Housing Counseling Overview Performance Reporting

U.S. Department of Housing and Urban

Development

Office of Housing Counseling

Overview of Performance Reporting:

Completing Form HUD9902, Form HUD-424-CB, SF-425, Client List, and Narrative

U.S. Department of Housing and Urban Development, Office of Housing Counseling

Table of Contents

INTRODUCTION........................................................................................................................................... 1

1.

OVERVIEW OF PERFORMANCE REPORTS ................................................................................ 2

Quarterly Performance Reports ....................................................................................................... 2 Mid-Term and Final Performance Reports....................................................................................... 2

For Housing Counseling Agencies with No Sub-Grants ........................................................... 2 For Intermediaries, MSOs and SHFAs with Sub-Grants or Grant-Funded Branches............... 3 Delinquent Reports .......................................................................................................................... 3 Suggested Planning for Report Preparation .................................................................................... 3 Schedule Time and Deadlines for Report Completion .............................................................. 3 Assign Roles for Report Components ....................................................................................... 3 Reporting Format and Submission .................................................................................................. 4 Cover letter ................................................................................................................................ 4 Content list and stacking order .................................................................................................. 4 Reporting Tools ................................................................................................................................ 5 Grant agreement ....................................................................................................................... 5 Software..................................................................................................................................... 5 Client Level Data ....................................................................................................................... 5

2.

WHAT YOU NEED TO KNOW ABOUT FORM HUD-9902 ............................................................ 6

What Form HUD-9902 Reports........................................................................................................ 6 How to Create Form HUD-9902....................................................................................................... 6

Section 1: Housing Counseling Agency Name and Address ................................................. 6 Section 2: Reporting Period and Budget ................................................................................ 7 Sections 3-5: Demographic Data............................................................................................ 8 Section 6: Clients Receiving Education/Group Sessions ..................................................... 11 Section 7: Number of Clients Counseled, by Purpose of Visit and Results ......................... 12 Section 7a: Seeking Pre-purchase Homebuyer Counseling ................................................ 12 Section 7b: Seeking Help with Resolving or Preventing Mortgage Delinquency ................. 13 Section 7c: Seeking Help With Home Maintenance and Financial Management for

Homeowners .............................................................................................................. 14 Section 7d: Seeking Help in Locating, Securing, or Maintaining Residence in Rental

Housing....................................................................................................................... 15 Section 7e: Seeking Shelter or Services for the Homeless.................................................. 16 Section 8: HUD Housing Counseling Grant Data................................................................. 17 Section 9: Authorization........................................................................................................ 17 Common Pitfalls and Errors ........................................................................................................... 18

3.

WHAT YOU NEED TO KNOW ABOUT FORM HUD-424-CB (BUDGET REPORT) ................... 19

What is Reported ........................................................................................................................... 19 How to Create a Budget Report ..................................................................................................... 19 Applying for NICRA ........................................................................................................................ 21 Common Pitfalls and Errors ........................................................................................................... 23

4.

WHAT YOU NEED TO KNOW ABOUT YOUR CLIENT LIST...................................................... 24

What is the Client List .................................................................................................................... 24 How to Create a Client List ............................................................................................................ 24 Common Pitfalls and Errors ........................................................................................................... 25

Technical Assistance and Capacity Building/Materials for Housing Counseling Services Overview of Performance Reporting: Completing Form HUD-9902, Form HUD-424-CB, SF-425, Client List, and Narrative

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U.S. Department of Housing and Urban Development, Office of Housing Counseling

5.

WHAT YOU NEED TO KNOW ABOUT SF-425 ........................................................................... 26

What is SF-425 .............................................................................................................................. 26 How to Create SF-425 ................................................................................................................... 26 Completing SF-425 ........................................................................................................................ 26 Common Pitfalls and Errors ........................................................................................................... 26

6.

WHAT YOU NEED TO KNOW ABOUT YOUR QUARTERLY NARRATIVE ............................... 27

What is the Quarterly Narrative...................................................................................................... 27 How to Create the Quarterly Narrative Report............................................................................... 27 How to Create a Mid-Term and Final Narrative ............................................................................. 28 Common Pitfalls and Errors ........................................................................................................... 28

7.

REPORT EXECUTION .................................................................................................................. 30

Technical Assistance (GTR/GTM Assistance)............................................................................... 30 Completion Checklist ..................................................................................................................... 30 Signature ........................................................................................................................................ 30 Report Delivery and Confirmation.................................................................................................. 30 GTR/GTM Approval ....................................................................................................................... 31 LOCCS Submission ....................................................................................................................... 31

NOTE TO APPENDICES............................................................................................................................ 32

APPENDIX A:

MODEL HCA ACTIVITY REPORT, FORM HUD 9902..................................................

APPENDIX B:

MODEL REPORTING COVER LETTER .......................................................................

APPENDIX C:

MODEL FORM HUD-424-CB (BUDGET REPORT)......................................................

