Guidance for Reporting CDBG Accomplishments and Performance Measures in IDIS

73 Pages·2012·3.86 MB·English

Guidance for Reporting CDBG
Accomplishments and
Performance Measures in IDIS
October 2012
2
Introduction.....................................................................................................................................................................4
AccurateandCompleteReportingisRequired.....................................................................................................................................................4
TimelyReportingisRequired.......................................................................................................................................................................................6
DataImpactingAccomplishmentReporting........................................................................................................7
AddActivityScreen............................................................................................................................................................................................................7
ImportantGuidance:Don’tIncludePersonalInformationinActivityName.............................................................8
ImportantGuidance:AssigningCorrectMatrixCodes—CommonErrors...................................................................9
CDBGSetupDetail(Page1).........................................................................................................................................................................................10
ImportantGuidance: WhattoSuppressonReports.........................................................................................................12
ImportantGuidance:HowtoReportAddresses.................................................................................................................12
ImportantGuidance:WillAccomplishmentsbereportedatanotheractivity?......................................................14
CDBGSetupDetail(Page2).........................................................................................................................................................................................17
ImportantGuidance:AccuratelyReportingLeveragedFunds......................................................................................20
CDBGSetupDetail(Page3)(ForLMAActivitiesOnly).............................................................................................................................24
CDBGSetupDetail(Page4)(OnlyforLMAActivitiesDeterminedbyCensusData) ................................................................28
CDBGSetupDetail(Page5)(OnlyforLMAActivitiesDeterminedbyCensusData) ................................................................30
ReportingAccomplishmentsforLMAActivities..........................................................................................32
CDBGAccomplishmentDetail(Page1)ForLMAActivities....................................................................................................................32
JobCreation/Retention............................................................................................................................................................................................34
EnteringRace/EthnicityandIncomeDataforDirectBenefitActivities.................................................35
AccomplishmentDetailScreen(Page1)forLMC*,LMH*ANDLMJ*Activities ...........................................................................35
DirectBenefitDatabyPersons..................................................................................................................................................................................37
Race/Ethnicity.............................................................................................................................................................................................................37
ImportantGuidance:ReportingRace/EthnicityDataforActivitiesProvidingAccessforPersonswith
Disabilities........................................................................................................................................................................................38
IncomeLevels...............................................................................................................................................................................................................39
ImportantGuidance:NotBenefitingModerate-IncomePersonstotheExclusionofLow-IncomePersons39
ImportantGuidance:ReportingIncomeDataforPresumedBenefitActivities......................................................40
DirectBenefitDatabyHouseholds..........................................................................................................................................................................41
Race/Ethnicity.............................................................................................................................................................................................................41
IncomeLevels...............................................................................................................................................................................................................42
ImportantGuidance:ReportingAccurateIncomeData...................................................................................................42
Lead-BasedPaintComplianceInformationforHousingRehabilitationActivities ....................................................................43
FieldsforCodeEnforcementActivities..............................................................................................................................................................47
EnteringJobCreation/RetentionData................................................................................................................48
CDBGAccomplishmentDetail(Page1)..................................................................................................................................................................48
EnteringAccomplishmentsforSB*andURGActivities ...........................................................................50
CDBGAccomplishmentDetail(Page1)..................................................................................................................................................................50
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ReportingPerformanceMeasures.....................................................................................................................52
