HUD Management
Impact Measurement Needed for Technical Assistance Gao ID: GAO-03-12 October 25, 2002Technical Assistance is an important means through which the Department of Housing and Urban Development (HUD) can influence how its program funds are spent; this assistance can range from training workshops to one-on-one assistance. GAO was asked to determine how many HUD technical assistance programs Congress has authorized and their cost; why HUD offers technical assistance programs and who provides and receives the services; and whether HUD program offices are overseeing and measuring the impact of their technical assistance programs as required.
HUD administers 20 technical assistance programs through five program offices. Between fiscal years 1998 and 2002, the annual funding for HUD technical assistance ranged between $108 million and $181 million. The two offices that administer the largest number of programs have the largest share of the overall technical assistance budget. The following figure lists HUD's five program office's number of technical assistance programs or initiatives administered, each program office's definition of technical assistance, their 5-year average total technical assistance funding for fiscal years 1998 through 2002, and the percentage of overall technical assistance funding. The general purpose of HUD's technical assistance is to help program participants carry out HUD program goals. Technical assistance providers could be HUD officials; state or local governments; community-based, for-profit, and nonprofit organizations; or resident service organizations. Recipients of technical assistance could be states and units of local governments, public or Indian housing agencies, community- or faith-based organizations, or the public. Although all five HUD program offices are overseeing technical assistance, HUD does not require them to measure the impact of technical assistance, has not developed guidance for its program offices to measure the impact of the assistance, and has no plans to develop such guidance. HUD cannot demonstrate the effectiveness of the assistance without some indication of its impact.
RecommendationsOur recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.
Director: Team: Phone:GAO-03-12, HUD Management: Impact Measurement Needed for Technical Assistance
This is the accessible text file for GAO report number GAO-03-12
entitled 'HUD Management: Impact Measurement Needed for Technical
Assistance' which was released on November 25, 2002.
This text file was formatted by the U.S. General Accounting Office
(GAO) to be accessible to users with visual impairments, as part of a
longer term project to improve GAO products‘ accessibility. Every
attempt has been made to maintain the structural and data integrity of
the original printed product. Accessibility features, such as text
descriptions of tables, consecutively numbered footnotes placed at the
end of the file, and the text of agency comment letters, are provided
but may not exactly duplicate the presentation or format of the printed
version. The portable document format (PDF) file is an exact electronic
replica of the printed version. We welcome your feedback. Please E-mail
your comments regarding the contents or accessibility features of this
document to Webmaster@gao.gov.
Report to the Chairwoman, Subcommittee on Housing and Community
Opportunity, Committee
on Financial Services,
House of Representatives:
October 2002:
HUD Management:
Impact Measurement Needed for Technical Assistance:
GAO-03-12:
GAO Highlights:
HUD MANAGEMENT:
Impact Measurement Needed for Technical Assistance:
Highlights of GAO-03-12, a report to the Chairwoman, Subcommittee on
Housing and Community Opportunity, Committee on Financial Services,
House of Representatives:
Why GAO Did This Study:
Technical Assistance is an important means through which the Department
of Housing and Urban Development (HUD) can influence how its program
funds are spent; this assistance can range from training workshops to
one-on-one assistance. GAO was asked to determine how many HUD
technical assistance programs Congress has authorized and their cost;
why HUD offers technical assistance programs and who provides and
receives the services; and whether HUD program offices are overseeing
and measuring the impact of their technical assistance programs as
required.
What GAO Found:
HUD administers 20 technical assistance programs through five program
offices. Between fiscal years 1998 and 2002, the annual funding for HUD
technical assistance ranged between $108 million and $181 million. The
two offices that administer the largest number of programs have the
largest share of the overall technical assistance budget. The following
figure lists HUD‘s five program office‘s number of technical assistance
programs or initiatives administered, each program office‘s definition
of technical assistance, their 5-year average total technical
assistance funding for fiscal years 1998 through 2002, and the
percentage of overall technical assistance funding.
Technical Assistance Programs and Funding:
[See PDF for Image]
[End of Figure]
Source: GAO analysis of HUD data.
The general purpose of HUD‘s technical assistance is to help program
participants carry out HUD program goals. Technical assistance
providers could be HUD officials; state or local governments;
community-based, for-profit, and nonprofit organizations; or resident
service organizations. Recipients of technical assistance could be
states and units of local governments, public or Indian housing
agencies, community-or faith-based organizations, or the public.
Although all five HUD program offices are overseeing technical
assistance, HUD does not require them to measure the impact of
technical assistance, has not developed guidance for its program
offices to measure the impact of the assistance, and has no plans to
develop such guidance. HUD cannot demonstrate the effectiveness of the
assistance without some indication of its impact.
What GAO Recommends:
To determine whether HUD‘s technical assistance programs are helping
HUD programs to meet their goals, GAO recommends that the Secretary of
HUD require the program offices that provide technical assistance
programs to determine the practicability of measuring the impact of
these services and, where appropriate, establish objective,
quantifiable, and measurable performance goals. In addition, GAO
recommends that the Secretary provide guidance to the program offices
on how to establish such impact measures.
The full report, including GAO‘s objectives, scope, methodology, and
analysis is available at www.gao.gov. For additional information about
the report, contact Stan Czerwinski at (202) 512-7631.
Letter:
Results in Brief:
HUD Administers 20 Technical Assistance Programs at an Annual Total
Cost of between $108 Million and $181 Million:
Technical Assistance Programs Vary by Program, Provider, and Recipient:
HUD Selects Most Technical Assistance Providers through a Competitive
Process:
Although Program Offices Have Oversight Procedures in Place, HUD Does
Not Require Impact Measures for Technical Assistance:
Conclusions:
Recommendations for Executive Action:
Agency Comments and Our Evaluation:
Scope and Methodology:
Appendixes:
Appendix I: Technical Assistance/Capacity Building Program Details:
Appendix II: Comments from the U.S. Department of Housing and Urban
Development:
Tables:
Table 1: Technical Assistance Programs and Budgets by Program Office,
Fiscal Years 1998-2002:
Table 2: Purpose of the Technical Assistance by Program Offices:
Figures:
Figure 1: Funding for Technical Assistance, Fiscal Years 1998-2002:
Figure 2: Five-Year Average Percentage of Total Technical Assistance
Funds, by Program Office, Fiscal Years 1998-2002:
Figure 3: How HUD Delivers Technical Assistance:
Abbreviations:
CPD: Office of Community Planning and Development:
FHOI : Fair Housing Organizations Initiative:
GPRA: Government Performance and Results Act of 1993:
HUD: Department of Housing and Urban Development:
NOFA: Notice of Funding Availability:
PEI : Private Enforcement Initiative:
PHA : Public Housing Authority:
SuperNOFA : Super Notice of Funding Availability:
Letter October 25, 2002:
The Honorable Marge Roukema
Chairwoman, Subcommittee on Housing
and Community Opportunity
Committee on Financial Services
House of Representatives:
Dear Madam Chairwoman:
The U.S. Department of Housing and Urban Development‘s (HUD) fiscal
year 2002 budget is over $34 billion, most of which is passed on to
state and local governments and other agencies and organizations that
carry out HUD‘s programs. Providing these entities with technical
assistance and capacity building is an important means for HUD to
influence how its program funds are spent.
Congress and HUD sometimes use the terms technical assistance and
capacity building interchangeably, and the definitions overlap.
