Public reporting burden for this collection of information is estimated
to average 2.25 hours per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of
information. HUD may not collect this information, and you are not
required to complete this form, unless it displays a currently valid OMB
control number.

**Warning**: HUD will prosecute false claims and statements. Conviction
may result in criminal and/or civil penalties. (18 U.S.C. 1001, 1010,
1012; 31 U.S.C. 3729, 3802)

**Overview:**

In an effort to gather uniform accomplishment data from all SHOP
recipients, HUD has developed an Excel-formatted reporting system for
quarterly and annual reporting. On a quarterly basis, all national and
regional SHOP-funded organizations and consortia (herein referred to as
"grantee" or "grantees," including the lead entity for a consortium)
must report accomplishment data on the construction status, unit
characteristics, and racial and ethnic composition of homeowners in
SHOP-funded projects. Detailed financial information on administration,
land acquisition, and infrastructure costs must also be reported
quarterly. On an annual basis, grantees must report on the year-end
accomplishments of each of its individual consortium members/affiliates.

HUD ***strongly*** encourages grantees to use the forms --as
appropriate[^1] -- for all prior active grants. A separate report must
be submitted for each SHOP grant award.

For ease in collecting accomplishment data, electronic copies of the
SHOP reports noted in Section A below have been sent to each SHOP
grantee. Grantees must save this master file for use until all SHOP
properties have been constructed and conveyed to eligible homebuyers.
Generally, all properties should be completed within one year from the
date all funds are drawn down. The completed grantee quarterly and
annual reports must be returned to HUD via e-mail to
<Louise_D._Thompson@HUD.GOV>.

To assist grantees, two consortium member/affiliate data collection
reports have also been created that replicate the grantee report. They
should assist grantees in collecting the necessary SHOP accomplishment
data from consortium members and affiliates for preparation of the
quarterly report to HUD.

The attached instructions are separated into three categories:

A\--SHOP Reports;

B---Data Collection Instructions; and

C---Spreadsheet Guidance and Printing Instructions.

Although general guidance is provided with the spreadsheets (see Section
C---Red Flags), grantees are responsible for fully meeting the reporting
and data element requirements noted in Sections A and B of these printed
instructions.

**A. SHOP Reports:**

Required reports to be submitted by Grantee to HUD.

-   SHOP 1---SHOP Grantee Quarterly Report on Program Activity to HUD
    (HUD-40215).

```{=html}
<!-- -->
```
-   SHOP 2---SHOP Grantee's Annual Report on Consortium
    Members'/Affiliates' Program Activity to HUD (HUD-40216).

> Reports for use by Grantee.

-   SHOP 3---SHOP Grantee's Quarterly Summary Report on Consortium
    Members'/Affiliates' Program Activity

> (HUD-40217).

-   SHOP 4---SHOP Consortium Member/Affiliate Quarterly Report on
    Program Activity to Grantee (HUD-40218).

Grantees are required to submit only two reports to HUD. These reports
are a quarterly (SHOP 1) and an annual report (SHOP 2). HUD is also
providing two additional reports that grantees may use for collecting
data from consortium members and affiliates. The following instructions
provide guidance for grantees, as well as their consortium members and
affiliates, for reporting on SHOP-funded activities.

**1. Workbook and transmittal guidance**

This reporting system is divided into four individual Excel workbooks
and this single set of instructions. Each workbook is specific to either
the grantee or its consortium members/affiliates.

Each workbook has two spreadsheets for reporting data on SHOP program
accomplishments and the racial/ethnic composition of program
beneficiaries. The workbooks and transmittal instructions are

**SHOP 1---SHOP Grantee Quarterly Report on Program Activity to HUD.**
This report captures the grantee's current quarterly SHOP activities and
cumulative for the grantee's SHOP program. This is a three-column
report. Grantees will receive data from individual consortium
members/affiliates that the grantee consolidates and enters into this
workbook. The "Cumulative to Date" column does not automatically
calculate data from the "Current Quarter" column. Grantees must enter
data manually into each column. Grantees will transmit this report to
HUD at the end of each quarter. See Section B.I, Reporting Period, for
reporting due dates.

