each activity, the amount of HOPWA funds actually
expended, and the amount of non-HOPWA leveraged funds that were expended
by activity.

> *Row 1. Tenant-based Rental Assistance:*
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> that were budgeted for TBRA assistance.
>
> *Column f. Actual HOPWA funds expended:* Report the amount of HOPWA
> funds actually expended on TBRA for the households reported in Column
> b.

***Scenario:*** The grantee budgeted \$194,400 to provide HOPWA TBRA
assistance to the goal

number of 40 households. The actual amount spent on 36 households was
\$177,984.

[]{.mark}

> []{.mark}
>
> *Column g. Leveraged Non-HOPWA funds expended:* Report the amount of
> non-HOPWA leveraged TBRA funds that were used to assist the households
> identified in Column d.
>
> ***Scenario:*** Leveraged HOME funds in the amount of \$45,000 were
> used to assist some of the

HOPWA TBRA assisted clients. 16 households received these leveraged
funds.

[]{.mark}

> []{.mark}
>
> *Row 2.*[**2**](#Update2) *Units in facilities supported with
> operating costs:*
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> that were budgeted for operating expenses to support the households in
> facilities reported in Column a.
>
> *Column f. Actual HOPWA Funds Expended:* Report the actual amount of
> HOPWA funds expended on operating costs for the households reported in
> Column b.
>
> *Column g. Leveraged Non-HOPWA Funds Expended:* Report the amount of
> non-HOPWA leveraged funds expended on operating costs for the
> households reported in Column d.
>
> ***NOTE**: The costs associated with the operation of facility-based
> non-housing, i.e., meeting or*
>
> *office space where clients access case management or other services
> but no housing units are*
>
> *located on site, should be reported as a supportive services cost.*
>
> *Row 3*.[**3**](#Update3) *Units in facilities developed with capital
> funds and placed in service during the program year:*
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA operating
> funds that were budgeted for units newly developed and placed in
> service.
>
> *Column f. Actual HOPWA Funds Expended:* Report the actual amount of
> HOPWA operating funds expended on the units identified in Column b
> that were newly developed and placed in service.
>
> *Column g. Leveraged Non-HOPWA Funds Expended:* Report the amount of
> non-HOPWA leveraged operating funds that were expended on units
> identified in Column d that were newly developed and placed in
> service.
>
> *Row 4. Short-term Rent, Mortgage, and Utility Assistance*:
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> that were budgeted for STRMU assistance.
>
> *Column f. Actual HOPWA Funds Expended:* Report the actual amount of
> HOPWA funds expended on STRMU for the households reported in Column b.
>
> *Column g. Leveraged Non-HOPWA Funds Expended:* Report the amount of
> non-HOPWA leveraged STRMU funds that were used to assist the
> households identified in Column d.

***NOTE:** The errata*[**4**](#Update4) *indicates that an "adjustment
to eliminate duplication" line can be added*

after Row 4. Grantees can insert this information where possible for all
columns except Column g. Leveraged non-HOPWA.

The second section of this chart---**Housing Development**---asks for
information about housing development and stewardship activities. These
activities are measured in [units]{.underline}.

**NOTE**: Only units are reported in this section. If any **households**
were supported during the reporting period in units receiving operating
funds, the households should be reported in Rows 2 and 3 as appropriate.

Figure 1 (see CAPER page 5): Housing Development (Rows 5--7)

<table>
<colgroup>
<col style="width: 2%" />
<col style="width: 61%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 5%" />
<col style="width: 5%" />
<col style="width: 4%" />
<col style="width: 5%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="2" rowspan="4"></td>
<td></td>
<td colspan="4"><strong>Outputs Households</strong></td>
<td colspan="3" rowspan="2">Funding</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">HOPWA Assistance</td>
<td colspan="2">Non-HOPWA</td>
</tr>
<tr class="odd">
<td></td>
<td>a.</td>
<td>b.</td>
<td>c.</td>
<td>d.</td>
<td>e.</td>
<td>f.</td>
<td>g.</td>
</tr>
<tr class="even">
<td></td>
<td><blockquote>
<p>Goal</p>
</blockquote></td>
<td><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>Goal</p>
</blockquote></td>
<td><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>HOPWA Budget</p>
</blockquote></td>
<td><blockquote>
<p>HOPWA Actual</p>
</blockquote></td>
<td><blockquote>
<p>Leveraged Non-HOPWA</p>
</blockquote></td>
</tr>
<tr class="odd">
<td></td>
<td><blockquote>
<p><strong>Housing Development (Construction and Stewardship of facility
based housing)</strong></p>
</blockquote></td>
<td></td>
<td colspan="4"><strong>Output Units</strong></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>5.</td>
<td><blockquote>
<p>Units in facilities being developed with capital funding but not yet
opened (show units of housing planned)</p>
</blockquote></td>
<td> </td>
<td></td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
<td></td>
<td> </td>
</tr>
<tr class="odd">
<td>6.</td>
<td><blockquote>
<p>Stewardship (developed with HOPWA but no current operation or other
costs) Units of housing subject to 3- or 10- year use agreements</p>
</blockquote></td>
<td> </td>
<td></td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
<td></td>
<td> </td>
</tr>
<tr class="even">
<td>7.<a href="#Update4"><strong>4</strong></a></td>
<td><blockquote>
<p>Adjustment to eliminate duplication (i.e., moving between types of
housing)</p>
</blockquote></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td><blockquote>
<p><strong>Total unduplicated number of households/units of housing
assisted<a href="#Update5">5</a></strong></p>
</blockquote></td>
<td> </td>
<td> </td>
<td></td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
</tr>
</tbody>
</table>

-   [Housing Development (Construction and Stewardship of facility-based
    housing)]{.smallcaps}:\
    Lists the type of housing development activity.

-   [Outputs **Households **]{.smallcaps}--- [HOPWA Assistance and
    Non-HOPWA Assistance:]{.smallcaps}

> *Row 5. Units in facilities being developed with capital funding but
> not yet opened:*
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Units:* Report the
> number of units the grantee planned to develop with HOPWA capital
> funds.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Units:* Report the
> actual number of units in development using HOPWA capital funds.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Units:* Report
> the number of units the grantee planned to develop with the use of
> non-HOPWA leveraged capital funds.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Units:* Report
> the actual number of units in development but not yet opened that the
> grantee is developing with the use of non-HOPWA leveraged capital
> funds.
>
> []{.mark}
>
> []{.mark}
>
> []{.mark}
>
> []{.mark}
>
> []{.mark}
>
> []{.mark}
>
> *Row 6. Stewardship units subject to 3- or 10-year use periods:*
> Report the units that were previously developed with HOPWA funds and
> are now subject to a minimum use period. Units reported here should
> NOT be receiving any HOPWA operating funds. The households residing in
> units receiving HOPWA operating funds should be reported in Row 2,
> Column b above.
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Units:* Report the
> goal number of units that were developed with HOPWA funds subject to a
> 3- or 10-year Stewardship agreement.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Units:* Report the
> actual number of units previously developed with HOPWA funds that are
> subject to a 3- or 10-year Stewardship agreement.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Units:* Report
> the goal number of units that were developed with non-HOPWA leveraged
> capital funds that are subject to a 3- or 10-year Stewardship
> agreement.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Units:* Report
> the actual number of units that were developed with non-HOPWA
> leveraged capital funds that are subject to a 3- or 10-year
> Stewardship agreement.
>
> *Row 7.*[**4**](#Update4) *Adjustment to eliminate duplication:* NO
> DATA REQUIRED.
>
> [**5**](#Update5)*Row. Total unduplicated number of households/units
> of housing assisted:* For Columns a--d, enter the total of Rows 5--6.

-   [**Funding** --- HOPWA Budget and Actual and Leveraged
    Non-HOPWA]{.smallcaps}:

> *Row 5. Facility-based units developed with capital funding but not
> yet opened:*
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA capital
> funds budgeted for the facility-based units reported in Column a. that
> are in development but not yet opened.
>
> *Column f. Actual HOPWA Funds Expended:* Report the actual amount of
> HOPWA capital funds expended for facility-based units reported in
> Column b. that are in development but not yet opened.
>
> *Column g. Leveraged Non-HOPWA Funds Expended:* Report the amount of
> non-HOPWA leveraged capital funds that were expended for
> facility-based units reported in Column d. that are in development but
> not yet opened.
>
> []{.mark}
>
> *Row 6. Stewardship units subject to 3- or 10-year use periods:*
>
> *Column e. HOPWA Funds Budgeted:* NO DATA REQUIRED. No HOPWA funds
> should be expended on units in the Stewardship phase.
>
> *Column f. Actual HOPWA Funds Expended:* NO DATA REQUIRED. No HOPWA
> funds should be expended on units in the Stewardship phase.
>
> *Column g. Leveraged Non-HOPWA Funds Expended:* Report the amount of
> non-HOPWA leveraged operating funds that were expended to support the
> units subject to a 3- or 10-year Stewardship agreement.
>
> *Row 7.*[**4**](#Update4) *Adjustment to eliminate duplication:* NO
> DATA REQUIRED.
>
> [**5**](#Update5)*Row. Total unduplicated number of households/units
> of housing assisted:* For Columns a--d, enter the total of Rows 5--6.

The third section of the chart---**Supportive Services**--- asks for
supportive services information broken into two categories: households
that received supportive services in conjunction with HOPWA housing
assistance, and households receiving ONLY supportive services without
any HOPWA housing assistance.

