1、231 PART 901PUBLIC HOUSING MAN-AGEMENT ASSESSMENT PRO-GRAM Sec. 901.1 Purpose, program scope and applica-bility. 901.5 Definitions. 901.10 Indicator #1, vacancy rate and unit turnaround time. 901.15 Indicator #2, modernization. 901.20 Indicator #3, rents uncollected. 901.25 Indicator #4, work orders
2、. 901.30 Indicator #5, annual inspection of units and systems. 901.35 Indicator #6, financial management. 901.40 Indicator #7, resident services and community building. 901.45 Indicator #8, security. 901.100 Data collection. 901.105 Computing assessment score. 901.110 PHA request for exclusion or mo
3、di-fication of an indicator or component. 901.115 PHA score and status. 901.120 State/Area Office functions. 901.125 PHA right of appeal. 901.130 Incentives. 901.135 Memorandum of Agreement. 901.140 Removal from troubled status and mod-troubled status. 901.145 Improvement Plan. 901.150 PHAs troubled
4、 with respect to the program under section 14 (mod-troubled PHAs). 901.155 PHMAP public record. 901.200 Events or conditions that constitute substantial default. 901.205 Notice and response. 901.210 Interventions. 901.215 Contracting and funding. 901.220 Resident participation in competi-tive propos
5、als to manage the housing of a PHA. 901.225 Resident petitions for remedial ac-tion. 901.230 Receivership. 901.235 Technical assistance. AUTHORITY: 42 U.S.C. 1437d(j); 42 U.S.C. 3535(d). SOURCE: 61 FR 68933, Dec. 30, 1996, unless otherwise noted. 901.1 Purpose, program scope and applicability. (a) P
6、urpose. This part establishes the Public Housing Management Assess-ment Program (PHMAP) to implement and augment section 6(j) of the 1937 Act. PHMAP provides policies and pro-cedures to identify public housing agency (PHA), resident management corporation (RMC), and alternative management entity (AM
7、E) manage-ment capabilities and deficiencies, rec-ognize high-performing PHAs, des-ignate criteria for defining troubled PHAs and PHAs that are troubled with respect to the program under section 14 (Public Housing Modernization Pro-gram), and improve the management practices of troubled PHAs and mod
8、- troubled PHAs. (b) Program scope. The PHMAP re-flects only one aspect of PHA oper-ations, i.e., the results of its manage-ment performance in specific program areas. The PHMAP should not be viewed by PHAs, the Department or other interested parties as an all-inclu-sive and encompassing view of ove
9、rall PHA operations. When viewing overall PHA operations, other criteria, includ-ing but not limited to, the quality of a PHAs housing stock, compliance issues, Fair Housing and Equal Oppor-tunity issues, Board knowledge and oversight of PHA operation, etc., even though not covered under the PHMAP,
10、are necessary in order to determine the adequacy of overall PHA operations. The PHMAP can never be designed to be the sole method of viewing a PHAs overall operations. A PHA should not manipulate the PHMAP system in the short-term in order to achieve a higher PHMAP score, thereby delaying or ne-gati
11、ng long-term improvement. Mak-ing a correct and viable long-term deci-sion (doing the right thing) may hurt a PHA in the short-term (i.e., lower PHMAP score), but will result in im-proved housing stock and better over-all management of a PHA over the long-term and a higher sustainable PHMAP score. (
12、c) Applicability. (1)(i) The provisions of this part remain applicable to PHAs and RMC/AMEs as described in para-graph (c)(1)(ii) until September 30, 1999. (ii) The provisions of this part apply to PHAs and RMC/AMEs as noted in the sections of this part. The manage-ment assessment of an RMC/AME dif-
13、fers from that of a PHA. Because an RMC/AME enters into a contract with a PHA to perform specific management functions on a development-by-devel-opment or program basis, and because the scope of the management that is undertaken varies, not every indicator that applies to a PHA would be applica-ble
14、to each RMC/AME. VerDate Mar2010 07:49 May 10, 2010 Jkt 220080 PO 00000 Frm 00241 Fmt 8010 Sfmt 8010 Y:SGML220080.XXX 220080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-232 24 CFR Ch. IX (4110 Edition) 901.5 (2) Due
15、 to the fact that the PHA and not the RMC/AME is ultimately re-sponsible to the Department under the ACC, a PHAs score will be based on all of the developments covered by the ACC, including those with management functions assumed by an RMC or AME (pursuant to a court ordered receiver-ship agreement,
16、 if applicable). This is necessary because of the limited nature of an RMC/AMEs management func-tions and the regulatory and contrac-tual relationships among the Depart-ment, PHAs and RMC/AMEs. (3) A significant feature of RMC man-agement is that 24 CFR 964.225 (d) and (h) provide that a PHA may ent
17、er into a management contract with an RMC, but a PHA may not contract for assumption by the RMC of the PHAs underlying responsibilities to the De-partment under the Annual Contribu-tions Contract (ACC). (4) When a PHAs management func-tions have been assumed by an AME: (i) If the AME assumes only a
