HOPWA Performance Management and Monitoring

Performance Measurement

Performance measurement is important for two primary reasons:

  • Meeting Federal Requirements: At the Federal level, HUD is required to meet the standards of the Government Performance and Results Act (GPRA) of 1993, which holds all Federal agencies accountable for establishing goals and objectives and measuring outcomes.
  • Enhancing Program Capacity: Additionally, performance measurement is an important management tool that can enhance program capacity and performance. Performance data allows program managers to identify what is working well and where adjustment needs to be made to more effectively address the needs of persons living with HIV/AIDS.

The HOPWA program helps beneficiaries improve their health by providing stable housing as a basis for increased participation in comprehensive care. Program achievements are measured though performance reports submitted annually by program grantees.

Formula Program Reporting

HOPWA Formula Program grantees must submit a Consolidated Annual Performance and Evaluation Report (CAPER) and use the Integrated Disbursement and Information System (IDIS) to report complete annual information on the use of program funds and progress towards identified goals and objectives. CAPER/IDIS Beneficiary Verification Worksheets have been created to complement the standard use of the HOPWA CAPER to allow for provided required information on beneficiaries.

Competitive Program Reporting

HOPWA Competitive Program grantees must submit an Annual Progress Report (APR) to provide HUD with complete information on the use of program funds.  The APR is designed as a management tool to assist area efforts in evaluating program performance, including the performance of project sponsors and contracted service providers, in identifying recommendations for program improvements, and in setting future objectives for the community efforts. This page provides detailed information about the APR and reporting requirements for HOPWA Competitive Program grantees. Starting in 2011, HOPWA Competitive grantees will migrate into the IDIS System and begin to submit their APRs electronically. They will be phased into the system as each grant comes in for renewal. 

APR Submission

The APR must be used for any HOPWA Competitive Program grants that have been awarded. If a program operates with project sponsors or contracted service providers, the recipients should also use the APR for reporting to the grantee on their program activities as a sponsor. However, the grantee should consolidate sponsor and provider information in one report; the grantee's APR should be the only report filed directly with HUD.

Information collected and reported in the APR should represent the activities that were carried out with HOPWA funds during the grantee's operating year, regardless of the year of the grant award. For competitive grants, a report should be made for each competitive grant separately, except where an award was made for an extension of four months or less, with that data added to the prior year of the competitive grant. If the grantee is a recipient of more than one competitively-awarded grant and the grant applications proposed different activities, grantees should report on activities undertaken during the operating year and use a separate report for each competitive grant awarded. Information should not be combined with any data that would be reported by the HOPWA Formula Program grantee.

As applicable, a grantee must submit a completed APR to HUD within 90 days after the end of each operating year. After the area HUD Office has received and reviewed an APR, the grantee may be contacted regarding the information presented and may be asked to submit additional or corrective information. Failure to submit an APR may affect the receipt of future competitively awarded grant funds and may result in corrective action.

Stewardship Reporting on Capital Development Activities

For programs involving the use of HOPWA funds for new construction, acquisition, or for substantial rehabilitation of a building or structure, a grantee is required to operate the facility or structure to benefit HOPWA eligible persons for a minimum of ten years, although funds must be expended within three years from the date of grant agreement. An APR must be submitted for each operating year during which HOPWA funds are expended. However, HUD may request information on the continued use of the building or structure for any year during the ten-year use period, even if no additional funds were available.

Also, for programs involving the use of HOPWA funds for non-substantial rehabilitation or repair of a building or structure, the requirement to operate the facility extends for three years. Again, an APR must be submitted for each operating year during which funds are expended, and HUD may request additional information.

Reporting Submission Guidance

Both formula and competitive grantees are required to submit their completed APR and CAPER (respectively) no later than 90 days after the close of their program year, as per 24 CFR 91.520. Such information is used for program monitoring and evaluation purposes. Corrective actions may be taken if reports are not complete or timely. A copy of the report must be submitted to:

  1. The CPD Division Director in the local HUD area office that is responsible for managing the grant; and
  2. The HOPWA Program, U.S. Department of Housing and Urban Development, Office of Community Planning and Development, Office of HIV/AIDS Housing, 451 Seventh Street, S.W., Room 7212, Washington, D.C. 20410.

