# Presentation: 253699

## CPD Outcome  Measurement Framework Brief Overview

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

## Background Information

## What is Performance Measurement?

**Performance measurement is a program management tool**
**It is ......**
- 	 an organized process for gathering information to determine how well programs and activities are meeting established needs and goals.

## Why is Performance Measurement Important?

**Federal Agencies**
- Now a requirement for federal programs
- Performance is a key consideration in program funding decisions
- Demonstrating program results to decision-makers & public

## Why is Performance Measurement Important?

**State and Local Grantees**
- Enables HUD and grantees capture program accomplishments
- Helps enhance program capacity and results
- Builds public confidence/support in programs

## Development of CPD’s Outcome Framework

**HUD needed a tool to capture data on program outcomes from grantees**
**Working Group formed that included:**
- A diverse group of grantees
- Community development organizations
- HUD
- Office of Management & Budget (OMB)
**Goals:**
- Collect data on program outcomes that  can be reported nationally
- Minimize the reporting burden on grantees

## Timeline for Implementation of the Framework

**Current IDIS with outcome fields**
- Data entry now encouraged
**Required implementation for all activities**
- October 1, 2006
- Any open activity not just new

## Highlights of the System

**Common performance measures that apply to all four HUD CPD formula programs **
**Outcome measures are driven by local intent **
**Indicators that use data commonly collected by grantees **
**Data collected will enable HUD to “roll up” results to national level **

## Using the System – Key Actions

**For each activity that a grantee plans and funds:**
- Determine the goal of the activity based on local intent
- Identify _one objective_ and _one outcome_ for each activity in Con Plan submissions (e.g., next Annual Action Plan)
- Indicate the _objective_ and _outcome_ in IDIS when setting up an activity
- Report on applicable _indicators_ in IDIS/CAPER/PER

## Objectives

**Three Objectives:**
**Creating Suitable Living Environments**
**Providing Decent Affordable Housing**
**Creating Economic Opportunities**
**Reflect the statutory purposes of the four programs**
**Tie directly to HUD’s 3 to 5 Year Plan**

## Outcomes

**Three Outcomes:**
- Availability/Accessibility
- Affordability
- Sustainability
**To determine the most appropriate outcome for an activity, ask:**
**	****	****“****What type of change or result ****	****am I seeking?”**

## Linking Objectives & Outcomes - Outcome Statements

## Indicators

**Common Indicators (4)**
- Generally apply to all activities
- Grantees only report data items that are currently required
**Specific Indicators**
- Applicable indicators determined by type of activity
- 18 categories of indicators, many with several data items
- Report on all data items relevant to the specific activity performed

## Common Indicators

**Amount of money leveraged **
**Number of persons, households, businesses, units or beds assisted **
**Income levels of persons or households **
- 30, 50, 60, or 80 percent of AMI (only levels currently required)
**Race, ethnicity, and disability data for activities that currently report these data**

## Implication for Grantees

**Outcome framework may affect grantee:**
- Program design and planning, including the Con Plan
- Activity/project selection process
- Project data collection
- IDIS data entry
- Reporting to HUD

## Consolidated Plan & Annual Action Plan -- Timing

**FY06 **
- All plans (3 to 5 Year Plan or Action Plan) submitted after March 13, 2006 must include outcome category for activities
**FY07 **
- Must include outcome measures in all action plans
- Must include outcomes in any new 3 to 5 year plan
- If existing 3 to 5 year plan, must amend plan to include outcome measures

## Options for Incorporating Outcome Measures in Existing Con Plans

**Two possible approaches:**
- Incorporate into narrative and/or existing tables
- OR
- Redo tables using new HUD templates
**Not a substantial amendment**

## Data Collection & IDIS

**IDIS will sort by activity and national objective**
- Suggest creating data collection forms that track performance by funded activity types
**Need to determine who/how/when IDIS data entered**
- Some activities at set-up
- Some activities at completion
- Some activities incrementally until completion
**Develop IDIS data entry approach to ensure accuracy of data entry**
- Develop recordkeeping system to track & document project status
**Grantees still required to submit CAPER/PER**
- Will need to report on accomplishments as well as all other required information

## Mixed Financing and Reporting

**Mixed CPD and non-CPD financing projects:**
- Enter outcome data for entire activity not just portion or units funded with CPD $$
- Not done as pro-rata calculation
- Example: CDBG 1⁄2 of the cost of a counseling program
- Count all counseled persons
- Outcome framework also applies even if CPD only in one phase
- Example: HOPWA funds for land acquisition and private funds for construction of units
- Count all units

