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HomeMy WebLinkAboutBack-Up from Law DeptAUTHENTICATED U.S. GOVERNMENT INFORMATION GPO Asst. Seery., for Public and Indian Housing, HUD §903.7 determines that such waiver is nec- essary for the effective implementation of this part. § 903.5 When must a PHA submit the plans to HUD? (a) 5-Year Plan. (1) The first PHA fis- caI year that is covered by the require- ments of this part as amended on De- cember 22, 2000, is the PHA fiscal year that begins October 2001. This 5-Year Plan submitted by a PHA must be sub- mitted for the 5-year period beginning October 1, 2001. (2) For all PHAs, the first 5-Year Plans are due 75 clays before the com- mencement of their fiscal year. (3) For all PHAs, after submission of their first 5-Year Plan, all subsequent 5-Year Plans must be submitted once every 5 PHA fiscal years, no later than 75 days before the commencement of the PHA's fiscal year. However, HUD may require that half of all PHAs with less than 250 public housing units sub- mit their 5-Year Plan one fiscal year in advance (in the fourth PHA fiscal year rather than the fifth PHA fiscal year). (4) PHAs may choose to update their 5-Year Plans every year as good man- agement practice and must update their 5-Year Plans that were submitted for PHA fiscal years beginning before October 1, 2001, to comply with the re- quirements of this part as amended on December 22, 2000, at the time they submit their next Annual Plan for fis- cal years beginning on or after October 1, 2001. PHAs must explain any sub- stantial deviation from their 5-Year Plans in their Annual Plans, (Substan- tial deviation is determined by the PHA in accordance with criteria pro- vided by the PHA in its Annual Plan in accordance with §903.7(r).) (b) The Annual Plan.. (1) The first PHA fiscal year that is covered by the requirements of this part as amended on December 22, 2000 is the PHA fiscal year that begins October 1, 2001. (2) For all PHAs, the first Annual Plans are due 75 days before the com- mencement of their fiscal year. (3) For all PHAs, after submission of the first Annual Plan, all subsequent Annual Plans will be due no later than 75 days before the commencement of their fiscal year. [64 FR 56862, Oct. 21, 1999, as amended at 66 FR 8898, Mar. 7, 2001; 68 FR 37671, June 24, 2003] § 903.6 What information must a PHA provide in the 5-Year Plan? (a) A PHA must include in its 5-Year P .. statement of: ie PHA's mission for serving the needs of low-income, very low-income and extremely low-income families in t A's jurisdiction; and he PHA's goals and objectives th enable the PHA to serve the needs of the families identified in the PHA's Annual Plan. For HUD, the PHA and the public to better measure the suc- cess of the PHA in meeting its goals and objectives, the PHA must adopt quantifiable goals and objectives for se' ng those needs wherever possible. 0(3) A statement about goals, activi- ti , objectives, policies, or programs that will enable a PHA to serve the needs of child and adult victims of do- mestic violence, dating violence, sex- ual assault, or stalking. (b) After submitting its first 5-Year Plan, a PHA in its succeeding 5-Year Plans, must address: (1) The PHA's mission, goals and ob- jectives for the next 5 years; and (2) The progress the PHA has made in meeting the goals and objectives de- scribed in the PHA's previous 5-Year Plan. [65 FR 81222, Dec. 22, 2000, as amended at 73 FR 72344, Nov. 28, 2008; 75 FR 66262, Oct. 27, 2010] § 903.7 What information must a PHA provide in the Annual Plan? With the exception of the first An- nual Plan submitted by a PHA, the An- nual Plan must include the informa- tion provided in this section. HUD will advise PHAs by separate notice, suffi- ciently in advance of the first Annual Plan due date, of the information, de- scribed in this section that must be part of the first Annual Plan submis- sion, and any additional instructions or directions that may be necessary to prepare and submit the first Annual Plan. The information described in this section applies to both public housing and tenant -based assistance, except 257 § 903.7 where specifically stated otherwise. The information that the PHA must submit for HUD approval under the An- nual Plan includes the discretionary policies of the various plan components or elements (for example, rent policies) and not the statutory or regulatory re- quirements that govern these plan components and that provide no discre- tion on the part of the PHA in imple- mentation of the requirements. The PHA's Annual Plan must be consistent with the goals and objectives of the PHA's 5-Year Plan. (a) A statement of housing needs. (1) This statement must address the hous- ing needs of the low-income and very low-income families who reside in the jurisdiction served by the PHA, and other families who are on the public housing and Section 8 tenant -based as- sistance waiting lists, including: (i) Families with incomes below 30 percent of area median (extremely low- income families); (ii) Elderly families and families with disabilities; (iii) Households of various races and ethnic groups residing in the jurisdic- tion or on the waiting list. (2) A'PHA must make reasonable ef- forts to identify the housing needs