1、231 PART 901Reserved PART 902PUBLIC HOUSING ASSESSMENT SYSTEM Subpart AGeneral Provisions Sec. 902.1 Purpose, scope, and general matters. 902.3 Definitions. 902.5 Applicability. 902.9 PHAS scoring. 902.11 PHAS performance designation. 902.13 Frequency of PHAS assessments. Subpart BPhysical Condition
2、 Indicator 902.20 Physical condition assessment. 902.21 Physical condition standards for pub-lic housingdecent, safe, and sanitary housing in good repair (DSS/GR). 902.22 Physical inspection of PHA projects. 902.24 Database adjustment. 902.25 Physical condition scoring and thresholds. 902.26 Physica
3、l Inspection Report. Subpart CFinancial Condition Indicator 902.30 Financial condition assessment. 902.33 Financial reporting requirements. 902.35 Financial condition scoring and thresholds. Subpart DManagement Operations Indicator 902.40 Management operations assessment. 902.43 Management operation
4、s performance standards. 902.44 Adjustment for physical condition and neighborhood environment. 902.45 Management operations scoring and thresholds. Subpart ECapital Fund Program Indicator 902.50 Capital Fund program assessment. 902.53 Capital Fund program scoring and thresholds. Subpart FPHAS Scori
5、ng 902.60 Data collection. 902.62 Failure to submit data. 902.64 PHAS scoring and audit reviews. 902.66 Withholding, denying, and rescinding designation. 902.68 Technical review of results of PHAS physical condition indicator. 902.69 PHA right of petition and appeal. Subpart GPHAS Incentives and Rem
6、edies 902.71 Incentives for high performers. 902.73 PHAs with deficiencies. 902.75 Troubled performers. 902.79 Verification and records. 902.81 Resident petitions for remedial ac-tion. 902.83 Sanctions for troubled performer PHAs. AUTHORITY: 42 U.S.C. 1437d(j), 42 U.S.C. 3535(d). SOURCE: 76 FR 10149
7、, Feb. 23, 2011, unless otherwise noted. Subpart AGeneral Provisions 902.1 Purpose, scope, and general matters. (a) Purpose. The purpose of the Public Housing Assessment System (PHAS) is to improve the delivery of services in public housing and enhance trust in the public housing system among pub-li
8、c housing agencies (PHAs), public housing residents, and the general pub-lic, by providing a management tool for effectively and fairly measuring the performance of a PHA in essential housing operations of projects, on a program-wide basis and individual project basis, and providing rewards for high
9、 performers and remedial require-ments for poor performers. (b) Scope. PHAS is a strategic meas-ure of the essential housing operations of projects and PHAs. PHAS does not evaluate the compliance of a project or PHA with every HUD-wide or program- specific requirement or objective. Al-though not spe
10、cifically evaluated through PHAS, PHAs are responsible for complying with nondiscrimination and equal opportunity requirements, including but not limited to those spec-ified in 24 CFR 5.105, for affirmatively furthering fair housing, requirements under section 504 of the Rehabilitation Act of 1973 (
11、29 U.S.C. 794), and require-ments of other federal programs under which the PHA is receiving assistance. A PHAs adherence to these require-ments will be monitored in accordance with the applicable program regula-tions and the PHAs Annual Contribu-tions Contract (ACC). (c) PHAS indicators. HUD will a
12、ssess and score the performance of projects and PHAs based on the indicators, which are more fully addressed in 902.9: Physical condition, financial condition, management operations, and the Capital Fund program. VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm 00241 Fmt 8010 Sfmt 8010 Y:S
13、GML223080.XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-232 24 CFR Ch. IX (4111 Edition) 902.3 (d) Assessment tools. HUD will make use of uniform and objective criteria for the physical inspection of projec
14、ts and PHAs and the financial assessment of projects and PHAs, and will use data from appropriate agency data systems to assess management operations. For the Capital Fund program indicator, HUD will use information provided in the electronic Line of Credit Control System (eLOCCS), the Public Housin
15、g Information Center (PIC), or their suc-cessor systems. On the basis of this data, HUD will assess and score the re-sults, advise PHAs of their scores, and identify low-scoring and poor-per-forming projects and PHAs so that these projects and PHAs will receive the appropriate attention and assist-a
16、nce. (e) Small PHAs. A PHA with fewer than 250 units that does not convert to asset management will be considered as one project by HUD. (f) HUDs scoring procedures will be published from time to time in the FEDERAL REGISTER for public comment. 902.3 Definitions. As used in this part: Act means the
17、U.S. Housing Act of 1937 (42 U.S.C. 1437 et seq.) Alternative management entity (AME) is a receiver, private contractor, pri-vate manager, or any other entity that is under contract with a PHA, under a management agreement with a PHA, or that is otherwise duly appointed or contracted (for example, b