*Figure 1 (see CAPER page 5): Supportive Services (Rows 8--9)*

<table>
<colgroup>
<col style="width: 2%" />
<col style="width: 61%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 5%" />
<col style="width: 4%" />
<col style="width: 5%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="2" rowspan="4"></td>
<td></td>
<td colspan="5"><strong>Outputs Households</strong></td>
<td colspan="3" rowspan="2">Funding</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">HOPWA Assistance</td>
<td colspan="3">Non-HOPWA</td>
</tr>
<tr class="odd">
<td></td>
<td>a.</td>
<td>b.</td>
<td>c.</td>
<td colspan="2">d.</td>
<td>e.</td>
<td>f.</td>
<td>g.</td>
</tr>
<tr class="even">
<td></td>
<td><blockquote>
<p>Goal</p>
</blockquote></td>
<td><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>Goal</p>
</blockquote></td>
<td colspan="2"><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>HOPWA Budget</p>
</blockquote></td>
<td><blockquote>
<p>HOPWA Actual</p>
</blockquote></td>
<td><blockquote>
<p>Leveraged Non-HOPWA</p>
</blockquote></td>
</tr>
<tr class="odd">
<td></td>
<td><blockquote>
<p><strong>Supportive Services</strong></p>
</blockquote></td>
<td> </td>
<td colspan="5"><strong>Output Households</strong></td>
<td> </td>
<td> </td>
<td> </td>
</tr>
<tr class="even">
<td>8.</td>
<td><blockquote>
<p>i) Supportive Services in conjunction with <u>HOPWA</u> housing
activities<sup>1</sup></p>
</blockquote></td>
<td></td>
<td></td>
<td> </td>
<td colspan="2"> </td>
<td> </td>
<td> </td>
<td></td>
<td> </td>
</tr>
<tr class="odd">
<td></td>
<td><blockquote>
<p>ii) Supportive Services <u>NOT</u> in conjunction with <u>HOPWA</u>
housing activities<sup>2</sup></p>
</blockquote></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>9.</td>
<td><blockquote>
<p>Adjustment to eliminate duplication</p>
</blockquote></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td><blockquote>
<p><strong>Total Supportive Services</strong></p>
</blockquote></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

1\. Supportive Services in conjunction with HOPWA Housing Assistance: if
money is spent on case management and employment training, outcomes must
be reported in Access to Care and Support (See Chart 4-a).

2\. Supportive Services NOT in conjunction with HOPWA Housing
Assistance: if money is spent on case management and employment
training, outcomes must be reported in Access to Care and Support (See
Chart 4 --c.).

-   [Supportive Services (excluding Housing Placement
    Activities)]{.smallcaps}: Housing placement activities are reported
    in the next section.

-   [Outputs **Households **]{.smallcaps}--- [HOPWA Assistance and
    Non-HOPWA Assistance:]{.smallcaps}

> *Row 8(i).* *Supportive Services [in conjunction with HOPWA housing
> activities]{.underline}:* Of the total assisted households reported in
> Rows 1-4, report the number of these households that received
> HOPWA-funded supportive services (except housing placement or housing
> information services) at the same time they received housing
> assistance.
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households that the grantee planned to assist with
> HOPWA-funded supportive services.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Households:* Report
> the actual number of households the grantee assisted with HOPWA-funded
> supportive services.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee planned to assist with
> non-HOPWA leveraged supportive services.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Households:*
> Report the actual number of households the grantee assisted with
> non-HOPWA leveraged supportive services.
>
> *Row 8(ii).* *Supportive Services [NOT in conjunction with HOPWA
> housing activities]{.underline}:* Report the number of households that
> received HOPWA-funded supportive services only (except housing
> placement or housing information services) but were NOT simultaneously
> assisted with HOPWA-funding housing.
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee planned to assist with
> HOPWA-funded supportive services.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Households:* Report
> the actual number of households the grantee assisted with HOPWA-funded
> supportive services.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee planned to assist with
> non-HOPWA leveraged supportive services.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Households:*
> Report the actual number of households the grantee assisted with
> non-HOPWA leveraged supportive services.
>
> *Row 9. Adjustment to eliminate duplication:*
>
> *Columns a--d:* Report the number of households that were counted in
> both Rows 8(i) and 8(ii).
>
> ***Scenario:*** A household enters the program and initially requires
> only HOPWA-funded case management. The household would be counted in
> Row 8(ii). Five months later this same household receives STRMU
> assistance while continuing to receive HOPWA-funded case management.
> The household would be counted in Row 8(i).
>
> *Row. Total Supportive Services:* For Columns a--d, subtract the
> number in Row 9 from the total of Rows 8i and 8ii and enter the
> difference.

-   [**Funding** --- HOPWA Budget and Actual and Leveraged
    Non-HOPWA]{.smallcaps}:

> *Row 8(i). Supportive Services [in conjunction with HOPWA housing
> activities]{.underline}:* Report the amount of HOPWA funds expended on
> supportive services for the HOPWA-housing assisted households
> identified.
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> budgeted for the households in Column a. assisted with supportive
> services in conjunction with HOPWA-funded housing activities.
>
> *Column f. Actual HOPWA funds expended:* Report the actual amount of
> HOPWA funds expended for households in Column b. assisted with
> supportive services in conjunction with HOPWA-funded housing.
>
> *Column g. Leveraged Non-HOPWA funds expended:* Report the amount of
> non-HOPWA leveraged funds expended for households in Column d.
> assisted with supportive services in conjunction with HOPWA-funded
> housing.
>
> *Row 8(ii). Supportive Services [NOT in conjunction with housing
> activities]{.underline}:* Report the amount of HOPWA funds expended on
> the households that received supportive services only,
> [not]{.underline} in conjunction with HOPWA-funded housing.
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> budgeted for households in Column a. assisted with supportive services
> [not]{.underline} in conjunction with HOPWA-funded housing activities.
>
> *Column f. Actual HOPWA funds expended:* Report the actual amount of
> HOPWA funds expended for households in Column b. assisted with
> supportive services [not]{.underline} in conjunction with HOPWA-funded
> housing.
>
> *Column g. Leveraged Non-HOPWA funds expended:* Report the amount of
> non-HOPWA leveraged funds expended for the households in Column d.
> assisted with supportive services [not]{.underline} in conjunction
> with HOPWA-funded housing.
>
> *Row 9. Adjustment to eliminate duplication:*
>
> *Columns e--f:* Report the amounts of funds that were counted in both
> Rows 8(i) and 8(ii) for Columns e--f.
>
> *Row. Total Supportive Services:* For Columns e--f, subtract the
> amount in Row 9 from the total of Rows 8i and 8ii and enter the
> difference.

The fourth section of the chart---**Housing Placement
Assistance**---asks for data on housing information and permanent
housing placement activities only. All other supportive services
provided to households should be reported in the previous section.

Figure 1 (see CAPER page 5): Housing Placement Assistance (Rows 10--11)

<table>
<colgroup>
<col style="width: 2%" />
<col style="width: 61%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 5%" />
<col style="width: 5%" />
<col style="width: 4%" />
<col style="width: 5%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="2" rowspan="4"></td>
<td></td>
<td colspan="4"><strong>Outputs Households</strong></td>
<td colspan="3" rowspan="2">Funding</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">HOPWA Assistance</td>
<td colspan="2">Non-HOPWA</td>
</tr>
<tr class="odd">
<td></td>
<td>a.</td>
<td>b.</td>
<td>c.</td>
<td>d.</td>
<td>e.</td>
<td>f.</td>
<td>g.</td>
</tr>
<tr class="even">
<td></td>
<td><blockquote>
<p>Goal</p>
</blockquote></td>
<td><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>Goal</p>
</blockquote></td>
<td><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>HOPWA Budget</p>
</blockquote></td>
<td><blockquote>
<p>HOPWA Actual</p>
</blockquote></td>
<td><blockquote>
<p>Leveraged Non-HOPWA</p>
</blockquote></td>
</tr>
<tr class="odd">
<td></td>
<td><strong>Housing Placement Assistance<sup>3</sup></strong></td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
</tr>
<tr class="even">
<td>10.</td>
<td>Housing Information Services</td>
<td> </td>
<td></td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
<td></td>
<td> </td>
</tr>
<tr class="odd">
<td>11.</td>
<td>Permanent Housing Placement Services</td>
<td> </td>
<td></td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
<td></td>
<td> </td>
</tr>
<tr class="even">
<td></td>
<td><strong>Total Housing Placement Assistance</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

3\. Housing Placement Activities: if money is spent on housing placement
activities in conjunction with HOPWA Housing Assistance, outcomes must
be reported in Access to Care and Support (See Chart 4-a); if not in
conjunction with HOPWA Housing Assistance, outcomes must be reported in
Access to Care and Support (See Chart 4-c).

-   [Housing Placement Assistance Activities]{.smallcaps}: Housing
    Information or Permanent Housing Placement Services.

```{=html}
<!-- -->
```
-   [Outputs **Households **]{.smallcaps}--- [HOPWA Assistance and
    Non-HOPWA Assistance:]{.smallcaps}

> *Row 10. Housing Information Services:*
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee planned to assist with
> HOPWA-funded housing information services.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Households:* Report
> the actual number of households the grantee assisted with HOPWA-funded
> housing information services.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee planned to assist with
> non-HOPWA leveraged housing information services.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee actually assisted with
> non-HOPWA leveraged housing information services.
>
> ***NOTE:** For grantees providing Housing Information Services through
> a call center the number of households served may be difficult to
> determine. In this case each call could reasonably be considered to be
> one household unless the caller self-identifies as having accessed the
> service previously. Of those households counted, the number also
> accessing a non-HOPWA form of housing assistance may be unknown. If
> the grantee leverages other funds for use in housing information
> services and pools these with the HOPWA funds, the number of
> households receiving related non-HOPWA support would equal the total
> number served. If non-HOPWA-leveraged funds account for one-third of
> the total Housing Information funds, one-third of households*
> *accessing this service could reasonably be considered to receive
> "Related non-HOPWA Support."*
>
> *Row 11. Permanent Housing Placement Services:*
>
> *Column a. [Goal]{.underline} **HOPWA-Assisted** Households:* Report
> the number of households the grantee planned to assist with
> HOPWA-funded permanent housing placement assistance.
>
> *Column b. [Actual]{.underline} **HOPWA-Assisted** Households:* Report
> the actual number of households the grantee assisted with HOPWA-funded
> permanent housing placement assistance.
>
> *Column c. [Goal]{.underline} **Non-HOPWA** Assisted Households:*
> Report the number of households the grantee planned to assist with
> non-HOPWA leveraged permanent housing placement assistance.
>
> *Column d. [Actual]{.underline} **Non-HOPWA** Assisted Households:*
> Report the actual number of households the grantee assisted with
> non-HOPWA leveraged permanent housing placement assistance.
>
> ***Scenario:*** The HOPWA program assists a household with a rent
> deposit but does not provide assistance with the credit check fee
> because another local agency already provides this service, which the
> household utilizes. This household would be counted as receiving a
> non-HOPWA-funded Permanent Housing Placement Service.
>
> []{.mark}
>
> []{.mark}
>
> ***NOTE:** The errata*[**6**](#Update6) *indicates that an "adjustment
> to eliminate duplication" line can be added after Row 11. Grantees can
> insert this information where possible for all columns except Column
> g. Leveraged non-HOPWA.*
>
> []{.mark}
>
> *Row. Total Housing Placement Assistance:* For Columns a--d, subtract
> the amount in the adjustment to eliminate duplication row from the
> total of Rows 10 and 11 and enter the difference.

