1、252 24 CFR Ch. IX (4111 Edition) 902.79 902.79 Verification and records. All project and PHA certifications, year-end financial information, and supporting documentation are subject to HUD verification at any time, in-cluding review by an independent audi-tor. All PHAs must retain supporting documen
2、ts for any certifications and for asset management reviews for at least 3 years. Failure to maintain and provide supporting documentation for a period of 3 years for any indicator(s), subindicator(s), or other methods used to assess performance shall result in a score of zero for the indicator(s) or
3、 sub-indicator(s), and a lower overall PHAS score for the applicable assessment pe-riod. 902.81 Resident petitions for reme-dial action. Residents of a PHA designated as troubled pursuant to section 6(j)(2)(A) of the Act (42 U.S.C. 1437d(j)(2)(A) may petition HUD in writing to take one or more of th
4、e actions referred to in sec-tion 6(j)(3)(A) of the Act (42 U.S.C. 1437d(j)(3)(A). HUD will consider any petition from a group of residents to-taling at least 20 percent of the PHAs residents, or from an organization or organizations of residents whose mem-bership equals at least 20 percent of the P
5、HAs residents. HUD shall respond to such petitions in a timely manner with a written description of the actions, if any, HUD plans to take and, where ap-plicable, the reasons why such actions differ from the course proposed by the residents. Nothing in this section shall limit HUDs discretion to det
6、ermine whether a substantial default has oc-curred or to select the appropriate intervention upon such determination. 902.83 Sanctions for troubled per-former PHAs. (a) If a troubled performer PHA fails to make substantial improvement, as set forth in 902.75(d), HUD shall: (1) In the case of a troub
7、led per-former PHA with 1,250 or more units, declare substantial default in accord-ance with 907.3(b)(3) of this chapter and petition for the appointment of a receiver pursuant to section 6(j)(3)(A)(ii) of the Act (42 U.S.C. 1437d(j)(3)(A)(ii); or (2) In the case of a troubled per-former PHA with fe
8、wer than 1,250 units, declare substantial default in ac-cordance with 907.3(b)(3) of this chap-ter and either petition for the appoint-ment of a receiver pursuant to section 6(j)(3)(A)(ii) of the Act (42 U.S.C. 1437d(j)(3)(A)(ii), or take possession of the PHA (including all or part of any project o
9、r program of the PHA) pursu-ant to section 6(j)(3)(A)(iv) of the Act (42 U.S.C. 1437d(j)(3)(A)(iv), and ap-point, on a competitive or noncompeti-tive basis, an individual or entity as an administrative receiver to assume the responsibilities of HUD for the admin-istration of all or part of the PHA (
10、in-cluding all or part of any project or program of the PHA). (3) In the case of substantial default by a troubled performer PHA, nothing in this section shall be construed to limit the courses of action available to HUD under this part, 24 CFR part 907, or section 6(j)(3)(A) of the Act (42 U.S.C. 1
11、437d(j)(3)(A) for any other sub-stantial default by a PHA. (b) If a troubled performer PHA fails to execute or meet the requirements of an MOA in accordance with 902.75, other than as specified in paragraph (a) of this section, the PHA may be deemed to be in substantial default by HUD and any remedy
12、 available there-fore may be invoked in the discretion of HUD. PART 903PUBLIC HOUSING AGENCY PLANS Sec. Subpart ADeconcentration of Poverty and Fair Housing in Program Admissions 903.1 What is the purpose of this subpart? 903.2 With respect to admissions, what must a PHA do to deconcentrate poverty
13、in its developments and comply with fair hous-ing requirements? Subpart BPHA Plans 903.3 What is the purpose of this subpart? 903.4 What are the public housing agency plans? 903.5 When must a PHA submit the plans to HUD? 903.6 What information must a PHA provide in the 5-Year Plan? 903.7 What inform
14、ation must a PHA provide in the Annual Plan? VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm 00262 Fmt 8010 Sfmt 8010 Y:SGML223080.XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for Resale-,-,-253 Asst. Secry., for Public and Indian Housing, HUD 903.2 903.9 May HUD request a
15、dditional informa-tion in the Annual Plan of a troubled PHA? 903.11 Are certain PHAs eligible to submit a streamlined Annual Plan? 903.12 What are the streamlined Annual Plan requirements for small PHAs? 903.13 What is a Resident Advisory Board and what is its role in development of the Annual Plan?