**SHOP 2---SHOP Grantee's Annual Report on Consortium
Members'/Affiliates' Program Activity to HUD.** This report captures the
identity and location of all consortium members and affiliates that
received SHOP funds and reports progress on their SHOP activities
annually. Grantees must submit this report to HUD no later than 30 days
past the anniversary date of when SHOP funds were made available to them
through HUD's Line of Credit Control System (LOCCS). This annual report
must include an attachment that provides the name of the consortium
member or affiliate, contact person, address, telephone and e-mail
address. This workbook is setup with 100 columns. Grantees should modify
their reports to reflect only the number of consortium members and
affiliates that they fund. Grantees should refer to Section C of these
instructions for adding or deleting columns, as necessary, prior to
submitting the report to HUD.

**SHOP 3---SHOP Grantee's Quarterly Summary Report on Consortium
Members'/Affiliate's Program Activity.** This workbook captures data for
the entire length of the SHOP grant. It contains 12 quarters plus 4
additional quarters to allow grantees to capture and report on all SHOP
accomplishments. The additional four quarters cover reporting on the
construction or rehabilitation of any properties acquired but not yet
completed at the time of the final draw of SHOP funds. Although not
required, HUD strongly encourages grantees to use this report in
consolidating information from their consortium members/affiliates. It
should assist grantees in keeping a comprehensive summary of their
programs' progress until all properties have been completed and conveyed
to homebuyers. This report is strictly for the grantee's internal use
and is not submitted to HUD.

**SHOP 4---SHOP Consortium Member/Affiliate Quarterly Report on Program
Activity to Grantee.** This workbook captures quarterly data from
consortium members and affiliates for an entire program year. The
workbook contains four quarters. Consortium members/affiliates report on
the current quarter's activities and cumulative for their programs.
Consortium members/affiliates must transmit this report to the grantee
shortly after the end of the reporting quarter to ensure the grantee's
timely submission to HUD. The grantee will use the data submitted by its
consortium members/affiliates to report accomplishments in the form SHOP
1---SHOP Grantee Quarterly Report on Program Activity to HUD. Consortium
members/affiliates should save this report at the end of the first year,
and prepare a new worksheet for each subsequent program year correctly
labeling the quarters until all properties for which they have drawn
SHOP funds are completed and conveyed to homebuyers.

**B. Data Collection Instructions**:

Grantees are required to submit quarterly data to HUD based on their
consortium members' and affiliates' program performance. If a grantee
receives funding in mid-quarter, the grantee must report on the use of
SHOP funds for that portion of the quarter. Grantees must collect data
from each consortium member and/or affiliate, summarize the data, and
submit a consolidated report to HUD. Consortium members/affiliates must
submit timely reports to the grantee in order for the grantee to meet
its reporting requirements to HUD (See Reporting Period below).

The data elements are identical for both the grantees' and consortium
members'/affiliates' reports.

### I. SHOP Overview

**Reporting Period:** For quarterly reporting, the quarterly period
covered by this report must be in the following format: MM/DD/YY to
MM/DD/YY (e.g., 04/01/04 to 06/30/04). Quarterly reports must be
received in HUD via e-mail by the following due dates:

-   January 1 through March 31, due no later than May 1;

-   April 1 through June 30, due no later than August 1,

-   July 1 through September 30, due no later than November 1, and

-   October 1 through December 31, due no later than February 1.

Reporting begins upon joint execution of the grant agreement by HUD and
the grantee and notification that grant funds have been set up in a line
of credit through HUD's Line of Credit Control System (LOCCS). If the
agreement is executed and the line of credit is set up in the middle of
a reporting period, grantees must still submit a report on any progress
to date even if properties have not been acquired (e.g., administrative
actions that have occurred in starting a new grant, progress on site
selections, status of environmental reviews, etc.). This information
should be reported in narrative form in a separate attachment as "Other
Information on SHOP Program Progress."

For annual reporting (SHOP 2), enter the annual period covered by this
report in the following format: MM/DD/YY to MM/DD/YY (e.g. 12/31/03 to
12/30/04). HUD must receive annual reports via e-mail no later than 30
days after the anniversary date of when SHOP funds were made available
to the grantee in LOCCS.

**Grant Number:** The grant number assigned by HUD as shown on the grant
agreement. The grant number consists of seven alpha and numerical
characters. The first two alpha characters are "SH" for SHOP. The first
two numerical characters represent the SHOP funding year. The next set
of three numerical characters is the number assigned to the grantee. [Do
not use hyphens]{.underline}. If grantees receive multiple grants, the
grant number remains the same except for the funding year. Grantees that
have received multiple SHOP grants must submit a separate quarterly
report for each grant number (e.g., SH01001, SH02001, SH03001).

