# Presentation: 667707

## HOPWA Update for 2008 

**January  2008 **
**Office of HIV/AIDS Housing **
**Email: **_[HOPWA@hud.gov](mailto:HOPWA@hud.gov)_
**Web:   ****see info at AIDS.GOV   &**
- _[http://www.hud.gov/offices/cpd/aidshousing/programs/index.cfm](http://www.hud.gov/offices/cpd/aidshousing/programs/index.cfm)_

## Housing Opportunities for Persons With AIDS (HOPWA) 

**Housing as a base from which to receive care**** **
***	******         ****National Commission on AIDS*, 1992
**The first step to better health is a roof over your head**
*	**Housing resident, Chicago HOPWA 2006 *

## FY2008 Appropriations $300.1 million
     - $267.4 million to 127 states/MSA by formula
      -   $29.7 million awarded by competition
       -    $1.485 million technical assistance
	  -    $1.485 million working capital funds for IT support

Outlays during FY07 $277.8 million
-  reimbursements from HUD financial systems for approved grants from prior fiscal years; the FY07data represents a small change from records for FY06 ($308.9 million)

- FY2008 Appropriations $300.1 million
-      - $267.4 million to 127 states/MSA by formula
-       -   $29.7 million awarded by competition
-        -    $1.485 million technical assistance
- 	  -    $1.485 million working capital funds for IT support
- Outlays during FY07 $277.8 million
- -  reimbursements from HUD financial systems for approved grants from prior fiscal years; the FY07data represents a small change from records for FY06 ($308.9 million)

**Source: HUD data 2008**

## FY08 Formula grants must be obligated by 9/30/09 or cancelled by statutory limit (2 year limit)

FY08 Competitive grants must be obligated by 9/30/10 or cancelled by statutory limit (3 year limit)

FY08 grant usage conditions:  competitive/TA with 3 year grant agreements; w. one time extension up to 12 months for cause, approved by Field

Five year maximum or cancelled by statute (i.e. 9/30/14)

- FY08 Formula grants must be obligated by 9/30/09 or cancelled by statutory limit (2 year limit)
- FY08 Competitive grants must be obligated by 9/30/10 or cancelled by statutory limit (3 year limit)
- FY08 grant usage conditions:  competitive/TA with 3 year grant agreements; w. one time extension up to 12 months for cause, approved by Field
- Five year maximum or cancelled by statute (i.e. 9/30/14)

**Source: HUD data 2008**

## Appropriation Changes 2008

*Federal Fiscal Year 2008*
- Funding levels -  increased by $13.99 million, 4.89%
- Four new grantees, State of Nebraska, and the largest city in 3 MSAs:  Bakersfield CA, Palm Bay FL and Tulsa OK.
- Authorizes a city to arrange for its state to administer the grant, as implemented in FL for Lakeland and Cape Coral  and in MD for Frederick;  three new areas also likely to make similar arrangements, resulting in 121 formula accounts.
- Continued housing support for 67,000 households, and the increase to provide help for 3,500 additional households

## Appropriation Changes 2008

*Administrative provisions continued: *
- Use of AIDS incidence data collected over three years rather than annual data (3rd year under this standard)
- Direct funding for Jersey City and Paterson NJ rather than as part of NYC allocation
- State of NJ administers the NJ part of funds to the Wilmington DE MSA
- Wake County, NC administers funds in the Raleigh MSA

## Amounts to be proposed in President’s budget statement later in January. 

Prior year CDC data allows for estimate that 3 potential new grantees

- Amounts to be proposed in President’s budget statement later in January.
- Prior year CDC data allows for estimate that 3 potential new grantees

## Awards in 2008 pending SuperNOFA and renewal notice publication (Statutory priority to renew expiring permanent supportive housing projects that meet program requirements) 

103 active grantees rely on 83 project sponsors:

	 31 	projects FY07, w. 27 renewals, 3 new PH, 1 new TH
	 26 	projects FY06, w. 16 renewals, 10 new PH
	 35 	projects FY05, w. 15 renewals, 3 new PH, 17 new TH
	 11   projects with extensions (6 PH from FY04; 5 PH FY03)