18、portion of the PHAs management functions, the provisions of this part that apply to RMCs apply to the AME (pursuant to a court ordered receivership agree-ment, if applicable); or (ii) If the AME assumes all, or sub-stantially all, of the PHAs manage-ment functions, the provisions of this part that a
19、pply to PHAs apply to the AME (pursuant to a court ordered re-ceivership agreement, if applicable). (5) To ensure quality management re-sults from a contract between an AME and a PHA, or between an AME and HUD, minimum performance criteria that relate to the PHMAP indicators, as applicable, should b
20、e included in such contract. Failure to meet the per-formance criteria would be a basis for termination of the contract. However, even in the absence of explicit contrac-tual provisions, this part applies to AMEs in accordance with paragraph (b)(4) of this section, above. 61 FR 68933, Dec. 30, 1996,
21、 as amended at 63 FR 46617, Sept. 1, 1998 901.5 Definitions. Actual vacancy rate is the vacancy rate calculated by dividing the total number of vacancy days in the fiscal year by the total number of unit days available in the fiscal year. Adjusted vacancy rate is the vacancy rate calculated after ex
22、cluding the va-cancy days that are exempted for any of the eligible reasons. It is calculated by dividing the total number of ad-justed vacancy days in the fiscal year by the total number of unit days avail-able in the fiscal year. Alternative management entity (AME) is a receiver, private contracto
23、r, pri-vate manager, or any other entity that is under contract with a PHA, or that is otherwise duly appointed or con-tracted (for example, by court order, pursuant to a court ordered receiver-ship agreement, if applicable, or agen-cy action), to manage all or part of a PHAs operations. Depending u
24、pon the scope of PHA management functions assumed by the AME, in accordance with 901.1(b)(2), the AME is treated as a PHA or an RMC for purposes of this part and, as appropriate, the terms PHA and RMC include AME. Assessed fiscal year is the PHA fiscal year that has been reviewed for man-agement per
25、formance using the PHMAP indicators. Unless otherwise indicated, the assessed fiscal year is the immediate past fiscal year of a PHA. Assistant Secretary means the Assist-ant Secretary for Public and Indian Housing of the Department. Available units are dwelling units, (oc-cupied or vacant) under a
26、PHAs An-nual Contributions Contract, that are available for occupancy, after exclud-ing or adjusting for units approved for non-dwelling use, employee-occupied units, and vacant units approved for deprogramming (units approved for demolition, disposition or units that have been combined). Average nu
27、mber of days for non-emer-gency work orders to be completed is cal-culated by dividing the total of the: (1) Number of days in the assessed fiscal year it takes to close active non- emergency work orders carried over from the previous fiscal year; (2) The number of days it takes to complete non-emer
28、gency work orders issued and closed during the assessed fiscal year; and (3) The number of days all active non-emergency work orders are open in the assessed fiscal year, but not com-pleted, by the total number of non- VerDate Mar2010 07:49 May 10, 2010 Jkt 220080 PO 00000 Frm 00242 Fmt 8010 Sfmt 80
29、10 Y:SGML220080.XXX 220080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-233 Asst. Secry., for Public and Indian Housing, HUD 901.5 emergency work orders used in the cal-culation of paragraphs (1), (2) and (3), of thi
30、s definition. Average turnaround time is the annual average of the total number of turn-around days between the latter of the legal expiration date of the immediate past lease or the actual move-out date of the former tenant (whenever that occurred, including in some previous fiscal year) and the da
31、te a new lease takes effect. Each time an individual unit is re-occupied (turned around) dur-ing the fiscal year, the turnaround days for that unit shall be counted in the turnaround time. Average turn-around time is calculated by dividing the total turnaround days for all units re-occupied during t
32、he assessed fiscal year by the total number of units re- occupied during the assessed fiscal year. Cash reserve is the amount of cash available for operations at the end of an annual reporting period after all necessary expenses of a PHA or devel-opment have been paid or funds have been set-aside fo
33、r such payment. The cash reserve computation takes into consideration both short-term ac-counts receivable and accounts pay-able. Confirmatory review is an on-site re-view for the purposes of State/Area Of-fice verification of the performance level of a PHA, the accuracy of the data certified to by
