Form 201808 - 01 201808 - 01 CDFI Annual Performance Progress Report (Private Sector)

Community Development Financial Institutions Fund
Performance Progress Report (PPR) Data Points
NOTE: All capitalized terms used herein but not defined have such definitions as specified in the Interim
Rule, Notice of Fund Availability, or Assistance Agreement.
Recipients submit the PPR in the Awards Management Information System Database (AMIS) once a year,
three (3) months after their fiscal year end. Recipients respond to the questions below by providing
numerical figures, yes or no answers, or narrative responses, as appropriate. This report is used to
determine Recipient compliance with the applicable performance goals in their assistance agreement.
Prior to submitting the report, the Recipient will be required to select checkboxes to certify, on behalf of
the organization, the following:
1. The person entering the data and making these certifications is an Authorized Representative.
2. Any information or data provided to the CDFI Fund that is input in AMIS (or other submission
method) is true, accurate, and complete, and accurately represents the activities and/or
performance of the Recipient.
3. The Recipient is compliant with all applicable assurances, certifications, representations and
warranties, covenants, and agreements set forth in the Assistance Agreement or, alternatively,
has notified the CDFI Fund of the Recipient’s inability to be compliant with such provisions of
the Assistance Agreement through the submission of a Material Event notification.

Paperwork Burden Statement
According to the Paperwork Reduction Act, as amended, no persons are required to respond to a
collection of information unless it displays a valid Office of Management and Budget (OMB) Approval
Number. This form's Approval Number is 1559-00XX. Public reporting burden for this collection of
information is estimated to average .5 hours per response, including time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information. Send comments regarding the burden estimate or any other
aspect of this collection of information, including suggestions for reducing this burden, to the
Community Development Financial Institutions Fund, 1500 Pennsylvania Ave, NW, Washington, DC
20220.
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Performance Goal
1-1: Prompt corrective
action net worth ratio
of at least 6%
1-2: Tier 1 leverage
capital of at least 8%
1-3: Net loans &
leases to deposits
ratio of at least 50%
1-4: Operating
liquidity ratio of at
least 1.0

Applicable Award
Year
FY 2016 awards
and older

•
•

Total net worth
Total assets

FY 2016 awards
and older
FY 2016 awards
and older

•
•
•
•

Adjusted average assets
Tier 1 capital
Net loans and leases
Total deposits

FY 2016 awards
and older

•

Cash and cash equivalents available for operating
expenses
Total (pre-tax) operating expenses for the most
recently completed fiscal year
Provision of loan loss reserves
Aggregate dollar amount of all loans outstanding
which have payments that are 90 days or more past
due
Aggregate dollar amount of gross loans outstanding
Number of equity investments held for 12 months or
more
Number of equity investments held for 12 months or
more that have decreased in value in the
organization's prior fiscal year
Total dollar amount of financial products closed
(exclusive of PPC, HFFI-FA, or DF-FA) in eligible
market(s) or recipient’s approved target market(s)
during period of performance
Total number of financial services provided in eligible
market(s) or recipient’s approved target market(s)
during period of performance

Data Points

•
•
•

1-5: Portfolio at risk
no greater than 15%,

FY 2016 awards
and older

1-6: Change in value
of each equity
investment over 12
months must be less
than 50%
1-1: Increase volume
of financial products

FY 2016 awards
and older

FY 2017 FA awards
and newer

•

1-2: Increase volume
of financial services

FY 2017 FA awards
and newer

•

1-3: New geographic
area(s) (GA)

FY 2017 FA awards
and newer

•

1-4: New financial
product(s)

FY 2017 FA awards
and newer

•

1-5: New financial
service(s)

FY 2017 FA awards
and newer

•

1-6: New
development
service(s)

FY 2017 FA awards
and newer

•

•
•
•

Total dollar amount of financial products closed
(exclusive of PPC, HFFI-FA, or DF-FA) in eligible
market(s) in new GA(s) during period of performance
Total dollar amount of new financial products closed
(exclusive of PPC, HFFI-FA, or DF-FA) in eligible
market(s) or recipient’s approved target market(s)
during period of performance
Total number of new financial services provided in
eligible market(s) or recipient’s approved target
market(s) during period of performance
Total number of new clients served in eligible
market(s) or recipient’s approved target market(s)
during period of performance