- Awards in 2008 pending SuperNOFA and renewal notice publication (Statutory priority to renew expiring permanent supportive housing projects that meet program requirements)
- 103 active grantees rely on 83 project sponsors:
- 	 31 	projects FY07, w. 27 renewals, 3 new PH, 1 new TH
- 	 26 	projects FY06, w. 16 renewals, 10 new PH
- 	 35 	projects FY05, w. 15 renewals, 3 new PH, 17 new TH
- 	 11   projects with extensions (6 PH from FY04; 5 PH FY03)

**Source: HUD data 1/08**

## 120 Formula grantees rely on 787 project sponsors:
	116 govt. agencies 		  	  $66.8 m
	561 nonprofits (secular)		$133.7 m
	110 nonprofits (faith-based CBO)	  $33.5 m

Amounts received (n=787):
	  32 		over $1 million
	  67 		$500,000 to 1 million
	351 		$100,000 to $499,999
	337 		under $100,000

- 120 Formula grantees rely on 787 project sponsors:
- 	116 govt. agencies 		  	  $66.8 m
- 	561 nonprofits (secular)		$133.7 m
- 	110 nonprofits (faith-based CBO)	  $33.5 m
- Amounts received (n=787):
- 	  32 		over $1 million
- 	  67 		$500,000 to 1 million
- 	351 		$100,000 to $499,999
- 	337 		under $100,000

**Source: HUD data 12/07**

## Federal Funding Accountability and Transparency Act of 2006 (PL 109-282):

requires information on subcontracts of $25,000 or greater (not data on individuals):
primary location -- city, state, congressional district, county
Unique identifier (i.e. Employer Identification Number/EIN) and for any parent entity
Publication on searchable website

***Federal Funding Accountability and Transparency Act**** ****of 2006*** (PL 109-282):
- requires information on subcontracts of $25,000 or greater (not data on individuals):
- primary location -- city, state, congressional district, county
- Unique identifier (i.e. Employer Identification Number/EIN) and for any parent entity
- Publication on searchable website

## Program Assessment Rating Tool (PART) OMB/HUD FY05

Clear purpose & operates without flaws 

Strategic Planning toward Long-term outcomes with commitment to achieve goals, linkages in budgets & addresses deficiencies

Program management with accountability, transparency, efficiencies, criteria for competitive processes, oversight 

Results (50%)  achieving annual goals within Long-term objectives, with cost effective approaches and independent evaluations

***Program Assessment Rating Tool*** (PART) OMB/HUD FY05
- Clear purpose & operates without flaws
- Strategic Planning toward Long-term outcomes with commitment to achieve goals, linkages in budgets & addresses deficiencies
- Program management with accountability, transparency, efficiencies, criteria for competitive processes, oversight
- Results (50%)  achieving annual goals within Long-term objectives, with cost effective approaches and independent evaluations

## Absent outcome data, results not demonstrated

Two PART recommendations
formula is out-dated and should be replaced with more current estimate of needs, PLWAs and Housing Costs 
Establish long-term Client outcomes

2008 update to PART pending

- Absent outcome data, results not demonstrated
- Two PART recommendations
- formula is out-dated and should be replaced with more current estimate of needs, PLWAs and Housing Costs
- Establish long-term Client outcomes
- 2008 update to PART pending

## General Accountability Office, Changes Needed to Improve the Distribution of Ryan White CARE Act and Housing Funds, GAO-06-332 HIV/AIDS Funding, 2/06 
Reviewed equity in distribution of resources federal HIV/AIDS programs
Recommended using a measure of living AIDS cases
Did not consider housing cost differences
funding is disproportionate per cum. AIDS case, average $306 vs. range of $230 to $626

***General Accountability Office****,* *Changes Needed to Improve the Distribution of Ryan White CARE Act and Housing Funds*, GAO-06-332 HIV/AIDS Funding, 2/06
- Reviewed equity in distribution of resources federal HIV/AIDS programs
- Recommended using a measure of living AIDS cases
- Did not consider housing cost differences
- funding is disproportionate per cum. AIDS case, average $306 vs. range of $230 to $626