## Mixed Financing and HOME

**HOME continues to report all units and HOME units**
- Count of total units in projects
- Details and demographic data on HOME-assisted units
- Framework indicator data on HOME-assisted units

## Housing Activities

## Reporting on Homebuyer Activities

**Grantees must report certain data on homebuyer housing activities**
- Activities that involve direct financial assistance to homebuyers
- Activities that involve the development of homebuyer units
**Short-term mortgage assistance for homeowners provided through HOPWA is reported using measures similar to TBRA**

## Direct Homebuyer Assistance Reporting

**Grantees are required to report on the following information:**
- Number of homebuyer households receiving assistance
- Number of those served who are first-time homebuyers
- Of first-time homebuyers, the number of households receiving housing counseling
- For HOME, the number of households coming from public housing or received rental assistance
- Number of households receiving downpayment assistance and/or closing cost assistance

## Homebuyer Development Reporting

**Grantees are required to report on the following information:**
- Total number of housing units completed in the project
- Number of units that are available for purchase only by households below 80% of AMI
- Number of years that affordability restrictions apply (if applicable)
- Number of units meeting Energy Star standards
- Number of units meeting Section 504 accessibility standards
- Number of units occupied by households previously living in subsidized housing

## Homebuyer Development Reporting (cont)

**Additional measures apply to units designated as affordable:**
- Number of occupied by elderly households

## Rental Housing Reporting

**For all rental housing activities:**
- Total number of units in the activity
- Number of affordable units
- Total number of units meeting Energy Star standards
- Total number of units meeting Section 504 accessibility standards

## Rental Housing Reporting (cont)

**For rental units designated as affordable:**
- Number of years that affordability restrictions apply
- Number of assisted units occupied by elderly households
- Number of units subsidized with project-based rental assistance
- Number of units designated for persons with HIV/AIDS
- Number of units of permanent housing designated for homeless persons and families

## Rental Housing Reporting (cont)

**For rental rehabilitation and conversion of non-residential buildings:**
- Number of units created through conversion of non-residential buildings to residential buildings
- Number of units brought from substandard condition to standard condition
- Number of units brought into compliance with the lead safe housing rule

## Homeowner Rehabilitation Reporting

**Grantees are required to report on the following information:**
- Number of units occupied by elderly households
- Number of units brought from substandard to standard condition
- Number of units meeting Energy Star standards
- Number of units brought into compliance with the lead safe housing rule
- Number of units made accessible (compliant with Section 504 for persons with disabilities)

## TBRA/STA Reporting

**Grantees are required to report the following information:**
- Total number of households receiving assistance
- Number of households receiving short-term rental assistance (less than 12 months)
- Number of homeless households receiving assistance
- Of those, the number of chronically homeless households

## Community Development Activities

## Economic Development Reporting

**Grantees must report certain data on E.D. activities**
**Reporting not necessarily tied to objective & outcome chosen**
**Instead, based on:**
- Use of *Job Creation/Retention National Objective* _and_
- Whether *businesses assisted* under certain IDIS Matrix Codes

## Jobs Reporting

**E.D. activities that use the LMI jobs national objective must report on:**
- For _job creation_:
- Total no. of jobs created in the program year
- No. of jobs with employer sponsored health care
- No. of persons who were unemployed prior to taking job created
- No. of jobs by EDA job classifications

## Jobs Reporting (cont)

- For j_ob retention_:
- Total no. of jobs retained in the program year
- No. of jobs with employer sponsored health care
- No. of jobs by EDA job classifications

## Businesses Assisted Reporting

**Applies to the following E.D. activities:**
- Commercial or industrial improvements by a grantee or nonprofit (IDIS Matrix Codes 17A-D)
- Rehab of a publicly- or privately-owned commercial or industrial buildings (IDIS Matrix Code 14E)
- Direct E.D. assistance to private, for-profit companies (IDIS Matrix Codes 18A-C)

## If one of the previously listed activities, collect:
Total no. of businesses assisted
No. of new businesses assisted
No. of existing businesses assisted incl:
No. of businesses expanding
No. of business relocations
No. of businesses with commercial façade or business building rehab

- Total no. of businesses assisted
- No. of new businesses assisted
- No. of existing businesses assisted incl:
- No. of businesses expanding
- No. of business relocations
- No. of businesses with commercial façade or business building rehab

**Businesses Assisted Reporting**

## Businesses Assisted Reporting

**Data collection (cont):**
- No. of businesses that provide goods/services to meet needs of a service area/neighborhood/ community
- DUNS no. for each business assisted

