HUD 24 CFR PART 985-2011 SECTION 8 MANAGEMENT ASSESSMENT PROGRAM (SEMAP)《第8节 管理评估项目(参考示意图)》.pdf

1、669 Asst. Secry., for Public and Indian Housing, HUD 985.1 enter into a new contract of participa-tion with the FSS family for the term on the remaining contract with the ini-tial PHA. The initial PHA will termi-nate its contract of participation with the family. (e) Single FSS account. Regardless o

2、f whether the relocating FSS family re-mains in the FSS program of the ini-tial PHA or is enrolled in the FSS pro-gram of the receiving PHA, there will be a single FSS account which will be maintained by the initial PHA. When an FSS family will be absorbed by the receiving PHA, the initial PHA will

3、transfer the familys FSS account to the receiving PHA. (f) FSS program termination; loss of FSS account; and termination of Section 8 as-sistance. (1) If an FSS family that relo-cates to another jurisdiction, as pro-vided under this section, is unable to fulfill its obligations under the con-tract o

4、f participation, or any modifica-tions thereto, the PHA, which is party to the contract of participation, may: (i) Terminate the FSS family from the FSS program and the familys FSS account will be forfeited; and (ii) Terminate the FSS familys Sec-tion 8 assistance on the ground that the family faile

5、d to meet its obliga-tions under the contract of participa-tion. (2) In the event of forfeiture of the familys FSS account, the funds in the familys FSS account will revert to the PHA maintaining the FSS account for the family. 61 FR 8815, Mar. 5, 1996, as amended at 65 FR 16733, Mar. 29, 2000 Subpa

6、rt DReporting 984.401 Reporting. Each PHA that carries out an FSS program under this part shall submit to HUD, in the form prescribed by HUD, a report regarding its FSS pro-gram. The report shall include the fol-lowing information: (a) A description of the activities carried out under the program; (

7、b) A description of the effectiveness of the program in assisting families to achieve economic independence and self-sufficiency; (c) A description of the effectiveness of the program in coordinating re-sources of communities to assist fami-lies to achieve economic independence and self-sufficiency;

8、 and (d) Any recommendations by the PHA or the appropriate local program coordinating committee for legislative or administrative action that would improve the FSS program and ensure the effectiveness of the program. PART 985SECTION 8 MANAGE-MENT ASSESSMENT PROGRAM (SEMAP) Subpart AGeneral Sec. 985.

9、1 Purpose and applicability. 985.2 Definitions. 985.3 Indicators, HUD verification methods and ratings. Subpart BProgram Operation 985.101 SEMAP certification. 985.102 SEMAP profile. 985.103 SEMAP score and overall perform-ance rating. 985.104 PHA right of appeal of overall rat-ing. 985.105 HUD SEMA

10、P responsibilities. 985.106 Required actions for SEMAP defi-ciencies. 985.107 Required actions for PHA with trou-bled performance rating. 985.108 SEMAP records. 985.109 Default under the Annual Contribu-tions Contract (ACC). Subpart CPhysical Assessment Component Reserved AUTHORITY: 42 U.S.C. 1437a,

11、 1437c, 1437f, and 3535(d). SOURCE: 63 FR 48555, Sept. 10, 1998, unless otherwise noted. EDITORIAL NOTE: Nomenclature changes to part 985 appear 64 FR 67983, Dec. 3, 1999. Subpart AGeneral 985.1 Purpose and applicability. (a) Purpose. The Section 8 Manage-ment Assessment Program (SEMAP) is designed

12、to assess whether the Section 8 tenant-based assistance programs op-erate to help eligible families afford de-cent rental units at the correct subsidy cost. SEMAP also establishes a system for HUD to measure PHA performance in key Section 8 program areas and to VerDate Mar2010 10:07 May 20, 2011 Jkt

13、 223080 PO 00000 Frm 00679 Fmt 8010 Sfmt 8010 Y:SGML223080.XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-670 24 CFR Ch. IX (4111 Edition) 985.2 assign performance ratings. SEMAP provides procedures for HUD

14、to iden-tify PHA management capabilities and deficiencies in order to target moni-toring and program assistance more ef-fectively. PHAs can use the SEMAP performance analysis to assess and im-prove their own program operations. (b) Applicability. This rule applies to PHA administration of the tenant

15、- based Section 8 rental voucher and rental certificate programs (24 CFR part 982), the project-based component (PBC) of the certificate program (24 CFR part 983) to the extent that PBC family and unit data are reported and measured under the stated HUD verification method, and enrollment levels and