## HUD Formula Recommendations

- Recommendations developed in the PART review and included in HUD’s FY05-08 budget proposals
- Two Main Statutory Factors
**Current data for the number of persons living with AIDS **(or HIV, once valid national data are available) as obtained from CDC; and
**A housing cost factor **(new provision based on FMR differences).
- Establish formula details in regulations** **(similar to HOME authorization)

## Formula Recommendations

- Replaces use of cumulative AIDS data (CDC reported 956,019 AIDS cases through 2005, compared to 433,760 persons known living with AIDS, 45% of cumulative)
- Allows inclusion of data on persons living with HIV, when available on national basis (CDC reported 475,220 PLWH (not AIDS), only from 33 states)
- Replaces High Incidence factor that targets 25% of funding to 28 cities of 122 jurisdictions, using data duplicated in allocations of 75% basic funding (GAO concern 2/06)

## Formula Recommendations

- Maintains eligibility for current 2007 recipients (regardless of relative changes in city populations)
- Revises new formula eligibility to 1,500 PLWAs (or 2,000 PLWH, when implemented)
- moderates funding changes for two years (new allocations not less 90% or more than 120% of last two year average as baseline)
- HUD is also reviewing new CARE act standards on data as a potential source for valid national data on PLWH
** **

## III. Program PerformanceHUD Strategic Framework 				

- Promote Decent Affordable Housing
- Expand access to and availability of decent, affordable rental housing
- Strengthen Communities** **
- End Chronic Homelessness and move homeless families and individuals to permanent housing
- Others:  Increase Homeownership Opportunities; Ensure Equal Opportunity in Housing; Embrace High Standards of Ethics, Management & Accountability; & Promote Participation of Faith-Based and Community Organizations.
*	**	**	**Source:*FY07 HUD Management Plan, 9/26/06

## Profile on HOPWA Use of Funds

**Source: HUD Data in GAO Report, 2/06 **

**Notes:**
Source: GAO Analysis of HUD 

## Performance Indicators

***Output:*** Number of rental assistance households and rental housing units w. CDBG, HOME, HOPWA, IHBG & NHHBG:
- HOPWA data on households assisted:
- FY2005	  67,012   (verified reports*; vs. 70,450 budget goal)
- 	* reduction of 4,209 from verification changes made by 3 grantees
- FY2006	  67,000   (verification underway; from financial data vs. 71,526 budget)
- FY2007	  67,850	(preliminary annual data vs. goal at 67,000)
- FY2008	  67,000   (goal)
- FY2009	  71,500   (goal, per FY08 funding increase)
*	**	**	**Source: *PAR, 11/07 and FY2008 Budget

## Performance Indicators

***Outcome***:  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:
- HOPWA data on households assisted:
- FY2006 new reporting forms issued APR/CAPER/IDIS with training for all grantees; target from 2000 PDR study; 05 outcome pilot test indicated 91% results; first year data 95 grantees report outcome achievement at 93%.
- 	 		*Source: *PAR, 11/06 and FY2008 Budget, HOPWA data 11/07

## Performance Indicators Source: PART Update, 1/07 

***Efficiency Outcome***:  Rental assistance cost per household assisted for tenant based rental assistance as percentage of the cost per household assisted in the Housing Choice Voucher program:
- HOPWA data:
- FY2005 HOPWA unit cost at 59 percent of Voucher unit cost.  Data reports for FY2005 indicate average HOPWA costs of $3,830 per household compared to $6,600 under the Housing Choice Voucher program

## 
Permanent/stable housing arrangements in place & not likely to use more short-term support
Temporary housing situations/avoids homelessness, but likely to need more support 
Unstable situations, when former clients are known to be homeless, in jail or disconnected from efforts 

***Permanent****/stable housing arrangements* in place & not likely to use more short-term support
***Temporary ****housing* situations/avoids homelessness, but likely to need more support
***Unstable ****situations*, when former clients are known to be homeless, in jail or disconnected from efforts