Technical assistance programs can be generally defined as training
designed to improve the performance or management of program
recipients, such as teaching one-on-one procurement regulations to
housing authority staff. Capacity building can be generally defined as
funding to strengthen the capacity or capability of program recipients
or providers--typically housing or community development
organizations--thereby building the institutional knowledge within
those organizations. Some of the programs have both technical
assistance and capacity building aspects. The overall goal of both
technical assistance and capacity building is to enhance the delivery
of HUD‘s housing and community development programs. HUD staff whose
costs are covered by HUD‘s salary and expenses budgets routinely
provide a wide range of technical assistance as part of their day-to-
day activities, but our work focused on funding specifically authorized
by Congress to be used for technical assistance or capacity building.
To simplify matters, except when citing specific examples, we will use
the term technical assistance to refer to both.
To help you with your oversight of HUD programs, you asked us to
determine (1) how many HUD technical assistance programs Congress has
authorized and how much they cost, (2) why HUD offers technical
assistance programs and who provides and receives the services, (3) how
HUD selects technical assistance providers, and (4) whether HUD program
offices are overseeing the technical assistance programs as required
and measuring their impact.
To respond to these objectives, we obtained data from HUD and
congressional budget documents describing HUD‘s technical assistance
programs and their funding. We met with headquarters and regional
officials who administer these programs to determine how HUD oversees
the technical assistance. In addition, we observed technical assistance
providers delivering services to recipients to determine if the
services were delivered as specified in the funding instrument. More
details about our scope and methodology appear at the end of this
letter. Appendix I provides specific information on each of the
technical assistance programs that we identified.
We conducted our work from December 2001 through September 2002 in
accordance with generally accepted government auditing standards.
Results in Brief:
HUD administers 20 technical assistance programs through five program
offices. From fiscal years 1998 through 2002, the annual funding for
HUD‘s technical assistance ranged between $108 million and $181
million, which accounted for less than 1 percent of HUD‘s overall
budget each year.
While the general purpose of HUD‘s technical assistance is to help
program participants carry out HUD program goals, each program office
designs technical assistance specifically related to its programs. For
example, an Office of Healthy Homes and Lead Hazard Control technical
assistance program might consist of classes to teach property owners
and maintenance workers how to evaluate and control lead-based paint
hazards. Similarly, an Office of Community Planning and Development
capacity building program might involve funding for a community-based
organization to help that organization improve its administrative
capabilities. Recipients of technical assistance could be states and
units of local governments, public or Indian housing agencies,
community-or faith-based organizations, or the public. Technical
assistance providers could be HUD officials or, more commonly, state or
local governments; community-based, for-profit, and nonprofit
organizations; or resident service organizations.
HUD awards funding for 16 of the 20 technical assistance programs
competitively. The funding for the remaining programs is awarded
noncompetitively. HUD uses three funding instruments (contracts, grant
agreements, and cooperative agreements) and determines which funding
instrument to use according to its relationship with the awardee and
the level of federal involvement anticipated. Depending on the
complexity of the individual program office‘s funding instrument
requirements, this process can take from 3 months to over 1 year to
complete. Noncompetitive technical assistance funding is either
specified by statute or is based on a formula set by HUD.
All five HUD program offices perform basic oversight of the technical
assistance they administer, such as visually observing the technical
assistance or reviewing reports submitted by the providers to ensure
that the technical assistance was provided. In addition, some program
offices also have impact measures in place. In line with the Government
and Performance Results Act of 1993, HUD program officials are required
to develop measures and track the performance of its overall programs
relative to the goals in its strategic and annual performance plans.
However, HUD does not require the officials to measure the impact or
outcomes of technical assistance and does not offer any central
guidance on how the program offices should measure its impact. Although
some headquarters and field officials said that it was difficult to
measure the impact of technical assistance, other officials said that
they had developed and were using impact measures in some locations.
Some of these measures--including tests of technical assistance
recipients‘ retention of information learned in technical assistance
classes or comparisons of the number of grant applications that had to
be returned for correction before and after technical assistance was
provided--seemed to demonstrate the impact of the services provided.
Because HUD spends substantial sums for technical assistance and uses
it to improve program goals and influence far greater expenditures of
program funds, we are recommending that HUD, where possible, measure
the impact of the technical assistance and develop consistent guidance
for program offices to follow.
We provided HUD with a draft of this report for its review and comment.
HUD‘s Director, Office of Departmental Operations and Coordination,
said that the department would take the necessary steps to implement
our recommendations.
HUD Administers 20 Technical Assistance Programs at an Annual Total
Cost of between $108 Million and $181 Million:
Between fiscal years 1998 and 2002, five HUD program offices
administered a total of 20 technical assistance programs. The majority
of these programs are administered through the Offices of Community
Planning and Development (CPD) and Public and Indian Housing. The other
three offices that administer technical assistance programs are the
Offices of Housing, Fair Housing and Equal Opportunity, and Healthy
Homes and Lead Hazard Control.
Table 1 lists the 20 technical assistance programs and initiatives, by
program office, and their budgets. See appendix I for details on the
description and purpose of each as well as the providers, recipients,
funding instruments, and oversight processes used. Information on how
technical assistance is provided also is contained in appendix I.
Table 1: Technical Assistance Programs and Budgets by Program Office,
Fiscal Years 1998-2002:
[See PDF for Image]
[End of table]
As shown in figure 1, between fiscal years 1998 and 2002, the annual
funding for all of HUD‘s technical assistance programs ranged from $108
million to $181 million. These sums accounted for less than 1 percent
of HUD‘s overall budget, which averaged about $28 billion in each of
those years.
Figure 1: Funding for Technical Assistance, Fiscal Years 1998-2002:
[See PDF for image]
Source: GAO analysis of HUD data.
[End of figure]
Technical assistance funds fluctuated each year because the funds for
specific technical assistance programs increased or decreased or
because technical assistance programs were introduced or discontinued
in any given year. For example, technical assistance funding increased
by about 53 percent from fiscal year 1998 to 1999. During this time,
the technical assistance funds (1) increased from $9 million to $17
million for the Office of Troubled Agency Recovery, (2) were initiated
in 1999 with $11 million for Resident Opportunities and Self-
Sufficiency, and (3) increased from $18 million to $25 million for
Section 4 capacity building. From fiscal year 2001 to 2002, estimated,
technical assistance funding fell by more than 11 percent, primarily
because the Lead-Based Paint Hazard Reduction funds returned to the $5
million level, following a one-time $17 million increase in fiscal year
2001 to build capacity to comply with a new regulation; the HOME funds
were reduced from $22 million to $12 million; HOPE VI funds were
reduced from $10 million to $6.3 million; and the Drug Elimination
Grant Program and its technical assistance funds were abolished.
Figure 2 illustrates the breakdown of the cumulative technical
assistance funding from fiscal years 1998 through 2002, by program
office. Not surprisingly, the two offices that administer the largest
number of programs have the largest share of the overall technical
assistance budget.
Figure 2: Five-Year Average Percentage of Total Technical Assistance
Funds, by Program Office, Fiscal Years 1998-2002:
[See PDF for image]
Source: GAO analysis of HUD data.