APPENDIX D:

MODEL CLIENT LIST ....................................................................................................

APPENDIX E:

MODEL FEDERAL FINANCIAL REPORT (FFR) SF-425.............................................

APPENDIX F:

MODEL QUARTERLY NARRATIVE .............................................................................

APPENDIX G: HUD QUARTERLY GRANT PERFORMANCE REPORT CHECK LIST ......................

Technical Assistance and Capacity Building/Materials for Housing Counseling Services Overview of Performance Reporting: Completing Form HUD-9902, Form HUD-424-CB, SF-425, Client List, and Narrative

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U.S. Department of Housing and Urban Development, Office of Housing Counseling

Introduction

The Department of Housing and Urban Development (HUD) requires all awarded housing counseling agencies (HCAs) to submit Grant Performance Reports to allow HUD to analyze the effectiveness of counseling activities and oversee distributed grant funds. The Housing Counseling Agency Activity Report, Form HUD-9902, records the housing counseling and education activities of agencies participating in HUD's Housing Counseling program. Form HUD-9902 is a required performance report for all participating agencies, whether funded or not funded by HUD.

This overview will provide an introduction to Grant Performance Reporting, and also provide detailed steps to creating required Grant Performance Reports as listed in the table below.

Report

Details it provides HUD

1. 2 and 3.

Form HUD-9902

Budget Report (Form HUD-424CB),and/or Full Agency Budget Report, and SF-425 Federal Financial Report

Number of clients counseled by purpose and results; clients' income/demographic characteristics; number of clients receiving education

Both the Form HUD-424-CB and SF-425 identify dollars spent

4.

Client List

5.

Quarterly Narrative

Identifies clients served under the grant

Identifies challenges keeping an agency from meeting performance goals

Using data aggregated from these reports, HUD demonstrates to Congress, the Office of Management and Budget, and the White House the impacts of the national housing counseling program. For this reason and for many others, HCA Grant Performance Data should be accurate and complete. HCA staff that becomes proficient with Grant Performance Reporting can help their agencies remain in compliance with HUD regulations, and can also help their agency:

Track program

goals

Keep performance on

par to meet stated goals

Adjust work plan as

necessary

Technical Assistance and Capacity Building/Materials for Housing Counseling Services Overview of Performance Reporting: Completing Form HUD-9902, Form HUD-424-CB, SF-425, Client List, and Narrative

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U.S. Department of Housing and Urban Development, Office of Housing Counseling

1. Overview of Performance Reports

Quarterly Performance Reports

A Note about Quarterly

All HUD-approved HCAs that receive a grant award provide a standard set of data in their

Reporting

quarterly Grant Performance Reports, but some HCAs are required to report additional data collected from the HCA's network of affiliates, branches or sub-grantees. Intermediaries and Multi-State Organizations (MSOs) are parent HCAs that provide sub-grants from the HUD grant award to affiliate organizations or fund

HUD currently requires HCAs to submit select Grant Performance Reports on a quarterly basis. Thus, this guide discusses completing various reports, such as the Narrative or the Budget, on a quarterly basis.

branches, while Local Housing Counseling Agencies (LHCAs) and some State Housing Finance Agencies (SHFAs) do not. If an intermediary, MSO, or SHFA sub-allocates funds to a sub grantee and/or branch office, information must be collected and reported to HUD on behalf of the sub-grantee or network.

However, reporting periods and due dates for these reports are subject to change. Grantees should confirm reporting periods and report due dates against the applicable Notice of Funding Availability (NOFA) publication, HCA-HUD grant agreement, or confirm with a HUD

Additionally, note the following:

Parent agencies are responsible for

Government Technical Monitor (GTM ) or Government Technical Representative (GTR).

aggregating quarterly performance reporting information for all sub-grantees.

Form HUD-9902 must be submitted

directly to HUD through an approved Client

While reporting frequencies may change, this guide still provides valuable information regarding report completion and best practices.

Management System (CMS) by all

participating HCAs providing counseling services, regardless of agency type.

Quarterly reports are due no later than 30 days after the end of each quarter with

the final report due no later than 90 days after the end of the grant period or upon

the full expenditure of the grant award.

Mid-Term and Final Performance Reports

For Housing Counseling Agencies with No Sub-Grants

Mid-Term Report

The mid-term Grant Performance Report is due 30 days after the end of the second quarter, unless the HCA has already expended the full grant award and submitted a final report. This report consists of the same reporting components as the quarterly Grant Performance Reports, but includes an in-depth narrative. This narrative allows HCAs to explain ongoing challenges that can impact performance under the grant award. Examples of challenges an HCA can encounter include:

? Significant increase in home sales that may lead to an unaffordable first-time homebuyer market

Technical Assistance and Capacity Building/Materials for Housing Counseling Services Overview of Performance Reporting: Completing Form HUD-9902, Form HUD-424-CB, SF-425, Client List, and Narrative

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