[]{.mark}

-   [**Funding** --- HOPWA Budget and Actual and Leveraged
    Non-HOPWA]{.smallcaps}:

> *Row 10. Housing Information Services:*
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> budgeted for housing information services for the households reported
> in Column a.
>
> *Column f. Actual HOPWA funds expended:* Report the amount of HOPWA
> funds actually expended for housing information services for the
> households reported in Column b.
>
> *Column g. Leveraged Non-HOPWA funds expended:* Report the amount of
> non-HOPWA leveraged funds expended for housing information services
> for the households identified in Column d.
>
> *Row 11. Permanent Housing Placement Services:* Report the amount of
> funds expended on households that received permanent housing placement
> services.
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> budgeted for permanent housing placement activities for the households
> reported in Column a.
>
> *Column f. Actual HOPWA funds expended:* Report the actual amount of
> HOPWA funds expended for permanent housing placement activities for
> the households reported in Column b.
>
> *Column g. Leveraged Non-HOPWA funds expended:* Report the amount of
> non-HOPWA leveraged funds expended for permanent housing placement
> activities for the households identified in Column d.
>
> ***NOTE:** The errata*[**6**](#Update6) *indicates that an "adjustment
> to eliminate duplication" line can be added after Row 11. Grantees can
> insert this information where possible for all columns except Column
> g. Leveraged non-HOPWA.*
>
> []{.mark}
>
> *Row. Total Housing Placement Assistance:* For Columns e--f, subtract
> the amount of funds in the adjustment to eliminate duplication row
> from the total of Rows 10 and 11 and enter the difference.

[]{.mark}

In the fifth and final section of the chart---**Administration and
Management[7](#Update7)**---grantees record all other eligible
administrative and management activities.

Figure 1 (see CAPER page 5): Housing Development, Administration, and
Management (Rows 12--14)

<table>
<colgroup>
<col style="width: 2%" />
<col style="width: 61%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 5%" />
<col style="width: 4%" />
<col style="width: 5%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="2" rowspan="4"></td>
<td></td>
<td colspan="5"><strong>Outputs Households</strong></td>
<td colspan="3" rowspan="2">Funding</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">HOPWA Assistance</td>
<td colspan="3">Non-HOPWA</td>
</tr>
<tr class="odd">
<td></td>
<td>a.</td>
<td>b.</td>
<td>c.</td>
<td colspan="2">d.</td>
<td>e.</td>
<td>f.</td>
<td>g.</td>
</tr>
<tr class="even">
<td></td>
<td><blockquote>
<p>Goal</p>
</blockquote></td>
<td><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>Goal</p>
</blockquote></td>
<td colspan="2"><blockquote>
<p>Actual</p>
</blockquote></td>
<td><blockquote>
<p>HOPWA Budget</p>
</blockquote></td>
<td><blockquote>
<p>HOPWA Actual</p>
</blockquote></td>
<td><blockquote>
<p>Leveraged Non-HOPWA</p>
</blockquote></td>
</tr>
<tr class="odd">
<td></td>
<td><strong>Housing Development, Administration, and Management
Services<a href="#Update7">7</a></strong></td>
<td> </td>
<td> </td>
<td> </td>
<td colspan="2"> </td>
<td> </td>
<td> </td>
<td> </td>
<td></td>
</tr>
<tr class="even">
<td>12.</td>
<td>Resource Identification to establish, coordinate and develop housing
assistance resources</td>
<td> </td>
<td> </td>
<td> </td>
<td colspan="2"> </td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
</tr>
<tr class="odd">
<td>13.</td>
<td>Grantee Administration (maximum 3% of total) (i.e., costs for
general management, oversight, coordination, evaluation, and
reporting)</td>
<td> </td>
<td> </td>
<td> </td>
<td colspan="2"> </td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
</tr>
<tr class="even">
<td>14.</td>
<td>Project Sponsor Administration (maximum 7% of total) (i.e., costs
for general management, oversight, coordination, evaluation, and
reporting)</td>
<td> </td>
<td> </td>
<td> </td>
<td colspan="2"> </td>
<td> </td>
<td> </td>
<td> </td>
<td> </td>
</tr>
<tr class="odd">
<td></td>
<td><strong>Total costs for program year</strong></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

-   [Housing Development, Administration, and Management
    Services:]{.smallcaps}

**NOTE**: This section includes information about the administration of
your HOPWA grant only. Financial information related to Resource
Identification, Grantee Administration, and Project Sponsor
Administration should be reported here.

-   [Outputs **Households **]{.smallcaps}--- [HOPWA Assistance and
    Non-HOPWA Assistance:]{.smallcaps} NO DATA REQUIRED in Columns a--d.

> *Rows 12--14.* NO DATA REQUIRED. Administrative and Management funds
> cannot be used to provide direct services to HOPWA-assisted
> households.

-   [**Funding** --- HOPWA Budget and Actual and Leveraged
    Non-HOPWA]{.smallcaps}:

> *Row 12.* *Resource Identification to establish, coordinate and
> develop housing assistance resources (includes Technical Assistance in
> Community Residences):*
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> budgeted for resource identification activities.
>
> *Column f. Actual HOPWA funds expended:* Report the actual amount of
> HOPWA funds expended on resource identification activities.
>
> *Column g. Leveraged Non-HOPWA funds expended:* Report the amount of
> non-HOPWA leveraged funds expended on resource identification
> activities.
>
> []{.mark}
>
> *Row 13. Grantee Administration:*
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> budgeted for grantee administrative activities.
>
> *Column f. Actual HOPWA funds expended:* Report the actual amount of
> HOPWA funds expended on grantee administrative activities.
>
> *Column g. Leveraged Non-HOPWA funds expended:* Report the amount of
> non-HOPWA leveraged funds expended on grantee administrative
> activities.
>
> []{.mark}
>
> *Row 14. Project Sponsor Administration:* Report the amount of HOPWA
> funds all project sponsors spent on grant administration activities
> during the operating year.
>
> *Column e. HOPWA Funds Budgeted:* Report the amount of HOPWA funds
> budgeted for project sponsor administrative activities.
>
> *Column f. Actual HOPWA funds expended:* Report the actual amount of
> HOPWA funds expended on project sponsor administrative activities
>
> *Column g. Leveraged Non-HOPWA funds expended:* Report the amount of
> non-HOPWA leveraged funds expended on project sponsor administrative
> activities.

[]{.mark}

[]{.mark}

-   [Total Costs for Program Year:]{.smallcaps}

> *Total Expenditures:* Add Rows 12--14 in Columns e--g and enter the
> total here.

[]{.mark}

[]{.mark}

# Part 3: Instructions on HOPWA CAPER Chart 3 on Measuring Housing Stability Outcomes

This section covers Part 3 (page 6) of the CAPER:

-   Reporting on the number of households served by type of housing
    assistance

-   Reporting on destination for households that have exited

The CAPER is set up to measure housing stability by collecting data on
the housing situation of the households that received HOPWA housing
support prior to entering the program. In many cases, households
continue in the program year-to-year or newly enter the program during
the year. This part assesses the housing stability of these households,
including single-family households, at the time of re-assessment or when
they exit the program. Assessment should be based on a reasonable
expectation of the housing result. For example if a household leaves a
program, what is reasonably expected to be their destination? The CAPER
also provides a worksheet[**13**](#Update13)
[**14**](#worksheet-on-determining-hopwa-outcomes-assessing-stable-and-temporary-housing-results-updated-5406)
that uses this data to show your program results toward achieving
housing stability. See the updated housing stability worksheet that
discusses the categories HOPWA has provided from which to choose the
types of housing situations.

Key to this section is an annual assessment that would determine that
the assistance is to continue or be changed in some manner. HOPWA
regulations at 24 CFR 754.500 require ongoing assessment. Grantees
should undertake an annual household assessment to plan for the
assistance that will continue into the next year. This section allows
grantees to report on how they're meeting this requirement.

Households assisted with Tenant-based Rental Assistance and
Facility-based Rental Assistance that exit the HOPWA program or
transition to any other kind of assistance should be reported in the
most appropriate category upon their exit.

STRMU recipients who are assessed and reasonably expected to have
achieved stability and are not likely to need additional STRMU support
should be reported in a stable category, such as "3" private housing,
even if they have received only some portion of the 21 weeks of
assistance. If additional STRMU assistance is likely to continue, or if
case management assessment indicates that even after having received the
full 21 weeks of benefit the household is reasonable expected to need
further future support, report as category "2" temporary housing. STRMU
assistance is provided as a homelessness prevention tool and therefore,
households reported in category 2, "Temporary Housing"are not counted
toward your programs results in achieving housing stability.

The chart on page 6 of the APR will be reviewed by breaking it into two
sections, the Tenant-based Rental Assistance and Facility-based Rental
Assistance, and Short-term Rent, Mortgage, and Utility (STRMU)
assistance.