** ****Annual Assessments of Status**

- Household’s **housing situation **each year

##  A. Total number households assisted: 17,851

       Average Cost:  $4,463
        Benefits: Ongoing monthly housing subsidy

 B.  Outcome:  90% Stable (81% continuing); 4% Unstable; 6% TBD

Source: A. Reports submitted for 2005-06 operating year
B. Sample of 95 grantee 2005-06 reports; n = 9,787 Households

*** ******A. Total number households assisted: 17,851***
***   ***
***       ******Average Cost:  $4,463***
*** ******       ******Benefits: Ongoing monthly housing subsidy***
*** ***
*** ******B.  Outcome:  90% Stable (81% continuing); 4% Unstable; 6% TBD***
*** ***
*** ***
***Source: A. Reports submitted for 2005-06 operating year***
***B. Sample of 95 grantee 2005-06 reports; n = 9,787 Households***

**Source: HUD data 9/2007**

## A.  Total number of households assisted: 8,774
    	 Average Cost:  $5,636
      Benefits: Housing with on-site support

Outcome:  75% Stable (56% continuing);  
   5% Temporarily Stable;  13% Unstable; 7% TBD

Source: A. Reports submitted for 2005-06 operating year
B. Sample of 95 grantee 2005-06 reports, n = 3,142 Households
Note: Operating and Development Costs only; not including supportive service costs 

***A.  Total number of households assisted: 8,774***
***    ******	****** ******Average Cost:  $5,636***
***      ******Benefits: Housing with on-site support***
***Outcome:  75% Stable (56% continuing);  ***
***   ******5% Temporarily Stable;  13% Unstable; 7% TBD***
***Source: A. Reports submitted for 2005-06 operating year***
***B. Sample of 95 grantee 2005-06 reports, n = 3,142 Households***
***Note: Operating and Development Costs only; not including supportive service costs ***

**Source: HUD data 9/2007**

## HOPWA Short-term Assistance 

***A. Total number households assisted: 37,221***
***     ******Average Cost:  $838***
***     ******Benefits: Limited rent, mortgage, or utility payments preventing homelessness***
***B. Outcome:  38% Stable;  12% Temporarily Stable;  4% Unstable; 46% TBD***
***Source: A. Reports submitted for 2005-06 operating year***
***B. Sample of 95  grantee 2005-06 reports, n = 11,364 Households***

**Source: HUD data 9/2007**

## Client Outcomes by Type of Housing 

**National Performance Goal, 80% maintain stable/reduce risk of homelessness housing**

**Source: HUD data 9/2007**

## Common Project Review Findings

Documentation of client eligibility
Correct rent determinations
Documentation of eligible activities
Timeliness in grant expenditures & reporting
Disbursement to sponsors in timely manner
Proper cost allocation, staff time 

- Common Project Review Findings
- Documentation of client eligibility
- Correct rent determinations
- Documentation of eligible activities
- Timeliness in grant expenditures & reporting
- Disbursement to sponsors in timely manner
- Proper cost allocation, staff time

## On names and personal information, required in statute and regulations, 24 CFR 574.440
Only used for limited purposes on program eligibility and assistance needs
Written procedures, staff training
Secure files/IT, limited access
Monitoring of compliance

			Source: Guidance in CPD Notice 06-07

- On names and personal information, required in statute and regulations, 24 CFR 574.440
- Only used for limited purposes on program eligibility and assistance needs
- Written procedures, staff training
- Secure files/IT, limited access
- Monitoring of compliance
- 			Source: Guidance in CPD Notice 06-07

## Short-Term Rent Mortgage & Utilities

- CPD Notice 06-07, Standards for Short-term Rent, Mortgage & Utilities (*STRMU & Connections to Permanent Housing*, 8/3/06 & FAQ
- On-going assessments of housing needs (24 CFR 574.500)
- Permanent Housing Placement defined covering reasonable security deposits (2 months rent) & fees
- Not costs for personal items, furnishings, supplies, other move-in support or incidental costs (see leveraged funds)
- Counting 21 weeks of assistance; define components