**SHOP Grant Amount**: The amount of SHOP funds awarded by HUD to the
SHOP grantee in the grant agreement and any subsequent amendment. For
the SHOP 2\--SHOP Grantee's Annual Report on Consortium
Members'/Affiliates' Program Activity to HUD, grantees must also list
the amounts of SHOP funds awarded in agreements to the individual
consortium members and affiliates. These amounts will be entered below
each organization's name.

**Grantee Name**: On the quarterly and annual reports, SHOP 1 and SHOP
2, abbreviate or use an acronym for the name of the national or regional
nonprofit organization or consortium (lead entity) that entered into a
grant agreement with HUD to use SHOP funds.

**Consortium Member/Affiliate Name:** On the annual report, SHOP 2,
abbreviate or use an acronym for the name of the consortium member
and/or affiliate that entered into a grant agreement with the grantee to
use SHOP funds.

**Service Area\--States Served:** The service area of the grantee
organization. If grantee's service area is nationwide or regional, enter
"nationwide" or "regional." If funds are not distributed nationwide,
indicate specific states using the state abbreviations. Reporting on the
annual report, SHOP 2, requires identification of the local
community(ies) and/or state(s) where SHOP funds will be or have been
spent by each consortium member or affiliate.

**Proposed Dwelling Units:** The proposed number of dwelling units,
using SHOP funds from this grant, as stated in your SHOP application or
any HUD-approved modification of the application.

**Proposed Administrative Costs:** The amount of SHOP funds the grantee
and its consortium members/affiliates expect to use for administration
of the SHOP grant as stated in the SHOP application or any HUD-approved
modification of the application. Grantees can use SHOP funds for
administration and may pass these funds to their consortium members and
affiliates. Section III defines administrative expenses and sets the cap
for administrative expenses

**Proposed Average SHOP Cost Per Unit:** The average SHOP cost per unit
based on the combined land acquisition and/or infrastructure improvement
expenses proposed in your SHOP application. *This does not include
proposed administrative expenses.* The Proposed Average SHOP Cost Per
Unit is the "Total SHOP Grant Amount" minus "Proposed Administrative
Costs," divided by the number of "Proposed Dwelling Units."

## 

## II. Program Accomplishments

The "*Program Accomplishments*" section of the SHOP quarterly report
gathers data on environmental reviews, land acquisition, site
preparation, and construction of SHOP-funded units. All SHOP program
accomplishments must be reported, and represent all SHOP activities for
the reporting period and "*Cumulative to Date*" (SHOP 1) or *"Year to
Date" (SHOP 2).*

**Environmental Reviews Completed:** An explanation of the environmental
process is included to assist grantees and affiliates in understanding
the environmental review requirement and reporting accurately. An
environmental review of all SHOP funded activities is required before
funds may be drawn down. There are two different levels of environmental
reviews that may be conducted: (1) a Compliance Review and (2) an
Environmental Assessment. Environmental reviews are conducted by either
a unit of general local government (UGLG), e.g., a city or county
\[which becomes the responsible entity (RE)\], or by HUD. Environmental
reviews conducted by an UGLG are done in accordance with 24 CFR part 58,
while HUD reviews are conducted in accordance with 24 CFR part 50.

A [Compliance Review]{.underline} is conducted for activities that are
categorical exclusions. The acquisition of land that can accommodate one
to four units of housing on one site, or five or more units on scattered
sites that are *more* than 2,000 feet apart with no more than four units
on any one site, is categorically excluded.

-   A Compliance Review conducted by the RE uses a "Statutory Checklist
    Form" to document the environmental review. If the RE concludes that
    *none* of the related Federal laws and authorities listed on the
    Statutory Checklist requires additional compliance, the RE may
    convert the activity from a categorical exclusion into an exempt
    activity. No public notice is published or disseminated and a
    "Request for Release of Funds and Certification" (RROF/C) form
    (HUD-7015.15) is not submitted to HUD. On the other hand, if the RE
    concludes that any of the Federal laws and authorities require
    further compliance, a "Notice of Intent to Request Release of Funds"
    must be published or disseminated, and a HUD-7015.15 form must be
    submitted to HUD. HUD approves the Request for Release of Funds and
    Certification by executing an "Authority to Use Grant Funds" form
    (HUD-7015.16). The RE retains all documents as part of its
    Environmental Review Record.