of each of the groups listed in paragraph (a)(1) of this section based on informa- tion provided by the applicable Con- solidated Plan, information provided by HUD, and other generally available data. (i) The identification of housing Deeds must address issues of afford- ability, supply, quality, accessibility, size of units and location. (ii) The statement of housing needs also must describe the ways in which the PHA intends, to the maximum ex- tent practicable, to address those needs, and the PHA's reasons for choos- ing its strategy. (b) A state7nent of the PHA's deconcentration and other policies that govern eligibility, selection, and admis- sions. This statement must describe the PHA's policies that govern resident or tenant eligibility, selection and admis- sion. This statement also must de- scribe any PHA admission preferences, and any occupancy policies that per- tain to public housing units and hous- ing units assisted under section 8(o) of 24 CFR Ch. IX (4-1-11 Edition) the 1937 Act, as well as any unit assign- ment policies for public housing. This statement must include the following information: (1) Deconcentration Policy. The PHA's deconcentration policy applicable to public housing, as described in §903.2(a). (2) Waiting List Procedures. The PHA's procedures for maintaining waiting lists for admission to the PHA's public housing developments. The statement must address any site -based waiting lists, as authorized by section 6(s) of the 1937 Act (42 U.S.C. 1437d(s)), for public housing. Section 6(s) of the 1937 Act permits PHAs to establish a sys- tem of site -based waiting lists for pub- lic housing that is consistent with all applicable civil rights and fair housing laws and regulations. Notwithstanding any other regulations, a PHA may adopt site -based waiting lists where: (i) The PHA regularly submits re- quired occupancy data to HUD's Multi- family Tenant Characteristics Systems (MTCS) in an accurate, complete and timely manner; (ii) The system of site -based waiting lists provides for full disclosure to each applicant of any option available to the applicant in the selection of the devel- opment in which to reside, including basic information about available sites (location, occupancy, number and size of accessible units, amenities such as day care, security, transportation and training programs) and an estimate of the period of time the applicant would likely have to wait to be admitted to units of different sizes and types (e.g., regular or accessible) at each site; (iii) Adoption of site -based waiting lists would not violate any court order or settlement agreement, or be incon- sistent with a pending complaint brought by HUD; (iv) The PHA includes reasonable measures to assure that adoption of site -based waiting lists is consistent with affirmatively furthering fair hous- ing, such as reasonable marketing ac- tivities to attract applicants regardless of race or ethnicity; (v) The PHA provides for review of its site -based waiting list policy to deter- mine if the policy is consistent with civil rights laws and certifications through the following steps: 258 Asst. Secry., for Public and Indian Housing, HUD § 903.7 (A) As part of the submission of the Annual Plan, the PHA shall assess changes in racial, ethnic or disability - related tenant composition at each PHA site that may have occurred dur- ing the implementation of the site - based waiting list, based upon MTCS occupancy data that has been con- firmed to be complete and accurate by an independent audit (which may be the annual independent audit) or is otherwise satisfactory to HUD; (B) At least every three years the PHA uses independent testers or other means satisfactory to HUD, to assure that the site -based waiting list is not being implemented in a discriminatory manner, and that no patterns or prac- tices of discrimination exist, and pro- viding the results to HUD; (C) Taking any steps necessary to remedy the problems surfaced during the review; and (D) Taking the steps necessary to af- firmatively further fair housing. (3) Other admissions policies. The PHA's admission policies that include any other PHA policies that govern eli- gibility, selection and admissions for the public housing (see part 960 of this title) and tenant -based assistance pro- grams (see part 982, subpart E of this title). (The information requested on site -based waiting lists and deconcentration is applicable only to public housing.) (c) A statement of financial resources. This statement must address the finan- cial resources that are available to the PHA for the support of Federal public housing and tenant -based assistance programs administered by the PHA during the plan year. The statement must include a listing, by general cat- egories, of the PHA's anticipated re- sources, such as PHA operating, capital and other anticipated Federal re- sources available to the PHA, as well as tenant rents and other income avail- able to support public housing or ten- ant -based assistance. The statement also should include the non -Federal sources of funds supporting each Fed- eral program, and state the planned uses for the resources. (d) A statement of the PHA's rent deter- mination policies. This statement must describe the PHA's basic discretionary