16、 903.15 What is the relationship of the public housing agency plans to the Consolidated Plan? 903.17 What is the process for obtaining pub-lic comment on the plans? 903.19 When is the 5-Year Plan or Annual Plan ready for submission to HUD? 903.21 May the PHA amend or modify a plan? 903.23 What is th
17、e process by which HUD re-views, approves, or disapproves an An-nual Plan? 903.25 How does HUD ensure PHA compli-ance with its plans? AUTHORITY: 42 U.S.C. 1437c; 42 U.S.C. 3535(d). SOURCE: 65 FR 81222, Dec. 22, 2000, unless otherwise noted. Subpart ADeconcentration of Poverty and Fair Housing in Pro
18、gram Admissions 903.1 What is the purpose of this sub-part? The purpose of this subpart is to specify the process which a Public Housing Agency, as part of its annual planning process and development of an admissions policy, must follow in order to develop and apply a policy that provides for deconc
19、entration of poverty and income mixing in certain public housing developments and to af-firmatively further fair housing in ad-missions. References to the 1937 Act in this part refer to the U.S. Housing Act of 1937 (42 U.S.C. 1437 et seq.) 903.2 With respect to admissions, what must a PHA do to deco
20、ncentrate poverty in its devel-opments and comply with fair hous-ing requirements? (a) General. The PHAs admission pol-icy includes the PHAs policy designed to promote deconcentration of poverty and income mixing in accordance with section 16(a)(3)(B) of the 1937 Act (42 U.S.C. 1437n), which is subm
21、itted to HUD as part of the PHA Annual Plan process. Deconcentration of poverty and income mixing is promoted by a policy that provides for bringing higher income tenants into lower income de-velopments and lower income tenants into higher income developments. (1) The provisions of this section appl
22、y to applicants to and residents seeking voluntary transfers within cov-ered public housing developments (covered developments as specified in paragraph (b) of this section). (2) The statutory requirement to de-sign a policy to provide for deconcentration and income mixing is not to be construed to
23、impose or re-quire any specific income or racial quotas for any development or develop-ments. (b) Applicability of deconcentration of poverty and income mixing requirements (1) Developments subject to deconcentration of poverty and income mixing requirements. The deconcentration requirements of this
24、 subpart apply to general occupancy, family public housing developments, excluding those developments listed in paragraph (b)(2) of this section. Devel-opments to which this subpart is appli-cable are referred to as covered devel-opments. (2) Developments not subject to deconcentration of poverty an
25、d income mixing requirements. This subpart does not apply to the following public hous-ing developments: (i) Public housing developments oper-ated by a PHA with fewer than 100 pub-lic housing units; (ii) Public housing developments op-erated by a PHA which house only el-derly persons or persons with
26、 disabil-ities, or both; (iii) Public housing developments op-erated by a PHA which consist of only one general occupancy, family public housing development; (iv) Public housing developments ap-proved for demolition or for conversion to tenant-based assistance; and (v) Public housing developments wh
27、ich include public housing units op-erated in accordance with a HUD-ap-proved mixed-finance plan using HOPE VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm 00263 Fmt 8010 Sfmt 8010 Y:SGML223080.XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or netwo
28、rking permitted without license from IHS254 24 CFR Ch. IX (4111 Edition) 903.2 VI or public housing funds awarded be-fore the effective date of this rule, pro-vided that the PHA certifies (and in-cludes reasons for the certification) as part of its PHA Plan (which may be ac-complished either in the
29、annual Plan submission or as a significant amend-ment to its PHA Plan) that exemption from the regulation is necessary to honor an existing contractual agree-ment or be consistent with a mixed fi-nance plan, including provisions re-garding the incomes of public housing residents to be admitted to th
30、at devel-opment, which has been developed in consultation with residents with rights to live at the affected development and other interested persons. (c) Deconcentration of poverty and in-come mixing(1) Steps for implementa-tion. To implement the statutory re-quirement to deconcentrate poverty and
31、provide for income mixing in cov-ered public housing developments, a PHA must comply with the following steps: (i) Step 1. A PHA shall determine the average income of all families residing in all the PHAs covered developments. A PHA may use median income, in-stead of average income, provided that th
32、e PHA includes a written expla-nation in its PHA Annual Plan justi-fying use of median income in the PHAs Annual Plan. (ii) Step 2. A PHA shall determine the average income of all families residing in each covered development. In deter-mining average income for each devel-opment, a PHA has the optio