-   A Compliance Review conducted by HUD requires the completion of
    blocks 1 through 24 of form HUD-4128, "Environmental Assessment and
    Compliance Findings for the Related Laws." Written notice of HUD
    approval of the property (or advice to select an alternate property)
    completes the environmental review process.

An [Environmental Assessment]{.underline} is conducted for projects that
are neither exempt nor categorically excluded. Projects involving the
acquisition of land that can accommodate five or more units of housing
(other than scattered site projects described above) and/or any
infrastructure improvements require an environmental assessment.

-   An Environmental Assessment conducted by an RE uses an
    "Environmental Assessment Format" to document the conclusions of the
    review. If the RE concludes that the proposed action will result in
    a finding of no significant impact on the environment, a "Notice of
    Finding of No Significant Impact" (FONSI) and a "Notice of Intent to
    Request Release of Funds" (NOI/RROF) are published or disseminated.
    The RE then submits a HUD-7015.15 form to HUD and HUD responds with
    an executed HUD-7015.16 form or letter removing grant conditions,
    thereby completing the environmental review process. On the other
    hand, if the RE concludes that the project could have a significant
    impact on the environment, an Environmental Impact Statement (EIS)
    must be prepared. The RE must publish or disseminate a "Notice of
    Intent to Prepare an EIS." Upon completion of the EIS and resolution
    of significant impacts, the RE publishes or disseminates a NOI/RROF,
    and submits a HUD-7015.15 form to HUD. HUD then executes a
    HUD-7015.16 form or letter removing grant conditions, thereby
    completing the environmental review process.

-   An Environmental Assessment conducted by HUD requires the completion
    of blocks 1 through 34 of form HUD-4128 (and/or HUD prepares an EIS
    if needed). Written notice from HUD approving the property (or
    advice to select an alternate property) following completion of form
    HUD-4128 (and/or EIS if needed) completes the environmental review
    process.

Report the number of environmental **reviews** (both Compliance Reviews
\[Statutory Checklists and HUD-4128\], and Environmental Assessments
\[Environmental Assessment Formats and HUD-4128\]) completed this
quarter. Categorically excluded activities that are converted into
exempt activities are counted as completed reviews. Include
environmental reviews even in cases where the project is not pursued or
completed after the environmental review. Report the number of
environmental reviews completed, not the number of units to be
completed. The number of **units** to be included in projects that were
environmentally reviewed should be reported in either *"Lots/Existing
Units Acquired"* or *"Infrastructure."*

**Lots/Existing Units Acquired:** Report the number of lots acquired on
which new units will be constructed or existing structures will be
rehabilitated. The number of "*Lots/Existing Units Acquired*" must equal
the number of units to be built or rehabilitated. (Do not include lots
or existing units that have been acquired with non-SHOP funds,
**unless** the environmental review has been completed, and the
grantee/consortium member/affiliate has received reimbursement from SHOP
funds.)

**Infrastructure:** Infrastructure improvements include installing,
extending, constructing, rehabilitating, or otherwise improving
utilities and other infrastructure, such as wells and septic systems,
impact and building fees, streets, streetlights, curbs, roads, and
sidewalks, surveys, engineering fees, and environmental testing and site
preparation, including, but not limited to grading, razing, de-leading
of soil and buildings, hazardous waste clean-up and other environmental
clean-up costs.

***Started:*** Report the number of SHOP units for which infrastructure
improvements were started this quarter.

***Completed:*** Report the number of SHOP units for which the
infrastructure improvements were completed this quarter.

**Construction**: Construction means the building of a new dwelling unit
or rehabilitation of an existing dwelling unit.

***Started:*** Report the number of SHOP units for which new
construction or rehabilitation started this quarter.

***Completed:*** Report the number of SHOP units for which construction
or rehabilitation was completed this quarter.

**Conveyed to/Occupied by Homebuyers:** Report the number of SHOP units
for which construction has been completed, certificates of occupancy
have been issued, and the units have been conveyed to and occupied by
homebuyers this quarter.

This field is automatically calculated by adding the number of single-
and multi-family units conveyed to homebuyers.

***Total Single Family Units**:* Report the total number of
single-family SHOP units completed and conveyed to homebuyers this
quarter. For purposes of the SHOP program, a single-family unit is
defined as a detached, single unit home.