***Figure 2 (see CAPER page 6): Types of Housing Assistance***

+---------+----------------+----------------+--------------------------+
| **Pe    | **Total Number | **Number of    | **Number of Exited       |
| rmanent | of Households  | Households     | Households\              |
| Housing | Receiving      | Continuing**   | Component and            |
| Subsidy | HOPWA          |                | Destination**            |
| Assis   | Assistance**   |                |                          |
| tance** |                |                |                          |
+---------+----------------+----------------+--------------------------+
| **Tenan |                |                | 1 (Emergency Shelter) =  |
| t-based |                |                |                          |
| Rental  | ENTER ALL\     | REPORT ALL     |                          |
| Assis   | HOUSEHOLDS     |                |                          |
| tance** | SERVED         | HOUSEHOLDS\    |                          |
|         |                | WHO WILL       |                          |
|         |                | CONTINUE\      |                          |
|         |                | TO RECEIVE     |                          |
|         |                |                |                          |
|         |                | ASSISTANCE     |                          |
+---------+----------------+----------------+--------------------------+
|         |                |                | 2 (Temporary Housing) =  |
|         |                |                |                          |
+---------+----------------+----------------+--------------------------+
|         |                |                | 3 (Private Housing) =    |
|         |                |                |                          |
+---------+----------------+----------------+--------------------------+
|         |                |                | 4 (Other HOPWA) =        |
+---------+----------------+----------------+--------------------------+
|         |                |                | 5 (Other Subsidy) =      |
|         |                |                |                          |
+---------+----------------+----------------+--------------------------+
|         |                |                | 6 (Institution) =        |
+---------+----------------+----------------+--------------------------+
|         |                |                | 7 (Jail/Prison) =        |
+---------+----------------+----------------+--------------------------+
|         |                |                | 8 (Disconnected) =       |
+---------+----------------+----------------+--------------------------+
|         |                |                | 9 (Death) =              |
+---------+----------------+----------------+--------------------------+
| **      |                |                | 1 (Emergency Shelter) =  |
| Facilit |                |                |                          |
| y-based | ENTER ALL\     | REPORT ALL     |                          |
| Housing | HOUSEHOLDS     |                |                          |
| Assis   | SERVED         | HOUSEHOLDS\    |                          |
| tance** |                | WHO WILL       |                          |
|         |                | CONTINUE\      |                          |
|         |                | TO RECEIVE     |                          |
|         |                |                |                          |
|         |                | ASSISTANCE     |                          |
+---------+----------------+----------------+--------------------------+
|         |                |                | 2 (Temporary Housing) =  |
|         |                |                |                          |
+---------+----------------+----------------+--------------------------+
|         |                |                | 3 (Private Housing) =    |
|         |                |                |                          |
+---------+----------------+----------------+--------------------------+
|         |                |                | 4 (Other HOPWA) =        |
+---------+----------------+----------------+--------------------------+
|         |                |                | 5 (Other Subsidy) =      |
|         |                |                |                          |
+---------+----------------+----------------+--------------------------+
|         |                |                | 6 (Institution) =        |
+---------+----------------+----------------+--------------------------+
|         |                |                | 7 (Jail/Prison) =        |
+---------+----------------+----------------+--------------------------+
|         |                |                | 8 (Disconnected) =       |
+---------+----------------+----------------+--------------------------+
|         |                |                | 9 (Death) =              |
+---------+----------------+----------------+--------------------------+

-   [Type of Housing Assistance]{.smallcaps}: Tenant-based Rental
    Assistance or Facility-based Housing Assistance.

-   [Total Number of Households Receiving HOPWA Assistance:]{.smallcaps}

**NOTE**: If a household received more than one type of HOPWA housing
assistance in the year, they should be counted in all categories that
apply.

> *Tenant-based Rental Assistance:* Report the total number of
> households that received HOPWA-funded tenant-based rental assistance
> in the operating year. This is the total of all currently enrolled AND
> all exited households who accessed the type of housing assistance at
> any time during the year. The data provided should match the data in
> Part 2, Row 1, Column b "HOPWA Assistance Actual."
>
> *Facility-based Rental Assistance:* Report the total number of
> households that received HOPWA-funded facility-based housing
> assistance in the operating year. This is the total of all currently
> enrolled AND all exited households who accessed the type of housing
> assistance at any time during the year. The data provided should match
> the data in Part 2, Row 2, Column b "HOPWA Assistance Actual."

-   [Number of Households Continuing:]{.smallcaps}

> *Tenant-based Rental Assistance:* Report the number of HOPWA-assisted
> households that are continuing to receive tenant-based housing
> assistance.
>
> *Facility-based Housing Assistance:* Report the number of
> HOPWA-assisted households that are continuing to receive
> facility-based housing assistance.

***NOTE**: The total number of households reported in Column 3,
subtracted from the total number of households reported in Column 1,
should equal the amount reported in Column 2.*

-   [Number of Exited Households, Component, and
    Destination:]{.smallcaps} See the revised Housing Stability
    Worksheet for destination definitions**[13](#Update13),
    [14](#worksheet-on-determining-hopwa-outcomes-assessing-stable-and-temporary-housing-results-updated-5406)**.

> *Tenant-based Rental Assistance:* Report the number of households that
> left the program during the operating year by their housing
> destination.
>
> *Facility-based Rental Assistance:* Report the number of households
> that left the program during the operating year by their housing
> destination.

*Figure 3 (see CAPER page 6): Short-term Housing
Assistance[**14**](#worksheet-on-determining-hopwa-outcomes-assessing-stable-and-temporary-housing-results-updated-5406)*

+-------------+--------------+----------------+-----------------------+
| *           | **Total      | **Of the Total | **Status of STRMU     |
| *Short-term | Number of    | number         | Assisted\             |
| Housing     | Households   | Households     | Households at the End |
| A           | Receiving    | Receiving      | of\                   |
| ssistance** | HOPWA        | STRMU          | Operating Year**      |
|             | Assistance** | Assistance     |                       |
|             |              | this operating |                       |
|             |              | year**         |                       |
+-------------+--------------+----------------+-----------------------+
| *           |              | > **What       | 1 (Emergency Shelter) |
| *Short-term |              | > number of    | =                     |
| Rent,       |              | > those        |                       |
| Mortgage,   |              | > households   |                       |
| and Utility |              | > received     |                       |
| A           |              | > STRMU        |                       |
| ssistance** |              | > Assistance   |                       |
|             |              | > in\          |                       |
|             |              | > the prior    |                       |
|             |              | > operating    |                       |
|             |              | > year:**      |                       |
|             |              | >              |                       |
|             |              | >              |                       |
|             |              | >              |                       |
|             |              | > **What       |                       |
|             |              | > number of    |                       |
|             |              | > those        |                       |
|             |              | > households   |                       |
|             |              | > received     |                       |
|             |              | > STRMU        |                       |
|             |              | > Assistance   |                       |
|             |              | > in\          |                       |
|             |              | > the two (2)  |                       |
|             |              | > prior        |                       |
|             |              | > operating    |                       |
|             |              | > years        |                       |
|             |              | > (ago):**     |                       |
|             |              | >              |                       |
|             |              | >              |                       |
+-------------+--------------+----------------+-----------------------+
|             |              |                | 2 (Temporary Housing) |
|             |              |                | =                     |
+-------------+--------------+----------------+-----------------------+
|             |              |                | 3 (Private Housing)\* |
|             |              |                | =                     |
+-------------+--------------+----------------+-----------------------+
|             |              |                | 4 (Other HOPWA) =     |
|             |              |                |                       |
+-------------+--------------+----------------+-----------------------+
|             |              |                | 5 (Other Subsidy) =   |
|             |              |                |                       |
+-------------+--------------+----------------+-----------------------+
|             |              |                | 6 (Institution) =     |
|             |              |                |                       |
+-------------+--------------+----------------+-----------------------+
|             |              |                | 7 (Jail/Prison) =     |
|             |              |                |                       |
+-------------+--------------+----------------+-----------------------+
|             |              |                | 8 (Disconnected) =    |
|             |              |                |                       |
+-------------+--------------+----------------+-----------------------+
|             |              |                | 9 (Death) =           |
+-------------+--------------+----------------+-----------------------+

-   [Short-term Housing Assistance]{.smallcaps}: Short-term Rent,
    Mortgage, or Utility Assistance.

-   [Total Number of Households Receiving HOPWA Assistance:]{.smallcaps}

NOTE: If a household received more than one type of HOPWA housing
assistance in the year, they should be counted in all categories that
apply.

> *Short-term Rent, Mortgage, and Utility Assistance:* Report the total
> number of households that received HOPWA-funded Short-term Rent,
> Mortgage, and Utility Assistance (STRMU) in the operating year. This
> is the total of all currently enrolled AND all exited households who
> accessed any amount of this type of housing assistance at any time
> during the year. The data provided should match the data in Part 2,
> Row 4, Column b "HOPWA Assistance Actual."

-   [Of the Total Number of Households Receiving STRMU Assistance this
    Operating Year:]{.smallcaps}

> *What number of those households received STRMU Assistance in the
> prior operating year:* FOR STRMU-ASSISTED HOUSEHOLDS ONLY, grantees
> report the number of the STRMU-assisted households that also received
> any amount of STRMU assistance in the prior operating year.
>
> *What number of those households received STRMU Assistance in the
> prior two (2) operating years:* FOR STRMU-ASSISTED HOUSEHOLDS ONLY,
> grantees report the number of households that received any amount of
> STRMU assistance in both of the prior two operating years.

-   [Status of STRMU-Assisted Households at the End of the Operating
    Year:]{.smallcaps}

> *Short-term Rent, Mortgage, and Utility Assistance:* Indicate a status
> for each STRMU-assisted household at the end of the operating year or
> upon the household's exit. See page 9 and the revised Housing
> Stability Worksheet in Appendix
> A[**14**](#worksheet-on-determining-hopwa-outcomes-assessing-stable-and-temporary-housing-results-updated-5406)
> for additional information on categorizing STRMU-assisted households.

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

![](media/image3.wmf){width="0.5in" height="0.875in"}

[]{.mark}

[]{.mark}

# Part 4: HOPWA Outcomes on Access to Care and Support

This section covers Part 4 (pages 7--8) of the CAPER:

-   Reporting on the services accessed and the households' income for
    households receiving HOPWA housing assistance

-   Reporting on services accessed for households receiving non-HOPWA
    housing assistance

Access to health care and supportive services was chosen as an outcome
because it is believed to lead to greater stabilization and improvement
in the lives of people living with HIV/AIDS. The CAPER asks for
information on six categories of services that are intended as measures
of this outcome, even if no HOPWA funds were expended for direct housing
costs. These measures are proxies for more direct measures of access to
care and services, meaning they "stand in place of" more direct
measures. Proxy outcomes are used when direct measurement of the
intended outcome is difficult. Note that in determining the
corresponding support, household income must be reported on an annual
basis and a status check on these households can be done at this time.

The first four measures were chosen out of many ideas identified by
grantees and project sponsors at the 2003 grantees' meeting as the
indicators most relevant to helping people with HIV/AIDS attain or
sustain stability or improvements in their lives. The two job-related
measures were added because this program is an integral part of HUD's
larger community development efforts.

This section asks for information for households that receive supportive
services[**8**](#Update8), broken into two sections. The first is for
reporting on households receiving supportive services [in conjunction
with HOPWA-funded housing assistance]{.underline}. The second section is
for reporting on households receiving a HOPWA supportive service [NOT in
conjunction with HOPWA-funded housing]{.underline}. If a grantee is
operating a housing program, they should provide information based on
reasonable knowledge of additional support the household receives.
Together these sections will allow HOPWA grantees to show the important
effects on the lives of the people they serve that are made by
connecting them with related support while they are receiving housing
assistance. The combination of stable housing and access to care is a
fundamental distinguishing aspect of this program.