policies that govern rents charged for public housing units, applicable flat rents, and the rental contributions of families receiving tenant -based assist- ance. For tenant -based assistance, this statement also shall cover any discre- tionary minimum tenant rents and payment standard policies. (e) A statement of the PHA's operation and management. (1) This statement must list the PHA's rules, standards, and policies that govern maintenance and management of housing owned, as- sisted, or operated by the PHA. (2) The policies listed in this state- ment must include a description of any measures necessary for the prevention or eradication of pest infestation. Pest infestation includes cockroach infesta- tion. (3) This statement must include a de- scription of PHA management organi- zation, and a listing of the programs administered by the PHA. (4) The information requested on a PHA's rules, standards and policies re- garding management and maintenance of housing applies only to public hous- ing. The information requested on PHA program management and listing of ad- ministered programs applies to public housing and tenant -based assistance. (f) A statement of the PHA grievance procedures. This statement describes the grievance and informal hearing and review procedures that the PHA makes available to its residents and appli- cants. These procedures include public housing grievance procedures and ten- ant -based assistance informal review procedures for applicants and hearing procedures for participants. (g) A statement of capital improvements needed. With respect to public housing only, this statement describes the cap- ital improvements necessary to ensure long-term physical and social viability of the PHA's public housing develop- ments, including the capital improve- ments to be undertaken in the year in question and their estimated costs, and any other information required for par- ticipation in the Capital Fund. PHAs also are required to include 5-Year Plans covering large capital items. (h) A statement of any demolition and/ or disposition—(1) Plan for Demolition/ Disposition. With respect to public housing only, a description of any pub- lic housing development, or portion of 259 § 903.7 a public housing development, owned by the PHA for which the PHA has ap- plied or will apply for demolition and/ or disposition approval under section 18 of the 1937 Act (42 U.S.C. 1437p), and the timetable for demolition and/or dis- position. The application and approval process for demolition and/or disposi- tion is a separate process. Approval of the PHA Plan does not constitute ap- proval of these activities. (2) Interim Plan for Demolition/Disposi- tion. (i) Before submission of the first Annual Plan, a PHA may submit an in- terim PHA Annual Plan solely for dem- olition/disposition. The interim plan must provide: (A) The required description of the action to be taken; (B) A certification of consistency with the Consolidated Plan; (C) A description of how the plan is consistent with the Consolidated Plan; (D) A relocation plan that includes the availability of units in the area and adequate funding; and (E) Confirmation that a public hear- ing was held on the proposed action and that the resident advisory board was consulted. (ii) Interim plans for demolition/dis- position are subject to PHA Plan pro- cedural requirements in this part (see §§ 903.13, 903.15, 903.17, 903.19, 903.21, 903,23, 903.25), with the following excep- tion. If a resident advisory hoard has not yet been formed, the PHA may seek a waiver of the requirement to consult with the resident advisory board on the grounds that organiza- tions that adequately represent resi- dents for this purpose were consulted. (iii) The actual application for demo- lition or disposition may be submitted at the same time as submission of the interim plan or at a later date. (i) A statement of the public housing de- velopments designated as housing for el- derly families or families with disabilities or elderly families and families with dis- abilities. (1) With respect to public housing only, this statement identifies any public housing developments owned, assisted, or operated by the PHA, or any portion of these develop- ments, that: (i) The PHA has designated for occu- pancy by: (A) Only elderly families; 24 CFR Ch. IX (4-1-11 Edition) (B) Only families with disabilities; or (0) Elderly families and families with disabilities; and (ii) The PHA will apply for designa- tion for occupancy by: (A) Only elderly families; (B) Only families with disabilities; or (C) Elderly families and families with disabilities as provided by section 7 of the 1937 Act (42 U.S.C. 1437e). (2) The designated housing applica- tion and approval process is a separate process. Approval of the PHA Plan does not constitute approval of these activi- ties. (j) A statement of the conversion of pub- lic housing to tenant -based assistance. (1) This statement describes: (i) Any building or buildings that the PHA is required to convert to tenant - based assistance under section 33 of the 1937 Act (42 U.S.C. 1437z-5); (ii) The status of any building or buildings that the PHA may be re- quired to convert to tenant -based as- sistance under section 202 of the Fiscal Year 1996 HUD Appropriations