CDBGAccomplishmentDetail(Page2)..............................................................................................................................................................52
PublicFacilitiesandInfrastructure....................................................................................................................................................................53
PublicServices.............................................................................................................................................................................................................54
DirectFinancialAssistancetoHomebuyers...................................................................................................................................................55
ImportantGuidance: AccuratelyReportingHousingCounselingandDirectHomeownershipAssistance.55
Short-TermRentalAssistance..............................................................................................................................................................................56
ImportantGuidance:NewHUDDefinitionof“Homeless”...............................................................................................56
ImportantGuidance:NewHUDDefinitionof“ChronicallyHomeless”.......................................................................57
HomelessnessPrevention.......................................................................................................................................................................................58
HomeownerHousingRehabilitation.................................................................................................................................................................59
ImportantGuidance:AccuratelyReportingEnergyStar-CertifiedUnits..................................................................60
RentalRehabilitation................................................................................................................................................................................................62
ConstructionofRentalUnits.................................................................................................................................................................................67
AssistancetoBusinesses.........................................................................................................................................................................................70
JobPerformanceMeasures....................................................................................................................................................................................72
ImportantGuidance:AccuratelyReportingJobsCreatedandRetained...................................................................73
AdditionalResources:
DefinitionsofCDBGMatrixCodes:
http://www.hud.gov/offices/cpd/systems/idis/cdbg/Matrix%20Code%20Definitions.pdf
DefinitionsofCDBGNationalObjectives:
http://www.hud.gov/offices/cpd/systems/idis/cdbg/nocdescriptions.cfm
MatrixCode/NationalObjectiveTable:
http://archives.hud.gov/offices/cpd/systems/idis/library/matrix_noc.pdf
ValidMatrixCode/NationalObjective/AccomplishmentTypeCombinations:
http://www.hud.gov/offices/cpd/systems/idis/cdbg/Matrix%20Code%20National%20Objective
%20Accomplishment%20Type%20Combinations.pdf
Strategy,LocalTarget,andCDFIAreas
http://www.hud.gov/offices/cpd/systems/idis/cdbg/StrategyLocalTargetCDFIAreas.pdf
SelectingandAddingSpecialAreasonCDBGSetupDetail(Page1)
http://www.hud.gov/offices/cpd/systems/idis/cdbg/SelectingAddingSpecialAreas.pdf
JobCategories
http://www.hud.gov/offices/cpd/systems/idis/cdbg/Job%20Category%20Definitions.pdf
4
Introduction
ToensurethatHUDhascomplete,accurate,andtimelyinformationongranteeperformance,theCDBG
programisissuingthefollowingguidanceforreportingaccomplishmentdatainIDIS. HUDrequiresreliable,
comprehensiveinformationregardingprogramperformancetoensureaccountabilityontheuseofCDBG
funds. HUDmustcomplywiththeGovernmentPerformanceandResultsActof1993andtheperformance
managementchangesbroughtaboutbytheGovernmentPerformanceModernizationActof2010, fulfill
reportingrequirementsforCongressandotherstakeholders,measureprogressmadeinmeetingAgency
PriorityGoals,monitorgranteeperformance,andevaluateoverallprogramresults.Inaddition,granteesare
subjecttothefullCDBGregulationsregardingrecordkeeping,listedat24CFR570.490(States)and570.506
(Entitlements).HUDmustbeabletomeasurethecontributionstheCDBGprogrammakestowardmeetingthe
needsoflow-andmoderate-incomecitizensacrossthecountryandbeabletoaccountfortheexpendituresof
eachandeveryCDBGactivity,focusingonachievingtheprimarygoaloftheprogramtoservelowand
moderateincomepersons.Thisguidanceisintendedtoassistgranteesinprovidinginformationneededfor
HUDtomeettheserequirements.
AccurateandCompleteReportingisRequired
Granteesarerequiredtoreportallaccomplishmentsachievedforeachactivityinaprogramyear,excluding
planningandadministrationactivities(matrixcodes20,and21A-J)forStatesandEntitlements,butincluding
planning-onlyactivitiesforStategrantees(matrixcode20A). Completeinformationmustbereportedforeach
activity. Thesedataarerequiredtodemonstratenationalobjectivecomplianceandtoaccountfortheuseof
CDBGfunds. Thedatarequiredforeachactivityaredependentontheactivity’smatrixcodeandnational
objective. ThematrixcodeidentifiestheeligibleuseofanactivityandisrequiredforeachactivityinIDIS.
Eachactivity,exceptforplanningandadministrationactivities,mustalsomeetanationalobjectivetoeither
benefitlow-andmoderateincomepersons,aidinthepreventionoreliminationofslumsorblight,ormeetan
urgentneed. DefinitionsofCDBGmatrixcodesandnationalobjectivesappearinAppendicesAandB,
respectively.
Directbenefitactivities,thosewithanationalobjectiveofLMC*,LMH*,andLMJ*,generallyrequirethe
followingaccomplishmentdata:
 Race/ethnicityofbeneficiaries
 Incomelevelofbeneficiaries
 Numberofjobscreatedandretained,forLMJactivities
 Leveraging
 Performancemeasures
ForLMA*activitiesinformationontheserviceareamustbereportedbyeitherusingHUDLow-andModerate-
IncomeSummarydata(LMISD)ordataobtainedinasurvey. Ifthegranteeisusingdatafromasurvey,the
granteemustenterthetotalLMuniversepopulation,thelow-/moderate-incomepopulationandthe
percentageoflow-tomoderate-incomepersons. DatarequiredforLMA*activitiesalsoincludes:
 Leveraging
 Performancemeasures
ForactivitieswithanationalobjectiveofSB*andURG,granteesmustreport:
 Actualunits
 Designationofslumblightarea,forSBAactivities
 Leveraging
 Performancemeasures
*Denotesallnationalobjectivecriteriaoptionsunderageneralnationalobjectivecategory.