[End of figure]
Technical Assistance Programs Vary by Program, Provider, and Recipient:
While the overriding purpose of technical assistance is to improve the
ability of program participants to administer HUD‘s programs more
effectively, each HUD program office determines its own approach and
administers technical assistance according to its program needs. Table
2 describes the purpose of the technical assistance as defined by the
five HUD program offices.
Table 2: Purpose of Technical Assistance by Program Offices:
HUD program office: Office of Community Planning
and Development; Purpose of technical assistance: Help organizations
successfully access and utilize HUD‘s programs and resources to help
them accomplish local community development goals..
HUD program office: Office of Public and Indian Housing; Purpose of
technical assistance: Help public and Indian housing agencies and
residents improve their management, planning, and monitoring practices
and resident services..
HUD program office: Office of Fair Housing and Equal Opportunity;
Purpose of technical assistance: Help organizations reduce housing
discrimination and provide an open and free housing market..
HUD program office: Office of Housing-Office of Multifamily Housing
Assistance Restructuring; Purpose of technical assistance: Help educate
and assist tenants who are living in buildings that are undergoing
financial restructuring to make meaningful decisions about their
housing..
HUD program office: Office of Healthy Homes and
Lead Hazard Control; Purpose of technical assistance: Help recipients
evaluate and control housing-related lead-based paint hazards and
provide outreach and educational activities..
Source: HUD.
[End of table]
HUD provides appropriated funds for both its primary programs and
related technical assistance programs. It distributes the program funds
to program participants, such as state and local governments and other
participating organizations, and it awards the technical assistance
funds to providers, which use the money to deliver technical assistance
to recipients. Figure 3 illustrates this process.
Figure 3: How HUD Delivers Technical Assistance:
[See PDF for image]
Source: GAO analysis of HUD data.
[End of figure]
The recipients of HUD‘s technical assistance are generally those
entities or organizations that administer HUD‘s programs. They also
vary by program and include state and local governments, public and
Indian housing authorities, tenants of federally subsidized housing,
property owners receiving federal housing subsidies, special interest
groups, institutions of higher learning, community-and faith-based
organizations, national and civil rights and disability groups,
industry groups, and the public.
The providers of technical assistance can be HUD officials, but
typically they are entities or organizations that receive funding from
HUD to deliver such assistance. Providers, which also vary by program,
include state and local governments; community-based, for-profit, and
nonprofit organizations; and resident service organizations.
We visited with technical assistance providers in selected locations
across the country to observe the various methods that each of the five
program offices used to deliver technical assistance to recipients. The
following cases detail the recipients, providers, and purposes of the
technical assistance provided.
* The recipients of CPD‘s technical assistance are local nonprofit
organizations, state and local governments, and other organizations
participating in and receiving funds through HUD‘s community
development programs. The providers of these technical assistance
programs are for-profit and nonprofit organizations and government
agencies that have demonstrated expertise in providing the guidance and
training that program participants can use. For 2 days, we observed a
technical assistance provider for the HOME Program work with two
community housing development organizations in Arkansas. The purpose of
the technical assistance was to help the organizations plan for and
improve their procedures for developing low-income rural housing. Over
the 2 days, the technical assistance provider evaluated the housing
built by the community development organizations with HOME Program
funds and advised them on HUD-mandated procedures for counseling
prospective low-income home buyers.
* The recipients of technical assistance provided through the Office of
Public and Indian Housing‘s Resident Opportunities and Self-Sufficiency
Program‘s capacity building funds are associations of public housing
residents that HUD has determined lack the capacity to administer
Welfare-to-Work Programs or conduct management activities. The
providers of the technical assistance are resident and other nonprofit
organizations. We observed a 1-day conference conducted by a
Massachusetts statewide public housing tenant organization in
conjunction with several other organizations. The training was designed
to increase the knowledge and build the capacity of public housing
agencies, their residents, and state and local officials involved in
planning and rulemaking. The conference topics included income
recertification, methods of influencing housing legislation, public
housing safety and security, and private-market housing initiatives. A
Boston HUD employee served as a panel member during one of the training
sessions.
* The recipients of the Office of Fair Housing and Equal Opportunity‘s
technical assistance include state and local fair housing enforcement
agencies, public and private nonprofit fair housing agencies, and other
groups that are working to prevent and eliminate discriminatory housing
practices. According to an official from the Office of Fair Housing and
Equal Opportunity, providers of technical assistance are HUD staff and
qualified, established fair housing enforcement agencies. We observed a
fair housing employee in HUD‘s San Francisco regional office provide
technical assistance training to 10 employees of California‘s
Department of Fair Employment and Housing. The objective of the
training was to help the state agency process fair housing complaints
more effectively, and the topics included tips on investigating fair
housing complaints, theories of discrimination, and case conciliation
and evidence.
* The recipients of technical assistance provided through the Office of
Housing‘s Outreach and Technical Assistance Grants are tenants living
in federally subsidized properties affected by mortgage restructuring
through the Mark-to-Market Program. The providers of technical
assistance are small or large community-based organizations that focus
on improving tenants‘ ability to understand the restructuring of their
Section 8 property. In Columbus, Ohio, we observed a meeting between
the potential new owners of a HUD property that was scheduled to
undergo financial restructuring and two organizations representing the
tenants who lived there. The purpose of the meeting, coordinated by a
technical assistance provider, was to give tenants a role in the
restructuring process and to keep them apprised of potential changes to
their building. Topics discussed at the meeting included rent
stabilization, building renovations, security systems, and
modifications for handicapped accessibility.
* The recipients of technical assistance provided through the Office of
Healthy Homes and Lead Hazard Control‘s Technical Studies Programs
include state, local, and tribal governments; private property owners;
and individuals who are maintenance and renovation workers. The
providers of technical assistance include academic, for-profit, and
nonprofit organizations and state and local governments. We observed a
technical assistance provider conduct mandatory classroom training for
about 50 owners and workers of federally subsidized properties at a
Philadelphia housing authority maintenance facility. The recipients
hoped to become qualified to remove lead-based paint hazards from their
HUD-assisted properties by learning safe work practices at the
training. The course covered such topics as lead exposure and
maintenance work, lead safety, and quality assurance.
HUD Selects Most Technical Assistance Providers through a Competitive
Process:
HUD selects technical assistance providers both competitively and
noncompetitively.[Footnote 1] Sixteen of the 20 technical assistance
programs used a competitive selection process. Since Congress specifies
by statute that the organizations are to provide the technical
assistance under three of CPD‘s programs, HUD distributes the funds for
those programs noncompetitively. The fourth noncompetitive program, the
Fair Housing Assistance Program, is noncompetitive because the funds,
including those for technical assistance, are distributed through a
formula grant to all eligible state and local fair housing enforcement
agencies. The process for obtaining an award also varies by funding
instrument. HUD has a set policy explaining the policies and protocols
for using the various funding instruments (contracts, grants, and
cooperative agreements).
Funding for Technical Assistance May Be Awarded Competitively or
Noncompetitively:
When HUD selects technical assistance providers competitively, it
awards funding through contracts, grant agreements, and cooperative
agreements. HUD refers to these three award mechanisms as funding
instruments. The following text provides descriptions of these
mechanisms:
* A contract is used when the principal purpose of the award is the
acquisition by purchase, lease, or barter of property or services for
the direct benefit of the government. According to the Director of the
Office of Departmental Grants Management and Oversight, contracts are
the award instrument that gives HUD the most control because HUD simply
directs the contractor to do a specific task. For example, a program
official in the Office of Native American Programs told us that her
office retains decision-making authority by issuing contracts that
enable her to control the technical assistance providers‘ use of funds
and outreach to recipients.