2

Performance Goal
1-7: Serve new
targeted population(s)

Applicable Award
Year
FY 2017 FA awards
and newer

Data Points
•

Serving individuals
with disabilities

FY 2017 FA awards
and newer

•

1-1: Build capacity
through technical
assistance (certified)
1-2: Build capacity
through technical
assistance (sponsoring
entities)

All TA awards
(FY 16 and older
PG&M 3-1)
All TA awards
(FY 16 and older
PG&M 3-2)

•

Recipient responds “yes” or “no” to the following
question for year 2: Did the recipient submit
appropriate target market modification document(s)
to the CDFI Fund to serve new targeted population(s)?
Recipient responds “yes” or “no” to the following
question for year 3: Did recipient become certified to
serve new targeted population(s)?
Total dollar amount of financial products closed
(exclusive of PPC, HFFI-FA, or DF-FA) in native
communities and native populations
Total dollar amount of loans and investments closed
during current period of performance
Total dollar amount of financial products closed
(exclusive of FA, HFFI-FA, or DF-FA) in eligible
market(s) in PPC during current period of performance
Total dollar amount of financial products and services
deployed to recipient’s target market in current period
of performance
Cumulative dollar amount of financial products and
services deployed to recipient’s target market during
period of performance
Current percentage of the award deployed to target
market
Total dollar amount of financial products closed
(exclusive of FA, PPC-FA, or DF-FA) in recipient’s target
market for HFFI activities in current period of
performance
Total dollar amount of financial products closed
(exclusive of FA, PPC-FA, or DF-FA) in recipient’s target
market to healthy food retail outlets located in food
deserts during current period of performance
Total dollar amount of financial products closed
(exclusive of FA, HFFI-FA, or PPC) in eligible market(s)
or recipient’s approved target market(s) that have a
primary purpose of benefitting individuals with
disabilities during current period of performance
Total dollar amount of technical assistance expended

•

Total dollar amount of technical assistance expended

•

1-8: Investment in
native communities

FY 2017 FA awards
and newer

•
•

2-1 Persistent
poverty counties (PPC)
2-1: Deployment to
target market

FY 2017 FA awards
(FY 16 and older
PG&M 2-3)
FY 2016 FA awards
and older

•

•
•
•

3-1: Deployment of
resources (HFFI-FA)

All FA awards
(FY 16 and older
PG&M 2-2)

•

•

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Performance Goal
1-3: Build capacity
through technical
assistance
(uncertified)
2-1: CDFI creation

3-1: CDFI certification
(uncertified)

Applicable Award
Year
All TA awards
(FY 16 and older
PG&M 3-3)
All TA awards
(FY 16 and older
PG&M 4-1)
All TA awards
(FY 16 and older
PG&M 5-1)

Data Points
•

Total dollar amount of technical assistance expended

•
•
•
•

Legal entity name
Date of incorporation
Attach supporting documentation
Recipient responds “yes” or “no” to the following
question for year 2: Did the recipient submit a CDFI
certification application to the CDFI Fund?
Recipient responds “yes” or “no” to the following
question at the end of the period of performance: Did
the recipient become a certified CDFI?
Recipient responds “yes” or “no” to the following
question for year 3: Did the legal entity created by the
recipient submit a CDFI certification application to the
CDFI Fund?
Recipient responds “yes” or “no” to the following
question at the end of the period of performance: Did
the legal entity created by the recipient, the corecipient, become a certified CDFI?

•

3-2: CDFI certification
(sponsoring entities)

All TA awards
(FY 16 and older
PG&M 5-2)

•

•

Explanation of noncompliance questions Recipient must respond to if it misses the benchmark for a
performance goal. Recipient must provide a narrative (as applicable).
• Why did you fail to meet this performance goal? [Narrative]
• What actions will you take to meet this performance goal? [Narrative]
• What is the current status for this performance goal? [Narrative]
• Will you meet this performance goal next fiscal year? [Yes/No]
• Why will you not meet this performance goal by next fiscal year? [Narrative]

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