18、y court order or agency action), to manage all or part of a PHAs operations. Assessed fiscal year is the PHA fiscal year that has been/is being assessed under PHAS. Assistant Secretary means the Assist-ant Secretary for Public and Indian Housing. Capital Fund-troubled refers to a PHA that does not m
19、eet the minimum pass-ing score of 5 points or 50 percent under the Capital Fund indicator. Corrective Action Plan means a plan, as provided in 902.73(a), that is devel-oped by a PHA that specifies the ac-tions to be taken, including timetables, that shall be required to correct defi-ciencies identif
20、ied under any of the PHAS indicators and subindicators, and identified as a result of a PHAS as-sessment, when a memorandum of agreement (MOA) is not required. Criticality means one of five levels that reflect the relative importance of the deficiencies for an inspectable item. (1) Based on the impo
21、rtance of the deficiency, reflected in its criticality value, points are deducted from the score for an inspectable area. Criticality Level Critical 5 Very Important . 4 Important 3 Contributes 2 Slight Contribution . 1 (2) The Item Weights and Criticality Levels document lists all deficiencies with
22、 their designated levels, which vary from 1 to 5, with 5 as the most critical, and the point values assigned to them. Days mean calendar days, unless oth-erwise specified. Decent, safe, sanitary housing and in good repair (DSS/GR) is HUDs standard for acceptable basic housing conditions and the leve
23、l to which a PHA is re-quired to maintain its public housing. Deficiency means any finding or de-termination that requires corrective action, or any score below 60 percent of the available points for the physical condition, financial condition, or man-agement operations indicators, and any score bel
24、ow 50 percent for the Capital Fund indicator. In the context of phys-ical condition and physical inspection in subpart B of this part, deficiency means a specific problem, as described in the Dictionary of Deficiency Defini-tions, such as a hole in a wall or a dam-aged refrigerator in the kitchen th
25、at can be recorded for inspectable items. Dictionary of Deficiency Definitions means the Dictionary of Deficiency Definitions document that is utilized in the PHAS Physical Condition Scor-ing procedure, and which contains spe-cific definitions of each severity level for deficiencies under this subpa
26、rt. Direct Funded RMC (DFRMC) means a Resident Management Corporation to which HUD directly provides operating and capital assistance under the provi-sions of 24 CFR 964.225(h). Inspectable areas (or area) mean any of the five major components of public VerDate Mar2010 10:07 May 20, 2011 Jkt 223080
27、PO 00000 Frm 00242 Fmt 8010 Sfmt 8010 Y:SGML223080.XXX 223080erowe 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 902.5 housing that are inspected, which are: Site, build
28、ing exteriors, building sys-tems, dwelling units, and common areas. Inspectable item means the individual parts, such as walls, kitchens, bath-rooms, and other things, to be in-spected in an inspectable area. The number of inspectable items varies for each area. Weights are assigned to each item as
29、shown in the Item Weights and Criticality Levels document. Item Weights and Criticality Levels doc-ument means the Item Weights and Criticality Levels document that is utilized in the Physical Condition scor-ing procedure, and which contains a listing of the inspectable items, item weights, observab
30、le deficiencies, criti-cality levels and values, and severity levels and values that apply to this subpart. Memorandum of Agreement (MOA) is defined in 902.75(b). Normalized weights mean weights ad-justed to reflect the inspectable items or areas that are present to be in-spected. Resident Managemen
31、t Corporation (RMC) is defined in 24 CFR 964.7. Score for a project under the physical condition inspection means a number on a scale of 0 to 100 that reflects the physical condition of a project, in-spectable area, or subarea. To record a health or safety deficiency, a specific designation (such as
32、 a lettera, b, or c) is added to the project score that high-lights that a health or safety defi-ciency (or deficiencies) exists. If smoke detectors are noted as inoperable or missing, another designation (such as an asterisk (*) is added to the project score. Although inoperable or missing smoke de
33、tectors do not reduce the score, they are fire safety hazards and are included in the Notification of Exi-gent and Fire Safety Hazards Observed Deficiency list that the inspector gives the PHAs project representative. Severity under the physical condition inspection means one of three levels, level
34、1 (minor), level 2 (major), and level 3 (severe), that reflect the extent of the damage or problem associated with each deficiency. The Item Weights and Criticality Levels document shows the severity levels for each deficiency. Based on the severity of each defi-ciency, the score is reduced. Points
35、de-ducted are calculated as the product of the item weight and the values for criticality and severity. For specific definitions of each severity level, see the Dictionary of Deficiency Defini-tions. Statistically valid sample refers to a scientific sampling performed in a rig-orous, random manner.