* A grant agreement is used when the principal purpose of the
relationship between the awardee and HUD is the transfer of money or
property for a public purpose and substantial federal involvement is
not anticipated.
* A cooperative agreement‘s[Footnote 2] purpose is similar to a grant
agreement‘s purpose but is generally used when the awarding agency
anticipates the need for close federal involvement over the life of the
award. The cooperative agreement stipulates the nature, character, and
extent of the anticipated involvement. A HUD official told us that a
cooperative agreement generally gives HUD less control than a contract,
but more control than a grant agreement.
HUD‘s Office of Departmental Grants Management and Oversight provides
basic guidelines on when to use a contract, grant agreement, or
cooperative agreement. According to HUD, a program office, when
selecting the appropriate funding instrument to be used, should first
look to the program‘s authorizing legislation for authority to enter
into a contract or other type of arrangement.
Noncompetitive awards are specified by statute or based on a formula.
Specifically, Congress appropriates technical assistance funds
noncompetitively for the Local Initiatives Support Corporation, the
Enterprise Foundation, Habitat for Humanity, and Youthbuild USA under
the Community Development Block Grants Fund; these funds are
administered by CPD.[Footnote 3] The Housing Assistance Council also
receives noncompetitive funds appropriated by Congress under the
Community Development Block Grants Fund; these funds are administered
by CPD and HUD‘s Office of Policy Development and Research. Congress
also appropriates noncompetitive funds for the National American Indian
Housing Council technical assistance programs; these funds are
administered by the Office of Public and Indian Housing and the Office
of Policy Development and Research. In addition, HUD‘s Office of Fair
Housing and Equal Opportunity uses a formula to distribute Fair Housing
Assistance Program funds. These noncompetitive, technical assistance
programs totaled $50.1 million in fiscal year 2001, which was about 25
percent of the technical assistance funding for that year; they totaled
about $54.5 million, or 30 percent of the fiscal year 2002 technical
assistance funding.
Processes for Obtaining Competitive and Noncompetitive Funding Vary:
For a contract, prospective technical assistance providers respond to a
HUD request for a proposal; for a grant or cooperative agreement,
providers respond to a Notice of Funding Availability (NOFA). In
practice, HUD has issued the funding notices for the majority of its
grants and cooperative agreements, including its technical assistance
funding, in a single notice called the SuperNOFA (Super Notice of
Funding Availability).
Applicants submit contract proposals, or grant or cooperative agreement
applications, to HUD staff who use a deliberative decision-making
process that is based upon established evaluation criteria contained in
a formal request for proposal or SuperNOFA to make the final selections
and announce the awards. Contract proposals are managed through HUD
headquarters or designated contracting offices, while applications for
grants or cooperative agreements for some technical assistance programs
are submitted to both headquarters and the field office in which the
applicant is seeking to provide services.
During the course of our review, HUD officials and technical assistance
providers commented on the length of the competitive cooperative
agreement awards process, particularly in CPD. The comments typically
dealt with the time needed for technical assistance providers to
negotiate with HUD field offices to complete the additional steps that
CPD requires. The Director of HUD‘s Office of Departmental Grants
Management and Oversight told us that she knew of instances in which
contracts and grants, as well as cooperative agreements, had taken 1
year or more to complete. An assessment of this issue was beyond the
scope of this review.
Any award, regardless of the type of funding instrument, has a fixed
performance period. The contract request for proposal or NOFA will
stipulate the proposed period of performance and whether additional
funding can be provided beyond the period of performance without
further competition.
Although Program Offices Have Oversight Procedures in Place, HUD Does
Not Require Impact Measures for Technical Assistance:
The five offices that administer technical assistance have basic
oversight procedures in place. Such procedures usually include
monitoring the technical assistance provider‘s performance by reviewing
payment requests and financial reports and the recipient‘s written
evaluation of the technical assistance provider‘s performance. Most
program offices require technical assistance providers to submit
quarterly, annual, or close-out reports--or a combination of these
reports--on the status of their technical assistance programs, which
are to be reviewed by HUD program staff. Headquarters or field office
staff may be directly responsible for oversight, depending on which
office administers the technical assistance, although headquarters
offices are ultimately responsible for ensuring that the appropriate
oversight is conducted.
HUD does not offer any central guidance on, or require its program
offices to directly measure, the impact or outcomes of the technical
assistance programs that they administer. The Government Performance
and Results Act of 1993 (GPRA) requires that program officials develop
performance measures and track performance relative to the goals in
their strategic and annual plans. However, according to the Director of
HUD‘s Office of Departmental Operations and Coordination, this
requirement does not apply to the related technical assistance
programs.[Footnote 4] In his view, if the technical assistance supports
the program and the program is doing well, then the technical
assistance is having a positive impact. However, GPRA emphasizes the
importance of establishing objective and quantifiable measures at each
organizational level that can be linked to the overall agency program
goals. Without specific measures on the impact of its technical
assistance, HUD cannot demonstrate the incremental value of the
assistance.
The Director of the Office of Departmental Grants Management and
Oversight told us that her office is not planning any initiatives to
coordinate how program offices are measuring the impact of their
technical assistance programs because her office does not have
jurisdiction over program policy in the establishment of technical
assistance criteria. An official from HUD‘s Massachusetts CPD told us
that without this guidance, it is unclear how the impact of these
services should be measured. We found a wide range of HUD processes for
measuring the impact of technical assistance, ranging from CPD‘s
Section 4 capacity building organizations that document detailed
evaluations of their accomplishments; to CPD‘s Rural Housing and
Economic Development Program that collects annual outcome data; to the
Public and Indian Housing‘s Resident Opportunities and Self-Sufficiency
Program, which has no established process and measures on a grant-by-
grant basis.
While some program officials have said that it is difficult or not even
possible to measure the impact of technical assistance, other program
offices do have impact measures in place.
* A Public and Indian Housing field official from the Office of Native
American Programs told us that he has seen nationwide training courses
that he believes are inefficient and expensive. While he believes that
local one-on-one training would be more productive, he does not believe
he could measure whether attendees are retaining the information
received at the nationwide training courses or whether one-on-one
training would be more effective. By contrast, a Public and Indian
Housing official said that the office conducts evaluations after the
technical assistance for drug elimination is provided and then follows-
up with a 6-month evaluation to measure recipients‘ retention of
information. We also spoke with a technical assistance provider who
administers multiple questionnaires to measure recipients‘ retention of
material taught at homeless training programs.
* Fair Housing and Equal Opportunity field officials in San Francisco
said that they measure the success of their program--to educate state
and local organizations on fair housing procedures--by the number of
cases they have to send back for more information. They also said that
the reduction in the number of cases sent back to local organizations
from 42 in 1998 to 3 in 2001 after training was provided indicates that
the technical assistance is working. Similarly, staff from HUD‘s
Chicago CPD reported that they measure the success of technical
assistance programs aimed at teaching local groups how to apply for
federal grants by the number of grantees that submit proper paperwork.
Conclusions:
HUD spends millions of dollars each year on technical assistance,
distributing the funding through several types of instruments to a wide
variety of providers and recipients for a wide variety of purposes.