*a. Support IN CONJUNCTION with HOPWA-funded Housing
Assistance.*[**8**](#Update8) Complete this chart ONLY for households
that received supportive services from any source at the same time they
received HOPWA-funded housing assistance. These are the same
HOPWA-assisted households that were reported in Part 2, lines 8i, 10 and
11. Reporting at entry/continuing or exit/continuing allows data to be
collected that demonstrates changes in the household status that are a
result of accessing these services.

Figure 4 (see CAPER page 7)

  ---------------------------------------- --------------------------- --------------------------- ------------
  **Category of Services Accessed**        **Number of Households                                  **Number of
                                           receiving HOPWA Housing                                 jobs that
                                           Assistance**                                            included
                                                                                                   health
                                                                                                   benefits**

                                           **At Entry or               **At Exit or                
                                           Continuing[9](#Update9)**   Continuing[9](#Update9)**   

  i\. Has a housing plan for maintaining                                                           
  or establishing stable\                                                                          
  on-going residency                                                                               

  ii\. Had contact with a case                                                                     
  manager/benefit counselor at least once                                                          
  in the last three months (or consistent                                                          
  with the schedule specified in their                                                             
  individualized service plan)                                                                     

  iii\. Had contact with a primary health                                                          
  care provider at least once in the last                                                          
  three months (or consistent with the                                                             
  schedule specified in their                                                                      
  individualized service plan)                                                                     

  iv\. Had medical insurance coverage or                                                           
  medical assistance                                                                               

  v\. Obtained an income-producing job                                                             
  created by this project sponsor during                                                           
  the year                                                                                         

  vi\. Obtained an income-producing job                                                            
  outside this agency during the year                                                              
  ---------------------------------------- --------------------------- --------------------------- ------------

[]{.mark}

-   [Categories of Services Accessed:]{.smallcaps} Lists the services to
    be reported on for households.

-   [Number of Households receiving HOPWA Housing Assistance At Entry or
    Continuing:]{.smallcaps} Report the household's status at the
    beginning of the reporting year or upon initial entry into the
    program.

> *Row i. Has a housing plan for maintaining or establishing stable
> ongoing residency:* Report the number of households that had a housing
> plan (not created by your program) in place upon their initial entry
> into the program AND the number of households continuing in the
> program from the previous year who have a housing plan in place.
>
> *Row ii. Had contact with a case manager/benefit counselor at least
> once in the last three months (or consistent with the schedule
> specified in their individualized service plan):* Report the number of
> new households that had contact with a case manager or benefits
> counselor (not the HOPWA program case manager) at least once in the
> last three months upon their initial entry into the program AND the
> number of households continuing in the program from the previous year
> that had contact with a case manager/benefits counselor at least once
> in the last thee months (or consistent with the schedule specified in
> their individualized service plan). This may be client self-report.
>
> *Row iii. Had contact with a primary health care provider at least
> once in the last three months (or consistent with the schedule
> specified in their individualized service plan):* Report the number of
> new households that had contact with a primary health care provider at
> least once in the last three months upon their initial entry into the
> program AND the number of households continuing in the program from
> the previous year that had contact with a primary health care provider
> at least once in the last three months (or consistent with the
> schedule specified in their individualized service plan). This may be
> client self-report.
>
> *Row iv. Had medical insurance coverage or medical assistance:* Report
> the number of new households that had medical insurance coverage or
> medical assistance upon their initial entry into the program AND the
> number of households continuing in the program from the previous year
> that have medical insurance coverage or medical assistance. This may
> be client self-report.
>
> *Row v.* NO DATA REQUIRED.
>
> *Row vi.* NO DATA REQUIRED.

-   [Number of Households receiving HOPWA Housing Assistance at Exit or
    Continuing:]{.smallcaps} Report in Rows i--vi the household's status
    at the end of the operating year or upon departure from the HOPWA
    program.

> *Row i. Has a housing plan for maintaining or establishing stable
> ongoing residency:* Report the number of exiting and continuing
> households that had a housing plan.
>
> *Row ii. Had contact with a case manager/benefit counselor at least
> once in the last three months (or consistent with the schedule
> specified in their individualized service plan):* Report the number of
> exiting and continuing households that had contact with a case manager
> or benefits counselor in the specified time period. For participants
> receiving case management from a non-HOPWA source, the client may
> self-report the amount of contact.
>
> *Row iii. Had contact with a primary health care provider at least
> once in the last three months (or consistent with the schedule
> specified in their individualized service plan):* Report the number of
> exiting and continuing households that had contact with a primary
> health care provider in the specified time period. This may be client
> self-report.
>
> *Row iv. Had medical insurance coverage or medical assistance:* Report
> the number of exiting and continuing households that had medical
> insurance coverage or medical assistance.
>
> *Row v. Obtained an income-producing job created by this project
> sponsor during the year:* Report the number of exiting and continuing
> households that obtained a job with the direct assistance of the
> project sponsor.
>
> *Row vi. Obtained an income-producing job outside this agency during
> the year:* Report the number of exiting and continuing households that
> obtained a job without any direct assistance from the project sponsor.

-   [Number of Jobs that included health benefits:]{.smallcaps}

> *Rows i--iv.* NO DATA REQUIRED.
>
> *Row v. Obtained an income-producing job created by this project
> sponsor during the year:* For the households reported to have obtained
> a job [with the direct assistance]{.underline} of the project sponsor,
> report the number of those jobs that included health benefits.
>
> *Row vi. Obtained an income-producing job outside this agency during
> the year:* For the households reported to have obtained a job [without
> the direct assistance]{.underline} of the project sponsor, report the
> number of those jobs that included health benefits.

*b. Income AT [ENTRY]{.underline} OR CONTINUING:* Report on the
household monthly income of households that received supportive services
ONLY (paid for by HOPWA or non-HOPWA sources) that is [in conjunction
with HOPWA-funded housing assistance]{.underline}. These are the same
households reported in the above chart and in Part 2, Rows 8(i), 10 and
11.

**NOTE**: Households may be reported in both income charts if they were
in the program at the beginning and the end of the program year.

> *Rows 1--8.* [For entering and continuing households]{.underline},
> report the number of households in each income category. All
> households that are continuing from the previous year should be
> counted in an income category at the beginning of the operating year
> AND all households that entered the program at any time throughout the
> year should be counted in an income category at the time of entry.

*Figure 5 (see CAPER page 7)*[**10**](#Update10)

*b. (con't) Income AT [EXIT]{.underline}/END OF YEAR:* Report on the
household monthly income of households receiving supportive services
(ONLY) that is [in conjunction with HOPWA-funded housing
assistance]{.underline}. These are the same households reported in the
above chart and in Part 2, Rows 8(i), 10 and 11.

> *Rows 1--8.* [For exiting and continuing households]{.underline},
> report the number of households in each income category. All
> households that are have exited during the year should be reported in
> an income category at the time of exit AND all households that are
> continuing into the next operating year should be reported in an
> income category at the end of the operating year.

*Figure 6 (see CAPER page 7, Part 4)*[**10**](#Update10)

*c. Support NOT IN CONJUNCTION with HOPWA-funded Housing
Assistance*[**8**](#Update8) *(those special circumstances where the
HOPWA program covers the cost of supportive services and housing needs
are addressed elsewhere, through other sources).* Complete this chart
for all households receiving HOPWA supportive services ONLY, but did not
HOPWA-funded housing assistance. These are the same households that were
reported in Part 2, Rows 8(ii), 10 and 11.

*Figure 7 (see CAPER page 8)*

-   [Categories of Services Accessed]{.smallcaps}: Lists the services to
    be reported on for households.

-   [Number of Households Receiving HOPWA Housing Assistance At Entry or
    Continuing:]{.smallcaps} **[11](#Update11)** Report the household's
    status at the beginning of the reporting year or upon initial entry
    into the program.

> *Row i. Has a housing plan for maintaining or establishing stable
> ongoing residency:* Report the number of households that had a housing
> plan (not created by your program) in place upon their initial entry
> into the program AND the number of households continuing in the
> program from the previous year who have a housing plan in place.
>
> *Row ii. Had contact with a case manager/benefit counselor at least
> once in the last three months (or consistent with the schedule
> specified in their individualized service plan):* Report the number of
> new households that had contact with a case manager or benefits
> counselor (not the HOPWA program case manager) at least once in the
> last three months upon their initial entry into the program AND the
> number of households continuing in the program from the previous year
> that had contact with a case manager/benefits counselor at least once
> in the last thee months (or consistent with the schedule specified in
> their individualized service plan). This may be client self-report.
>
> *Row iii. Had contact with a primary health care provider at least
> once in the last three months (or consistent with the schedule
> specified in their individualized service plan):* Report the number of
> new households that had contact with a primary health care provider at
> least once in the last three months upon their initial entry into the
> program AND the number of households continuing in the program from
> the previous year that had contact with a primary health care provider
> at least once in the last three months (or consistent with the
> schedule specified in their individualized service plan). This may be
> client self-report.
>
> *Row iv. Had medical insurance coverage or medical assistance:* Report
> the number of new households that had medical insurance coverage or
> medical assistance upon their initial entry into the program AND the
> number of households continuing in the program from the previous year
> that have medical insurance coverage or medical assistance. This may
> be client self-report.
>
> *Row v.* NO DATA REQUIRED.
>
> *Row vi.* NO DATA REQUIRED.

-   [Number of Households receiving HOPWA Housing Assistance at Exit or
    Continuing:]{.smallcaps} Report in Rows i--vi based on the
    household's status at the end of the operating year or upon
    departure from the HOPWA program.