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6
TimelyReportingisRequired
Whenaccomplishmentdataarenotenteredonaregularbasis,theCDBGprogramdoesnothaveup-to-date
informationonwhathasbeenachieved. Thisresultsinundercountingtheprogram’saccomplishmentsandis
due,inpart,totheinfrequententryofdatainIDISbysomegrantees.
Reportasfrequentlyaspossible.
 Reportingasbenefitsarerealizedistheideal
 Quarterlyreportingisrecommended
 Annualreportingisrequired
Granteesshouldunderstandthedataneedsupfrontforeachactivity. Ifthegranteeiscarryingouttheactivity
itself,itshouldprovidethemanagerofthatactivitywithcompleteinformationonwhatdataareneededand
whenthosedataaredue. Whenactivitiesarebeingcarriedoutbysubrecipientsorfinancialassistancehas
beenprovidedtofor-profitbusinesses,agreementsshouldcontaincompleteinformationonwhatdataareto
becollectedandwhenthosedataneedtobesubmitted. Penaltiesshouldbeattachedwhendataarenot
submittedasdesignatedinanagreement.
TheCDBGregulationsregardingrecordkeepingarelistedat24CFR570.490(States)and570.506
(Entitlements).
ThisguidancetakesgranteesthroughtheCDBGactivityscreensandhighlightsthosedataelementsthatare
keyforreportingaccomplishmentsfortheCDBGprogram. Emphasisisgiventodatathatarecommonly
enteredincorrectlyinIDISandtoprogrammaticreportingrequirements.
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Data Impacting Accomplishment Reporting
AddActivityScreen
Guidanceisprovidedbelowtoassistgranteesinselectingthemostappropriateeligibleactivitycategoryand
assigningthecorrectmatrixcodetothatactivity. Matrixcodesarekeydeterminants,alongwithnational
objectives,inaccomplishmentreportingrequirements. Commonincorrectusesofmatrixcodesare
highlighted. Guidanceisalsoprovidedontheactivitynameanddescriptionfields.
Foracompletedescriptionandinstructionsforallfields,gototheIDISTrainingManualforEntitlement
CommunitiesortheIDISTrainingManualforStates,availableattheHUDwebsite:
http://www.hud.gov/offices/cpd/systems/idis/cdbg/
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Field Description
Enteranamefortheactivity.
ImportantGuidance:Don’tIncludePersonalInformationin
ActivityName
ActivityName
BecausethisfieldappearsonnumerousIDISreports,donot
includeanypersonalinformation(suchasbeneficiary
name)aspartoftheActivityName.Thiserrorisespecially
commoninthenamesofhousingrehabactivities.
ForCDBG,theactivitycategoriesarethematrixcodes.
Theactivitycategory/matrixcodeisoneofthemostcriticaldata
itemsyouwillenterwhensettingupaCDBGactivity.The
matrixcode,alongwiththenationalobjectiveyouwillspecifyfor
theactivity,identifiesthepurposeandeligibilityoftheassistance
beingprovided.Together,theydeterminethetypeof
accomplishmentsyouwillreport.
FortheaccomplishmentdatayoureportinIDIStobeaccurateand
useful,itisveryimportantthatyouassignthemostappropriate
andmostspecificmatrixcodetoeachactivity.Informationtoassist
youinmakingthecorrectselectionisprovidedin:
DefinitionsofCDBGMatrixCodes:
http://www.hud.gov/offices/cpd/systems/idis/cdbg/Matrix%
20Code%20Definitions.pdf
DefinitionsofCDBGNationalObjectives:
ActivityCategory http://www.hud.gov/offices/cpd/systems/idis/cdbg/nocdescr
(MatrixCode) iptions.cfm
MatrixCode/NationalObjectiveTable:
http://archives.hud.gov/offices/cpd/systems/idis/library/mat
rix_noc.pdf
ValidMatrixCode/National
Objective/AccomplishmentTypeCombinations:
http://www.hud.gov/offices/cpd/systems/idis/cdbg/
Matrix%20Code%20National%20Objective%20Accom
plishment%20Type%20Combinations.pdf
Ifyouarestillunsureaboutwhichmatrixcodetoassigntoan
activityafterreviewingthismaterial,yourCPDFieldOffice
representativecanhelpyou.