Yet, HUD does not require its program offices to measure the impact of
this technical assistance, has not developed guidance for its program
offices to measure the impact of the assistance, and has no plans to
require its program offices to develop such guidance. Even though some
officials maintain that they cannot measure the impact of technical
assistance, other officials have developed and are using measures that
seem to be reasonable indicators of the impact of their technical
assistance programs. Although such measures may not be practicable for
every program, HUD cannot demonstrate the effectiveness of its
technical assistance without some indication of its impact.
Furthermore, without such measures, HUD cannot (1) ensure
accountability for the over $100 million that Congress sets aside each
year for technical assistance or (2) demonstrate the incremental value
of its technical assistance--that is, how much more its programs are
achieving with the technical assistance than they would have achieved
without it. Finally, since technical assistance is an important means
through which HUD oversees and influences expenditures of program
funds--which are about 100 times greater than expenditures of technical
assistance funds--it would seem logical for each of its program offices
to develop guidance to ensure that the technical assistance programs
are producing the intended results.
Recommendations for Executive Action:
To determine whether HUD‘s technical assistance programs are helping
HUD programs to meet their goals, we recommend that the Secretary of
Housing and Urban Development require the program offices that provide
technical assistance programs to determine the practicability of
measuring the impact of these services and, where appropriate,
establish objective, quantifiable, and measurable performance goals. In
addition, we recommend that the Secretary provide guidance to the
program offices on how to establish such impact measures.
Agency Comments and Our Evaluation:
We provided the Secretary of the Department of Housing and Urban
Development with a draft of this report for his review and comment. In
a letter dated September 25, 2002, HUD‘s Director, Office of
Departmental Operations and Coordination, said that the department
would take the necessary steps to implement the report‘s
recommendations. He also provided four observations for our
consideration.
First, the Director said that our draft did not clearly define capacity
building programs before combining them with technical assistance. We
added more detailed definitions of technical assistance and capacity
building to this report.
Second, he said that although both the Fair Housing Assistance Program
and the Fair Housing Initiatives Program contain technical assistance
components, they are not primarily technical assistance programs. We
recognize that these programs contain functions that go beyond
technical assistance and capacity building. The funding levels that we
list in this report for these programs were supplied by HUD program
staff on the basis of their best estimates of the percentages of the
budgets that supply technical assistance and capacity building.
Third, he said that the department‘s performance-based funding
instruments provide HUD with the means to measure performance and, in
some cases, quantify the impact of its programs. We agree that HUD
requires performance-based reporting. We state in this report that the
five offices that administer technical assistance have basic oversight
procedures in place, and that the procedures generally ensure that an
activity was performed before payment is made. However, there is a
difference between, for example, reviewing payment requests and reports
to ensure that a funded activity took place and measuring the impact of
that performance. Our draft report pointed out that while some HUD
offices assess the impact of their technical assistance, others do not.
Thus, while HUD‘s performance-based funding instruments may provide the
means to measure performance, HUD‘s offices do not always do so.
Fourth, he believes that impact measures, such as improvements in a
participant‘s proficiency in administering programs, could be difficult
and expensive to develop and implement for many technical assistance
programs. We agree that there are cases where measuring the impact of
technical assistance may not be practical. We acknowledge that in this
report; we recommend that HUD determine the practicability of measuring
the impact of the services and, where appropriate, establish measurable
performance goals. However, we do not believe that HUD should downplay
the importance of measuring the impact of the technical assistance it
provides. As stated in our report, technical assistance is an important
means by which HUD can influence how billions of dollars of federal
program funds that HUD passes through to other public and private
organizations are spent. By measuring the impact of its technical
assistance and demonstrating that the assistance is producing the
intended impact, HUD can show that it is positively influencing the
expenditure of program funds.
Also, HUD staff suggested technical corrections to the draft. In
particular, HUD staff said that the Office of Housing‘s Housing
Counseling Program should not be included as a capacity building
program. Although HUD could award grants to build the capacity of
local, nonprofit housing counseling organizations, the program officer
said that HUD does not use the program to increase the administrative
capabilities of the counseling organizations. She said that HUD
requires that the counseling organizations be in operation for at least
2 years before receiving funds and only allows the funds to be used for
direct service delivery. We agreed to remove Housing Counseling from
our list of technical assistance programs. We made other technical
corrections where appropriate. The full text of HUD‘s letter appears in
appendix II.
Scope and Methodology:
To determine how many technical assistance programs Congress has
authorized and how much they cost, we reviewed agency and congressional
budget documents that identified technical assistance programs HUD
provided between fiscal years 1998 and 2002. The data included each
program‘s funding authorization during the 5-year period; whether the
services were to be provided through a contract, grant agreement, or
cooperative agreement; and whether the award mechanisms were
competitive or noncompetitive.
To determine why HUD provides technical assistance programs and who
receives and provides them, we reviewed documents that included the
notices of funding availability, congressional justification
estimates, HUD‘s technical guidance memorandums, public laws, and other
documents that described the purpose of the technical assistance
programs and eligible providers and recipients. We interviewed
officials in five HUD program offices in headquarters and four regional
field offices to determine HUD‘s guidance on how the funding could be
used. We also visited seven sites across the country to observe the
provision of technical assistance programs.
To determine how HUD selects technical assistance providers, we
reviewed applicable laws and HUD notices of funding availability. We
obtained data related to HUD‘s selection process and were able to
determine which programs HUD awards competitively and noncompetitively.
For competitive awards, we discussed the scoring process and the length
of time involved. We also identified the types of organizations that
generally receive competitive awards for each of the programs in our
review, such as nonprofit organizations. For noncompetitive awards, we
discussed the award process and identified the eligible recipients of
funds, such as Indian tribes and other organizations. We did not
evaluate the extent to which HUD complied with the applicable
contracting statutes, regulations, and policies.
To assess how HUD oversees the programs and measures their impact, we
reviewed applicable laws, interviewed HUD officials at headquarters and
in the regional field offices to document impact measurement processes,
and observed technical assistance providers during our site
observations. We obtained information from technical assistance
providers on how they adhere to HUD‘s reporting requirements and
measure the impact of the technical assistance.
Unless you publicly announce its contents earlier, we plan no further
distribution of this report until 30 days after the date of this
letter. At that time, we will send copies of the report to interested
congressional committees and Members of Congress; the Director, Office
of Management and Budget; and other interested parties. We will also
make copies available to others on request. In addition, the report
will be available at no charge on the GAO Web site at http://
www.gao.gov.
If you or your staff have any questions about this report, please
contact me at (202) 512-7631. Key contributors to this report were
Elaine Boudreau, Bess Eisenstadt, Andy Finkel, Diana Gilman, Julia
Roberts, and Kathy Trimble.
Sincerely yours,
Stanley J. Czerwinski
Director, Physical Infrastructure Issues:
Signed by Stanley J. Czerwinski:
[This page intentionally left blank.]
[End of section]
Appendixes:
Appendix I: Technical Assistance/Capacity Building Program Details:
Purpose: A. Office of Community Planning and Development: [Empty];
Recipients: A. Office of Community Planning and Development: [Empty].
HUD program/initiative: A. Office of Community Planning and
Development: 1. HOME Investment Partnership Program; Program
description: A. Office of Community Planning and Development: Provide
formula funds to states and local governments (participating
jurisdictions) to implement local housing strategies designed to
increase the supply of housing for low-income persons.; Purpose:
Technical assistance training improves the ability of participating
jurisdictions to effectively design and implement HOME strategies.;
Recipients: Participating jurisdictions and their subrecipients,
including community housing development organizations.