> *Row i. Has a housing plan for maintaining or establishing stable
> on-going residency:\
> *Report the number of exiting and continuing households that had a
> housing plan.
>
> *Row ii. Had contact with a case manager/benefit counselor at least
> once in the last three months (or consistent with the schedule
> specified in their individualized service plan):* Report the number of
> exiting and continuing households that had contact with a case manager
> or benefits counselor in the specified time period. For participants
> receiving case management from a non-HOPWA source, the client may
> self-report the amount of contact.
>
> *Row iii. Had contact with a primary health care provider at least
> once in the last three months (or consistent with the schedule
> specified in their individualized service plan):* Report the number of
> exiting and continuing households that had contact with a primary
> health care provider in the specified time period. This may be client
> self-report.
>
> *Row iv. Had medical insurance coverage or medical assistance:* Report
> the number of exiting and continuing households that had medical
> insurance coverage or medical assistance.
>
> *Row v. Obtained an income-producing job created by this project
> sponsor during the year:* Report the number of exiting and continuing
> households that obtained a job with the direct assistance of the
> project sponsor.
>
> *Row vi. Obtained an income-producing job outside this agency during
> the year:* Report the number of exiting and continuing households that
> obtained a job without any direct assistance from the project sponsor.

-   [Number of Jobs that Included Health Benefits]{.smallcaps}:

> *Rows i--iv.* NO DATA REQUIRED.
>
> *Row v. Obtained an income-producing job created by this project
> sponsor during the year:* For the households reported to have obtained
> a job [with the direct assistance]{.underline} of the project sponsor,
> report the number of those jobs that included health benefits.
>
> *Row vi. Obtained an income-producing job outside this agency during
> the year:* For the households reported to have obtained a job [without
> the direct assistance]{.underline} of the project sponsor, report the
> number of those jobs that included health benefits.

![](media/image3.wmf){width="0.5in" height="0.875in"}

# Part 5: Appendix -- Worksheet on Determining HOPWA Housing Stability Outcomes

This section covers part 5 (pages 9--10) of the CAPER:**[13](#Update13)
[14](#worksheet-on-determining-hopwa-outcomes-assessing-stable-and-temporary-housing-results-updated-5406)**

-   Information on how to categorize and count households as stable or
    unstable based on their housing situation

Part 5 of the CAPER provides more detailed definitions of each of the
housing stability codes used in the HOPWA Performance Outcomes, Housing
Stability section, on page 6 of the CAPER. Grantees reported a housing
type or destination for each HOPWA household that received assistance
with tenant-based rental assistance, facility-based rental assistance,
and/or short-term rent, mortgage, or utility assistance, when they
exited the HOPWA program or at the end of the operating year if it's
expected that they'll continue into the next operating year. With that
information, grantees can now determine the percentage of assisted
households that are stable or unstable by using the
worksheet**[13](#Update13)
[14](#worksheet-on-determining-hopwa-outcomes-assessing-stable-and-temporary-housing-results-updated-5406)**
below.

Remember for STRMU-assisted households that the current situation must
be carefully assessed through case management to determine and track
household stability in the most realistic manner. Some household tracked
by operating year will "exit" for purposes of this report and should be
reported in the most appropriate category. All households should be
assessed each time STRMU assistance is requested and as needed at the
end of the operating year. Household that are reasonably expected to
need continued support, whether they have received all or only some
portion of the allowable 21 weeks of assistance should be reported in
category 2, "Temporary Housing." Households that are reasonably expected
to have achieved stability after having received any amount of STRMU
assistance should be reported in category 3, "Private Housing." The
expectation is that these households will be able to maintain
independence and will not require additional STRMU assistance. STRMU
assistance is provided as a homelessness prevention tool and therefore,
households reported in category 2, "Temporary Housing"are not counted
toward your programs results in achieving housing stability.

**NOTE:** This worksheet does not need to be completed and submitted
with the APR. HUD will use data provided elsewhere in the form to review
these outcome results. The form is intended for grantee's internal use
in determining if they are meeting their stated outcomes in assisting
households to achieve housing stability.

Using the data on page 6 of the CAPER, grantees can plug those numbers
into this worksheet and determine percentages.**[13](#Update13) &
[14](#worksheet-on-determining-hopwa-outcomes-assessing-stable-and-temporary-housing-results-updated-5406)**

  ------------------ ------------------ ------------------- ---------------
  **Type of Housing  **Number in stable **Number in         **Percent
  Assistance**       housing**          unstable            Stable/total\
                                        situations**        **

  Tenant-based       (# remaining in    (1+2+7+8=#)              
  Rental Assistance  program plus                           
  (TBRA)             3+4+5+6=#)                             

  Facility-based     (# remaining in    (1+2+7+8=#)              
  Housing Assistance program plus                           
                     3+4+5+6=#)                             

  Short-term Rent,   (3+4+5+6=#)        (1+2+7+8=#)              
  Mortgage, and                                             
  Utility Assistance                                        
  (STRMU)                                                   

  Total HOPWA                                                    
  Housing Assistance                                        

  Prior Year Results                                             
  ------------------ ------------------ ------------------- ---------------

# Appendix A. HOPWA Technical Notes and Other Errata on Performance Reports 

Please use this guidance in conducting data collection and evaluation of
HOPWA programs under the new HOPWA reporting forms, issued earlier this
year. These provide comments on instructions and interpretations of
reporting elements.

Questions on these matters may be directed to the Office of HIV/AIDS
Housing at HOPWA@hud.gov

## HOPWA Consolidated Annual Performance Evaluation Report Measuring Performance Outcomes (form HUD-40110-D, Revised 1/2006); technical notes updated 5/4/06

1.  []{#Update1 .anchor}[Page 5]{.underline}: The first rows, 1*--*4,
    are to be covered by a column heading: *Housing Subsidy Assistance*

2.  []{#Update2 .anchor}Reword Row 2 as *Facility-based units that
    receive operating subsidy: Number of households supported*

3.  []{#Update3 .anchor}Reword Row 3 as *Facility-based units developed
    with capital funds and placed in service during the operating year:
    Number of households supported.*

4.  []{#Update4 .anchor}After Row 4, a row in the Housing Subsidy
    Assistance section could allow for an *Adjustment to eliminate
    duplication* and R[ow 7 could be deleted]{.underline}.

5.  []{#Update5 .anchor}Delete the word *households* from the row after
    Row 7; edit to read: "Total unduplicated number of units of housing
    assisted"

6.  []{#Update6 .anchor}After Row 11, a row in this section could allow
    for an *Adjustment to eliminate duplication.*

7.  []{#Update7 .anchor}In the title above Row 12, delete the words
    *Housing Development*; edit to read: "Administration, and Management
    Services"

8.  []{#Update8 .anchor}[Page 7]{.underline}: Access to Care and Support
    should be assessed for all households who benefit from HOPWA housing
    support, as noted in the title of the instruction, not limited to
    the type of service received. In addition, if a client is only
    benefiting from a type of supportive service, i.e. their housing is
    addressed from some other sources, these also would be assessed in
    this section, but under the chart in item c. The revised
    instructions are to read:

> **a. Support in conjunction with HOPWA-funded Housing Assistance.**
> Please report on the access to care and support for all households
> receiving HOPWA housing assistance. Report on the household status at
> program entry (or beginning of operating year for households
> continuing from previous year) and program exit (or end of operating
> year for households continuing services in the following operating
> year), if eligible individual living with HIV/AIDS accessed services.

9.  []{#Update9 .anchor}Edit column headings to clarify the term
    continuing in the two contexts: At Entry or Continuing *from prior
    year*; At Exit or Continuing *to next year*.

10. []{#Update10 .anchor}The effectiveness of data collected in item b.
    Income table will be reviewed and may be deleted in future editions
    of this report.

11. []{#Update11 .anchor}[Page 8:]{.underline} For the chart in item c,
    the column headings would apply to persons receiving HOPWA
    supportive services (not housing as noted in the instructions) and
    should read: "Number of Households receiving HOPWA-*funded
    Supportive Services*"

12. Edit column headings to clarify the term continuing in the two
    contexts: At Entry or Continuing *from prior year*; At Exit or
    Continuing *to next year*.

13. []{#Update13 .anchor}[Page 9]{.underline}: Note the Worksheet has
    been replaced. See attached guidance

W*orksheet on Determining HOPWA Outcomes---Assessing Stable and
Temporary*

*Housing Results (updated 5/4/06)*

# 

# 

# 

# 

# 

# 

# 

## Worksheet on Determining HOPWA Outcomes Assessing Stable and Temporary Housing Results (updated 5/4/06)

**HUD will be reviewing data in achieving this national result under the
HOPWA performance indicator:** The percentage of HOPWA clients who
maintain housing stability, avoid homelessness and access care increases
through the use of annual resources with the goal that this reaches 80
percent by 2008.

**Grantees should compare their annual results against their own program
goals and this national program performance indicator.** This can be
done by reviewing the percent of their HOPWA households who are shown to
be residing in stable housing or in temporary arrangements that reduce
their risks of homelessness.

## Background on HOPWA Housing Stability Codes

**Unstable Emergency or Homeless status**

1 = Emergency shelter or no housing destination such as places not meant
for habitation (e.g., a vehicle, an abandoned building, bus/train/subway
station, or anywhere outside).

**Short-term and Temporary Housing Arrangements**

2 = Temporary housing - moved in with family/friends or other temporary,
short-term arrangements, such as continued STRMU assistance, Ryan White
subsidy, transitional housing for homeless, and temporary placement in
institution (e.g., hospital, psychiatric hospital or other psychiatric
facility, substance abuse treatment facility or detox center)\*

\* *NOTE:* *STRMU is considered a temporary arrangement that reduces the
risks of homelessness for a tenant or resident owner, and should be
reported as category #2, if there is a reasonable expectation that
additional STRMU support is needed or likely to continue into the next
program year and assist the household in avoiding homelessness.*

**Stable Permanent Housing/Ongoing Participation**

3 = Private Housing in the private rental or home ownership market
(without known subsidy other than STRMU, including permanent placement
with families or other self sufficient arrangements) with reasonable
expectation that additional support is not needed.

4 = Other HOPWA-funded housing assistance (not STRMU), e.g. TBRA or
Facility-based Assistance.

*NOTE: For some households, STRMU may address the temporary housing need
for a tenant or resident owner, and should be reported as category #3,
if there is an assessment and reasonable expectation that additional
STRMU support will NOT be needed or is unlikely to continue into the
next program year and the household will likely maintain its private
housing arrangement*

5 = Other subsidized house or apartment (non-HOPWA sources, e.g.,
Section 8, HOME, public housing).

6 = Institutional setting with greater support and continued residence
expected (e.g., residential or long-term care facility, hospital).

**Life Events**

7 = Jail /prison.

8 = Disconnected or disappeared from project support, unknown
destination or no assessments of housing needs were undertaken.

9 = Death, i.e., remained in housing until death. This characteristic is
not factored into the housing stability equation.