Completing the Grantee Narrative

As part of both the APR and CAPER, HOPWA grantees are required to provide an executive summary that includes information on the community served by the grant, the grantee organization, project accomplishments, and any barriers or trends in program design or implementation. Narratives should discuss the aspects listed on this page.

Grantee and Community Overview

  • A brief description of your organization, the area of service, the name of each project sponsor, and a broad overview of the range/type of housing activities and related services.
  • How grant management oversight of project sponsor activities is conducted and how project sponsors are selected.
  • A description of the local jurisdiction, its need, and the estimated number of persons living with HIV/AIDS.
  • A brief description of the planning and public consultations involved in the use of HOPWA funds including reference to any appropriate planning document or advisory body.
  • What other resources were used in conjunction with HOPWA funded activities, including cash resources and in-kind contributions, such as the value of services or materials provided by volunteers or by other individuals or organizations.
  • Collaborative efforts with related programs, including coordination and planning with clients, advocates, Ryan White CARE Act planning bodies, AIDS Drug Assistance Programs, homeless assistance programs, or other efforts that assist persons living with HIV/AIDS and their families.

Project Accomplishment Overview

  • A brief summary of all housing activities broken down by three types: (a) emergency or short-term rent, mortgage, or utility payments to prevent homelessness; (b) rental assistance; (c) facility based housing, including development costs and operating costs.
  • The number of units of housing which have been created through acquisition, rehabilitation, or new construction since 1993 with any HOPWA funds.
  • A brief description of any unique supportive service or other service delivery models or efforts.
  • Any other accomplishments recognized in the community due to the use of HOPWA funds, including any projects in developmental stages that are not operational.

Barriers or Trends Overview

  • Describe any barriers encountered, actions in response to barriers, and recommendations for program improvement.
  • Trends grantees expect their community to face in meeting the needs of persons with HIV/AIDS and any other information which may be important when providing services to persons with HIV/AIDS in the next 5-10 years.

Oversight and Monitoring

Monitoring is the process used to ensure that HOPWA projects are being carried out in accordance with program requirements and that they are meeting identified needs and performance standards.  Close and ongoing collaboration between HOPWA grantees and their project sponsors is an important part of the HOPWA program's success. Working together, grantees and sponsors make sure that recipient households receive high-quality and well-managed housing resources that are also compliant with federal regulations. An important part of this is the grant oversight and monitoring process.

Below are important reasons for monitoring the use of HOPWA funds and the outcomes that are being achieved:

  • Ensure compliance with HOPWA and other Federal requirements;
  • Evaluate organizational and project performance;
  • Ensure effective use of resources;
  • Ensure production and accountability;
  • Ensure responsiveness to community needs; and
  • Identify potential compliance issues before they become serious violations.

While HUD Field Office Staff are responsible for monitoring grantees, grantees are responsible for monitoring their project sponsors and subrecipients. The HOPWA program allows for a variety of eligible activities, but this can present challenges to grantees and sponsors both. To help grantees fulfill their monitoring obligations, and to ensure project sponsors understand the standards against which they are being monitored, HUD's Office of HIV/AIDS Housing issued the HOPWA Grantee Oversight Resource Guide.

HOPWA Grantee Oversight Resource Guide

Close and ongoing collaboration between HOPWA grantees and their project sponsors is an important part of the HOPWA program's success. Working together, grantees and sponsors make sure that recipient households receive high-quality and well-managed housing resources that are also compliant with federal regulations. An important part of this is the grant oversight and monitoring process.

While HUD Field Office Staff are responsible for monitoring grantees, grantees are responsible for monitoring their project sponsors and subrecipients. The HOPWA program allows for a variety of eligible activities but this can present challenges to grantees and sponsors both. To help grantees fulfill their monitoring obligations, and to ensure project sponsors understand the standards against which they are being monitored, HUD's Office of HIV/AIDS Housing issued the HOPWA Grantee Oversight Resource Guide.

The HOPWA Grantee Oversight Resource Guide provides HOPWA formula and competitive grantees with detailed guidance in fulfilling HOPWA grants management responsibilities regarding the oversight of project sponsors. This guidance is a tool to be used by grantees in navigating the grants management responsibilities to achieve the HOPWA program's housing stability performance outcome measures of maintaining stable housing arrangements, reducing risks of homelessness, and improving access to care. Each of the appendices and checklists, including a rent calculation worksheet, that appear in this publication are also available to download.