## Reporting on Public Facility & Improvement Activities

**Data Required**
- Number of persons assisted with new access to a facility or infrastructure benefit
- Number of persons assisted with improved access to a facility or infrastructure benefit
- Where the public facility or infrastructure activity will meet a quality standard or will measurably improve quality, report on the number of persons that no longer only have access to a substandard facility or infrastructure

## Reporting on Public Service Activities

**Data Required**
- Number of persons assisted with new access to a service (or continued if refunding)
- Number of persons assisted with improved access to a service (or continued if refunding)
- Where the public service activity will meet a quality standard or will measurably improve quality, report on the number of persons that no longer only have access to a substandard service (or no longer continue to if refunding same activity)

## Geographic Concentration

**Grantees may concentrate resources in in a specific geographic area for the purpose of revitalizing the area and/or demonstrating results**
- May be comprehensive in nature with variety of activities
- May involve variety of sources of funds

## Reporting on Target Areas

**When setting up an activity, indicate if the activity is part of an effort in an identified geographic area:**
- CDBG Strategy Area (HUD approved)
- NRSA for entitlements
- CRSA for states
- Local Target Area (locally designated)
- Community Development Financial Institution (CDFI) Target Area (*CDBG only*)
- _Presidentially-Declared_ Major Disaster Area
- Historic Preservation Area
- Brownfield Redevelopment Area (*CDBG only*)
- Colonia

## Homeless Housing Activities

## ESG-Funded Emergency Shelter

**Grantees providing emergency shelter are required to report the total number of adults and children served.**
- Should be an actual _unduplicated count_, not an estimate or point-in-time count.

## ESG-Funded Emergency Shelter

**Grantees must also report:**
- The number of households served by household type.
- The number of persons served by special need category.
- The number of persons served by facility type.
- The number of persons served by race and ethnicity.

## ESG-Funded Homeless Prevention

**Grantees providing homeless prevention services must report:**
- The total number of adults and children served on an annual basis (reported under _Non-Residential Services_)
- The number of persons served by race and ethnicity.* *

## ESG-Funded Essential Services

**Grantees providing essential services to homeless persons **_**not**_** residing in a shelter are required to report:**
- The total number of adults and children served on an annual basis (reported under _Non-Residential Services_)
- The number of persons served by race and ethnicity.* *

## CDBG-Funded Shelter

**Under the CDBG program, emergency shelter is considered a public facility.**
- Grantees using funds for shelter development must report the number of beds created.
- Grantees using funds for shelter operations must report the number of persons assisted, broken down by:
- Number of persons with new access.
- Number of persons with improved access.
- Number of persons served by a facility that is no longer substandard.

## CDBG-Funded Services

**Under CDBG, supportive services are considered “public services.” **
**Grantees providing public services must report the total number of persons assisted, broken down by:**
- Number of persons who have new access to the service or benefit.
- Number of persons who have improved access to the service or benefit.
- Number of persons that receive a service or benefit that is no longer substandard.

## CDBG-Funded Prevention

**Grantees must report the number of persons assisted for the year, broken down by:**
- The number receiving emergency financial assistance; and
- The number receiving emergency legal assistance.

## Housing for Persons with AIDS Activities

## Changes to HOPWA Screens Under IDIS Version 10.0

**Previously five HOPWA completion paths:**
- Facility-Based Housing
- Facility-Based Non-Housing
- Scattered-Site Housing
- Housing Information/Resource Identification/Administration
- Supportive Services

## Changes to HOPWA Screens Under IDIS Version 10.0

**Under IDIS Version 10.0, the five reporting categories have been expanded to ten.**
- Facility-Based Housing has been separated into Facility-Based Housing *Operations* and Facility-Based Housing *Development.*
- Separate categories have been created for TBRA and STRMU.
- Separate activities were created for Housing Information and Resource Identification.
- Permanent Housing Placement was separated from Supportive Services.

## Facility Based Housing Development

**Facility type**
**Number of units by type of unit **
**Date of closing or lease execution**
**Date construction or rehabilitation began**
**Date construction or rehabilitation completed**
**Date first operations staff was hired.**

## Facility Based Housing Development – cont’d.

**Date residents began to occupy the facility.**
**Site expenditures **
**The number of units that meet Energy Star Standards.**
**The number of units meeting Section 504 accessibility standards.**
**The number of units of designated for homeless persons and families.**
- Of this number, the number specifically designated for the chronically homeless.