36、Subarea means an inspectable area for one building. For example, if a project has more than one building, each inspectable area for each building in the project is treated as a subarea. Unit-weighted average means the aver-age of the PHAs individual indicator scores, weighted by the number of units
37、in each project, divided by the total number of units in all of the projects of the PHA. In order to com-pute a unit-weighted average, an indi-vidual project score for a particular in-dicator is multiplied by the number of units in each project to determine a weighted value. For example, for a PHA w
38、ith two projects, one with 200 units and a score of 90, and the other with 100 units and a score of 60, the unit-weighted average score for the in-dicator would be (200 90 + 100 60)/300 = 80. 902.5 Applicability. (a) PHAs, RMCs, AMEs. This part ap-plies to PHAs, Resident Management Corporations (RMC
39、s), and AMEs. This part is also applicable to RMCs that re-ceive direct funding from HUD in ac-cordance with section 20 of the 1937 Act (DFRMCs). (1) Scoring of RMCs and AMEs. (i) RMCs and DFRMCs will be assessed and issued their own numeric scores under PHAS based on the public hous-ing or portions
40、 of public housing that they manage and the responsibilities they assume that can be scored under PHAS. References in this part to PHAs include RMCs, unless stated otherwise. References in this part to RMCs in-clude DFRMCs, unless stated other-wise. (ii) AMEs are not issued PHAS scores. The performa
41、nce of the AME contributes to the PHAS score of the project(s)/PHA(s) for which they as-sumed management responsibilities. VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm 00243 Fmt 8010 Sfmt 8010 Y:SGML223080.XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reprod
42、uction or networking permitted without license from IHS-,-,-234 24 CFR Ch. IX (4111 Edition) 902.9 (2) ACC. The ACC makes a PHA le-gally responsible for all public housing operations, except where DFRMC as-sumes management operations. (i) Because the PHA and not the RMC or AME is ultimately responsi
43、ble to HUD under the ACC, the PHAS score of a PHA will be based on all of the projects covered by the ACC, including those with management operations as-sumed by an RMC or AME (including a court-ordered or administrative receiv-ership agreement, if applicable). (ii) A PHAs PHAS score will not be bas
44、ed on projects managed by a DF RMC. (3) This part does not apply to Mov-ing-to-Work (MTW) agencies that are specifically exempted in their grant agreement. (b) Implementation of PHAS. The regu-lations in this part are applicable to PHAs beginning with the first fiscal year end date after the effecti
45、ve date of this rule, and thereafter. 902.9 PHAS scoring. (a) Indicators and subindicators. Each PHA will receive an overall PHAS score, rounded to the nearest whole number, based on the four indicators: Physical condition, financial condi-tion, management operations, and the Capital Fund program. E
46、ach of these indicators contains subindicators, and the scores for the subindicators are used to determine a single score for each of these PHAS indicators. Indi-vidual project scores are used to deter-mine a single score for the physical condition, financial condition, and management operations ind
47、icators. The Capital Fund program indicator score is entity-wide. (b) Overall PHAS score and indicators. The overall PHAS score is derived from a weighted average of score values for the four indicators, as follows: (1) The physical condition indicator is weighted 40 percent (40 points) of the overa
48、ll PHAS score. The score for this indicator is obtained as indicated in subpart B of this part. (2) The financial condition indicator is weighted 25 percent (25 points) of the overall PHAS score. The score for this indicator is obtained as indicated in subpart C of this part. (3) The management oper
49、ations indi-cator is weighted 25 percent (25 points) of the overall PHAS score. The score for this indicator is obtained as indi-cated in subpart D of this part. (4) The Capital Fund program indi-cator is weighted 10 percent (10 points) of the overall PHAS score for all Cap-ital Fund program grants for which fund balances remain during the as-sessed fiscal year. The score for this in-dicator is obtained as indicated in sub-part E of this par