***Total Units in Multifamily Projects**:* Report the total number of
SHOP units located within multifamily properties that were completed and
conveyed to homebuyers this quarter. For purposes of the SHOP program, a
multifamily property is defined, as a housing structure comprised of two
or more attached units. This includes duplexes, row houses,
condominiums, and cooperatives. Each unit in a multi-family property
must be counted as a separate unit.

# III. Financial Summary

Beginning with the use of FY 2003 funds, grantees and individual
consortium members that directly develop properties are restricted to
the statutorily mandated period of 24 months to draw down and expend
funds regardless of the number of properties developed. Affiliates that
received FY 2001 and subsequent years funding that develop one to four
units are permitted up to 24 months to draw down and expend SHOP funds.
Affiliates that develop five or more units are permitted up to 36 months
to use the funds. Grantees have up to 36 months to spend administrative
funds provided they have any affiliates that develop five or more units.
[The timeframes for grantees, consortium members, and affiliates to
spend funds begin on the date that HUD makes SHOP funds available in a
line of credit to the grantee.]{.underline}

**Administrative Expenses:** Report the amount of SHOP funds expended
for administrative expenses this quarter. Administrative costs are the
costs of general management, oversight and coordination of the SHOP
grant; staff and overhead costs of the SHOP grant; costs of providing
information to the public about the SHOP grant; cost of affirmatively
furthering fair housing; and indirect costs (such as rent and utilities)
of the grantee, consortium member or affiliate in carrying out SHOP
activities. Indirect costs may only be charged to the SHOP grant under a
cost allocation plan prepared in accordance with OMB Circular A-122.
[NOTE]{.underline}: The combined administrative expenses for the grantee
and its consortium members and/or affiliates may not exceed 20 percent
of the total SHOP award or a lesser amount if proposed in grantee's SHOP
application. Grantees may only use SHOP funds to cover administrative
expenses up to the percentage requested in their applications.

**Land Acquisition:** Land acquisition expenses may include financing
and closing costs. Grantees with consortium members and affiliates that
purchase existing properties for rehabilitation must separate the cost
of the land from the cost of the structure.

***SHOP Funds Expended for Land Acquisition:*** Report the amount of
SHOP funds expended for land acquisition this quarter.

***Other funds Expended for Land Acquisition:*** Report the amount of
leveraged funds (non-SHOP funds) from other sources expended for land
acquisition this quarter.

**Total Land Acquisition Expenses:** This is an automatically calculated
field. The calculated field will automatically add the SHOP funds
expended for land acquisition to the amount of leveraged funds expended
for land acquisition. The result should reflect the total land
acquisition costs for all SHOP properties acquired during the quarter.

**Infrastructure:**

***SHOP Funds Expended for Infrastructure:*** Report the amount of SHOP
funds expended for infrastructure improvements this quarter.

***Other Funds Expended for Infrastructure:*** Report the amount of
leveraged funds (non-SHOP funds) expended for infrastructure
improvements on SHOP-assisted properties this quarter.

**Total Infrastructure Expenses:** This is an automatically calculated
field. The field will automatically add the SHOP funds expended for
infrastructure improvements to the amount of leveraged funds expended
for infrastructure improvements. The result should reflect the total
infrastructure costs for all SHOP properties.

**Total SHOP Funds Drawn This Quarter:** This is an automatically
calculated field. This field will automatically total the amount of SHOP
funds drawn this quarter for administration, land acquisition, and
infrastructure expenses.

**Total SHOP Funds Drawn To Date:** This is an automatically calculated
field. This field will automatically total the SHOP funds drawn to date
for administration, land acquisition, and infrastructure expenses.

**SHOP Balance:** This is an automatically calculated field. The
calculated field will automatically subtract the "*Total SHOP Funds
Drawn To Date*" from the "*SHOP Grant Amount*" awarded under the grant
agreement, and any subsequent amendment, to show the balance of SHOP
funds available for use.

# IV. Unit Characteristics (completed units)

**Accessible Units:** Report the number of [completed]{.underline}
SHOP-funded units that are accessible to persons with disabilities. When
used with respect to an individual dwelling unit, accessible means that
the unit is located on an accessible route, and when designed,
constructed, altered or adapted, can be approached, entered, and used by
individuals with physical disabilities. Do not include "Visitable
Units."