16、 contributions to escrow ac-counts for Section 8 participants under the family self-sufficiency program (FSS) (24 CFR part 984). 63 FR 48555, Sept. 10, 1998, as amended at 64 FR 40497, July 26, 1999 985.2 Definitions. (a) The terms Department, Fair Market Rent, HUD, Secretary, and Section 8, as used

17、 in this part, are defined in 24 CFR 5.100. (b) The definitions in 24 CFR 982.4 apply to this part. As used in this part: Confirmatory review means an on site review performed by HUD to verify the management performance of an PHA. Corrective action plan means a HUD- required written plan that addres

18、ses PHA program management deficiencies or findings identified by HUD through remote monitoring or on-site review, and that will bring the PHA to an ac-ceptable level of performance. MTCS means Multifamily Tenant Characteristics System. MTCS is the Departments national database on participants and r

19、ental units in the Section 8 rental certificate, rental voucher, and moderate rehabilitation programs and in the Public and Indian Housing programs. PHA means a Housing Agency. PHAs quality control sample means an annual sample of files or records drawn in an unbiased manner and reviewed by an PHA s

20、upervisor (or by another qualified person other than the person who performed the original work) to determine if the work documented in the files or records conforms to pro-gram requirements. The minimum size of the PHAs quality control sample is as follows: Universe Minimum number of files or recor

21、ds to be sampled 50 or less 5. 51600 5 plus 1 for each 50 (or part of 50) over 50. 6012000 16 plus 1 for each 100 (or part of 100) over 600. Over 2000 30 plus 1 for each 200 (or part of 200) over 2000. Where the universe is: the number of admissions in the last year for each of the two quality contr

22、ol samples under the SEMAP indicator at 985.3(a) Se-lection from the Waiting List; the number of families assisted for the SEMAP indicators at 985.3(b) Reason-able Rent, and 985.3(c) Determination of Adjusted Income; the number of units under HAP contract during the last completed PHA fiscal year fo

23、r the SEMAP indicator at 985.3(e) HQS Quality Control Inspections; and the number of failed HQS inspections in the last year for the SEMAP indicator at 985.3(f) HQS Enforcement. Performance indicator means a stand-ard set for a key area of Section 8 pro-gram management against which the PHAs perform

24、ance is measured to show whether the PHA administers the program properly and effectively. (See 985.3.) SEMAP certification means the PHAs annual certification to HUD, on the form prescribed by HUD, concerning its performance in key Section 8 program areas. SEMAP deficiency means any rating of 0 poi

25、nts on a SEMAP performance indicator. SEMAP profile means a summary pre-pared by HUD of an PHAs ratings on each SEMAP indicator, its overall SEMAP score, and its overall perform-ance rating (high performer, standard, troubled). 63 FR 48555, Sept. 10, 1998, as amended at 64 FR 40497, July 26, 1999 98

26、5.3 Indicators, HUD verification methods and ratings. This section states the performance indicators that are used to assess PHA Section 8 management. HUD will use the verification method identified for VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm 00680 Fmt 8010 Sfmt 8010 Y:SGML223080.

27、XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-671 Asst. Secry., for Public and Indian Housing, HUD 985.3 each indicator in reviewing the accu-racy of an PHAs annual SEMAP cer-tification. HUD will prepare a

28、SEMAP profile for each PHA and will assign a rating for each indicator as shown. If the HUD verification method for the indicator relies on data in MTCS and HUD determines those data are insuffi-cient to verify the PHAs certification on the indicator due to the PHAs fail-ure to adequately report fam

29、ily data, HUD will assign a zero rating for the indicator. The method for selecting the PHAs quality control sample under paragraphs (a), (b), (c) and (f) of this section must leave a clear audit trail that can be used to verify that the PHAs quality control sample was drawn in an unbiased manner. A

30、n PHA that expends less than $300,000 in Federal awards and whose Section 8 programs are not audited by an independent auditor (IA), will not be rated under the SEMAP indicators in paragraphs (a) through (g) of this sec-tion for which the annual IA audit re-port is a HUD verification method. For tho

31、se PHAs, the SEMAP score and overall performance rating will be de-termined based only on the remaining indicators in paragraphs (i) through (o) of this section as applicable. Although the SEMAP performance rating will not be determined using the indicators in paragraphs (a) through (g) of this sect

32、ion, PHAs not subject to Federal audit requirements must still complete the SEMAP certification for these indi-cators and performance under the indi-cators is subject to HUD confirmatory reviews. (a) Selection from the waiting list. (1) This indicator shows whether the PHA has written policies in it