- General management, oversight, coordination & evaluation
-  Grantee’s amt. (3%) to administer, could include subcontracting for grant management support with agents to help distribute funds.
-  Admin includes data collection on project outcomes
-  Not activity delivery costs, such as staff to deliver support
-  Can designate gov’t. housing agencies to carry out support for clients as sponsor in assisting clients (with 7% sponsor admin of amts received by the sponsor)
- 	NO  3 + 7 + 7
- 			               Source: HUD FAQ 8/06

## Related Project Costs 

- Resource Identification to establish, coordinate and develop housing assistance, such as costs for project needs assessment & planning, consultations, housing project feasibility
- Housing Information services for clients, such as connections in HMIS for client support in HOPWA homeless projects
- Stewardship requirements, record restrictive covenants on assisted properties
- Grant agreements address related use of any program income, tracked as leveraging

## Issuance of updated reporting forms with implementation guidance 

Schedule series of area trainings on new tools on performance reporting and oversight

Posting of grantee profiles of annual results

Rollout of IDIS enhancements & redesign

- Issuance of updated reporting forms with implementation guidance
- Schedule series of area trainings on new tools on performance reporting and oversight
- Posting of grantee profiles of annual results
- Rollout of IDIS enhancements & redesign

## 2008 HOPWA Report Forms

- Annual Progress Report -- APR
- 	(Form HUD 40110-C, Expiration Date 12-31-2010)
- http://www.hud.gov/offices/adm/hudclips/forms/files/40110-c.doc
- Comprehensive Annual Performance and Evaluation Report – CAPER
- 	(Form HUD 40110-D, Expiration Date 12-31-2010)
- http://www.hud.gov/offices/adm/hudclips/forms/files/40110-d.doc

## 1. Reporting Edits for 2008 (Updating APR, CAPER, IDIS elements)

- Info on Grantee/Project Sponsor/Subrecipients
-   	Organization and subgrant information revised to cover elements in the Federal Funding Accountability and Transparency Act, 2006 (PL 109-282)
- Grant Summary in CAPER streamlined similar to the APR and reduced to:
- Housing outputs (households by type of housing & area)
- Assessing achievement of outcomes, compared w. goal
- Coordination with other resources, as est. in Con Plans
- Technical assistance needed

## Reporting Edits for 2008

- 3. Unmet Housing Needs chart
- 	 Assessment for households by type of housing needs, and source for data (e.g. Consolidated Plans  or other relevant policy tools).
- 4. Leveraging of other resource commitments
- 	Consolidated to one chart and streamlined by sources for 2 categories: housing assistance or supportive services.
- 5. Resource Identification & Technical Assistance
- Reported as separate items, to improve accuracy

## Reporting Edits for 2008

- 6. Housing Assistance Type
- 	Clarified to include use of master leased units and scattered site leased units reported under facilities (along with PBRA)
- 	Separates output/outcome information in using facilities by type: either Permanent housing facilities or Transitional/Short-term Facilities.
- 	Note:  edits maintain 2006 HOPWA matrix for 9 types of housing status results, consistent with HMIS data elements

## Reporting Edits for 2008

- 7. Results from use of Short-Term Rent, Mortgage and Utility Assistance (STRMU)
- Reformatted to clarify use of short-term tools
- Differentiates outcomes for reducing the risk of homelessness, seen in temporary arrangements (with need for more STRMU likely), from stable/permanent results where households are likely to not need additional subsidy
- Status of client households reported based on assessment of their on-going housing situation, as known

## Reporting Edits for 2008

- 8. Access to Care
- Simplified to collect annual results (drops entry/exit reports) and clarify key status-of-care indicators as follows:
- Has a housing plan
- Contact with a case manager
- Contact with a primary health care provider
- Access medical insurance/assistance
- Access or maintained sources of income/benefits (drops chart on changes in income levels)

