# Presentation: 533912

## U.S. Department of Housing and Urban DevelopmentOffice of Community Planning and Development

**CAPER**

## What is the CAPER?

- Consolidated Annual Performance and Evaluation Report
- Covers CDBG, HOME, ESG and HOPWA formula grant programs

## Report on progress made in implementing the community’s Consolidated Plan, through the proposed actions identified in the one-year Action Plan

- What is the CAPER?

## What is the CAPER?

- Three parts:
- _Narrative_  Discusses accomplishments in relation to goals and objectives identified in the one-year Action Plan and multi-year strategic plan.  Provides statistical information not captured by IDIS (HOME and ESG match reports, HOME MBE/WBE report, ESG expenditure report)

## What is the CAPER?

- _IDIS Reports_  Provides statistical and financial information about individual activities undertaken during the year
- _CDBG Financial_  Presents information on expenditures, caps and program income.  Serves as a bridge between IDIS, LOCCS and a community’s financial records

## Resources

- http://www.hud.gov/offices/cpd/about/ conplan/index.cfm
- http://www.hud.gov/offices/cpd/systems/ idis/reporting/index.cfm
- http://www.hud.gov/offices/cpd/ aidshousing/programs/formula/operating instructions/annualreporting.cfm

## Resources

- Ramirez memo on CAPER reporting for PY 1997 (2/98)
- Reporting CDBG Accomplishments (12/01)

## 
Due 90 days after the end of each program year

- Due 90 days after the end of each program year

- When is the CAPER due?

- When is the CAPER due?

- To request an extension send us a letter, signed by the community’s CEO or designee, stating how much time is needed and explaining the reason for the extension
-  HUD must be able to make a determination that there is good cause to waive the CAPER deadline

## Performance reporting is a year-round task
HUD’s goal is for accomplishment reporting in IDIS to be updated quarterly
Activities in IDIS should be updated and closed as they are completed instead of waiting until the end of the program year

- HUD’s goal is for accomplishment reporting in IDIS to be updated quarterly
- Activities in IDIS should be updated and closed as they are completed instead of waiting until the end of the program year

- Timing

## Timing

- When planning for the CAPER consider the time it takes to complete the following:
- Gathering data from subrecipients and other city agencies
- Obtaining and reconciling financial data
- Completing IDIS data input

## Timing

- Analyzing IDIS data to ensure all accomplishments are reported accurately, so that narrative statements and IDIS can be correlated
- Internal review and approval process
- Any public hearings called for in your citizen participation plan
- 15-day public comment period
- Publication deadlines

## Timeline 				Example

_**Early October**_
**Update IDIS accomp. as information available**

_**December 29**_
**Due at HUD**

_**December 15**_
**Comment period ends**

_**December 28**_
**Overnight mail to HUD**

_**Late October**_
**Receive end-of-year reports from subs and other city depts.**

_**Early November**_
**Finish IDIS accomplishment reporting**
**Compose narratives**

_**November 15**_
**Receive end-of-year financials **

_**December 1**_
**Submit ad to newspaper**

_**December 14**_
**Public hearing**

_**December 5**_
**Publish for comment**
**Distribute CAPER for comment**

## Narrative Requirements

## Narratives

- Discuss progress in meeting the goals and objectives identified in the one-year Action Plan and multi-year strategic plan
- Describe actions taken to address other areas identified in the Consolidated Plan
- Provide statistical information not captured by IDIS

**Notes:**
Grantees must demonstrate how activities implemented during the program year address the objectives  and the high priority needs listed in the Consolidated Plan. 

Narratives must be clear detail enough to show how activities implemented address these objectives.  This is need so overall performance in meeting the Consolidated Plan goals can be assessed.  This information should be summarized so that citizens and HUD can easily assess annual progress toward meeting the 3 or 5 year Consolidated Plan goals. 

## Assessment of strategic plan goals and objectives
Affirmatively furthering fair housing
Affordable housing
Continuum of Care

- Affirmatively furthering fair housing
- Affordable housing
- Continuum of Care

- Narratives

**Notes:**
List the Actions you took to affirmatively further fair housing, including actions taken regarding completion of an analysis of impediments to fair housing choice, a summary of impediments identified in the analysis, and actions taken to overcome the effects of impediments identified through the analysis (24 CFR 91.520(a)

State the progress made in meeting specific objective of providing affordable housing.  Show the number of extremely low-income, low-income and moderate-income renter and owner households assisted during the reporting period

The summary of progress should include a comparison of actual accomplishments with proposed goals for the reporting period.  This includes efforts to address “worst-case needs, and the needs of persons with disabilities.  “Worse Case needs are defined as low-income renter households who pay more than half their income for rent, or live in seriously substandard housing or have been involuntarily displaced.  ( 24 CFR 91.520(b)

Continuum of Care

Show the actions taken to address the needs of homeless persons and the special needs of persons that are not homeless but require supportive housing.  This includes a summary of actions taken to implement your continuum of care system in your community.  Explain what actions were taken to prevent homelessness, address the emergency shelter and transitional housing needs of homeless individuals and families, and discuss taken to help homeless persons make the transition to permanent housing and independent living.