## Facility-Based Housing Operations 

**Facility type **
**Number of units by type of unit **
**Site expenditures **
**Total facility-based assistance operations expenditures.**
**Number of **_**households**_** receiving facility-based housing assistance, including:**
- The number of previously homeless households; and
- Of the number of previously homeless, the number of chronically homeless households.

## Facility-Based Housing Operations – Cont’d. 

**Number of **_**persons**_** receiving facility-based housing assistance, broken down by:**
- The number of persons with HIV/AIDS; and
- The number of other family members.
**Number of **_**persons**_** receiving assistance by age, gender, race, and ethnicity.**
**Number of **_**households**_** receiving assistance by income category.**
**Prior living situation of **_**households**_**.**
**Number of **_**households**_** exiting the program, by destination or life event.**

## Facility-Based Non-Housing

**Date of closing or lease execution.**
**Date construction or rehabilitation began.**
**Date construction or rehabilitation completed.**
**Date first operations staff was hired.**
**Date supportive services were first offered.**

## TBRA

**Number of **_**households**_** receiving TBRA, including:**
- The number of previously homeless households; and
- Of the this number, the number of chronically homeless households.
**Number of **_**persons**_** receiving TBRA, broken down by:**
- The number of persons with HIV/AIDS; and
- The number of other family members.
**Number of **_**persons**_** receiving assistance by age, gender, race, and ethnicity.**
**Number of **_**households**_** receiving assistance by income category.**
**Prior living situation of **_**household**_**.**
**Number of **_**households**_** exiting the program, by destination or life event.**

## STRMU

**Total number of **_**households**_** receiving STRMU assistance, broken down by:**
- The number that received mortgage assistance.
- The number that received assistance in the prior reporting year; and
- The number that received assistance in the prior two reporting years.
**Total number of **_**persons**_** receiving STRMU assistance, broken down by:**
- The number of persons with HIV/AIDS; and
- The number of other family members.

## STRMU – Cont’d.

**Number of **_**persons**_** receiving assistance by gender, age, race, and ethnicity.**
**Number of **_**households**_** receiving HOPWA assistance by income category.**
**Prior living situation of **_**household**_**.**
**Number of **_**households**_** exiting the program, by destination or life event.**
**Total STRMU expenditures.**

## Supportive Services

**The number of persons receiving support services in coordination with housing assistance, broken down by:**
- The number of persons with HIV/AIDS; and
- The number of other family members.
**The number of persons receiving supportive services only, broken down by:**
- The number of persons with HIV/AIDS; and
- The number of other family members.
**The amount expended on each service activity.**
**The number of persons placed in jobs through supportive service expenditures (e.g., case management, employment assistance).**

## Permanent Housing Placement

**Total number of households receiving housing placement assistance.**
**Total housing placement expenditures.**

## Housing Information Services

**Number of households receiving housing information services.**
**Total expenditures.**

## Interaction Between HOPWA and Homeless Reporting

**Significant overlap between homeless population and low-income persons with HIV/AIDS. **
**Important for HOPWA providers to actively participate in Continuum of Care (CoC) planning process.**

## IDIS

## Performance Measures in IDIS

**Integrated Disbursement and Information System (IDIS)**
- Incorporate into current data entry
- Enter data at two different times: beginning and end of program year
**Timeframe for Implementation**
- Activities without “Complete” status by October 1, 2006
- Includes activities that are “Budgeted” or “Underway”

## Performance Measures in IDIS

**New and Revised IDIS Screens**
**Changes at IDIS Activity Level**
- Common Path
- Program-Specific Screens
**Status Code on Screen #3 of Common Path**
- Receive credit upon with “Complete” status
- Accomplishment information most important to CDBG
**New Reports**
- Coming soon

## Performance Measures in IDIS

**Objectives and Outcomes**
- Determine for each activity for Action Plan
- Indicate for each activity in IDIS at setup
- IDIS will only allow you to choose one of each type
- If valid secondary performance measure, report in narrative
**Indicators**
- Report in IDIS/CAPER/PER
- System will choose specific indicators based on type of activity

## Data Entry

**Timing of Activity Setups**
- CDBG, ESG, and HOPWA at start of Program Year
- New HOME activities as needed
**Timing of Completions**
- CDBG: Quarterly & End of Year Updates
- ESG and HOPWA: Annual Updates
- HOME: Complete within 120 days of final draw

## HOME Activity Screens

## HOME Program Screens

**Common Path**
**HOME Program Screens: Setup**
- Objective and Outcome Screen
- Special Characteristics Screen
- Homeless Information (TBRA Only)
**HOME Program Screens: Completion**
- Rental Units & Period of Affordability (2 Screens)
- Homebuyer Units & Beneficiary (2 Screens)
- Homeowner Rehab