**Visitable Units:** Report the number of [completed]{.underline}
SHOP-funded units that are visitable by persons with disabilities.
Visitability standards allow a person with mobility impairments access
into the home, but do not require that all features be made accessible.
Visitability means at least one entrance is at grade (no steps), can be
approached by an accessible route such as a sidewalk; and the entrance
door and all interior passage doors are at least 2 feet 10 inches wide,
allowing 32 inches of clear passage. A visitable home also serves
persons without disabilities, such as a mother with a stroller or a
person delivering large appliances. Do not include "Accessible Units."

**Units Located in Colonias:** Report the number of
[completed]{.underline} SHOP-funded units located in designated Colonias
areas in the states of Arizona, California, New Mexico, and Texas.
Colonia means any identifiable community that is within 150 miles of the
border between the United States and Mexico and meets need criteria,
including lack of potable water supply, lack of adequate sewage systems,
and lack of decent, safe, and sanitary accessible housing.

**V. Unit Averages (completed units)**

**Average Appraised Value**. Report the average appraised value of
properties [completed]{.underline} during the quarter (SHOP1) and
annually (SHOP2). The appraised value must be determined by a qualified
appraiser or, if one is not available, an estimate of value must be made
by an individual qualified to determine property values. This field
should represent only the number of properties completed and conveyed to
homebuyers during the quarter and during the year. (Total appraised
values / number of properties = average appraised value.)

**Average Sales Price to Homebuyer**. Report the average sales price of
all properties [completed and conveyed]{.underline} to homebuyers during
the quarter (SHOP1) and annually (SHOP2). This sales price is generally
the contract sales price listed on line101 in Section J of the HUD-1
Settlement Statement or listed in similar documentation or an agreement
between the grantee (including consortium members)/affiliate and the
homebuyer. (Total sales prices / number of properties = average sales
price.)

**Average Number of Sweat Equity Hours**. Report the average number of
sweat equity hours contributed by homebuyers during the quarter (SHOP1)
and annually (SHOP2). This figure should represent only those families
that have [completed all their sweat equity requirements]{.underline},
including all reasonable accommodation hours, and currently occupy their
properties. This does not include other volunteer labor unless
volunteers are substituting for persons with disabilities. [Grantees
must ensure that the homebuyer famil]{.underline}y itself is
contributing the requisite number of sweat equity hours stated in the
grantee's application. (Total number of sweat equity hours / number of
families = average number of sweat equity hours.)

**VI. Homebuyer Income Targeting (completed units)**

Homebuyers' incomes must be no greater than 80 percent of area median
income. Report the number of households in [completed]{.underline} units
that fall within the following income ranges:

0 -- 30 percent of area median income.

\>30 -- 50 percent of area median income.

\>50 -- 80 percent of area median income.

# VI. Ethnic and Racial Composition (completed units)

New government--wide standards for collecting racial/ethnic data were
effective January 1, 2003. HUD and grantees are required to treat
ethnicity as a separate category. "Hispanic or Latino" and "Not Hispanic
or Not Latino" are designated as separate ethnicity categories. Grantees
must report the racial and/or ethnic composition of all SHOP households.
Data should be collected and reported for the ***head of the
household*** at the time the unit is completed and conveyed to and
occupied by the homebuyer family. Racial/ethnic documentation must be
reported for each household for each racial/ethnic category, as
appropriate. Grantees must enter the number of households in each racial
category and indicate whether the household is "Hispanic or Latino"
**OR** "Not Hispanic or Not Latino."

For example, if during the third quarter 10 properties have been
completed, but properties have not yet been conveyed and occupied, the
grantee may not report on the households. However, during the fourth
quarter certificates of occupancy have been issued on the10 properties
and 9 properties have been conveyed and occupied by families. The
grantee will report the race of each of the 9 households indicating in
the appropriate categories whether the head of household is "Hispanic or
Latino" OR "Not Hispanic or Not Latino." The number of households
reported in each quarter should equal the number of properties conveyed
to homebuyers during the same quarter.

Reporting race and ethnicity is optional by the family. If families do
not furnish the information, the grantee/consortium member/affiliate may
report based on a visual assessment.

#### Ethnicity and Racial Definitions

**Ethnicity Categories:**

(1) **Hispanic or Latino.** A person of Cuban, Mexican, Puerto Rican,
    South or Central American, or other Spanish culture or origin,
    regardless of race. The term, "Spanish origin," can be used in
    addition to "Hispanic or Latino."