## Narratives

- Other actions
- Leveraging resources
- Citizen comments
- Self evaluation
- Other program requirements

## Assessment of Goals and Objectives

- Explain how activities implemented during the PY address objectives and high priority needs in the Consolidated Plan
- Be specific and include quantifiable accomplishments
- Provide enough detail to support your claims

## Assessment of Goals and Objectives

- Narrative should make clear the grantee:
- Pursued all resources indicated in the Action Plan
- Provided requested certifications of consistency for HUD programs in a fair and impartial manner
- Did not hinder Consolidated Plan implementation by action or inaction

## Affirmatively Furthering Fair Housing

- Explain actions taken to affirmatively further fair housing
- Include actions taken to complete an analysis of impediments to fair housing choice
- Summarize the impediments identified in the analysis and the actions taken to overcome them

## Affordable Housing

- Evaluate progress in meeting your stated objectives for affordable housing
- Include all income groups (extremely low, low and moderate income)
- Summary of progress must include a comparison of actual accomplishments to the proposed goals for the reporting period

## Affordable Housing

- Efforts to address “worst-case needs”
- Efforts to address the housing needs of persons with disabilities

## Continuum of Care

- Actions taken to address the needs of homeless persons and the special needs of persons that are not homeless but require supportive housing
- Actions taken to prevent homelessness
- Actions taken to address emergency shelter and transitional housing needs of homeless individuals and families

## Continuum of Care

- Actions taken to help homeless persons make the transition to permanent housing and independent living
- Identify new federal resources received during the year, including SHP, S+C and SRO funds

## Other Actions

- To address obstacles to meeting underserved needs
- To foster and maintain affordable housing
- To eliminate barriers to affordable housing
- To overcome gaps in institutional structure and to enhance coordination

## Other Actions

- To improve public housing and resident initiatives
- To evaluate and reduce lead based paint hazards
- To ensure compliance with program and comprehensive planning requirements
- To reduce the number of persons living below the poverty line

## Leveraging 

- Describe the progress in obtaining other public and private resources to address needs identified in the Consolidated Plan
- Describe how any match requirements (ESG, HOME) were satisfied.  This should include dollar amounts and sources

## Citizen Comments

- Provide a summary of citizen comments received in regard to the program.  If no comments were received, please say so
- Provide information on when and where the public comment period was advertised and include a copy of the advertisement

## Self-Evaluation

- Should be results oriented and should consider the following areas:
- Are the activities and projects making an impact on identified needs?
- What barriers had a negative impact on fulfilling strategies and the overall vision?

## Self-Evaluation

- Are any activities falling behind schedule?
- Are grant disbursements timely?
- Are major goals on target?
- What adjustments or improvements to projects and activities might meet needs more effectively?
- Performance measurement form

## CDBG

- An analysis of the extent to which CDBG funds were distributed among different categories of housing needs
- Identify any program changes to program objectives

## CDBG

- Special narrative statements are required in the following circumstances
- If funds are not used exclusively for the three national objectives or if the city did not comply with the overall benefit certification
- If activities involve acquisition, rehabilitation or demolition of occupied real property

## CDBG

- If economic development activities were undertaken where jobs were made available to but not taken by low- or moderate-income persons
- If rehabilitation programs report completed units or projects
- If you have a HUD-approved Neighborhood Revitalization Strategy Area

## Section 108

- Accomplishment report showing all active projects
- Financial report showing all loans that have either an outstanding balance owed by the borrower to the grantee, or an outstanding balance owed to HUD

## HOME

- An analysis of the extent to which HOME funds were distributed among different categories of housing needs
- Match contributions (HUD-40107-A)
- MBE/WBE contracts (Part III of HUD- 40107)

## HOME 

- The results of on-site inspections of affordable rental housing assisted under HOME
- Assessment of affirmative marketing actions and outreach to minority- and women-owned businesses

## ESG 

- A description of the extent to which ESG-funded activities addressed homeless and homeless prevention goals, objectives, and priorities established in the Consolidated Plan and the Continuum of Care Plan

## ESG

- A description of the sources and amounts of funds used to meet the match requirements
- Annual and cumulative expenditures for all grants open during the year

## HOPWA

- An overview of activities carried out, barriers encountered, actions in response to barriers and recommendations for improvement
- If project sponsors are used, how the grant management oversight of sponsor activities was undertaken, including how recipients were chosen and what services were provided

## HOPWA 

- Information on other resources used in conjunction with HOPWA-funded activities
- Description of how activities were carried out in collaboration with related programs
- Chart 1 –  the number of units assisted with HOPWA funds during the program year
- Chart 2 – comparison of actual accomplishments to planned actions

## IDIS Reports

## IDIS Reports

- General
- PR23 (Summary of Accomplishments)
- PR09 (Program Income Details)
- CDBG
- PR03 (GPR)
- PR26 (Financial Summary)
- HOPWA
- PR72 (Project Activity Summary)

## IDIS Reports

- ESG
- PR19 (Program Grantee Statistics)
- PR20 (Grantee Activity Summary)
- HOME
- PR22 (Status of HOME Activities)
- PR25 (Status of CHDO Funds)
- PR27 (Status of HOME Grants)
- PR33 (Match Liability)

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## IDIS

- CDBG information that must be in IDIS (but is not on reports)
- Area benefit activities
- Job creation/retention activities
- LMC using nature and location
- Slum blight area
- Multifamily housing

## Area Benefit Activities – C04MX03

## Job Creation/Retention – C04MA07

## LMC Using Nature and Location – C04MA06

## Slum/Blight Area – C04MX02

## Multi-Unit Housing – C04MC04

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## Macros that convert IDIS reports to a format that can be used with Excel and Word 

- BOSMAC

## BOSMAC IS NOT IDIS!!

**DATA**

**IDIS**

**BOSMAC**

## How do I get BOSMAC?

- www.hud.gov/offices/cpd/systems/idis/ reporting/bosmac/index.cfm

## BOSMAC

- Prepare CAPER
- Data clean-up
- Review status of activities
- Review draw downs and activity progress

## How does BOSMAC work?

- Download an IDIS report
- Open the Excel or Word macro file
- Double-click the appropriate button

## BOSMAC - Excel

**IDIS Reports**

- For the PR02, 03, 06, 07, 08 and 22

## BOSMAC - Word

**CAPER**