Act (42 U.S.C. 14371 note); or (iii) The PHA's plans to voluntarily convert under section 22 of the 1937 Act (42 U.S.C. 1437t). (2) The statement also must include an analysis of the developments or buildings required to be converted under section 33. (3) For both voluntary and required conversions, the statement must in- clude the amount of assistance re- ceived commencing in Federal Fiscal Year 1999 to be used for rental assist- ance or other housing assistance in connection with such conversion. (4) The application and approval processes for required or voluntary conversions are separate approval proc- esses. Approval of the PHA Plan does not constitute approval of these activi- ties. (5) The information required under this paragraph (j) of this section is ap- plicable to public housing and only that tenant -based assistance which is to be included in the conversion plan. (k) A statement of homeownership pro- grams administered by the PHA. (1) This statement describes: (i) Any homeownership programs ad- ministered by the PHA under section 8(y) of the 1937 Act (42 U.S.C. 1437f(y)); 260 Asst. Secry., for Public and Indian Housing, HUD § 903.7 (ii) Any homeownership programs ad- ministered by the PHA under an ap- proved section 5(h) homeownership pro- gram (42 U.S.C.1437c(h)); (iii) An approved HOPE I program (42 U.S.C. 1437aaa); or (iv) Any homeownership programs for which the PHA has applied to admin- ister or will apply to administer under section 5(h), the HOPE I program, or section 32 of the 1937 Act (42 U.S.C. 1437z-4). (2) The application and approval process for homeownership under the programs described in paragraph (k) of this section, with the exception of the section 8(y) homeownership program, are separate processes. Approval of the PHA Plan does not constitute approval of these activities. (1) A statement of the PHA's community service and self-sufficiency programs. (1) This statement describes: (i) Any PHA programs relating to services and amenities coordinated, promoted or provided by the PHA for assisted families, including programs provided or offered as a result of the PHA's partnership with other entities; (ii) Any PHA programs coordinated, promoted or provided by the PHA for the enhancement of the economic and social self-sufficiency of assisted fami- lies, including programs provided or of- fered as a result of the PHA's partner- ships with other entities, and activities under section 3 of the Housing and Community Development Act of 1968 and under requirements for the Family Self -Sufficiency Program and others. The description of programs offered shall include the program's size (in- cluding required and actual size of the Family Self -Sufficiency program) and means of allocating assistance to households. (iii) How the PHA will comply with the requirements of section 12(c) and (d) of the 1937 Act (42 U.S.C. 1437j(c) and (d)). These statutory provisions re- late to community service by public housing residents and treatment of in- come changes in public housing and tenant -based assistance recipients re- sulting from welfare program require- ments. PHAs must address any co- operation agreements, as described in section 12(d)(7) of the 1937 Act (42 U.S.G. 1437j(d)(7)), that the PHA has en- tered into or plans to enter into. (2) The information required by para- graph (1) of this section is applicable to both public housing and tenant -based assistance, except that the information regarding the PHA's compliance with the community service requirement applies only to public housing. (m) A, statement of the PHA's safety and crime prevention measures. (1) With respect to public housing only, this statement describes the PHA's plan for safety and crime prevention to ensure the safety of the public housing resi- dents that it serves. The plan for safety and crime prevention must be estab- lished in consultation with the police officer or officers in command of the appropriate precinct or police depart- ments. The plan also must provide, on a development -by -development or ju- risdiction wide -basis, the measures necessary to ensure the safety of public housing residents. (2) The statement regarding the PHA's safety and crime prevention plan must include the following infor- mation: (i) A description of the need for meas- ures to ensure the safety of public housing residents; (ii) A description of any crime pre- vention activities conducted or to be conducted by the PHA; and (iii) A description of the coordination between the PHA and the appropriate police precincts for carrying out crime prevention measures and activities. (3) If the PHA expects to receive drug elimination program grant funds, the PHA must submit, in addition to the information required by paragraph (m)(1) of this section, the plan required by HUD's Public Housing Drug Elimi- nation Program regulations (see part 761 of this title). (4) If HUD determines at any time that the security needs of a public housing development are not being ade- quately addressed by the PHA's plan, or that the local police precinct is not assisting the PHA with compliance with its crime prevention measures as described in the Annual Plan, HUD may mediate between the PHA and the local precinct to resolve any issues of conflict. 261