Seeguidancebelowtoavoidcommonmistakeswhen
assigningmatrixcodes.
ActivityDescription Adescriptionoftheactivityisoptionalbutstronglyrecommended.
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ImportantGuidance:AssigningCorrectMatrixCodes—CommonErrors
Whenselectingamatrixcodeforpublicservicesorpublicfacilitiesactivities,usethemostspecificcodethat
applies.Donotuse05GeneralPublicServicesor03GeneralPublicFacilities,unlessnoothercode
applies.Assignthespecific03*or05*codethatmostaccuratelydescribeshowCDBGfundsarebeingused.
ThegeneralcodesdonotprovideenoughinformationtoHUD,thepublic,orourstakeholdersabouthow
CDBGfundsareexpended. TheNationalExpenditurereportsontheCDBGwebsite
(http://portal.hud.gov/hudportal/HUD?src=/program_offices/comm_planning/communitydevelopment/bud
get/disbursementreports)revealthesizeofthisproblem. AlmostaquarterofCDBGexpendituresforpublic
servicesarelistedas05GeneralPublicServices,whennearlyallofthoseexpendituresactuallyfitundera
morespecificpublicservicescode.
Granteesmayonlyhaveonepublicserviceprogramorpublicfacilityinanactivity. Thisistheonlywaythat
HUDcandeterminenationalobjectivecomplianceforaparticularserviceorfacility. Forinstance,youmaynot
combineinoneactivityoperatingcostsforCDBG-fundedseniormeals-on-wheels,childcare,andyouth
programsthataretakingplaceatacommunitycenter. Eachprogrammustbeinaseparateactivityinorderto
beabletodemonstratethateachprogramhasmetanationalobjective. Likewise,youmaynotcombinefive
differentdaycarecentersinoneactivity,eveniftheyareservingthesameneighborhoodand/orcarriedout
bythesameprovider.Eachdaycarecentermustbereportedinaseparateactivityinordertodetermine
nationalobjectivecompliance.
 Usematrixcode05UforHousingCounseling. Thisistheonlymatrixcodeforwhichyoureport
accomplishmentsforthenumberofhouseholdsreceivingHousingCounseling. Counselingmaybe
providedtopurchaseahome,toavoidforeclosure,andtocurrentandprospectiverenters. Thiscode
mustbeusedforcounselingprospectivehomebuyersthatarenotpartofaHomeownershipAssistance
(13and05Rmatrixcodes)program.
 Matrixcodes05RHomeownershipAssistance(notdirect)and13DirectHomeownership
Assistancearetobeusedsolelytoprovidefinancialassistancetohomebuyersforthepurchaseofa
home. Theaccomplishmentsforthesetwotypesofhomeownershipassistancearethenumberof
householdsreceivingfinancialassistancetowardpurchasingahome. Aportionoftheactivitydelivery
costsmayfortheseactivitiesmayprovidehousingcounselingtoprospectivehomebuyers. However,
thehousingcounselingshouldbelimitedtohouseholdsthatareparticipatinginyourhomeownership
program. GranteesMAYreportthenumberofhouseholdsreceivinghousingcounselingunderthe
performancemeasuresfortheseactivities. Thosehouseholdsmaynotbereportedinthebeneficiary
dataprovidingincomelevelandrace/ethnicityinformation. Incomelevelandrace/ethnicitydataare
onlytobereportedforthosehouseholdsthatactuallypurchaseahome.
 Matrixcode14H,HousingRehabilitationAdministration,istobeusedforthecostsofrunninga
rehabprogram,i.e.,activitydeliverycostsassociatedwithactualrehabilitationactivities. Itisnottobe
usedforcostsunrelatedtorunningarehabprogram,suchastenant/landlordcounseling,planning,
anddevelopmentofresearchstudiesonforeclosures. Housingcounselingmaybepartoftheactivity
deliverycostsonlyforthosehouseholdswhosehousingunitsarebeingrehabilitated.
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CDBGSetupDetail(Page1)
Guidanceisprovidedbelowonproposedaccomplishments,performanceobjectivesandoutcomes,national
objectives,addresses,reportingaccomplishmentsinanotheractivity,andtargetareas.
ForacompletedescriptionandinstructionsforallfieldsonthisscreengototheIDISTrainingManualfor
EntitlementCommunitiesortheIDISTrainingManualforStates,availableattheHUDwebsite:
http://www.hud.gov/offices/cpd/systems/idis/cdbg/
ThefirstactivitysetupscreenisthesameforallCDBGactivities: