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entitled 'HUD Management: Impact Measurement Needed for Technical 
Assistance' which was released on November 25, 2002.



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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 HUDís five program officeís number of technical assistance 

programs or initiatives administered, each program officeís 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 HUDís 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 HUDís 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 GAOís 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 Developmentís (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 HUDís 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 HUDís housing and community development programs. HUD staff whose 

costs are covered by HUDís 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 HUDís 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 

HUDís technical assistance ranged between $108 million and $181 

million, which accounted for less than 1 percent of HUDís overall 

budget each year.



While the general purpose of HUDís 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 officeís 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 

recipientsí 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. 

HUDís 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 HUDís technical assistance programs ranged from $108 

million to $181 million. These sums accounted for less than 1 percent 

of HUDís 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 HUDís 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 HUDís 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 HUDís technical assistance are generally those 

entities or organizations that administer HUDís 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 CPDís technical assistance are local nonprofit 

organizations, state and local governments, and other organizations 

participating in and receiving funds through HUDís 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 Housingís Resident Opportunities and Self-Sufficiency 

Programís 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 Opportunityís 

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 HUDís San Francisco regional office provide 

technical assistance training to 10 employees of Californiaís 

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 

Housingís 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 tenantsí 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 Controlís 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 CPDís 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 providersí 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 agreementís[Footnote 2] purpose is similar to a grant 

agreementís 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.



HUDís 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 programís 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 HUDís 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, HUDís 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 HUDís 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 providerís performance by reviewing 

payment requests and financial reports and the recipientís written 

evaluation of the technical assistance providerís 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 

HUDís 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 HUDís 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 CPDís 

Section 4 capacity building organizations that document detailed 

evaluations of their accomplishments; to CPDís Rural Housing and 

Economic Development Program that collects annual outcome data; to the 

Public and Indian Housingís 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 recipientsí retention of 

information. We also spoke with a technical assistance provider who 

administers multiple questionnaires to measure recipientsí 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 HUDís 

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 HUDís 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, HUDís Director, Office of 

Departmental Operations and Coordination, said that the department 

would take the necessary steps to implement the reportís 

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 departmentís 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 HUDís performance-based funding instruments may provide the 

means to measure performance, HUDís offices do not always do so.



Fourth, he believes that impact measures, such as improvements in a 

participantís 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 Housingís 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 HUDís 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 

programís 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, HUDís 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 HUDís 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 HUDís 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 HUDís 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 ďcontinuum of careĒ 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 

contractorís 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 

contractorís 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 

providerís 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 HUDís 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 Departmentís 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 participantís 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 reportís 

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 HUDís 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 CPDís 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.



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