## CDBG Activity Path

## CDBG Program Screens

**Accomplishments by Program Year**
**Common Path**
- Continue to Use Guidance on Accomplishment Types
**CDBG Program Path**
- Objective and Outcome Screen
- Activity Information Screen
- Performance Measurement Indicators

## CDBG Screens

**Common Screens**
**Public Service / Facility Screens**
**Low Mod Housing Screens**
**Economic Development Screens**

## ESG Data Entry

**Data Organization**
- See ESG Desk Guide, Chapter 5
- Shelter = IDIS Project
- Eligible use of ESG = IDIS Activity
**Choose 1 IDIS Activity for Each Project**
-  Report data for entire shelter
**Annual Update at End of Program Year or at Completion (whichever is first)**
**Streamlining Process Coming Soon (Phase I)**

## ESG Program Screens

**Common Path**
**ESG Program Path Setup**
- ME01: Housing and Services
- ME08: Objective and Outcome
- ME09: Special Characteristics
- ME02: ESG Beneficiaries
- ME07: Racial/Ethnic Characteristics
- ME03: ESG Beneficiaries (gender, age, family)
- ME04: Target Population Data
- ME05: ESG Housing
- ME06: ESG Funding

## HOPWA Data Entry

**Data Organization**
- Sponsor = IDIS Project
- Eligible use of HOPWA = IDIS Activity
- Each Facility = IDIS Activity
- Each New Year = New Activity
**Annual Update at End of Program Year or at Completion (whichever is first)**

## HOPWA Program Screens

**Common Path**
**HOPWA Screens based on activity type: **
- Facility Based Housing—Development
- Facility Based Housing—Operations
- Facility Based Non-Housing
- Permanent Housing Placement
- Short Term Rent, Mortgage, Utility (STRMU)
- TBRA
- Supportive Services
- Housing Information Services
- Resources Identification

## HOPWA Screens

**Appear for all activity types: **
- HOPWA Activity (CO4MP01)
- Objective and Outcome (CO4MP18)
- Special Characteristics (CO4MP19)
- Available HOPWA Funding (CO4MP10)
**Some screens dropped/incorporated into other screens**

## Reporting and Monitoring

## Annual Reporting

**Required for all four CPD Programs**
- For localities = CAPER
- For states = PER
**Evaluates both progress and compliance**
**Used by HUD, grantees, citizens**
**CAPERs due after October 1, 2006 must include performance measurement information for all activities **
**Note that paper-based PER will end after FY 2005 year end reporting**

## CAPER & the Con Plan Regulations

**Con Plan regulation addresses reporting briefly**
**Now incorporates outcome reporting**
**Regulation now notes:**
- Comparison of proposed vs. actual objectives
- Addressing each outcome measure
- Explain, if applicable, why progress was not made

## IDIS Reports

**Grantees can generate IDIS reports to track periodic and year end progress**
**Use reports:**
- PR03: Grantee Performance Report
- PR06: Summary of Consolidated Plan Projects for Program Year ####
- PR23: Summary of Accomplishments
- PR26: CDBG Financial Summary Report

## Monitoring

**HUD will monitor grantees for:**
- PM data timeliness
- PM data completeness
**Grantees should conduct self monitoring to ensure that data is reported and tasks are on target**
**Grantees responsible for monitoring subrecipients, CHDOs, state recipients, other partners for PM data reporting**

## Next Steps

**Ask the following questions:**
- Does our 3 to 5 Year Plan include the outcome measures?
- If no, amend it
- Does our Action Plan include outcome measures?
- If no begin the process of incorporating it for FY07
- Are our subrecipients, CHDOs, state recipients and other partners aware of the new requirements?
- If no, hold a training session or share outreach materials

## Next Steps

**More questions:**
- Do our activity-based data collection forms generate the indicator data we need?
- If no, work with staff and partners to update those forms
- Does our grantee have procedures for tracking, entering and documenting data?
- If no develop simple procedures for who is responsible for making outcome decisions, entering data into IDIS and documenting files
- Have we considered how the Outcome Framework will be used locally?
- If no, consider options for local program evaluation

## Additional Resources

**CPD Performance Measurement Website**** ****www.hud.gov/offices/cpd/about/performance.index.cfm**
**HUD Performance Measurement Notice (March 7, 2006)**
**Performance Measurement FAQs**
**IDIS Screen Captures**