34、a PHA, and the ac-curacy of the data derived from State/ Area Office files. Correct means to improve perform-ance in an indicator to a level of grade C or better. Cyclical work orders are work orders issued for the performance of routine maintenance work that is done in the same way at regular inter
35、vals. Exam-ples of cyclical work include, but are not limited to, mopping hallways; picking up litter; cleaning a trash com-pactor; changing light bulbs in an entryway; etc. (Cyclical work orders should not be confused with preventive maintenance work orders.) Deficiency means any grade below C in a
36、n indicator or component. Down time is the number of calendar days a unit is vacant between the later of the legal expiration date of the im-mediate past lease or the actual move- out date of the former resident, and the date the work order is issued to main-tenance. Dwelling rent refers to the resi
37、dent dwelling rent charges reflected in the monthly rent roll(s) and excludes util-ity reimbursements, retroactive rent charges, and any other charges not spe-cifically identified as dwelling rent, such as maintenance charges, excess utility charges and late charges. Dwelling rent to be collected me
38、ans dwelling rent owed by residents in pos-session at the beginning of the assessed fiscal year, plus dwelling rent charged to residents during the assessed fiscal year. Dwelling rent uncollected means un-paid resident dwelling rent owed by any resident in possession during the assessed fiscal year,
39、 but not collected by the last day of the assessed fiscal year. Dwelling unit is a unit that is either leased or available for lease to eligible low-income residents. Effective lease date is the date when the executed lease contract becomes ef-fective and rent is due and payable and all other provis
40、ions of the lease are en-forceable. Emergency means physical work items that pose an immediate threat to life, health, safety, or property, or that are related to fire safety. Emergency status abated means that an emergency work order is either fully completed, or the emergency con-dition is tempora
41、rily eliminated and no longer poses an immediate threat. If the work cannot be completed, emer-gency status can be abated by transfer-ring the resident away from the emer-gency situation. Emergency work order is a work order, from any source, that involves a cir-cumstance that poses an immediate thr
42、eat to life, health, safety or prop-erty, or that is related to fire safety. Employee occupied units refers to units that are occupied by employees who are required to live in public hous-ing as a condition of their job, rather than the occupancy being subject to the normal resident selection proces
43、s. HQS means Housing Quality Stand-ards as set forth at 982.401 of this title, except that 982.401(j) of this title VerDate Mar2010 07:49 May 10, 2010 Jkt 220080 PO 00000 Frm 00243 Fmt 8010 Sfmt 8010 Y:SGML220080.XXX 220080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction
44、or networking permitted without license from IHS-,-,-234 24 CFR Ch. IX (4110 Edition) 901.5 does not apply and instead part 35, sub-parts A, B, L, and R of this title apply. Improvement Plan is a document de-veloped by a PHA, specifying the ac-tions to be taken, including timetables, that may be req
45、uired to correct defi-ciencies where the grade for an indi-cator is a grade D or E, and shall be re-quired to correct deficiencies of failed indicators, identified as a result of the PHMAP assessment when an MOA is not required. Indicators means the major cat-egories of PHA management functions that
46、 are examined under this program for assessment purposes. The list of in-dividual indicators and the way they are graded is provided in 901.10 through 901.45. Lease up time is the number of cal-endar days between the time the repair of a unit is completed and a new lease takes effect. Local occupanc
47、y/housing codes are the minimum standards for human occu-pancy, if any, as defined by the local ordinance(s) of the jurisdiction in which the housing is located. Maintenance plan is a comprehensive annual plan of a PHAs maintenance operation that contains the fiscal years estimated work schedule and
48、 which is supported by a staffing plan, contract schedule, materials and pro-curement plan, training, and approved budget. The plan should establish a strategy for meeting the goals and time frames of the facilities manage-ment planning and execution, capital improvements, utilities, and energy cons
49、ervation activities. Major systems include, but are not limited to, structural/building enve-lopes which include roofing, walls, win-dows, hardware, flashing and caulking; mechanical systems which include heating, ventilation, air conditioning, plumbing, drainage, underground utili-ties (gas, electrical and water), and fuel storage tanks; electrical systems which include underground systems, above ground systems, elevators, emergency generators, door bells, electroni