## Reporting Edits for 2008

- 9. Supportive Services
- Streamlined into one common chart on using HOPWA funds for these activities (13 types)
- Grantee summaries on services reported by 2 types of project sponsor programs:
- Services provided by project sponsors also delivering HOPWA housing assistance
- Services provided by project sponsors serving households with other housing arrangements
- NOTE: Issuance of new edition of HOPWA report forms with implementation guidance and training plan expected in 2008

## Purpose for new grantee tool: 
Assist HOPWA grantees with practical steps in overseeing and supporting project sponsor management
Identifies key HUD regulations and other applicable federal requirements and guidelines
Based on HUD’s CPD Monitoring Handbook 6509.2 (2007 update) covering HOPWA and other programs
Will help standardize HOPWA project reviews and serve as a working desk guide on key program requirements

- Purpose for new grantee tool:
- Assist HOPWA grantees with practical steps in overseeing and supporting project sponsor management
- Identifies key HUD regulations and other applicable federal requirements and guidelines
- Based on HUD’s CPD Monitoring Handbook 6509.2 (2007 update) covering HOPWA and other programs
- Will help standardize HOPWA project reviews and serve as a working desk guide on key program requirements

## Chapters address key program and grant management topics
Gives grantees standard methodology for organizing oversight (key regulations, basic checklists)
Describes oversight through regular business operations (billing, reporting) as well as on-site visits

- Chapters address key program and grant management topics
- Gives grantees standard methodology for organizing oversight (key regulations, basic checklists)
- Describes oversight through regular business operations (billing, reporting) as well as on-site visits

## Chapters arranged by:
Activities (e.g. Tenant-based Rental Assistance, STRMU, Facilities, Supportive Services)
Management Areas (e.g. Audits, Procurement, Financial Management)

Implements key elements to evidence compliance with relevant HUD Regulations, Notices, OMB Circulars, other HUD publications
Forthcoming: January 2008 along with training web-cast and area training sessions in 2008

- Chapters arranged by:
- Activities (e.g. Tenant-based Rental Assistance, STRMU, Facilities, Supportive Services)
- Management Areas (e.g. Audits, Procurement, Financial Management)
- Implements key elements to evidence compliance with relevant HUD Regulations, Notices, OMB Circulars, other HUD publications
- Forthcoming: January 2008 along with training web-cast and area training sessions in 2008

## Tracking grantee performance based on ratio of 1.5 for balances on hand to 1.0 in new funds pending

Based on CPD standards for CDBG formula programs

HOPWA goal for active use of current funds

Targets technical assistance & CPD guidance on timely use of funds

Review of past financial reports (1/07):
	100 top & well operating efforts (ratios below 1.5) 
	   20 needing focus on disbursement efforts (ratios above 1.5)  

- Tracking grantee performance based on ratio of **1.5 for *****balances on hand*** to **1.0 in *****new funds pending***
- Based on CPD standards for CDBG formula programs
- HOPWA goal for active use of current funds
- Targets technical assistance & CPD guidance on timely use of funds
- Review of past financial reports (1/07):
- 	100 top & well operating efforts (ratios below 1.5)
- 	   20 needing focus on disbursement efforts (ratios above 1.5)
***	***

**Source: HUD data 2007**

## Along with other CPD programs, HOPWA efforts will have a profile report posted on the HUD web to help disseminate information on results from the use of federal and other funds. 

Available funds & ratio of balances to new formula amounts (tracking goal not to exceed 1.5 balance to 1.0 new award)

Expenditures by Type of Activity with charts

Outputs (# of households assisted) & Outcomes (% with stable housing arrangements or reduced risks of homelessness) in charts; and leveraged resouces.

- Along with other CPD programs, HOPWA efforts will have a profile report posted on the HUD web to help disseminate information on results from the use of federal and other funds.
- Available funds & ratio of balances to new formula amounts (tracking goal not to exceed 1.5 balance to 1.0 new award)
- Expenditures by Type of Activity with charts
- Outputs (# of households assisted) & Outcomes (% with stable housing arrangements or reduced risks of homelessness) in charts; and leveraged resouces.
***	***

**Source: HUD data 2008**