**OUTCOME ASSESSED:** The HOPWA assisted households were enabled to
establish and/or better maintain a stable living environment in housing
that is safe, decent, and sanitary, and to reduce their 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.

**OUTCOME INDICATOR** is the total as follows as assessed at the end of
each grantee program year (or when the household exited or had the last
contact with the program during that year):

**A. Assessments for STRMU assistance:**

**Stable Housing** is the sum of the number of households reported under
categories 3, 4, 5, and 6 who accessed assistance for some portion of
the permitted 21-week period and there is reasonable expectation that
additional STRMU support is **not** needed in order to maintain private
housing arrangements (as STRMU is a time-limited form of housing
support)**.**

**Temporary Housing** reported under category 2 should be used to
reflect on-going short-term or temporary efforts that help prevent or
reduce risks of homelessness. Include households who received STRMU
assistance for some portion of the permitted 21-week period and who will
most likely continue to receive this assistance in the next program
year, based on a reasonable understanding or assessment of their housing
arrangements.

**Unstable Situations** is the sum of the number of households reported
under categories 1, 7, and 8 that accessed assistance for some portion
of the permitted 21-week period during that program year and the
household is not maintaining a stable or temporary housing arrangement
that is likely to continue to need STRMU assistance into the next year.

B.  **Assessments for TBRA:**

**Stable Housing** is the sum of the number of households who (i) remain
in the housing and (ii) those who left the assistance as reported in
categories 3, 4, 5, and 6. **Temporary housing** is those households
reported under category 2. **Unstable Situations** is the sum of number
of households reported under categories 1, 7 and 8.

**C. Assessments for Facility-based housing assistance:**

**Stable Housing** is the sum of the number of households who (i) remain
in the housing and (ii) those who exited the program, as reported under
categories 3, 4, 5, and 6. **Temporary housing** is those households
reported under category 2. **Unstable Situations** is the sum of the
number of households reported under categories 1, 7, and 8.

**Worksheet on Percentage of Households (HHs) in Stable & Temporary
Housing**

+-----------+----------+-----------+---------+----------+----------+
| **Type of | **\[A\]  | **\[B\]   | **\[C\] | **\[D\]  | **\[E\]  |
| Housing   | Number   | Number of | Number  | Percent  | Percent  |
| Ass       | of HHs   | HHs in    | of HHS  | Stab     | Tem      |
| istance** | in       | temporary | in      | le/total | porary** |
|           | stable   | housing   | u       | \        |          |
|           | h        | with      | nstable | [#A/(#A+ | **housi  |
|           | ousing** | reduced   | situa   | B+C)\]** | ng/total |
|           |          | risk of   | tions** |          | \        |
|           |          | homel     |         |          | [#B/(#A+ |
|           |          | essness** |         |          | B+C)\]** |
+-----------+----------+-----------+---------+----------+----------+
| i\.       | (#       | (2=#)     | (1      |      %   |      %   |
| Ten       | r        |           | +7+8=#) |          |          |
| ant-based | emaining |           |         |          |          |
| Rental    | in       |           |         |          |          |
| A         | program  |           |         |          |          |
| ssistance | plus     |           |         |          |          |
|           | 3+       |           |         |          |          |
|           | 4+5+6=#) |           |         |          |          |
|           |          |           |         |          |          |
+-----------+----------+-----------+---------+----------+----------+
| ii\.      | (#       | (2=#)     | (1      |      %   |      %   |
| Facil     | r        |           | +7+8=#) |          |          |
| ity-based | emaining |           |         |          |          |
| Housing   | in       |           |         |          |          |
| A         | program  |           |         |          |          |
| ssistance | plus     |           |         |          |          |
|           | 3+       |           |         |          |          |
|           | 4+5+6=#) |           |         |          |          |
|           |          |           |         |          |          |
+-----------+----------+-----------+---------+----------+----------+
| iii\.     | (3+      | (2=#)     | (1      |      %   |      %   |
| S         | 4+5+6=#) |           | +7+8=#) |          |          |
| hort-term |          |           |         |          |          |
| Rent,     |          |           |         |          |          |
| Mortgage, |          |           |         |          |          |
| and       |          |           |         |          |          |
| Utility   |          |           |         |          |          |
| Ass       |          |           |         |          |          |
| istance\* |          |           |         |          |          |
+-----------+----------+-----------+---------+----------+----------+
| iv\.      |          |           |         |      %   |      %   |
| Total     |          |           |         |          |          |
| HOPWA     |          |           |         |          |          |
| Housing   |          |           |         |          |          |
| A         |          |           |         |          |          |
| ssistance |          |           |         |          |          |
+-----------+----------+-----------+---------+----------+----------+
| v\.       | N/a      | N/a       | N/a     | SUM of   |          |
| RESULT:   |          |           |         | Result   |          |
| Sum of    |          |           |         | by %     |          |
| stable    |          |           |         |          |          |
| and       |          |           |         |      %   |          |
| temporary |          |           |         |          |          |
| housing   |          |           |         |          |          |
| by        |          |           |         |          |          |
| p         |          |           |         |          |          |
| ercentage |          |           |         |          |          |
+-----------+----------+-----------+---------+----------+----------+

\*STRMU recipients who are not likely to need additional STRMU support
are reported as stable, such as category 3 private housing. If
additional STRMU assistance is likely to continue, report as category 2
temporary housing. Compare the sum of Column D and Column E with the
grantee's goal or goal by type of activity and the national goal of at
least 80 percent.

# Appendix B. Glossary

**Adjustment for Duplication:** Refers to the number of households or
beneficiaries that received more than one type of assistance in a given
service category. The adjustment for duplication should provide an
unduplicated total.

**Administrative Costs:** Refers to costs for general management,
oversight, coordination, evaluation, and reporting. By statute, grantee
administrative costs are limited to three percent of total grant award,
to be expended over the life of the grant. Project sponsor
administrative costs are limited to seven percent of the total grant
award, to be expended over the life of the grant.

**Anonymous Data:** Information where you do [not]{.underline} know who
provided the responses. See also Confidential Data below.

**At Entry or Continuing:[9](#Update1)** Indicates the household status
at initial entry into the program when eligibility and housing needs are
assessed or, the household status at the beginning of the operating year
for those households continuing from the prior year.

**At Exit or Continuing:9** Indicates the household status at the time
of departure from the HOPWA program or, the household status at the end
of the operating year for those households continuing into the next
year.

**Baseline:** Data gathered to provide a comparison for assessing
program changes or impact.

**Benchmark:** Data used as a comparison or a standard of achievement
for a specific indicator or outcome.

**Beneficiary:** A beneficiary is any individual who received HOPWA
housing assistance during the operating year, and includes all members
of the household receiving assistance.

**Chronically homeless person:** A "chronically homeless person" is "an
unaccompanied homeless individual with a disabling condition who has
either been continuously homeless for a year or more **OR** has had at
least four episodes of homelessness in the past three years." For this
purpose, the term "homeless" means "a person sleeping in a place not
meant for human habitation (e.g., living on the streets) or in an
emergency homeless shelter." This does not include doubled-up or
overcrowding situations.

**Community Residence:** A community residence shall be a multi-unit
residence designed for eligible persons...\[to provide a\]...lower cost
residential alternative to institutional care and to prevent or delay
the need for institutional care \[or\] to provide a permanent or
transitional residential setting with appropriate services that enhances
the quality of life for individuals who are unable to live
independently.

**Compliance Monitoring:** Tracking and reporting information on what
and how much service a program delivers, the clients it serves, how much
money it expends, and, possibly, the outcomes it achieved, in relation
to what an organization has agreed upon, generally referring to
contractual arrangements made between an organization and its funder on
the use of funds.

**Confidential Data:** Information where you do know---or can find
out---who provided the responses, but you keep the information to
yourself.

**Data:** Information collected in a systematic way that is used to draw
conclusions about a program or its outcomes.

**Disabling condition:** A "disabling condition" is "a diagnosable
substance use disorder, serious mental illness, developmental
disability, or chronic physical illness or disability, including the
co-occurrence of two or more of these conditions." In addition, a
disabling condition may limit an individual's ability to work or perform
one or more activities of daily living. An HIV/AIDS diagnosis is
considered a disabling condition.

**Entered the program:** When the participant's eligibility and housing
needs are assessed.

**Evaluation:** The systematic application of social research procedures
for assessing the conceptualization, design, implementation, and utility
of health or social interventions.

**Facility Based Rental Assistance:** Expenditures 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. Facility-based housing is attached to the unit, not the
participant. Assistance can only be provided to an eligible participant
while they reside in the assisted unit.

**Facility-Based Non-Housing:** Meeting or office space where clients
access case management or other services but no housing units are
located on site.

**Goal:** Broad statement of the ultimate aims of a program, generally
beyond the ability of one organization to achieve on its own.

**Grassroots organization:** A "grassroots organization" means an
organization that is headquartered in the local community to which it
provides services; and, (1) has a social services budget of \$300,000 or
less, or (2) has six or fewer full-time equivalent employees. Local
affiliates of national organizations are not considered "grassroots."

**HOPWA-eligible Person:** The person with HIV/AIDS who qualifies the
household for HOPWA assistance. This person may be considered "Head of
Household." When the CAPER asks for information on eligible individuals
please report on this person only. Where there is more than one person
with HIV/AIDS in the household, the additional PWA(s), would be
considered a beneficiary(s).

**Household:** A "household" means a single individual or a family
composed of two or more persons, for which household incomes are used to
determine eligibility and for calculation of the resident rent payment.
Caregivers and non-beneficiaries who resided in the shared unit are not
reported on in the CAPER. The term is used for collecting data on
changes in income, changes in access to services, receipt of housing
information services, and outcomes on achieving housing stability.

**Housing Stability:** See Part 4: Appendix (page 9) of the CAPER and
the updated Housing Stability
Worksheet[**14**](#worksheet-on-determining-hopwa-outcomes-assessing-stable-and-temporary-housing-results-updated-5406)
for definitions of stable and unstable housing situations.

**Indicator:** The specific, measurable information that will be
collected to track success of an outcome. Another commonly used phrase
is "performance measure."

**Instrument:** A tool used to collect data, including survey
questionnaires, interview guides, observational checklists, and written
record extraction forms.

**Multiple Diagnosed Issues:** A disease or condition, such as serious
mental illness or substance abuse, co-existing with risk of homelessness
for persons living with HIV/AIDS.