(2) **Not Hispanic or Not Latino**. A person not of Cuban, Mexican,
    Puerto Rican, South or Central American, or other Spanish culture or
    origin, regardless of race.

**Racial Categories**:

(1) **American Indian or Alaska Native.** A person having origins in any
    of the original peoples of North and South America (including
    Central America), and who maintains tribal affiliation or community
    attachment.

(2) **Asian.** A person having origins in any of the original peoples of
    the Far East, Southeast Asia, or the Indian subcontinent including,
    for example, Cambodia, China, India, Japan, Korea, Malaysia,
    Pakistan, the Philippine Islands, Thailand and Vietnam.

(3) **Black or African American.** A person having origins in any of the
    black racial groups of Africa. Terms such as "Haitian" or Negro" can
    be used in addition to "Black or African American."

(4) **Native Hawaiian or Other Pacific Islander.** A person having
    origins in any of the original peoples of Hawaii, Guam, Samoa, or
    other Pacific Islands.

(5) **White.** A person having origins in any of the original peoples of
    Europe, the Middle East, or North Africa.

(6) **American Indian or Alaska Native & White**. A person having these
    multiple race heritages as defined above.

(7) **Asian & White.** A person having these multiple race heritages as
    defined above.

(8) **Black or African American & White.** A person having these
    multiple race heritages as defined above.

(9) **American Indian or Alaska Native & Black or African American.** A
    person having these multiple race heritages as defined above.

> **(10) Other Multi-Racial.** A person reporting multi-race heritages
> not included in any of the other nine categories listed above, and
> that have a total count that exceeds one percent of the population
> served. (If the aggregate count of any reported multi-racial category
> that is not listed above exceeds 1% of the total population being
> reported, you should indicate each such category here.) **NOTE**:
> Breakout below in **"Other Information on SHOP Program Progress,"**
> the identification of each racial category, including the actual
> count, the percentage of the population, and the actual count for the
> ethnic categories.
>
> **(11) Balance of Individuals Reporting More Than One Race**. A person
> reporting any racial categories that are not included in the list of
> nine above, and are not included under **"Other multi-racial
> categories."** **NOTE:** Breakout below in the **"Other Narrative on
> Program Progress**," the total number of all racial categories
> reported that do not fit the nine racial categories above, and do not
> equate to one percent of the total population being reported. Indicate
> also the total number of all such ethnic categories.

**Other Information on SHOP Program Progress:** Attach a separate
sheet(s).

1\) Use this element to expand on your program's progress in any area.
Report on specific project delays if you are encountering problems or
bring to HUD's attention accomplishments if you are ahead of schedule.
See guidance under "Reporting Period."

2\) Use this element to report on change of name, address, telephone, or
fax number of the grantee's or its consortium members'/affiliates'
contacts.

3\) Use this element to expand specifically on racial/ethnic categories
under "Other Multi-Racial Categories" and "Balance of Individuals
Reporting More than One Race" (See above Ethnicity and Racial
Definitions). You must identify each such racial category, including the
actual count, the percentage of the total population, and the actual
count for the ethnic categories.

For example, if the SHOP grantee's data indicates that the total number
of homebuyers is 200 and includes 10 Cajun Americas and 12 Creole
Americans, and those numbers of Cajun and Creole American homebuyers
each equates to more than one percent of the total homebuyers served,
and 2 of the Cajun American homebuyers indicate they belong to the
Hispanic/Latino ethnic category and 3 of the Creole American homebuyers
indicate they belong to the Hispanic/Latino ethnic category, you should
explain as follows:

**Racial Category Total Number of Total Number of**

**Categories Reported Category Responses**

> **(Hispanic or Latino)**

**Other Multi-Racial Categories**: Cajun American 10 (5%) 2

Creole American 12 (6%) 3

4\) Other pertinent information.

**C. Spreadsheet Guidance and Printing Instructions**

All of the Excel workbooks described above have several formatting
elements in common.

**(a) Cell Formatting**

The spreadsheets within the workbooks will display different colored
cells. All reports have cells colored Light Blue and Tan as well as
Yellow, Light Green, and White. The cells colored Light Blue and Tan are
the only cells of concern to grantees and their consortium
members/affiliates.

-   The ***Light Blue*** cells indicate cells that require manual entry.