33、s administra-tive plan for selecting applicants from the waiting list and whether the PHA follows these policies when selecting applicants for admission from the wait-ing list. (24 CFR 982.54(d)(1) and 982.204(a) (2) HUD verification method: The independent auditor (IA) annual audit report covering

34、the PHA fiscal year en-tered on the SEMAP certification and on-site confirmatory review if per-formed. (3) Rating: (i) The PHAs SEMAP cer-tification states that: (A) The PHA has written waiting list selection policies in its administrative plan and, (B) Based on the PHAs quality con-trol samples, dr

35、awn separately for ap-plicants reaching the top of the wait-ing list and for admissions, documenta-tion shows that at least 98 percent of the families in both samples of appli-cants and admissions were selected from the waiting list for admission in accordance with these policies and met the selecti

36、on criteria that determined their places on the waiting list and their order of selection. 15 points. (ii) The PHAs SEMAP certification does not support the statement in paragraph (a)(3)(i) of this section. 0 points. (b) Reasonable rent. (1) This indicator shows whether the PHA has and imple-ments a

37、 reasonable written method to determine and document for each unit leased that the rent to owner is reason-able based on current rents for com-parable unassisted units: at the time of initial leasing; if there is any increase in the rent to owner; and at the HAP contract anniversary if there is a 5

38、per-cent decrease in the published fair market rent (FMR) in effect 60 days be-fore the HAP contract anniversary. The PHAs method must take into con-sideration the location, size, type, quality and age of the units, and the amenities, housing services, and main-tenance and utilities provided by the

39、owners in determining comparability and the reasonable rent. (24 CFR 982.4, 24 CFR 982.54(d)(15), 982.158(f)(7) and 982.507) (2) HUD verification method: The IA annual audit report covering the PHA fiscal year entered on the SEMAP cer-tification and on-site confirmatory re-view if performed. (3) Rat

40、ing: (i) The PHAs SEMAP cer-tification states that: (A) The PHA has a reasonable writ-ten method to determine reasonable rent which considers location, size, type, quality and age of the units and the amenities, housing services, and maintenance and utilities provided by the owners; and (B) Based on

41、 the PHAs quality con-trol sample of tenant files, the PHA VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm 00681 Fmt 8010 Sfmt 8010 Y:SGML223080.XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-672

42、24 CFR Ch. IX (4111 Edition) 985.3 follows its written method to deter-mine reasonable rent and has docu-mented its determination that the rent to owner is reasonable in accordance with 982.507 for at least 98 percent of units sampled at the time of initial leasing, if there is any increase in the r

43、ent to owner and, at the HAP contract anniversary if there is a 5 percent de-crease in the published FMR in effect 60 days before the HAP contract anni-versary. 20 points. (ii) The PHAs SEMAP certification includes the statements in paragraph (b)(3)(i) of this section, except that the PHA documents

44、its determination of reasonable rent for only 80 to 97 per-cent of units sampled at initial leasing, if there is any increase in the rent to owner, and at the HAP contract anni-versary if there is a 5 percent decrease in the published FMR in effect 60 days before the HAP contract anniversary. 15 poi

45、nts. (iii) The PHAs SEMAP certification does not support the statements in ei-ther paragraph (b)(3)(i) or (b)(3)(ii) of this section. 0 points. (c) Determination of adjusted income. (1) This indicator shows whether, at the time of admission and annual reex-amination, the PHA verifies and cor-rectly

46、determines adjusted annual in-come for each assisted family and, where the family is responsible for utilities under the lease, the PHA uses the appropriate utility allowances for the unit leased in determining the gross rent. (24 CFR part 5, subpart F and 24 CFR 982.516) (2) HUD verification method

47、: The IA annual audit report covering the PHA fiscal year entered on the SEMAP cer-tification and on-site confirmatory re-view if performed. (3) Rating: (i) The PHAs SEMAP cer-tification states that, based on the PHAs quality control sample of tenant files, for at least 90 percent of families: (A) T

48、he PHA obtains third party verification of reported family annual income, the value of assets totalling more than $5,000, expenses related to deductions from annual income, and other factors that affect the deter-mination of adjusted income, and uses the verified information in deter-mining adjusted

49、 income, and/or docu-ments tenant files to show why third party verification was not available; (B) The PHA properly attributes and calculates allowances for any medical, child care, and/or disability assistance expenses; and (C) The PHA uses the appropriate utility allowances to determine gross rent for the unit leased. 20 points. (ii) The PHAs SEMAP certification includes the statements in paragraph (c)(3)(i) of this section, excep