HUD program/initiative: A. Office of Community Planning and
Development: 2. Section 4, Capacity Building; Program description:
A. Office of Community Planning and Development: Provide assistance to
develop the capacity and ability of community development corporations
and community housing development organizations to undertake community
development and affordable housing projects and programs.; Purpose:
Technical assistance training, and capacity building funding are used
to enhance the administrative capabilities of community development
corporations and community housing development organizations.;
Recipients: Community development corporations, community housing
development organizations, Habitat for Humanity, for-profit and
nonprofit organizations.
HUD program/initiative: A. Office of Community Planning and
Development: 3. Section 107; Program description: A. Office of
Community Planning and Development: Provide grants to metropolitan
cities, urban counties, consortia, and states for technical assistance,
program management, and analytical support.; Purpose: Technical
assistance training improves the skills, knowledge management, and
administration practices of participating jurisdictions.; Recipients:
Participating jurisdictions and their subrecipients, including
community housing development organizations.
HUD program/initiative: A. Office of Community Planning and
Development: 4. Youthbuild Program; Program description: A. Office of
Community Planning and Development: Provide disadvantaged young adults
with education and employment skills through rehabilitating and
constructing housing for low-income and homeless people.; Purpose:
Technical assistance training is used to teach agencies how to help
youths learn housing construction job skills and complete their high
school education.; Recipients: Public or private nonprofit agencies,
public housing authorities (PHA), state and local governments, and
Indian tribes.
HUD program/initiative: A. Office of Community Planning and
Development: 5. Housing Assistance Council; Program description: A.
Office of Community Planning and Development: Increase the availability
of decent and affordable housing for rural, low-income people.;
Purpose: Capacity building funding provides local housing organizations
with seed money and technical assistance training to teach the skills
needed to improve communities.; Recipients: State and local
governments, nonprofits, for-profits, and rural PHAs.
HUD program/initiative: A. Office of Community Planning and
Development: 6. Homeless Assistance; Program description: A. Office of
Community Planning and Development: Fund projects that will fill gaps
in locally developed systems to assist homeless persons move toward
self-sufficiency and permanent housing.; Purpose: Technical assistance
training promotes the development of housing and supportive services as
part of the ’continuum of care“ approach.; Recipients: Nonprofit
organizations, government agencies, and other homeless providers.
HUD program/initiative: A. Office of Community Planning and
Development: 7. Rural Housing Capacity Building; Program
description: A. Office of Community Planning and Development: Build
capacity at the state and local level for rural housing and economic
development and support innovative housing and economic development
activities in rural areas.; Purpose: Capacity building funding is used
to carry out functions, including the hiring/training of staff,
purchasing software, obtaining expertise from outside sources, and
developing accounting systems and strategic plans.; Recipients: Local
rural nonprofit organizations, community development corporations, and
Indian tribes.
Technical assistance and/or capacity building: : [Empty].
Technical assistance and/or capacity building: Providers: States and
local governments, nonprofits and for-profit professional and technical
service companies; Technical assistance and/or capacity building:
Funding instrument: Cooperative agreement (competitive); How service is
provided: Workshops, training, one-on-one assistance, and operating
assistance; On-site monitoring and review of monthly, quarterly, and
annual reports.
Technical assistance and/or capacity building: Providers: National
Community Development Initiative, Local Initiatives Support
Corporation,; Enterprise Foundation,; Habitat for Humanity, and
Youthbuild USA; Technical assistance and/or capacity building: Funding
instrument: Grant and cooperative agreement (noncompetitive); How
service is provided: Workshops, training, one-on-one assistance, and
operating assistance; Review of quarterly and annual reports.
Technical assistance and/or capacity building: Providers: States and
local governments; nonprofits; colleges and universities; and for-
profit professional and technical service companies; Technical
assistance and/or capacity building: Funding instrument: Grant,
contract, and cooperative agreement (competitive); How service is
provided: Workshops, training, and one-on-one assistance; On-site
monitoring and review of monthly, quarterly, and annual reports.
Technical assistance and/or capacity building: Providers: Public or
private nonprofit organizations; Technical assistance and/or capacity
building: Funding instrument: Contract (competitive); How service is
provided: Workshops, training, and one-on-one assistance; Determined on
a case-by-case basis.
Technical assistance and/or capacity building: Providers: Housing
Assistance Council headquarters and field office staff; Technical
assistance and/or capacity building: Funding instrument: Cooperative
agreement (noncompetitive); How service is provided: National
conference, regional training sessions, and one-on-one assistance;
Review of quarterly and annual reports.
Technical assistance and/or capacity building: Providers: States and
local governments, nonprofits, colleges and universities, and for-
profit professional and technical service companies; Technical
assistance and/or capacity building: Funding instrument: Cooperative
agreement (competitive); How service is provided: Training sessions;
On-site monitoring and review of monthly, quarterly, and annual
reports.
Technical assistance and/or capacity building: Providers: Local rural
nonprofit organizations, community development corps, and Indian
tribes; Technical assistance and/or capacity building: Funding
instrument: Grant (competitive); How service is provided: Direct
funding; On-site monitoring and review of quarterly and annual reports.
[End of table]
(Continued From Previous Page)
HUD program/initiative: 8. Housing Opportunities for Persons with
AIDS; Program description: Provide housing assistance and supportive
services to address the needs of persons living with HIV/AIDS and their
families.; Purpose: Capacity building funding is used to train
communities to create comprehensive housing strategies
and responsive area programs in sound management practices.;
Recipients: States and local governments, and nonprofits.
HUD program/initiative: B. Office of Public and Indian Housing;
Purpose: [Empty]; Recipients: [Empty].
HUD program/initiative: 9. Office of Troubled Agency Recovery;
Program description: Coordinate and support the recovery of troubled
PHAs, thereby ensuring the provision of decent, safe, and affordable
housing for all public housing residents, and provide support to the
Department of Housing and Urban Development (HUD) regional offices for
nontroubled PHAs with identified or suspected deficiencies.; Purpose:
Technical assistance training is
used to help troubled PHAs and PHAs with identified deficiencies to
develop and implement solutions to improve performance.; Recipients:
Troubled PHAs with identified deficiencies and PHAs in receivership.
HUD program/initiative: 10. HOPE VI Urban Revitalization; Program
description: Replace and revitalize severely distressed public housing
with physical, management, and
social and community service improvements.; Purpose: Technical
assistance trains PHAs and their residents by assessing the needs for
resident services and planning for community and economic development.;
Recipients: PHAs.
HUD program/initiative: 11. Resident Opportunities and Self-
Sufficiency; Program description: Link public housing residents with
supportive services, resident empowerment activities, and assistance in
becoming economically self-sufficient.; Purpose: Technical assistance
training and capacity building funding increases resident participation
in housing development management decisions.; Recipients: Public
housing resident groups, tribes, and nonprofits.
HUD program/initiative: 12. Drug Elimination; Program description:
Provide grants for antidrug and anticrime efforts.[A]; Purpose:
Technical assistance training combats drug abuse and related crime in
public and Indian housing communities.; Recipients: PHAs, tribes,
tribally designated housing entities, and resident organizations.