33、n of ad-justing its income analysis for unit size in accordance with procedures pre-scribed by HUD. (iii) Step 3. A PHA shall determine whether each of its covered develop-ments falls above, within or below the Established Income Range. The Estab-lished Income Range is from 85 to 115 percent (inclus
34、ive) of the average fam-ily income (the PHA-wide average in-come for covered developments as de-fined in Step 1), except that the upper limit shall never be less than the in-come at which a family would be de-fined as an extremely low income fam-ily under 24 CFR 5.603(b). (iv) Step 4. A PHA with cov
35、ered devel-opments having average incomes out-side the Established Income Range may explain or justify the income pro-file for these developments as being consistent with and furthering two sets of goals: the goals of deconcentration of poverty and income mixing as speci-fied by the statute (bringin
36、g higher in-come tenants into lower income devel-opments and vice versa); and the local goals and strategies contained in the PHA Annual Plan. Elements of expla-nations or justifications that may sat-isfy these requirements may include, but shall not be limited to the fol-lowing: (A) The covered dev
37、elopment or de-velopments are subject to consent de-crees or other resident selection and admission plans mandated by court ac-tion; (B) The covered development or de-velopments are part of PHAs pro-grams, strategies or activities specifi-cally authorized by statute, such as mixed-income or mixed-fi
38、nance devel-opments, homeownership programs, self-sufficiency strategies, or other strategies designed to deconcentrate poverty, promote income mixing in public housing, increase the incomes of public housing residents, or the income mix is otherwise subject to individual review and approval by HUD;
39、 (C) The covered developments or de-velopments size, location, and/or con-figuration promote income deconcentration, such as scattered site or small developments; (D) The income characteristics of the covered development or developments are sufficiently explained by other cir-cumstances. (v) Step 5.
40、 Where the income profile for a covered development is not ex-plained or justified in the PHA Annual Plan submission, the PHA shall include in its admission policy its specific pol-icy to provide for deconcentration of poverty and income mixing in applica-ble covered developments. Depending on local
41、 circumstances, a PHAs deconcentration policy (which may be undertaken in conjunction with other efforts such as efforts to increase self- sufficiency or current residents) may include but is not limited to providing for one or more of the following ac-tions: (A) Providing incentives designed to enc
42、ourage families with incomes below VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm 00264 Fmt 8010 Sfmt 8010 Y:SGML223080.XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for Resale-,-,-255 Asst. Secry., for Public and Indian Housing, HUD 903.2 the Established Income Range to a
43、c-cept units in developments with in-comes above the Established Income Range, or vice versa, including rent in-centives, affirmative marketing plans, or added amenities; (B) Targeting investment and capital improvements toward developments with an average income below the Es-tablished Income Range
44、to encourage applicant families whose income is above the Established Income Range to accept units in those developments; (C) Establishing a preference for ad-mission of working families in develop-ments below the Established Income Range; (D) Skipping a family on the waiting list to reach another f
45、amily in an ef-fort to further the goals of the PHAs deconcentration policy; (E) Providing such other strategies as permitted by statute and deter-mined by the PHA in consultation with the residents and the community, through the PHA Annual Plan process, to be responsive to the local context and the
46、 PHAs strategic objectives. (2) Determination of compliance with deconcentration requirement. HUD shall consider a PHA to be in compliance with this subpart if: (i) The PHAs income analysis shows that the PHA has no general occupancy family developments to which the deconcentration requirements appl
47、y; that is, the average incomes of all cov-ered developments are within the Es-tablished Income Range; (ii) The PHA has covered develop-ments with average incomes above or below the Established Income Range and the PHA provides a sufficient ex-planation in its Annual Plan that sup-ports that the inc
48、ome mix of such de-velopment or developments is con-sistent with and furthers the goal of deconcentration of poverty and income mixing and also the locally determined goals of the PHAs Annual and Five Year Plans, and the PHA therefore need not take further action to deconcentrate poverty and mix in-
49、comes; or (iii) The PHAs deconcentration pol-icy provides specific strategies the PHA will take that can be expected to promote deconcentration of poverty and income mixing in developments with average incomes outside of the Established Income Range. (3) Right of return. If a PHA has pro-vided that a family that resided in a covered public housing development has a right to admission to a public housing unit in that development after revitalization, the requirements