-   The ***Tan*** cells indicate cells that contain formulas and are
    automatically calculated fields. Should you attempt to enter data
    into any of these Tan colored cells, you will receive an error
    message.

-   

For ease in reading the data elements and cumulative to date data, the
first three columns on the spreadsheets have been frozen. These columns
will not move, however, the quarterly columns shift to the left across
the screen.

**(b) Red Flags**

Red Flags are attached to most cells in Column A as well as other places
throughout the spreadsheet. These flags, visible in the upper right hand
corner of various cells, indicate that a comment on that data element is
present. These comments are intended to be brief clarifications of the
data elements in that cell. They will provide explanations as well as
instructions. Grantees must not strictly rely on the data in these
flags. More detailed explanations of the data elements including policy
guidance can be found in the Data Collection Instructions in Section B
above. Grantees and consortium members/affiliates are responsible for
adhering closely to the Data Collection Instructions in Section B of
this document.

To access a comment simply move the mouse icon over the red flag. A text
box will appear with the explanation.

**(c)** **Printing Instructions for Red Flags**

To print the red flag comments, follow the directions below.

1\. Choose [File]{.underline} from the [Menu]{.underline} toolbar.

2\. Scroll down and select [Page Setup]{.underline}.

3\. Once in [Page Setup]{.underline}, select the tab named
[Sheet]{.underline}.

4\. Find the subheading titled [Print]{.underline}. Under this
subheading find the [Comments]{.underline} pull down menu. From this
menu choose one of the following:

NONE to print only the spreadsheet;

> AT END OF SHEET to print the comments after the spreadsheet;
>
> AS DISPLAYED ON SHEET to print the comments within the spreadsheet. If
> this option is chosen, all comments will print over the existing data
> on the spreadsheet obscuring the data.

5\. After selecting one of the above, print by clicking the
[Print]{.underline} button at the top right of the activity box.

To print Comments immediately upon opening the Excel file, follow steps
1 and 2 then click the print button at the top right of the activity
box.

**NOTE:** AT END OF SHEET is the default setting. To change the default
setting follow the instructions above for printing comments.

**(d) Instructions for Printing Reports**

When printing reports, remember Excel provides a choice of Entire
Workbook or Active Sheet. The default setting is Active Sheet. This
setting will print only the worksheet displayed on the screen. You must
choose Entire Workbook to print both worksheets titled Quarterly report
and Racial/Ethnic data. To ensure the entire workbook prints, choose
[File]{.underline} from the [Menu]{.underline} toolbar. Scroll down and
select [Print]{.underline}. Locate the *Print What* subheading in the
activity box. Select [Entire Workbook]{.underline} then click the
[OK]{.underline} button.

**(e) Adding and Deleting Columns**

Below are instructions detailing how to format the SHOP Grantee's Annual
Report on Consortium Members/Affiliates to HUD to meet the individual
needs of SHOP grantees.

For those grantees collecting data from more than 100 affiliates, follow
these instructions to add columns that will automatically continue the
sequential order and preserve the imbedded formulas.

-   Select the last column that contains data in the spreadsheet. To
    select the entire column, click once on the heading of the column,
    in this case, the letters CZ at the top of the column.

-   To continue the columns in sequential order, place the cursor on the
    line that separates CZ from DA and directly underneath the column
    heading (at the top of Row 1). A black cross icon, without arrows,
    will appear.

-   When the cross icon appears, hold down the left button on the mouse
    and drag across for as many columns as needed.

For grantees collecting data from fewer than 100 affiliates, follow
these instructions to delete columns that will automatically continue
the sequential order and preserve the imbedded formulas.

-   [Select]{.underline} all the columns that will not be used. To
    [select]{.underline} the columns to be deleted, click once on the
    column heading of the first column to be deleted, at the top of the
    column and drag the cursor to the end of recorded data.

```{=html}
<!-- -->
```
-   Choose [Edit]{.underline} from the menu toolbar.

-   Scroll down and choose [Delete]{.underline}. Once
    [Delete]{.underline} is chosen, all highlighted columns will be
    deleted. The formulas will automatically adjust to the number of
    columns left.

[^1]: While these data collection mechanisms may not be in place to
    gather information on projects developed with SHOP funds from prior
    years' grants, certain basic information such as project costs,
    quarterly construction status, and various unit characteristics
    should be available. In such instances, national and regional SHOP
    organizations and consortia may use this quarterly report to account
    for SHOP quarterly accomplishments.