**Non-Facility-based Housing Assistance:** HOPWA housing expenditures to
support tenant-based rental assistance or Short-term Rent, Mortgage, and
Utility Assistance (STRMU).

**Non-HOPWA-leveraged sources:** Non-HOPWA-leveraged resources refers to
cash resources separate from the HOPWA grant award, and may include:
CDBG, HOME, ESG, SHP, S+C, SRO Mod Rehab, Housing Choice Vouchers
(Section 8), PHA units, Supportive Housing for Persons with
Disabilities/Elderly (Section 811/202), Low Income Housing Tax Credits
(LIHTC), Historic Tax Credits, USDA Rural Housing Service, Ryan White
CARE Act programs, other federal programs at HHS, VA, DOL, etc, state
funds, local government funds, and private philanthropy. While other
HOPWA funds may be used in conjunction with this grant, the amounts are
[not]{.underline} counted as leveraging for purposes of the grant
application selection or criteria, and performance is reported under the
applicable HOPWA grant.

**Non-substantial Rehabilitation:** Rehabilitation that involves costs
that are less than or equal to 75 percent of the value of the building
after rehabilitation.

**Objective:** A specific, measurable accomplishment within a specified
timeframe.

**Operating Costs:** Applies to facility-based housing only, for
facilities that are currently open. Operating costs can include
day-to-day housing function and operation costs like utilities,
maintenance, equipment, insurance, security, furnishings, supplies and
salary for staff costs directly related to the housing project but not
staff costs for delivering services.

**Outcome:** The changes in the lives of individuals, families,
organizations, or the community as a result of this program; benefit for
participants during or after their involvement in a program; the impact
of the program on the people it serves.

**Outcome Assessed \[in HOPWA CAPER and APR\]:** 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.

**Outcome Evaluation:** Systematic examination of the impact of the
program and what resulted for the participants, clients, consumers, or
customers. Another commonly used phrase is "summative evaluation."

**Output:** The product delivered or the unit of service provided by the
program, usually described numerically, such as number of housing units
developed, number of people served, or number of hours of service
delivered.

**Output Assessed \[in HOPWA CAPER and APR\]:** The number of units of
housing or households that receive HOPWA housing assistance during the
operating year.

**Outcome Measurement:** A systematic way to assess the extent to which
a program has achieved its intended results; generally used in the
not-for-profit world.

**Operating Year:** The operating year is the 12-month period in which
grantees carry out HOPWA projects and the related activities established
in their HUD-approved Consolidated Plan/Action Plan(s). The information
contained in this CAPER should reflect one operating year of the
grantee's report. Project sponsor accomplishment information must
reflect the same time period as the grantee's operating year and CAPER
dates. New grantees have some flexibility in setting the dates of
operating years. Any change requires the approval of HUD by amendment,
such as an extension for one additional year of operation.

**Permanent Supportive Housing:** Housing in which the eligible person
has a continuous legal right to remain in the unit and which provides
the eligible person ongoing supportive services through qualified
providers.

**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.

**Project Sponsor:** Any qualified nonprofit organization or
governmental housing agency that receives funds under a contract with
the grantee to carry out eligible HOPWA activities.

**Qualitative Data:** Descriptive or subjective information provided in
narrative terms.

**Quantitative Data:** Numerical information gathered in a structured
way.

**Rehabilitation:** The improvement or repair of an existing structure,
or an addition to an existing structure that does not increase the floor
area by more than 100 percent.

[]{.mark}

**Related Support from a Non-HOPWA Source:** Non-HOPWA cash resources
used as leveraging for HOPWA eligible activities. See also
Non-HOPWA-leveraged sources.

**Short-term Rent, Mortgage, and Utility Assistance (STRMU):** A housing
subsidy provided to mortgagers or renters in their current place of
residence for assistance with rent, mortgage or utilities for a period
of up to 21 weeks.

**Stewardship Units:** 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.

**Substantial Rehabilitation:** Rehabilitation that involves costs in
excess of 75 percent of the value of the building after rehabilitation.

**Tenant-Based Rental Assistance (TBRA):** A housing subsidy provided to
the eligible participant for use on the open rental market where the
tenant holds a lease with a private landlord. The participant may use
the subsidy in any FMR- and HQS-eligible unit.

**Unduplicated Count:** A household, individual, or unit is counted only
once.

**Veteran:** Anyone who served or is currently serving in the military
forces.

# Appendix C. Frequently Asked Questions

**How were the three outcomes for HOPWA-funded programs selected?**

During the 2003 HOPWA Grantees Meeting in Washington, D.C., a
facilitated discussion with grantees and project sponsors identified
which outcomes made the most sense and how best to measure them. With
this information, the Office of HIV/AIDS Housing began a negotiation
process with HUD and OMB, which resulted in the selection of the three
outcomes identified for HOPWA-funded programs.

**What are the "supportive services" referenced in the second outcome?**

Supportive services can include:

-   Adult day care and personal assistance

-   Alcohol and drug abuse services

-   Case management/client advocacy/access to benefits and services

-   Childcare and other child services

-   Education

-   Employment assistance and training

-   Health/medical/intensive care services

-   Legal services

-   Life skills management

-   Meals/nutritional services

-   Mental health services

-   Outreach

-   Transportation

**Why isn't data collected on the third outcome, "reducing risk of
homelessness"?**

The first two outcomes contribute to achievement of the third one.
Unstable housing and limited access to needed services put people at
risk of homelessness. Thus, if individuals have more stable housing, and
if they have better access to health care and other supportive services,
the likelihood of their becoming homeless will be less. Also, while
there are a number of ways to measure the reduced risk of homelessness,
none are necessarily more appropriate for AIDS housing programs than
measuring housing stability and access to services.

**Where did the categories for Prior Living Situation come from?**

In attempt to make it easier for grantees and project sponsors to
collect and report data, HOPWA adopted the categories from the Universal
Data Elements used in the Homeless Management Information System (HMIS).

**Is the Housing Stability
worksheet[14](#worksheet-on-determining-hopwa-outcomes-assessing-stable-and-temporary-housing-results-updated-5406)
optional?**

HOPWA does not need grantees to provide the summary information found in
the worksheet since it can use the data from the other charts in
grantees' reports to generate a summary report on housing stability for
HUD and Congress. The worksheet is intended to assist grantees with
determining their progress in meeting outcome goals.

**How were the Stable Housing vs. Unstable Situation categories used in
the optional worksheet determined?**

Following discussion with HUD and other stakeholders, HOPWA made the
determination regarding which housing categories would be considered
Stable and Unstable.

**What is the reasoning behind the measures for the Access to Care and
Supportive Services?**

Grantees and project sponsors involved in the 2003 HOPWA meeting
identified contact with case managers and primary health care providers,
among many other measures, as the most reasonable indications of Access
to Care and Supportive Services for people with HIV/AIDS. They are
considered "proxies" that stand in place of a more direct measure of
increased access to service. Tracking a beneficiary's need for and exact
use of services prior to and during involvement with a program requires
considerable recording keeping. While this may be necessary for a
program sponsor in order to access service funding for their clients,
summarizing the data across all beneficiaries and reporting it for HOPWA
was considered too difficult and burdensome.

**Why are questions included about beneficiaries receiving jobs?**

With the changing nature of HIV/AIDS and the possibility that
beneficiaries will be in need of and seeking employment, some project
sponsors have added this service to their programs. It is one means to
learn whether project sponsors are helping beneficiaries gain access to
services they need.

**Why is reporting on Access to Care and Support requested for only some
of the supportive services?**

Per the errata of 5/4/06, outcomes on Access to Care and Support should
be reported for households that receive any supportive
service.[**8**](#Update8)

**Why is case management not required for all HOPWA-funded programs?**

The HOPWA regulations specify that supportive services must be provided
in conjunction with HOPWA-funded housing. Supportive services, including
case management activities should be provided as part of an
Individualized Service Plan developed for the HOPWA participant that is
designed to meet their specific needs. Each participant's needs will
differ as will their Individualized Service Plan and need for case
management.

**When should the annual re-assessment be conducted?**

The choice about the timing for the annual re-assessment is up to the
grantee and project sponsors. It can be done at the end of the program
year for which HOPWA funds are being used. It can be done at the end of
the calendar year or the end of the fiscal year. It can be done at the
end of each beneficiary's year, on the anniversary date of his/her entry
into the program. The summary of all beneficiaries, however, is reported
at the end of the program year for which HOPWA funds are being used.

**What about beneficiaries who exit the program and then return?**

Many project sponsors have adopted the practice of identifying
beneficiaries as Active, Inactive, or Exited. The latter category is
used when the beneficiary has formally left the program, moved to
another state or community, or been Inactive for some specified period
of time, say one year. If an individual were to re-enter the program
after being considered Inactive, or for that matter after being
considered Exited, his/her Active status could be reinstated and the
client ID# retained. The project sponsor reports only on beneficiaries
who are Active and those who Exited during the program year.

**Are we required to do follow-up with beneficiaries who leave our
program?**

No. It can be very useful in determining the longer-term effects of your
program on beneficiaries, but it does require additional time and
effort, likely beyond the resources available for CAPER/APR reporting.

**What about the confidentiality of beneficiary information?**

Protecting the privacy of beneficiaries is essential. Data collection
must be conducted with appropriate safeguards to ensure confidentiality
of individuals. New regulations have re-enforced the importance of
confidentiality, specifically with regard to health information.
Respecting the rights and privacy of beneficiaries and protecting them
from threat or harm should be paramount in outcome measurement work. To
learn more about confidentiality, look for additional resources on AIDS
Housing of Washington's web site:
[http://www.aidshousing.org](http://www.aidshousing.org/)

**Are there shorter-term outcomes that could be measured for
beneficiaries?**

There certainly are many other outcomes that could be measured,
including short-term ones. For example, a shorter-term outcome related
to housing stability may be "increased housing readiness for
beneficiaries" or "increased financial management skills" or "increased
ability to pay housing-related expenses." For further information on
creating outcome chains with short, intermediate, and longer-term
outcomes, look for additional resources---including the publications,
*Tools for Outcome-Based Evaluation of HOPWA-Funded Programs*, *Tools
for Outcome-Based Evaluation of HOPWA Formula Grantees*, and *Creating
Outcome Chains*--- on AIDS Housing of Washington's web site:
[http://www.aidshousing.org](http://www.aidshousing.org/)