HUD program/initiative: 13. Native American (Indian) Housing
Block Grant; Program description: Support the inspection of
Indian housing units and assist in the training, oversight, and
management of Indian housing and tenant-based assistance.; Purpose:
Technical assistance training provides contractual services to tribes
or tribally designated housing entities.; Recipients: Tribes or
tribally designated housing entities.
HUD program/initiative: 14. National American Indian Housing
Council; Program description: Provide culturally relevant, decent,
safe, sanitary, and affordable housing for native people in American
Indian communities and Alaskan native villages.; Purpose: Technical
assistance trains in specialized areas of Indian housing management,
finance, and budgets.; Recipients: Tribes or tribally designated
housing entities.
HUD program/initiative: 15. Capital Fund Program; Program description:
Provide grants to PHAs for capital improvement and management
activities, including modernization
and development of public housing.; Purpose: Technical assistance
training ensures effective implementation and monitoring of the Capital
Fund Program and assists in the delivery of services to eligible PHAs.;
Recipients: HUD offices and PHAs.
[End of table]
Technical assistance and/or capacity building: Providers: States and
local governments, and nonprofits; Technical assistance and/or capacity
building: Funding instrument: Contract and cooperative agreement
(competitive); How service is provided: Training, conferences, and
leadership events; Oversight method: Quarterly reports and submission
of all products for review.
Technical assistance and/or capacity building: Providers: Contractors
and Troubled Agency Recovery Center staff; Technical assistance and/or
capacity building: Funding instrument: Contract and cooperative
agreement (competitive); How service is provided: Guidance and
training; Oversight method: Review of expenditures and monitoring
contractor‘s deliverables and compliance with; HUD requirements.
Technical assistance and/or capacity building: Providers: Consulting
groups, universities, and national and community-based organizations;
Technical assistance and/or capacity building: Funding instrument:
Contract and cooperative agreement (competitive); How service is
provided: Training, project design, project inspections, and program
evaluation; Oversight method: Review of expenditures and monitoring of
contractor‘s deliverables and compliance with HUD requirements.
Technical assistance and/or capacity building: Providers: Resident
organizations, tribes, nonprofits, and national and community-based
organizations; Technical assistance and/or capacity building: Funding
instrument: Grant (competitive); How service is provided: Group
training, one-on-one assistance, and conferences; Oversight method:
Monitoring and reviewing of payment requests.
Technical assistance and/or capacity building: Providers: Consultants,
PHAs, and tribally designated housing entities; Technical assistance
and/or capacity building: Funding instrument: Grant and contract
(competitive); How service is provided: Training conferences and
workshops; Oversight method: On-site monitoring and evaluations.
Technical assistance and/or capacity building: Providers: Contractors;
Technical assistance and/or capacity building: Funding instrument:
Contract (competitive); How service is provided: Courses, workshops,
conferences, and other support services; Oversight method: Monitor
provider‘s work and performance and review payment requests.
Technical assistance and/or capacity building: Providers: National
American Indian Housing Council staff; Technical assistance and/or
capacity building: Funding instrument: Contract (noncompetitive); How
service is provided: Training courses and scholarships; Oversight
method: Monitor courses and review training material, reports, and
payment requests.
Technical assistance and/or capacity building: Providers: For-profit
organizations and the Army Corps of Engineers; Technical assistance
and/or capacity building: Funding instrument: Contract, interagency
agreement, and cooperative agreement (competitive); How service is
provided: Training sessions, construction inspections, and capital fund
program implementation review; Oversight method: Track fund obligations
and expenditures.
[End of table]
(Continued From Previous Page)
HUD program/initiative: 16. Housing Choice Voucher Program
(Section 8); Program description: Allow low-income families to choose
and lease or purchase safe, decent, and affordable privately owned
rental housing.; Purpose: Technical assistance trains PHAs to improve
voucher program administration and management.; Recipients: PHAs.
HUD program/initiative: C. Office of Fair Housing and Equal
Opportunity; Purpose: [Empty]; Recipients: [Empty].
HUD program/initiative: 17. Fair Housing Assistance Program;
Program description: Encourage state and local fair housing enforcement
agencies to assume a greater share of the responsibility for
administration and enforcement of their fair housing laws and
ordinances.; Purpose: Capacity building funding is used to build
enforcement capacity of
existing and new state local fair housing enforcement agencies to
enforce the rights granted under the Fair Housing Act.; Recipients:
State and local fair housing enforcement agencies governments, and
general public.
HUD program/initiative: 18. Fair Housing Initiative
Program; Purpose: [Empty]; Recipients: [Empty].
HUD program/initiative: (a) Education Outreach
Initiative; Program description: Assist projects that inform and
educate the public about their rights and obligations under the Fair
Housing Act and substantially equivalent State and local fair housing
laws.; Purpose: Technical assistance training increases the number of
referrals to HUD of fair housing complaints and other information
regarding discriminatory practices.; Recipients: Public or private,
profit and nonprofit organizations; civil rights groups; special
interest groups; and faith-based organizations.
HUD program/initiative: (b) Fair Housing Enforcement
(1) Fair Housing Organization Initiative (FHOI); (2) Private
Enforcement
Initiative (PEI); Program description: FHOI establishes new fair
housing enforcement organizations in underserved areas and provides
support to newly established fair housing enforcement organizations.
PEI provides funding to private fair housing organizations for
activities related to
enforcing the Fair Housing Act and substantially equivalent state and
local fair housing laws.; Purpose: Capacity building funding increases
the number of referrals to HUD of fair housing complaints and other
information regarding discriminatory practices from new fair housing
enforcement organizations.; Recipients: Fair Housing Organizations and
Qualified Fair Housing Organizations.
HUD program/initiative: D. Office of Housing--Office of Multifamily
Housing Assistance Restructuring; Recipients: [Empty].
HUD program/initiative: 19. Mark-to-Market
Program; Purpose: [Empty]; Recipients: [Empty].
HUD program/initiative: (a) Intermediary Technical
Assistance Grants; Program description: Supports the Mark-to-
Market program that restructures HUD‘s multifamily housing Section 8
properties by lowering their rents
to market levels and reducing their mortgage debt if necessary to
permit a positive cash flow.; Purpose: Capacity building funding
provides predevelopment grants to nonprofits to purchase Mark-to-Market
properties with the aim of getting more nonprofits into property
ownership and management.; Recipients: Nonprofit organizations.
HUD program/initiative: (b) Outreach and Technical Assistance
Grants; Program description: Same as above description.; Purpose:
Technical assistance training is used to educate Mark-to-Market
property tenants about the restructuring process, how it may affect
them, their rights, and what they can do to participate in the
process.; Recipients: Tenant groups, nonprofits, managers, community
leaders, states and local governments, local social service agencies,
coalitions, and legal aid.
Technical assistance and/or capacity building: Providers: Small
contractors and
nonprofits; Technical assistance and/or capacity building: Funding
instrument: Contract (competitive); How service is provided: Review
procedures, identify weak processes, prepare action plan, streamline
procedures,
and conduct training sessions; Oversight method: Review of monthly and
final reports, telephone correspondence, and on-site technical
assistance.
Technical assistance and/or capacity building: Providers: HUD field
office staff,[B] public
and private individuals, and organizations carrying out fair housing
activities; Technical assistance and/or capacity building: Funding
instrument: Cooperative agreement-formula driven (noncompetitive); How
service is provided: One-on-one assistance, in-person visits, regional
and multiregional training programs, and national conferences;
Oversight method: Review quarterly reports and on-site inspection.
Technical assistance and/or capacity building: Providers: States,
nonprofits, units of general local government, resident organizations,
colleges and universities, and for-profit professional technical
service companies; Technical assistance and/or capacity building:
Funding instrument: Grant (competitive); How service is provided: One-
on-one assistance, in-person visits, and an educational seminar;
Oversight method: On-site inspection and review of quarterly, annual,
and final reports.
Technical assistance and/or capacity building: Providers: Fair Housing
Organizations and Qualified Fair Housing Organizations that carry out
fair housing goals, nonprofits, and colleges and universities;
Technical assistance and/or capacity building: Funding instrument:
Grant and cooperative agreement (competitive); How service is provided:
One-on-one assistance, in-person visits, educational seminars, and
conferences; Oversight method: On-site inspection and review of
quarterly, annual, and final reports.
Technical assistance and/or capacity building: Providers: Nonprofit
organizations; Technical assistance and/or capacity building: Funding
instrument: Grant (competitive); How service is provided: Direct
funding, meetings, workshops, site visits, and by telephone; Oversight
method: Review quarterly and annual reports.
Technical assistance and/or capacity building: Providers: Small and
large community-based organizations, nonprofits, and public entities;
Technical assistance and/or capacity building: Funding instrument:
Grant (competitive); How service is provided: Tenant meetings;
Oversight method: Review quarterly and annual reports.
(Continued From Previous Page)
HUD program/initiative: E. Office of Healthy Homes and Lead Hazard
Control; Purpose: [Empty]; Recipients: [Empty].
HUD program/initiative: 20. Lead-Based Paint Hazard Reduction;
Program description: E. Office of Healthy Homes and Lead Hazard
Control: Evaluate and reduce lead-
based paint hazards, especially in housing rented or owned by low-
income families.; Purpose: Technical assistance training and capacity
building funding help recipients evaluate and control housing-related,
lead-based paint hazards, and provide outreach and education
activities.; Recipients: State and local governments, private property
owners, paint inspectors and maintenance workers, community housing
agencies, and rehabilitation specialists.
[End of table]
Technical assistance and/or capacity building: Providers: Nonprofit or
for-profit organizations; Technical assistance and/or capacity
building: Funding instrument: Grant and contract
(competitive); How service is provided: Classes, individualized and
group meetings, and delivery and discussion of evaluative reports;
Oversight method: Review monthly and quarterly reports and on-site
inspection.
[A] Program discontinued in fiscal year 2002.
[B] HUD staff only use technical assistance funding for travel
expenses.
Source: GAO analysis of HUD data.
[End of section]
Appendix II: Comments from the U.S. Department of Housing and Urban
Development:
U.S. Department of Housing and Urban Development Washington, D.C.
20410-0003:
OFFICE OF DEPARTMENTAL OPERATIONS AND COORDINATION:
SEP 25 2002:
Mr. Stanley J, Czerwinski:
Director, Physical Infrastructure Issues U. S. General Accounting
Office:
441 G Street N. W. Washington, DC 20548:
Re: Draft Report: Impact Measurement Needed for Technical Assistance:
Dear Mr. Czerwinski,
Thank you for the opportunity to comment on the draft report, Impact
Measures Needed for Technical Assistance. A copy of the report was
distributed to all major program organizations for their review and
comment. A compilation of their responses is attached for you as a
contribution to the final report.
As a matter of general assessment we offer the following observations
and comments for your consideration.
* The report does not clearly define capacity building programs before
combining them with technical assistance.
* Although both programs contain technical assistance components, the
Fair Housing Assistance Program and Fair Housing Initiatives Program
are not primarily technical assistance programs.
* The Department‘s performance-based contracts, grants and cooperative
agreements with technical assistance providers provide us with the
means to measure their performance and, in some cases, the impact of
the technical assistance provided.
Impact measures, such as improvement in a participant‘s proficiency in
administering programs, could be difficult and expensive to develop and
implement for many technical assistance programs.
Once again thank you for the opportunity to review the draft report.
The Department will take the necessary steps to implement the report‘s
recommendation. Please contact me if you have any questions.
Sincerely,
Frank L. Davis,
Director, Office of Departmental Operations and Coordination:
Signed by Frank L. Davis:
Attachment:
[End of Section]
FOOTNOTES
[1] Although some of HUD‘s major programs, such as the Housing
Opportunities for Persons With AIDS and the Community Development Block
Grant, are noncompetitive, the technical assistance components of these
programs are competitive.
[2] Cooperative agreements for CPD are usually for 3 years and may be
extended for an additional year.
[3] The Local Initiative Support Corporation and the Enterprise
Foundation administer the funding for, among other purposes, the
National Community Development Initiative under Section 4 of the HUD
Demonstration Act of 1993, as amended.
[4] CPD, through the SuperNOFA, requires that its technical assistance
providers develop methodologies to be used for measuring the success of
their programs. However, according to the Director of CPD‘s Office of
Technical Assistance and Management, CPD is collecting the data needed
to measure program impact but does not have the capacity to do anything
with the information.
GAO‘s Mission:
The General Accounting Office, the investigative arm of Congress,
exists to support Congress in meeting its constitutional
responsibilities and to help improve the performance and accountability
of the federal government for the American people. GAO examines the use
of public funds; evaluates federal programs and policies; and provides
analyses, recommendations, and other assistance to help Congress make
informed oversight, policy, and funding decisions. GAO‘s commitment to
good government is reflected in its core values of accountability,
integrity, and reliability.
Obtaining Copies of GAO Reports and Testimony:
The fastest and easiest way to obtain copies of GAO documents at no
cost is through the Internet. GAO‘s Web site ( www.gao.gov ) contains
abstracts and full-text files of current reports and testimony and an
expanding archive of older products. The Web site features a search
engine to help you locate documents using key words and phrases. You
can print these documents in their entirety, including charts and other
graphics.
Each day, GAO issues a list of newly released reports, testimony, and
correspondence. GAO posts this list, known as ’Today‘s Reports,“ on its
Web site daily. The list contains links to the full-text document
files. To have GAO e-mail this list to you every afternoon, go to
www.gao.gov and select ’Subscribe to daily E-mail alert for newly
released products“ under the GAO Reports heading.
Order by Mail or Phone:
The first copy of each printed report is free. Additional copies are $2
each. A check or money order should be made out to the Superintendent
of Documents. GAO also accepts VISA and Mastercard. Orders for 100 or
more copies mailed to a single address are discounted 25 percent.
Orders should be sent to:
U.S. General Accounting Office
441 G Street NW,
Room LM Washington,
D.C. 20548:
To order by Phone:
Voice: (202) 512-6000:
TDD: (202) 512-2537:
Fax: (202) 512-6061:
To Report Fraud, Waste, and Abuse in Federal Programs:
Contact:
Web site: www.gao.gov/fraudnet/fraudnet.htm E-mail: fraudnet@gao.gov
Automated answering system: (800) 424-5454 or (202) 512-7470:
Public Affairs:
Jeff Nelligan, managing director, NelliganJ@gao.gov (202) 512-4800 U.S.
General Accounting Office, 441 G Street NW, Room 7149 Washington, D.C.
20548:
