13-II.D. BREACH OF HAP CONTRACT [24 CFR 982.453]
Any of the following actions by the owner constitutes a breach of the HAP contract:
• If the owner violates any obligations under the HAP contract including failure to maintain the unit in accordance with HQSNSPIRE standards. • If the owner has violated any obligation under any other HAP contract under Section 8
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• If the owner has committed fraud, bribery or any other corrupt or criminal act in connection with any federal housing program
• For projects with mortgages insured by HUD or loans made by HUD, if the owner has failed to comply with the regulation for the applicable program; or if the owner has committed fraud, bribery or any other corrupt or criminal act in connection with the mortgage or loan
• If the owner has engaged in drug-related criminal activity • If the owner has committed any violent criminal activity
If the HACP determines that a breach of the HAP contract has occurred, it may exercise any of its rights and remedies under the HAP contract.
The HACP rights and remedies against the owner under the HAP contract include recovery of any HAP overpayment, suspension of housing assistance payments, abatement or reduction of the housing assistance payment, termination of the payment or termination of the HAP contract. The HACP may also obtain additional relief by judicial order or action.
The HACP must notify the owner of its determination and provide in writing the reasons for the determination. The notice may require the owner to take corrective action by an established deadline. The HACP must provide the owner with written notice of any reduction in housing assistance payments or the termination of the HAP contract.
HACP Policy:
Before the HACP exercises a remedy against an owner, the HACP will evaluate all information and documents available to determine if the contract has been breached.
If relevant, the
HACP will conduct an audit of the owner’s records
pertaining to the tenancy or unit.
If it is determined that the owner has breached the contract, the HACP will consider all of the relevant factors including the seriousness of the breach, the effect on the family, the owner’s record of compliance and the number and seriousness of any prior HAP contract violations.
13-II.E. HAP CONTRACT TERM AND TERMINATIONS
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lease and terminating on the last day of the term of the lease, including any lease term extensions.
The HAP contract and the housing assistance payments made under the HAP contract terminate if [HCV Guidebook pp.11-4 and 11-5, pg. 15-3]:
• The owner or the family terminates the lease,
• The lease expires,
• The HACP terminates the HAP contract,
• The HACP terminates assistance for the family,
• The family moves from the assisted unit. In this situation, the owner is entitled to keep the housing assistance payment for the month when the family moves out of the unit.
• 180 calendar days have elapsed since the HACP made the last housing assistance payment to the owner,
• The family is absent from the unit for longer than the maximum period permitted by the HACP,
• The Annual Contributions Contract (ACC) between the HACP and HUD expires.
• The HACP elects to terminate the HAP contract.
HACP Policy:
The HACP may elect to terminate the HAP contract in each of the following situations:
•
Available program funding is not sufficient to support continued assistance for families in the program [24 CFR 982.454],
• The unit does not meet HQS size requirements due to change in family composition [24 CFR 982.403] – see chapterChapter 8, • The unit does not meet HQSNSPIRE standards [24 CFR 982.404] – see chapterChapter 8,
• The family breaks up [HUD Form 52641] – see chapterChapter 3, • The owner breaches the HAP contract [24 CFR 982.453(b)] – see Section 13-II.D.
If the HACPPHA terminates the HAP contract, the HACPPHA must give the owner and the family written notice. The notice must specify the reasons for the termination and the effective date of the termination. Once a HAP contract is terminated, no further HAP payments may be made under that contract [HCV Formatted: Line spacing: Multiple 1.15 li
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Guidebook pg.15-4].
HACP Policy:
In all casesGenerally, the HAP contract terminates at the end of the calendar month that follows the calendar month in which the HACPPHA gives written notice to the owner.
The PHA cannot make any HAP payment for any month after the month the family vacates the unit.
The owner is not entitled to any housing assistance payment after this period and must return to the HACPPHA any housing assistance payment received after this period.
If the family moves from the assisted unit into a new unit, even if the new unit is in the same building or complex as the assisted unit, the HAP contract for the assisted unit terminates. A new HAP contract wouldwill be required [HCV GB, p.11-17].
When the family moves from an assisted unit into a new unit, the term of the HAP contract for the new unit may begin in the same month in which the family moves out of its old unit. This is not considered a duplicative subsidy [HCV GB, p. 8-22].
13-II.F. CHANGE IN OWNERSHIP/ASSIGNMENT OF THE HAP CONTRACT [HUD-52641]
The HAP contract cannot be assigned to a new owner without the prior written consent of the HACP.
An owner under a HAP contract must notify the HACP in writing prior to a change in the legal ownership of the unit. The owner must supply all information as requested by the HACP.
Prior to approval of assignment to a new owner, the new owner must agree to be bound by and comply with the HAP contract. The agreement between the new owner and the former owner must be in writing and in a form that the HACP finds acceptable. The new owner must provide the HACP with a copy of the executed agreement.
HACP Policy:
Assignment of the HAP contract will be approved only if the new owner is qualified to become an owner under the HCV program according to the policies in Section 13-I.D. of this chapter.
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The HACP must receive a signed, written request from the existing owner stating the name and address of the new HAP payee and the effective date of the assignment in order to change the HAP payee under an outstanding HAP contract.
Within 10 business days of receiving the owner’s request, the HACP will inform the current owner in writing whether the assignment may take place.
The new owner must provide a written certification to the HACP that includes:
• A copy of the escrow statement or other document showing the transfer of title and recorded deed,
• A copy of the owner’s IRS Form W-9, Request for Taxpayer Identification Number and Certification, or the social security number of the new owner,
• The effective date of the HAP contract assignment,
• A written agreement to comply with the terms of the HAP contract; and
• A certification that the new owner is not a prohibited relative.
If the new owner does not agree to an assignment of the HAP contract, or fails to provide the necessary documents, the HACP will terminate the HAP contract with the old owner. If the new owner wants to offer the family a new lease, and the family elects to stay with continued assistance, the HACP will process the leasing in accordance with the policies in Chapter 9.
13-II.G. FORECLOSURE [Notice PIH 2010-49]
Families receiving HCV assistance are entitled to certain protections set forth under the Protecting Tenants at Foreclosure Act (PTFA). During the term of the lease, the new owner of the property does not have good cause to terminate the tenant’s lease, unless the new owner will occupy the unit as their primary residence and has provided the tenant with at least a 90-day notice. In that case, the lease may be terminated effective on the date of sale, although the tenant is still entitled to a 90-day notice to vacate. Further, the new owner assumes interest in the lease between the prior owner and the tenant and to the HAP contract.
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protections for tenants also applies.
HACP Policy:::
If a property is in foreclosure, HACP will make all reasonable efforts to determine the status of the foreclosure and ownership of the property and will continue to make payments to the original owner until ownership legally transfers in accordance with the HAP contract.
HACP will attempt to obtain a written acknowledgement of the assignment of the HAP contract from the successor in interest. This will include a request for owner information, including a tax identification number and payment instructions from the new owner. Even if the new owner does not acknowledge the assignment of the HAP contract in writing, the assignment is still effective by operation of law.
HACP will inform the tenant that they must continue to pay rent in accordance with the lease, and if the new owner refuses to accept payment or cannot be identified, the tenant should pay rent into escrow.
Failure to pay rent may constitute an independent groundgrounds for eviction.
In the event that HACP is unable to make HAP payments to the new owner due to an action or inaction by the new owner that prevents such payments (e.g., rejection of payments or failure to maintain the property according to HQSNSPIRE standards), or due to an inability to identify the new owner, HACP will either use the funds to pay:
- The utilities that are the owner’s responsibility after taking reasonable steps to notify the owner; except that if the unit has been or will be rendered uninhabitable due to termination or threat of termination of service, prior notice is not required. In the latter case, HACP shall notify the owner within a reasonable time after making the utility payment; or
- For the family’s reasonable moving costs, including security deposit costs. HACP will also refer the tenant, as needed, to the local legal aid office in order to ensure adequate protection of the tenant’s rights and enforcement of the successor in interest’s performance under the HAP contract. See Section 12-III.B for a discussion of foreclosure as it pertains to owner termination of tenancy.
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Chapter 14
PROGRAM INTEGRITY
INTRODUCTION
The HACP is committed to ensuring that subsidy funds made available to the HACP are spent in accordance with HUD requirements.
This chapter covers HUD and HACP policies designed to prevent, detect, investigate, and resolve instances of program abuse or fraud. It also describes the actions that will be taken in the case of unintentional errors and omissions.
Part I: Preventing, Detecting, and Investigating Errors and Program Abuse. This part presents HACP policies related to preventing, detecting, and investigating errors and program abuse.
Part II: Corrective Measures and Penalties. This part describes the corrective measures the HACP must and may take when errors or program abuses are found.
PART I: PREVENTING, DETECTING, AND
INVESTIGATING ERRORS AND PROGRAM ABUSE
14-I.A. PREVENTING ERRORS AND PROGRAM ABUSE
HUD created the Enterprise Income Verification (EIV) system to provide PHAs with a powerful tool for preventing errors and detecting program abuse. PHAs are required to use the EIV system in its entiretyat annual reexamination in accordance with HUD administrative guidance [24 CFR 5.233]. PHAs are further required to:
• Provide applicants and participants with form HUD-52675, “Debts Owed to PHAs and Terminations”.”
• Require all adult members of an applicant or participant family to acknowledge receipt of form HUD-52675 by signing a copy of the form for retention in the family file.
HACP Policy:
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To ensure that the PHA’s HCV program is administered according to the highest ethical and legal standards, the HACP will employ a variety of techniques to ensure that both errors and intentional program abuse are rare.
• The HACP will discuss program compliance and integrity issues during the voucher briefing sessions described in Chapter 5. • The HACP will provide each applicant and participant with a copy of “Is Fraud Worth It?” (Form HUD-1141-OIG), which explains the types of actions a family must avoid and the penalties for program abuse.
• T he HACP will provide each applicant and participant with a copy of “What You Should Know about EIV,” a guide to the Enterprise Income Verification (EIV) system published by HUD as an attachment to Notice PIH 2010-18. In addition, the HACP will require the head of each household to acknowledge receipt of the guide by signing a copy for retention in the family file. • The HACP will place a warning statement about the penalties for fraud (as described in 18 U.S.C. 1001 and 1010) on key HACP forms and form letters that request information from a family or owner.
• HACP staff will be required to review and explain the contents of all HUD and PHA-required forms prior to requesting family member signatures.
• At every regular reexamination, HACP staff will explain any changes in HUD regulations or HACP Policy: that affect program participants.
• The HACP will require first-time owners (or their agents) to participate in a briefing session on HAP contract requirements. • The HACP will provide owners with ongoing information about the program, with an emphasis on actions and situations to avoid. • The HACP will provide each HACP employee with the necessary training on program rules and the organization’s standards of conduct and ethics.
For purposes of this chapter the term error refers to an unintentional error or omission. Program abuse or fraud refers to a single act or pattern of actions that constitute a false statement, omission, or concealment of a substantial fact, made with the intent to deceive or mislead.
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14-I.B. DETECTING ERRORS AND PROGRAM ABUSE
In addition to taking steps to prevent errors and program abuse, the PHA will use a variety of activities to detect errors and program abuse.
Quality Control and Analysis of Data
Under the Section 8 Management Assessment Program (SEMAP), HUD requires the PHA to review a random sample of tenant records annually to determine if the records conform to program requirements and to conduct quality control inspections of a sample of units to ensure HQS compliance with NSPIRE standards [24 CFR, Part 985]. (See Chapter 16 for additional information about SEMAP requirements).
HACP Policy:
In addition to the SEMAP quality control requirements, the HACP will employ a variety of methods to detect errors and program abuse. - The HACP routinely will use HUD and other non
-HUD sources of
up-front income verification. This includes “The Work Number” and any other private or public databases available to the HACP. - At each annual reexamination, current information provided by the family will be compared to information provided at the last annual reexamination to identify inconsistencies and incomplete information.
- The HACP will compare family-reported income and expenditures to detect possible unreported income.
Independent Audits and HUD Monitoring
OMB Circular A-133 requires all PHAs that expend $500,000 or more in federal awards annually to have an independent audit (IPA). In addition, HUD conducts periodic on-site and automated monitoring of PHA activities and notifies the PHA of errors and potential cases of program abuse.
HACP Policy:
The HACP will use the results reported in any IPA or HUD monitoring reports to identify potential program abuses as well as to assess the effectiveness of the HACP’s error detection and abuse prevention efforts.
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HACP Policy:
The HACP will encourage staff, program participants, and the public to report possible program abuse.
14 -I.C. INVESTIGATING ERRORS AND PROGRAM ABUSE
When the PHA Will Investigate
HACP Policy:
The HACP will review all referrals, specific allegations, complaints, and tips from any source including other agencies, companies, and individuals, to determine if they warrant investigation. In order for the HACP to investigate, the allegation must contain at least one independently verifiable item of information, such as the name of an employer or the name of an unauthorized household member.
The HACP will investigate when inconsistent or contradictory information is detected through file reviews and the verification process.
Consent to Release of Information [24 CFR 982.516]
The PHA may investigate possible instances of error or abuse using all available PHA and public records. If necessary, the PHA will require HCV families to sign consent forms for the
release of additional information.
Credit Bureau Inquiries
In cases involving unreported income sources or unreported assets, a Credit Bureau inquiry may be made to determine if there is financial activity that conflicts with the reported income of the family.
Employers and Ex-Employers
Employers and ex-employers may be contacted to verify wages that may have been previously undisclosed or misrepresented.
Neighbors / Witnesses
Neighbors and/or witnesses may be interviewed who are believed to have direct or indirect knowledge of facts pertaining to HACP’s review. Other Agencies Investigators, caseworkers or representative of other benefit agencies may be contacted. Local, state, or federal law enforcement officials may also be Formatted: Line spacing: Multiple 1.15 li
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contacted. Public Records If relevant, HACP will review public records kept in any jurisdictional courthouse. Examples of public records include but are not limited to records relating to the following: real estate, marriage, divorce, uniform commercial code financing statements, voter registration, judgments, court or police records, state wage records, utility records and postal records.
Interviews with The Head of Household
HACP will discuss the allegations (or details thereof) with the Head of Household or family member by scheduling an appointment at the appropriate HACP office.
A high standard of professionalism and courtesy will be maintained by HACP staff person who conducts such interviews. Under no circumstances will inflammatory language, accusations, or any unprofessional conduct or language be tolerated. If possible, an additional staff person will attend such interviews.
Analysis and Findings
HACP Policy:
The HACP will base its evaluation on a preponderance of the evidence collected during its investigation.
Preponderance of the evidence is defined as evidence which is of greater weight or more convincing than the evidence which is offered in opposition to it; that is, evidence that as a whole, shows that the fact sought to be proved is more probable than not. Preponderance of evidence ma
y not be determined by the number of witnesses, but by the greater weight of all evidence.
For each investigation the HACP will determine (1) whether an error or program abuse has occurred, (2) whether any amount of money is owed the PHA, and (3) what corrective measures or penalties will be assessed.
Consideration of Remedies
All errors and instances of program abuse must be corrected prospectively.
Whether the PHA will enforce other corrective actions and penalties depends upon the nature of the error or program abuse.
HACP Policy:
In the case of family-caused errors or program abuse, the HACP will take into consideration (1) the seriousness of the offense and the extent of participation or culpability of individual family members, (2) any special circumstances surrounding the case, (3) any mitigating circumstances Formatted: Line spacing: 1.5 lines
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related to the disability of a family member, (4) the effects of a particular remedy on family members who were not involved in the offense.
In the case of owner-caused errors or program abuse, the HACP will take into consideration (1) the seriousness of the offense, (2) the length of time since the violation has occurred, and (3) the effects of a particular remedy on family members who were not involved in the offense.
Notice and Appeals
HACP Policy:
The HACP will inform the relevant party in writing of its findings and remedies within 10 business days of the conclusion of the investigation.
The notice will include (1) a description of the error or program abuse, (2) the basis on which the HACP determined the error or program abuses, (3) the remedies to be employed, and (4) the family’s right to appeal the results through the informal review or hearing process, if applicable (see Chapter 16).
PART II: CORRECTIVE MEASURES AND PENALTIES
14 -II.A. SUBSIDY UNDER- OR OVERPAYMENTS
A subsidy under- or overpayment includes (1) an incorrect housing assistance payment to the owner, (2) an incorrect family share established for the family, and (3) an incorrect utility reimbursement to a family.
Corrections
Whether the incorrect subsidy determination is an overpayment or underpayment of subsidy, the PHA must promptly correct the HAP, family share, and any utility reimbursement prospectively.
HACP Policy:
Increases in the family share will be implemented on the first of the month following a written 30-day notice.
Any decreases in family share will become effective the first of the month following the discovery of the error.
Reimbursement
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Whether the family or owner is required to reimburse the PHA or the PHA is required to make retroactive subsidy payments to the owner or family depends upon which party is responsible for the incorrect subsidy payment and whether the action taken was an error or program abuse. Policies regarding reimbursement are discussed in the three sections that follow. 14-II.B. FAMILY-CAUSED ERRORS AND PROGRAM ABUSE
Family obligations and general administrative requirements for participating in the program are discussed throughout this plan. This section deals specifically with errors and program abuse by family members.
An incorrect subsidy determination caused by a family generally would be the result of incorrect reporting of family composition, income, assets, or expenses, but also would include instances in which the family knowingly allows the PHA to use incorrect information provided by a third party.
Family Reimbursement to PHA [HCV GB pp. 22-12 to 22-13] HACP Policy:
In the case of family-caused errors or program abuse, the family will be required to repay any excess subsidy received. The HACP may, but is not required to, offer the family a repayment agreement in accordance with Chapter 16. If the family fails to repay the excess subsidy, the HACP will terminate the family’s assistance in accordance with the policies in Chapter 12.
PHA Reimbursement to Family [HCV GB p. 22-12]
HACP Policy:
The HACP will not reimburse the family for any underpayment of assistance when the underpayment clearly is caused by the family.
Prohibited Actions
An applicant or participant in the HCV program must not knowingly:
• Make a false statement to the PHA [Title 18 U.S.C. Section 1001]. • Commit fraud, bribery, or any other corrupt or criminal act in connection with any federal housing program [24 CFR 982.552(c)(iv)].
HACP Policy:
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Any of the following will be considered evidence of family program abuse:
• Payment to the owner in excess of amounts authorized by the HACP for rent, security deposit, and additional services. • Offering bribes or illegal gratuities to the Governing Board of the HACP, employees, contractors, or other HACP representatives. • Offering payments or other incentives to the owner or a third party as an inducement for the third party to make false or misleading statements to the HACP on the family’s behalf.
• Use of a false name or the use of falsified, forged, or altered documents.
• Intentional misreporting of family information or circumstances (e.g., income, family composition).
• Omitted facts that were obviously known by a family member (e.g., not reporting employment income).
• Admission of program abuse by an adult family member.
The HACP may determine other actions to be program abuse based upon a preponderance of the evidence, as defined earlier in this chapter.
Penalties for Program Abuse
In the case of program abuse caused by a family the PHA may, at its discretion, impose any of the following remedies.
• The PHA may require the family to repay excess subsidy amounts paid by the PHA, as described earlier in this section.
• The PHA may require, as a condition of receiving or continuing assistance, that a culpable family member not reside in the unit. See policies in Chapter 3 (for applicants) and Chapter 12 (for participants).
• The PHA may deny or terminate the family’s assistance following the policies set forth in Chapter 3 and Chapter 12 respectively.
• The PHA may refer the family for state or federal criminal prosecution as described in section 14-II.E.
14-II.C. OWNER-CAUSED ERROR OR PROGRAM ABUSE
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the appropriate chapters of this plan. This section focuses on errors and program abuse by owners.
An incorrect subsidy determination caused by an owner generally would be the result of an incorrect owner statement about the characteristics of the assisted unit (e.g., the number of bedrooms, which utilities are paid by the family). It also includes accepting duplicate housing assistance payments for the same unit in the same month, or after a family no longer resides in the unit.
Owner Reimbursement to the PHA
In all cases of overpayment of subsidy caused by the owner, the owner must repay to the PHA any excess subsidy received. The PHA may recover overpaid amounts by withholding housing assistance payments due for subsequent months, or if the debt is large, the PHA may allow the owner to pay in installments over a period of time [HCV GB p. 22-13].
HACP Policy:
In cases where the owner has received excess subsidy, the HACP will require the owner to repay the amount owed in accordance with the policies in Section 16-IV.B.
Prohibited Owner Actions
An owner participating in the HCV program must not:
• Make any false statement to the PHA [Title 18 U.S.C. Section 1001]. • Commit fraud, bribery, or any other corrupt or criminal act in connection with any federal housing program [24 CFR 982.453(a)(3)] including:
HACP Policy:
Any of the following will be considered evidence of owner program abuse:
•
Charging the family rent above or below the amount specified by the HACP.
• Charging a security deposit other than that specified in the family’s lease.
• Charging the family for services that are provided to unassisted tenants at no extra charge.
• Knowingly accepting housing assistance payments for any month(s) after the family has vacated the unit.
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• Knowingly accepting incorrect or excess housing assistance payments.
• Offering bribes or illegal gratuities to the Governing Board of the Housing Authority, employees, contractors, or other HACP representatives.
• Offering payments or other incentives to an HCV family as an inducement for the family to make false or misleading statements to the HACP.
• Residing in the unit with an assisted family.
Remedies and Penalties
When the PHA determines that the owner has committed program abuse, the PHA may take any of the following actions:
• Require the owner to repay excess housing assistance payments, as discussed earlier in this section and in accordance with the policies in Chapter 16.
• Terminate the HAP contract (See Chapter 13).
• Bar the owner from future participation in any PHA programs. • Refer the case to state or federal officials for criminal prosecution as described in section 14-II.E.
14-II.D. PHA-CAUSED ERRORS OR PROGRAM ABUSE
The responsibilities and expectations of PHA staff with respect to normal program administration are discussed throughout this plan. This section specifically addresses actions of a PHA staff member that are considered errors or program abuse related to the HCV program. Additional standards of conduct may be provided in the PHA personnel policy.
PHA-caused incorrect subsidy determinations include (1) failing to correctly apply HCV rules regarding family composition, income, assets, and expenses, (2) assigning the incorrect voucher size to a family, and (3) errors in calculation.
Repayment to the PHA
Neither a family nor an owner is required to repay an overpayment of subsidy if the error or program abuse is caused by PHA staff [HCV GB. 22-12].
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PHA Reimbursement to Family or Owner
The PHA must reimburseDe Minimis Errors [24 CFR 5.609(c)(4)] The PHA will not be considered out of compliance when making annual income determinations solely due to de minimis errors in calculating family income. A de minimis error is an error where the PHA determination of family income deviates from the correct income determination by no more than $30 per month in monthly adjusted income ($360 in annual adjusted income) per family.
PHAs must take corrective action to credit or repay a family if the family was overcharged rent, including when PHAs make de minimis errors in the income determination. Families will not be required to repay the PHA in instances where the PHA miscalculated income resulting in a family being undercharged for rent.
PHAs state in their policies how they will repay or credit a family the amount they were overcharged as a result of the PHA’s de minimis error in income determination.
HACP Policy:
The HACP will credit a family for any underpaymentfamily overpayment of subsidyrent, regardless of whether the underpaymentoverpayment was the result of staff-caused error, staff program abuse, or staff or owner program abuse. Funds for this reimbursement must come from the PHA’s administrative fee reserves [HCV GB p. 22-12].a de minimis error.
Prohibited Activities
HACP Policy:
Any of the following will be considered evidence of program abuse by HACP staff:
• Failing to comply with any HCV program requirements for personal gain.
• Failing to comply with any HCV program requirements as a result of a conflict-of-interest relationship with any applicant, participant, or owner.
• Seeking or accepting anything of material value from applicants, participating families, vendors, owners, contractors, or other persons who provide services or materials to the HACP.
• Disclosing confidential or proprietary information to outside parties •
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policies, or practices
• Misappropriating or misusing HCV funds
• Destroying, concealing, removing, or inappropriately using any records related to the HCV program.
• Committing any other corrupt or criminal act in connection with any federal housing program
14 -II.E. CRIMINAL PROSECUTION
HACP Policy:
When the HACP determines that program abuse by an owner, family, or HACP staff member has occurred and the amount of overpaid subsidy meets or exceeds the threshold for prosecution under local or state law, the HACP will refer the matter to the appropriate entity for prosecution.
When the amount of overpaid assistance meets or exceeds the federal threshold, the case will also be referred to the HUD Office of Inspector General (OIG).
Other criminal violations related to the HCV program will be referred to the appropriate local, state, or federal entity.
14-II.F . FRAUD AND PROGRAM ABUSE RECOVERIES
The PHA may retain a portion of program fraud losses that the PHA recovers from a family or owner through litigation, court order, or a repayment agreement [24 CFR 982.163].
The PHA must be the principal party initiating or sustaining the action to recover amounts due from tenants that are due as a result of fraud and abuse. Section 24 CFR 792.202 permits the PHA to retain the greater of:
• (50%) fifty percent of the amount it actually collects from a judgment, litigation (including settlement of a lawsuit) or an administrative repayment agreement, or
• Reasonable and necessary costs that the PHA incurs related to the collection including costs of investigation, legal fees, and agency collection fees.
The family must be afforded the opportunity for an informal hearing in accordance with requirements in 24 CFR 982.555.
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must be deducted from the amount retained by the PHA.
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Chapter 15
SPECIAL HOUSING TYPES
[24 CFR 982 Subpart M]
INTRODUCTION
The PHA may permit a family to use any of the special housing types discussed in this chapter. However, the PHA is not required to permit families receiving assistance in its jurisdiction to use these housing types, except that PHAs must permit use of any special housing type if needed as a reasonable accommodation for a person with a disability. The PHA also may limit the number of families who receive HCV assistance in these housing types and cannot require families to use a particular housing type. No special funding is provided for special housing types. Unless specifically modified by the regulations, NSPIRE standards apply to special housing types (Single Room Occupancy, Congregate Housing, Group Homes, Shared Housing, Manufactured Homes, Homeownership units) [Notice PIH 2023-28].
HACP Policy:
In most instances, families may not be permitted to use any special housing types, unless use is needed as a reasonable accommodation so that the program is readily accessible to a person with disabilities.
However, policy language is included in this chapter where relevant in the event the HACP does grant use as a reasonable accommodation.
Special housing types include single room occupancy, congregate housing, group homes, shared housing, cooperative housing, manufactured homes where the family owns the home and leases the space, and homeownership [24 CFR 982.601].
This chapter consists of the following seven parts. Each part contains a description of the housing type and any special requirements associated with it.
Except as modified by this chapter, the general requirements of the HCV program apply to special housing types.
Part I: Single Room Occupancy
Part II: Congregate Housing
Part III: Group Homes
Part IV: Shared Housing
Part V: Cooperative Housing
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Part VII: Homeownership
PART I: SINGLE ROOM OCCUPANCY
[24 CFR 982.602 through 982.605]
15 -I.A. OVERVIEW
A single room occupancy (SRO) unit provides living and sleeping space for the exclusive use of the occupant but requires the occupant to share sanitary and/or food preparation facilities with others. More than one person may not occupy an SRO unit. HCV regulations do not limit the number of units in an SRO facility, but the size of a facility may be limited by local ordinances.
When providing HCV assistance in an SRO unit, a separate lease and HAP contract are executed for each assisted person, and the standard form of the HAP contract is used.
15-I.B. PAYMENT STANDARD, UTILITY ALLOWANCE, AND HAP
CALCULATION
The payment standard for SRO housing is 75 percent of the zero-bedroom payment standard amount on the PHA’s payment standard schedule.
The utility allowance for an assisted person residing in SRO housing is 75 percent of the zero-bedroom utility allowance.
The HAP for an assisted occupant in an SRO facility is the lower of the SRO payment standard amount minus the TTP or the gross rent for the unit minus the TTP.
15-I.C. HOUSING QUALITYNATIONAL STANDARDS (HQSFOR THE
PHYSICAL INSPECTION OF REAL ESTATE (NSPIRE)
HQSNSPIRE requirements described in Chapter 8 apply to SRO housing except as modified below.
• Access: Access doors to the SRO unit must have working locks for privacy.
The occupant must be able to access the unit without going through any other unit. Each unit must have immediate access to two or more approved means of exit from the building, appropriately marked and leading to safe and open space at ground level. The SRO unit must also have any other means of exit required by State or local law.
•
Fire Safety: All SRO facilities must have a sprinkler system that protects major spaces. “Major spaces” are defined as hallways, common areas, and Formatted: Line spacing: 1.5 lines
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any other areas specified in local fire, building, or safety codes. SROs must also have hard-wired smoke detectors, and any other fire and safety equipment required by state or local law.
• Sanitary facilities and space and security standards must meet local code requirements for SRO housing. In the absence of local code standards, the requirements discussed below apply [24 CFR 982.605].
• Sanitary Facilities: At least one flush toilet that can be used in privacy, a lavatory basin, and a bathtub or shower in proper operating condition must be provided for each six persons (or fewer) residing in the SRO facility. If the SRO units are leased only to men, flush urinals may be substituted for up to one half of the required number of toilets. Sanitary facilities must be reasonably accessible from a common hall or passageway and may not be located more than one floor above or below the SRO unit. They may not be located below grade unless the SRO units are located on that level. • Space and Security: An SRO unit must contain at least 110 square feet of floor space, and at least four (4) square feet of closet space with an unobstructed height of at least five feet, for use by the occupant. If the closet space is less than four square feet, the habitable floor space in the SRO unit must be increased by the amount of the deficiency. Exterior doors and windows accessible from outside the SRO unit must be lockable.
For SRO housing, 24 CFR 5.703(d) only applies to the extent that the SRO unit contains the room or facility referenced in 24 CFR 5.703(d). Because no children live in SRO housing, the housing qualityNSPIRE standards applicable to lead-based paint do not apply.
PART II: CONGREGATE HOUSING
[24 CFR 982.606 through 982.609]
15 -II.A. OVERVIEW
Congregate housing is intended for use by elderly persons or persons with disabilities. A congregate housing facility contains a shared central kitchen and dining area and a private living a rea for the individual household that includes at least a living room, bedroom and bathroom. Food service for residents must be provided.
If approved by the PHA, a family member or live-in aide may reside with the elderly person or person with disabilities. The PHA must approve a live-in aide if needed as a reasonable accommodation so that the program is readily accessible to and usable by persons with disabilities.
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When providing HCV assistance in congregate housing, a separate lease and HAP contract are executed for each assisted family, and the standard form of the HAP contract is used.
15-II.B. PAYMENT STANDARD, UTILITY ALLOWANCE, AND HAP
CALCULATION
The payment standard for an individual unit in a congregate housing facility is based on the number of rooms in the private living area. If there is only one room in the unit (not including the bathroom or the kitchen, if a kitchen is provided), the PHA must use the payment standard for a zero-bedroom unit. If the unit has two or more rooms (other than the bathroom and the kitchen), the PHA must use the one-bedroom payment standard.
The HAP for an assisted occupant in a congregate housing facility is the lower of the applicable payment standard minus the TTP or the gross rent for the unit minus the TTP.
The gross rent for the unit for the purpose of calculating HCV assistance is the shelter portion (including utilities) of the resident’s monthly housing expense only.
The residents’ costs for food service should not be included in the rent for a congregate housing unit.
15-II.C. HOUSING QUALITYNATIONAL STANDARDS FOR THE PHYSICAL
INSPECTION OF REAL ESTATE (NSPIRE)
HQSNSPIRE requirements as described in Chapter 8 apply to congregate housing except for the requirements stated below.
CongregateCongregate housing is not subject to the requirement that the dwelling unit must have a kitchen area. In place of the NSPIRE standards related to food preparation and refuse disposal, congregate housing must have (1) a refrigerator of appropriate size in the private living area of each resident; (2) a central kitchen and dining facilities located within the premises and accessible to the residents, and (3) food service for the residents, that is not provided by the residents themselves.
The housing qualityNSPIRE standards applicable to lead-based paint do not apply.
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PART III: GROUP HOME
[24 CFR 982.610 through 982.614 and HCV GB p. 7-4]
15-III.A. OVERVIEW
A group home is a state-licensed facility intended for occupancy by elderly persons and/or persons with disabilities. Except for live-in aides, all persons living in a group home, whether assisted or not, must be elderly persons or persons with disabilities. Persons living in a group home must not require continuous medical or nursing care.
A group home consists of bedrooms for residents, which can be shared by no more than two people, and a living room, kitchen, dining area, bathroom, and other appropriate social, recreational, or community space that may be shared with other residents.
No more than 12 persons may reside in a group home including assisted and unassisted residents and any live-in aides.
If approved by the PHA, a live-in aide may live in the group home with a person with disabilities. The PHA must approve a live-in aideaid if needed as a reasonable accommodation so that the program is readily accessible to and usable by persons with disabilities.
When providing HCV assistance in a group home, a separate lease and HAP contract is executed for each assisted family, and the standard form of the HAP contract is used.
15-III.B. PAYMENT STANDARD, UTILITY ALLOWANCE, AND HAP
CALCULATION
Unless there is a live-in aide, the family unit size for an assisted occupant of a group home must be zero- or one-bedroom, depending on the PHA’s subsidy standard. If there is a live-in aide, the aide must be counted in determining the household’s unit size.
The payment standard used to calculate the HAP is the lower of the payment standard for the family unit size or the pro- rata share of the payment standard for the group home size. The pro- rata share is calculated by dividing the number of persons in the assisted household by the number of persons (assisted and unassisted) living in the group home.
The HAP for an assisted occupant in a group home is the lower of the payment standard minus the TTP or the gross rent minus the TTP.
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The utility allowance for an assisted occupant in a group home is the pro- rata share of the utility allowance for the group home.
The rents paid for participants residing in group homes are subject to generally applicable standards for rent reasonableness. The rent for an assisted person must not exceed the pro- rata portion of the reasonable rent for the group home.
In determining reasonable rent, the PHA should consider whether sanitary facilities and facilities for food preparation and service are common facilities or private facilities.
15-III.C. HOUSING QUALITYNATIONAL STANDARDS FOR THE PHYSICAL
INSPECTION OF REAL ESTATE (NSPIRE)
HQSThe entire unit must comply with NSPIRE requirements described in Chapter 8, except for the standards that relate to sanitary facilities, food preparation and refuse disposal, space and security, structure and materials, and site and neighborhood and stated below.
NSPIRE requirements described in Chapter 8 apply to group homes except for the requirements stated below.
• Sanitary Facilities: A group home must have at least one bathroom in the facility, with a flush toilet that can be used in privacy, a fixed basin with hot and cold running water, and a shower or bathtub with hot and cold running water. A group home may contain private or common bathrooms. However, no more than four residents can be required to share a bathroom. •
Food Preparation and Service: Group home units must contain a kitchen and dining area with adequate space to store, prepare, and serve food. The facilities for food preparation and service may be private or may be shared by the residents. The kitchen must contain a range, an oven, a refrigerator, and a sink with hot and cold running water. The sink must drain into an approvable public or private disposal system.
• Space and Security: Group homes must contain at least one bedroom of appropriate size for every two people, and a living room, kitchen, dining area, bathroom, and other appropriate social, recreational, or community space that may be shared with other residents.
• Structure and Material: To avoid any threat to the health and safety of the residents, group homes must be structurally sound. Elevators must be in good condition. Group homes must be accessible to and usable by residents with disabilities.
• Site and Neighborhood: Group homes must be located in a residential setting.
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health, safety, and general welfare of the residents, and should not be subject to serious adverse conditions, such as:
- Dangerous walks or steps
- Instability
- Flooding, poor drainage
- Septic tank back-ups
- Sewage hazards
- Mud slides
- Abnormal air pollution
- Smoke or dust
- Excessive noise
- Vibrations or vehicular traffic
- Excessive accumulations of trash
- Vermin or rodent infestation, and
- Fire hazards.
The housing quality standards applicable to lead-based paint do not apply.
PART IV: SHARED HOUSING
[24 CFR 982.615 through 982.618]
15 -IV.A. OVERVIEW
Families in markets with tight rental conditions or with a prevalence of single- family housing may determine a shared housing living arrangement to be a useful way to secure affordable housing. PHAs offering shared housing as a housing solution may also experience some reduction in the average per-unit- cost (PUC) paid on behalf of assisted families.
Shared housing is a single housing unit occupied by an assisted family and another resident or other residents. The shared unit consists of both common space for use by the occupants of the unit and separate private space for each assisted family.
An assisted family may share a unit with other persons assisted under the HCV program or with other unassisted persons.
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assistance may not be paid on behalf of the owner. The resident owner may not be related by blood or marriage to the assisted family.
If approved by the PHA, a live-in aide may reside with the family to care for a person with disabilities. The PHA must approve a live-in aide if needed as a reasonable accommodation so that the program is readily accessible to and usable by persons with disabilities.
When providing HCV assistance in shared housing, a separate lease and HAP contract are executed for each assisted family, and the standard form of the HAP contract is used.
HACP Policy:
The HACP does not administer the Shared Housing Program, but will provide information to families regarding the shared housing option, including a listing to families of any known for-profit or nonprofit shared housing matching services in nearby communities at briefing, and upon request. Families will be advised they can conduct their own internet search. Families will be cautioned to not enter into any rental agreement or pay any deposit or rental payment until the tenancy is approved by the PHA.
PHAs should be aware of potential local legal barriers to HCV participants using shared housing, which can create additional obstacles for shared housing:
• Municipalities may have occupancy limits for the number of unrelated persons who may share a housing unit.
• Local zoning codes for single family housing may restrict occupancy in certain areas to households whose family members are related by blood.
PHAs should work with local jurisdictions to find solutions that encourage affordable housing and are consistent with the Fair Housing Act, Title VI, and other federal, state, and local fair housing laws. PHAs should inform HUD if they encounter barriers to shared housing that may conflict with fair housing laws.
HACP Policy:
The HACP does not administer the Shared Housing Program but will work with local jurisdictions as necessary to identify solutions consistent with fair housing laws and will inform HUD if the PHA encounters barriers to shared housing that conflict with fair housing laws.
When providing HCV assistance in shared housing, a separate lease and HAP contract are executed for each assisted family. The standard form of the HAP contract is used (form HUD-52641) with the special housing type specified in Part A of the HAP contract, as follows: “This HAP contract is used for the following special housing type under HUD regulations for the Section 8 voucher program:
(Shared housing”.
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15-IV.B. PAYMENT STANDARD, UTILITY ALLOWANCE AND HAP
CALCULATION
The payment standard for a family in shared housing is the lower of the payment standard for the family unit size or the pro- rata share of the payment standard for the shared housing unit size.
The pro- rata share is calculated by dividing the number of bedrooms available for occupancy by the assisted family in the private space by the total number of bedrooms in the unit.
The HAP for a family in shared housing is the lower of the payment standard minus the TTP or the gross rent minus the TTP. The utility allowance for an assisted family living in shared housing is the lower of the utility allowance for the family unit size (voucher size) or the pro-rata share of the utility allowance for the shared housing unit.
Example: A family holds a 2-bedroom voucher. The family decides to occupy 3 out of 4
Shared housing unit size: bedrooms available to assisted family = 2 Total bedrooms in the unit. : 3
The utility allowance2 Bedrooms for a 4-bedroomassisted family ÷ 3 Bedrooms in the unit equals $200
The utility allowance for a 2-bedroom unit equals $100
The.667 pro- rata share of the utility allowance
2 BR payment standard: $1200
3 BR payment standard: $1695 $1695 x .667 (pro rata share) = $1131 $1131 is $150 (3/4 of $200)
The PHA will use the 2-bedroom utility allowance of $100.lower than the $1200 payment standard for the 2 BR family unit size $1131 is the payment standard used to calculate the HAP
The HAP for a family in shared housing is the lower of the payment standard minus the TTP or the gross rent minus the TTP.
The utility allowance for an assisted family living in shared housing is the pro rata share of the utility allowance for the shared housing unit.
Example: A family holds a 2-bedroom voucher. The family decides to occupy 3 out of 4 bedrooms available in the unit.
The utility allowance for a 4-bedroom unit equals $200
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The utility allowance for a 2-bedroom unit equals $100
The pro rata share of the utility allowance is $150 (3/4 of $200) The PHA will use the 2-bedroom utility allowance of $100.
The rents paid for families living in shared housing are subject to generally applicable standards for rent reasonableness. The rent paid to the owner for the assisted family must not exceed the pro- rata portion of the reasonable rent for the shared unit. In determining reasonable rent, the PHA should consider whether sanitary and food preparation areas are private or shared.
15-IV.C. HOUSING QUALITYNATIONAL STANDARDS FOR THE PHYSICAL
INSPECTION OF REAL ESTATE (NSPIRE)
The PHA may not give approval to reside in shared housing unless the entire unit, including the portion of the unit available for use by the assisted family under its lease, meets the housing quality standards.
HQSNSPIRE requirements described in Chapter 8 apply to shared housing except for the requirements stated below.
• Facilities Available for the Family: Facilities available to the assisted family, whether shared or private, must include a living room, a bathroom, and food preparation and refuse disposal facilities.
•
Space and Security: The entire unit must provide adequate space and security for all assisted and unassisted residents. The private space for each assisted family must contain at least one bedroom for each two persons in the family. The number of bedrooms in the private space of an assisted family must not be less than the family unit size. A zero-bedroom or one-bedroom unit may not be used for shared housing.
PART V: COOPERATIVE HOUSING
[24 CFR 982.618]
15 -V.A. OVERVIEW
This part applies to rental assistance for a cooperative member residing in cooperative housing. It does not apply to assistance for a cooperative member who has purchased membership under the HCV homeownership option, or to rental assistance for a family that leases a cooperative housing unit from a Formatted: Font: Times New Roman, 10 pt
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cooperative member.
A cooperative is a form of ownership (nonprofit corporation or association) in which the residents purchase memberships in the ownership entity. Rather than being charged “rent” a cooperative member is charged a “carrying charge.” When providing HCV assistance in cooperative housing, the standard form of the HAP contract is used.
15-V.B. PAYMENT STANDARD, UTILITY ALLOWANCE AND HAP
CALCULATION
The payment standard and utility allowance are determined according to regular HCV program requirements.
The HAP for a cooperative housing unit is the lower of the payment standard minus the TTP or the monthly carrying charge for the unit, plus any utility allowance, minus the TTP. The monthly carrying charge includes the member’s share of the cooperative debt service, operating expenses, and necessary payments to cooperative reserve funds. The carrying charge does not include down payments or other payments to purchase the cooperative unit or to amortize a loan made to the family for this purpose.
15-V.C. HOUSING QUALITYNATIONAL STANDARDS FOR THE PHYSICAL
INSPECTION OF REAL ESTATE (NSPIRE)
All standard HQSNSPIRE requirements apply to cooperative housing units.
There are no additional HQSNSPIRE requirements. The PHA remedies described in 24 CFR 982.404 do not apply. Rather, if the unit and premises are not maintained in accordance with NSPIRE standards, the PHA may exercise all available remedies regardless of whether the family or cooperative is responsible for the breach of NSPIRE standards.
No housing assistance payment can be made unless unit meets NSPIRE standards and the defect is corrected within the period as specified by the PHA and the PHA verifies correction (see Chapter 8).
In addition to regular NSPIRE deficiencies, breaches of NSPIRE standards by the family include failure to perform any maintenance for which the family is responsible in accordance with the terms of the cooperative occupancy agreement [HCV GB].
PART VI: MANUFACTURED HOMES
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[24 CFR 982.620 through 982.624; FR Notice 1/18/17]
15-VI.A. OVERVIEW
A manufactured home is a manufactured structure, transportable in one or more parts, that is built on a permanent chassis, and designed for use as a principal place of residence. HCV-assisted families may occupy manufactured homes in two different ways.
(1) A family can choose to rent a manufactured home already installed on a space and the PHA must permit it. In this instance program rules are the same as when a family rents any other residential housing, except that there are special HQSNSPIRE requirements as provided in 15-VI. D below. (2) HUD also permits an otherwise eligible family that owns a manufactured home to rent a space for the manufactured home and receive HCV assistance with the rent for the space as well as certain other housing expenses. PHAs may, but are not required to, provide assistance for such families.
15-VI.B. SPECIAL POLICIES FOR MANUFACTURED HOMEOWNERS WHO
LEASE A SPACE
Family Income
In determining the annual income of families leasing manufactured home spaces, the value of the family’s equity in the manufactured home in which the family resides is not counted as a family asset.
Lease and HAP Contract
There is a separate Tenancy Addendum (Form 52642-a) and separate HAP Contract (Form 52642) for this special housing type.
15-VI.C. PAYMENT STANDARD, UTILITY ALLOWANCE AND HAP
CALCULATION [FR Notice 1/18/17]
Payment Standards
The PHA payment standard for manufactured homes is determined in accordance with 24 CFR 982.505 and is the payment standard used for the PHA’s HCV program. It is based on the applicable FMR for the area in which the manufactured home space is located.
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size) or the payment standard for the number of bedrooms in the manufactured home.
Utility Allowance
The PHA must establish utility allowances for manufactured home space rental.
For the first 12 months of the initial lease term only, the allowance must include an amount for a utility hook-up charge if the family actually incurred a hook-up charge because of a move. This allowance will not be given to a family that leases in place. Utility allowances for manufactured home space must not include the costs of digging a well or installing a septic system.
If the amount of the monthly assistance payment for a family exceeds the monthly rent for the manufactured home space (including the owner’s monthly management and maintenance charges), the PHA may pay the remainder to the family, lender, or utility company.
Space Rent
The rent for the manufactured home space (including other eligible housing expenses) is the total of:
• The rent charged for the manufactured home space,
• Owner maintenance and management charges for the space, • The monthly payments made by the family to amortize the cost of purchasing the manufactured home, including any required insurance and property taxes; and
• The applicable allowance for tenant-paid unities.
Amortization Costs
The monthly payment made by the family to amortize the cost of purchasing the manufactured home is the debt service established at the time of application to a lender for financing the purchase of the manufactured home if monthly payments are still being made. Any increase in debt service due to refinancing after purchase of the home may not be included in the amortization cost. Debt service for set-up charges incurred by a family may be included in the monthly amortization payments made by the family. In addition, set-up charges incurred before the family became an assisted family may be included in the amortization cost if monthly payments are still being made to amortize the charges.
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Housing Assistance Payment
The HAP for a manufactured home space under the housing choice voucher program is the lower of the payment standard minus the TTP or the manufactured home space rent (including other eligible housing expenses) minus the TTP.
Rent Reasonableness
Initially, and annually thereafter the PHA must determine that the rent for the manufactured home space is reasonable based on rents for comparable manufactured home spaces. The PHA must consider the location and size of the space, and any services and maintenance to be provided by the owner. By accepting the monthly HAP check, the owner certifies that the rent does not exceed rents charged by the owner for comparable unassisted spaces in the manufactured home park or elsewhere.
15-VI.D. HOUSING QUALITYNATIONAL STANDARDS FOR THE PHYSICAL
INSPECTION OF REAL ESTATE (NSPIRE)
Under either type of occupancy described in 15-VI.A. above, the manufactured home must meet all HQSNSPIRE performance requirements and acceptability criteria discussed in Chapter 8 of this plan. In addition, the following requirement applies:
Manufactured Home Tie-Down
A manufactured home must be placed on the site in a stable manner and must be free from hazards such as sliding or wind damage. The home must be securely anchored by a tie-down device that distributes and transfers the loads imposed by the unit to appropriate ground anchors to resist overturning and sliding.
PART VII: HOMEOWNERSHIP
[24 CFR 982.625 through 982.643]
15-VII.A. OVERVIEW [24 CFR 982.625]
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The homeownership option is used to assist a family residing in a home purchased and owned by one or more members of the family. A family assisted under this option may be newly admitted or an existing participant in the HCV program. The PHA must have the capacity to operate a successful HCV homeownership program as defined by the regulations.
HACP Policy:
The HACP has instituted a minimum homeowner down payment requirement of at least three percent of the purchase price and requires that at least one percent of the purchase price come from the family's personal resources.
There are two forms of homeownership assistance described in the regulations:
monthly homeownership assistance payments and single down payment assistance grants. However, PHAs may not offer down payment assistance until and unless funding is allocated by Congress. Since this has not yet happened, only monthly homeownership assistance may be offered.
HACP Policy:
The HACP will offer the monthly homeownership assistance payments to qualified families.
The PHA must offer homeownership assistance if needed as a reasonable accommodation so that the program is readily accessible to and usable by persons with disabilities. It is the sole responsibility of the PHA to determine whether it is reasonable to implement a homeownership program as a reasonable accommodation. The PHA must determine what is reasonable based on the specific circumstances and individual needs of the person with a disability.
The PHA may determine that it is not reasonable to offer homeownership assistance as a reasonable accommodation in cases where the PHA has otherwise opted not to implement a homeownership program.
The PHA must approve a live-in aide if needed as a reasonable accommodation so that the program is readily accessible to and usable by persons with disabilities.
15-VII.B. FAMILY ELIGIBILITY [24 CFR 982.627]
The family must meet all of the requirements listed below before the commencement of homeownership assistance. The PHA may also establish additional initial requirements as long as they are described in the PHA administrative plan.
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• The family must have been admitted to the Housing Choice Voucher program.
The family must qualify as a first-time homeowner or may be a cooperative member.
HACP Policy:::
A first-time home buy er me ans t hat no mem ber of the ho usehold has had any interest or ownership in any residence during the three years before applying for homeownership assistance or at the
commencement of participation in the homeownership program. The purchaser must sign a sworn application attesting that they have not owned a hom e. In addition, the last three y ears tax returns may be required to ascertain that no mortgage interest or real estate tax deductions have been claimed. Single parents or displaced homemakers who owned a home w hile m arried or resided in a home owned by a spouse also qualify as first- time homebuyers.
The family must meet the Federal minimum income requirement. The family must have a gross annual income equal to the
Federal minimum wage
multiplied by 2,000, based on the income of adult family members who will own the home. The PHA may establish a higher income standard for families.
However, a family that meets the federal minimum income requirement (but not the PHA's requirement) will be considered to meet the minimum income requirement if it can demonstrate that it has been pre-qualified or pre- approved for financing that is sufficient to purchase an eligible unit.
HACP Policy:
The HACP may not establish a higher minimum income standard for disabled and/or non-disabled families.
HACP Policy:
Calculation of income-eligibility f or the HCV Homeownership Prog ram for th e purpose of dete rmining income-eligibility f or adm ission to t he program will be conducted under the guidelines for HCV rental assistance as noted in this Administrative Plan.
a) The he ad
of household, spouse or other adult member(s) of the
household that will hold title to the home must have a combined annual gross income of not less than $1 0,300 or 30% of the Median Family Income adjusted for the family size and must not exceed 80% of th e Median Family Income as determined by HUD.
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b) A family th at does not meet this requirement, but do es meet all other HOME OWNERSHIP PROGRAM requirements, may
request a waiver provided the family can demonstrate that:
• Head of ho usehold, spouse or ot her a dult memb er(s) of th e household that wil l hold title to the home have a combined annual gross income of n ot less than the
California State minimum wage multiplied by 2,000 and,
• Family is able to secu re a m ortgage and the total
housing cost to the family will not ex ceed thir ty five percent (3 5%) of t he
family’s total gross monthly income
c) Welfa re assis
tance may not be included in the minimum gross
annual income abov e, ex cept f or elderly or di sabled f amilies.
Welfare assistance includes paym ents from Temp orary
assistance f or Ne edy Families (TANF), Supplementary Security Income (SSI) that is subject to an income eligibility test, food stamps, general assistance (GA); or other welfare assistance as specified by HUD.
• For disabled families, the minimum income requirement is equal to the current SSI monthly payment for an individual living alone, multiplied by 12. • For elderly or disabled families, welfare assistance payments for adult family members who will own the home will be included in determining whether the family meets the minimum income requirement. It will not be included for other families.
• The family must satisfy the employment requirements by demonstrating that one or more adult members of the family who will own the home at commencement of homeownership assistance is currently employed on a full-time basis (the term 'full-time employment' means not less than an average of 30 hours per week); and has been continuously so employed during the year before commencement of homeownership assistance for the family.
HACP Policy:
The HACP has the following guidelines for a family to be eligible:
a) One or more adult members of t he household that will hold title to the home must be curr ently em ployed and w orking not less th an average of 30 hours of p er week and has been Formatted: Indent: Left: 0.5", First line: 0.5", Line spacing: Multiple 1.15 li
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continuously employed for one (1) year prior to application to the Home Ownership Program.
b) Employm ent requirements do not apply to elderly or
disabled families that otherwise qualify for Home Ownership Program.
c) A family w ith a member with disabilities may request an exemption from the w ork re quirements if needed as a
reasonable accommodation for the disabled family member.
d) The HACP m ay also consid er w hether a nd to w hat exte nt an employment interruption is considered permissible in satisfying the employment requirement. The HACP m ay
also consid er successive em ployment during the one-y ear period and self- employm ent in a business.
e) The HACP will count self-employment in a business when determining whether the family meets the employment
requirement.
•
The employment requirement does not apply to elderly and disabled families. In addition, if a family, other than an elderly or disabled family includes a person with disabilities, the PHA must grant an exemption from the employment requirement if the PHA determines that it is needed as a reasonable accommodation.
• The family has not defaulted on a mortgage securing debt to purchase a home under the homeownership option.
• Except for cooperative members who have acquired cooperative membership shares prior to commencement of homeownership assistance, no family member has a present ownership interest in a residence at the commencement of homeownership assistance for the purchase of any home.
• Except for cooperative members who have acquired cooperative membership shares prior to the commencement of homeownership assistance, the family has entered into a contract of sale in accordance with 24 CFR 982.631(c).
HACP Policy:
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The HACP has the following additional guidelines for a family to be eligible:
1. M inimum down payment requirement
Each participating family must dem onstrate the ability to provide the minimum down payment requirement. Funds th at a re required cannot come from any outside source; they must come directly from the borrower.
a) At least one p ercent (1%) of t he purchase price must come from the family personal resources.
2. Other requirements
a) The f amily must have com pleted an initial HCV lease term and completed the family’s first annual certification in the HCV Program. The family must terminate a current lease
agreement in compliance with the lease when transitioning into homeownership.
b) The family must v erify that no family mem ber has previously defaulted on a mortgage assisted under the HCV Home
Ownership Program.
The head of household and any other adult members that will hold title to the home must successf ully complete a counseling program that has been deemed acce ptable by the HACP. The HACP may require ongoing counseling for participants in the program. Family members may not owe any debt to the HACP or another HACP.
a) The family must m aintain a g ood tenant standing with its landlord and the HACP. This includes, but is not limited to:
• In compliance with HUD Family Obligations under the
HCV Program
• Adhering to the requirements of the lease agreement
• No outsta nding d ebts to the landlord or to any utility company,
• Report all household income
• Passing the most recent Uniform Physical Condition
Standards for Vouchers (UPCS-V)NSPIRE standards
for inspection with no significant tenant caused failure items.
• The family has had no family-caused violations of
HUD’s NSPIRE standards within the past year.
• The family is not within the initial one-year period of a Formatted: Font color: Red
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HAP Contract.
• The family owes no money to the PHA.
• The family has not committed any serious or repeated
violations of a PHA-assisted lease within the past year.
15-VII.C. SELECTION OF FAMILIES [24 CFR 982.626]
Unless otherwise provided (under the homeownership option), the PHA may limit homeownership assistance to families or purposes defined by the PHA and may prescribe additional requirements for commencement of homeownership assistance for a family. Any such limits or additional requirements must be described in the PHA administrative plan.
If the PHA limits the number of families that may participate in the homeownership option, the PHA must establish a system by which to select families to participate.
HACP Policy:
The HACP will administer up to five new homeownership units per year.
The HACP may exceed the number of units planned per year if it is necessary as a reasonable accommodation for a person with a disability.
If this occurs, the HACP may reduce the number of homeownership units offered in subsequent years.
Families who have been participating in an economic self-sufficiency program for at least six months, or have graduated from such a program, will be given preference over other families. Elderly and disabled families will automatically be given this preference.
Within preference and non-preference categories, families will be selected according to the date and time their application for participation in the homeownership option is submitted to the HACP.
All families must meet eligibility requirements as defined in Section 15- VII.B. of this plan.
15-VII.D. ELIGIBLE UNITS [24 CFR 982.628]
In order for a unit to be eligible, the PHA must determine that the unit satisfies all of the following requirements:
• The unit must meet HUD’s “eligible housing” requirements. The unit may not be any of the following:
- A public housing or Indian housing unit,
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- A unit receiving Section 8 project-based assistance,
- A nursing home, board and care home, or facility providing continual psychiatric, medical or nursing services,
- A college or other school dormitory,
- On the grounds of penal, reformatory, medical, mental, or similar public or private institutions.
• The unit must be under construction or already exist at the time the family enters into the contract of sale.
• The unit must be a one-unit property or a single dwelling unit in a cooperative or condominium.
• The unit must have been inspected by the PHA and by an independent inspector designated by the family.
• The unit must meet Housing QualityNSPIRE Standards (see Chapter 8). • For a unit where the family will not own fee title to the real property (such as a manufactured home), the home must have a permanent foundation and the family must have the right to occupy the site for at least 40 years.
HACP Policy:
The following unit types may be purchased using the HCV Home Ownership Program
•
A one-unit property (single family residence)
• A single dwelling unit in a cooperative, condominium or planned use development.
• A manufactured home w ith a permanent fo undation if th e family has the right to occupy the same site for a period of at least forty (40) years. • The u nit must be seller occupied or vacant for at least ninety (90) days; an exception is where the tenants are purchasing the unit in which they have been residing.
For PHA-owned units all of the following conditions must be satisfied:
- The PHA informs the family, both verbally and in writing, that the family has the right to purchase any eligible unit and a PHA-owned unit is freely selected by the family without PHA pressure or steering, - The unit is not ineligible housing,
- The PHA obtains the services of an independent agency to inspect the unit for compliance with HQSNSPIRE, review the independent inspection Formatted: Font color: Red
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report, review the contract of sale, determine the reasonableness of the sales price and any PHA provided financing. All of these actions must be completed in accordance with program requirements.
The PHA must not approve the unit if the PHA has been informed that the seller is debarred, suspended, or subject to a limited denial of participation.
15-VII.E. ADDITIONAL PHA REQUIREMENTS FOR SEARCH AND
PURCHASE [24 CFR 982.629]
It is the family’s responsibility to find a home that meets the criteria for voucher homeownership assistance. The PHA may establish the maximum time that will be allowed for a family to locate and purchase a home and may require the family to report on their progress in finding and purchasing a home. If the family is unable to purchase a home within the maximum time established by the PHA, the PHA may issue the family a voucher to lease a unit or place the family’s name on the waiting list for a voucher.
HACP Policy:
The family will be allowed 120 days to identify a unit and submit a sales contract to the HACP for review. The family will be allowed an additional 120 days to close on the home. PHAs may grant extensions to either of these periods for good cause. The length of the extension(s) will be determined on a case-by-case, but in no case will an extension exceed a total of 125 days. The maximum amount of time a family will be given to locate and complete the purchase of a home under the homeownership option is 365 days.
During these periods, the family will continue to receive HCV rental assistance in accordance with any active lease and HAP contract until the family vacates the rental unit for its purchased home.
All requests for extensions must be submitted in writing to the PHA prior to the expiration of the period for which the extension is being requested.
The HACP will approve or disapprove the extension request within 10 business days. The family will be notified of the HACP’s decision in writing.
The family will be required to report their progress on locating and purchasing a home to the HACP every 30 days until the home is purchased.
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required time frame, and is not receiving rental assistance under a HAP contract at the time the search and purchase time period expires, the family will be issued a voucher to lease a unit.
Search Time:
The family’s deadline date for locating a home to purchase will be 180-days from the date the family is issued a homeownership voucher. The family will be issued a homeownership voucher once they have completed all required pre-purchase counseling and have received a mortgage pre-approval. Extensions may be granted on a case-by-case basis.
Reporting:
HACP will require periodic reports on the family’s progress in finding and purchasing a home. The family will provide such reports on a monthly basis to the Homeownership Coordinator or Authority designated representative.
If Family is Unable to Purchase:
If the family is unable to purchase a home within the maximum time limit, the HACP will issue the family a voucher to lease a unit provided the family is in compliance with Section 8 Housing Choice Voucher program rules.
15-VII.F. HOMEOWNERSHIP COUNSELING [24 CFR 982.630]
Before commencement of homeownership assistance for a family, the family must attend and satisfactorily complete the pre-assistance homeownership and housing counseling program required by the PHA. HUD suggests the following topics for the PHA-required pre-assistance counseling:
• Home maintenance (including care of the grounds),
• Budgeting and money management,
• Credit counseling,
• How to negotiate the purchase price of a home,
• How to obtain homeownership financing and loan pre-approvals, including a description of types of financing that may be available, and the pros and cons of different types of financing,
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• How to find a home, including information about homeownership opportunities, schools, and transportation in the PHA jurisdiction, • Advantages of purchasing a home in an area that does not have a high concentration of low-income families and how to locate homes in such areas, • Information on fair housing, including fair housing lending and local fair housing enforcement agencies; and
• Information about the Real Estate Settlement Procedures Act (12 U.S.C. 2601 et seq.) (RESPA), state and Federal truth-in-lending laws, and how to identify and avoid loans with oppressive terms and conditions.
The PHA may adapt the subjects covered in pre-assistance counseling (as listed) to local circumstances and the needs of individual families.
The PHA may also offer additional counseling after commencement of homeownership assistance (ongoing counseling). If the PHA offers a program of ongoing counseling for participants in the homeownership option, the PHA shall have discretion to determine whether the family is required to participate in the ongoing counseling.
If the PHA does not use a HUD-approved housing counseling agency to provide the counseling, the PHA should ensure that its counseling program is consistent with the counseling provided under HUD’s Housing Counseling program.
HACP Policy:
Post-purchase counseling may generally be triggered by a participant's violation of their homeownership obligations or evidence of the participant’s failure to perform program expectations. The HACP may require the family to attend post-purchase counseling one year after the close of escrow and at any time during the term of the homeownership assistance. Co unseling topics may include:
•
Financial Planning
• Housing Keeping
• Property Maintenance
• Budgeting
Families will not be required to participate in ongoing counseling after commencement of homeownership assistance.
15-VII.G. HOME INSPECTIONS, CONTRACT OF SALE, AND PHA
DISAPPROVAL OF SELLER [24 CFR 982.631]
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Home Inspections
The PHA may not commence monthly homeownership assistance payments for a family until the PHA has inspected the unit and has determined that the unit passes HQS. NSPIRE standards.
HACP Policy:
When the family locates a home they wish to purchase and submits a copy of their purchase offer/contract, the HACP will conduct a housing quality standards NSPIRE inspection within 10 business days. Any items found not to meet NSPIRE standards must be repaired before the unit can be determined eligible for the homeownership program.
An independent professional inspector selected by and paid for by the family must also inspect the unit. The independent inspection must cover major building systems and components, including foundation and structure, housing interior and exterior, and the roofing, plumbing, electrical, and heating systems. The independent inspector must be qualified to report on property conditions, including major building systems and components.
The PHA may not require the family to use an independent inspector selected by the PHA. The independent inspector may not be a PHA employee or contractor, or other person under control of the PHA. However, the PHA may establish standards for qualification of inspectors selected by families under the homeownership option.
HACP Policy:
The family must hire an independent professional inspector, whose report must be submitted to the PHA for review. This inspector must be a member of the American Society of Home Inspectors (ASHI) or other recognized professional society, or a licensed engineer. The inspector cannot be a PHA employee or contractor.
The PHA may disapprove a unit for assistance based on information in the independent inspector’s report, even if the unit was found to comply with HQSNSPIRE standards.
HACP Policy:
The PHA will review the professional report in a timely fashion and, based on the presence of major physical problems, may disapprove the purchase of the home.
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If the PHA disapproves the purchase of a home, the family will be notified in writing of the reasons for the disapproval.
While the family is receiving homeownership assistance, the PHA will not conduct an inspection every other year.
Contract of Sale
Before commencement of monthly homeownership assistance payments, a member or members of the family must enter into a contract of sale with the seller of the unit to be acquired by the family. The family must give the PHA a copy of the contract of sale. The contract of sale must:
• Specify the price and other terms of sale by the seller to the purchaser, • Provide that the purchaser will arrange for a pre-purchase inspection of the dwelling unit by an independent inspector selected by the purchaser, • Provide that the purchaser is not obligated to purchase the unit unless the inspection is satisfactory to the purchaser,
• Provide that the purchaser is not obligated to pay for any necessary repairs; and
• Contain a certification from the seller that the seller has not been debarred, suspended, or subject to a limited denial of participation under CFR part 24.
Disapproval of a Seller
In its administrative discretion, the PHA may deny approval of a seller for the same reasons a PHA may disapprove an owner under the regular HCV program [see 24 CFR 982.306(c)].
15-VII.H. FINANCING [24 CFR 982.632]
The PHA may establish requirements for financing purchase of a home under the homeownership option. This may include requirements concerning qualification of lenders, terms of financing, restrictions concerning debt secured by the home, lender qualifications, loan terms, and affordability of the debt. The PHA must establish policies describing these requirements in the administrative plan.
A PHA may not require that families acquire financing from one or more specified Formatted: Line spacing: 1.5 lines
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lenders, thereby restricting the family’s ability to secure favorable financing terms.
HACP Policy:
As a check against predatory lending, the HACP will review the financing of each purchase transaction, including estimated closing costs. The HACP will review the loans for features, such as balloon payments, adjustable rate mortgages, and unusually high interest rates, all of which are prohibited. The PHA also will not approve “seller financing” or “owner- held” mortgages. Beyond these basic criteria, the HACP will rely on the lenders to determine that the loan will be affordable to program participants.
The mortgage the family applies for must require a minimum down payment of at least three percent of the sales price with one percent of the down payment coming from the purchaser’s personal funds. The HACP will not require that the family have any more than the minimum of one percent of their own money in the transaction. However, in cases where a lender is requiring a larger amount, the family may be held to the underwriting guidelines set by their lending institution.
The family must execute documentation giving the HACP or its designee, the first right of refusal in the event the family decided to sell the home.
This document will be in effect during the term of the HAP. The HACP will require the family to include the HACP as additional insured on the homeowner’s insurance policy.
Financing Requirements:
The family is responsible for securing financing. HACP has established financing requirements, listed below, and may disapprove proposed financing if the Authority determines that the debt is unaffordable. HACP may prohibit the following forms of financing:
a. Balloon payment mortgages
b. Variable interest rate loans
c. Seller financing on a case-by-case basis
d. All mortgage payment costs cannot exceed 50% monthly gross income. e. Loans including persons other than those listed in the assisted family household for Homeownership program participation.
f. Other types of loans that come to the attention of HACP that demonstrate a high- risk factor - to be decided on a case-by-case basis.
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Underwriting Guidelines:
If the mortgage is not FHA-insured, the Authority will require the lender to comply with generally accepted mortgage underwriting standards consistent with those of HUD/FHA, Ginnie Mae, Fannie Mae, Freddie Mac, California Housing Finance Agency (CalHFA), USDA Rural Housing Services, The Federal Home Loan Bank or other private lending institutions.
Down Payment:
The family is expected to comply with secondary mortgage market underwriting down payment requirements. HACP requires the family to contribute at least one percent (1%) of the purchase price towards the down payment. This amount must come from the family’s personal resources and not from gifts, grants, retirement accounts or down payment assistance. HACP may grant relief from this requirement in those cases where a contribution of personal resources would result in extreme hardship for the family.
15-VII.I. CONTINUED ASSISTANCE REQUIREMENTS; FAMILY
OBLIGATIONS [24 CFR 982.633]
Homeownership assistance may only be paid while the family is residing in the home. If the family moves out of the home, the PHA may not continue homeownership assistance after the month when the family moves out. The family or lender is not required to refund to the PHA the homeownership assistance for the month when the family moves out.
Before commencement of homeownership assistance, the family must execute a statement in which the family agrees to comply with all family obligations under the homeownership option.
The family must comply with the following obligations:
1. Ongoing counseling:
To the extent required by the HACP, the family must attend and complete ongoing homeownership and housing counseling.
2. Compliance with mortgage: The family must comply with the terms of any mortgage securing debt incurred to purchase the home (or any refinancing of such debt).
3. Prohibition against conveyance or transfer of home;
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a. So long as the family is receiving homeownership assistance, use and occupancy of the home is subject to 982.551(h) and (i). b. The family may grant a mortgage on the home for debt incurred to finance purchase of the home or any refinancing of such debt. c. Upon death of a family member who holds, in whole or in part, title to the home or ownership of cooperative membership shares for the home, homeownership assistance may continue pending settlement of the decedent's estate, notwithstanding transfer of title by operation of law to the decedent's executor or legal representative, so long as the home is solely occupied by remaining family members in accordance with 24 CFR 982.551(h).
4. Supplying required information:
The family must supply required information to the HACP in accordance with 982.551(b). In addition to other required information, the family must supply any information as required by the HACP or HUD concerning any mortgage or other debt incurred to purchase the home, and any refinancing of such debt (including information needed to determine whether the family has defaulted on the debt, and the nature of any such default), information on any satisfaction or payment of the mortgage debt; information on any sale or other transfer of any interest in the home and information on the family's homeownership expenses.
5. Notice of move-out: The family must notify the HACP before the family moves out of the home.
6. Notice of mortgage default: The family must notify the HACP if the family defaults on a mortgage securing any debt incurred to purchase the home.
7. The family must provide the PHA with information on any satisfaction or payment of the mortgage debt.
8. Prohibition onof ownership interest on second residence: During the time the family receives homeownership assistance, no family member may have any ownership interest in any other residential property.
9. Other family obligations: The family must comply with the obligations of a participant family described in 982.551. However, the following provisions do not apply to assistance under the homeownership option; 982.551(c), (d), (e), (f), (g) and (j)
HACP Policy:
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ongoing assistance.
Before commencement of homeownership assistance, the family must execute the HACP Statement of Family Obligations which details the additional HACP HCV Homeownership Program obligations. In the statement, the family agrees to comply with the additional HACP requirements under the homeownership option.
The family must comply with the following additional obligations.
Continuous Employment Obligations
• The applicant head of household, co-head or spouse must remain continuously employed (no less than 30 hours per week) while participating in the program.
• Part-time employment by both parties, totaling over 30 hours per week, does not constitute fulltimefull-time employment by either party.
For continued eligibility purposes, continuous employment is defined as full time employment (average of 30 hours per week) with no gap in employment lasting more than four weeks total (30 hours x 48 weeks = 1,440 hours).
The employment requirement is not applicable to elderly families or those who’s head or co-head of household, spouse or sole member experience permanent disability.
Mitigating Circumstances:
If a working family is subsequently determined by HACP to now qualify as a “disabled family,” as defined by HUD, the full-time employment requirement is no longer applicable to that family.
HACP will consider mitigating circumstances where certain lapses in employment prohibit the family from meeting its continuous employment obligation. These include receipt of Unemployment Insurance Benefits due to layoff; absences defined under the Family Medical Leave Act; receipt of Workman’s Compensation benefits.
HACP will allow week-for-week substitutions whenever any of these benefits are received.
The participant must return to full-time employment within 30 days after exhaustion of unemployment benefits. Failure to return to full-time employment (30 hours per week) within 30 days will generate a 30-day Formatted: Normal
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Notice to Correct. Failure to correct will result in a correctable 30-day Notice of Termination.
A participant who is employed but is on leave from work due to maternity leave, FMLA or is receiving Workman’s Compensation, is exempt from the full-time employment requirement during the period of approved leave from work. A participant must return to full-time employment within 30 days after exhaustion of applicable benefits. Willful failure to return to full- time employment (30 hours per week), after 30 days, will generate a 30- day Notice to Correct. Failure to correct will result in a correctable 30-day Notice of Termination.
Consideration of other mitigating circumstances is at the discretion of a local Area Coordinator recommendation to the HCV Program Administrator. The Program Administrator will review any additional mitigating circumstances that prevent a participant’s return to full-time employment within the time frames allotted. Determinations of the review are made on a case-by-case basis. The decisions are subject to final approval by the Housing Manager.
Prohibition Against Conveyance or Transfer of The Home
So long as the family is receiving homeownership assistance, they may not sell, convey or transfer any interest in the home to any entity or person other than a member of the assisted family residing in the home. If the family chooses to sell the home to another family member, they must inform HACP of their intent prior to the sale and receive written consent from HACP before commencing with any sale, refinance or transfer of interest. The family is required to provide HACP with applicable documentation related to any sale, refinance, or transfer.
Upon the death of a family member who holds, in whole or in part, title to the home or ownership of cooperative membership shares for the home, homeownership assistance may continue pending settlement of the decedent’s estate, notwithstanding transfer of the title by operation of the law to the decedent’s executor or legal representative, so long as the home is solely occupied by remaining family members. The family is required to inform the HACP of the decedent’s death within fourteen (14) days if its occurrence.
Annual Recertification
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The family must complete Annual Reexaminations in accordance with Chapter 11 Part 1, of this Administrative Policy (Chapter 11 Part 1, Annual Reexaminations [24 CFR 982.516])
During each annual re-certification, the family is required to document that it is current on mortgage, insurance and utility payments.
Notice of Move-Out and Mortgage Default
The family must notify HACP of its intent to move out of the home by supplying HACP with an advanced written thirty-day notice. The family will notify HACP in advance if any family member who owns, in whole or in part, any ownership interest in the home moves out.
Changes in Family Income or Household Composition
The Family must inform HACP of any changes in the sources and amounts of family income and notify HACP of any changes in the family composition in accordance with Chapter 11, Part II of this Administrative Policy (Chapter 11 Part 2, Interim Reexaminations [24 CFR 982.516])
Refinancing
The family must obtain written approval from the HACP before securing any refinance or equity loan.
During the time the family receives homeownership assistance, no family member may have any ownership interest in any other residential property.
Other Continued Family Obligations
The family must;
1. Sign a release allowing HACP, counselors, realtors, and participating lenders to exchange information on the borrower.
2. Agree to maintain the condition of the home to comply with minimum HUD Housing Quality Standards (HQSNSPIRE).
3. Acknowledge that the termination of assistance shall be in accordance with program requirements and the Administrative Plan.
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4. Acknowledge that the family is obligated for the whole mortgage payment in the event of termination of assistance.
5. Not sublease or assign the property.
6. Refinancing a mortgage to cash out equity that will be used to purchase a second home is prohibited for participants of the Homeownership Program
15-VII.J. MAXIMUM TERM OF HOMEOWNER ASSISTANCE [24 CFR 982.634] The time limits below apply to all family members having an ownership interest in the unit during the time that homeownership payments are made; and, the spouse of any member of the h ousehold who has an ownership interest in the unit during the time that homeownership payment are made. All families, including famil ies that become elderly during the term of the homeow nership assistance are subject to the following maximum terms:
• Fifteen years, if the initial mortgage incurred to finance purchase of the home has a term of 20 years or longer; or
• Ten years, in all other cases.
The maximum term described above applies to any member of the family who:
• Has an ownership interest in the unit during the time that homeownership payments are made; or
• Is the spouse of any member of the household who has an ownership interest in the unit during the time homeownership payments are made.
*The maximum term of assistance does not apply to elderly or disabled families.
In the case of an elderly family, the exception only applies if the family qualifies as an elderly family at the start of homeownership assistance. In the case of a disabled family, the exception applies if at any time during receipt of homeownership assistance the family qualifies as a disabled family.
If, during the course of homeownership assistance, the family ceases to qualify as a disabled or elderly family, the maximum term becomes applicable from the date homeownership assistance commenced. However, such a family must be provided at least 6 months of homeownership assistance after the maximum Formatted: Line spacing: 1.5 lines
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term becomes applicable (provided the family is otherwise eligible to receive homeownership assistance). If the family has received such assistance for different homes, or from different HACPs, the total of such assistance terms is subject to the maximum term described in this part.
The maximum term described above applies to any member of the family who:
• Has an ownership interest in the unit during the time that homeownership payments are made; or
• Is the spouse of any member of the household who has an ownership interest in the unit during the time homeownership payments are being made.
In the case of an elderly family, the exception only applies if the family qualifies as an elderly family at the start of homeownership assistance. In the case of a disabled family, the exception applies if at any time during receipt of homeownership assistance the family qualifies as a disabled family.
If, during the course of homeownership assistance, the family ceases to qualify as a disabled or elderly family, the maximum term becomes applicable from the date homeownership assistance commenced. However, such a family must be provided at least 6 months of homeownership assistance after the maximum term becomes applicable (provided the family is otherwise eligible to receive homeownership assistance).
If the family has received such assistance for different homes, or from different PHAs, the total of such assistance terms is subject to the maximum term described in this part.
15-VII.K. HOMEOWNERSHIP ASSISTANCE PAYMENTS AND
HOMEOWNERSHIP EXPENSES [24 CFR 982.635]
The monthly homeownership assistance payment is the lower of:
• the voucher payment standard minus the total tenant payment, or the monthly homeownership expenses minus the total tenant payment.
In determining the amount of the homeownership assistance payment, the PHA will use the same payment standard schedule, payment standard amounts, and subsidy standards as those described elsewhere in this plan for the Housing Choice Voucher program. The payment standard for a family is the greater of (i) The payment standard as determined at the commencement of homeownership assistance for occupancy of the home, or (ii) The payment standard at the most recent regular reexamination of family income and composition since the commencement of homeownership assistance for occupancy of the home.
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family, or at the PHA’s discretion, to a lender on behalf of the family. If the assistance payment exceeds the amount due to the lender, the PHA must pay the excess directly to the family.
Homeownership assistance for a family terminates automatically 180 calendar days after the last homeownership assistance payment on behalf of the family.
However, a PHA may grant relief from this requirement in those cases where automatic termination would result in extreme hardship for the family.
The PHA must adopt policies for determining the amount of homeownership expenses to be allowed by the PHA in accordance with HUD requirements.
Homeownership expenses (not including cooperatives) only include amounts allowed by the PHA to cover:
• Principal and interest on initial mortgage debt, any refinancing of such debt, and any mortgage insurance premium incurred to finance purchase of the home,
• Real estate taxes and public assessments on the home, • Home insurance,
• The PHA allowance for maintenance expenses,
• The PHA allowance for costs of major repairs and replacements, • The PHA utility allowance for the home,
• Principal and interest on mortgage debt incurred to finance costs for major repairs, replacements or improvements for the home. If a member of the family is a person with disabilities, such debt may include debt incurred by the family to finance costs needed to make the home accessible for such person, if the PHA determines that allowance of such costs as homeownership expenses is needed as a reasonable accommodation so that the homeownership option is readily accessible to and usable by such person, • Land lease payments where a family does not own fee title to the real property on which the home is located; [see 24 CFR 982.628(b)]. • For a condominium unit, condominium operating charges or maintenance fees assessed by the condominium homeowner association.
Homeownership expenses for a cooperative member may only include amounts allowed by the PHA to cover:
• The cooperative charge under the cooperative occupancy agreement including payment for real estate taxes and public assessments on the home, • Principal and interest on initial debt incurred to finance purchase of cooperative membership shares and any refinancing of such debt, 557
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• Home insurance,
• The PHA allowance for maintenance expenses,
• The PHA allowance for costs of major repairs and replacements, • The PHA utility allowance for the home; and
• Principal and interest on debt incurred to finance major repairs, replacements or improvements for the home. If a member of the family is a person with disabilities, such debt may include debt incurred by the family to finance costs needed to make the home accessible for such person, if the PHA determines that allowance of such costs as homeownership expenses is needed as a reasonable accommodation so that the homeownership option is readily accessible to and usable by such person.
• Cooperative operating charges or maintenance fees assessed by the cooperative homeowner association.
HACP Policy:
The PHA will use the following amounts for homeownership expenses:
o Monthly homeownership payment. This includes principal and interest on initial mortgage debt, taxes and insurance, public assessments, and any mortgage insurance premium, if applicable. o Utility allowance. The PHA’s utility allowance for the unit, based on the current HCV utility allowance schedule.
o Monthly maintenance/major repair/replacement allowance. A single monthly maintenance/repair/replacement allowance will be provided at $120 per month.
o Monthly co-op/condominium assessments. If applicable, the monthly amount of co-op or condominium association operation and maintenance assessments.
o Monthly principal and interest on debt for improvements. Principal and interest for major home repair, replacements, or improvements, if applicable.
o Land lease payments. Land lease payments where a family does not own fee title to the real property on which the home is located.
The PHA may pay the homeownership assistance payments directly to the family, or at the PHA’s discretion, to a lender on behalf of the family. If the assistance payment exceeds the amount due to the lender, the PHA must pay the excess directly to the family.
HACP Policy:
o The HACP’s housing assistance payment may be paid directly to the 558
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family. It will be the family’s responsibility to make the entire payment to the lender. The HACP may make an exception if the family requests the payment to go directly to the lender, and this arrangement is acceptable to the mortgage company. If the assistance payment exceeds the amount due to the lender, the HACP must pay the excess directly to the family.
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15-VII.L. PORTABILITY [24 CFR 982.636, 982.637, 982.353(b) and (c), 982.552, 982.553]
Subject to the restrictions on portability included in HUD regulations and PHA policies, a family may exercise portability if the receiving PHA is administering a voucher homeownership program and accepting new homeownership families.
The receiving PHA may absorb the family into its voucher program or bill the initial PHA.
The family must attend the briefing and counseling sessions required by the receiving PHA. The receiving PHA will determine whether the financing for, and the physical condition of the unit, are acceptable. The receiving PHA must promptly notify the initial PHA if the family has purchased an eligible unit under the program, or if the family is unable to purchase a home within the maximum time established by the PHA.
HACP Policy:
Families issued a homeownership voucher may exercise portability to purchase a unit in another jurisdiction provided t he receiving jurisdiction operates a similar homeownership program for which the applicant qualifies and for w hich the receiving PHA is accepting new homeownership families.
1. Incoming portable
families
a) M ay purchase a unit within the jurisdiction of the HACP provided the HACP is accepting new homeownership families at the time of the purchase.
b) Must be under rental assistance in the Ci ty of Pittsburg for 1 2 months prior to application for HCV Homeownership.
c) Must me et the education, counseling, and all other Home Ownership Program requirements of the HACP.
d) Must be certified by the initial HACP that the family is in good standing with that PHA and Landlord.
The HACP must promptly notify
the initial PHA if the Family has
purchased an eligible unit under the program, or if the family is unable to purchase a hom e within the maximum time established by the Initiating HACP.
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2. Outgoing portable families
a) M ay purchase a u nit within the receiving jurisdiction, provided they are accepting new homeownership families at the time of t he purchase.
b) Must me et the education, counseling, and all other HOME OWNERSHIP PROGRAM requirements of the receiving
HACP.
c) M ust be certified by HACP that the family is in good standing with the Initiating HACP and Landlord.
d) The HACP must promptly notify the PHA, if the Family has purchased an eligible unit under the program, or if the family i s unable to purchase a home within the max imum time esta blished by the HA.
15-VII.M. MOVING WITH CONTINUED ASSISTANCE [24 CFR 982.637] A family receiving homeownership assistance may move with continued tenant- based assistance. The family may move with voucher rental assistance or with voucher homeownership assistance. The PHA must determine that all initial requirements have been satisfied if a family that has received homeownership assistance wants to move with continued homeownership assistance. However, the following do not apply:
• The requirement that a family must be a first-time homeowner is not applicable.
• The requirement for pre-assistance counseling is not applicable. However, the PHA may require that the family complete additional counseling (before or after moving to a new unit with continued homeownership assistance).
Continued tenant-based assistance for a new unit cannot begin so long as any family member holds title to the prior home. However, when the family or a member of the family is or has been the victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking, and the move is needed to protect the health or safety of the family or family member (or any family member has been the victim of a sexual assault that occurred on the premises during the 90-calendar-day period preceding the family’s request to move), such family or family member may be assisted with continued tenant-based assistance Formatted: Line spacing: 1.5 lines
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even if they own any title or other interest in the prior home.
The PHA may deny permission to move to a new unit with continued voucher assistance:
• If the PHA has insufficient funding to provide continued assistance. • In accordance with 24 CFR 982.638, regarding denial or termination of assistance.
• In accordance with the PHA’s policy regarding number of moves within a 12- month period.
The PHA must deny the family permission to move to a new unit with continued voucher rental assistance if:
• The family defaulted on an FHA-insured mortgage; and
• The family fails to demonstrate that the family has conveyed, or will convey, title to the home, as required by HUD, to HUD or HUD's designee; and the family has moved, or will move, from the home within the period established or approved by HUD.
HACP Policy:
A family receiving HACP homeownership assistance m ay purchase and move to a new unit with continued Voucher assistance.
1. Purcha
se of a new unit
A family receiving homeownership assistance may purchase and move to a new unit with continued assistance, provided that the family fulfills all requirements of the Home Ownership Program at the time of the purchase of the new unit.
The following applies to a family purchasing a new unit under the Home Ownership Program.
The family may not be eligible to move with continued assistance for a period of five (5) years after the initial purchase.
The HACP may, at its discretion, require the family to complete a new housing counseling program or receive additional counseling prior to close of escrow.
The requirement that t he family must be a fi rst-time homebuyer is not applicable.
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to the family under section 8 below.
2. Sale of original Home Ownership Program unit and return to tenant- based rental assistance
The HACP may, at its discretion, allow a f amily to return to tenant- based rental assistance. The follow ing applies to a family returning to tenant-based assistance:
The HACP m ay deny permission to move w ith continued
assistance in the case of lack of fu nding or if the HACP has denied or t erminated assistance to the family.
The HACP will not commence continued tenant-based
assistance for occupancy of a rental unit so long as any family member owns any title or other interest in the home previously assisted through the Home Ownership Program. In a ddition, eighteen (18) mo nths must have passed since the family’s receipt of homeownership assistance.
15 -VII.N. DENIAL OR TERMINATION OF ASSISTANCE [24 CFR 982.638] At any time, the PHA may deny or terminate homeownership assistance in accordance with HCV program requirements in 24 CFR 982.552 (Grounds for denial or termination of assistance) or 24 CFR 982.553 (Crime by family members).
The PHA may also deny or terminate assistance for violation of participant obligations described in 24 CFR Parts 982.551 or 982.633 and in accordance with its own policy, with the exception of failure to meet obligations under the Family Self-Sufficiency program as prohibited under the alternative requirements set forth in FR Notice 12/29/14.
The PHA must terminate voucher homeownership assistance for any member of family receiving homeownership assistance that is dispossessed from the home pursuant to a judgment or order of foreclosure on any mortgage (whether FHA insured or non-FHA) securing debt incurred to purchase the home, or any refinancing of such debt.
Homeownership assistance for a family automatically terminates 180 calendar days after the last homeownership assistance payment on behalf of the family.
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However, a PHA may grant relief from this requirement in those cases where automatic termination would result in extreme hardship for the family.
HACP Policy:
In order for the HACP to consider granting relief from the requirement to automatically terminate homeownership assistance 180 days following the HACP’s last housing assistance payment on behalf of the family, the family must submit a written request to the HACP at least 30 days prior to the date of automatic termination. The request must include an explanation of the circumstances that will cause an extreme hardship for the family (e.g., the imminent loss of income or employment) as well as documentation supporting the request. The HACP will determine on a case-by-case basis whether to grant relief from the requirement and for what period of time. In no case will the HACP postpone termination beyond an additional 90 days.
HACP Policy:
The HACP may deny or terminate homeownership assistance for the family in accordance with the requirements of this section. •
Failure to report all household income
• Failure to comply with the City of Pittsburg’s HCV Homeownership Program requirements
• Failure to comply with any HUD Family Obligations
• The family defa ults on the mortgage.
15-VII.O. RECAPTURE
HACP Policy:
By regulation, HACP cannot recapture any of the HCV Homeownership assistance, unless there is an act of fraud or misrepresentation of a material fact. The HCV Homeownership recapture provision does not apply to any other program funds that may be used in the transaction. The HACP will not recapture any Homeownership Voucher payments u nless there was an act of fraud or misrepresentation of material facts in order to obtain a benefit.
The HACP shall have the discretion to waive or m odify any provision of the HCV Home Ownership Program Policy not governed by statute or regulation for good cause or to comply with changes in HUD regulations or directives.
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15-VII. P SWITCHING FROM HOA TO RENTAL ASSISTANCE:
The HACP may allow a family to switch from the homeownership assistance program to the Section 8 Housing Choice Voucher Rental Assistance Program.
The family must meet the following criteria for determination of transfer:
a. The family has not defaulted on a loan with the homeownership assistance program.
b. The family has met all of its obligations while participating in the homeownership assistance program.
c. The family vacates the home and conveys the title to the appropriate designee or representative. The family must sign a Conveyance Acknowledgement Notice, indicating the requirement to completely transfer and convey the property, and failure to do so will result in termination of their rental assistance if such assistance has commenced.
If the family is approved for transfer from the homeownership assistance program to rental assistance, HACP will issue the family a rental voucher, and the family will complete the normal voucher home search process. During the period in which the family is searching for a rental unit, and, if no mortgage default has occurred, HACP will continue to provide the family with homeownership assistance.
If the family fails to transfer or convey the property, HACP will not provide the family with rental assistance. If a rental assistance lease has commenced, HACP will terminate the family’s Section 8 Voucher and rental assistance payments.
A family member who owns an interest in the home cannot split and receive both homeownership assistance and rental assistance concurrently. Other family members must apply to the Section 8 wait list.
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Chapter 16
PROGRAM ADMINISTRATION
INTRODUCTION
This chapter discusses administrative policies and practices that are relevant to the activities covered in this plan. The policies are discussed in seven parts as described below:
Part I: Administrative Fee Reserve. This part describes the PHA’s policies with regard to oversight of expenditures from its administrative fee reserve.
Part II: Setting Program Standards and Schedules. This part describes what payment standards are, and how they are updated, as well as how utility allowances are established and revised.
Part III: Informal Reviews and Hearings. This part outlines the requirements and procedures for informal reviews and hearings, and for informal hearings regarding citizenship status.
Part IV: Owner or Family Debts to the PHA. This part describes policies for recovery of monies that the PHA has overpaid on behalf of families, or to owners, and describes the circumstances under which the PHA will offer repayment agreements to owners and families. Also discussed are the consequences for failure to make payments in accordance with a repayment agreement.
Part V: Section 8 Management Assessment Program (SEMAP). This part describes what the SEMAP scores represent, how they are established, and how those scores affect a PHA.
Part VI: Record-Keeping. All aspects of the program involve certain types of record-keeping. This part outlines the privacy rights of applicants and participants and record retention policies the PHA will follow.
Part VII: Reporting and Record Keeping for Children with Elevated Blood Lead Level. This part describes the PHA’s responsibilities for reporting, data collection, and record keeping relative to children with elevated blood lead levels that are less than six years of age, and are receiving HCV assistance.
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Part VIII: Determination of Insufficient Funding. This part describes the PHA’s policies for determining if there is sufficient funding to issue vouchers, to approve moves to higher cost units or areas, and to continue assistance for all participant families.
Part IX: Violence against Women Act (VAWA): Notification, Documentation, Confidentiality. This part contains key terms used in VAWA and describes requirements related to notifying families and owners about their rights and responsibilities under VAWA; requesting documentation from victims of domestic violence, dating violence, sexual assault, and stalking, and human trafficking; and maintaining the confidentiality of information obtained from victims.
obtained from victims.
PART I: ADMINISTRATIVE FEE RESERVE [24 CFR 982.155]
The PHA will maintain administrative fee reserves, or unrestricted net position (UNP) for the program to pay program administrative expenses in excess of administrative fees paid by HUD for a PHA fiscal year. HUD appropriations acts beginning with FFY 2004 have specified that administrative fee funding may be used only for activities related to the provision of HCV assistance, including related development activities. Notice PIH 2012-9 cites two examples of related development activities: unit modification for accessibility purposes and development of project-based voucher units. The notice makes clear that other activities may also qualify as related development activities. Administrative fees that remain in the UNP account from funding provided prior to 2004 may be used for “other housing purposes permitted by state and local law,” in accordance with 24 CFR 982.155(b)(1).
If a PHA has not adequately administered its HCV program, HUD may prohibit use of funds in the UNP Account and may direct the PHA to use funds in that account to improve administration of the program, for HCV HAP expenses, or to reimburse ineligible expenses in accordance with the regulation at 24 CFR 982.155(b)(3).
HUD requires the PHA Board of Commissioners or other authorized officials to establish the maximum amount that may be charged against the UNP account without specific approval.
HACP Policy:
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applicable federal requirements. Expenditures will not exceed $75,000 per occurrence without the prior approval of the HACP’s Board of Commissioners.
PART II: SETTING PROGRAM STANDARDS AND SCHEDULES
16-II.A. OVERVIEW
Although many of the program’s requirements are established centrally by HUD, the HCV program’s regulations recognize that some flexibility is required to allow the PHA to adapt the program to local conditions. This part discusses how the PHA establishes and updates certain schedules and standards that are used to administer the program locally. Details about how these schedules are applied to individual families are provided in other chapters. The schedules and standards discussed here include:
• Payment Standards, which dictate the maximum subsidy a family can receive (application of the payment standards is discussed in Chapter 6); and • Utility Allowances, which specify how a family’s payment should be adjusted to account for tenant-paid utilities (application of utility allowances is discussed in Chapter 6).
HACP Policy:
Copies of the payment standard and utility allowance schedules are available for review on the City Website and in the HACP’s offices during normal business hours.
Families, owners, and members of the public may submit written comments on the schedules discussed in this part, at any time, for consideration during the next revision cycle.
The HACP will maintain documentation to support its annual review of payment standards and utility allowance schedules. This documentation will be retained for at least 3 years.
Establishing and updating the
HACP passbook rate, which is used to calculate
imputed income from assets, is covered in Chapter 6 (see Section 6-I.G.).
16-II.B. PAYMENT STANDARDS [24 CFR 982.503; HCV GB, Chapter 7]
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The payment standard sets the maximum subsidy payment a family can receive from the PHA each month [24 CFR 982.505(a)]. Payment standards are based on fair market rents (FMRs) published annually by HUD. FMRs are set at a percentile within the rent distribution of standard quality rental housing units in each FMR area. For most jurisdictions FMRs are set at the 40th percentile of rents in the market area.
The PHA must establish a payment standard schedule that establishes payment standard amounts for each FMR area within the PHA’s jurisdiction, and for each unit size within each of the FMR areas. For each unit size, the PHA may establish a single payment standard amount for the whole FMR area, or may set different payment standards for different parts of the FMR area. Unless HUD grants an exception, the PHA is required to establish a payment standard within a “basic range” established by HUD – between 90 and 110 percent of the published FMR for each unit size.
Updating Payment Standards
When HUD updates its FMRs, the PHA must update its payment standards if the standards are no longer within the basic range [24 CFR 982.503(b)]. HUD may require the PHA to make further adjustments if it determines that rent burdens for assisted families in the PHA’s jurisdiction are unacceptably high 24 CFR 982.503(g)].
HACP Policy:
The HACP will review the appropriateness of the payment standards on an annual basis when the new FMR is published, and at other times as determined necessary. In addition to ensuring the payment standards are always within the “basic range” the HACP will consider the following factors when determining whether an adjustment should be made to the payment standard schedule:
Funding Availability: The
HACP will review the budget to
determine the impact projected subsidy adjustments will have on funding available for the program and the number of families served. The HACP will compare the number of
families who could be served under revised payment
standard amounts with the number assisted under current payment standard amounts.
Rent Burden of Participating Families: Rent burden will be determined by identifying the percentage of families, for each unit size, that are paying more than 30 percent of their monthly adjusted income as the family share. When 40
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percent or more of families, for any given unit size, are paying more than 30 percent of adjusted monthly income as the family share, the HACP will consider increasing the payment standard. In evaluating rent burdens, the HACP will not include families renting a larger unit than their family unit size.
Quality of Units Selected: The HACP will review the quality of units selected by participant families when making the determination of the percent of income families are paying for housing, to ensure that payment standard increases are only made when needed to reach the mid-range of the
market.
Changes in Rent to Owner: The HACP may review a
sample of the units to determine how often owners are
increasing or decreasing rents and the average percent of increases/decreases by bedroom size.
.
Unit Availability: The HACP will review the availability of units for each unit size, particularly in areas with low concentrations of poor and minority families.
Lease-up Time and Success Rate
: The HACP will consider
the percentage of families that are unable to locate suitable housing before the voucher expires and whether families are leaving the jurisdiction to find affordable housing.
Changes to payment standard amounts may be effective on October 1st of every year or within three months of the FMR effective date, whichever is earlier.
In no event will Payment Standards be effective less than 90 days/3 months from the HUD published effective date of the FMR. The effective date is applicable both to HUD-required revisions and to discretionary revisions. For all other transaction, the pre-adjusted higher payment standard will remain in place as long as the effective date is applicable both to HUD-required revisions and to discretionary revisions. For all other transaction, the pre-adjusted higher payment standard will remain in place as long as the family continues to reside in the same unit they were living in when the FMR was reduced.
If the HACP has already processed reexaminations that will be effective on or after October 1st, and the effective date of the payment standards is October 1st, the HACP will make retroactive adjustments to any such reexaminations if the new payment standard amount is higher than the one used by the HACP at the time the reexamination was originally processed.
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Exception Payment Standards [982.503(c)]
The PHA must request HUD approval to establish payment standards that are higher than the basic range. At HUD’s sole discretion, HUD may approve a payment standard amount that is higher than the basic range for a designated part of the FMR area. HUD may approve an exception payment standard amount (in accordance with program requirements) for all units, or for all units of a given size, leased by program families in the exception area. Any PHA with jurisdiction in the exception area may use the HUD-approved exception payment standard amount. The total population of all HUD-approved exception areas in an FMR area may not include more than 50 percent of the population of the FMR area.
Exception Payment Standards [24 CFR 982.503(c)(5), Notice PIH 2018-01, FR Notice 9/27/21]
A non-SAFMR PHA may establish an exception payment standard for a zip code area of up to and including 110 percent of the SAFMR determined by HUD for that zip code area. Regardless of the level of the exception payment standard compared to the metropolitan area FMRs (MAFMRs), the PHA must send an email to [email protected] to notify HUD that it has adopted an exception payment standard based on the SAFMR. A PHA that adopts an exception payment standard pursuant to this authority must apply it to the entire ZIP code area, for both its HCV, and if applicable, its PBV program. For the PBV program, this means that the rent to owner may not exceed the new exception payment standard amount, provided the rent is still reasonable. A PHA that adopts an exception payment standard area must revise its briefing materials to make families aware of the exception payment standard and the area that it covers.
In addition, HUD allows PHAs to establish a HUD-Veterans Affairs Supportive Housing (HUD-VASH) exception payment standard. PHAs may go up to but no higher than 120 percent of the FMR or SAFMR specifically for VASH families.
PHAs who want to establish a VASH exception payment standard over 120 percent must still request a waiver from HUD (See Section 19-III.E.).
Voluntary Use of Small Area FMRs [24 CFR 982.503, Notice PIH 2018-01] PHAs that administer vouchers in a metropolitan area where the adoption of SAFMRs is not required may request approval from HUD to voluntarily adopt SAFMRs. SAFMRs may be voluntarily adopted for one or more zip code areas.
HACP Policy:
The HACP will not voluntarily adopt the use of SAFMRs except to establish exception payment standards in certain zip code areas.
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Unit-by-Unit Exceptions [24 CFR 982.503(b), 24 CFR 982.505(d), Notice PIH 2010-26]
Unit-by-unit exceptions to the PHA’s payment standards generally are not permitted. However, an exception may be made as a reasonable accommodation for a family that includes a person with disabilities. (See Chapter 2 for a discussion of reasonable accommodations.) This type of exception does not affect the PHA’s payment standard schedule.
When needed as a reasonable accommodation, the PHA may make an exception to the payment standard without HUD approval if the exception amount does not exceed 120 percent of the applicable FMR for the unit size [24 CFR 982.503(b)]. The PHA may request HUD approval for an exception to the payment standard for a particular family if the required amount exceeds 120 percent of the FMR.
HACP Policy:
A family that requires a reasonable accommodation may request a higher payment standard at the time the Request for Tenancy Approval (RFTA) is submitted. The family must document the need for the exception. In order to approve an exception, or request an exception from HUD, the HACP must determine that:
•
There is a shortage of affordable units that would be
appropriate for the family,
• The family's TTPshare would otherwise exceed 40 percent of adjusted monthly income; and
• The rent for the unit is reasonable.
"Success Rate" Payment Standard Amounts
[24 CFR 982.503(e)]
If a substantial percentage of families have difficulty finding a suitable unit, the PHA may request a “success rate payment standard” that applies to the entire jurisdiction. If approved by HUD, a success rate payment standard allows the PHA to set its payment standards at 90-110 percent of a higher FMR (the 50th, rather than the 40th percentile FMR). To support the request, the PHA must demonstrate that during the most recent 6-month period for which information is available:
• Fewer than 75 percent of families who were issued vouchers became participants,
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• The PHA had established payment standards for all unit sizes, and for the entire jurisdiction, at 110 percent of the published FMR; and • The PHA had a policy of allowing voucher holders who made sustained efforts to locate units at least 90 days to search for a unit.
Although HUD approves the success rate payment standard for all unit sizes in the FMR area, the PHA may choose to adjust the payment standard for only some unit sizes in all, or a designated part, of the PHA’s jurisdiction within the FMR area.
Decreases in the Payment Standard below the Basic Range [24 CFR 982.503(d)]
The PHA must request HUD approval to establish a payment standard amount that is lower than the basic range. At HUD’s sole discretion, HUD may approve establishment of a payment standard lower than the basic range. HUD will not approve a lower payment standard if the family share for more than 40 percent of program participants exceeds 30 percent of adjusted monthly income.
16-II.C. UTILITY ALLOWANCES [24 CFR 982.517]
A PHA-established utility allowance schedule is used in determining family share and PHA subsidy. The PHA must maintain a utility allowance schedule for (1) all tenant-paid utilities, (2) the cost of tenant-supplied refrigerators and ranges, and (3) other tenant-paid housing services such as trash collection.
The utility allowance schedule must be determined based on the typical cost of utilities and services paid by energy-conservative households that occupy housing of similar size and type in the same locality. In developing the schedule, the PHA must use normal patterns of consumption for the community as a whole, and current utility rates.
The utility allowance must include the utilities and services that are necessary in the locality to provide housing that complies with housing quality standards.
Costs for telephone, cable/satellite television, and internet services are not included in the utility allowance schedule.
In the utility allowance schedule, the PHA must classify utilities and other housing services according to the following general categories: space heating; air conditioning; cooking; water heating; water; sewer; trash collection; other electric; cost of tenant-supplied refrigerator; cost of tenant-supplied range; and other specified housing services.
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The cost of each utility and housing service must be stated separately by unit size and type. Chapter 18 of the HCV Guidebook provides detailed guidance to the PHA about establishing utility allowance schedules.
Air Conditioning
An allowance for air- conditioning must be provided when the majority of housing units in the market have central air- conditioning or are wired for tenant-installed air conditioners.
HACP Policy:
The HACP has now included an allowance for air- conditioning in its schedule. Central air conditioning or a portable air conditioner must be present in a unit before HACP will apply this allowance to a family’s rent and subsidy calculations.
Reasonable Accommodation and Individual Relief
HCV program regulations require a Upon request from a family that includes a person with disabilities, the PHA tomust approve a utility allowance amountwhich is higher than shown the applicable amount on the PHA’s utility allowance schedule if a higher utility allowance is needed as a reasonable accommodation for a family member with a disability. For example, if ato make the program accessible and usable by the family member with a disability requires such an accommodation, the PHA will approve an allowance for air-conditioning, even if the PHA has determined that an allowance for air-conditioning generally is not needed[24 CFR 982.517(e)]. (See Chapter 2 for policies regarding the request and approval of reasonable accommodations).
Further, the PHA may grant requests for relief from charges in excess of the utility allowance on reasonable grounds, such as special needs of the elderly, ill, or residents with disabilities, or special factors not within control of the resident, as the PHA deems appropriate. The family must request the higher allowance and provide the PHA with an explanation of the need for the individual relief and information about the amount of additional allowance required [see HCV GB, p. 18-8].
PHAs should develop criteria for granting individual relief and to notify residents about the availability of individual relief, and also to notify participants about the availability of individual relief programs (sometimes referred to as “Medical Baseline discounts”) offered by the local utility company. Policies for granting exception utility allowances can be found in Section 6-III.D. of this plan.
Utility Allowance Revisions
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The PHA must review its schedule of utility allowances each year and must revise the schedule if there has been a change of 10 percent or more in any utility rate since the last time the allowance for that utility was revised. [24 CFR 982.517(c)(1)].
The PHA must maintain information supporting its annual review of utility allowance and any revisions made in its utility allowance schedule.
Changes to utility allowance schedules will be effective 90 days in advance of the approved & adopted new schedules. The UA Schedule will apply to initial & recertification actions as of the effective date of the new schedule. If HACP has already processed reexaminations that will be effective on or after the effective date of the new utility allowance schedules, HACP will make retroactive adjustments to any such reexaminations if the new utility allowance schedule is higher than the one used by HACP at the time the reexamination was originally processed. If the utility allowance is lower than the one used by HACP at the time of the reexamination, an Interim Reexam will be completed to ensure the tenant receives 30-day notice of the increase in tenant rent portion.
New rates may not necessarily be equal to the percent of rate changes, and that the ramifications on lease-up and HAP utilization may be considered when determining the new rates.
PART III: INFORMAL REVIEWS AND HEARINGS
16-III.A. OVERVIEW
Both applicants and participants have the right to disagree with, and appeal, certain decisions of the PHA that may adversely affect them. PHA decisions that may be appealed by applicants and participants are discussed in this section.
The process for applicant appeals of PHA decisions is called the “informal review.” For participants (or applicants denied admission because of citizenship issues), the appeal process is called an “informal hearing.” PHAs are required to include informal review procedures for applicants and informal hearing procedures for participants in their administrative plans [24 CFR 982.54(d)(12) and (13)].
16-III.B. INFORMAL REVIEWS
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requirement” [24 CFR 982.554] and need not be as elaborate as the informal hearing requirements [Federal Register 60, no. 127 (3 July 1895): 34690].
Decisions Subject to Informal Review
The PHA must give an applicant the opportunity for an informal review of a decision denying assistance [24 CFR 982.554(a)]. Denial of assistance may include any or all of the following [24 CFR 982.552(a)(2)]:
• Denying listing on the PHA waiting list
• Denying or withdrawing a voucher
• Refusing to enter into a HAP contract or approve a lease • Refusing to process or provide assistance under portability procedures Informal reviews are not required for the following reasons [24 CFR 982.554(c)]:
• Discretionary administrative determinations by the PHA • General policy issues or class grievances
• A determination of the family unit size under the PHA subsidy standards • A PHA determination not to approve an extension or suspension of a voucher term.
• A PHA determination not to grant approval of the tenancy. • A PHA determination that the unit is not in compliance with the HQSNSPIRE standard.
• A PHA determination that the unit is not in accordance with the HQS due to family size or compositiondoes meet space standards.
HACP Policy:
The HACP will only offer an informal review to applicants for whom assistance is being denied. Denial of assistance includes denying listing on the HACP waiting list; denying or withdrawing a voucher; refusing to enter into a HAP contract or approve a lease; refusing to process or provide assistance under portability procedures.
Notice to the Applicant [24 CFR 982.554(a)]
The PHA must give an applicant prompt notice of a decision denying assistance.
The notice must contain a brief statement of the reasons for the PHA decision and must also state that the applicant may request an informal review of the decision. The notice must describe how to obtain the informal review.
Scheduling an Informal Review
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HACP Policy:
A request for an informal review must be made in writing and delivered to the HACP either in person or by first class mail, by the close of the business day, no later than 10 business days from the date of the HACP’s denial of assistance.
The HACP must schedule and send written notice of the informal review within 10 business days
of the family’s request.
Informal Review Procedures [24 CFR 982.554(b)]
The informal review must be conducted by a person other than the one who made or approved the decision under review, or a subordinate of this person.
The applicant must be provided an opportunity to present written or oral objections to the decision of the PHA.
Remote Informal Reviews
All PHA policies and processes for remote informal reviews must be conducted in accordance with due process requirements and be in compliance with HUD regulations.
HACP Policy:
HACP has the sole discretion to require that informal reviews be conducted remotely in case of local, state, or national physical distancing orders, and in cases of inclement weather or natural disaster.
In addition, HACP will conduct an informal review remotely upon request of the applicant as a reasonable accommodation for a person with a disability, if an applicant does not have childcare or transportation that would enable them to attend the informal review, or if the applicant believes an in-person informal review would create an undue health risk.
HACP will consider other reasonable requests for a remote informal review on a case-by-case basis.
Conducting Remote Informal Reviews
The PHA must ensure that the applicant has the right to hear and be heard.
HACP Policy:
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HACP will conduct remote informal reviews via telephone conferencing call-in or via videoconferencing. If the informal review will be conducted via videoconferencing, HACP will ensure that all applicants, applicant representatives, HACP representatives and the person conducting the informal review can adequately access the platform (i.e., hear, be heard, see, and be seen). If any applicant, applicant representative, HACP representative, or person conducting the informal review is unable to effectively utilize the videoconferencing platform, the informal review will be conducted by telephone conferencing call-in.
At least five business days prior to scheduling the remote review, the PHA will provide the family with login information and/or conferencing call-in information and an electronic and/or physical copy of all materials being presented via first class mail and/or email. The notice will advise the family of technological requirements for the informal review and request the family notify the PHA of any known barriers. The PHA will resolve any barriers using the guidance in Section 6 of Notice PIH 2020-32, including offering the family the opportunity to attend an in-person informal review.
If the informal review is to be conducted remotely, the PHA will require the family to provide any documents directly relevant to the informal review at least 24 hours before the scheduled review through the mail, via email, or text. The PHA will scan and email copies of these documents to the PHA representative the same day.
Documents will be shared electronically whenever possible.
The PHA will follow up the email with a phone call and/or email to the applicant at least one business day prior to the remote informal review to ensure that the applicant received all information and is comfortable accessing the video conferencing or call-in platform.
The PHA will ensure that all electronic information stored or transmitted with respect to the informal review is secure, including protecting personally identifiable information (PII), and meets the requirements for accessibility for persons with disabilities and persons with LEP.
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before the review.
Informal Review Decision [24 CFR 982.554(b)]
The PHA must notify the applicant of the PHA’s final decision, including a brief statement of the reasons for the final decision.
HACP Policy:
In rendering a decision, the HACP will evaluate the following matters:
•
Whether or not the grounds for denial were stated factually in the notice to the family.
• The validity of the grounds for denial of assistance. If the grounds for denial are not specified in the regulations, then the decision to deny assistance will be overturned.
• The validity of the evidence. The HACP will evaluate whether the facts presented prove the grounds for denial of assistance. If the facts prove that there are grounds for denial, and the denial is required by HUD, the HACP will uphold the decision to deny assistance. • If the facts prove the grounds for denial, and the denial is discretionary, the HACP will consider the recommendation of the person conducting the informal review in making the final decision whether to deny assistance.
The HACP will notify the applicant of the final decision, including a statement explaining the reason(s) for the decision. The notice will be mailed within 10 business days of the informal review, to the applicant and his or her representative, if any, along with proof of mailing.
If the decision to deny is overturned as a result of the informal review, processing for admission will resume.
If the family fails to appear for their informal review, the denial of admission will remain in place and the family will be so notified.
16-III.C. INFORMAL HEARINGS FOR PARTICIPANTS [24 CFR 982.555]
PHAs must offer an informal hearing for certain PHA determinations relating to the individual circumstances of a participant family. A participant is defined as a family that has been admitted to the PHA’s HCV program and is currently assisted in the program. The purpose of the informal hearing is to consider whether the PHA’s decisions related to the family’s circumstances are in accordance with the law, HUD regulations and PHA policies.
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The PHA is not permitted to terminate a family’s assistance until the time allowed for the family to request an informal hearing has elapsed, and any requested hearing has been completed. Termination of assistance for a participant may include any or all of the following:
• Refusing to enter into a HAP contract or approve a lease. • Terminating housing assistance payments under an outstanding HAP contract
• Refusing to process or provide assistance under portability procedures.
Decisions Subject to Informal Hearing
Circumstances for which the PHA must give a participant family an opportunity for an informal hearing are as follows:
• A determination of the family’s annual or adjusted income, and the use of such income to compute the housing assistance payment.
• A determination of the appropriate utility allowance (if any) for tenant-paid utilities from the PHA utility allowance schedule
•
A determination of the family unit size under the PHA’s subsidy standards • A determination to terminate assistance for a participant family because of the family’s actions or failure to act.
• A determination to terminate assistance because the participant has been absent from the assisted unit for longer than the maximum period permitted under PHA policy and HUD rules.
• A determination to terminate a family’s Family Self Sufficiency contract, withhold supportive services, or propose forfeiture of the family’s escrow account [24 CFR 984.303(i)]
Circumstances for which an informal hearing
is not required are as follows:
• Discretionary administrative determinations by the PHA • General policy issues or class grievances
• Establishment of the PHA schedule of utility allowances for families in the program
• A PHA determination not to approve an extension or suspension of a voucher term.
• A PHA determination not to approve a unit or tenancy.
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• A PHA determination that a unit selected by the applicant is not in compliance with the HQSNSPIRE standards.
• A PHA determination that the unit is not in accordance with HQSspace standards because of family size.
• A determination by the PHA to exercise or not to exercise any right or remedy against an owner under a HAP contract.
HACP Policy:
The HACP will only offer participants the opportunity for an informal hearing when required to by the regulations.
Informal Hearing Procedures
Notice to the Family
[24 CFR 982.555(c)]
When the PHA makes a decision that is subject to informal hearing procedures, the PHA must inform the family of its right to an informal hearing at the same time that it informs the family of the decision.
For decisions related to the family’s annual or adjusted income, the determination of the appropriate utility allowance, and the determination of the family unit size, the PHA must notify the family that they may ask for an explanation of the basis of the determination, and that if they do not agree with the decision, they may request an informal hearing on the decision.
For decisions related to the termination of the family’s assistance, or the denial of a family’s request for an exception to the PHA’s subsidy standards, the notice must contain a brief statement of the reasons for the decision, a statement that if the family does not agree with the decision, the family may request an informal hearing on the decision, and a statement of the deadline for the family to request an informal hearing.
HACP Policy:
In cases where the HACP makes a decision for which an informal hearing must be offered, the notice to the family will include all of the following:
•
The proposed action or decision of the HACP.
• A brief statement of the reasons for the decision, including the regulatory reference.
• The date the proposed action will take place.
• A statement of the family’s right to an explanation of the basis for the HACP’s decision.
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• A statement that if the family does not agree with the decision the family may request an informal hearing of the decision. • A deadline for the family to request the informal hearing. • To whom the hearing request should be addressed.
• A copy of the HACP’s hearing procedures.
• That the family may request a remote informal hearing
If HACP will require that the hearing be conducted remotely, at the time the notice is sent to the family informing them of the right to request an informal hearing, the family will be notified that the informal hearing will be conducted remotely. The family will be informed of the processes involved in a remote informal hearing and that HACP will provide technical assistance, if needed, before the informal hearing.
Remote Informal Hearings [Notice PIH 2020-32]
The PHA’s essential responsibility is to ensure informal hearings meet the requirements of due process and comply with HUD regulations. Therefore, all PHA policies and processes for remote informal hearings will be conducted in accordance with due process requirements and will be in compliance with HUD regulations:
HACP Policy:
HACP has the sole discretion to require that informal hearings be conducted remotely in case of local, state, or national physical distancing orders, and in cases of inclement weather or natural disaster.
In addition, HACP will conduct an informal hearing remotely upon request as a reasonable accommodation for a person with a disability, if a participant does not have childcare or transportation that would enable them to attend the informal hearing, or if the participant believes an in-person hearing would create an undue health risk. HACP will consider other reasonable requests for a remote informal hearing on a case-by-case basis.
Conducting Informal Hearings Remotely
In conducting any informal hearing remotely, HACP shall ensure due process and that all parties are able to have full access to the hearing.
HACP Policy:
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HACP may conduct remote informal hearings via telephone conferencing call-in or via videoconferencing. If the informal hearing will be conducted via videoconferencing, HACP will ensure that all participants, participant representatives, advocates, witnesses, HACP representatives, and the hearing officer can adequately access the platform (i.e., hear, be heard, see, and be seen).
If any participant, representative, advocate, witness, HACP representative, or hearing officer is unable to effectively utilize the videoconferencing platform, the informal hearing will be conducted by telephone conferencing call-in.
Whether the informal hearing is to be conducted via
videoconferencing or telephone call- in, HACP will provide all parties login information and/or telephone call-in information before the hearing.
Scheduling an Informal Hearing [24 CFR 982.555(d)]
When an informal hearing is required, the PHA must proceed with the hearing in a reasonably expeditious manner upon the request of the family.
HACP Policy:
A request for an informal hearing must be made in writing and delivered to the HACP either in person or by first class mail, by the close of the business day, no later than 10 business days from the date of the HACP’s decision or notice to terminate assistance.
The HACP must schedule and send written notice of the informal hearing to the family within
10 business days of the family’s request.
The family may request to reschedule a hearing for good cause, or if it is needed as a reasonable accommodation for a person with disabilities.
Good cause is defined as an unavoidable conflict which seriously affects the health, safety or welfare of the family. Requests to reschedule a hearing must be made orally or in writing prior to the hearing date. At its discretion, the HACP may request documentation of the “good cause” prior to rescheduling the hearing.
If the family does not appear within 20 minutes of the scheduled time, and was unable to reschedule the hearing in advance due to the nature of the conflict, the family must contact the HACP within 24 hours of the scheduled hearing date, excluding weekends and holidays. The HACP will reschedule the hearing only if the family can show good cause for the Formatted: Line spacing: 1.5 lines
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failure to appear, or if it is needed as a reasonable accommodation for a person with disabilities.
Pre-Hearing Right to Discovery [24 CFR 982.555(e)]
Participants and the PHA are permitted pre-hearing discovery rights. The family must be given the opportunity to examine before the hearing any PHA documents that are directly relevant to the hearing. The family must be allowed to copy any such documents at their own expense. If the PHA does not make the document available for examination on request of the family, the PHA may not rely on the document at the hearing.
The PHA hearing procedures may provide that the PHA must be given the opportunity to examine at the PHA offices before the hearing, any family documents that are directly relevant to the hearing. The PHA must be allowed to copy any such document at the PHA’s expense. If the family does not make the document available for examination on request of the PHA, the family may not rely on the document at the hearing.
For the purpose of informal hearings, documents include records and regulations.
HACP Policy:
The family will be allowed to copy any documents related to the hearing at a cost of $.25 per page. The family must request discovery of HACP documents no later than 12:00 p.m. on the business day prior to the scheduled hearing date.
If the hearing will be conducted remotely, HACP will compile a hearing packet, consisting of all documents HACP intends to produce at the informal hearing. HACP will mail copies of the hearing packet to the family, the family’s representatives, if any, and the hearing officer at least three days before the scheduled remote informal hearing. The original hearing packet will be in the possession of HACP representative and retained by HACP. Documents will be shared electronically whenever possible.
Participant’s Right to Bring Counsel [24 CFR 982.555(e)(3)] At its own expense, the family may be represented by a lawyer or other representative at the informal hearing.
Informal Hearing Officer
[24 CFR 982.555(e)(4)]
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PHA, other than the person who made or approved the decision or a subordinate of the person who made or approved the decision.
HACP Policy:
The HACP has designated the following to serve as hearing officers:
[Retired Attorneys and Other Department Directors in the City or other Executive Staff not involved in the management or operation of the HACP]
Attendance at the Informal Hearing
HACP Policy:
Hearings may be attended by a hearing officer and the following applicable persons:
•
A HACP representative(s) and any witnesses for the HACP • The participant and any witnesses for the participant • The participant’s counsel or other representative
• Any other person approved by the HACP as a reasonable accommodation for a person with a disability.
Conduct at Hearings
The person who conducts the hearing may regulate the conduct of the hearing in accordance with the PHA’s hearing procedures [24 CFR 982.555(4)(ii)].
HACP Policy:
The hearing officer is responsible to managefor managing the order of business and to ensure that hearings are conducted in a professional and businesslike manner. Attendees are expected to comply with all hearing procedures established by the hearing officer and guidelines for conduct.
Any person demonstrating disruptive, abusive or otherwise inappropriate behavior will be excused from the hearing at the discretion of the hearing officer.
Evidence [24 CFR 982.555(e)(5)]
The PHA and the family must be given the opportunity to present evidence and question any witnesses. In general, all evidence is admissible at an informal hearing. Evidence may be considered without regard to admissibility under the rules of evidence applicable to judicial proceedings.
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HACP Policy:
Any evidence to be considered by the hearing officer must be presented at the time of the hearing. There are four categories of evidence.
•
Oral evidence: the testimony of witnesses
• Documentary evidence: a writing which is relevant to the case, for example, a letter written to the HACP. Writings include all forms of recorded communication or
representation, including letters, words, pictures, sounds, videotapes or symbols or combinations thereof.
• Demonstrative evidence: Evidence created specifically for the hearing and presented as an illustrative aid to assist the hearing officer, such as a model, a chart or other diagram.
•
Real evidence: A tangible item relating directly to the case.
If the informal hearing is to be conducted remotely, HACP will require the family to provide any documents directly relevant to the informal hearing at least 24 hours before the scheduled hearing. HACP will scan and email copies of these documents to the hearing officer and HACP representative the same day.
Documents will be shared electronically whenever possible.
Hearsay Evidence is evidence of a statement that was made other than by a witness while testifying at the hearing and that is offered to prove the truth of the matter. Even though evidence, including hearsay, is generally admissible, hearsay evidence alone cannot be used as the sole basis for the hearing officer’s decision.
If either the HACP or the family fail to comply with the discovery requirements described above, the hearing officer will refuse to admit such evidence.
Other than the failure of a party to comply with discovery, the hearing officer has the authority to overrule any objections to evidence.
Procedures for Rehearing or Further Hearing
HACP Policy:
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might adjourn the hearing in order to reconvene at a later date, before reaching a decision. If the family misses an appointment or deadline ordered by the hearing officer, the action of the HACP will take effect and another hearing will not be granted.
Hearing Officer’s Decision [24 CFR 982.555(e)(6)]
The person who conducts the hearing must issue a written decision, stating briefly the reasons for the decision. Factual determinations relating to the individual circumstances of the family must be based on a preponderance of evidence presented at the hearing.
HACP Policy:
In rendering a decision, the hearing officer will consider the following matters:
HACP Notice to the Family: The hearing officer will determine if the reasons for the
HACP’s decision are factually stated in the
Notice.
Discovery: The hearing officer will determine if the HACP and the family were given the opportunity to examine any relevant documents in accordance with HACP Policy:.
HACP Evidence to Support the HACP Decision: The evidence consists of the facts presented. Evidence is not a conclusion, and it is not an argument. The hearing officer will evaluate the facts to determine if they support the HACP’s conclusion.
Validity of Grounds for Termination of Assistance (when applicable): The hearing officer will determine if the termination of assistance is for one of the grounds specified in the HUD regulations and HACP policies. If the grounds for termination are not specified in the regulations or in compliance with HACP policies, then the decision of the HACP will be overturned.
The hearing officer will issue a written decision to the family and the HACP no later than 10 business days after the hearing. The report will contain the following information:
Hearing information:
Name of the participant,
Date, time and place of the hearing,
Name of the hearing officer,
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Name of the HACP representative; and
Name of family representative (if any).
Background: A brief, impartial statement of the reason for the hearing.
Summary of the Evidence: The hearing officer will summarize the testimony of each witness and identify any documents that a witness produced in support of his/her testimony and that are admitted into evidence.
Findings of Fact: The hearing officer will include all findings of fact, based on a preponderance of the evidence. Preponderance of the evidence is defined as evidence which is of greater weight or more convincing than the evidence which is offered in opposition to it; that is, evidence which as a whole shows that the fact sought to be proved is more probable than not. Preponderance of the evidence may not be determined by the number of witnesses, but by the greater weight of all evidence.
Conclusions: The hearing officer will render a conclusion derived from the facts that were found to be true by a preponderance of the evidence. The conclusion will result in a determination of whether these facts uphold the PHA’s decision.
Order: The hearing report will include a statement of whether the PHA’s decision is upheld or overturned. If it is overturned, the hearing officer will instruct the PHA to change the decision in accordance with the hearing officer’s determination. In the case of termination of assistance, the hearing officer will instruct the PHA to restore the participant’s program status.
Issuance of Decision [24 CFR 982.555(e)(6)]
A copy of the hearing must be furnished promptly to the family.
HACP Policy:
The hearing officer will mail a “Notice of Hearing Decision” to the HACP and to the participant on the same day. This notice will be sent by first- class mail. The participant will be mailed the original “Notice of Hearing Decision” and a copy of the proof of mailing. A copy of the “Notice of Hearing Decision” will be maintained in the HACP’s file.
Effect of Final Decision [24 CFR 982.555(f)]
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The PHA is not bound by the decision of the hearing officer for matters in which the PHA is not required to provide an opportunity for a hearing, decisions that exceed the authority of the hearing officer, decisions that conflict with or contradict HUD regulations, requirements, or are otherwise contrary to federal, state, or local laws.
If the PHA determines it is not bound by the hearing officer’s decision in accordance with HUD regulations, the PHA must promptly notify the family of the determination and the reason for the determination.
HACP Policy:
The Housing Manager has the authority to determine that the HACP is not bound by the decision of the hearing officer because the HACP was not required to provide a hearing, the decision exceeded the authority of the hearing officer, the decision conflicted with or contradicted HUD regulations, requirements, or the decision was otherwise contrary to federal, state, or local laws.
In such a case, the
HACP will mail a “Notice of Final Decision” to the
HACP and the participant on the same day. The “Notice of Final Decision” will be sent by first-class mail. A copy of this notice will be maintained in the HACP’s file.
16-III.D. HEARING AND APPEAL PROVISIONS FOR NONCITIZENS [24 CFR
5.514]
Denial or termination of assistance based on immigration status is subject to special hearing and notice rules. Applicants who are denied assistance due to immigration status are entitled to an informal hearing, not an informal review.
Assistance to a family may not be delayed, denied, or terminated on the basis of immigration status at any time prior to a decision under the United States Citizenship and Immigration Services (USCIS) appeal process. Assistance to a family may not be terminated or denied while the PHA hearing is pending, but assistance to an applicant may be delayed pending the completion of the informal hearing.
A decision against a family member, issued in accordance with the USCIS appeal process or the PHA informal hearing process, does not preclude the family from exercising the right, that may otherwise be available, to seek redress directly through judicial procedures.
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The notice of denial or termination of assistance for noncitizens must advise the family:
• That financial assistance will be denied or terminated and provide a brief explanation of the reasons for the proposed denial or termination of assistance.
• The family may be eligible for proration of assistance. • In the case of a participant, the criteria and procedures for obtaining relief under the provisions for preservation of families [24 CFR 5.514 and 5.518]. • That the family has a right to request an appeal to the USCIS of the results of secondary verification of immigration status and to submit additional documentation or explanation in support of the appeal.
• That the family has a right to request an informal hearing with the PHA either upon completion of the USCIS appeal or in lieu of the USCIS appeal. • For applicants, assistance may not be delayed until the conclusion of the USCIS appeal process, but assistance may be delayed during the period of the informal hearing process.
USCIS Appeal Process [24 CFR 5.514(e)]
When the PHA receives notification that the USCIS secondary verification failed to confirm eligible immigration status, the PHA must notify the family of the results of the USCIS verification. The family will have 30 days from the date of the notification to request an appeal of the USCIS results. The request for appeal must be made by the family in writing directly to the USCIS. The family must provide the PHA with a copy of the written request for appeal and the proof of mailing.
HACP Policy:
The HACP will notify the family in writing of the results of the USCIS secondary verification within 10 business days of receiving the results.
The family must provide the HACP with a copy of the written request for appeal and proof of mailing within 10 business days
of sending the
request to the USCIS.
The family must forward to the designated USCIS office any additional documentation or written explanation in support of the appeal. This material must include a copy of the USCIS document verification request (used to process the secondary request) or such other form specified by the USCIS, and a letter indicating that the family is requesting an appeal of the USCIS immigration status Formatted: Line spacing: 1.5 lines
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verification results.
The USCIS will notify the family, with a copy to the PHA, of its decision. When the USCIS notifies the PHA of the decision, the PHA must notify the family of its right to request an informal hearing.
HACP Policy:
The HACP will send written notice to the family of its right to request an informal hearing within 10 business days of receiving notice of the USCIS decision regarding the family’s immigration status.
Informal Hearing Procedures for Applicants [24 CFR 5.514(f)] After notification of the USCIS decision on appeal, or in lieu of an appeal to the USCIS, the family may request that the PHA provide a hearing. The request for a hearing must be made either within 30 days of receipt of the PHA notice of denial, or within 30 days of receipt of the USCIS appeal decision.
The informal hearing procedures for applicant families are described below.
Informal Hearing Officer
The PHA must provide an informal hearing before an impartial individual, other than a person who made or approved the decision under review, and other than a person who is a subordinate of the person who made or approved the decision.
See Section 16
-III.C. for a listing of positions that serve as informal hearing officers.
Evidence
The family must be provided the opportunity to examine and copy at the family’s expense, at a reasonable time in advance of the hearing, any documents in the possession of the PHA pertaining to the family’s eligibility status, or in the possession of the USCIS (as permitted by USCIS requirements), including any records and regulations that may be relevant to the hearing.
HACP Policy:
The family will be allowed to copy any documents related to the hearing at a cost of $.25 per page.no charge. The family must request discovery of HACP documents no later than
12:00 p.m. on the business day prior to the hearing.
The family must be provided the opportunity to present evidence and arguments in support of eligible status. Evidence may be considered without regard to admissibility under the rules of evidence applicable to judicial proceedings.
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The family must also be provided the opportunity to refute evidence relied upon by the HACP, and to confront and cross-examine all witnesses on whose testimony or information the HACP relies.
Representation and Interpretive Services
The family is entitled to be represented by an attorney or other designee, at the family’s expense, and to have such person make statements on the family’s behalf.
The family is entitled to request an interpreter. Upon request, the PHA will provide competent interpretation services, free of charge.
Recording of the Hearing
The family is entitled to have the hearing recorded by audiotape. The PHA may, but is not required to provide a transcript of the hearing.
HACP Policy:
The HACP will not provide a transcript of an audio taped hearing.
Hearing Decision
The PHA must provide the family with a written final decision, based solely on the facts presented at the hearing, within 14 calendar days of the date of the informal hearing. The decision must state the basis for the decision.
Informal Hearing Procedures for Residents [24 CFR 5.514(f)] After notification of the USCIS decision on appeal, or in lieu of an appeal to the USCIS, the family may request that the PHA provide a hearing. The request for a hearing must be made either within 30 days of receipt of the PHA notice of termination, or within 30 days of receipt of the USCIS appeal decision.
For the informal hearing procedures that apply to participant families whose assistance is being terminated based on immigration status, see Section 16-III.C.
Retention of Documents [24 CFR 5.514(h)]
The PHA must retain for a minimum of 5 years the following documents that may have been submitted to the PHA by the family, or provided to the PHA as part of the USCIS appeal or the PHA informal hearing process:
•
The application for assistance
• The form completed by the family for income reexamination • Photocopies of any original documents, including original USCIS documents Formatted: Line spacing: 1.5 lines
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• The signed verification consent form
• The USCIS verification results
• The request for a USCIS appeal
• The final USCIS determination
• The request for an informal hearing
• The final informal hearing decision
PART IV: OWNER OR FAMILY DEBTS TO THE PHA
16-IV.A. OVERVIEW
PHAs are required to include in the administrative plan, policies concerning repayment by a family of amounts owed to the PHA [24 CFR 982.54]. This part describes the PHA’s policies for recovery of monies owed to the PHA by families or owners.
HACP Policy:
When an action or inaction of an owner or participant results in the overpayment of housing assistance, the HACP holds the owner or participant liable to return any overpayments to the HACP.
The HACP will enter into repayment agreements in accordance with the policies contained in this part as a means to recover overpayments.
When an owner or participant refuses to repay monies owed to the HACP,
the HACP will utilize other available collection alternatives including, but not limited to, the following:
• Collection agencies
• Small claims court
• Civil lawsuit
• State income tax set-off program
16-IV.B. REPAYMENT POLICY
Owner Debts to the PHA
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HACP Policy:
Any amount due to the HACP by an owner must be repaid by the owner within 30 days of the HACP determination of the debt.
If the owner fails to repay the debt within the required time frame and is entitled to future HAP payments, the
HACP will reduce the future HAP
payments by the amount owed until the debt is paid in full.
If the owner is not entitled to future HAP payments the HACP may, in its sole discretion, offer to enter into a repayment agreement on terms prescribed by the HACP.
If the owner refuses to repay the debt, does not enter into a repayment agreement, or breaches a repayment agreement, the HOUSING AUTHORITY will ban the owner from future participation in the program and pursue other modes of collection.
Family Debts to the PHA
HACP Policy:
Any amount owed to the HACP by an HCV family must be repaid by the family. If the family is unable to repay the debt within 30 days, the HACP will offer to enter into a repayment agreement in accordance with the policies below.
If the family refuses to repay the debt, does not enter into a repayment agreement, or breaches a repayment agreement, the PHA will terminate assistance in accordance with the policies in Chapter 12 and pursue other modes of collection.
Repayment Agreement [24 CFR 792.103]
The term
repayment agreement refers to a formal written document signed by a tenant or owner and provided to the PHA in which a tenant or owner acknowledges a debt in a specific amount and agrees to repay the amount due at specific time periods.
General Repayment Agreement Guidelines for Families
Down Payment Requirement
HACP Policy:
Before executing a repayment agreement with a family, the HACP will generally require a down payment of 10 percent of the total amount owed.
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If the family can provide evidence satisfactory to the HACP that a down payment of 10 percent would impose an undue hardship, the HACP may, in its sole discretion, require a lesser percentage or waive the requirement.
Payment Thresholds
Notice PIH 2018-18 recommends that the total amount that a family must pay each month—the family’s monthly share of rent plus the monthly debt repayment amount—should not exceed 40 percent of the family’s monthly adjusted income.
However, a family may already be paying 40 per cent or more of its monthly adjusted income in rent. Moreover, Notice PIH 2018-18 acknowledges that PHAs have the discretion to establish “thresholds and policies” for repayment agreements with families [24 CFR 982.552(c)(1)(vii)].
HACP Policy:
The HACP has established the following thresholds for repayment of debts:
•
Amounts between $3,000 and the federal or state threshold for criminal prosecution must be repaid within 24 months.
• Amounts between $2,000 and $2,999 must be repaid within 18 months.
• Amounts between $1,000 and $1,999 must be repaid within 12 months.
• Amounts under $1,000 must be repaid within 6 months.
If a family can provide evidence satisfactory to the HACP that the threshold applicable to the family’s debt would impose an undue hardship, the HACP may, in its sole discretion, determine that a lower monthly payment amount is reasonable. In making its determination, the HACP will consider all relevant information, including the following:
• The amount owed by the family to the HACP.
• The reason for the debt, including whether the debt was the result of family action/inaction or circumstances beyond the family’s control.
• The family’s current and potential income and expenses •
The family’s current family share, as calculated under 24 CFR 982.515
• The family’s history of meeting its financial responsibilities.
Execution of the Agreement
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HACP Policy:
Any repayment agreement between the HOUSUNGHOUSING
AUTHORITY and a family must be signed and dated by the
HOUSUNGHOUSING AUTHORITY and by the head of household and spouse/cohead (if applicable).
Due Dates
HACP Policy:
All payments are due by the close of business on the 15th day of the month. If the 15th does not fall on a business day, the due date is the close of business on the first business day after the 15th.
Late or Missed Payments
HACP Policy:
If a payment is not received by the end of the business day on the date due, and prior approval for the missed payment has not been given by the HACP, the HACP may send the family a delinquency notice giving the family 10 business days to make the late payment. If the payment is not received by the due date of the delinquency notice, it will be considered a breach of the agreement and the HACP may terminate assistance in accordance with the policies in Chapter 12.
If a family receives three delinquency notices for unexcused late payments in a 12
-month period, the repayment agreement will be considered in default, and the HACP may terminate assistance in accordance with the policies in Chapter 12.
No Offer of Repayment Agreement
HACP Policy:
The HACP generally may not enter into a repayment agreement with a family if there is already a repayment agreement in place with the family or if the amount owed by the family exceeds the federal or state threshold for criminal prosecution.
Repayment Agreements Involving Improper Payments
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failed to report income:
• A reference to the items in the family briefing packet that state the family’s obligation to provide true and complete information at every reexamination and the grounds on which the PHA may terminate assistance because of a family’s action or failure to act.
• A statement clarifying that each month the family not only must pay to the PHA the monthly payment amount specified in the agreement but must also pay to the owner the family’s monthly share of the rent to owner. • A statement that the terms of the repayment agreement may be renegotiated if the family’s income decreases or increases.
• A statement that late or missed payments constitute default of the repayment agreement and may result in termination of assistance.
PART V : SECTION 8 MANAGEMENT ASSESSMENT PROGRAM (SEMAP) 16-V.A. OVERVIEW
The Section 8 Management Assessment Program (SEMAP) is a tool that allows HUD to measure PHA performance in key areas to ensure program integrity and accountability. SEMAP scores translate into a rating for each PHA as high performing, standard, or troubled. Scores on individual SEMAP indicators, as well as overall SEMAP ratings, can affect the PHA in several ways. • High-performing PHAs can be given a competitive advantage under notices of funding availability [24 CFR 985.103].
• PHAs with deficiencies on one or more indicators are required to correct the deficiencies and report to HUD [24 CFR 985.106].
• PHAs with an overall rating of “troubled” are subject to additional HUD oversight, including on-site reviews by HUD staff, a requirement to develop a corrective action plan, and monitoring to ensure the successful implementation of the corrective action plan. In addition, PHAs that are designated “troubled” may not use any part of the administrative fee reserve for other housing purposes [24 CFR 985.107].
• HUD may determine that a PHA's failure to correct identified SEMAP deficiencies or to prepare and implement a corrective action plan required by HUD constitutes a default under the ACC [24 CFR 985.109]. 16-V.B. SEMAP CERTIFICATION [24 CFR 985.101]
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calendar days after the end of its fiscal year. The certification must be approved by PHA board resolution and signed by the PHA executive director. If the PHA is a unit of local government or a state, a resolution approving the certification is not required, and the certification must be executed by the Section 8 program director.
PHAs with less than 250 voucher units are only required to be assessed every other PHA fiscal year. HUD will assess such PHAs annually if the PHA elects to have its performance assessed on an annual basis; or is designated as “troubled” [24 CFR 985.105].
Failure of a PHA to submit its SEMAP certification within the required time frame will result in an overall performance rating of “troubled.”
A PHA’s SEMAP certification is subject to HUD verification by an on-site confirmatory review at any time.
Upon receipt of the PHA’s SEMAP certification, HUD will rate the PHA’s performance under each SEMAP indicator in accordance with program requirements.
HUD Verification Method
Several of the SEMAP indicators are scored based on a review of a quality control sample selected for this purpose. The PHA or the Independent Auditor must select an unbiased sample that provides an adequate representation of the types of information to be assessed, in accordance with SEMAP requirements [24 CFR 985.2].
If the HUD verification method for the indicator relies on data in the Form-50058 module (formerly known as MTCS) in the PIH Information Center (PIC), and HUD determines that those data are insufficient to verify the PHA's certification on the indicator due to the PHA's failure to adequately report family data, HUD will assign a zero rating for the indicator [24 CFR 985.3].
16-V.C. SEMAP INDICATORS [24 CFR 985.3 and form HUD-52648] The table below lists each of the SEMAP indicators, contains a description of each indicator, and explains the basis for points awarded under each indicator.
A PHA that expends less than $300,000 in Federal awards and whose Section 8 programs are not audited by an independent auditor is not to be rated under SEMAP indicators 1-7.
SEMAP Indicators
Indicator 1: Selection from the waiting list
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Maximum Score: 15
• This indicator shows whether the PHA has written policies in its administrative plan for selecting applicants from the waiting list and whether the PHA follows these policies when selecting applicants for admission from the waiting list. •
Points are based on the percent of families that are selected from the waiting list in accordance with the PHA’s written policies, according to the PHA’s quality control sample.
Indicator 2: Rent reasonablenessReasonableness
Maximum Score: 20
•
This indicator shows whether the PHA has and implements a reasonable written method to determine and document for each unit leased that the rent to owner is reasonable based on current rents for comparable unassisted units • Points are based on the percent of units for which the PHA follows its written method to determine reasonable rent and has documented its determination that the rent to owner is reasonable, according to the PHA’s quality control sample.
Indicator 3: Determination of adjusted incomeAdjusted Income Maximum Score: 20
•
This indicator measures whether the PHA verifies and correctly determines adjusted income for each assisted family, and where applicable, uses the appropriate utility allowances for the unit leased in determining the gross rent. • Points are based on the percent of files that are calculated and verified correctly, according to the PHA’s quality control sample.
Indicator 4: Utility allowance scheduleAllowance Schedule Maximum Score: 5
• This indicator shows whether the PHA maintains an up-to-date utility allowance schedule.
• Points are based on whether the PHA has reviewed the utility allowance schedule and adjusted it when required, according to the PHA’s certification.
Indicator 5: HQS quality control inspectionsNSPIRE Quality Control Inspections
Maximum Score: 5
• This indicator shows whether a PHA supervisor reinspects a sample of units under contract during the PHA fiscal year, which meets the minimum sample size requirements for quality control of HQSNSPIRE inspections.
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• Points are based on whether the required quality control reinspections were completed, according to the PHA’s certification.
Indicator 6: HQS enforcementNSPIRE Enforcement
Maximum Score: 10
• This indicator shows whether, following each HQS inspection of a unit under contract where the unit fails to meet HQSNSPIRE standards, any cited life- threatening deficiencies are corrected within 24 hours from the inspection and all other deficiencies are corrected within no more than 30 calendar days from the inspection or any PHA-approved extension.
• Points are based on whether the PHA corrects all HQS deficiencies in accordance with required time frames, according to the PHA’s certification.
Indicator 7: Expanding housing opportunitiesHousing Opportunities Maximum Points: 5
•
Only applies to PHAs with jurisdiction in metropolitan FMR areas. • This indicator shows whether the PHA has adopted and implemented a written policy to encourage participation by owners of units located outside areas of poverty or minority concentration; informs voucher holders of the full range of areas where they may lease units both inside and outside the PHA’s jurisdiction; and supplies a list of landlords or other parties who are willing to lease units or help families find units, including units outside areas of poverty or minority concentration.
• Points are based on whether the PHA has adopted and implemented written policies in accordance with SEMAP requirements, according to the PHA’s certification.
Indicator 8: FMR limitLimit and payment standardsPayment Standards Maximum Points: 5 points
•
This indicator shows whether the PHA has adopted a payment standard schedule that establishes payment standard amounts by unit size for each FMR area in the PHA’s jurisdiction, that are within the basic range of 90 to 110 percent of the published FMR.
• Points are based on whether the PHA has appropriately adopted a payment standard schedule(s), according to the PHA’s certification.
Indicator 9: Annual reexaminationsReexaminations
Maximum Points: 10
•
This indicator shows whether the PHA completes a reexamination for each participating family at least every 12 months.
• Points are based on the percent of reexaminations that are more than 2 months overdue, according to data from PIC.
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Indicator 10: Correct tenant rent calculationsTenant Rent Calculations Maximum Points: 5
•
This indicator shows whether the PHA correctly calculates the family’s share of the rent to owner.
• Points are based on the percent of correct calculations of family share of the rent, according to data from PIC.
Indicator 11: Pre-contract HQS inspectionsInspections
Maximum Points: 5
• This indicator shows whether newly leased units pass HQS inspection on or before the effective date of the assisted lease and HAP contract. • Points are based on the percent of newly leased units that passed HQS inspection prior to the effective date of the lease and HAP contract, according to data from PIC.
Indicator 12: Annual HQS inspectionsNSPIRE Inspections
Maximum Points: 10
•
This indicator shows whether the PHA inspects each unit under contract at least annually.
• Points are based on the percent of annual HQS inspections of units under contract that are more than 2 months overdue, according to data from PIC.
Indicator 13: Lease-up
Maximum Points: 20 points
•
This indicator shows whether the PHA enters HAP contracts for at least 98 percent of the number of the PHA’s baseline voucher units in the ACC for the calendar year ending on or before the PHA’s fiscal year, or whether the PHA has expended at least 98 percent of its allocated budget authority for the same calendar year. The PHA can receive 15 points if 95 to 97 percent of vouchers are leased or budget authority is utilized.
• Points are based on utilization of vouchers and HAP expenditures as reported in the voucher management system (VMS) for the most recently completed calendar year.
Indicator 14: Family self-sufficiencySelf-Sufficiency (FSS) enrollment and escrow account balances
Maximum Points: 10
• Only applies to PHAs with mandatory FSS programs.
• This indicator shows whether the PHA has enrolled families in the FSS program as required and measures the percent of current FSS participants that have had increases in earned income which resulted in escrow account balances. 601
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• Points are based on the percent of mandatory FSS slots that are filled and the percent of families with escrow account balances, according to data from PIC.
Success Rate of Voucher Holders
Maximum Points: 5
• Only applies to PHAs that have received approval to establish success rate payment standard amounts and isn’t effective until the second full PHA fiscal year following the date of HUD approval of success rate payment standard amounts.
• This indicator shows whether voucher holders were successful in leasing units with voucher assistance.
• Points are based on the percent of families that were issued vouchers, and that became participants in the voucher program.
Deconcentration Bonus Indicator
Maximum Points: 5
•
Submission of data for this indicator is mandatory for a PHA using one or more payment standard amount(s) that exceed(s) 100 percent of the published FMR set at the 50th percentile rent, starting with the second full PHA fiscal year following initial use of payment standard amounts based on the FMRs set at the 50th percentile.
• Additional points are available to PHAs that have jurisdiction in metropolitan FMR areas and that choose to submit the required data.
• Points are based on whether the data that is submitted meets the requirements for bonus points.
HACP Policy:::
The HACP will not annually score or evaluate Indicator # 14 (Family Self Sufficiency Program) or the Deconcentration Bonus. The HACP has never been provided an award or grant to participate in the FSS Program. The Bonus indicator requires a jurisdictional area that is more diverse in income levels & size. The HACP jurisdiction is too small and lacks affordability diversity to measure deconcentration.
PART VI: RECORD KEEPING
16-VI.A. OVERVIEW
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The PHA must maintain complete and accurate accounts and other records for the program in accordance with HUD requirements, in a manner that permits a speedy and effective audit. All such records must be made available to HUD or the Comptroller General of the United States upon request.
In addition, the PHA must ensure that all applicant and participant files are maintained in a way that protects an individual’s privacy rights. 16-VI.B. RECORD RETENTION [24 CFR 982.158]
During the term of each assisted lease, and for at least three years thereafter, the PHA must keep:
• A copy of the executed lease,
• The HAP contract; and
• The application from the family.
In addition, the PHA must keep the following records for at least three years:
• Records that provide income, racial, ethnic, gender, and disability status data on program applicants and participants,
• An application from each ineligible family and notice that the applicant is not eligible,
• HUD-required reports,
• Unit inspection reports,
• Lead-based paint records as required by 24 CFR 35, Subpart B. • Accounts and other records supporting PHA budget and financial statements for the program,
• Records to document the basis for PHA determination that rent to owner is a reasonable rent (initially and during the term of a HAP contract); and • Other records specified by HUD.
The PHA must keep the last three years of the Form HUD-50058 and supporting documentation during the term of each assisted lease, and for a period of at least three years from the end of participation (EOP) date [24 CFR 908.101].
The PHA must maintain Enterprise Income Verification (EIV) system Income Reports in the tenant file for the duration of the tenancy but for a period not to exceed three years from the EOP date [Notice PIH 2018-18].
Notice PIH 2014-20 requires PHAs to keep records of all complaints, investigations, notices, and corrective actions related to violations of the Fair Housing Act or the equal access final rule.
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HACP Policy:
The PHA will keep for at least three years records of all complaints, investigations, notices, and corrective actions related to violations of the Fair Housing Act, the equal access final rule, or VAWA.
The PHA must keep confidential records of all emergency transfer requested by victims of domestic violence, dating violence, sexual assault, and stalking, and human trafficking under the PHA’s Emergency Transfer Plan, as well as the outcomes of such requests, and retain the records for a period of three years [see 24 CFR 5.2002(e)(12)].
If an informal hearing to establish a family’s citizenship status is held, longer retention requirements apply for some types of documents. For specific requirements, see Section 16-III.D., Retention of Documents. 16-VI.C. RECORDS MANAGEMENT
PHAs must maintain applicant and participant files and information in accordance with the regulatory requirements described below.
HACP Policy:
All applicant and participant information will be kept in a secure location and access will be limited to authorized HACP staff.
HACP staff will not discuss personal family information unless there is a business reason to do so. Inappropriate discussion of family information or improper disclosure of family information by staff will result in disciplinary action.
Privacy Act Requirements [24 CFR 5.212 and Form-9886]
The collection, maintenance, use, and dissemination of social security numbers (SSN), employer identification numbers (EIN), any information derived from these numbers, and income information of applicants and participants must be conducted, to the extent applicable, in compliance with the Privacy Act of 1874,
and all other provisions of Federal, State, and local law.
Applicants and participants, including all adults in the household, are required to sign a consent form, HUD-9886, Authorization for Release of Information. This form incorporates the Federal Privacy Act Statement and describes how the information collected using the form may be used, and under what conditions HUD or the PHA may release the information collected.
Upfront Income Verification (UIV) Records
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PHAs that access UIV data through HUD’s Enterprise Income Verification (EIV) system are required to adopt and follow specific security procedures to ensure that all EIV data is protected in accordance with federal laws, regardless of the media on which the data is recorded (e.g. electronic, paper). These requirements are contained in the HUD-issued document, Enterprise Income Verification (EIV) System, Security Procedures for Upfront Income Verification data.
HACP Policy:
Prior to utilizing HUD’s EIV system, the HACP will adopt and implement EIV security procedures required by HUD.
Criminal Records
The PHA may only disclose the criminal conviction records which the PHA receives from a law enforcement agency to officers or employees of the PHA, or to authorized representatives of the PHA who have a job-related need to have access to the information [24 CFR 5.903(e)].
The PHA must establish and implement a system of records management that ensures that any criminal record received by the PHA from a law enforcement agency is maintained confidentially, not misused or improperly disseminated, and destroyed, once the purpose for which the record was requested has been accomplished, including expiration of the period for filing a challenge to the PHA action without institution of a challenge or final disposition of any such litigation [24 CFR 5.903(g)].
The PHA must establish and implement a system of records management that ensures that any sex
offender registration information received by the PHA from a State or local agency is maintained confidentially, not misused or improperly disseminated, and destroyed, once the purpose for which the record was requested has been accomplished, including expiration of the period for filing a challenge to the PHA action without institution of a challenge or final disposition of any such litigation. However, a record of the screening, including the type of screening and the date performed must be retained [Notice PIH 2012-28]. This requirement does not apply to information that is public information or is obtained by a PHA other than under 24 CFR 5.905.
Medical/Disability Records
PHAs are not permitted to inquire about the nature or extent of a person’s disability. The PHA may not inquire about a person’s diagnosis or details of treatment for a disability or medical condition. If the PHA receives a verification document that provides such information, the PHA should not place this Formatted: Line spacing: Multiple 1.15 li
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information in the tenant file. The PHA should destroy the document.
Documentation of Domestic Violence, Dating Violence, Sexual Assault, or Stalking, or Human Trafficking
For requirements and PHA policies related to management of documentation obtained from victims of domestic violence, dating violence, sexual assault, or stalking, or human trafficking see section 16-IX.E.
PART VII: REPORTING AND RECORD KEEPING FOR
CHILDREN WITH
ELEVATED BLOOD LEAD LEVEL
16-VII.A. OVERVIEW
The PHA has certain responsibilities relative to children with elevated blood lead levels that are receiving HCV assistance. The notification, verification, and hazard reduction requirements are discussed in Chapter 8. This part deals with the reporting requirements, and data collection and record keeping responsibilities that the PHA is subject to.
16-VII.B. REPORTING REQUIREMENT [24 CFR 35.1225(e)]
The PHA must report the name and address of a child identified as having an elevated blood lead level to the public health department within 5 business days of being so notified by any other medical health care professional.
HACP Policy:
TheUpon notification by the owner, the HACP will provide the public health department written notice of the name and address of any child identified as having an elevated blood lead level. within five business days.
Upon notification by the owner, the HACP will notify the HUD field office and the HUD Office of Lead Hazard Control and Healthy Homes (OLHCHH) of the child’s address within five business days.
16-VII.C. DATA COLLECTION AND RECORD KEEPING [24 CFR 35.1225(f)] At least quarterly, the PHA must attempt to obtain from the public health Formatted: Line spacing: 1.5 lines
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department(s) with a similar area of jurisdiction, the names and/or addresses of children less than 6 years old with an elevated blood lead level.
If the PHA obtains names and addresses of elevated blood lead level children from the public health department(s), the PHA must match this information with the names and addresses of families receiving HCV assistance, unless the public health department performs such a procedure. If a match occurs, the PHA must carry out the notification, verification, and hazard reduction requirements discussed in Chapter 8, and the reporting requirement discussed above.
At least quarterly, the PHA must also report an updated list of the addresses of units receiving assistance under the HCV program to the same public health department(s), unless the public health department(s) states that it does not wish to receive such a report.
HACP Policy:
The public health department(s) has stated they do not wish to receive a report of an updated list of the addresses of units receiving assistance under the HCV program, on a quarterly basis.
Therefore, the HACP is not providing such a report. The public health department(s) has stated they will release information solely at their discretion, the names and/or a
addresses of children less than 6 years old with an elevated blood lead level to the HACP.
PART VIII: DETERMINATION OF INSUFFICIENT FUNDING
16-VIII.A. OVERVIEW
The HCV regulations allow PHAs to deny families permission to move and to terminate Housing Assistance Payments (HAP) contracts if funding under the consolidated ACC is insufficient to support continued assistance [24 CFR 982.354(e)(1) and 982.454]. If a PHA denies a family a portability move based on insufficient funding, the PHA is required to notify the local HUD office within 10 business days [24 CFR 982.354]. The requirements found in this notice are mandatory. Insufficient funding may also impact the PHA’s ability to issue vouchers to families on the waiting list. The PHA will deny a family permission to move on grounds that the PHA does not have sufficient funding for continued assistance if (a) the move is initiated by the family, not the owner or the PHA; (b) the PHA can demonstrate that the move will, in fact, result in higher subsidy costs; (c) the PHA can demonstrate that it does not have sufficient funding in its annual budget to accommodate the higher subsidy costs; and (d) for portability moves, the receiving PHA is not absorbing the voucher. This policy applies to moves Formatted: Line spacing: Multiple 1.15 li
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within the PHA’s jurisdiction as well as to moves outside it under portability.
This following part discusses the methodology the PHA will use to determine whether or not the PHA has sufficient funding to issue vouchers, approve moves, and to continue subsidizing all families currently under a HAP contract.
16-VIII.B. METHODOLOGY
HACP Policy:
The HACP will determine whether there is adequate funding to issue vouchers, approve moves to higher cost units and areas, and continue subsidizing all current participants by comparing the HACP’s annual budget authority to the annual total HAP needs on a monthly basis. The total HAP needs for the calendar year will be projected by establishing the actual HAP costs year to date. To that figure, the HACP will add anticipated HAP expenditures for the remainder of the calendar year.
Projected HAP expenditures will be calculated by multiplying the projected number of units leased per remaining months by the most current month’s average HAP. The projected number of units leased per month will take into account the average monthly turnover of participant families. If the total annual HAP needs equal or exceed the annual budget authority, or if the HACP cannot support the cost of the proposed subsidy commitment (voucher issuance or move) based on the funding analysis, the HACP will be considered to have insufficient funding.
If the HACP does not have sufficient funding for continued assistance, but the family must move from their unit (e.g., the unit failed HQSNSPIRE), the family may move to a higher cost unit if the move is within the HACP’s jurisdiction. The HACP, however, will not allow the family to move under portability in this situation if the family wishes to move to a higher cost area. For both moves within the HACP’s jurisdiction and outside under portability, the HACP will not deny a move due to insufficient funding if the HACP previously approved the move and subsequently experienced a funding shortfall if the family cannot remain in their current unit. The HACP will rescind the voucher in this situation if the family will be allowed to remain in their current unit.
The HACP will create a list of families whose moves have been denied due to insufficient funding. The HACP will keep the family’s request open indefinitely, and, when funds become available, the families on this list will take precedence over families on the waiting list. The HACP will use the same procedures for notifying families with open requests to move.
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PART IX: VIOLENCE AGAINST WOMEN ACT (VAWA): NOTIFICATION,
DOCUMENTATION, CONFIDENTIALITY
16-IX.A. OVERVIEW
The Violence against Women Act of 2013 (VAWA) provides special protections for victims of domestic violence, dating violence, sexual assault and, stalking, and human trafficking who are applying for or receiving assistance under the housing choice voucher (HCV) program. If your state or local laws provide greater protection for such victims, those laws apply in conjunction with VAWA.
• Although the VAWA 2022 statute does not specifically include human trafficking in the list of victims protected under VAWA, in 2022 HUD began including human trafficking as part of the list of victims protected under VAWA (as seen in Notices PIH 2022-06, PIH 2022-22, and PIH 2022-24). In the absence of a final rule implementing VAWA 2022 and to mirror HUD’s recent usage, this policy includes human trafficking in addition to domestic violence, dating violence, sexual assault, and stalking anywhere such a list appears.
In addition to definitions of key terms used in VAWA, this part contains general VAWA requirements and PHA policies in three areas: notification, documentation, and confidentiality. Specific VAWA requirements and PHA policies are located primarily in the following sections: 3-I.C, “Family Breakup and Remaining Member of Tenant Family”; 3-III.G, “Prohibition against Denial of Assistance to Victims of Domestic Violence, Dating Violence, and Stalking and Human Trafficking”; 10-I.A, “Allowable Moves”; 10-I.B, “Restrictions on Moves”; 12-II.E, “Terminations Related to Domestic Violence, Dating Violence, or Sexual Assault, Stalking”;, or Human Trafficking and 12-II.F, “Termination Notice.”
16-IX.B. DEFINITIONS [24 CFR 5.2003, 42 USC 13925]
As used in VAWA:
• The term affiliated individual means, with respect to a person:
- A spouse, parent, brother or sister, or child of that individual, or an individual to whom that individual stands in the position or place of a parent; or
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• The term bifurcate means, with respect to a public housing or Section 8 lease, to divide a lease as a matter of law such that certain tenants can be evicted or removed while the remaining family members’ lease and occupancy rights are allowed to remain intact.
• The term dating violence means violence committed by a person who is or has been in a social relationship of a romantic or intimate nature with the victim; and where the existence of such a relationship shall be determined based on a consideration of the following factors:
- The length of the relationship
- The type of relationship
- The frequency of interaction between the persons involved in the relationship
• The term domestic violence includes felony or misdemeanor crimes of violence committed by a current or former spouse or intimate partner of the victim, by a person with whom the victim shares a child in common under the family or domestic violence laws of the jurisdiction receiving grant funding, and in the case of victim services, includes the user or attempted use of physical abuse or sexual abuse, or a pattern of any other coercive behavior committed, enabled, or solicited to gain or maintain power and control over a victim, including verbal, psychological, economic, or technological abuse that may or may not constitute criminal behavior, by a person who is:
- The current or former spouse or intimate partner of the victim, or person similarly situated to a spouse or intimate partner of the victim. - A person who is cohabitating with or has cohabitated with the victim as a spouse or intimate partner, by a.
- A person similarly situated to a spouse ofwith whom the victim under the domestic or family violence laws of the jurisdiction receiving grant monies, or by any othershares a child in common.
• A person who commits acts against an adult or youth or adult victim who is •- protected from that person’s those acts under the domestic or family violence laws of the jurisdiction.
• The term affiliated individual means, with respect to a person:
- A spouse, parent, brother or sister, or child of that individual, or an individual to whom that individual stands in the position or place of a parent; or
- Any other individual, tenant, or lawful occupant living in the household of the victim of domestic violence, dating violence, sexual assault, or stalking.
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• The term economic abuse means behavior that is coercive, deceptive, or unreasonably controls or restrains a person’s ability to acquire, use, or maintain economic resources to which they are entitle, including using coercion, fraud, and manipulation to:
- Restrict a person’s access to money, assets, credit, or financial information.
- Unfairly use a person’s personal economic resources, including money, assets, and credit, for one’s own advantage.
- Exert undue influence over a person’s financial and economic behavior or decisions, including forcing default on joint or other financial obligations, exploiting powers of attorney, guardianship, or conservatorship, or to whom one has a fiduciary duty.
• The term sexual assault means:
- Any nonconsensual sexual act proscribed by federal, tribal, or state law, including when the victim lacks the capacity to consent. • The term stalking means:
- To engage in a course of conduct directed at a specific person that would cause a reasonable person to fear for his or her safety or the safety of others or suffer substantial emotional distress.
• The term technological abuse means an act or pattern of behavior that occurs within domestic violence, dating violence, sexual assault, or stalking and is intended to harm, threaten, intimidate, control, stalk, harass, impersonate, exploit, extort, or monitor another person, except as otherwise permitted by law, that occurs using any form of technology, including but not limited to:
- Internet enabled devices
- Online spaces and platforms
- Computers
- Mobile devices
- Cameras and imaging programs
- Apps
- Location tracking devices
- Communication technologies
- Any other emergency technologies
-
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Notification to Public
The PHA adopts the following policy to help ensure that all actual and potential beneficiaries of its HCV program are aware of their rights under VAWA.
HACP Policy:
The HACP will post the following information regarding VAWA in its offices and on its website. It will also make the information readily available to anyone who requests it.
A copy of the notice of occupancy rights under VAWA to housing choice voucher program applicants and participants who are or have been victims of domestic violence, dating violence, sexual assault, or stalking (Form HUD-5380, see Exhibit 16
-1)
A copy of form HUD-5382, Certification of Domestic Violence, Dating Violence, Sexual Assault, or Stalking and Alternate Documentation (see Exhibit 16-2)
A copy of the HACP’s emergency transfer plan (Exhibit 16-3) A copy of HUD’s Emergency Transfer Request for Certain Victims of Domestic Violence, Dating Violence, Sexual Assault, or Stalking, Form HUD-5383 (Exhibit 16-4)
The National Domestic Violence Hot Line: 1-800-799-SAFE (7233) or
1-800-787-3224 (TTY) (included in Exhibits 16-1 and 16-2) Contact information for local victim advocacy groups or service providers
Notification to Program Applicants and Participants [24 CFR 5.2005(a)(1)]
PHAs are required to inform program applicants and participants of their rights under VAWA, including their right to confidentiality and the limits thereof, when they are denied assistance, when they are admitted to the program, and when they are notified of an eviction or termination of housing benefits.
HACP Policy:
The HACP will provide all applicants with information about VAWA at the time they request an application for housing assistance, as part of the written briefing packet, and at the time the family is admitted to the program. The HACP will also include information about VAWA in all notices of denial of assistance (see section 3-III.G).
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The HACP will provide all participants with information about VAWA at the time of admission (see section 5-I.B) and at annual reexamination. The HACP will also include information about VAWA in notices of termination of assistance, as provided in section 12-II.F.
The VAWA information provided to applicants and participants will consist of the notices in Exhibits 16-1 and 16-2.
The PHA is not limited to providing VAWA information at the times specified in the above policy. If the PHA decides to provide VAWA information to a participant following an incident of domestic violence, Notice PIH 2017-08 cautions against sending the information by mail, since the abuser may be monitoring the mail. The notice recommends that in such cases the PHA make alternative delivery arrangements that will not put the victim at risk.
HACP Policy:
Whenever the HACP has reason to suspect that providing information about VAWA to a participant might place a victim of domestic violence at risk, it will attempt to deliver the information by hand directly to the victim or by having the victim come to an office or other space that may be safer for the individual, making reasonable accommodations as necessary. For example, the HACP may decide not to send mail regarding VAWA protections to the victim’s unit if the HACP believes the perpetrator may have access to the victim’s mail, unless requested by the victim.
When discussing VAWA with the victim, the
HACP will take reasonable
precautions to ensure that no one can overhear the conversation, such as having conversations in a private room.
The victim may, but is not required to, designate an attorney, advocate, or other secure contact for communications regarding VAWA protections.
Notification to Owners and Managers
While PHAs are no longer required by regulation to notify owners and managers participating in the HCV program of their rights and obligations under VAWA, the PHA may still choose to inform them.
HACP Policy:
The HACP will provide owners and managers with information about their rights and obligations under VAWA when they begin their participation in the program and at least annually thereafter.
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The VAWA information provided to owners will consist of the notice in Exhibit 16-5 and a copy of form HUD-5382, Certification of Domestic Violence, Dating Violence, and Stalking and Alternate Documentation.
16-IX.D. DOCUMENTATION [24 CFR 5.2007]
A PHA presented with a claim for initial or continued assistance based on status as a victim of domestic violence, dating violence, sexual assault, stalking, human trafficking, or criminal activity related to any of these forms of abuse may—but is not required to—request that the individual making the claim document the abuse. Any request for documentation must be in writing, and the individual must be allowed at least 14 business days after receipt of the request to submit the documentation. The PHA may extend this time period at its discretion. [24 CFR
5.2007(a)]
The individual may satisfy the PHA’s request by providing any one of the following three forms of documentation [24 CFR 5.2007(b)]:
(1) A completed and signed HUD-approved certification form (HUD-5382, Certification of Domestic Violence, Dating Violence, Sexual Assault, or Stalking),, Human Trafficking which must include the name of the perpetrator only if the name of the perpetrator is safe to provide and is known to the victim. The form may be filled out and submitted on behalf of the victim. (2) A federal, state, tribal, territorial, or local police report or court record, or an administrative record
(3) Documentation signed by a person who has assisted the victim in addressing domestic violence, dating violence, sexual assault or stalking, human trafficking, or the effects of such abuse. This person may be an employee, agent, or volunteer of a victim service provider; an attorney; a mental health professional; or a medical professional. The person signing the documentation must attest under penalty of perjury to the person’s belief that the incidents in question are bona fide incidents of abuse. The victim must also sign the documentation.
The PHA may not require third-party documentation (forms 2 and 3) in addition to certification (form 1), except as specified below under “Conflicting Documentation,” nor may it require certification in addition to third-party documentation [VAWA final ruleFR Notice 11/16/16].
HACP Policy:
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specify a deadline of 14 business days following receipt of the request, will describe the three forms of acceptable documentation, will provide explicit instructions on where and to whom the documentation must be submitted, and will state the consequences for failure to submit the documentation or request an extension in writing by the deadline.
The HACP may, in its discretion, extend the deadline for 10 business days. In determining whether to extend the deadline, the HACP will consider factors that may contribute to the victim’s inability to provide documentation in a timely manner, including cognitive limitations, disabilities, limited English proficiency, absence from the unit, administrative delays, the danger of further violence, and the victim’s need to address health or safety issues. Any extension granted by the HACP will be in writing.
Once the victim provides documentation, the HACP will acknowledge receipt of the documentation within 10 business days.
Conflicting Documentation [24 CFR 5.2007(e)]
In cases where the PHA receives conflicting certification documents from two or more members of a household, each claiming to be a victim and naming one or more of the other petitioning household members as the perpetrator, the PHA may determine which is the true victim by requiring each to provide acceptable third-party documentation, as described above (forms 2 and 3). The PHA may also request third-party documentation when submitted documentation contains information that conflicts with existing information already available to the PHA.
Individuals have 30 calendar days to return third-party verification to the PHA. If the PHA does not receive third-party documentation, and the PHA will deny or terminate assistance as a result, the PHA must hold separate hearings for the tenants [Notice PIH 2017-08].
The PHA must honor any court orders issued to protect the victim or to address the distribution of property.
HACP Policy:
If presented with conflicting certification documents from members of the same household, the HACP will attempt to determine which is the true victim by requiring each of them to provide third-party documentation in accordance with 24 CFR 5.2007(e) and by following any HUD guidance on how such determinations should be made.
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cases, applicants or tenants will be given 30 calendar days from the date of the request to provide such documentation.
If the HACP does not receive third-party documentation within the required timeframe (and any extensions) the HACP will deny VAWA protections and will notify the applicant or tenant in writing of the denial. If, as a result, the applicant or tenant is denied or terminated from the program, the HACP will hold separate hearings for the applicants or tenants.
Discretion to Require No Formal Documentation [24 CFR 5.2007(d)] The PHA has the discretion to provide benefits to an individual based solely on the individual’s statement or other corroborating evidence—i.e., without requiring formal documentation of abuse in accordance with 24 CFR 5.2007(b). HUD recommends documentation in a confidential manner when a verbal statement or other evidence is accepted.
HACP Policy:
If the HACP accepts an individual’s statement or other corroborating evidence (as determined by the victim) of domestic violence, dating violence, sexual assault or stalking, or human trafficking, the HACP will document acceptance of the statement or evidence in the individual’s file.
Failure to Provide Documentation [24 CFR 5.2007(c)]
In order to deny relief for protection under VAWA, a PHA must provide the
individual requesting relief with a written request for documentation of abuse. If the individual fails to provide the documentation within 14 business days from the date of receipt, or such longer time as the PHA may allow, the PHA may deny relief for protection under VAWA.
16-IX.E. CONFIDENTIALITY [24 CFR 5.2007(b)(4)]
All information provided to the PHA regarding domestic violence, dating violence, sexual assault or stalking, and human trafficking including the fact that an individual is a victim of such violence or stalking, must be retained in confidence.
This means that the PHA (1) may not enter the information into any shared database, (2) may not allow employees or others to access the information unless they are explicitly authorized to do so and have a need to know the information for purposes of their work, and (3) may not provide the information to any other entity or individual, except to the extent that the disclosure is (a) requested or consented to by the individual in writing, (b) required for use in an eviction proceeding, or (c) otherwise required by applicable law.
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HACP Policy:
If disclosure is required for use in an eviction proceeding or is otherwise required by applicable law, the HACP will inform the victim before disclosure occurs so that safety risks can be identified and addressed.
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EXHIBIT 16-1: SAMPLE NOTICE OF OCCUPANCY RIGHTS UNDER THE VIOLENCE AGAINST WOMEN ACT, FORM HUD-5380
[HACP of the City of Pittsburg]
Notice of Occupancy Rights under the Violence Against Women Act1 To all Tenants and Applicants
The Violence Against Women Act (VAWA) provides protections for victims of domestic violence, dating violence, sexual assault, or stalking. VAWA protections are not only available to women but are available equally to all individuals regardless of sex, gender identity, or sexual orientation.2 The U.S.
Department of Housing and Urban Development (HUD) is the federal agency that oversees that the housing choice voucher program is in compliance with VAWA.
This notice explains your rights under VAWA. A HUD-approved certification form is attached to this notice. You can fill out this form to show that you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking, and that you wish to use your rights under VAWA.”
Protections for Applicants
If you otherwise qualify for assistance under the housing choice voucher program, you cannot be denied admission or denied assistance because you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking.
Protections for Tenants
If you are receiving assistance under the housing choice voucher program, you may not be denied assistance, terminated from participation, or be evicted from your rental housing because you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking.
Also, if you or an affiliated individual of yours is or has been the victim of domestic violence, dating violence, sexual assault, or stalking by a member of your household or any guest, you may not be denied rental assistance or occupancy rights under the housing choice voucher program solely on the basis of criminal activity directly relating to that domestic violence, dating violence, sexual assault, or stalking.
1 Despite the name of this law, VAWA protection is available regardless of sex, gender identity, or sexual orientation.
2 Housing providers cannot discriminate on the basis of any protected characteristic, including race, color, national origin, religion, sex, familial status, disability, or age. HUD -assisted and
HUD-insured housing must be made available to all otherwise eligible individuals regardless of actual or perceived sexual orientation, gender identity, or marital status. 618
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Affiliated individual means your spouse, parent, brother, sister, or child, or a person to whom you stand in the place of a parent or guardian (for example, the affiliated individual is in your care, custody, or control); or any individual, tenant, or lawful occupant living in your household.
Removing the Abuser or Perpetrator from the Household
The PHA may divide (bifurcate) your lease in order to evict the individual or terminate the assistance of the individual who has engaged in criminal activity (the abuser or perpetrator) directly relating to domestic violence, dating violence, sexual assault, or stalking.
If the PHA chooses to remove the abuser or perpetrator, the PHA may not take away the rights of eligible tenants to the unit or otherwise punish the remaining tenants. If the evicted abuser or perpetrator was the sole tenant to have established eligibility for assistance under the program, the PHA must allow the tenant who is or has been a victim and other household members to remain in the unit for a period of time, in order to establish eligibility under the program or under another HUD housing program covered by VAWA or find alternative housing.
In removing the abuser or perpetrator from the household, the PHA must follow federal, state, and local eviction procedures. In order to divide a lease, the PHA may, but is not required to, ask you for documentation or certification of the incidences of domestic violence, dating violence, sexual assault, or stalking.
Moving to Another Unit
Upon your request, the PHA may permit you to move to another unit, subject to the availability of other units, and still keep your assistance. In order to approve a request, the PHA may ask you to provide documentation that you are requesting to move because of an incidence of domestic violence, dating violence, sexual assault, or stalking. If the request is a request for emergency transfer, the housing provider may ask you to submit a written request or fill out a form where you certify that you meet the criteria for an emergency transfer under VAWA. The criteria are:
1. You are a victim of domestic violence, dating violence, sexual assault, or stalking. If your housing provider does not already have documentation that you are a victim of domestic violence, dating violence, sexual assault, or stalking, your housing provider may ask you for such documentation, as described in the documentation section below.
2. You expressly request the emergency transfer. Your housing provider may choose to require that you submit a form or may accept 619
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another written or oral request.
3. You reasonably believe you are threatened with imminent harm from further violence if you remain in your current unit. This means you have a reason to fear that if you do not receive a transfer you would suffer violence in the very near future.
OR
You are a victim of sexual assault and the assault occurred on the premises during the 90 -calendar-day period before you request a transfer. If you are a victim of sexual assault, then in addition to qualifying for an emergency transfer because you reasonably believe you are threatened with imminent harm from further violence if you remain in your unit, you may qualify for an emergency transfer if the sexual assault occurred on the premises of the property from which you are seeking your transfer, and that assault happened within the 90- calendar-day period before you expressly request the transfer.
The PHA will keep confidential requests for emergency transfers by victims of domestic violence, dating violence, sexual assault, or stalking, and the location of any move by such victims and their families.
The PHA’s emergency transfer plan provides further information on emergency transfers, and the PHA must make a copy of its emergency transfer plan available to you if you ask to see it.
Documenting You Are or Have Been a Victim of Domestic Violence, Dating Violence, Sexual Assault or Stalking
The PHA can, but is not required to, ask you to provide documentation to “certify” that you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking. Such request from the PHA must be in writing, and the PHA must give you at least 14 business days (Saturdays, Sundays, and federal holidays do not count) from the day you receive the request to provide the documentation. The PHA may, but does not have to, extend the deadline for the submission of documentation upon your request.
You can provide one of the following to the PHA as documentation. It is your choice which of the following to submit if the PHA asks you to provide documentation that you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking.
• A complete HUD-approved certification form given to you by the PHA with this notice, that documents an incident of domestic violence, Formatted: List Paragraph,LAR NOFA, Indent: Left:
0.25", Bulleted + Level: 1 + Aligned at: 0.5" + Indent at:
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dating violence, sexual assault, or stalking. The form will ask for your name, the
date, time, and location of the incident of domestic violence, dating violence, sexual assault, or stalking, and a description of the incident. The certification form provides for including the name of the abuser or perpetrator if the name of the abuser or perpetrator is known and is safe to provide.
• A record of a Federal, State, tribal, territorial, or local law enforcement agency, court, or administrative agency that documents the incident of domestic violence, dating violence, sexual assault, or stalking.
Examples of such records include police reports, protective orders, and restraining orders, among others.
• A statement, which you must sign, along with the signature of an employee, agent, or volunteer of a victim service provider, an attorney, a medical professional or a mental health professional (collectively, “professional”) from whom you sought assistance in addressing domestic violence, dating violence, sexual assault, or stalking, or the effects of abuse, and with the professional selected by you attesting under penalty of perjury that he or she believes that the incident or incidents of domestic violence, dating violence, sexual assault, or stalking are grounds for protection.
• Any other statement or evidence that the PHA has agreed to accept.
If you fail or refuse to provide one of these documents within the 14 business days, the PHA does not have to provide you with the protections contained in this notice.
If the PHA receives conflicting evidence that an incident of domestic violence, dating violence, sexual assault, or stalking has been committed (such as certification forms from two or more members of a household each claiming to be a victim and naming one or more of the other petitioning household members as the abuser or perpetrator), the PHA has the right to request that you provide third-party documentation within thirty 30 calendar days in order to resolve the conflict. If you fail or refuse to provide third-party documentation where there is conflicting evidence, the PHA does not have to provide you with the protections contained in this notice.
Confidentiality
The PHA must keep confidential any information you provide related to the exercise of your rights under VAWA, including the fact that you are exercising your rights under VAWA.
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The PHA must not allow any individual administering assistance or other services on behalf of the PHA (for example, employees and contractors) to have access to confidential information unless for reasons that specifically call for these individuals to have access to this information under applicable Federal, State, or local law.
The PHA must not enter your information into any shared database or disclose your information to any other entity or individual. The PHA, however, may disclose the information provided if:
• You give written permission to the PHA to release the information on a time limited basis.
• The PHA needs to use the information in an eviction or termination proceeding, such as to evict your abuser or perpetrator or terminate your abuser or perpetrator from assistance under this program. • A law requires the PHA or your landlord to release the information.
VAWA does not limit the PHA’s duty to honor court orders about access to or control of the property. This includes orders issued to protect a victim and orders dividing property among household members in cases where a family breaks up.
Reasons a Tenant Eligible for Occupancy Rights under VAWA May Be Evicted or Assistance May Be Terminated
You can be evicted and your assistance can be terminated for serious or repeated lease violations that are not related to domestic violence, dating violence, sexual assault, or stalking committed against you. However, the PHA cannot hold tenants who have been victims of domestic violence, dating violence, sexual assault, or stalking to a more demanding set of rules than it applies to tenants who have not been victims of domestic violence, dating violence, sexual assault, or stalking.
The protections described in this notice might not apply, and you could be evicted and your assistance terminated, if the PHA can demonstrate that not evicting you or terminating your assistance would present a real physical danger that:
1. Would occur within an immediate time frame, and
2. Could result in death or serious bodily harm to other tenants or those who work on the property.
If the PHA can demonstrate the above, the PHA should only terminate your assistance or evict you if there are no other actions that could be taken to reduce Formatted: List Paragraph,LAR NOFA, Indent: Left:
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or eliminate the threat.
Other Laws
VAWA does not replace any federal, state, or local law that provides greater protection for victims of domestic violence, dating violence, sexual assault, or stalking. You may be entitled to additional housing protections for victims of domestic violence, dating violence, sexual assault, or stalking under other Federal laws, as well as under State and local laws.
Non-Compliance with The Requirements of This Notice
You may report a covered housing provider’s violations of these rights and seek additional assistance, if needed, by contacting or filing a complaint with [insert contact information for any intermediary, if applicable] or [San Francisco HUD field office].
For Additional Information
You may view a copy of HUD’s final VAWA rule at:
https://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-
25888.pdf.https://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-25888.pdf.
Additionally, the PHA must make a copy of HUD’s VAWA regulations available to you if you ask to see them.
For questions regarding VAWA, please contact [insert name of program or rental assistance contact information able to answer questions on VAWA].
For help regarding an abusive relationship, you may call the National Domestic Violence Hotline at 1-800-799-7233 or, for persons with hearing impairments, 1- 800-787-3224 (TTY). You may also contact [Insert contact information for relevant local organizations].
For tenants who are or have been victims of stalking seeking help may visit the National Center for Victims of Crime’s Stalking Resource Center at https://www.victimsofcrime.org/our-programs/stalking-resource-center.
For help regarding sexual assault, you may contact [Insert contact information for relevant organizations]
Victims of stalking seeking help may contact [Insert contact information for relevant organizations].
Attachment: Certification form HUD-5382 [form approved for this program to be included]
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EXHIBIT 16-2: CERTIFICATION OF DOMESTIC VIOLENCE, DATING
VIOLENCE, SEXUAL ASSAULT, OR STALKING AND ALTERNATE
DOCUMENTATION,
FORM HUD-5382
CERTIFICATION OF U.S. Department of Housing OMB Approval No. 2577-0286
DOMESTIC VIOLENCE - Housing and Urban Development
Exp. 06/30/2017
DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING,
AND ALTERNATE DOCUMENTATION
Purpose of Form: The Violence Against Women Act (“VAWA”) protects applicants, tenants, and program participants in certain HUD programs from being evicted, denied housing assistance, or terminated from housing assistance based on acts of domestic violence, dating violence, sexual assault, or stalking against them. Despite the name of this law, VAWA protection is available to victims of domestic violence, dating violence, sexual assault, and stalking, regardless of sex, gender identity, or sexual orientation.
Use of This Optional Form: If you are seeking VAWA protections from your housing provider, your housing provider may give you a written request that asks you to submit documentation about the incident or incidents of domestic violence, dating violence, sexual assault, or stalking.
In response to this request, you or someone on your behalf may complete this optional form and submit it to your housing provider, or you may submit one of the following types of third-party documentation:
(1) A document signed by you and an employee, agent, or volunteer of a victim service provider, an attorney, or medical professional, or a mental health professional (collectively, “professional”) from whom you have sought assistance relating to domestic violence, dating violence, sexual assault, or stalking, or the effects of abuse. The document must specify, under penalty of perjury, that the professional believes the incident or incidents of domestic violence, dating violence, sexual assault, or stalking occurred and meet the definition of “domestic violence,” “dating violence,” “sexual assault,” or “stalking” in HUD’s regulations at 24 CFR 5.2003.
(2) A record of a Federal, State, tribal, territorial or local law enforcement Formatted: Left
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agency, court, or administrative agency; or
(3) At the discretion of the housing provider, a statement or other evidence provided by the applicant or tenant.
Submission of Documentation: The time period to submit documentation is 14 business days from the date that you receive a written request from your housing provider asking that you provide documentation of the occurrence of domestic violence, dating violence, sexual assault, or stalking. Your housing provider may, but is not required to, extend the time period to submit the documentation, if you request an extension of the time period. If the requested information is not received within 14 business days of when you received the request for the documentation, or any extension of the date provided by your housing provider, your housing provider does not need to grant you any of the VAWA protections.
Distribution or issuance of this form does not serve as a written request for certification.
Confidentiality: All information provided to your housing provider concerning the incident(s) of domestic violence, dating violence, sexual assault, or stalking shall be kept confidential and such details shall not be entered into any shared database. Employees of your housing provider are not to have access to these details unless to grant or deny VAWA protections to you, and such employees may not disclose this information to any other entity or individual, except to the extent that disclosure is: (i) consented to by you in writing in a time-limited release; (ii) required for use in an eviction proceeding or hearing regarding termination of assistance; or (iii) otherwise required by applicable law.
TO BE COMPLETED BY OR ON BEHALF OF THE VICTIM OF DOMESTIC
VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING
1. Date the written request is received by victim:
________________________________________________________________ _________________________________________
2. Name of victim:
________________________________________________________________ ________________________________________________________________ ___
3. Your name (if different from
victim’s):________________________________________________):_______ _________________________________________________
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4. Name(s) of other family member(s) listed on the
lease:___________________________________:
________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ___________________
5. Residence of victim:
________________________________________________________________
6. Name of the accused perpetrator (if known and can be safely disclosed):____________________):__________________________________ ____________________
________________________________________________________________ __________________
________________________________________________________________
7. Relationship of the accused perpetrator to the
victim:___________________________________:
________________________________________________________________
8. Date(s) and times(s) of incident(s) (if
known):___________________________________________):
________________________________________________________________ ________________________________________________________________ _
________________________________________________________________
10. Location of
incident(s):_______________________________________________________ ______):
________________________________________________________________
In your own words, briefly describe the incident(s):
______________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________
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This is to certify that the information provided on this form is true and correct to the best of my knowledge and recollection, and that the individual named above in Item 2 is or has been a victim of domestic violence, dating violence, sexual assault, or stalking. I acknowledge that submission of false information could jeopardize program eligibility and could be the basis for denial of admission, termination of assistance, or eviction.
Signature __________________________________
Signed on (Date) ___________________________
Public Reporting Burden: The public reporting burden for this collection of information is estimated to average 1 hour per response. This includes the time for collecting, reviewing, and reporting the data. The information provided is to be used by the housing provider to request certification that the applicant or tenant is a victim of domestic violence, dating violence, sexual assault, or stalking. The information is subject to the confidentiality requirements of VAWA.
This agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid Office of Management and Budget control number.
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EXHIBIT 16-3: EMERGENCY TRANSFER PLAN FOR VICTIMS OF DOMESTIC
VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING
(HCV VERSION)
Attachment: Certification form HUD-5382
[Insert name of covered housing provider]
Emer
gency Transfer Plan for Victims of Domestic Violence, Dating Violence, Sexual Assault, or Stalking
Housing Choice Voucher Program
Emergency Transfers
The PHA is concerned about the safety of its tenants, and such concern extends to tenants who are victims of domestic violence, dating violence, sexual assault, or stalking. In accordance with the Violence Against Women Act (VAWA),1 the PHA allows tenants who are victims of domestic violence, dating violence, sexual assault, or stalking to request an emergency transfer from the tenant’s current unit to another unit. The ability to request a transfer is available
1. Despite the name of this law, VAWA protection is available to all victims of domestic violence, dating violence, sexual assault, and stalking, regardless of sex, gender identity, or sexual orientation.
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regardless of sex, gender identity, or sexual orientation.1 The ability of the PHA to honor such request for tenants currently receiving assistance, however, may depend upon a preliminary determination that the tenant is or has been a victim of domestic violence, dating violence, sexual assault, or stalking, and on whether the PHA has another dwelling unit that is available and is safe to offer the tenant for temporary or more permanent occupancy.
This plan identifies tenants who are eligible for an emergency transfer, the documentation needed to request an emergency transfer, confidentiality protections, how an emergency transfer may occur, and guidance to tenants on safety and security. This plan is based on a modelan emergency transfer plan published by the U.S. Department of Housing and Urban Development (HUD), the federal agency that oversees that the public housing and housing choice voucher (HCV) programs are in compliance with VAWA.
Eligibility for Emergency Transfers
A tenant who is a
victim of domestic violence, dating violence, sexual assault, or stalking, as provided in HUD’s regulations at 24 CFR part 5, subpart L, is eligible for an emergency transfer if the tenant reasonably believes that there is a threat of imminent harm from further violence if the tenant remains within the same unit. If the tenant is a victim of sexual assault, the tenant may also be eligible to transfer if the sexual assault occurred on the premises within the 90-calendar- day period preceding a request for an emergency transfer.
A tenant requesting an emergency transfer must expressly request the transfer in accordance with the procedures described in this plan.
Tenants who
are not in good standing may still request an emergency transfer if they meet the eligibility requirements in this section.
Emergency Transfer Request Documentation
To request an emergency transfer, the tenant shall notify the PHA’s management office and submit a written request for a transfer to any PHA office. The HACP will provide reasonable accommodations to this policy for individuals with disabilities. The tenant’s written request for an emergency transfer should include either:
1. A statement expressing that the tenant reasonably believes that there
1. Housing providers cannot discriminate on the basis of any protected characteristic, including race, color, national origin, religion, sex, familial status, disability, or age. HUD-assisted and HUD-insured housing must be made available to all otherwise eligible individuals regardless of actual or perceived sexual orientation, gender identity, or marital status.
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is a threat of imminent harm from further violence if the tenant were to remain in the same dwelling unit assisted under the PHA’s program; OR
2. A statement that the tenant was a sexual assault victim and that the sexual assault occurred on the premises during the 90- calendar-day period preceding the tenant’s request for an emergency transfer.
Confidentiality
The PHA will keep c onfidential any information that the tenant submits in requesting an emergency transfer, and information about the emergency transfer, unless the tenant gives the PHA written permission to release the information on a time-limited basis, or disclosure of the information is required by law or required for use in an eviction proceeding or hearing regarding termination of assistance from the covered program. This includes keeping confidential the new location of the dwelling unit of the tenant, if one is provided, from the person or persons that committed an act of domestic violence, dating violence, sexual assault, or stalking against the tenant. See the Notice of Occupancy Rights under the Violence against Women Act for All Tenants for more information about the PHA’s responsibility to maintain the confidentiality o f information related to incidents of domestic violence, dating violence, sexual assault, or stalking.
Emergency Transfer Timing and Availa
bility
The PHA cannot guarantee that a transfer request will be approved or how long it will take to process a transfer request. The PHA will, however, act as quickly as possible to move a tenant who is a victim of domestic violence, dating violence, sexual assault, or stalking to another unit, subject to availability and safety of a unit. If a tenant reasonably believes a proposed transfer would not be safe, the tenant may request a transfer to a different unit. If a unit is available, the transferred tenant must agree to abide by the terms and conditions that govern occupancy in the unit to which the tenant has been transferred. The PHA may be unable to transfer a tenant to a particular unit if the tenant has not or cannot establish eligibility for that unit.
If the PHA has no safe and available units for which a tenant who needs an emergency transfer is eligible, the PHA will assist the tenant in identifying other housing providers who may have safe and available units to which the tenant could move. At the tenant’s request, the PHA will also assist tenants in Formatted: Line spacing: 1.5 lines
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contacting the local organizations offering assistance to victims of domestic violence, dating violence, sexual assault, or stalking that are attached to this plan.
Emergency Transfers: Housing Choice Voucher (HCV) Program Tenant-based assistance: If you are a participant in the tenant-based HCV program and request an emergency transfer as described in this plan, the PHA will assist you to move to a safe unit quickly using your existing voucher assistance. The PHA will make exceptions to program regulations restricting moves as required.
At your request, the PHA will refer you to organizations that may be able to further assist you.
Project-based assistance: If you are assisted under the project-based voucher (PBV) program, you may request an emergency transfer under the following programs for which you are not required to apply:
• Tenant-based voucher, if available
• Project-based assistance in the same project (if a vacant unit is available and you determine that the vacant unit is safe) • Project-based assistance in another development owned by the PHA Emergency transfers under VAWA will take priority over waiting list admissions for these types of assistance.
You may also request an emergency transfer under the following programs for which you are required to apply:
• Public housing program
• PBV assistance in another development not owned by the PHA Emergency transfers will not take priority over waiting list admissions for these programs. At your request, the PHA will refer you to organizations that may be able to further assist you.
Safety and Security of Tenants
Pending processing of the transfer and the actual transfer, if it is approved and occurs, the tenant is urged to take all reasonable precautions to be safe.
Tenants who are or have been victims of domestic violence are encouraged to contact the National Domestic Violence Hotline at 1-800-799-7233, or a local domestic violence shelter, for assistance in creating a safety plan. For persons with hearing impairments, that hotline can be accessed by calling 1-800-787-3224 Formatted: Line spacing: 1.5 lines
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(TTY).
Tenants who have been victims of sexual assault may call the Rape, Abuse, and Incest National Network’s National Sexual Assault Hotline at 1-800-656-HOPE, or visit the online hotline at: https://ohl.rainn.org/online/.https://ohl.rainn.org/online/.
Tenants who are or have been victims of stalking seeking help may visit the National Center for Victims of Crime’s Stalking Resource Center at:
https://www.victimsofcrime.org/our-programs/stalking-resource- center.https://www.victimsofcrime.org/our-programs/stalking-resource-center.
Attachment: Local organizations offering assistance to victims of domestic violence, dating violence, sexual assault, or stalking.
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EXHIBIT 16-4: EMERGENCY TRANSFER REQUEST FOR CERTAIN VICTIMS
OF DOMESTIC VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING, FORM HUD-5383
EMERGENCY TRANSFER U.S. Department of Housing OMB Approval No. 2577-0286
REQUEST FOR CERTAIN VICTIMS Housing and Urban Development Exp. 06/30/2017
VICTIMS OF DOMESTIC
VIOLENCE, DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING
Purpose of Form: If you are a victim of domestic violence, dating violence, sexual assault, or stalking, and you are seeking an emergency transfer, you may use this form to request an emergency transfer and certify that you meet the requirements of eligibility for an emergency transfer under the Violence Against Women Act (VAWA). Although the statutory name references women, VAWA rights and protections apply to all victims of domestic violence, dating violence, sexual assault or stalking. Using this form does not necessarily mean that you will receive an emergency transfer. See your housing provider’s emergency transfer plan for more information about the availability of emergency transfers.
The requirements you must meet are:
(1) You are a victim of domestic violence, dating violence, sexual assault, or stalking. If your housing provider does not already have documentation that you are a victim of domestic violence, dating violence, sexual assault, or stalking, your housing provider may ask you for such documentation. In response, you may submit Form HUD- 5382, or any one of the other types of documentation listed on that Form.
(2) You expressly request the emergency transfer. Submission of this form confirms that you have expressly requested a transfer.
Your housing provider may choose to require that you submit this form, or may accept another written or oral request. Please see your housing provider’s emergency transfer plan for more details. (3) You reasonably believe you are threatened with imminent harm from further violence if you remain in your current unit.
This means you have a reason to fear that if you do not receive a transfer you would suffer violence in the very near future.
OR
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You are a victim of sexual assault and the assault occurred on the premises during the 90 -calendar-day period before you request a transfer. If you are a victim of sexual assault, then in addition to qualifying for an emergency transfer because you reasonably believe you are threatened with imminent harm from further violence if you remain in your unit, you may qualify for an emergency transfer if the sexual assault occurred on the premises of the property from which you are seeking your transfer, and that assault happened within the 90- calendar-day period before you submit this form or otherwise expressly request the transfer.
Submission of Documentation: If you have third-party documentation that demonstrates why you are eligible for an emergency transfer, you should submit that documentation to your housing provider if it is safe for you to do so.
Examples of third party documentation include, but are not limited to: a letter or other documentation from a victim service provider, social worker, legal assistance provider, pastoral counselor, mental health provider, or other professional from whom you have sought assistance; a current restraining order; a recent court order or other court records; a law enforcement report or records; communication records from the perpetrator of the violence or family members or friends of the perpetrator of the violence, including emails, voicemails, text messages, and social media posts.
Confidentiality: All information provided to your housing provider concerning the incident(s) of domestic violence, dating violence, sexual assault, or stalking, and concerning your request for an emergency transfer shall be kept confidential.
Such details shall not be entered into any shared database. Employees of your housing provider are not to have access to these details unless to grant or deny VAWA protections or an emergency transfer to you. Such employees may not disclose this information to any other entity or individual, except to the extent that disclosure is: (i) consented to by you in writing in a time-limited release; (ii) required for use in an eviction proceeding or hearing regarding termination of assistance; or (iii) otherwise required by applicable law.
TO BE COMPLETED BY OR ON BEHALF OF THE PERSON REQUESTING A
TRANSFER
1. Name of victim requesting an emergency transfer:
________________________________________________________________ ______________________________________
2. Your name (if different from
victim’s)_________________________________________________) ________________________________________________________________ 634
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3. Name(s) of other family member(s) listed on the
lease:____________________________________:
________________________________________________________________ ________________________________________________________________ ___________________
________________________________________________________________ _______________________________________________________________
4. Name(s) of other family member(s) who would transfer with the victim:____________________:
_______________________________________________________________ ________________________________________________________________ ____________________
________________________________________________________________ _______________________________________________________________
5. Address of location from which the victim seeks to transfer:
________________________________________________________________ ______________________________________
6. Address or phone number for contacting the
victim:____________________________________:
_______________________________________________________________
7. Name of the accused perpetrator (if known and can be safely disclosed):___________________):___________________________________ ___________________
8. Relationship of the accused perpetrator to the
victim:___________________________________:
_______________________________________________________________
9. Date(s), Time(s) and location(s) of
incident(s):___________________________________________):
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________________________________________________________________ _____________________
________________________________________________________________ _______________________________________________________________
10. Is the person requesting the transfer a victim of a sexual assault that occurred in the past 90 days on the premises of the property from which the victim is seeking a transfer? If yes, skip question 11. If no, fill out question 11.
________________________________________________________________ __
11. Describe why the victim believes they are threatened with imminent harm from further violence if they remain in their current unit. ________________________________________________________________ ___________________
________________________________________________________________ _____________________
________________________________________________________________ _______________________________________________________________ ________________________________________________________________ _______________________________________________________________
12. If voluntarily provided, list any third-party documentation you are providing along with this notice:
________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ___
This is to certify that the information provided on this form is true and correct to the best of my knowledge, and that the individual named above in Item 1 meets the requirement laid out on this form for an emergency transfer. I acknowledge that submission of false information could jeopardize program eligibility and could be the basis for denial of admission, termination of assistance, or eviction.
Signature
________________________________________________________________ 636
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______________________
Signed on (Date)
________________________________________________________________ __________
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EXHIBIT 16-5: MODEL OWNER NOTIFICATION OF RIGHTS AND OBLIGATIONS [Insert Name of Housing Provider]
NOTIFICATION OF YOUR RIGHTS AND OBLIGATIONS
UNDER THE VIOLENCE
AGAINST WOMEN ACT (VAWA)
VAWA provides protections for Section 8 Housing Choice Voucher (HCV) and PBV applicants, tenants, and participants from being denied assistance on the basis or as a direct result of being a victim of domestic violence, dating violence, sexual assault and ,stalking and human trafficking.
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Purpose
Many of VAWA’s protections to victims of domestic violence, dating violence, sexual assault and stalking, and human trafficking involve action by the public housing agency (HACPPHA), but some situations involve action by owners of assisted housing. The purpose of this notice (herein called “Notice”) is to explain your rights and obligations under VAWA, as an owner of housing assisted through [insert name of housing provider] HCV program. Each component of this Notice also provides citations to HUD’s applicable regulations.
Denial of Tenancy
Protections for applicants: Owners cannot deny tenancy based on the applicant having been or currently being a victim of domestic violence, dating violence, sexual assault, or stalking, or human trafficking. However, the applicant must be otherwise eligible for tenancy. (See 24 Code of Federal Regulations (CFR) 982.452(b)(1).) Eviction
Protections for HCV participants: Incidents or threats of domestic violence, dating violence, sexual assault, or stalking, or human trafficking will not be considered a serious or repeated lease violation by the victim, or good cause to terminate the tenancy of the victim (see 24 CFR 5.2005(c)). Protection also applies to criminal activity related directly to domestic violence, dating violence, sexual assault, or stalking, or human trafficking, conducted by a member of a tenant’s household or any guest or other person under the tenant’s control, if the tenant or an affiliated individual of the tenant is the victim or threatened victim of such domestic violence, dating violence, sexual assault, or stalking, or human trafficking (24 CFR
5.2005(b)(2)).
Limitations of VAWA protections:
a. Nothing in the VAWA Final Rule limits the authority of an owner, when notified of a court order, to comply with a court order with respect to (24 CFR 5.2005(d)(1)):
1) The rights of access or control of property, including civil protection orders issued to protect a victim of domestic violence, dating violence, sexual assault, or stalking, or human trafficking; or
2) The distribution or possession of property among members of a household in a case.
b. Nothing in the VAWA Final Rule limits an owner from evicting a victim of domestic violence, dating violence, sexual assault, or stalking, or human trafficking for a lease violation that is not premised on an act of domestic violence, dating violence, sexual assault, or stalking, or human trafficking, as long as the owner does not subject the victim to more demanding standards than other tenants when deciding whether to evict. (See 24 CFR 5.2005(d)(2).)
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c. Nothing in the VAWA Final Rule limits an owner from evicting a tenant (including the victim of domestic violence, dating violence, sexual assault, or stalking, or human trafficking) if the owner can demonstrate an actual and imminent threat to other tenants or those employed at or providing services to the HCV property would be present if the tenant or lawful occupant is not evicted. (See 24 CFR
5.2005(d)(3).)
i. In this context, words, gestures, actions, or other indicators will be considered an “actual and imminent threat” if they meet the following standards: An actual and imminent threat consists of a physical danger that is real, would occur within an immediate time frame, and could result in death or serious bodily harm. In determining whether an individual would pose an actual and imminent threat, the factors to be considered include: the duration of the risk, the nature and severity of the potential harm, the likelihood that the potential harm will occur, and the length of time before the potential harm would occur. (See 24 CFR 5.2003.) ii. Any eviction due to “actual and imminent threat” should be utilized by an owner only when there are no other actions that could be taken to reduce or eliminate the threat, including, but not limited to, transferring the victim to a different unit, barring the perpetrator from the property, contacting law enforcement to increase police presence or develop other plans to keep the property safe, or seeking other legal remedies to prevent the perpetrator from acting on a threat. Restrictions predicated on public safety cannot be based on stereotypes but must be tailored to particularized concerns about individual residents. (See 24 CFR 5.2005(d)(4).) Documentation of Domestic Violence, Dating Violence, Sexual Assault, or Stalking, or Human Trafficking
If an applicant or tenant requests VAWA protection based on status as a victim of domestic violence, dating violence, sexual assault, or stalking, or human trafficking, the owner has the option to request that the victim document or provide written evidence to demonstrate that the violence occurred. However, nothing in HUD’s regulation requires a covered housing provider to request this documentation. (See 24 CFR 5.2007(b)(3).)
If the owner chooses to request this documentation, the owner must make such request in writing. The individual may satisfy this request by providing any one document type listed under 24 CFR 5.2007(b)(1):
a. Form HUD-55383 (Self-Certification Form); or
b. A document: 1) Signed by an employee, agent, or volunteer of a victim service provider, an attorney, or medical professional or a mental health professional (collectively, “professional”) from whom the victim has sought assistance relating to domestic violence, dating violence, sexual assault, or stalking, or human trafficking, or the effects of abuse:
2) Signed by the applicant or tenant; and
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3) That specifies, under penalty of perjury, that the professional believes in the occurrence of the incident of domestic violence, dating violence, sexual assault, or stalking, or human trafficking that is the ground for protection and remedies under 24 CFR part 5, subpart L, and that the incident meets the applicable definition of domestic violence, dating violence, sexual assault, or stalking, or human trafficking under 24 CFR 5.2003; or
c. A record of a Federal, State, tribal, territorial or local law enforcement agency, court, or administrative agency; or
d. At the discretion of a covered housing provider, a statement or other evidence provided by the applicant or tenant.
The owner must accept any of the above items (a – c). The owner has discretion to accept a statement or other evidence (d).
The owner is prohibited from requiring third-party documentation of the domestic violence, dating violence, sexual assault, or stalking, or human trafficking, unless the submitted documentation contains conflicting information.
If the owner makes a written request for documentation, the owner may require submission of that documentation within 14 business days after the date that the individual received the written request for documentation. (24 CFR 5.2007(a)(2)).
The owner may extend this time period at its discretion. During the 14 business day period and any granted extensions of that time, no adverse actions, such as evictions or terminations, can be taken against the individual requesting VAWA protection.
If the owner makes a written request for documentation, the owner may require submission of that documentation within 14 business days after the date that the individual received the written request for documentation. (24 CFR 5.2007(a)(2)).
The owner may extend this time period at its discretion. During the 14 business day period and any granted extensions of that time, no adverse actions, such as evictions or terminations, can be taken against the individual requesting VAWA protection.
Once a victim provides documentation of domestic violence, dating violence, sexual assault, or stalking, or human trafficking, the owner is encouraged to acknowledge receipt of the documentation in a timely manner.
If the applicant or tenant fails to provide documentation that meets the criteria in 24 CFR 5.2007 within 14 business days after receiving the written request for that documentation or within the designated extension period, nothing in VAWA Final Rule may be construed to limit the authority of the covered housing provider to:
a. Deny admission by the applicant or tenant to the housing or program,; b. Deny assistance under the covered housing program to the applicant or tenant,; c. Terminate the participation of the tenant in the covered housing program; or d. Evict the tenant, or a lawful occupant that commits a violation of a lease.
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An individual’s failure to timely provide documentation of domestic violence, dating violence, sexual assault, or stalking, or human trafficking does not result in a waiver of the individual’s right to challenge the denial of assistance or termination, nor does it preclude the individual’s ability to raise an incident of domestic violence, dating violence, sexual assault, or stalking, or human trafficking at eviction or termination proceedings.
Owners may not coerce, intimidate, threaten, interfere with, or retaliate against any person who exercises or assists or encourages a person to exercise any rights or protections under VAWAs (See FR Notice 1/4/23.)
Moves
A victim of domestic violence, dating violence, sexual assault, or stalking, or human trafficking may move in violation of their lease if the move is required to protect their safety. If a move results in the termination of the Housing Assistance Payment Contract, the lease is automatically terminated.
Lease Bifurcation
Owners may choose to bifurcate a lease or remove a household member from a lease in order to evict, remove, terminate occupancy rights, or terminate assistance to such member who engages in criminal activity directly relating to domestic violence, dating violence, sexual assault, or stalking, or human trafficking against an affiliated individual or other individual. (See 24 CFR 5.2009(a).) If an owner chooses to bifurcate the lease, the owner must comply with the reasonable time to establish eligibility under the covered housing program or find alternative housing following lease bifurcation provision in 24 CFR 5.2009(b). VAWA protections, including bifurcation, do not apply to guests or unreported members of a household or anyone else residing in a household who is not a tenant.
Eviction, removal, termination of occupancy rights, or termination of assistance must be affectedeffected in accordance with the procedures prescribed by federal, state, or local law for termination of leases.
To avoid unnecessary delay in the bifurcation process, HUD recommends that owners seek court-ordered eviction of the perpetrator pursuant to applicable laws. This process results in the underlying lease becoming null and void once the owner regains possession of the unit. The owner would then execute a new lease with the victim.
Evictions Due to “Actual and Imminent Threat” or Violations Not Premised on Abuse
The
VAWA Final Rule generally prohibits eviction on the basis or as a direct result of the fact that the applicant or tenant is or has been a victim of domestic violence, dating violence, sexual assault, or stalking, or human trafficking, if the
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applicant or tenant otherwise qualifies for assistance, participation or occupancy. (See 24 CFR 5.2005.)
However, the VAWA Final Rule does not prohibit an owner from evicting a tenant for any violation not premised on an act of domestic violence, dating violence, sexual assault, or stalking, or human trafficking that is in question against the tenant or an affiliated individual of the tenant. Nor does the VAWA Final Rule prohibit an owner from evicting a tenant if the owner can demonstrate an actual and imminent threat to other tenants or those employed at or providing services to property of the owner would be present if that tenant or lawful occupant is not evicted or terminated from assistance. (See 5.2005(d)(2) and (3).)
In order to demonstrate an actual and imminent threat to other tenants or employees at the property, the covered housing provider must have objective evidence of words, gestures, actions, or other indicators that meet the standards in the following definition:
Actual and imminent threat refers to a physical danger that is real, would occur within an immediate time frame, and could result in death or serious bodily harm. In determining whether an individual would pose an actual and imminent threat, the factors to be considered include:
• The duration of the risk,;
• The nature and severity of the potential harm,;
• The likelihood that the potential harm will occur; and •
The length of time before the potential harm would occur. (See 24 CFR 5.2003 and 5.2005(d)(2).)
Confidentiality
Any information submitted to a covered housing provider under 24 CFR
5.2007, including the fact that an individual is a victim of domestic violence, dating violence, sexual assault, or stalking, or human trafficking, must be maintained in strict confidence by the covered housing provider. (See 24 CFR 5.2007(c).)
Employees of the owner (or those within their employ, e.g., contractors) must not have access to the information unless explicitly authorized by the owner for reasons that specifically call for these individuals to have access to this information under applicable Federal, Statefederal, state, or local law (e.g., the information is needed by an employee to provide the VAWA protections to the victim).
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The owner must not enter this information into any shared database, or disclose this information to any other entity or individual, except to the extent that disclosure is:
a. Requested or consented to in writing by the individual (victim) in a time- limited release,;
b. Required for use in an eviction proceeding or hearing regarding termination of assistance from the covered program; or
c. Otherwise required by applicable law.
When communicating with the victim, owners must take precautions to ensure compliance with these confidentiality requirements.
Service Providers
[insert name of housing provider] has extensive relationships with local service providers. [insert name of housing provider] staff are available to provide referrals to shelters, counselors, and advocates. These resources are also provided in [insert name of housing provider] Annual and 5-Year Plan, Administrative Plan, VAWA Notice of Occupancy Rights, and Emergency Transfer Plan. A list of local service providers is attached to this Notice.
Definitions
Actual and imminent threat refers to a physical danger that is real, would occur within an immediate time frame, and could result in death or serious bodily harm. In determining whether an individual would pose an actual and imminent threat, the factors to be considered include: the duration of the risk, the nature and severity of the potential harm, the likelihood that the potential harm will occur, and the length of time before the potential harm would occur.
Affiliated individual, with respect to an individual, means:
(1) (1) A spouse, parent, brother, sister, or child of that individual, or a person to whom that individual stands in the place of a parent or guardian (for example, the affiliated individual is a person in the care, custody, or control of that individual); or
(2) Any individual, tenant, or lawful occupant living in the household of that individual.
Bifurcate means to divide a lease as a matter of law, subject to the permissibility of such process under the requirements of the applicable HUD-covered program and State or local law, such that certain tenants or Formatted: Indent: Left: 0.5"
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lawful occupants can be evicted or removed and the remaining tenants or lawful occupants can continue to reside in the unit under the same lease
requirements or as may be revised depending upon the eligibility for continued occupancy of the remaining tenants and lawful occupants.
Dating violence means violence committed by a person:
(1) Who is or has been in a social relationship of a romantic or intimate nature with the victim; and
(2) Where the existence of such a relationship shall be determined based on a consideration of the following factors:
(i) The length of the relationship,;
(ii) The type of relationship; and
(iii) The frequency of interaction between the persons involved in the relationship.
Domestic violence includes felony or misdemeanor crimes of violence committed by a current or former spouse or intimate partner of the victim, by a person with whom the victim shares a child in common under the family or domestic violence laws of the jurisdiction receiving grant funding, and in the case of victim services, includes the user or attempted use of physical abuse or sexual abuse, or a pattern of any other coercive behavior committed, enabled, or solicited to gain or maintain power and control over a victim, including verbal, psychological, economic, or technological abuse that may or may not constitute criminal behavior, by a person who is:
• The current or former spouse or intimate partner of the victim, or person similarly situated to a spouse or intimate partner of the victim • A person who is cohabitating with or has cohabitated with the victim as a spouse or intimate partner, by a
• A person similarly situated to a spouse ofwith whom the victim under the domestic or family violence laws of the jurisdiction receiving grant monies, or by any othershares a child in common
• A person who commits acts against an adult or youth or adult victim who is protected from that person'sthose acts under the domestic or family violence laws of the jurisdiction. The term “spouse or intimate partner of the victim” includes a person who is or has been in a social relationship of a romantic or intimate nature with the victim, as determined by the length of the relationship, the type of the relationship, and the frequency of interaction between the persons involved in the relationship.
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Sexual assault means any nonconsensual sexual act proscribed by Federal, tribal, or State law, including when the victim lacks capacity to consent.
Stalking means engaging in a course of conduct directed at a specific person that would cause a reasonable person to:
(1) Fear for the person’s individual safety or the safety of others; or (2) Suffer substantial emotional distress.
VAWA means the Violence Against Women Act of 18941994, as amended (42 U.S.C. 13925 and 42 U.S.C. 14043e et seq.).
Attached:
Legal services and the domestic violence resources for the Metro area Form HUD-5382 Certification of Domestic Violence, Dating Violence, Sexual Assault, or Stalking
[insert name of housing provider] VAWA Notice of Occupancy Rights
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c. Nothing in VAWA limits an owner from evicting a tenant (including the victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking) if the owner can demonstrate an actual and imminent threat to other tenants or those employed at or providing services to the HCV property would be present if the tenant or lawful occupant is not evicted. (See 24 CFR 5.2005(d)(3).) i. In this context, words, gestures, actions, or other indicators will be considered an “actual and imminent threat” if they meet the following standards: An actual and imminent threat consists of a physical danger that is real, would occur within an immediate time frame, and could result in death or serious bodily harm. In determining whether an individual would pose an actual and imminent threat, the factors to be considered include: the duration of the risk, the nature and severity of the potential harm, the likelihood that the potential harm will occur, and the length of time before the potential harm would occur. (See 24 CFR 5.2003.) ii. Any eviction due to “actual and imminent threat” should be utilized by an owner only when there are no other actions that could be taken to reduce or eliminate the threat, including, but not limited to, transferring the victim to a different unit, barring the perpetrator from the property, contacting law enforcement to increase police presence or develop other plans to keep the property safe, or seeking other legal remedies to prevent the perpetrator from acting on a threat. Restrictions predicated on public safety cannot be based on stereotypes, but must be tailored to particularized concerns about individual residents. (See 24 CFR 5.2005(d)(4).) Documentation of Domestic Violence, Dating Violence, Sexual Assault, Stalking, or Human Trafficking
If an applicant or tenant requests VAWA protection based on status as a victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking, the owner has the option to request that the victim document or provide written evidence to demonstrate that the violence occurred. However, nothing in HUD’s regulation requires a covered housing provider to request this documentation. (See 24 CFR
5.2007(b)(3).)
1) If the owner chooses to request this documentation, the owner must make such request in writing. The individual may satisfy this request by providing any one document type listed under 24 CFR 5.2007(b)(1):
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a. Form HUD-55383 (Self-Certification Form); or
b. A document: 1) Signed by an employee, agent, or volunteer of a victim service provider, an attorney, or medical professional or a mental health professional (collectively, “professional”) from whom the victim has sought assistance relating to domestic violence, dating violence, sexual assault, stalking, or human trafficking, or the effects of abuse:
2) Signed by the applicant or tenant; and
3) That specifies, under penalty of perjury, that the professional believes in the occurrence of the incident of domestic violence, dating violence, sexual assault, stalking, or human trafficking that is the ground for protection and remedies under 24 CFR part 5, subpart L, and that the incident meets the applicable definition of domestic violence, dating violence, sexual assault, stalking, or human trafficking under 24 CFR 5.2003; or
c. A record of a Federal, State, tribal, territorial or local law enforcement agency, court, or administrative agency; or
d. At the discretion of a covered housing provider, a statement or other evidence provided by the applicant or tenant.
The owner must accept any of the above items (a – c). The owner has discretion to accept a statement or other evidence (d).
The owner is prohibited from requiring third-party documentation of the domestic violence, dating violence, sexual assault, stalking, or human trafficking, unless the submitted documentation contains conflicting information.
If the owner makes a written request for documentation, the owner may require submission of that documentation within 14 business days after the date that the individual received the written request for documentation. (24 CFR 5.2007(a)(2)).
The owner may extend this time period at its discretion. During the 14 business day period and any granted extensions of that time, no adverse actions, such as evictions or terminations, can be taken against the individual requesting VAWA protection.
Once a victim provides documentation of domestic violence, dating violence, sexual assault, stalking, or human trafficking, the owner is encouraged to acknowledge receipt of the documentation in a timely manner.
If the applicant or tenant fails to provide documentation that meets the criteria in 24 CFR 5.2007 within 14 business days after receiving the written request for that documentation or within the designated extension period, nothing in VAWA may be construed to limit the authority of the covered housing provider to:
a. Deny admission by the applicant or tenant to the housing or program; b. Deny assistance under the covered housing program to the applicant or tenant; c. Terminate the participation of the tenant in the covered housing program; or d. Evict the tenant, or a lawful occupant that commits a violation of a lease.
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An individual’s failure to timely provide documentation of domestic violence, dating violence, sexual assault, stalking, or human trafficking does not result in a waiver of the individual’s right to challenge the denial of assistance or termination, nor does it preclude the individual’s ability to raise an incident of domestic violence, dating violence, sexual assault, stalking, or human trafficking at eviction or termination proceedings.
Owners may not coerce, intimidate, threaten, interfere with, or retaliate against any person who exercises or assists or encourages a person to exercise any rights or protections under VAWAs (See FR Notice 1/4/23.)
16-IX.F. HOUSING CHOICE VOUCHER PROGRAM TEMPORARY CHANGES TO POLICIES AND PROCEDURES IN RESPONSE TO COVID-19
HUD has facilitated the adoption of specific waiver authority by PHAs in an effort to ensure operations are not impacted and families can continue to be served during the Shelter in Place Order by the Public Health Director and Emergency Declarations made by the Governor of California and the President of the United States.
Pursuant to PIH Notice 2020-05 issued on April 10, 2020, HACP has adopted the following waivers and modified its policies and procedures to implement said waivers. These waivers were adopted effective April 14,2020 and expire as indicated below:
.
1. PH & HCV - 3: Family Income and Composition; Annual Examination- Income Verification requirements
HUD is waiving the requirement that PHAs must use the income hierarchy described by PIH Notice 2018
-18. HUD will allow PHAs to forgo third-party
income verification requirements for annual reexaminations, including the use of EIV, if a PHA opts to conduct annual recertifications rather than delaying them.
PHAs may consider self-certification as the highest form of income verification to process annual reexaminations. This may occur over the telephone (but must be documented for the written record by PHA staff), through an email or postal mail with a self-certification form by the tenant, or through other electronic communication. Income and family composition examinations and recertifications do not have to be conducted in-person.
HACP Policy Change:
HACP will consider written and verbal self-declarations submitted by household adults as primary verification of income and process reexaminations based on Formatted: Font: 11.5 pt, Bold
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the self-certification. Where available, third-party verification will be accepted to augment or support the self-certification. The HUD Hierarchy and Techniques is suspended and will not be in effect during the HUD declared period.
Expires: July 31, 2020
Extended: December 31, 2021
2. PH & HCV - 4: Family Income and Composition; Interim Examinations
HUD is waiving the requirements to use the income hierarchy described by PIH Notice 2018-18 and will allow PHAs to forgo third-party income verifications, including EIV. PHAs may consider self-certification as the highest form of income verification for interim reexaminations. Interim reexaminations are not required to be held in-person.
HACP Policy Change: HACP will consider written and verbal self-declarations submitted by household adults as primary verification of income and process reexaminations based on the self-certification. Where available, third-party verification will be accepted to augment or support the self-certification. The HUD Hierarchy and Techniques is suspended and will not be in effect during the HUD declared period.
Expires: July 31, 2020
Extended: December 31, 2021
3. PH & HCV - 5: Enterprise Income Verification (EIV) Monitoring
HUD is waiving mandatory EIV monitoring requirements found in PIH Notice 2018-18 through July 31, 2020.
Policy Change:
HACP did not adopt this waiver
Expires: July 31, 2020
Extended: December 31, 2021
4. PH & HCV - 6: Family Self-Sufficiency (FSS) Contract of Participation; Contract Extension
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HUD will consider the circumstances surrounding COVID-18 to qualify as “good cause” to extend a family’s contract of participation in the FSS program for no more than 2 years through December 31, 2020.
Policy Change:
HACP did not adopt this waiver
Expires: December 31, 2020
Extended: December 31, 2021
5. HQS - 1: Initial Inspection Requirements
A PHA may rely on the owner’s certification that the owner has no reasonable basis to have knowledge that life-threatening conditions exist in the unit instead of conducting an initial inspection. A PHA may add other requirements or conditions to the owner’s certification. The PHA is required to conduct an HQS
inspection on the units as soon as reasonably possible, but no later than October 31, 2020. The waiver may also apply to PHA-owned units.
Policy Change:
HACP did not adopt this waiver HACP shall continue to conduct in-person initial inspections where possible.
Expires: July 31, 2020
Extended: December 31, 2021
6. HQS - 2: Project-Based Voucher (PBV) Pre-HAP Contract Inspections, PHA Acceptance of Complete Units
A PHA may rely on the owner’s certification that the owner that has no reasonable basis to have knowledge that life-threatening conditions exist in the unit. A PHA may add other requirements. The PHA must conduct an HQS inspection no later than October 31,2020 but must do so as soon as reasonably possible. If there’s a requirement under the Agreement to enter into a Housing Assistance Payment (AHAP) contract for newly constructed or rehabilitated projects, the PHA may choose to allow the owner to certify that the PHA Formatted: Line spacing: Multiple 1.15 li
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requirement has been met. The waiver may also apply to PHA-owned units, if the independent entity is unable to perform the inspection.
Policy Change:
HACP did not adopt this waiver
Expires: October 31,2020
Extended: December 31, 2021
7. HQS - 5: Biennial Inspections
HUD is waiving the requirement that PHAs inspect the unit not less than biennially (certain small, rural PHAs may inspect units triennially). All delayed biennial inspections must be completed as soon as reasonably possible, but no later than October 31, 2
020. This waiver may be applied to PHA-owned units if
the independent entity is unable to perform the inspection.
HACP Policy Change:
All Annual/Biennial inspections will be postponed until COVID-18 restrictions are lifted. HACP will document all tenant files with a flyer to document this delay.
Once restrictions are lifted all delayed HQS inspections will be conducted by October 31,2020 or alternative date as determined by HUD.
Expires: December 31, 2021
Extended: December 31, 2021
8. HQS - 6: Interim Inspections
The waiver states that if an
HQS reported deficiency is life-threatening, the PHA
must notify the owner of the reported life-threatening deficiency and the owner must correct it within 24 hours of the PHA notification or provide documentation that the deficiency does not exist. For non-life-threatening deficiencies, the PHA must notify the owner within 30 days and the owner must either make the repair or document that the deficiency does not exist within 30 days of the PHA notification. The PHA may add other requirements. The PHA is not required to conduct an on-site inspection to verify the repairs have been made, but may rely on alternative verification methods (photos, tenant certification, etc.). This waiver may apply to PHA-owned units where the independent entity is unable to perform the inspection.
Policy Change:
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HACP did not adopt this waiver.
HACP shall continue to conduct in-person Interim inspections where possible.
Expires: July 31, 2020
Extended: December 31, 2021
9. HQS - 7: PBV Turnover Unit Inspections
The Department is waiving the regulation that requires a PBV unit inspection before the unit is leased to a new family. The PHA may rely on the owner’s certification that the owner has no reasonable basis to have knowledge that life- threatening conditions exist in the unit. The PHA may add other requirements.
The waiver may be applied to PHA-owned units if the independent entity is unable to complete inspections.
Policy Change:
HACP did not adopt this waiver. HACP shall continue to conduct in-person initial inspections where possible.
Expires: July 31, 2020
Extended: December 31, 2021
10. HQS - 8: PBV HAP Contract
– HQS Inspections to Add or Substitute
Units
The Department is waiving the HQS inspection requirement when substituting or adding a new unit to a PBV HAP contract. Instead, the PHA may rely on the owner’s certification that the owner has no reasonable basis to have knowledge that life-threatening conditions exist in the unit. The PHA may add other conditions. The waiver may also be applied to PHA-owned units.
Policy Change:
HACP did not adopt this waiver
Expires: July 31, 2020
Extended: December 31, 2021
11. HQS - 9: HQS Quality Control Inspections
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HUD is waiving its supervisory quality control inspections until October 31, 2020.
HACP Policy: Change:
HACP will not conduct monthly quality control inspections of completed inspections. HACP will resume QC Inspections in November 2020 or alternative date as determined by HUD.
Expires: October 31, 2020
Extended: December 31, 2021
12. HQS - 10: HQS Space and Security
HUD is waiving the regulation requiring one bedroom for every two people where the PHA wishes to assist a current participant that needs to add a member or members to the assisted household as a result of the COVID-18 emergency.
This waiver does not apply
to an initial or new lease.
Policy Change:
HACP did not adopt this waiver
Expires: Extended to 12/31/2021
– remains in effect 1 year from current Lease
Term or One Year from the date of the HUD Notice - April 09, 2021, whichever is longer.
13. HQS - 11: Homeownership Option – Initial HQS Inspection
HUD is waiving the requirement for an initial HQS inspection before commencing monthly homeownership assistance payments. The family is still required to obtain an independent professional inspector and the PHA is still required to review the independent inspection and has discretion to disapprove the unit because of the contents of the inspection report.
HACP Policy Change:
HACP will continue to review the Home Inspection to ensure compliance to physical standards. However, HQS inspections will not be done by HACP until HUD imposed expiration of this provision.
Expires: July 31, 2020
Extended: December 31, 2021
14. HCV - 1: Administrative Plan
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HUD is waiving the requirement that a PHA’s administrative plan must be formally adopted by a PHA’s board. Must be formerly adopted as practicable following June 30, 2020, but no later than July 31, 2020.
HACP Policy Change:
HACP will update the Administrative Plan as needed and required by HUD where permitted without Board of Commissioners approval and will bring all changes implemented to the Board by the HUD determined deadline.
Expires: June 30, 2020 and must be presented to the Board by July 31, 2020.
Expires: 9/30/2021 and policies must be presented to the Board by December 31, 2021.
15. HCV - 2: Information When Family Is Selected
– PHA Oral Briefing
HUD is waiving the requirement that the PHA must give an oral briefing to families in the HCV and PBV programs. The PHA must instead conduct the briefing by other means such as webcast, video call, expanded information packet. The PHA must ensure that the method of communication for the briefing effectively communicates with each family member, including those with vision, hearing, and other communication-related disabilities and those with persons with limited English proficiency.
HACP Policy Change:
HACP shall conduct briefings for new participants and households moving to other units by telephone or other electronic means and refer them to our website for the briefing packet or mail it to the family to have and follow along with staff during the phone briefing tenant file will be documented with the date and time of the remote briefing and how the briefing packet was provided to them.
Expires: July 31, 2020
Extended: December 31, 2021
16. HCV - 3: Term of Voucher
– Extensions of Term HUD is waiving the
requirement the voucher term extensions must be in accordance with the PHA administrative plan.
HACP Policy Change:
HACP already has a liberal policy of granting voucher extensions especially as a result of its restrictive rental market. HACP is waiving the requirement that the family provide evidence of their housing search in order to be granted an extension of their voucher search period.
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Expires: July 31, 2020
Extended: December 31, 2021
17. HCV - 4: PHA Approval of Assisted Tenancy – When HAP Contract is Executed
HUD is waiving the regulatory requirement that the HAP contract may not be executed 60 days after the lease term begins and will instead allow PHAs to execute the HAP contract after the 60-day deadline has passed and make housing assistance payments retroactive to the beginning of the lease term.
However, the PHA and owner must execute the HAP contract no later than 120 days from the beginning of the lease term.
Policy Change:
HACP did not adopt this waiver
Expires: July 31, 2020
Extended: December 31, 2021
18. HCV
- 5: Absence From Unit
The Department is waiving the requirement that a voucher family may not be absent from a unit for a period of more than 180 consecutive calendar days. The PHA has discretion whether to continue the HAP contract in this situation and not terminate due to extenuating circumstances (e.g., hospitalization, extended stays at nursing homes, or caring for family members). The period of availability to continue making these HAP payments despite the family’s absence ends on December 31, 2020. The PHA may not make payments after this date if the family is absent and the HAP contract will terminate.
Policy Change:
HACP did not adopt this waiver
Expires: December 31, 2020
Extended: December 31, 2021
18. HCV
- 6: Automatic Termination of HAP Contract
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that the COVID-18 emergency may cause the temporary addition of household members which causes the calculation of HAP to reach $0. As an alternative requirement, the PHA, following a written notice to the owner and family, may extend the period of time following the last payment to the owner that triggers the automatic termination.
Policy Change:
HACP did not adopt this waiver
Expires: December 31, 2020
Extended: December 31, 2021
20. HCV
- 7: Increase in Payment Standard under HAP contract term
The Department is waiving the requirement that if a payment standard is increased during the term of a HAP contract, the increased payment standard shall not be effective until the family’s first regular reexamination. Instead, the increased payment standard may be effective at any time (e.g., interim reexamination, owner rent increase) after the effective date as long as it is not later than the family’s first regular reexamination.
Policy Change:
HACP did not adopt this waiver
Expires: December 31, 2020
Extended: December 31, 2021
21. PHAS, SEMAP and Financial Reporting Standards (b): SEMAP (Section Eight Management Assessment Program)
HUD will not issue SEMAP scores that are pending or for fiscal years ending in 2020 unless a PHA requests a
SEMAP score. HUD will, instead, carry forward
the PHAs most recent SEMAP score on record.
HACP Policy Change:
HACP will not submit a SEMAP score for FY2020. It will request that HUD carry forward their SEMAP score from 2018 which indicated that HACP was a High Performer for its Housing Choice Voucher Program.
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Expires: March 31, 2021
Extended: December 31, 2021
22. Other Waivers (a): PHA Reporting Requirements on HUD Form 50058
HUD is waiving the requirement that PHAs must submit form HUD-50058 60 calendar days after any action recorded on line 2b for transactions impacted by implemented waivers and alternative requirements. Through December 31, 2020, PHAs will have 90 days to submit their form HUD-50058 after the effective date of action to HUD. Although the waiver provides up to 90 days to submit form HUD-50058, HUD encourages PHAs that have operational capacity to continue submitting form HUD-50058 within the normal 60-day timeframe. HUD will issue guidance in the near future that will provide PHAs with workarounds to ensure that the delayed submission of form HUD-50058 does not cause any fatal errors in the IMS-PIC system.
Policy Change:
HACP did not adopt this waiver
Expires: December 31,2020
Extended: December 31, 2021
23. Repayment Agreements
Families are required to make repayments on unreported income or non- payment of rent on Repayment Agreements executed between the tenant and /or and HACP. HACP recognizes that COVID-1819 has resulted in many households having their monthly income affected by loss of employment, layoff or reduction in hours worked.
HACP Policy Change:
In the event of hardship, HACP shall suspend a households repayment agreement until July 31,2020 or alternative deadline for temporary waivers as determined by HUD.
Expires: July 31,2020
Extended: December 31, 2021
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Chapter 17
PROJECT-BASED VOUCHERS
INTRODUCTION
This chapter describes HUD regulations and PHA policies related to the project- based voucher (PBV) program in nine parts:
Part I: General Requirements. This part describes general provisions of the PBV program including maximum budget authority requirements, relocation requirements, and equal opportunity requirements.
Part II: PBV Owner Proposals. This part includes policies related to the submission and selection of owner proposals for PBV assistance. It describes the factors the PHA will consider when selecting proposals, the type of housing that is eligible to receive PBV assistance, the cap on assistance at projects receiving PBV assistance, subsidy layering requirements, site selection standards, and environmental review requirements.
Part III: Dwelling Units. This part describes requirements related to housing qualityNSPIRE standards, the type and frequency of inspections, and housing accessibility for persons with disabilities.
Part IV: Rehabilitated and Newly Constructed Units. This part describes requirements and policies related to the development and completion of rehabilitated and newly constructed housing units that will be receiving PBV assistance.
Part V: Housing Assistance Payments Contract. This part discusses HAP contract requirements and policies including the execution, term, and termination of the HAP contract. In addition, it describes how the HAP contract may be amended and identifies provisions that may be added to the HAP contract at the PHA’s discretion.
Part VI: Selection of PBV Program Participants. This part describes the requirements and policies governing how the PHA and the owner will select a family to receive PBV assistance.
Part VII: Occupancy. This part discusses occupancy requirements related to the lease and describes under what conditions families are allowed or required to move. In addition, exceptions to the occupancy cap (which limits PBV assistance to 25 percent of the units in any project) are also discussed.
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Part VIII: Determining Rent to Owner. This part describes how the initial rent to owner is determined, and how rent will be redetermined throughout the life of the HAP contract. Rent reasonableness requirements are also discussed.
Part IX: Payments to Owner. This part describes the types of payments owners may receive under this program.
PART I: GENERAL REQUIREMENTS
17-I.A. OVERVIEW [24 CFR 983.5]
The project-based voucher (PBV) program allows PHAs that already administer a tenant-based voucher program under an annual contributions contract (ACC) with HUD to take up to 20 percent of its authorized units and attach the funding to specific units rather than using it for tenant-based assistance [24 CFR 983.6].
PHAs may only operate a PBV program if doing so is consistent with the PHA’s Annual Plan, and the goal of deconcentrating poverty and expanding housing and economic opportunities [42 U.S.C. 1437f(o)(13)].
HACP Policy:
The HACP will operate a project-based voucher program using up to 20 percent of its authorized units for project-based assistance.
PBV assistance may be attached to existing housing or newly constructed or rehabilitated housing [24 CFR 983.52]. If PBV units are already selected for project-based assistance either under an agreement to enter into HAP Contract (Agreement) or a HAP contract, the
HACP is not required to reduce the number
of these units if the number of authorized units is subsequently reduced.
However, the HACP is responsible for determining the amount of budget authority that is available for project-based vouchers and ensuring that the amount of assistance that is attached to units is within the amounts available under the ACC, regardless of whether the PHA has vouchers available for project-basing [FR Notice 1/18/17].
Additional Project-Based Units [FR Notice 1/18/17]
The PHA may project-base an additional 10 percent of its units above the 20 percent program limit, if the units:
• Are specifically made available to house individuals and families that meet the definition of homeless under section 103 of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11302).
• Are specifically made available to house families that are comprised of or include a veteran.
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- Veteran means an individual who has served in the United States Armed Forces.
• Provide supportive housing to persons with disabilities or elderly persons as defined in 24 CFR 5.403.
• Are located in a census tract with a poverty rate of 20 percent or less, as determined in the most recent American Community Survey Five-Year Estimates.
- For these projects, the project cap is the greater of 25 units or 40 percent (instead of 25 percent) of the units in the project [FR Notice 7/14/17].
HACP Policy:
The HACP will not set aside units above the 20 percent program limit.
Units Not Subject to the PBV Program Limitation [FR Notice 1/18/17] PBV units under the RAD program and HUD-VASH PBV set-aside vouchers do not count toward the 20 percent limitation when PBV assistance is attached to them.
In addition, units that were previously subject to certain federal rent restrictions or were receiving another type of long
-term housing subsidy provided by HUD are
not subject to the cap. In order to be excepted, the unit must meet the following conditions:
• The unit must be covered under a PBV HAP contract that first became effective on or after 4/18/17; and
• In the five years prior to the date the PHA either issued the RFP or selected the project, the unit either:
- Received Public Housing Capital or Operating Funds, Project-Based Rental Assistance, Housing for Elderly (Section 202), Housing for Persons with Disabilities (section 811), Rent Supplement (Rent Supp), or Rental Assistance Program (RAP); or
- Was subject to a rent restriction through a loan or insurance program as a result of Section 236, Section 221(d)(3) or (d)(4) BMIR, Housing for Elderly Persons (Section 202), or Housing for Persons with Disabilities (Section 811)
- Received assistance under the Flexible Subsidy Program (Section 201 of the Housing and Community Development Amendments of 1878)
For New Construction units, to qualify for the exception as replacement housing, the project must meet all of the following criteria:
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above no more than 5 years from the date of the RFP or selection date of the project under non- competitive selection.
b. The new construction project is located on the site of the original project. c. One of the primary purposes of the new construction project is or was to replace the affordable rental units that previously existed at the site as evidenced by one of the following:
i. Former residents are provided with a preference for the right of first occupancy of the replacement units.
ii. Prior to demolition, the project was specifically identified as replacement housing for the original project.
The unit size configuration for the new construction units may differ from the original unit size configurations and the number of PBV assisted units may differ from the original project. However, under no circumstance may the program exception limitation be applied to PBV new construction units that exceed the total number of covered units from the original project.
Standard criteria for selection of projects and the units to which project-based assistance can be attached, including consistency with the PHA Plan, the goals of deconcentrating poverty and expanding housing and economic opportunities, site selection, and all civil rights requirements, are still in effect.
Prior to issuance of an RFP or selection under a non-competitive selection process, HACP must notify HUD 14 days in advance of the number of units it will attach PBV assistance to and indicate the specific exception that covers the units. An email must be sent to pbvsubmissions @hud.gov with a copy to the local field office PIH director.
Units that have previously received either PBV or HCV assistance are not covered under the exception.
HACP Policy:
The HACP may not project-base any of the above unit types.
17 -I.A.2 OTHER UNITS NOT SUBJECT TO THE PBV PROGRAM UNIT
EXCEPTION
In addition to the units listed above, other units are not subject to the program limitation calculation and would be excluded in the total number of authorize units and the total number of PBV units currently committed to PBV that the PHA submits to the field office. The units are as follows:
a. PBV Units under the RAD Demonstration Program
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process. All other VASH vouchers including and that HACP chooses to project-base are still subject to the PBV program limitations.
17-I.A.3 INCOME-MIXING PROJECT CAP EXEMPTIONS
Projects listed in 17-I.A.1 above are further exempted from the cap on the number of units receiving PBV assistance in any project. For these projects, 100% of the units can be assisted with PBV assistance. Provisions of 17-I.A.1.(2) (3) (4) shall be applicable to these projects.
This provision does not apply to units that were receiving PBV assistance prior to the effective date of April 18, 2017 of the HOTMA implementation guidance.
PBV HAP Contracts are considered legally binding obligations by HACP and shall be the last units affected by any HACP efforts to respond to insufficient funding. PBV assistance may be attached to existing housing or newly constructed or rehabilitated housing [24 CFR 983.52]. If PBV units are already selected for project-based assistance either under an agreement to enter into HAP Contract (Agreement) or a HAP contract, HACP is not required to reduce the number of these units if the amount of budget authority is subsequently reduced. However, HACP is responsible for determining the number of units that are available for project-based vouchers and ensuring that the number of units that are assisted with PBV assistance are within the available units under the ACC [24 CFR 983.6]. HACP shall also ensure that the amount of funding for the assistance attached to the units is available under the ACC. 17-I.B. TENANT-BASED VS. PROJECT-BASED VOUCHER ASSISTANCE [24 CFR 983.2]
Much of the tenant-based voucher program regulations also apply to the PBV program. Consequently, many of the PHA policies related to tenant-based assistance also apply to PBV assistance. The provisions of the tenant-based voucher regulations that do not apply to the PBV program are listed at 24 CFR 983.2.
HACP Policy:
Except as otherwise noted in this chapter, or unless specifically prohibited by PBV program regulations, the HACP policies for the tenant-based voucher program contained in this administrative plan also apply to the PBV program and its participants.
17 -I.C. RELOCATION REQUIREMENTS [24 CFR 983.7]
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Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1870 (URA)[42 U.S.C. 4201-4655] and implementing regulations at 49 CFR part
24. The cost of required relocation assistance may be paid with funds provided by the owner, local public funds, or funds available from other sources. PHAs may not use voucher program funds to cover relocation costs, except that PHAs may use their administrative fee reserve to pay for relocation expenses after all other program administrative expenses are satisfied, and provided that payment of the relocation benefits is consistent with state and local law. Use of the administrative fee for these purposes must also be consistent with other legal and regulatory requirements, including the requirement in 24 CFR 982.155 and other official HUD issuances.
The acquisition of real property for a PBV project is subject to the URA and 49 CFR part 24, subpart B. It is the responsibility of the PHA to ensure the owner complies with these requirements.
17-I.D. EQUAL OPPORTUNITY REQUIREMENTS [24 CFR 983.8]
The PHA must comply with all equal opportunity requirements under federal law and regulations in its implementation of the PBV program. This includes the requirements and authorities cited at 24 CFR 5.105(a). In addition, the PHA must comply with the PHA Plan certification on civil rights and affirmatively furthering fair housing, submitted in accordance with 24 CFR 903.7(o).
PART II: PBV OWNER PROPOSALS
17-II.A. OVERVIEW
With certain exceptions, the PHA must describe the procedures for owner submission of PBV proposals and for PHA selection of PBV proposals [24 CFR 983.51]. Before selecting a PBV proposal, the PHA must determine that the PBV proposal complies with HUD program regulations and requirements, including a determination that the property is eligible housing [24 CFR 983.53 and 983.54], complies with the cap on the number of PBV units per project [24 CFR 983.56], and meets the site selection standards [24 CFR 983.57]. The PHA may not commit PBVs until or unless it has followed the proposal selection requirements defined in 24 CFR 983.51 [Notice PIH 2011-54].
17-II.B. OWNER PROPOSAL SELECTION PROCEDURES [24 CFR 983.51(b)] The PHA must select PBV proposals in accordance with the selection procedures in the PHA administrative plan. The PHA must select PBV proposals by either of the following two methods.
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• PHA request for PBV Proposals. The PHA may solicit proposals by using a request for proposals to select proposals on a competitive basis in response to the PHA request. The PHA may not limit proposals to a single site or impose restrictions that explicitly or practically preclude owner submission of proposals for PBV housing on different sites.
• The PHA may select proposal that were previously selected based on a competition. This may include selection of a proposal for housing assisted under a federal, state, or local government housing assistance program that was subject to a competition in accordance with the requirements of the applicable program, community development program, or supportive services program that requires competitive selection of proposals (e.g., HOME, and units for which competitively awarded LIHTCs have been provided), where the proposal has been selected in accordance with such program's competitive selection requirements within three years of the PBV proposal selection date, and the earlier competitive selection proposal did not involve any consideration that the project would receive PBV assistance. The PHA need not conduct another competition.
Units Selected Non-Competitively [FR Notice 1/18/17, Notice PIH 2017-21; 24 CFR 983.51(b)]
For certain public housing projects where the PHA has an ownership interest or control, the PHA may attach PBV assistance non
-competitively without following
one of the two processes above.
This exception applies when the PHA is engaged in an initiative to improve, develop, or replace a public housing property or site. The public housing units may either currently be in the public housing inventory or may have been removed from the public housing inventory within five years of the date on which the PHA entered into the AHAP or HAP.
If the PHA is planning rehabilitation or new construction on the project, a minimum threshold of $25,000 per unit in hard costs must be expended.
If the PHA plans to replace public housing by attaching PBV assistance to existing housing in which the PHA has an ownership interest or control, then the $25,000 per unit minimum threshold does not apply as long as the existing housing substantially complies with NSPIRE standards
For certain public housing projects where the PHA has an ownership interest or control and will spend a minimum amount per unit on rehabilitation or construction, the PHA may select a project without following one of the two processes above.
HACP Policy:
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The HACP may attach PBVs to projects owned by the PHA as described above.
Solicitation and Selection of PBV Proposals [24 CFR 983.51(c)] Prior to issuing a request for proposals (RFP) for a competitive selection process or prior to selection of a project in a non-competitive selection process, HACP shall submit to the HUD Field Office the following:
1. The total number of units authorized under the ACC including HUD-VASH and Family Unification Program (FUP) vouchers and how many units are excluded from the total PBV commitment to date, if applicable.
2. Total number of units currently committed for PBV under HAP, AHAP or selected and specify the number of units excluded from the baseline PBV units.
3.The number of units to which HACP is proposing to attach PBV assistance through the RFP or selection.
The notice must be submitted to HUD no later than 14 days prior to the issuance of an RFP or selection is made to [email protected] and copied to the field office PIH director.
HACP procedures for selecting PBV proposals must be designed and actually operated to provide broad public notice of the opportunity to offer PBV proposals for consideration by HACP. The public notice procedures may include publication of the public notice in a local newspaper of general circulation and other means designed and actually operated to provide broad public notice. The public notice of HACP's request for PBV proposals must specify the submission deadline.
Detailed application and selection information must be provided at the request of interested parties.
PHA procedures for selecting PBV proposals must be designed and actually operated to provide broad public notice of the opportunity to offer PBV proposals for consideration by the PHA. The public notice procedures may include publication of the public notice in a local newspaper of general circulation and other means designed and actually operated to provide broad public notice. The public notice of the PHA request for PBV proposals must specify the submission deadline. Detailed application and selection information must be provided at the request of interested parties.
HACP Policy:
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and newly constructed housing in the following newspapers and trade journals.
• Contra Costa Times – East Bay Edition
In addition, the HACP will post the RFP and proposal submission and rating and ranking procedures on its electronic web site.
The HACP will publish its advertisement in the newspapers and trade journals mentioned above for at least one day per week for three consecutive weeks. The advertisement will specify the number of units the HACP estimates that it will be able to assist under the funding the HACP is making available. Proposals will be due in the HACP office by close of business 30 calendar days from the date of the last publication.
In order for the proposal to be considered, the owner must submit the proposal to the HACP by the published deadline date, and the proposal must respond to all requirements as outlined in the RFP. Incomplete proposals will not be reviewed.
The HACP will rate and rank proposals for rehabilitated and newly constructed housing using the following criteria:
• Owner experience and capability to build or rehabilitate housing as identified in the RFP,
• Extent to which the project furthers the HACP goal of deconcentrating poverty and expanding housing and economic opportunities,
• If applicable, the extent to which services for special populations are provided on site or in the immediate area for occupants of the property; and
• Projects with less than 25 percent of the units assisted will be rated higher than projects with 25 percent of the units assisted. In the case of projects for occupancy by the elderly, persons with disabilities or families needing other services, the HACP will rate partially assisted projects on the percent of units assisted. Projects with the lowest percent of assisted units will receive the highest score.
PHA Requests for Proposals for Existing Housing Units
The HACP will advertise its request for proposals (RFP) for existing housing in the following newspapers and trade journals. • Contra Costa Times – East Bay Edition
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and trade journals mentioned above for at least one day per week for three consecutive weeks. The advertisement will specify the number of units the HACP estimates that it will be able to assist under the funding the HACP is making available. Owner proposals will be accepted on a first-come first-served basis and will be evaluated using the following criteria:
• Experience as an owner in the tenant-based voucher program and owner compliance with the owner’s obligations under the tenant- based program,
• Extent to which the project furthers the HACP goal of deconcentrating poverty and expanding housing and economic opportunities,
• If applicable, extent to which services for special populations are provided on site or in the immediate area for occupants of the property; and
• Extent to which units are occupied by families that are eligible to participate in the PBV program.
PHA Selection of Proposals Subject to a Previous Competition under a Federal, State, or Local Housing Assistance Program
The HACP will accept proposals for PBV assistance from owners that were competitively selected under another federal, state or local housing assistance program, including projects that were competitively awarded Low-Income Housing Tax Credits on an ongoing basis.
The HACP may periodically advertise that it is accepting proposals, in the following newspapers and trade journals:
• Contra Costa Times – East Bay Edition
In addition to, or in place of advertising, the HACP may also directly contact specific owners that have already been selected for Federal, state, or local housing assistance based on a previously held competition, to inform them of available PBV assistance.
Proposals will be reviewed on a first-come first-served basis. The HACP will evaluate each proposal on its merits using the following factors:
• Extent to which the project furthers the HACP goal of deconcentrating poverty and expanding housing and economic opportunities; and
• Extent to which the proposal complements other local activities such as the redevelopment of a public housing site under the HOPE VI program, the HOME program, CDBG activities, other development activities in a HUD-designated Enterprise Zone, Economic Community, or Renewal Community.
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PHA-Owned Units [24 CFR 983.51(e), 983.59, Notice PIH 2015-05, and FR Notice 1/18/17]
A PHA-owned unit may be assisted under the PBV program only if the HUD field office or HUD-approved independent entity reviews the selection process and determines that the PHA-owned units were appropriately selected based on the selection procedures specified in the PHA administrative plan. If the PHA selects a proposal for housing that is owned or controlled by the PHA, the PHA must identify the entity that will review the PHA proposal selection process and perform specific functions with respect to rent determinations and inspections.
In the case of PHA-owned units, the term of the HAP contract and any HAP contract renewal must be agreed upon by the PHA and a HUD-approved independent entity. In addition, an independent entity must determine the rent to owner, the redetermined rent to owner, and reasonable rent. Housing qualityNSPIRE standards inspections must also be conducted by an independent entity.
The independent entity that performs these program services may be the unit of general local government for the PHA jurisdiction (unless the PHA is itself the unit of general local government or an agency of such government) or another HUD-approved public or private independent entity.
HACP Policy:
The HACP may submit a proposal for project-based housing that is owned or controlled by the HACP. If the proposal for HACP-owned housing is selected, the HACP will use Housing Authority of the County of Contra Costa to review the HACP selection and to administer the PBV program.
The HACP will obtain HUD approval of Housing Authority of the County of Contra Costa prior to selecting the proposal for HACP-owned housing.
The HACP may only compensate the independent entity from HACP ongoing
administrative fee income (including amounts credited to the administrative fee reserve). The HACP may not use other program receipts to compensate the independent entity for its services. The HACP and independent entity may not charge the family any fee for the appraisal, or the services provided by the independent entity.
PHA Notice of Owner Selection [24 CFR 983.51(d)]
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general circulation and other means designed and actually operated to provide broad public notice.
HACP Policy:
Within 15 business days of the HACP making the selection, the HACP will notify the selected owner in writing of the owner’s selection for the PBV program. The HACP will also notify in writing all owners that submitted proposals that were not selected and advise such owners of the name of the selected owner.
In addition, the
HACP will publish its notice for selection of PBV proposals for two consecutive days in the same newspapers and trade journals the HACP used to solicit the proposals. The announcement will include the name of the owner that was selected for the PBV program. The HACP will also post the notice of owner selection on its electronic web site.
The HACP will make available to any interested party its rating and ranking sheets and documents that identify the HACP basis for selecting the proposal. These documents will be available for review by the public and other interested parties for one month after publication of the notice of owner selection. The HACP will not make available sensitive owner information that is privileged, such as financial statements and similar information about the owner.
The HACP will make these documents available for review at the HACP during normal business hours. The cost for reproduction of allowable documents will be $.25 per page.
17-II.C. HOUSING TYPE [24 CFR 983.52]
The PHA may attach PBV assistance for units in existing housing or for newly constructed or rehabilitated housing developed under and in accordance with an agreement to enter into a housing assistance payments contract that was executed prior to the start of construction. A housing unit is considered an existing unit for purposes of the PBV program, if, at the time of notice of PHA selection, the units substantially comply with HQS.NSPIRE Standards. Units for which new construction or rehabilitation began after the owner's proposal submission but prior to the execution of the HAP do not subsequently qualify as existing housing. Units that were newly constructed or rehabilitated in violation of program requirements also do not qualify as existing housing.
The PHA must decide what housing type, new construction, rehabilitation, or existing housing, will be used to develop project-based housing. The PHA choice of housing type must be reflected in its solicitation for proposals.
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Rehabilitated and Newly Constructed units are defined to mean units that require $3000 or more in improvements including the per unit costs of common area improvements.
Existing Housing units are defined to mean units that require less than $3000 in improvements including the per unit costs of common area improvements.
17-II.D. PROHIBITION OF ASSISTANCE FOR CERTAIN UNITS
Ineligible Housing Types [24 CFR 983.53]
The PHA may not attach or pay PBV assistance to shared housing units; units on the grounds of a penal reformatory, medical, mental, or similar public or private institution; nursing homes or facilities providing continuous psychiatric, medical, nursing services, board and care, or intermediate care (except that assistance may be provided in assisted living facilities); units that are owned or controlled by an educational institution or its affiliate and are designated for occupancy by students; manufactured homes; and transitional housing. In addition, the PHA may not attach or pay PBV assistance for a unit occupied by an owner and the PHA may not select or enter into an agreement to enter into a HAP contract or HAP contract for a unit occupied by a family ineligible for participation in the PBV program. A member of a cooperative who owns shares in the project assisted under the PBV program is not considered an owner for purposes of participation in the PBV program. Finally, PBV assistance may not be attached to units for which construction or rehabilitation has started after the proposal submission and prior to the execution of an AHAP.
Subsidized Housing [24 CFR 983.54]
A PHA may not attach or pay PBV assistance to units in any of the following types of subsidized housing:
• A public housing unit,
• A unit subsidized with any other form of Section 8 assistance, • A unit subsidized with any governmental rent subsidy, • A unit subsidized with any governmental subsidy that covers all or any part of the operating costs of the housing,
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• A unit subsidized with Section 236 rental assistance payments (except that a PHA may attach assistance to a unit subsidized with Section 236 interest reduction payments);
• A Section 202 project for non-elderly with disabilities, • Section 811 project-based supportive housing for persons with disabilities, • Section 202 supportive housing for the elderly,
• A Section 101 rent supplement project,
• A unit subsidized with any form of tenant-based rental assistance, • A unit with any other duplicative federal, state, or local housing subsidy, as determined by HUD or the PHA in accordance with HUD requirements. 17-II.E. SUBSIDY LAYERING REQUIREMENTS [24 CFR 983.55, FR Notice PIH 2013-11/24/08, FR Notice 7/9/10, and FR Notice 6/25/143/13/23]
The PHA may provide PBV assistance only in accordance with HUD subsidy layering regulations [24 CFR 4.13] and other requirements.
The subsidy layering review is intended to prevent excessive public assistance by combining (layering) housing assistance payment subsidy under the PBV program with other governmental housing assistance from federal, state, or local agencies, including assistance such as tax concessions or tax credits.
HUD requires new construction and rehabilitation housing that will include forms of governmental assistance other than PBVs to undergo a subsidy layering review (SLR) prior to entering into an Agreement to Enter into Housing Assistance Payments Contract (AHAP). Subsidy layering requirements do not apply to existing housing, when PBV is the only governmental assistance, or for projects already subject to a PBV HAP contract, even if the project is recapitalized with outside sources of funding.
When a PHA selects a new construction or rehabilitation project, the PHA must require information regarding all HUD and/or other federal, state, or local governmental assistance to be disclosed by the project owner using Form HUD- 2880. Appendix A of FR Notice 2/28/203/23/23 contains a list of all required documentation.
Either HUD or a HUD-approved housing credit agency (HCA) in the PHA’s jurisdiction performs the subsidy layering review. The PHA must request an SLR though their local HUD Field Office or, if eligible, through a participating HCA.
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based voucher assistance meets HUD subsidy layering requirements, the HCA must submit a certification to HUD and notify the PHA. The PHA may proceed to execute an AHAP at that time if the environmental approval is received.
The HAP contract must contain the owner’s certification that the project has not received and will not receive (before or during the term of the HAP contract) any public assistance for acquisition, development, or operation of the housing other than assistance disclosed in the subsidy layering review in accordance with HUD requirements. However, in order to satisfy applicable requirements, HCAs must conduct subsidy layering reviews in compliance with the guidelines set forth in the Federal Register notice published July 9, 2010.
If before or during the HAP Contract, the owner receives additional HUD or other governmental assistance for the project that results in an increase in project financing in an amount that is equal to or greater than 10 percent of the original development budget, the owner must report such changes to HACP and HACP must notify the Housing Credit Agency or HUD (if there is no participating HCA in their jurisdiction), that a further subsidy layering review is required.
17-II.F. CAP ON NUMBER OF PBV UNITS IN EACH PROJECT
25 Percent per Project Cap [24 CFR 983.56]
In general, the PHA may not select a proposal to provide PBV assistance for units in a project or enter into an agreement to enter into a HAP or a HAP contract to provide PBV assistance for units in a project, if the total number of dwelling units in the project that will receive PBV assistance during the term of the PBV HAP contract is more than the greater of 25 units or 25 percent of the number of dwelling units (assisted or unassisted) in the project.
Exceptions to 25 Percent per Project Cap [FR Notice 1/18/17] Exceptions are allowed and PBV units are not counted against the 25 percent or 25-unit per project cap if:
• The units are exclusively for elderly families.
• The units are for households eligible for supportive services available to all families receiving PBV assistance in the project.
• The project is located in a census tract with a poverty rate of 20 percent or less, as determined in the most recent American Community Survey Five- Year estimates.
− For these projects, the project cap is the greater of 25 units or 40 percent (instead of 25 percent) of the units in the project [FR Notice 7/14/17].
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The Housing Opportunity Through Modernization Act of 2016 (HOTMA) eliminated the project cap exemption for projects that serve disabled families and modified the exception for supportive services.
Under the Fostering Stable Housing Opportunities (FSHO) amendments, units exclusively made available to youth receiving FUPY/FYI assistance may be excepted from the project cap for HAP contracts first effective after December 27, 2020. For more information on excepted units for FUPY, see Chapter 18.
Projects where these caps were implemented prior to HOTMA may continue to use the former exemptions and may renew their HAP contracts under the old requirements, unless the PHA and owner agree to change the conditions of the HAP contract. However, this change may not be made if it would jeopardize an assisted family’s eligibility for continued assistance in the project.
HACP Policy:
HACP will provide PBV assistance for excepted units. Excepted units are defined as follows:
• The units are exclusively for elderly families
• The units are for households eligible for supportive services available to all families receiving PBV assistance in the project
• The project is located in a census tract with a poverty rate of 20 percent or less, as determined in the most recent American Community Survey Five-Year estimates.
Supportive Services
PHAs must include in the PHA administrative plan the type of services offered to families for a project to qualify for the exception and the extent to which such services will be provided. The project must make supportive services available to all families receiving PBV assistance in the project, but the family does not actually have to accept and receive supportive services for the exception to apply to the unit, although the family must be eligible to receive the supportive services.
It is not necessary that the services be provided at or by the project but must be reasonably available to families receiving PBV assistance at the project and designed to help families in the project achieve self-sufficiency or live in the community as independently as possible A PHA may not require participation in the supportive service as a condition of living in the excepted unit, although such services may be offered.
Some of the authorized services for exception units include the following:
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• Supervised Medication taking.
• Substance abuse counseling/treatment for current abusers. • Training in housekeeping and Homemaking skills.
• Money Management.
• Parenting Skills.
• Work Skills and/or Job Training
Promoting Partially Assisted Projects [24 CFR 983.56(c)]
A PHA may establish local requirements designed to promote PBV assistance in partially assisted projects. A partially assisted project is a project in which there are fewer units covered by a HAP contract than residential units [24 CFR 983.3].
A PHA may establish a per-project cap on the number of units that will receive PBV assistance or other project-based assistance in a multifamily project containing excepted units or in a single-family building. A PHA may also determine not to provide PBV assistance for excepted units, or the PHA may establish a per-project cap of less than 25 percent.
HACP Policy:
The HACP may provide assistance for excepted units but will be limited to those designated for the elderly or provide eligible supportive services.
Beyond that, the HACP will not impose any further cap on the number of PBV units assisted per project.
Housing Opportunities through Modernization Act of 2016 (HOTMA) Changes
The Housing Opportunities Through Modernization Act of 2016 (HOTMA) made changes to the income-mixing project cap and modified the exception categories to the cap on the number of assisted units in a project. The new caps apply only to projects with HAP effective dates after the HOTMA final implementation rule effective date of April 18, 2017.
Under HOTMA, the new limitation on the number of PBVs in a project is now the greater of 25 units or 25 percent of the units in a project. Owners under HAP contracts predating April 18, 2017 are still subject to the terms of those HAP Contracts and must continue to designate the same number of units and assist the same number of excepted families as provided in such HAP contracts for the duration of the HAP contract and subsequent renewals unless the owner and HACP mutually agree to change the requirements.
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Projects not Subject to a Project Cap [FR Notice 1/18/17: Notice PIH 2017- 21]
PBV units that were previously subject to certain federal rent restrictions or receiving another type of long-term housing subsidy provided by HUD are exempt from the project cap. In other words, 100 percent of the units in these projects may receive PBV assistance. To qualify for the exception, the unit must:
• Be covered by a PBV HAP contract that first became effective on or after 4/18/17; and
• In the five years prior to the date the PHA either issued the RFP under which the project was selected or the PHA selected the project without competition, the unit met at least one of the two following conditions:
- The unit received Public Housing Capital or Operating Funds, Project- Based Rental Assistance, Housing for the Elderly (Section 202), Housing for Persons with disabilities (Section 811), the Rental Supplement program,
- The unit was subject to a rent restriction as a result of one of the following HUD loans or insurance programs: Section 236, Section 221(d)(3) or (d)(4) BMIR, Housing for the Elderly (Section 202), or Housing for Persons with Disabilities (Section 811)
Units that were previously receiving PBV assistance are not covered by the exception. Both existing and rehabilitation units are eligible for this exception.
Newly constructed units qualify if they meet the definition of replacement unit described in FR Notice 1/18/17.
HACP Policy:
The HACP currently does not have any PBV units that are subject to the per project cap exception.
17 -II.G. SITE SELECTION STANDARDS
Compliance with PBV Goals, Civil Rights Requirements, and HQSNSPIRE Site Standards
[24 CFR 983.57(b)]
The PHA may not select a proposal for existing, newly constructed, or rehabilitated PBV housing on a site or enter into an agreement to enter into a HAP contract or HAP contract for units on the site, unless the PHA has Formatted: Line spacing: 1.5 lines
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determined that PBV assistance for housing at the selected site is consistent with the goal of deconcentrating poverty and expanding housing and economic opportunities. The standard for deconcentrating poverty and expanding housing and economic opportunities must be consistent with the PHA Plan under 24 CFR 903 and the PHA administrative plan.
In addition, prior to selecting a proposal, the PHA must determine that the site is suitable from the standpoint of facilitating and furthering full compliance with the applicable Civil Rights Laws, regulations, and Executive Orders, and that the site meets the HQSNSPIRE site and neighborhood standards at 24 CFR 982.401(l).5.703.
HACP Policy:
It is the HACP goal to select sites for PBV housing that provide for deconcentrating poverty and expanding housing and economic opportunities. In complying with this goal, the HACP may limit approval of sites for PBV housing in census tracts that have poverty concentrations of 20 percent or less.
However, the
HACP will grant exceptions to the 20 percent standard
where the HACP determines that the PBV assistance will complement other local redevelopment activities designed to deconcentrate poverty and expand housing and economic opportunities in census tracts with poverty concentrations greater than 20 percent, such as sites in:
• A census tract in which the proposed PBV development will be located in a HUD-designated Enterprise Zone, Economic Community, or Renewal Community,
• A census tract where the concentration of assisted units will be or has decreased as a result of public housing demolition and HOPE VI redevelopment,
• A census tract in which the proposed PBV development will be located is undergoing significant revitalization as a result of state, local, or federal dollars invested in the area, • A census tract where new market rate units are being
developed where such market rate units will positively
impact the poverty rate in the area
• A census tract where there has been an overall decline in the poverty rate within the past five years; or
• A census tract where there are meaningful opportunities for educational and economic advancement.
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Existing and Rehabilitated Housing Site and Neighborhood Standards [24 CFR 983.57(d)]
The PHA may not enter into an agreement to enter into a HAP contract nor enter into a HAP contract for existing or rehabilitated housing until it has determined that the site complies with the HUD required site and neighborhood standards.
The site must:
• Be adequate in size, exposure, and contour to accommodate the number and type of units proposed,
• Have adequate utilities and streets available to service the site, • Promote a greater choice of housing opportunities and avoid undue concentration of assisted persons in areas containing a high proportion of low-income persons
• Be accessible to social, recreational, educational, commercial, and health facilities and services and other municipal facilities and services equivalent to those found in neighborhoods consisting largely of unassisted similar units; and
• Be located so that travel time and cost via public transportation or private automobile from the neighborhood to places of employment is not excessive.
New Construction Site and Neighborhood Standards [24 CFR 983.57(e)] In order to be selected for PBV assistance, a site for newly constructed housing must meet the following HUD required site and neighborhood standards:
• The site must be adequate in size, exposure, and contour to accommodate the number and type of units proposed,
• The site must have adequate utilities and streets available to service the site, • The site must not be located in an area of minority concentration unless the PHA determines that sufficient, comparable opportunities exist for housing for minority families in the income range to be served by the proposed project outside areas of minority concentration or that the project is necessary to meet overriding housing needs that cannot be met in that housing market area,
• The site must not be located in a racially mixed area if the project will cause a significant increase in the proportion of minority to non-minority residents in the area.
• The site must promote a greater choice of housing opportunities and avoid undue concentration of assisted persons in areas containing a high proportion of low-income persons,
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• The neighborhood must not be one that is seriously detrimental to family life or in which substandard dwellings or other undesirable conditions predominate,
• The housing must be accessible to social, recreational, educational, commercial, and health facilities and services and other municipal facilities and services equivalent to those found in neighborhoods consisting largely of unassisted similar units; and
• Except for housing designed for elderly persons, the housing must be located so that travel time and cost via public transportation or private automobile from the neighborhood to places of employment is not excessive.
RAD Conversions
HACP must comply with all applicable site selection requirements as set forth in Notice PIH 2012-32rev2 and in accordance with any additional applicable guidance provided by HUD. Site selection requirements set forth at 24CFR § 983.57 shall apply to RAD conversions to PBV assistance. Site selection must be consistent with the requirements of the Fair Housing Act, Title VI of the Civil Rights Act of 1964 including implementing regulations at 24 CFR § 1.4(b)(3), Section 504 of the Rehabilitation Act of 1973 including implementing regulations at 24 CFR § 8.4(b)(5), and the Americans with Disabilities Act.
For conversions of assistance that involve new construction that is located in an area of minority concentration (whether on the existing public housing site or on a new site), HUD will conduct a front-end civil rights review of the site to determine whether it meets one of the conditions that would allow for new construction in an area of minority concentration.
HUD may approve new construction in an area of minority concentration, consistent with the regulatory requirements cited above, provided that:
i. The new construction is located in a neighborhood experiencing significant private investment that is demonstrably improving the economic character of the area (a revitalizing area); or ii. There are sufficient comparable housing opportunities in areas outside of minority concentration.
In determining if the project meets the requirements above, HUD may consider such factors as: whether the locality has a demonstrated commitment to revitalization that includes or is in addition to the RAD conversion; whether the neighborhood shows signs of revitalizing, through indicators such as declining census tract poverty rates, low or declining violent crime rates or evidence of Formatted: Line spacing: 1.5 lines
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increased educational opportunity; or whether there is high private and public investment in retail, commercial or housing development that is already occurring or will imminently occur in the area. HACP must receive prior written approval from HUD following the review that HUD has accepted HACP's certification and supporting documentation prior to entering into binding commitments for new construction.
17-II.H. ENVIRONMENTAL REVIEW [24 CFR 983.58]
The HACP activities under the PBV program are subject to HUD environmental regulations in 24 CFR parts 50 and 58. The responsible entity is responsible for performing the federal environmental review under the National Environmental Policy Act of 1869 (42 U.S.C. 4321 et seq.). The HACP may not enter into an agreement to enter into a HAP contract nor enter into a HAP contract until it has complied with the environmental review requirements.
In the case of existing housing, the responsible entity that is responsible for the environmental review under 24 CFR part 58 must determine whether or not PBV assistance is categorically excluded from review under the National Environmental Policy Act and whether or not the assistance is subject to review under the laws and authorities listed in 24 CFR 58.5.
The HACP may not enter into an agreement to enter into a HAP contract or a HAP contract with an owner, and the HACP, the owner, and its contractors may not acquire, rehabilitate, convert, lease, repair, dispose of, demolish, or construct real property or commit or expend program or local funds for PBV activities under this part, until the environmental review is completed.
The HACP must supply all available, relevant information necessary for the responsible entity to perform any required environmental review for any site. The HACP must require the owner to carry out mitigating measures required by the responsible entity (or HUD, if applicable) as a result of the environmental review.
PART III: DWELLING UNITS
17-III.A. OVERVIEW
This part identifies the special housing quality standards that apply to the PBV program, housing accessibility for persons with disabilities, and special procedures for conducting housing quality standards inspections. 17-III.B. HOUSING QUALITYNATIONAL STANDARDS FOR THE PHYSICAL INSPECTION OF REAL ESTATE [24 CFR 983.101]
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including those for special housing types, generally apply to the PBV program.
HQSNSPIRE requirements for shared housing, manufactured home space rental, and the homeownership option do not apply because these housing types are not assisted under the PBV program.
The physical condition standards at 24 CFR 5.703 do not apply to the PBV program.
Lead-based Paint [24 CFR 983.101(c)]
The lead-based paint requirements for the tenant-based voucher program do not apply to the PBV program. Instead, The Lead-based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the Residential Lead
-based Paint Hazard Reduction
Act of 1892 (42 U.S.C. 4851-4856), and implementing regulations at 24 CFR part 35, subparts A, B, H, and R, apply to the PBV program.
17-III.C. HOUSING ACCESSIBILITY FOR PERSONS WITH DISABILITIES The housing must comply with program accessibility requirements of section 504 of the Rehabilitation Act of 1873 (29 U.S.C. 794) and implementing regulations at 24 CFR part 8. The HACP must ensure that the percentage of accessible dwelling units complies with the requirements of section 504 of the Rehabilitation Act of 1873 (29 U.S.C. 794), as implemented by HUD's regulations at 24 CFR 8, subpart C.
Housing first occupied after March 13, 1891, must comply with design and construction requirements of the Fair Housing Amendments Act of 1888 and implementing regulations at 24 CFR 100.205, as applicable. (24 CFR 983.102) 17-III.D. INSPECTING UNITS
Pre-selection Inspection [24 CFR 983.103(a)]
The HACP must examine the proposed site before the proposal selection date. If the units to be assisted already exist, the HACP must inspect all the units before the proposal selection date and must determine whether the units substantially comply with HQSNSPIRE. To qualify as existing housing, units must substantially comply with HQSNSPIRE on the proposal selection date. However, the HACP may not execute the HAP contract until the units fully comply with HQSNSPIRE, unless the HACP has adopted a policy to enter into a HAP contract for units that fail the initial HQSNSPIRE inspection as a result of only non-life-threatening conditions, unless the HACP has adopted a policy to enter into a HAP contract for units that fail the initial HQSNSPIRE inspection as a result of only non-life- threatening conditions.
Pre-HAP Contract Inspections [24 CFR 983.103(b); FR Notice 1/18/17] The HACP must inspect each contract unit before execution of the HAP contract.
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complies with HQSNSPIRE, unless the HACP has adopted a policy to enter into a HAP contract for units that fail the initial HQS inspection as a result of only non- life-threatening conditions.
HACP Policy:
The HACP will not enter into a PBV HAP contract until all units that will be under contract fully comply with HQSNSPIRE.
Turnover Inspections [24 CFR 983.103(c)]
Before providing assistance to a new family in a contract unit, the HACP must inspect the unit. The HACP may not provide assistance on behalf of the family until the unit fully complies with HQSNSPIRE.
Annual/Biennial Inspections [24 CFR 983.103(d); FR Notice 6/25/14] At least once every 24 months during the term of the HAP contract, (or at least triennially for small rural PHAs), the HACP must inspect a random sample consisting of at least 20 percent of the contract
units in each building to determine if the contract units and the premises are maintained in accordance with HQSNSPIRE. Turnover inspections are not counted toward meeting this inspection requirement.
HACP Policy:
The HACP will inspect on an annual basis a random sample consisting of at least 20 percent of the contract units in each building to determine if the contract units and the premises are maintained in accordance with HQSNSPIRE.
If more than 20 percent of the sample of inspected contract units in a building fail the initial inspection, the HACP must reinspect 100 percent of the contract units in the building.
Alternative Inspections [24 CFR 983.103(g); Notice PIH 2016-05] In the case of mixed-finance properties that are subject to alternative inspections, the PHA may rely upon an alternative inspection conducted at least triennially to demonstrate compliance with inspection requirements.
HACP Policy:
The PHA may not rely on alternative inspection standards
Other Inspections [24 CFR 983.103(e)]
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providing maintenance, utilities, and other services in accordance with the HAP contract. The HACP must take into account complaints and any other information coming to its attention in scheduling inspections.
The HACP must conduct follow-up inspections needed to determine if the owner (or, if applicable, the family) has corrected an HQS violationNSPIRE deficiency, and must conduct inspections to determine the basis for exercise of contractual and other remedies for owner or family violation of HQSNSPIRE deficiencies.
In conducting HACP supervisory quality control HQS inspections, the HACP should include a representative sample of both tenant-based and project-based units.
Inspecting PHA-Owned Units [24 CFR 983.103(f)]
In the case of
HACP-owned units, the inspections must be performed by an independent agency designated by the HACP and approved by HUD. The independent entity must furnish a copy of each inspection report to the HACP and to the HUD field office where the project is located. The HACP must take all necessary actions in response to inspection reports from the independent agency, including exercise of contractual remedies for violation of the HAP contract by the HACP-owner.
PART IV: REHABILITATED AND NEWLY CONSTRUCTED UNITS
17-IV.A. OVERVIEW [24 CFR 983.151]
There are specific requirements that apply to PBV assistance for newly constructed or rehabilitated housing that do not apply to PBV assistance in existing housing. This part describes the requirements unique to this type of assistance.
Housing selected for this type of assistance may not at a later date be selected for PBV assistance as existing housing.
17-IV.B. AGREEMENT TO ENTER INTO HAP CONTRACT
In order to offer PBV assistance in rehabilitated or newly constructed units, the HACP must enter into an agreement to enter into HAP contract (Agreement) with the owner of the property. The Agreement must be in the form required by HUD [24 CFR 983.152(b)]. The HACP may not enter into an Agreement if commencement of construction or rehabilitation has commenced after proposal submission [24 CFR 983.152(c)]. Construction begins when excavation or site preparation (including clearing of the land) begins for the housing. Rehabilitation begins with the physical commencement of rehabilitation activity on the housing.
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In the Agreement the owner agrees to develop the PBV contract units to comply with HQSNSPIRE, and the HACP agrees that upon timely completion of such development in accordance with the terms of the Agreement, the HACP will enter into a HAP contract with the owner for the contract units [24 CFR 983.152(a)].
Content of the Agreement [24 CFR 983.152(d)]
At a minimum, the Agreement must describe the following features of the housing to be developed and assisted under the PBV program:
• Site and the location of the contract units,
• Number of contract units by area (size) and number of bedrooms and bathrooms,
• Services, maintenance, or equipment to be supplied by the owner without charges in addition to the rent,
• Utilities available to the contract units, including a specification of utility services to be paid by the owner and utility services to be paid by the tenant, • An indication of whether or not the design and construction requirements of the Fair Housing Act and section 504 of the Rehabilitation Act of 1873 apply to units under the Agreement. If applicable, any required work item resulting from these requirements must be included in the description of work to be performed under the Agreement,
• Estimated initial rents to owner for the contract units, • Description of the work to be performed under the Agreement. For rehabilitated units, the description must include the rehabilitation work write up and, where determined necessary by the PHA, specifications and plans.
For new construction units, the description must include the working drawings and specifications.
• Any additional requirements for quality, architecture, or design over and above HQSNSPIRE standards.
Execution of the Agreement [24 CFR 983.153]
The Agreement must be executed promptly after PHA notice of proposal selection to the selected owner. The PHA may not enter into the Agreement if construction or rehabilitation has started after proposal submission. Generally, the PHA may not enter into the Agreement with the owner until the subsidy layering review is completed. Likewise, the PHA may not enter into the Agreement until the environmental review is completed and the PHA has Formatted: Line spacing: 1.5 lines
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received environmental approval. However, the PHA does not need to conduct a subsidy layering review in the case of a HAP contract for existing housing or if the applicable state or local agency has conducted such a review. Similarly, environmental reviews are not required for existing structures unless otherwise required by law or regulation.
HACP Policy:
The HACP will enter into the Agreement with the owner within 10 business days of receiving both environmental approval and notice that subsidy layering requirements have been met, and before construction or rehabilitation work is started.
17 -IV.C. CONDUCT OF DEVELOPMENT WORK
Labor Standards [24 CFR 983.154(b)]
If an Agreement covers the development of nine or more contract units (whether or not completed in stages), the owner and the owner’s contractors and subcontractors must pay Davis-Bacon wages to laborers and mechanics employed in the development of housing. Further, these Davis-Bacon requirements apply to existing PBV units when the nature of any work to be performed either before the execution of the HAP contract or within 18 months after execution constitutes project development. Any development initiated on existing units within 18 months after the effective date of the HAP contract on projects with nine or more contract units triggers Davis-Bacon requirements.
The HUD-prescribed form of the Agreement will include the labor standards clauses required by HUD, such as those involving Davis-Bacon wage rates. The addendum to the HAP contract, Form HUD-5679, also includes the required labor standards clauses.
The owner, contractors, and subcontractors must also comply with the Contract Work Hours and Safety Standards Act, Department of Labor regulations in 29 CFR part 5, and other applicable federal labor relations laws and regulations.
The PHA must monitor compliance with labor standards.
Equal Opportunity [24 CFR 983.154(c)]
The owner must comply with Section 3 of the Housing and Urban Development Act of 1868 and the implementing regulations at 24 CFR part 135. The owner must also comply with federal equal employment opportunity requirements.
Owner Disclosure [24 CFR 983.154(d) and (e)]
The Agreement and HAP contract must include a certification by the owner that the owner and other project principals are not on the U.S. General Services Administration list of parties excluded from federal procurement and non- Formatted: Line spacing: Multiple 1.15 li
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procurement programs.
The owner must also disclose any possible conflict of interest that would be a violation of the Agreement, the HAP contract, or HUD regulations. 17-IV.D. COMPLETION OF HOUSING
The Agreement must specify the deadlines for completion of the housing, and the owner must develop and complete the housing in accordance with these deadlines. The Agreement must also specify the deadline for submission by the owner of the required evidence of completion.
Evidence of Completion [24 CFR 983.155(b)]
At a minimum, the owner must submit the following evidence of completion to the PHA in the form and manner required by the PHA:
• Owner certification that the work has been completed in accordance with HQSNSPIRE and all requirements of the Agreement; and
• Owner certification that the owner has complied with labor standards and equal opportunity requirements in development of the housing.
At the PHA’s discretion, the Agreement may specify additional documentation that must be submitted by the owner as evidence of housing completion.
HACP Policy:
The HACP will determine the need for the owner to submit additional documentation as evidence of housing completion on a case-by-case basis depending on the nature of the PBV project. The HACP will specify any additional documentation requirements in the Agreement to enter into HAP contract.
PHA Acceptance of Completed Units [24 CFR 983.156]
Upon notice from the owner that the housing is completed, the PHA must inspect to determine if the housing has been completed in accordance with the Agreement, including compliance with HQSNSPIRE standards and any additional requirements imposed under the Agreement. The PHA must also determine if the owner has submitted all required evidence of completion.
If the work has not been completed in accordance with the Agreement, the PHA must not enter into the HAP contract.
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the PHA must submit the HAP contract for execution by the owner and must then execute the HAP contract.
PART V: HOUSING ASSISTANCE PAYMENTS CONTRACT (HAP)
17-V.A. OVERVIEW
The PHA must enter into a HAP contract with an owner for units that are receiving PBV assistance. The purpose of the HAP contract is to provide housing assistance payments for eligible families. Housing assistance is paid for contract units leased and occupied by eligible families during the HAP contract term. With the exception of single-family scattered-site projects, a HAP contract shall cover a single project. If multiple projects exist, each project is covered by a separate HAP contract. The HAP contract must be in the form required by HUD [24 CFR 983.202(a)].
17-V.B. HAP CONTRACT REQUIREMENTS
Contract Information [24 CFR 983.203]
The HAP contract must specify the following information:
• The total number of contract units by number of bedrooms, • The project’s name, street address, city or county, state and zip code, block and lot number (if known), and any other information necessary to clearly identify the site and the building,
• The number of contract units in each building, the location of each contract unit, the area of each contract unit, and the number of bedrooms and bathrooms in each contract unit,
• Services, maintenance, and equipment to be supplied by the owner and included in the rent to owner,
• Utilities available to the contract units, including a specification of utility services to be paid by the owner (included in rent) and utility services to be paid by the tenant,
• Features provided to comply with program accessibility requirements of Section 504 of the Rehabilitation Act of 1873 and implementing regulations at 24 CFR part 8,
• The HAP contract term
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• The initial rent to owner for the first 12 months of the HAP contract term.
Execution of the HAP Contract [24 CFR 983.204]
The PHA may not enter into a HAP contract until each contract unit has been inspected and the PHA has determined that the unit complies with the Housing Quality Standards (HQS),NSPIRE standards, unless the PHA has adopted a policy to enter into a HAP contract for units that fail the initial HQS inspection as a result of only non-where no life-threatening conditions are present. For existing housing, the HAP contract must be executed promptly after the PHA selects the owner proposal and inspects the housing units. For newly constructed or rehabilitated housing the HAP contract must be executed after the PHA has inspected the completed units and has determined that the units have been completed in accordance with the agreement to enter into HAP, and the owner furnishes all required evidence of completion.
HACP Policy:
For existing housing, the HAP contract will be executed within 10 business days of the HACP determining that all units pass HQSinspection.
For rehabilitated or newly constructed housing, the HAP contract will be executed within 10 business days of the PHA determining that the units have been completed in accordance with the agreement to enter into HAP, all units meet HQSNSPIRE standards, and the owner has submitted all required evidence of completion.
Term of HAP Contract [24 CFR 983.205; FR Notice 1/18/17] The PHA may enter into a HAP contract with an owner for an initial term of no less than one year and no more than 20 years for each contract unit. The length of the term of the HAP contract for any contract unit may not be less than one year, nor more than
20 years. In the case of PHA-owned units, the term of the HAP contract must be agreed upon by the PHA and the independent entity approved by HUD [24 CFR 983.59(b)(2)].
HACP Policy:
The term of all PBV HAP contracts will be negotiated with the owner on a case-by-case basis.
At the time of the initial HAP contract term or any time before expiration of the HAP contract, the HACP may extend the term of the contract for an additional term of up to 20 years if the HACP determines an extension is appropriate to continue providing affordable housing for low-income families. A HAP contract extension may not exceed 20 years. A HACP may provide for multiple Formatted: Line spacing: 1.5 lines
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extensions; however, in no circumstances may such extensions exceed 20 years, cumulatively. Extensions after the initial extension are allowed at the end of any extension term, provided that not more than 24 months prior to the expiration of the previous extension contract the HACP agrees to extend the term, and that such extension is appropriate to continue providing affordable housing for low-income families or to expand housing opportunities. Extensions after the initial extension term shall not begin prior to the expiration date of the previous extension term. Subsequent extensions are subject to the same limitations. All extensions must be on the form and subject to the conditions prescribed by HUD at the time of the extension. In the case of HACP-owned units, any extension of the term of the HAP contract must be agreed upon by the HACP and the independent entity approved by HUD [24 CFR 983.59(b)(2)].
For PBV HAP Contracts that pre-date HOTMA with 10 or 15 year terms, HACP shall extend the term of the HAP contract to 20 years prior to expiration of the initial HAP contract term and permit HAP extensions of 20-year terms if requested. Under no circumstances will the total years of assistance exceed 40 years.
HACP Policy:
When determining whether or not to extend an expiring PBV contract, the HACP will consider several factors including, but not limited to:
•
The cost of extending the contract and the amount of available budget authority,
• The condition of the contract units,
• The owner’s record of compliance with obligations under the HAP contract and lease(s),
• Whether the location of the units continues to support the goals of deconcentrating poverty and expanding housing opportunities; and • Whether the funding could be used more appropriately for tenant- based assistance.
Termination by PHA [24 CFR 983.205(c); FR Notice 1/18/17]
The HAP contract must provide that the term of the PHA’s contractual commitment is subject to the availability of sufficient appropriated funding as determined by HUD or by the PHA in accordance with HUD instructions. For these purposes, sufficient funding means the availability of appropriations, and of funding under the ACC from such appropriations, to make full payment of housing assistance payments payable to the owner for any contract year in Formatted: Line spacing: Multiple 1.15 li
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accordance with the terms of the HAP contract.
In times of insufficient funding, HUD requires that PHAs first take all cost-saving measures prior to failing to make payments under existing PBV HAP contracts.
If it is determined that there may not be sufficient funding to continue housing assistance payments for all contract units and for the full term of the HAP contract, the PHA may terminate the HAP contract by notice to the owner. The termination must be implemented in accordance with HUD instructions.
In the event of insufficient funding, HACP shall first take all cost-saving measures prior to failing to make payments under existing PBV HAP contracts.
Termination by Owner [24 CFR 983.205(d)]
If in accordance with program requirements the amount of rent to an owner for any contract unit is reduced below the amount of the rent to owner at the beginning of the HAP contract term, the owner may terminate the HAP contract by giving notice to the PHA. In this case, families living in the contract units must be offered tenant-based assistance.
Statutory Notice Requirements: Contract Termination or Expiration [24 CFR 983.206; FR Notice 1/18/17 and PIH Notice 2017-21]
Not less than one year before the HAP contract terminates, or if the owner refuses to renew the HAP contract, the owner must notify the PHA and assisted tenants of the termination. The notice must be provided in the form prescribed by HUD. If the owner does not give timely notice, the owner must permit the tenants in assisted units to remain in their units for the required notice period with no increase in the tenant portion of their rent, and with no eviction as a result of the owner's inability to collect an increased tenant portion of rent. An owner may renew the terminating contract for a period of time sufficient to give tenants one- year advance notice under such terms as HUD may require.
Upon termination or expiration of the contract, a family living at the property is entitled to receive a tenant-based voucher. Tenant-based assistance would not begin until the owner’s required notice period ends. The PHA must provide the family with a voucher and the family must also be given the option by the PHA and owner to remain in their unit with HCV tenant-based assistance as long as the unit complies with inspection and rent reasonableness requirements. The family must pay their total tenant payment (TTP) and any additional amount if the gross rent exceeds the applicable payment standard. The family has the right to remain in the project as long as the units are used for rental housing and are otherwise eligible for HCV assistance. The owner may not terminate the tenancy of a family that exercises its right to remain except for serious or repeated lease violations or other good cause. Families that receive a tenant-based voucher at the expiration or termination of the PBV HAP contract are not new admissions to Formatted: Font: Not Bold, Not Italic
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the PHA HCV tenant-based program and are not subject to income eligibility requirements or any other admission requirements. If the family chooses to remain in their unit with tenant-based assistance, the family may do so regardless of whether the family share would initially exceed 40 percent of the family’s adjusted monthly income.
Remedies for HQS ViolationsNSPIRE Deficiencies [24 CFR 983.208(b)] The PHA may not make any HAP payment to the owner for a contract unit during any period in which the unit does not comply with HQS.NSPIRE standards. If the PHA determines that a contract does not comply with HQSNSPIRE standards, the PHA may exercise any of its remedies under the HAP contract, for any or all of the contract units. Available remedies include termination of housing assistance payments, abatement or reduction of housing assistance payments, reduction of contract units, and termination of the HAP contract.
HACP Policy:
The HACP will abate and terminate PBV HAP contracts for non- compliance with HQSNSPIRE in accordance with the policies used in the tenant-based voucher program. These policies are contained in Section 8- II.G., Enforcing Owner Compliance.
17-V.C. AMENDMENTS TO THE HAP CONTRACT
Substitution of Contract Units [24 CFR 983.207(a)]
At the PHA’s discretion and subject to all PBV requirements, the HAP contract may be amended to substitute a different unit with the same number of bedrooms in the same project for a previously covered contract unit. Before any such substitution can take place, the PHA must inspect the proposed unit and determine the reasonable rent for the unit.
Addition of Contract Units [FR Notice 1/18/17and PIH Notice 2017-21] The PHA and owner may amend the HAP contract to add additional PBV contract units in projects that already have a HAP contract without having to fulfill the selection requirements found at 24 CFR 983.51(b) for those additional PBV units, regardless of when the HAP contract was signed. The additional PBV units, however, are still subject to the PBV program cap and individual project caps. Prior to attaching additional units without competition, the PHA must submit to the local field office information outlined in FR Notice 1/18/17. The PHA must also detail in the administrative plan their intent to add PBV units and the rationale for adding units to the specific PBV project.
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HACP Policy:
HACP will consider adding contract units to the HAP contract when HACP determines that additional housing is needed to serve eligible low-income families. Circumstances may include, but are not limited to:
• The local housing inventory is reduced due to a disaster (either due to loss of housing units, or an influx of displaced families); and
• Voucher holders are having difficulty finding units that meet program requirements.
• Additional PBV assisted units are needed to ensure the financial viability of the project.
14 days prior to an RFP announcement or attaching assistance to additional units without competition, HACP shall submit to the local field office i) the total number of units authorized in the ACC excluding those PBV units entirely excluded from the cap; ii) the total number of units currently committed to PBV excluding those not counting towards the cap; iii) the number of new units proposed to be assisted. HACP shall email the information to [email protected] with a copy to the local HUD PIH Office.
17-V.D. HAP CONTRACT YEAR, ANNIVERSARY AND EXPIRATION DATES [24 CFR 983.207(b) and 983.302(e)]
The HAP contract year is the period of 12 calendar months preceding each annual anniversary of the HAP contract during the HAP contract term. The initial contract year is calculated from the first day of the first calendar month of the HAP contract term.
The annual anniversary of the HAP contract is the first day of the first calendar month after the end of the preceding contract year.
There is a single annual anniversary and expiration date for all units under a particular HAP contract, even in cases where contract units are placed under the HAP contract in stages (on different dates) or units are added by amendment.
The anniversary and expiration dates for all units coincide with the dates for the contract units that were originally placed under contract.
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When the owner executes the HAP contract s/he certifies that at such execution and at all times during the term of the HAP contract:
• All contract units are in good condition and the owner is maintaining the premises and contract units in accordance with HQSNSPIRE standards, • The owner is providing all services, maintenance, equipment and utilities as agreed to under the HAP contract and the leases,
•
Each contract unit for which the owner is receiving HAP, is leased to an eligible family referred by the PHA, and the lease is in accordance with the HAP contract and HUD requirements,
• To the best of the owner’s knowledge the family resides in the contract unit for which the owner is receiving HAP, and the unit is the family’s only residence,
• The owner (including a principal or other interested party) is not the spouse, parent, child, grandparent, grandchild, sister, or brother of any member of a family residing in a contract unit,
• The amount of the HAP the owner is receiving is correct under the HAP contract,
• The rent for contract units does not exceed rents charged by the owner for comparable unassisted units,
• Except for HAP and tenant rent, the owner has not received and will not receive any other payment or consideration for rental of the contract unit • The family does not own or have any interest in the contract unit (does not apply to family's membership in a cooperative); and
• Repair work on the project selected as an existing project that is performed after HAP execution within such post-execution period as specified by HUD may constitute development activity, and if determined to be development activity, the repair work undertaken shall be in compliance with Davis-Bacon wage requirements.
17-V.F. ADDITIONAL HAP REQUIREMENTS
Housing Quality and Design Requirements [24 CFR 983.101(e) and 983.208(a)]
The owner is required to maintain and operate the contract units and premises in accordance with HQSNSPIRE standards, including performance of ordinary and extraordinary maintenance. The owner must provide all the services, maintenance, equipment, and utilities specified in the HAP contract with the PHA and in the lease with each assisted family. In addition, maintenance, replacement Formatted: Line spacing: 1.5 lines
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and redecoration must be in accordance with the standard practice for the building as established by the owner.
The PHA may elect to establish additional requirements for quality, architecture, or design of PBV housing. Any such additional requirements must be specified in the Agreement to enter into a HAP contract and the HAP contract. These requirements must be in addition to, not in place of, compliance with HQSNSPIRE standards.
HACP Policy:
The HACP will identify the need for any special features on a case-by- case basis depending on the intended occupancy of the PBV project. The HACP will specify any special design standards or additional requirements in the invitation for PBV proposals, the agreement to enter into HAP contract, and the HAP contract.
Vacancy Payments [24 CFR 983.352(b)]
At the discretion of the PHA, the HAP contract may provide for vacancy payments to the owner for a PHA-determined period of vacancy extending from the beginning of the first calendar month after the move-out month for a period not exceeding two full months following the move
-out month. The amount of the
vacancy payment will be determined by the PHA and cannot exceed the monthly rent to owner under the assisted lease, minus any portion of the rental payment received by the owner (including amounts available from the tenant’s security deposit).
HACP Policy:
The HACP will decide on a case-by-case basis if the HACP will provide vacancy payments to the owner not to exceed 60 days. The HAP contract with the owner will contain any such agreement, including the amount of the vacancy payment and the period for which the owner will qualify for these payments.
PART VI: SELECTION OF PBV PROGRAM PARTICIPANTS
17 -VI.A. OVERVIEW
Many of the provisions of the tenant-based voucher regulations [24 CFR 982] also apply to the PBV program. This includes requirements related to determining eligibility and selecting applicants from the waiting list. Even with these similarities, there are requirements that are unique to the PBV program.
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This part describes the requirements and policies related to eligibility and admission to the PBV program.
17-VI.B. ELIGIBILITY FOR PBV ASSISTANCE [24 CFR 983.251(a) and (b)] The PHA may select families for the PBV program from those who are participants in the PHA’s tenant-based voucher program and from those who have applied for admission to the voucher program. For voucher participants, eligibility was determined at original admission to the voucher program and does not need to be redetermined at the commencement of PBV assistance. For all others, eligibility for admission must be determined at the commencement of PBV assistance.
Applicants for PBV assistance must meet the same eligibility requirements as applicants for the tenant-based voucher program. Applicants must qualify as a family as defined by HUD, meet asset limitation requirements and the PHA, have income at or below HUD-specified income limits, and qualify on the basis of citizenship or the eligible immigration status of family members [24 CFR 982.201(a) and 24 CFR 983.2(a)]. In addition, an applicant family must provide social security information for family members [24 CFR 5.216 and 5.218] and consent to the PHA’s collection and use of family information regarding income, expenses, and family composition [24 CFR 5.230]. The PHA may also not approve a tenancy if the owner (including a principal or other interested party) of the unit is the parent, child, grandparent, grandchild, sister, or brother of any member of the family, unless needed as a reasonable accommodation. An applicant family must also meet HUD requirements related to current or past criminal activity.
HACP Policy:
The HACP will determine an applicant family’s eligibility for the PBV program in accordance with the policies in Chapter 3.
In-Place Families [24 CFR 983.251(b)]
An eligible family residing in a proposed PBV contract unit on the date the proposal is selected by the PHA is considered an “in-place family.” These families are afforded protection from displacement under the PBV rule. If a unit to be placed under contract (either an existing unit or a unit requiring rehabilitation) is occupied by an eligible family on the date the proposal is selected, the in-place family must be placed on the PHA’s waiting list. Once the family’s continued eligibility is determined (the PHA may deny assistance to an in-place family for the grounds specified in 24 CFR 982.552 and 982.553), the family must be given Formatted: Line spacing: 1.5 lines
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an absolute selection preference and the PHA must refer these families to the project owner for an appropriately sized PBV unit in the project. Admission of eligible in-place families is not subject to income targeting requirements.
This regulatory protection from displacement does not apply to families that are not eligible to participate in the program on the proposal selection date.
17-VI.C. ORGANIZATION OF THE WAITING LIST [24 CFR 983.251(c)] The PHA may establish a separate waiting list for PBV units or it may use the same waiting list for both tenant-based and PBV assistance. The PHA may also merge the PBV waiting list with a waiting list for other assisted housing programs offered by the PHA. If the PHA chooses to offer a separate waiting list for PBV assistance, the PHA must offer to place applicants who are listed on the tenant- based waiting list on the waiting list for PBV assistance.
If a PHA decides to establish a separate PBV waiting list, the PHA may use a single waiting list for the PHA’s whole PBV program, or it may establish separate waiting lists for PBV units in particular projects or buildings or for sets of such units.
HACP Policy:
The HACP will establish and manage separate waiting lists for individual projects or buildings that are receiving PBV assistance. The HACP will create a waiting list for the following PBV project:
•
Gateway Apartments
• Veteran’s Square will be a direct referral property where no wait list will be utilized.
It was past practice for HACP to use the same waiting list for both tenant- based and PBV assistance. HACP used the HCV waiting list for PBV assistance until site-based waiting lists are established for each PBV project. All HCV applicants will be given the first opportunity to be placed on these site-based wait lists. Since then and thereafter, all applicants interested in PBV assistance shall be placed on the project’s site-based wait list. Placement on the site-based wait list shall not affect applicants’ placement or status on the HCV wait list.
Establishment of Site Based Waiting List for RAD Covered Projects 24 CFR § 983.251 sets out PBV program requirements related to establishing and maintaining a voucher-wide, PBV program-wide, or site- based waiting list from which residents for the Covered Project will be admitted. These provisions will apply unless the project is covered by a remedial order or agreement that specifies the type of waiting list and Formatted: Line spacing: 1.5 lines
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other waiting list policies. HACP shall consider the best means to transition applicants from the current public housing waiting list, including:
i. Transferring an existing site-based waiting list to a new site-based waiting list. If HACP is transferring the assistance to another neighborhood, HACP must notify applicants on the waitlist of the transfer of assistance, and on how they can apply for residency at the new project site or other sites. Applicants on a project-specific waiting list for a project where the assistance is being transferred shall have priority on the newly formed waiting list for the new project site in accordance with the date and time of their application to the original project's waiting list.
ii. Informing applicants on the site-based waiting list on how to apply for a PBV program wide or HCV program-wide waiting list.
iii. Informing applicants on a tenant-based waiting list on how to apply for the HCV or PBV site-based waiting list. The site-based waiting list shall be established in accordance with 24 CFR §
903.7(b)(2)(ii)-(iv) to ensure that applicants on HACP’s public housing community-wide waiting list have been offered placement on the converted project’s initial waiting list. In all cases, HACP has the discretion to determine the most appropriate means of informing applicants on the public housing community-wide waiting list given the number of applicants, HACP resources, and admissions requirements of the projects being converted under RAD. HACP may consider contacting every applicant on the public housing waiting list via direct mailing; advertising the availability of housing to the population that is less likely to apply, both minority and non- minority groups, through various forms of media (e.g., radio stations, posters, newspapers) within the marketing area; informing local non-profit entities and advocacy groups (e.g., disability rights groups); and conducting other outreach as appropriate. HACP must maintain any site-based waiting list in accordance with all applicable civil rights and fair housing laws and regulations unless the project is covered by a remedial order or agreement that specifies the type of waiting list and other waiting list policies.
To implement this provision, HUD is specifying alternative requirements for 24 CFR §983.251(c)(2). However, after the initial waiting list has been established, HACP shall administer its waiting list for the converted project in accordance with 24 CFR 983.251 (c). HACP will establish and manage separate waiting lists for individual projects that are receiving PBV assistance. Site based waiting lists that are closed for general applications shall remain open for special needs 698
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applicants when there are units with additional restrictions in the PBV inventory for that property.
Site-based waiting lists for properties restricted to elderly households shall deny applicants who are not 62 years of age or older from being placed on the site- based waiting list for that property. Existing non-elderly applicants on these site- based waiting lists shall be removed from these lists and notified of the reason either when they reach the top of the waiting list or together as part of a waiting list update effort.
In an effort to preserve potential eligibility for non-elderly applicants who had previously applied to elderly waiting lists, non-elderly applicants who, at the time they reach the top of a senior waiting list are 55 years of age or older and have applications for other senior developments in the PBV portfolio, will be removed from the list they reached the top of only. The other waiting lists applications will remain active until they reach the top of those waiting lists. At that time, if they are still not 62 years of age or older, they will be removed from that particular waiting list at that time.
17-VI.D. SELECTION FROM THE WAITING LIST [24 CFR 983.251(c)] Applicants who will occupy units with PBV assistance must be selected from the PHA’s waiting list. The PHA may establish selection criteria or preferences for occupancy of particular PBV units. The PHA may place families referred by the PBV owner on its PBV waiting list.
Continuum of Care Assisted & PBV VASH Units
In addition to site-based waiting lists for each PBV property, the HACP may maintain a separate wait list for units designated for assistance through the Continuum of Care's Coordinated Entry System (CES). These units are required to be used to house homeless families that are in the CES for housing assistance referral. When vacancies occur at the PBV properties in these designated units, the owner shall request a suitable referral from the Coordinated Entry System & VASH or affiliated Veteran Support Agencies. Once the owner has reviewed the application and accepted the referral for housing assistance, the owner shall refer the family to the HACP's initial eligibility team for program eligibility determination and leasing. Families will only be placed on this waiting list if they are deemed suitable for occupancy by the owner and immediately processed for intake. This waiting list will not have a preference designation since all additions to the list will immediately be designated for specific units within the PBV portfolio. The only qualifier will be the date and time of the applicant's addition to the CES & PBV Wait List.
Units eligible for CES assistance and VASH priority are as follows:
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- Veterans Square – 901 Medanos Street, Pittsburg, CA
Direct Referrals from:
- Coordinated Entry System (CES) for an authorized PBV Project - VASH or affiliated Veterans Support Agencies in the Bay Area
Income Targeting [24 CFR 983.251(c)(6)]
At least 75 percent of the families admitted to the PHA’s tenant-based and project-based voucher programs during the PHA fiscal year from the waiting list must be extremely low-income families. The income targeting requirement applies to the total of admissions to both programs.
Units with Accessibility Features [24 CFR 983.251(c)(7)] When selecting families to occupy PBV units that have special accessibility features for persons with disabilities, the PHA must first refer families who require such features to the owner.
Preferences [24 CFR 983.251(d), FR Notice 11/24/08]
The PHA may use the same selection preferences that are used for the tenant- based voucher program, establish selection criteria or preferences for the PBV program as a whole, or for occupancy of particular PBV developments or units.
The PHA must provide an absolute selection preference for eligible in-place families as described in Section 17-VI.B. above.
The PHA may establish a selection preference for families who qualify for voluntary services, including disability-specific services, offered in conjunction with assisted units, provided that preference is consistent with the PHA plan. The PHA may not, however, grant a preference to a person with a specific disability [FR Notice 1/18/17].
In advertising such a project, the owner may advertise the project as offering services for a particular type of disability; however, the project must be open to all otherwise eligible disabled persons who may benefit from services provided in the project. In these projects, disabled residents may not be required to accept the particular services offered as a condition of occupancy.
If the PHA has projects with “excepted units” for elderly families or supportive services, the PHA must give preference to such families when referring families to these units [24 CFR 983.261(b); FR Notice 1/18/17].
HACP Policy:
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supportive services or mobility impaired persons for accessible units). The HACP may not offer any additional preferences for the PBV program or for particular PBV projects or units.
17-VI.E. OFFER OF PBV ASSISTANCE
Refusal of Offer [24 CFR 983.251(e)(3)]
The PHA is prohibited from taking any of the following actions against a family who has applied for, received, or refused an offer of PBV assistance:
• Refuse to list the applicant on the waiting list for tenant-based voucher assistance,
• Deny any admission preference for which the applicant qualifies, • Change the applicant’s place on the waiting list based on preference, date, and time of application, or other factors affecting selection under the PHA’s selection policy,
• Remove the applicant from the tenant-based voucher waiting list.
Disapproval by Landlord [24 CFR 983.251(e)(2)]
If a PBV owner rejects a family for admission to the owner’s units, such rejection may not affect the family’s position on the tenant-based voucher waiting list.
Acceptance of Offer [24 CFR 983.252]
Family Briefing
When a family accepts an offer for PBV assistance, the PHA must give the family an oral briefing. The briefing must include information on how the program works and the responsibilities of the family and owner. In addition to the oral briefing, the PHA must provide a briefing packet that explains how the PHA determines the total tenant payment for a family, the family obligations under the program, and applicable fair housing information.
Persons with Disabilities
If an applicant family’s head or spouse is disabled, the PHA must assure effective communication, in accordance with 24 CFR 8.6, in conducting the oral briefing and in providing the written information packet. This may include making alternative formats available (see Chapter 2). In addition, the PHA must have a mechanism for referring a family that includes a member with a mobility impairment to an appropriate accessible PBV unit.
Persons with Limited English Proficiency
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The PHA should take reasonable steps to assure meaningful access by persons with limited English proficiency in accordance with Title VI of the Civil Rights Act of 1864 and Executive Order 13166 (see Chapter 2).
17-VI.F. OWNER SELECTION OF TENANTS
The owner is responsible for developing written tenant selection procedures that are consistent with the purpose of improving housing opportunities for very low- income families and reasonably related to program eligibility and an applicant’s ability to fulfill their obligations under the lease. An owner must promptly notify in writing any rejected applicant of the grounds for any rejection [24 CFR 983.253(a)(2) and (a)(3)].
Leasing [24 CFR 983.253(a)]
During the term of the HAP contract, the owner must lease contract units to eligible families that are selected and referred by the PHA from the PHA’s waiting list. The contract unit leased to the family must be the appropriate size unit for the size of the family, based on the PHA’s subsidy standards.
Filling Vacancies [24 CFR 983.254(a)]
The owner must promptly notify the PHA of any vacancy or expected vacancy in a contract unit. After receiving such notice, the PHA must make every reasonable effort to promptly refer a sufficient number of families for the owner to fill such vacancies. The PHA and the owner must make reasonable efforts to minimize the likelihood and length of any vacancy.
HACP Policy:
The owner must notify the HACP in writing (mail, fax, or e-mail) within 5 business days of learning about any vacancy or expected vacancy.
The HACP will make every reasonable effort to refer families to the owner within 10 business days
of receiving such notice from the owner.
Reduction in HAP Contract Units Due to Vacancies [24 CFR 983.254(b)] If any contract units have been vacant for 120 or more days since owner notice of the vacancy, the PHA may give notice to the owner amending the HAP contract to reduce the number of contract units by subtracting the number of contract units (according to the bedroom size) that have been vacant for this period.
HACP Policy:
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notice to the owner that the HAP contract will be amended to reduce the number of contract units that have been vacant for this period. The HACP will provide the notice to the owner within 10 business days of the 120th day of the vacancy. The amendment to the HAP contract will be effective the 1st day of the month following the date of the HACP’s notice.
17-VI.G. TENANT SCREENING [24 CFR 983.255]
PHA Responsibility
The PHA is not responsible or liable to the owner or any other person for the family’s behavior or suitability for tenancy. However, the PHA may opt to screen applicants for family behavior or suitability for tenancy and may deny applicants based on such screening.
HACP Policy:
The HACP will not conduct screening to determine a PBV applicant family’s suitability for tenancy.
The HACP must provide the owner with an applicant family’s current and prior address (as shown in
HACP records) and the name and address (if known
by the HACP) of the family’s current landlord and any prior landlords.
In addition, the HACP may offer the owner other information the HACP may have about a family, including information about the tenancy history of family members or about drug trafficking and criminal activity by family members.
The HACP must provide applicant families a description of the HACP Policy: on providing information to owners, and the HACP must give the same types of information to all owners.
The HACP may not disclose to the owner any confidential information provided in response to a request for documentation of domestic violence, dating violence, sexual assault, or stalking, or human trafficking except at the written request or with the written consent of the individual providing the documentation [see 24 CFR 5.2007(a)(4)].
HACP Policy:
The HACP will inform owners of their responsibility to screen prospective tenants and will provide owners with the required known name and address information, at the time of the turnover HQS inspection or before.
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as tenancy history, criminal history, etc.
Owner Responsibility
The owner is responsible for screening and selection of the family to occupy the owner’s unit. When screening families the owner may consider a family’s background with respect to the following factors:
• Payment of rent and utility bills,
• Caring for a unit and premises,
• Respecting the rights of other residents to the peaceful enjoyment of their housing,
• Drug-related criminal activity or other criminal activity that is a threat to the health, safety, or property of others; and
• Compliance with other essential conditions of tenancy.
PART VII: OCCUPANCY
17-VII.A. OVERVIEW
After an applicant has been selected from the waiting list, determined eligible by the PHA, referred to an owner and determined suitable by the owner, the family will sign the lease and occupancy of the unit will begin. 17-VII.B. LEASE [24 CFR 983.256]
The tenant must have legal capacity to enter a lease under state and local law.
Legal capacity means that the tenant is bound by the terms of the lease and may enforce the terms of the lease against the owner.
Form of Lease [24 CFR 983.256(b)]
The tenant and the owner must enter into a written lease agreement that is signed by both parties. If an owner uses a standard lease form for rental units to unassisted tenants in the locality or premises, the same lease must be used for assisted tenants, except that the lease must include a HUD-required tenancy addendum. The tenancy addendum must include, word-for-word, all provisions required by HUD.
If the owner does not use a standard lease form for rental to unassisted tenants, the owner may use another form of lease, such as a PHA model lease.
The PHA may review the owner’s lease form to determine if the lease complies with state and local law. If the PHA determines that the lease does not comply with state or local law, the PHA may decline to approve the tenancy.
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HACP Policy:
The HACP will not review the owner’s lease for compliance with state or local law. However, if HACP becomes aware that an owner’s lease does not comply with state and local law, then HACP will require the owner to modify the lease in order to comply with state and local law. If the owner does not do this within 15 business days, then HACP may decline to approve the tenancy.
Lease Requirements [24 CFR 983.256(c)]
The lease for a PBV unit must specify all of the following information:
•
The names of the owner and the tenant,
• The unit rented (address, apartment number, if any, and any other information needed to identify the leased contract unit),
• The term of the lease (initial term and any provision for renewal), • The amount of the tenant rent to owner, which is subject to change during the term of the lease in accordance with HUD requirements,
• A specification of the services, maintenance, equipment, and utilities that will be provide by the owner; and
• The amount of any charges for food, furniture, or supportive services. • RAD provision that the lease will be renewed except for cause.
Tenancy Addendum [24 CFR 983.256(d)]
The tenancy addendum in the lease must state:
• The program tenancy requirements,
• The composition of the household as approved by the PHA (the names of family members and any PHA-approved live-in aide);
• All provisions in the HUD-required tenancy addendum must be included in the lease. The terms of the tenancy addendum prevail over other provisions of the lease.
Initial Term and Lease Renewal [24 CFR 983.256(f)]
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of the lease term. For automatic indefinite extension of the lease term, the lease terminates if any of the following occur:
• The owner terminates the lease for good cause
• The tenant terminates the lease.
• The owner and tenant agree to terminate the lease.
• The PHA terminates the HAP contract.
• The PHA terminates assistance for the family.
Changes in the Lease [24 CFR 983.256(e)]
If the tenant and owner agree to any change in the lease, the change must be in writing, and the owner must immediately give the PHA a copy of all changes.
The owner must notify the PHA in advance of any proposed change in the lease regarding the allocation of tenant and owner responsibilities for utilities. Such changes may only be made if approved by the PHA
and in accordance with the
terms of the lease relating to its amendment. The PHA must redetermine reasonable rent, in accordance with program requirements, based on any change in the allocation of the responsibility for utilities between the owner and the tenant. The redetermined reasonable rent will be used in calculation of the rent to owner from the effective date of the change.
Owner Termination of Tenancy [24 CFR 983.257]
With two exceptions, the owner of a PBV unit may terminate tenancy for the same reasons an owner may in the tenant-based voucher program (see Section 12-III.B. and 24 CFR 982.310). In the PBV program, terminating tenancy for “good cause” does not include doing so for a business or economic reason, or a desire to use the unit for personal or family use or other non-residential purpose.
Special RAD Provisions Regarding Project Owner Termination of Tenancy
Project Owner termination of tenancy and eviction procedures for RAD conversions to PBV will require that PHAs provide adequate written notice of termination of the lease which shall not be less than:
a. A reasonable period of time, but not to exceed 30 days:
i. If the health or safety of other tenants, PHA employees, or persons residing in the immediate vicinity of the premises is threatened; or ii. In the event of any drug-related or violent criminal activity or any felony conviction.
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b. 14 days in the case of nonpayment of rent; and
c. 30 days in any other case, except that if a State or local law provides for shorter period of time, such shorter period shall apply.
Tenant Absence from the Unit [24 CFR 983.256(g) and 982.312(a)] The lease may specify a maximum period of family absence from the unit that may be shorter than the maximum period permitted by PHA policy. According to program requirements, the family’s assistance must be terminated if they are absent from the unit for more than 180 consecutive days. PHA termination of assistance actions due to family absence from the unit are subject to 24 CFR 981.312, except that the unit is not terminated from the HAP contract if the family is absent for longer than the maximum period permitted.
Continuation of Housing Assistance Payments [24 CFR 982.258] Housing assistance payments shall continue until the tenant rent equals the rent to the owner. The cessation of housing assistance payments at such point will not affect the family's other rights under its lease, nor will such cessation preclude the resumption of payments as a result of later changes in income, rents, or other relevant circumstances if such changes occur within 180 days following the date of the last housing assistance payment by the PHA. After the 180-day period, the unit shall be removed from the HAP contract pursuant to 24 CFR 983.211.
HACP Policy:
If a participating family receiving zero assistance experiences a change in circumstances that would result in a HAP payment to the owner, the family must notify the HACP of the change and request an interim reexamination before the expiration of the 180-day period.
Security Deposits [24 CFR 983.259]
The owner may collect a security deposit from the tenant. The PHA may prohibit security deposits in excess of private market practice, or in excess of amounts charged by the owner to unassisted tenants.
HACP Policy:
The HACP will allow the owner to collect a security deposit amount the owner determines is appropriate.
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tenant rent, damages to the unit, or other amounts owed by the tenant under the lease.
The owner must give the tenant a written list of all items charged against the security deposit and the amount of each item. After deducting the amount used to reimburse the owner, the owner must promptly refund the full amount of the balance to the tenant.
If the security deposit does not cover the amount owed by the tenant under the lease, the owner may seek to collect the balance from the tenant. The HACP has no liability or responsibility for payment of any amount owed by the family to the owner.
17-VII.C. MOVES
Overcrowded, Under-Occupied, and Accessible Units [24 CFR 983.260] If the PHA determines that a family is occupying a wrong size unit, based on the PHA’s subsidy standards, or a unit with accessibility features that the family does not require, and the unit is needed by a family that does require the features, the PHA must promptly notify the family and the owner of this determination, and the PHA must offer the family the opportunity to receive continued housing assistance in another unit.
HACP Policy:
The HACP will notify the family and the owner of the family’s need to move based on the occupancy of a wrong-size or accessible unit within 10 business days of the HACP’s determination. The HACP will offer the family the following types of continued assistance in the following order, based on the availability of assistance:
PBV assistance in the same building or project,
PBV assistance in another project; and
Tenant-based voucher assistance.
If the
HACP offers the family a tenant-based voucher, the HACP must terminate the housing assistance payments for a wrong-sized or accessible unit at the earlier of the expiration of the term of the family’s voucher (including any extension granted by the HACP) or the date upon which the family vacates the unit. If the family does not move out of the wrong-sized unit or accessible unit by the expiration of the term of the family's voucher, the HACP must remove the unit from the HAP contract.
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If the HACP offers the family another form of assistance that is not a tenant- based voucher, and the family does not accept the offer, does not move out of the PBV unit within a reasonable time as determined by the PHA, or both, the PHA must terminate the housing assistance payments for the unit at the expiration of a reasonable period as determined by the PHA and remove the unit from the HAP contract.
HACP Policy:
When the HACP offers a family another form of assistance that is not a tenant-based voucher, the family will be given 30 days from the date of the offer to accept the offer and move out of the PBV unit. If the family does not move out within this 30-day time frame, the HACP will terminate the housing assistance payments at the expiration of this 30-day period.
The HACP may make exceptions to this 30
-day period if needed for
reasons beyond the family’s control such as death, serious illness, or other medical emergency of a family member.
Family Right to Move [24 CFR 983.261]
The family may terminate the lease at any time after the first year of occupancy.
The family must give advance written notice to the owner in accordance with the lease and provide a copy of such notice to the PHA. If the family wishes to move with continued tenant-based assistance, the family must contact the PHA to request the rental assistance prior to providing notice to terminate the lease.
If the family terminates the lease in accordance with these requirements, the PHA is required to offer the family the opportunity for continued tenant-based assistance, in the form of a voucher or other comparable tenant-based rental assistance. If voucher or other comparable tenant-based assistance is not immediately available upon termination of the family’s lease in the PBV unit, the PHA must give the family priority to receive the next available opportunity for continued tenant-based assistance.
If the family terminates the assisted lease before the end of the first year, the family relinquishes the opportunity for continued tenant-based assistance.
The above policies do not apply when the family or a member of the family is or has been the victim of domestic violence, dating violence, sexual assault, or stalking, as provided in 24 CFR part 5, subpart L, and the move is needed to protect the health or safety of the family or family member, or any family member has been the victim of a sexual assault that occurred on the premises during the 90-calendar-day period preceding the family's request to move. A PHA may not terminate assistance if the family, with or without prior notification to the PHA, Formatted: Line spacing: Multiple 1.15 li
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moves out of a unit in violation of the lease, if such move occurs to protect the health or safety of a family member who is or has been the victim of domestic violence, dating violence, sexual assault, or stalking and who reasonably believed they was threatened with imminent harm from further violence if they remained in the dwelling unit, or any family member has been the victim of a sexual assault that occurred on the premises during the 90-calendar-day period preceding the family's request to move.
If a family breaks up as a result of an occurrence of domestic violence, dating violence, sexual assault, or stalking, as provided in 24 CFR part 5, subpart L, the PHA may offer the victim the opportunity for continued tenant-based rental assistance.
If the family terminates the assisted lease before the end of the first year, the family relinquishes the opportunity for continued tenant-based assistance.
If the family seeks to move with continued assistance but is not in good standing, HACP may deny the request subject to the informal hearing process. Good standing is defined as not owing back rent, not the subject of documented program and lease violations, not under eviction for violation of lease terms or subject to a proposal for termination due to a violation of program obligations.
Emergency Transfers under VAWA [Notice PIH 2017-08]
Except where special consideration is needed for the project-based voucher program, the PHA will follow VAWA policies as outlined in Chapter 16 Part IX of this administrative plan, including using the Emergency Transfer Plan as the basis for PBV transfers under VAWA (Exhibit 16-4).
HUD requires that the PHA include policies that address when a victim has been living in a unit for less than a year or when a victim seeks to move sooner than a tenant-based voucher is available.
HACP Policy:
When the victim of domestic violence, dating violence, sexual assault, or stalking, or human trafficking has lived in the unit for less than one year, the HACP will provide several options for continued assistance.
The HACP will first try to transfer the participant to another PBV unit in the same development or transfer to a different development where the HACP has PBV units. The HACP will expedite the administrative processes in this case in an effort to conduct the transfer as quickly as possible.
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participant may receive continued assistance through an external transfer to either tenant-based rental assistance (HCV) or assistance in the HACP’s public housing program. Such a decision will be made by the HACP based on the availability of tenant-based vouchers and/or vacancies in public housing units. Such families must be selected from the waiting list for the applicable program. The HACP has adopted a waiting list preference for victims of domestic violence, dating violence, sexual assault, and stalking, and human trafficking in both its HCV and public housing programs in order to expedite this process. See Section 4-III.C. of this administrative plan.
If a victim wishes to move after a year of occupancy in the unit, but no tenant-based vouchers are available, the HACP will offer the participant an internal transfer to another PBV unit in the same development or a transfer to a different development where the HACP has PBV units. The HACP will expedite the administrative processes in this case in an effort to conduct the transfer as quickly as possible.
If no units are available for an internal transfer, or if there is reasonable cause to believe that such a transfer would put the victim in jeopardy, the participant may receive continued assistance through an external transfer to the HACP’s public housing program. The HACP has adopted a waiting list preference for victims of domestic violence, dating violence, sexual assault, and stalking, and human trafficking as part of the public housing ACOP in order to expedite this process.
17-VII.D. EXCEPTIONS TO THE OCCUPANCY CAP [24 CFR 983.262]
As of April 17, 2018, the PHA may not pay housing assistance under a PBV HAP contract for more than the greater of 25 units or 25 percent of the number of dwelling units in a
project unless:
• The units are exclusively for elderly families
• The units are for households eligible for supportive services available to all families receiving PBV assistance in the project
• The project is located in a census tract with a poverty rate of 20 percent or less, as determined in the most recent American Community Survey Five- Year estimates
- For these projects, the project cap is the greater of 25 units or 40 percent (instead of 25 percent) of the units in the project [FR Notice 7/14/17].
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excepted unit has received Family Self-Sufficiency (FSS) supportive services or any other service as defined by the PHA and successfully completes the FSS contract of participation or the supportive services requirement, the unit continues to count as an excepted unit for as long as the family resides in the unit. However, if the FSS family fails to successfully complete the FSS contract of participation or supportive services objective and consequently is no longer eligible for the supportive services, the family must vacate the unit within a reasonable period of time established by the PHA, and the PHA shall cease paying HAP on behalf of the family.
Further, when a family (or remaining members of a family) residing in an excepted unit no longer meets the criteria for a “qualifying family” because the family is no longer an elderly family due to a change in family composition, the PHA has the discretion to allow the family to remain in the excepted unit. If the PHA does not exercise this discretion, the family must vacate the unit within a reasonable period of time established by the PHA, and the PHA must cease paying housing assistance payments on behalf of the non-qualifying family.
Individuals in units with supportive services who choose to no longer participate in a service or who no longer qualify for services they qualified for at the time of initial occupancy cannot subsequently be denied continued housing opportunity because of this changed circumstance. A PHA or owner cannot determine that a participant’s needs exceed the level of care offered by qualifying services or require that individuals be transitioned to different projects based on service needs.
If the family fails to vacate the unit within the established time, the unit must be removed from the HAP contract unless the project is partially assisted, and it is possible for the HAP contract to be amended to substitute a different unit in the building in accordance with program requirements; or the owner terminates the lease and evicts the family. The housing assistance payments for a family residing in an excepted unit that is not in compliance with its family obligations to comply with supportive services requirements must be terminated by the PHA.
The PHA may allow a family that initially qualified for occupancy of an excepted unit based on elderly family status to continue to reside in a unit, where through circumstances beyond the control of the family (e.g., death of the elderly family member or long-term or permanent hospitalization or nursing care), the elderly family member no longer resides in the unit. In this case, the unit may continue to be counted as an excepted unit for as long as the family resides in that unit.
Once the family vacates the unit, in order to continue as an excepted unit under the HAP contract, the unit must be made available to and occupied by a qualified family.
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HACP Policy:
The HACP will allow families who initially qualified to live in an excepted unit to remain when circumstances change due to circumstances beyond the remaining family members’ control.
In all other cases, the
HACP will provide written notice to the family and
owner within 10 business days of making the determination. The family will be given 30 days from the date of the notice to move out of the PBV unit. If the family does not move out within this 30-day time frame, the HACP will terminate the housing assistance payments at the expiration of this 30-day period.
The HACP may make exceptions to this 30-day period if needed for reasons beyond the family’s control such as death, serious illness, or other medical emergency of a family member.
PART VIII: DETERMINING RENT TO OWNER
17-VIII.A. OVERVIEW
The amount of the initial rent to an owner of units receiving PBV assistance is established at the beginning of the HAP contract term. Although for rehabilitated or newly constructed housing, the agreement to enter into HAP Contract (Agreement) states the estimated amount of the initial rent to owner, the actual amount of the initial rent to owner is established at the beginning of the HAP contract term.
During the term of the HAP contract, the rent to owner is redetermined at the owner’s request in accordance with program requirements, and at such time that there is a five percent or greater decrease in the published FMR.
17-VIII.B. RENT LIMITS [24 CFR 983.301]
Except for certain tax credit units (discussed below), the rent to owner must not exceed the lowest of the following amounts:
• An amount determined by the PHA, not to exceed 110 percent of the applicable fair market rent (or any HUD-approved exception payment standard) for the unit bedroom size minus any utility allowance, • The reasonable rent; or
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• The rent requested by the owner.
Certain Tax Credit Units [24 CFR 983.301(c)]
For certain tax credit units, the rent limits are determined differently than for other PBV units. Different limits apply to contract units that meet all of the following criteria:
• The contract unit receives a low-income housing tax credit under the Internal Revenue Code of 1886,
• The contract unit is not located in a qualified census tract, • There are comparable tax credit units of the same bedroom size as the contract unit in the same project, and the comparable tax credit units do not have any form of rental assistance other than the tax credit; and • The tax credit rent exceeds 110 percent of the fair market rent or any approved exception payment standard,
For contract units that meet all of these criteria, the rent to owner must not exceed the lowest of:
• The tax credit rent minus any utility allowance,
• The reasonable rent; or
• The rent requested by the owner.
Definitions
A qualified census tract is any census tract (or equivalent geographic area defined by the Bureau of the Census) in which at least 50 percent of households have an income of less than 60 percent of Area Median Gross Income (AMGI), or where the poverty rate is at least 25 percent and where the census tract is designated as a qualified census tract by HUD.
Tax credit rent is the rent charged for comparable units of the same bedroom size in the project that also receive the low-income housing tax credit but do not have any additional rental assistance (e.g., tenant-based voucher assistance).
Reasonable Rent [24 CFR 983.301(e) and 983.302(c)(2)]
The PHA must determine reasonable rent in accordable with 24 CFR 983.303.
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reduce rents below the initial rent to owner and, upon redetermination of the rent to owner, the reasonable rent would result in a rent below the initial rent.
However, the rent to owner must be reduced in the following cases:
• To correct errors in calculations in accordable with HUD requirements • If additional housing assistance has been combined with PBV assistance after the execution of the initial HAP contract and a rent decrease is required pursuant to 24 CFR 983.55
• If a decrease in rent to owner is required based on changes in the allocation of the responsibility for utilities between owner and tenant
If the PHA has not elected within the HAP contract to establish the initial rent to owner as the rent floor, the rent to owner shall not at any time exceed the reasonable rent.
HACP Policy:
The HACP will elect within the HAP contract not to reduce rents below the initial level, with the exception of circumstances listed in 24 CFR 983.302(c)(2). If, upon redetermination of the rent to owner, the reasonable rent would result in a rent below the initial rent, the HACP will use the higher initial rent to owner amount.
Use of FMRs, Exception Payment Standards, and Utility Allowances [24 CFR 983.301(f)]
When determining the initial rent to owner, the PHA must use the most recently published FMR in effect and the utility allowance schedule in effect at execution of the HAP contract. When redetermining the rent to owner, the PHA must use the most recently p
ublished FMR and the utility allowance schedule in effect at the time of redetermination. At its discretion, the PHA may for initial rent, use the amounts in effect at any time during the 30-day period immediately before the beginning date of the HAP contract, or for redeterminations of rent, the 30-day period immediately before the redetermination date.
Any HUD-approved exception payment standard amount under the tenant-based voucher program also applies to the project-based voucher program. HUD will not approve a different exception payment stand amount for use in the PBV program.
Likewise, the PHA may not establish or apply different utility allowance amounts for the PBV program. The same utility allowance schedule applies to both the tenant-based and project-based voucher programs.
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HACP Policy:
Upon written request by the owner, the HACP will consider using the FMR or utility allowances in effect during the 30-day period before the start date of the HAP, or redetermination of rent. The owner must explain the need to use the previous FMRs or utility allowances and include documentation in support of the request. The HACP will review and make a decision based on the circumstances and merit of each request.
In addition to considering a written request from an owner, the HACP may
decide to use the FMR or utility allowances in effect during the 30-day period before the start date of the HAP, or redetermination of rent, if the HACP determines it is necessary due to HACP budgetary constraints.
Use of Small Area FMRs (SAFMRs) [24 CFR 888.113(h)]
While small area FMRs (SAFMRs) do not apply to PBV projects, PHAs that operate a tenant-based program under SAFMRs (either by HUD-designation or because the PHA requested HUD approval to use SAFMRs) may apply SAFMRs to all future PBV HAP contracts. If the PHA adopts this policy, it must apply to all future PBV projects and the PHA’s entire jurisdiction. The PHA and owner may not subsequently choose to revert back to use of the FMRs once the SAFMRs have been adopted, even if the PHA subsequently changes its policy.
Further, the PHA may apply SAFMRs to current PBV projects where the notice of owner selection was made on or before the effective dates of both the SAFMR designation and the PHA administrative plan policy, provided the owner is willing to mutually agree to doing so and the application is prospective. The PHA and owner may not subsequently choose to revert back to use of the FMRs once the SAFMRs have been adopted, even if the PHA subsequently changes its policy. If rents increase as a result of the use of SAFMRs, the rent increase may not be effective until the first anniversary of the HAP contract.
HACP Policy:
The HACP will not apply SAFMRs to the HACP’s PBV program.
Redetermination of Rent [24 CFR 983.302]
The PHA must redetermine the rent to owner upon the owner’s request or when there is a 10
percent or greater decrease in the published FMR.
Rent Increase
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must be requested at the annual anniversary of the HAP contract (see Section 17-V.D.). The request must be in writing and in the form and manner required by the PHA. The PHA may only make rent increases in accordance with the rent limits described previously. There are no provisions in the PBV program for special adjustments (e.g., adjustments that reflect increases in the actual and necessary expenses of owning and maintaining the units which have resulted from substantial general increases in real property taxes, utility rates, or similar costs).
HACP Policy:
An owner’s request for a rent increase must be submitted to the HACP 60 days prior to the anniversary date of the HAP contract and must include the new rent amount the owner is proposing.
The HACP may not approve, and the owner may not receive any increase of rent to owner until and unless the owner has complied with requirements of the HAP contract, including compliance with HQSNSPIRE. The owner may not receive any retroactive increase of rent for any period of noncompliance.
Rent Decrease
If there is a decrease in the rent to owner, as established in accordance with program requirements such as a change in the FMR
or exception payment
standard, or reasonable rent amount, the rent to owner must be decreased regardless of whether the owner requested a rent adjustment, except where the PHA has elected within the HAP contract to not reduce rents below the initial rent under the initial HAP contract.
Notice of Rent Change
The rent to owner is redetermined by written notice by the PHA to the owner specifying the amount of the redetermined rent. The PHA notice of rent adjustment constitutes an amendment of the rent to owner specified in the HAP contract. The adjusted amount of rent to owner applies for the period of 12 calendar months from the annual anniversary of the HAP contract.
HACP Policy:
The HACP will provide the owner with at least 30 days written notice of any change in the amount of rent to owner.
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PHA-Owned Units [24 CFR 983.301(g)]
For PHA-owned PBV units, the initial rent to owner and the annual redetermination of rent at the anniversary of the HAP contract are determined by the independent entity approved by HUD. The PHA must use the rent to owner established by the independent entity.
17-VIII.C. REASONABLE RENT [24 CFR 983.303]
At the time the initial rent is established and all times during the term of the HAP contract, the rent to owner for a contract unit may not exceed the reasonable rent for the unit as determined by the PHA, except where the PHA has elected within the HAP contract to not reduce rents below the initial rent under the initial HAP contract.
When Rent Reasonable Determinations Are Required:
The PHA must redetermine the reasonable rent for a unit receiving PBV assistance whenever any of the following occur:
• There is a 10 percent or greater decrease in the published FMR in effect 60 days before the contract anniversary (for the unit sizes specified in the HAP contract) as compared with the FMR that was in effect one year before the contract anniversary date,
• The PHA approves a change in the allocation of responsibility for utilities between the owner and the tenant,
• The HAP contract is amended to substitute a different contract unit in the same building or project; or
• There is any other change that may substantially affect the reasonable rent. •
How to Determine Reasonable Rent
The reasonable rent of a unit receiving PBV assistance must be determined by comparison to rent for other comparable unassisted units. When making this determination, the PHA must consider factors that affect market rent. Such factors include the location, quality, size, type and age of the unit, as well as the amenities, housing services maintenance, and utilities to be provided by the owner.
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Comparability Analysis
For each unit, the comparability analysis must use at least three comparable units in the private unassisted market. This may include units in the premises or project that is receiving project-based assistance. The analysis must show how the reasonable rent was determined, including major differences between the contract units and comparable unassisted units, and must be retained by the PHA. The comparability analysis may be performed by PHA staff or by another qualified person or entity. Those who conduct these analyses or are involved in determining the housing assistance payment based on the analyses may not have any direct or indirect interest in the property.
PHA-Owned Units
For PHA-owned units, the amount of the reasonable rent must be determined by an independent agency approved by HUD in accordance with PBV program requirements. The independent entity must provide a copy of the determination of reasonable rent for PHA-owned units to the PHA and to the HUD field office where the project is located.
Owner Certification of Reasonable Rent
By accepting each monthly housing assistance payment, the owner certifies that the rent to owner is not more than rent charged by the owner for other comparable unassisted units in the premises. At any time, the PHA may require the owner to submit information on rents charged by the owner for other units in the premises or elsewhere.
17-VIII.D. EFFECT OF OTHER SUBSIDY AND RENT CONTROL
In addition to the rent limits discussed in Section 17-VIII.B above, other restrictions may limit the amount of rent to owner in a PBV unit. In addition, certain types of subsidized housing are not even eligible to receive PBV assistance (see Section 17-II.D).
Other Subsidy [24 CFR 983.304]
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To comply with HUD subsidy layering requirements, at the discretion of HUD or its designee, a PHA shall reduce the rent to owner because of other governmental subsidies, including tax credits or tax exemptions, grants, or other subsidized funding.
For units receiving assistance under the HOME program, rents may not exceed rent limits as required by that program.
For units in any of the following types of federally subsidized projects, the rent to owner may not exceed the subsidized rent (basic rent) or tax credit rent as determined in accordance with requirements for the applicable federal program:
• An insured or non-insured Section 236 project,
• A formerly insured or non-insured Section 236 project that continues to receive Interest Reduction Payment following a decoupling action, • A Section 221(d)(3) below market interest rate (BMIR) project, • A Section 515 project of the Rural Housing Service,
• Any other type of federally subsidized project specified by HUD.
Combining Subsidy
Rent to owner may not exceed any limitation required to comply with HUD subsidy layering requirements.
Rent Control [24 CFR 983.305]
In addition to the rent limits set by PBV program regulations, the amount of rent to owner may also be subject to rent control or other limits under local, state, or federal law.
PART IX: PAYMENTS TO OWNER
17-IX.A. HOUSING ASSISTANCE PAYMENTS [24 CFR 983.351]
During the term of the HAP contract, the PHA must make housing assistance payments to the owner in accordance with the terms of the HAP contract. During the term of the HAP contract, payments must be made for each month that a contract unit complies with HQSNSPIRE standards and is leased to and occupied by an eligible family. The housing assistance payment must be paid to the owner on or about the first day of the month for which payment is due, unless Formatted: Line spacing: 1.5 lines
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the owner and the PHA agree on a later date.
Except for discretionary vacancy payments, the PHA may not make any housing assistance payment to the owner for any month after the month when the family moves out of the unit (even if household goods or property are left in the unit).
The amount of the housing assistance payment by the PHA is the rent to owner minus the tenant rent (total tenant payment minus the utility allowance).
In order to receive housing assistance payments, the owner must comply with all provisions of the HAP contract. Unless the owner complies with all provisions of the HAP contract, the owner does not have a right to receive housing assistance payments.
17-IX.B. VACANCY PAYMENTS [24 CFR 983.352]
If an assisted family moves out of the unit, the owner may keep the housing assistance payment for the calendar month when the family moves out.
However, the owner may not keep the payment if the PHA determines that the vacancy is the owner’s fault.
HACP Policy:
If the HACP determines that the owner is responsible for a vacancy and, as a result, is not entitled to the keep the housing assistance payment, the HACP will notify the landlord of the amount of housing assistance payment that the owner must repay. The HACP will require the owner to repay the amount owed in accordance with the policies in Section 16-IV.B.
At the discretion of the
HACP, the HAP contract may provide for vacancy
payments to the owner. The HACP may only make vacancy payments if:
• The owner gives the HACP prompt, written notice certifying that the family has vacated the unit and identifies the date when the family moved out (to the best of the owner’s knowledge);
• The owner certifies that the vacancy is not the fault of the owner and that the unit was vacant during the period for which payment is claimed, • The owner certifies that it has taken every reasonable action to minimize the likelihood and length of vacancy; and
• The owner provides any additional information required and requested by the PHA to verify that the owner is entitled to the vacancy payment.
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by the PHA to determine the amount of any vacancy payment.
HACP Policy:
If an owner’s HAP contract calls for vacancy payments to be made, and the owner wishes to receive vacancy payments, the owner must have properly notified the HACP of the vacancy in accordance with the policy in Section 17-VI.F. regarding filling vacancies.
In order for a vacancy payment request to be considered, it must be made within 10 business days
of the end of the period for which the owner is
requesting the vacancy payment. The request must include the required owner certifications and the HACP may require the owner to provide documentation to support the request. If the owner does not provide the information requested by the HACP within 10 business days of the HACP’s request, no vacancy payments will be made.
17-IX.C. TENANT RENT TO OWNER [24 CFR 983.353]
The tenant rent is the portion of the rent to owner paid by the family. The amount of tenant rent is determined by the PHA in accordance with HUD requirements.
Any changes in the amount of tenant rent will be effective on the date stated in the PHA notice to the family and owner.
The family is responsible for paying the tenant rent (total tenant payment minus the utility allowance). The amount of the tenant rent determined by the PHA is the maximum amount the owner may charge the family for rental of a contract unit. The tenant rent covers all housing services, maintenance, equipment, and utilities to be provided by the owner. The owner may not demand or accept any rent payment from the tenant in excess of the tenant rent as determined by the PHA. The owner must immediately return any excess payment to the tenant.
Tenant and PHA Responsibilities
The family is not responsible for the portion of rent to owner that is covered by the housing assistance payment and the owner may not terminate the tenancy of an assisted family for nonpayment by the PHA.
Likewise, the PHA is responsible only for making the housing assistance payment to the owner in accordance with the HAP contract. The PHA is not responsible for paying tenant rent, or any other claim by the owner, including damage to the unit. The PHA may not use housing assistance payments or other program funds (including administrative fee reserves) to pay any part of the tenant rent or other claim by the owner.
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Utility Reimbursements
If the amount of the utility allowance exceeds the total tenant payment, the PHA must pay the amount of such excess to the tenant as a reimbursement for tenant-paid utilities, and the tenant rent to the owner must be zero.
The PHA may pay the utility reimbursement directly to the family or to the utility supplier on behalf of the family. If the PHA chooses to pay the utility supplier directly, the PHA must notify the family of the amount paid to the utility supplier.
HACP Policy:
The HACP will make utility reimbursements to the family.
17 -IX.D. OTHER FEES AND CHARGES [24 CFR 983.354]
Meals and Supportive Services
With the exception of PBV assistance in assisted living developments, the owner may not require the tenant to pay charges for meals or supportive services. Non- payment of such charges is not grounds for termination of tenancy.
In assisted living developments receiving PBV assistance, the owner may charge for meals or supportive services. These charges may not be included in the rent to the owner, nor may the value of meals and supportive services be included in the calculation of the reasonable rent. However, non-payment of such charges is grounds for termination of the lease by the owner in an assisted living development.
Other Charges by OwnerOwn
The owner may not charge extra amounts for items customarily included in rent in the locality or provided at no additional cost to unsubsidized tenants in the premises.
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CHAPTER 18
PROJECT BASED VOUCHERS (PBV) UNDER THE RENTAL ASSISTANCE
DEMONSTRATION (RAD) PROGRAM
INTRODUCTION
This chapter describes HUD regulations and PHA policies related to the Project- Based Voucher (PBV) program under the Rental Assistance Demonstration (RAD) program in eight parts:
Part I: General Requirements. This part describes general provisions of the PBV program, including maximum budget authority requirements, relocation requirements, and equal opportunity requirements.
Part II: PBV Project Selection. This part describes the cap on assistance at projects receiving PBV assistance, ownership and control, and site selection standards.
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Part III: Dwelling Units. This part describes requirements related to housing qualityNSPIRE standards, the type and frequency of inspections, and housing accessibility for persons with disabilities.
Part IV: Housing Assistance Payments Contract. This part discusses HAP contract requirements and policies including the execution and term of the HAP contract.
Part V: Selection of PBV Program Participants. This part describes the requirements and policies governing how the PHA and the owner will select a family to receive PBV assistance.
Part VI: Occupancy. This part discusses occupancy requirements related to the lease and describes under what conditions families are allowed or required to move. Part VII: Determining Contract Rent. This part describes how the initial rent to owner is determined, and how rent will be redetermined throughout the life of the HAP contract.
Part VIII: Payments to Owner. This part describes the types of payments owners may receive under this program.
PART I: GENERAL REQUIREMENTS
18-I.A. OVERVIEW AND HISTORY OF THE RAD PROGRAM
The Rental Assistance Demonstration (RAD) program was authorized in 2012 in order to assess the effectiveness of converting public housing, moderate rehabilitation properties, and units under the rent supplement and rental assistance payments programs to long-term, project-based Section 8 rental assistance. The program’s four primary objectives are to:
• Preserve and improve public and other assisted housing. • Standardize the administration of the plethora of federally subsidized housing programs and rules. The conversions are intended to promote operating efficiency by using a Section 8 project-based assistance model that has proven successful and effective for over 30 years. In other words, RAD aligns eligible properties more closely with other affordable housing programs.
• Attract private market capital for property renovations. Through the use Formatted: Underline
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of this model, properties may be able to leverage private debt and equity to make capital repairs.
• Increase tenant mobility opportunities.
Under the first component, a PHA with public housing units may submit an application to HUD to convert some or all of their public housing units to long- term, project-based Section 8 HAP contracts under either:
Project-based rental assistance (PBRA) under HUD’s Office of Multifamily Housing Programs. Project-based vouchers (PBVs) under HUD’s Office of Public and Indian Housing (PIH).
This chapter will focus on public housing conversions to the PBV program under RAD. In order to distinguish between requirements for public housing conversion under RAD and PBV units under the standard PBV program, we will refer to the standard PBV program and the RAD PBV program.
18-I.B. APPLICABLE REGULATIONS
On the whole, the regulations for both the standard and RAD PBV programs generally follow the regulations for the tenant-based HCV program found at 24 CFR Part 982. However, important parts of the tenant-based regulations do not apply to the project-based program. 24 CFR Part 983 outlines the sections of 24 CFR Part 982 that are not applicable to the project-based program.
For the RAD PBV program, Congress authorized HUD to waive certain statutory and regulatory provisions or establish alternative requirements from the standard PBV program. These provisions are identified in Notice 2019-23 (issued September 5, 2019). Any non-RAD PBV units located in the covered project are subject to the same waivers and alternative requirements where noted in Notice PIH 2019-23 and in this policy.
Otherwise, all regulatory and statutory requirements for the standard PBV program in 24 CFR Part 983 and Section 8(o)(13) of the Housing Act of 1937, and all applicable standing and subsequent Office of Public and Indian Housing (PIH) notices and guidance, including related handbooks, apply to RAD PBV.
This includes environmental review, Davis-Bacon, and fair housing requirements.
RAD is authorized by the Consolidated and Further Continuing Appropriations Act of 2012 (Public Law 112-55, approved November 18, 2011), as amended by the Consolidated Appropriations Act of 2014 (Public Law 113-76, approved January 17, 2014), and the Consolidated and Further Continuing Appropriations Act of 2015 (Public Law 113-235, approved December 6, 2014), the Consolidated Appropriations Act of 2016 (Public Law 114-113, approved December 18, 2015) ), the Consolidated Appropriations Act, 2017 (Public 726
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Law115-31, approved May 5, 2017), and section 237 of Title II, Division L, Transportation, Housing and Urban Development, and Related Agencies, of the Consolidated Appropriations Act, 2018 (Public Law 115-141, approved March 23, 2018) collectively, the “RAD Statute.” Requirements specific to the RAD program may be found in the following:
• Generally, public housing projects converting assistance under RAD are bound by the terms of the notice in effect at the time of closing. For all conversion types, HUD reserves the right, in its sole discretion and upon request from the applicant, to apply provisions from previous versions of this notice to program participants that are near conversion.
- Notice PIH 2023-19 amends Notice PIH 2019-23 and Notice PIH 2021-07, and was effective immediately.
- Notice PIH 2019-23 was immediately applicable at the time of closing to all projects converting assistance (notwithstanding execution of a commitment for conversion).
- Notice PIH 2019-23 was published on September 5, 2019. - Except with respect to changes in the project eligibility and selection criteria, not included in this policy, which are effective after a 30-day comment period. - Notice PIH 2012-32, REV-3 was applicable to projects that were seeking conversion of assistance through RAD, including those where a CHAP had already been issued when it was published January 12, 2017.
- Except with respect to changes in the project eligibility and selection criteria, not included in this policy, which were effective after a 30-day comment period.
- Notice PIH 2012-32, REV-2, was applicable to projects that were seeking conversion of assistance through RAD, including those where a CHAP had already been issued when it was published June 15, 2015.
- Except with respect to changes in the project eligibility and selection criteria, not included in this policy, which are effective after a 30-day comment period.
• RAD Quick Reference Guide for Public Housing Converting to PBV Assistance (6/20)
• RAD Welcome Guide for New Awardees: RAD 1st Component (3/15) 727
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• Notice PIH 2016-17, Rental Assistance Demonstration (RAD) Notice Regarding Fair Housing and Civil Rights Requirements and Relocation Requirements Applicable to RAD First Component – Public Housing Conversions.
- This Notice applies to all projects that have applied for RAD conversion but have not yet converted as of November 10, 2016. • Notice PIH 2014-17, Relocation Requirements under the RAD Program, Public Housing in the
First Component.
- This notice may apply to projects that have converted to RAD prior to November 10, 2016, AND who have requested and received approval from HUD to be governed by this notice. See PIH Notice 2016-17, Section 1, Paragraph 1.3 for applicability.
NOTE: The policies in this chapter follow Notice PIH 2016-17. If your project falls under PIH 2014-17, applicable policies may be found in Section 18-I.D.
RAD FAQs (http://www.radresource.net/search.cfm)
In other words, the standard PBV program follows many of the same regulations as the tenant- based HCV program, but not all of them, and the RAD PBV program follows many of the same regulations as the standard PBV program, but not all of them.
MTW agencies are able to apply activities impacting the PBV program that are approved in the MTW Plan to properties converting under RAD, provided they do not conflict with RAD requirements.
18-I.C. TENANT-BASED VS. PROJECT-BASED VOUCHER ASSISTANCE [24 CFR 983.2]
Much of the tenant-based voucher program regulations also apply to the PBV program. Consequently, many of the PHA policies related to tenant-based assistance also apply to RAD PBV assistance. The provisions of the tenant- based voucher regulations that do not apply to the PBV program are listed at 24 CFR 983.2.
HACP Policy:
Except as otherwise noted in this chapter, or unless specifically prohibited by PBV program regulations, the HACP policies for the tenant-based voucher program contained in this administrative plan also apply to the Formatted: Indent: Left: 0.5", First line: 0", Line
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RAD PBV program and its participants. This chapter is intended to address requirements specific to the RAD PBV program only. 18-I.D. RELOCATION REQUIREMENTS [NOTICE PIH 2016-17]
For projects that apply for conversion of assistance under the First Component of RAD and will convert November 10, 2016 or later, the following applies [Notice PIH 2016-17]:
• In some developments, in-place residents may need to be relocated as a result of properties undergoing repairs, being demolished and rebuilt, or when assistance is transferred from one site to another. RAD program rules prohibit the permanent, involuntary relocation of residents as a result of conversion.
Residents that are temporarily relocated retain the right to return to the project once it has been completed. Any non-RAD PBV units located in the same project are also subject to the right to return.
• Relocation assistance provided to residents will vary depending on the length of time relocation is required. Residents must be properly notified in advance of relocation requirements in accordance with RAD program rules and Uniform Relocation Act (URA) requirements, and other requirements which may be applicable such as Section 104(d) of the Housing and Community Development Act of 1974, as amended. Sample informing notices are provided in Appendices 2–5 of Notice PIH 2014-17. A written relocation plan is required if the RAD conversion involves permanent relocation (including a move in connection with a transfer of assistance) or temporary relocation anticipated to last longer than a year. While the PHA is not required to have a written relocation plan for temporary relocation lasting one year or less, HUD strongly encourages PHAs to prepare one. Appendix II of Notice PIH 2016-17 contains recommended contents for a relocation plan.
• In addition, PHAs must undertake a planning process that complies with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (URA), although not all relocations under RAD will trigger requirements under URA. URA statute and implementing regulations may be found at 49 CFR Part 24. The obligationobligations due to relocating residents under RAD are broader than URA relocation assistance and payments. • Any residents that may need to be temporarily relocated to facilitate rehabilitation or construction will have a right to return to either: a) a unit at the development once rehabilitation or construction is completed, provided the resident’s household is not under-housed; or b) a unit in the development which provides the same major features as the resident’s unit in the development prior to the implementation of the RAD conversion.
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• Where the transfer of assistance to a new site is warranted and approved, residents of the converting development will have the right to reside in an assisted unit at the new site once rehabilitation or construction is complete. • If the PHA’s proposed plans for conversion would preclude a resident from returning to the development, the resident must be given an opportunity to comment and/or object to such plans. PHAs must alter the project plans to accommodate the resident’s right to return to the development if the resident would be precluded from returning to the development.
• Examples of project plans that may preclude a resident from returning to the development include, but are not limited to:
- Changes in the development’s bedroom distribution that decrease the size of the units, resulting in the resident being under-housed; - The resident cannot be accommodated in the remaining assisted units due to a reduction in the number of assisted units at the development; - Income limit eligibility requirements associated with the LIHTC program or another program; and
- Failure to provide a reasonable accommodation, in violation of applicable law, where reasonable accommodation may include installation of accessibility features that are needed by the resident.
• Residents of a development undergoing conversion that would be precluded from returning to the development may voluntarily accept a PHA or owner’s offer to permanently relocate to alternative housing, and thereby waive their right to return to the development after rehabilitation or construction is completed. In this event, the PHA must secure the resident’s written consent to a voluntary permanent relocation in lieu of returning to the development.
PHAs are prohibited from employing any tactics to pressure residents into relinquishing their right to return or accepting other housing options.
Additionally, a PHA may not terminate a resident’s lease if the PHA fails to obtain the resident’s consent and the resident seeks to exercise the right to return.
• In the case of multi-phase RAD transactions, the resident has a right to return to the development or to other converted phases of the development that are available for occupancy at the time the resident is eligible to exercise their right of return. Generally, the resident’s right to return must be accommodated within the development associated with the resident’s original unit, however, the PHA may treat multiple converted developments on the same site as one for purposes of right to return. Should the PHA seek to have the resident exercise the right to return at a future phase, the PHA must secure the resident’s consent in writing. 730
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• Alternative housing options may involve a variety of housing options, including but not limited to:
- Transfers to public housing
- Admission to other affordable housing properties subject to the applicable program rules - Housing choice voucher (HCV) assistance - Homeownership programs subject to the applicable program rules - Other options identified by the PHA
However, for projects that applied for conversion prior to November 10, 2016, the following applies [Notice PIH 2014-17]:
• In some developments, in-place residents may need to be relocated as a result of properties undergoing repairs, being demolished and rebuilt, or when assistance is transferred from one site to another. RAD program rules prohibit the permanent, involuntary relocation of residents as a result of conversion.
Residents that are temporarily relocated retain the right to return to the project once it has been completed.
• Relocation assistance provided to residents will vary depending on the length of time relocation is required. Residents must be properly notified in advance of relocation requirements in accordance with RAD program rules and Uniform Relocation Act (URA) requirements. Sample informing notices are provided in Appendices 2–5 of Notice PIH 2014-17. While the PHA is not required to have a written relocation plan, HUD strongly encourages PHAs to prepare one.
Appendix I of Notice PIH 2014-17 contains recommended contents for a relocation plan.
• In addition, PHAs must undertake a planning process that complies with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (URA), although not all relocations under RAD will trigger requirements under URA. URA statute and implementing regulations may be found at 49 CFR Part 24.
• Any residents that may need to be temporarily relocated to facilitate rehabilitation or construction will have a right to return to an assisted unit at the development once rehabilitation or construction is completed. Where the transfer of assistance to a new site is warranted and approved, residents of the converting development will have the right to reside in an assisted unit at the new site once rehabilitation or construction is complete. Residents of a development undergoing conversion of assistance may voluntarily accept a PHA or owner’s offer to permanently relocate to another assisted unit, and thereby waive their right to return to the development after rehabilitation or construction is completed. 731
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18-I.E. EQUAL OPPORTUNITY REQUIREMENTS [24 CFR 983.8; 24 CFR
5.105; NOTICE PIH 2016-17]
RAD conversions are governed by the same civil rights authorities that govern HUD-assisted activities in general. These authorities prohibit discrimination and impose affirmative obligations on HUD program participants. PHAs must comply with all applicable fair housing and civil rights laws, including but not limited to the Fair Housing Act, Title VI of the Civil Rights Act of 1964, and Section 504 of the Rehabilitation Act of 1973, when conducting relocation planning and providing relocation assistance. For example, persons with disabilities returning to the RAD project may not be turned away or placed on a waiting list due to a lack of accessible units. Their need for an accessible unit must be accommodated. See the RAD Fair Housing, Civil Rights, and Relocation Notice [Notice PIH 2016-17] for more information.
PART II: PBV PROJECT SELECTION 18-II.A.
OVERVIEW
Unlike in the standard PBV program where the PHA typically selects the property through an owner proposal selection process, projects selected for assistance under RAD PBV are selected in accordance with the provisions in Notice PIH 2019
-23. Therefore, 24 CFR 983.51 does not apply since HUD selects RAD properties through a competitive selection process.
18-II.B. OWNERSHIP AND CONTROL [NOTICE PIH 2019-23]
For projects governed by Notice PIH 2019-23, the following language applies: • Under the PBV program, the contract administrator and the owner listed on the contract cannot be the same legal entity (i.e., the PHA cannot execute a contract with itself). To avoid this situation, the PHA may either:
1) Transfer the ownership of the project to a nonprofit affiliate or instrumentality of the PHA (including to a “single-purpose entity” that owns nothing other than the property, which will typically be a requirement of a lender or investor), or 2) The PHA can form a related entity that is responsible for management and leasing and can serve as the owner for purposes of the Section 8 HAP contract; in this scenario, the HAP is then executed between the PHA (as the contract administrator) and the PHA’s related entity (as the owner for HAP contract purposes).
Note that in the second scenario, both the PHA and the entity serving as the owner for HAP contract purposes will be required to sign the RAD Use Formatted: Underline
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Agreement [RAD Resource Desk FAQ 01/24/19].
• Except where permitted to facilitate the use of low-income housing tax credits, during both the initial term and renewal terms of the HAP contract, ownership must be by a public or non-profit entity. HUD may also allow ownership of the project to be transferred to a tax credit entity controlled by a for-profit entity to facilitate the use of tax credits for the project, but only if HUD determines that the PHA or a nonprofit entity preserves an interest in the profit. The requirement for a public or non-profit entity, or preservation of an interest by a PHA or nonprofit in a property owned by a tax credit entity controlled by a for-profit entity, is satisfied if a public or non-profit entity (or entities), directly or through a wholly-owned affiliate
(1) holds a fee simple interest in the property.
(2) is the lessor under a ground lease with the property owner; (3) has the direct or indirect legal authority to direct the financial and legal interest of the property owner with respect to the RAD units, (4) owns 51 percent or more of the general partner interests in a limited partnership or 51 percent or more of the managing member interests in a limited liability company with all powers of a general partner or managing member, as applicable.
(5) owns a lesser percentage of the general partner or managing member interests and holds certain control rights as approved by HUD. (6) owns 51 percent or more of all ownership interests in a limited partnership or limited liability company and holds certain control rights as approved by HUD; or (7) demonstrates other ownership and control arrangements approved by HUD. • Control may be established through the terms of the project owner’s governing documents or through a Control Agreement, provided that in either case amendment of the terms of control requires consent from HUD. For projects subject to the requirements of Notice PIH 2012-32, REV-3, the following language applies:
• Except where permitted to facilitate the use of low-income housing tax credits, during both the initial term and renewal terms of the HAP contract, ownership must be by a public or nonprofit entity. The requirement for a public or nonprofit entity is satisfied if a public or nonprofit entity (or entities), directly or through a wholly owned affiliate
(1) holds a fee simple interest in the property.
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(2) is the lessor under a ground lease with the property owner. (3) has the direct or indirect legal authority to direct the financial and legal interest of the property owner with respect to the RAD units, (4) owns 51 percent or more of the general partner interests in a limited partnership or 51 percent or more of the managing member interests in a limited liability company with all powers of a general partner or managing member, as applicable,
(5) owns a lesser percentage of the general partner or managing member interests and holds certain control rights as approved by HUD, (6) owns 51 percent or more of all ownership interests in a limited partnership or limited liability company and holds certain control rights as approved by HUD; or (7) other ownership and control arrangements approved by HUD. • If low-income housing tax credits will be used, HUD may allow ownership of the property to be transferred to a tax credit entity controlled by a for-profit entity if HUD determines that the PHA preserves its interest in the property. Preservation of PHA interest in the property includes but is not limited to the following:
- The PHA, or an affiliate under its sole control, is the general partner or managing member.
- The PHA retains fee ownership and leases the real estate to the tax credit entity pursuant to a long-term ground lease;
- The PHA retains control over leasing the property and determining program eligibility.
- The PHA enters into a control agreement by which the PHA retains consent rights over certain acts of the project owner and retains certain rights over the project.
- Other means that HUD finds acceptable For projects that converted assistance prior to the implementation of Notice PIH 2012-32, REV-3, the following language applies:
• During both the initial term and renewal terms of the HAP contract, ownership must be either of the following:
- A public or nonprofit entity that has legal title to the property. The entity must have the legal authority to direct the financial, legal, beneficial, and other interests of the property; or
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- A private entity, if the property has low-income tax credits. The PHA must maintain control via a ground lease.
18-II.C. PHA-OWNED UNITS [24 CFR 983.59, FR NOTICE 1/18/17, AND NOTICE PIH 2017-21]
If the project is PHA-owned, rent-setting and inspection functions set out in 24 CFR 983.59 must be conducted by an independent entity approved by HUD.
The definition of ownership or control provided under Notice PIH 2019-23 (listed above) is used specifically to determine whether a PHA retains control over a project for purposes of HUD’s requirement for ownership or control of the covered project under RAD. For purposes of determining whether an independent entity will perform certain functions for the project, the definition of PHA-owned under Notice PIH 2017-21 is used. This is the same definition used for standard PBV units. In some cases, a project may meet the RAD definition of ownership or control but may not be considered PHA-owned for purposes of requiring an independent entity.
The independent entity that performs the program services may be the unit of general local government for the PHA jurisdiction (unless the PHA is itself the unit of general local government or an agency of such government), or another HUD-approved public or private independent entity.
The PHA may compensate the independent entity from PHA ongoing administrative fee income (including amounts credited to the administrative fee reserve). The PHA may not use other program receipts to compensate the independent entity for its services. The PHA, and the independent entity, may not charge the family any fee for the services provided by the independent entity.
HACP Policy:
If units converted to PBV under RAD are PHA-owned housing, HACP will use a standard or high performer housing authority in or adjacent to Contra Costa County as the HUD approved
independent entity.
18-II.D. SUBSIDY LAYERING REQUIREMENTS [NOTICE PIH 2019-23; NOTICE PIH 2012-32, REV-3; NOTICE PIH 2012-32, REV-2]
For projects governed by Notice PIH 2019-23, the following language applies:
• In the case of a PHA that will no longer have ACC units as a result of the pending or simultaneous closing or have less than 50 units remaining and Formatted: Indent: Left: 1", First line: 0"
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have initiated procedures to dispose of their final ACC units, there is no restriction on the amount of public housing funds that may be contributed to the covered project or projects though the conversion. However, the PHA must estimate and plan for outstanding liabilities and costs and must follow Notice PIH 2016-23 or successor notice regarding administrative activities required to terminate the ACC if it has no plans to develop additional public housing.
• In the case where the PHA will continue to maintain other units in its inventory under a public housing ACC, a contribution of operating funds to the covered project that exceeds the average amount the project has held in operating reserves over the past three years will trigger a subsidy layering review under 24 CFR 4.13. Similarly, any contribution of capital funds, including Replacement Housing Factor (RHF) or Demolition Disposition Transitional Funding (DDTF), will trigger a subsidy layering review. Notwithstanding the subsidy layering review, PHAs should be mindful of how the capital funds or operating reserves used in the financing of its RAD properties may impact the physical and financial health of properties that will remain in its public housing inventory. • Following execution of the HAP contract, PHAs are authorized to use operating and capital funds to make HAP payments for the remainder of the first calendar year in which the HAP contract is effective. Otherwise, a PHA may not contribute public housing program funds to the covered project unless those funds have been identified in the RCC and converted at closing for Section 8 RAD purposes.
For projects governed by Notice PIH 2012-32, REV-3, the following language applies:
• In the case of a PHA that is converting all of its ACC units, there is no restriction on the amount of public housing funds that may be contributed to the covered project at closing; the PHA may convey all program funds to the covered projects. In order to cover the cost of administrative activities required to terminate the ACC, once it no longer has units under the ACC and has no plans to develop additional public housing, the PHA may:
- Designate that a reserve associated with the project be available to fund any public housing closeout costs (such as an operating deficit reserve or a specific PHA closeout reserve). Any funds not needed for public housing closeout costs would remain in such reserve or may be transferred to another reserve associated with the project (such as the replacement reserve). Thereafter, these funds may be used at the project pursuant to the authorized use of the applicable reserve; or 736
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- Retain funds under the public housing program for this purpose.
However, HUD will recapture any public housing funds that a PHA does not expend for closeout costs.
• In the case where the PHA will continue to maintain other units in its inventory under a public housing ACC, a contribution of operating funds to the covered project that exceeds the average amount the project has held in operating reserves over the past three years will trigger a subsidy layering review under 24 CFR 4.13. Similarly, any contribution of capital funds, including Replacement Housing Factor (RHF) or Demolition Disposition Transitional Funding (DDTF), will trigger a subsidy layering review. Notwithstanding the subsidy layering review, PHAs should be mindful of how the capital funds or operating reserves used in the financing of its RAD properties may impact the physical and financial health of properties that will remain in its public housing inventory. • In addition, following execution of the HAP contract, PHAs are authorized to use operating and capital funds to make HAP payments for the remainder of the first calendar year in which the HAP contract is effective.
Otherwise, a PHA may not contribute public housing program funds to the covered project unless such funding has been identified in the approved financing plan and included in the approved “sources and uses” attached to the RCC.
For projects governed by the requirements of Notice PIH 2012-32, REV-2, the following language applies:
• In the case of a PHA that is converting all of its ACC units, there is no restriction on the amount of public housing funds that may be contributed to the covered project at closing; the PHA may convey all program funds to the covered project. HUD will recapture any public housing funds that a PHA has not expended once it no longer has units under ACC. In the case where the PHA will continue to maintain other units in its inventory under a public housing ACC, a contribution of operating funds to the covered project that exceeds the average amount the project has held in operating reserves over the past three years will trigger a subsidy layering review under 24 CFR 4.13. Similarly, any contribution of capital funds, including Replacement Housing Factor (RHF) or Demolition Disposition Transitional Funding (DDTF), will trigger a subsidy layering review. Notwithstanding the subsidy layering review, PHAs should be mindful of how the capital funds or operating reserves used in the financing of its RAD properties may impact the physical and financial health of properties that will remain in its public housing inventory.
18-II.E. PBV PERCENTAGE LIMITATION AND UNIT CAP [NOTICE PIH 2019-23] and Notice PIH 2023-19]
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PBV Percentage Limitation
Covered projects do not count against the maximum amount of assistance a PHA may utilize for the PBV program, which under the standard PBV program is set at 20 percent of the authorized units allocated to a PHA under the HCV program. The number of PBV units excluded from the PHA’s PBV program cap cannot exceed the number of former public housing units that those PBV units are replacing through the course of the RAD conversion. All PBV units in a covered project that replace former public housing units at the time of conversion are excluded from both the numerator and the denominator when calculating the percent of vouchers that may be project-based by a PHA. To implement this provision, HUD is waiving section 8(o)(13)(B) of the 1937 Act as well as 24 CFR 983.6.
Unit Cap Limitation
When HUD published REV-3 of Notice PIH 2012
-32, the cap on the
number of assisted units in each project was eliminated. Under the standard PBV program the cap is set at the greater of 25 units or 25 percent of the units in the project. HUD is waiving this requirement, and projects governed by Notice PIH 2019-23 and Notice PIH 2012-32, REV-3 have no cap on the number of units that may receive PBV assistance in a project.
However, for projects that are governed by REV-2 of Notice PIH 2012-32, the cap on the number of PBV units in the project is increased to 50 percent. In these projects, however, provided units met certain exception criteria, the PHA may have converted a larger number of units to RAD PBV. For projects governed by the requirements of Notice PIH 2012-32, REV-2 only, the following language applies:
• In general, the PHA may not provide PBV assistance for units in a project if the total number of dwelling units in the project that will receive PBV assistance during the term of the PBV HAP contract is more than 50 percent of the number of dwelling units (assisted or unassisted) in the project. However, PHAs may exceed the 50 percent limitation when units in the project are occupied by elderly and/or disabled families or families that will receive supportive services. These units are known as “excepted units” and do not count toward the project cap.
• For projects governed by the requirements of Notice PIH 2012-32, REV- 2 choosing to include excepted units, additional policy decisions may be required.
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For projects governed by Notice PIH 2012-32, REV-2, the PHA will not provide RAD PBV assistance for any excepted units.
18-II.F. SITE SELECTION STANDARDS [NOTICE PIH 2019-23; NOTICE PIH 2016-17]
Site selection requirements set forth in 24 CFR 983.57 apply to RAD PBV, with the exception of 983.57(b)(1) and (c)(2). HUD waives the provisions regarding deconcentration of poverty and expanding housing and economic opportunity for existing housing sites.
To facilitate the uniform treatment of residents and units, any non-RAD PBV units located in the same project are subject to the terms of this provision.
HUD will conduct a front-end civil rights review of the PHA’s proposed site in certain circumstances. For RAD PBV conversions that involve new construction located in an area of minority concentration (whether on the existing public housing site or on a new site) HUD will determine whether it meets one of the exceptions that would allow for new construction in an area of minority concentration.
The PHA must ensure that its RAD PBV conversion, including any associated new construction, is consistent with its certification to affirmatively further fair housing and complies with civil rights laws. 18-II.G. ENVIRONMENTAL REVIEW [NOTICE PIH 2019-23;
ENVIRONMENTAL REVIEW REQUIREMENTS FOR RAD
CONVERSIONS, MARCH 2019]
HUD cannot approve an applicant’s financing plan submission unless and until the required environmental review has been completed for the applicant’s proposed conversion project and found to meet environmental review requirements. Environmental documents must be submitted no later than the applicant’s financing plan. HUD will not issue a RAD Conversion Commitment (RCC) if the project plan does not meet the environmental review requirements described in Attachment 1A of Notice PIH 2019-23. Once an awardee has submitted an application for a specific project, they may not make any choice limiting actions before the completion of the environmental review.
PART III: DWELLING UNITS 18-III.A. OVERVIEW
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RAD PBV program, housing accessibility for persons with disabilities, and special procedures for conducting housing qualityNSPIRE standards inspections.
18-III.B. HOUSING QUALITYNATIONAL STANDARDS FOR THE
PHYSICAL INSPECTION OF REAL ESTATE (NSPIRE) [24 CFR
983.101] and 24 CFR 5.703]
The housing qualityNSPIRE standards (HQS) for the tenant-based program generally apply to the PBV program. HQSNSPIRE requirements for shared housing, manufactured home space rental, and the homeownership option do not apply because these housing types are not assisted under the PBV program.
The physical condition standards at 24 CFR 5.703 do not apply to the PBV program.
Lead-based Paint [24 CFR 983.101(c); Notice PIH 2019-23] The lead-based paint requirements for the tenant-based voucher program do not apply to the PBV program. Instead, The Lead
-based Paint
Poisoning Prevention Act (42 U.S.C. 4821-4846), the Residential Lead- based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851-4856), and implementing regulations at 24 CFR part 35, subparts A, B, H, and R, apply to the PBV program.
18-III.C. HOUSING ACCESSIBILITY FOR PERSONS WITH
DISABILITIES [NOTICE PIH 2016-17]
Federal accessibility requirements apply to all conversions, whether they entail new construction, alternations, or existing facilities. The housing must comply with program accessibility requirements of section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing regulations at 24 CFR part 8. The PHA must ensure that the percentage of accessible dwelling units complies with the requirements of section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), as implemented by HUD's regulations at 24 CFR 8, subpart C.
Housing first occupied after March 13, 1991, must comply with design and construction requirements of the Fair Housing Amendments Act of 1988 and implementing regulations at 24 CFR 100.205, as applicable. (24 CFR 983.102)
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18-III.D. INSPECTING UNITS
Initial Inspection [RAD Quick Reference Guide; Notice PIH 2019-23] , , and Notice PIH 2023-19]
Under standard PBV regulations at 24 CFR 983.103(b), a PHA may not enter into a HAP contract until the PHA has determined all units comply with HQS.NSPIRE standards. It is the responsibility of the contract administrator to perform this initial inspection (unless units are PHA- owned). In order to accommodate projects in which repairs are conducted, however, HUD has waived this requirement when units are undergoing rehabilitation. In this case, units must meet HQS by the date indicated in the RAD Conversion Commitment (RCC). In this case, units must meet NSPIRE standards by the date indicated in the RAD Conversion Commitment (RCC). To place the unit under HAP contract and commence making payments, the PHA may rely on the owner’s certification that the owner has no reasonable basis to have knowledge that life-threatening conditions exist in the unit or units to be added to the HAP contract instead of conducting an initial inspection. During the period of the work, NSPIRE requirements apply. The PHA must enforce the project owner’s obligations and conduct inspections when needed, (for example in response to tenant complaints or other information coming to its attention), and the owner must correct any deficiencies in accordance with NSPIRE requirements (i.e., no more than 24 hours for a life-threatening deficiency, and within no more than 30 calendar days or any PHA-approved extension for other defects, but no later than the date of the completion of the work as indicated in the RCC).
Turnover Inspections [24 CFR 983.103(c), FR Notice 1/18/17, and Notice PIH 2017-20]
Before providing assistance to a new family in a contract unit, the PHA must inspect the unit. The PHA may not provide assistance on behalf of the family until the unit fully complies with HQSNSPIRE.
Annual/Biennial Inspections [24 CFR 983.103(d); FR Notice 6/25/14] At least once every 24 months (or once every 36 months for small rural PHAs) during the term of the HAP contract, the PHA must inspect a random sample consisting of at least 20 percent of the contract units in each building, to determine if the contract units and the premises are maintained in accordance with HQSNSPIRE. Turnover inspections are not counted toward meeting this inspection requirement.
HACP Policy:
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to determine if the contract units and the premises are maintained in accordance with HQSNSPIRE.
If more than 20 percent of the sample of inspected contract units in a building fail the initial inspection, the PHA must reinspect 100 percent of the contract units in the building.
Alternative Inspections [24 CFR 983.103(g); Notice PIH 2016-05] In the case of mixed-finance properties that are subject to alternative inspections, the PHA may rely upon an alternative inspection conducted at least triennially to demonstrate compliance with inspection requirements.
HACP Policy:
HACP willmay not rely on alternative inspection standards.
Other Inspections [24 CFR 983.103(e)]
The PHA must inspect contract units whenever needed to determine that the contract units comply with HQSNSPIRE, and that the owner is providing maintenance, utilities, and other services in accordance with the HAP contract. The PHA must take into account complaints and any other information coming to its attention in scheduling inspections.
The PHA must conduct follow-up inspections needed to determine if the owner (or, if applicable, the family) has corrected an HQS violationNSPIRE deficiency, and must conduct inspections to determine the basis for exercise of contractual and other remedies for owner or family violation of HQSNSPIRE standards.
In conducting PHA supervisory quality control HQS inspections, the PHA should include a representative sample of both tenant-based and project- based units.
Inspecting PHA-Owned Units [24 CFR 983.103(f); Notice PIH 2017-21] In the case of PHA-owned units, all required inspections must be performed by an independent entity designated by the PHA and approved by HUD. The independent entity must furnish a copy of each inspection report to the PHA and to the HUD field office where the project is located.
The PHA must take all necessary actions in response to inspection reports from the independent agency, including exercise of contractual remedies for violation of the HAP contract by the PHA-owner.
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PART IV: HOUSING ASSISTANCE PAYMENTS (HAP) CONTRACT 18- IV.A. OVERVIEW [RAD PBV QUICK REFERENCE GUIDE 06/20]
Public housing projects converting under RAD do not employ the PBV Agreement to Enter into a Housing Assistance Payments (AHAP) contract.
Instead, following the execution of all requirements contained in the Commitment to Enter into a HAP (CHAP) contract and the RAD Conversion Commitment (RCC), a project is converted immediately to the RAD PBV HAP contract following the closing of any construction financing. Owners of public housing projects converted to PBV assistance via RAD enter into a HAP contract with the PHA that will administer the PBV assistance. Units assisted under a RAD PBV HAP contract must be subject to long-term, renewable use and affordability restrictions. 18-IV.B. HAP CONTRACT REQUIREMENTS Contract Information [RAD PBV Quick Reference Guide (06/20); Notice PIH 2019-23] The RAD PBV program uses the PBV HAP contract for new construction or rehabilitated housing (Form HUD-52530A), as modified by the RAD rider (Form HUD-52621). For closings on or after January 1, 2018, HUD incorporated the RAD rider directly into the standard PBV HAP contract.
For closing that occurred prior to January 1, 2018, the RAD rider must be attached to the PBV HAP contract.
The distinction between “existing housing” and “rehabilitated and newly constructed housing” is overridden by RAD requirements. The project must also have an initial RAD use agreement. All public housing RAD conversion properties financed with LIHTC are also required to include an LIHTC rider.
Execution and Effective date of the HAP Contract [RADBlast! 7/11/16] RAD PBV projects do not employ an Agreement to Enter into a Housing Assistance Payments (AHAP) contract like in the standard PBV program.
Rather, when the conditions of the CHAP and the RCC are met and the conversion has closed, the PHA executes the HAP contract. Project owners may select the effective date of the HAP contract as the first day of either of the two months following the completed closing.
Term of HAP Contract [Notice PIH 2019-23]
The initial term of the HAP contract may not be for less than 15 years and may be for a term of up to 20 years upon request of the owner and with Formatted: Underline
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approval of the administering voucher agency. Upon expiration of the initial term of the contract, and upon each renewal term of the contract, the owner must accept each offer to renew the contract, for the prescribed number and mix of units, either on the site of the project subject to the expiring contract or, upon request of the project owner and subject to PHA and HUD approval, at another site through a future transfer of assistance.
Contracts are subject to the terms and conditions applicable at the time of each offer, and further subject to the availability of appropriations for each year of each such renewal. To implement this provision, is waiving section 8(o)(13)(F) of The United States Housing Act of 1937, which permits a minimum term of one year, as well as 24 CFR 983.205(a), which governs the contract term.
Agreement to Enter into a HAP (AHAP) Contract [Notice PIH 2019-23] For public housing conversions to PBV, there will be no agreement to enter into a Housing Assistance Payments (AHAP) contract. Therefore, all regulatory references to the Agreement (AHAP), including regulations under 24 CFR Part 983 Subpart D, are waived. The definitions for proposal selection date, new construction, rehabilitation, and existing housing are not applicable.
Mandatory Contract Renewal [Notice PIH 2019-23]
By statue, upon contact expiration, the agency administering the vouchers will offer, and the PHA will accept, renewal of the contract for the prescribed number and mix of units, either on the site of the project subject to the expiring contract or, upon request of the project owner and subject to PHA and HUD approval, at another site through a future transfer of assistance. The contract is subject to the terms and conditions applicable at the time of renewal and the availability of appropriations each year for such renewal. Consequently 24 CFR 983.205(b), governing the PHA discretion to renew the contract, will not apply.
In the event that the HAP contract is removed due to breach, non- compliance or insufficiency of appropriations, for all units previously covered under the HAP contract, new tenants must have incomes at or below 80 percent of the area median income at the time of admission and rents may not exceed 30 percent of 80 percent of median income for an appropriate size unit for the remainder of the term of the RAD use agreement.
Remedies for HQS ViolationsNSPIRE Deficiencies [24 CFR
983.208(b)]
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during any period in which the unit does not comply with HQSNSPIRE. If the PHA determines that a contract unit does not comply with HQSNSPIRE standards, the PHA may exercise any of its remedies under the HAP contract, for any or all of the contract units. Available remedies include termination of housing assistance payments, abatement or reduction of housing assistance payments, reduction of contract units, and termination of the HAP contract.
HACP Policy:
HACP will abate and terminate PBV HAP contracts for
noncompliance with HQSNSPIRE in accordance with the policies used in the tenant-based voucher program. These policies are contained in Section 8-II.G., Enforcing Owner Compliance. 18-IV.C. AMENDMENTS TO THE HAP CONTRACT
Floating Units [Notice PIH 2019
-23]
Upon request of the owner to the voucher agency that will administer the project, HUD will permit assistance to float among units within the project that are the same bedroom size. The unit to which assistance is floated must be comparable to the unit being replaced in quality and amenities.
If the PHA chooses to float units, units are not specifically identified on the HAP contract, rather the HAP contract must specify the number and type of units in the property that are RAD PBV units. The property must maintain the same number and type of RAD units from the time of the initial HAP contract execution forward.
HACP Policy:
HACP will not float assistance among unoccupied units within the project.
Reduction in HAP Contract Units [Notice PIH 2019-23]
Project owners are required to make available for occupancy by eligible tenants the number of assisted units under the terms of the HAP contract.
The PHA may not reduce the number of assisted units without written HUD approval. Any HUD approval of a PHA’s request to reduce the number of assisted units under contract is subject to conditions that HUD may impose.
MTW agencies may not alter this requirement.
If units are removed from the HAP contract because a new admission’s TTP comes to equal or exceed the gross rent for the unit and if the project is fully assisted, the PHA must reinstate the unit after the family has vacated the 745
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property. If the project is partially assisted, the PHA may substitute a different unit for the unit on the HAP contract in accordance with 24 CFR 983.207, or where the development has “floating”.
18-IV.D. HAP CONTRACT YEAR AND ANNIVERSARY DATES [24 CFR 983.302(E)]
The HAP contract year is the period of 12 calendar months preceding each annual anniversary of the HAP contract during the HAP contract term. The initial contract year is calculated from the first day of the first calendar month of the HAP contract term.
The annual anniversary of the HAP contract is the first day of the first calendar month after the end of the preceding contract year. There is a single annual anniversary date for all units under a particular HAP contract. 18-IV.E. OWNER RESPONSIBILITIES UNDER THE HAP CONTRACT [24 CFR 983.210]
When the owner executes the HAP contract, they certifies that at such execution and at all times during the term of the HAP contract:
• All contract units are in good condition and the owner is maintaining the premises and contract units in accordance with HQS;NSPIRE standards; • The owner is providing all services, maintenance, equipment, and utilities as agreed to under the HAP contract and the leases;
• Each contract unit for which the owner is receiving HAP is leased to an eligible family referred by the PHA, and the lease is in accordance with the HAP contract and HUD requirements;
• To the best of the owner’s knowledge, the family resides in the contract unit for which the owner is receiving HAP, and the unit is the family’s only residence; • The owner (including a principal or other interested party) is not the spouse, parent, child, grandparent, grandchild, sister, or brother of any member of a family residing in a contract unit;
• The amount of the HAP the owner is receiving is correct under the HAP contract;
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comparable unassisted units;
• Except for HAP and tenant rent, the owner has not received and will not receive any other payment or consideration for rental of the contract unit; • The family does not own or have any interest in the contract unit (this does not apply to the family’s membership in a cooperative); and • Repair work on the project selected as an existing project that is performed after HAP contract execution within such post-execution period as specified by HUD may constitute development activity, and if determined to be development activity, the repair work undertaken shall be in compliance with Davis-Bacon wage requirements.
18-IV.F. VACANCY PAYMENTS [24 CFR 983.352(B)]
At the discretion of the PHA, the HAP contract may provide for vacancy payments to the owner for a PHA-determined period of vacancy extending from the beginning of the first calendar month after the move-out month for a period not exceeding two full months following the move- out month. The amount of the vacancy payment will be determined by the PHA and cannot exceed the monthly rent to owner under the assisted lease, minus any portion of the rental payment received by the owner, including amounts available from the tenant’s security deposit.
HACP Policy:
HACP will provide vacancy payments to the owner. The HAP contract with the owner will contain the amount of the vacancy payment and the period for which the owner will qualify for these payments.
PART V: SELECTION OF PBV PROGRAM PARTICIPANTS 18-V.A.
OVERVIEW
Many of the provisions of the tenant-based voucher regulations [24 CFR 982] also apply to the PBV program. This includes requirements related to determining eligibility and selecting applicants from the waiting list. Even with these similarities, there are requirements that are unique to the PBV program.
This part describes the requirements and policies related to eligibility and admission to the PBV program.
18-V.B. PROHIBITED RESCREENING OF EXISTING TENANTS UPON CONVERSION [NOTICE PIH 2019-23]
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Current households cannot be excluded from occupancy at the covered project based on any rescreening, income eligibility, or income targeting provisions.
Consequently, current households will be grandfathered for application of any eligibility criteria to conditions that occurred prior to conversion but will be subject to any ongoing eligibility requirements for actions that occur after conversion.
Post-conversion, the tenure of all residents of the covered project is protected pursuant to PBV requirements regarding continued occupancy unless explicitly modified by Notice PIH 2019-23 (e.g., rent phase-in provisions). For example, a unit with a household that was over-income at time of conversion would continue to be treated as an assisted unit. Thus, 24 CFR 982.201, concerning eligibility and targeting, will not apply for current households. Once that remaining household moves out, the unit must be leased to an eligible family. Existing residents at the time of conversion may not be rescreened for citizenship status or have their social security numbers reverified.
Further, so as to facilitate the right to return to the assisted property, this provision must apply to current public housing residents of the converting project that will reside in non-RAD PBV units placed in a project that contain RAD PBV units. Such families and such contract units will otherwise be subject to all requirements of the applicable program, specifically 24 CFR 983 for non-RAD PBV. Any non-RAD PBV units located in the same project are also subject to the right to return.
For the RAD PBV program, in-place family means a family who lived in a pre- conversion property at the time assistance was converted from public housing to PBV under RAD.
18-V.C. ELIGIBILITY FOR PBV ASSISTANCE [24 CFR 983.251(A) AND (B)] Applicants for PBV assistance must meet the same eligibility requirements as applicants for the tenant-based voucher program. Applicants must qualify as a family as defined by HUD and the PHA, have income at or below HUD-specified income limits, and qualify on the basis of citizenship or the eligible immigration status of family members [24 CFR 982.201(a) and 24 CFR 983.2(a)].)] , and meet asset limitation requirements. In addition, an applicant family must provide social security information for family members [24 CFR 5.216 and 5.218] and consent to the PHA’s collection and use of family information regarding income, expenses, and family composition [24 CFR 5.230]. The PHA may also not approve a tenancy if the owner (including a principal or other interested party) of the unit is the parent, child, grandparent, grandchild, sister, or brother of any member of the family, unless needed as a reasonable accommodation. An applicant family must also meet HUD requirements related to current or past criminal activity.
HACP Policy:
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HACP will determine an applicant family’s eligibility for the RAD PBV program in accordance with the policies in Chapter 3.
18-V.D. ORGANIZATION OF THE WAITING LIST [24 CFR 983.251(C); NOTICE PIH 2019-23]
The standard PBV regulations at 24 CFR 983.251 set out program requirements related to establishing and maintaining a voucher-wide, PBV program-wide, or site-based waiting list from which residents will be admitted. These provisions will apply unless the project is covered by a remedial order or agreement that specifies the type of waiting list and other waiting list policies. Any non-RAD PBV units located in the same project are also subject to these requirements.
For any applicants on the public housing waiting list that are likely to be ineligible for admission to a covered project converting to PBV because the household’s TTP is likely to exceed the RAD gross rent, the PHA will consider transferring such household, consistent with program requirements for administration of waiting lists, to PHA’s remaining public housing waiting lists or to another voucher waiting list, in addition to transferring such household to the waiting list for the covered project.
To the extent any wait list relies on the date and time of application, the applicants shall have priority on the wait lists to which their application was transferred in accordance with the date and time of their application to the original waiting list. HACP will maintain the project-specific waiting list in accordance with all applicable civil rights and fair housing regulations found at 24 CFR 903.7(b)(2)(ii)-(iv). HACP will provide applicants full information about each development, including an estimate of the wait time, location, occupancy, number and size of accessible units, and amenities like day care, security, transportation, and training programs at each development with a site-based waiting list. The system for selection will be consistent with all applicable civil rights and fair housing laws and regulations and may not be in conflict with any imposed or pending court order, settlement agreement, or complaint brought by HUD.
HACP will assess any changes in racial, ethnic or disability-related tenant composition at each PHA site that may have occurred during the implementation of the site-based waiting list, based on confirmed and accurate PIC occupancy data. At least every three years, the PHA will use independent testers to assure that the site-based system is not being implemented in a discriminatory manner.
HACP will give priority to participants moving under a VAWA emergency transfer from one PBV development to another in accordance with Section 18-VI.E. 18-V.E. SELECTION FROM THE WAITING LIST [24 CFR 983.251(C)] After conversion to RAD PBV, applicants who will occupy units with RAD PBV 749
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assistance must be selected from the PHA’s waiting list. The PHA may establish selection criteria or preferences for occupancy of particular PBV units.
Income Targeting [24 CFR 983.251(c)(6); Notice PIH 2019-23] At least 75 percent of the families admitted to the PHA’s tenant-based and project-based voucher programs during the PHA fiscal year from the waiting list must be extremely-low-income families. The income targeting requirement applies to the total of admissions to both programs.
Families in place at the time of the conversion are exempt from income targeting requirements. New admissions follow standard PBV requirements. Any non-RAD PBV units located in the same project are also subject to these requirements.
Units with Accessibility Features [24 CFR 983.251(c)(7)] When selecting families to occupy PBV units that have special accessibility features for persons with disabilities, the PHA must first refer families who require such features to the owner.
Preferences [24 CFR 983.251(d); FR Notice 11/24/08; Notice PIH 2019-23] The PHA may use the same selection preferences that are used for the tenant- based voucher program, establish selection criteria or preferences for the PBV program as a whole, or for occupancy of particular PBV developments or units.
HACP Policy: HACP will offer the same preferences for the RAD PBV program that it does for the regular PBV program as outlined in Chapter 17 of this Administrative Plan.
18-V.F. OFFER OF PBV ASSISTANCE
Refusal of Offer [24 CFR 983.251(e)(3)]
The PHA is prohibited from taking any of the following actions against a family who has applied for, received, or refused an offer of PBV assistance:
• Refusing to list the applicant on the waiting list for tenant-based voucher assistance
• Denying any admission preference for which the applicant qualifies • Changing the applicant’s place on the waiting list based on preference, date, and time of application, or other factors affecting selection under the PHA’s selection policy
• Removing the applicant from the tenant-based voucher waiting list 750
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Disapproval by Landlord [24 CFR 983.251(e)(2)]
If a PBV owner rejects a family for admission to the owner’s units, such rejection may not affect the family’s position on the tenant-based voucher waiting list.
Acceptance of Offer [24 CFR 983.252]
Family Briefing
When a family accepts an offer for PBV assistance, the PHA must give the family an oral briefing. The briefing must include information on how the program works and the responsibilities of the family and owner. In addition to the oral briefing, the PHA must provide a briefing packet that explains how the PHA determines the total tenant payment for a family, the family obligations under the program, and applicable fair housing information.
HACP shall conduct briefings for new participants and households moving to other units by telephone or other electronic means and refer them to our website for the briefing packet or mail it to the family to have and follow along with staff during the phone briefing. The tenant file will be documented with the date and time of the remote briefing and how the briefing packet was provided to them.
Persons with Disabilities
If an applicant family’s head or spouse is disabled, the PHA must assure effective communication, in accordance with 24 CFR 8.6, in conducting the oral briefing and in providing the written information packet. This may include making alternative formats available (see Chapter 2). In addition, the PHA must have a mechanism for referring a family that includes a member with a mobility impairment to an appropriate accessible PBV unit.
Persons with Limited English Proficiency
The PHA should take reasonable steps to assure meaningful access by persons with limited English proficiency in accordance with Title VI of the Civil Rights Act of 1964 and Executive Order 13166 (see Chapter 2).
18-V.G. OWNER SELECTION OF TENANTS [24 CFR 983.253]
The owner is responsible for developing written tenant selection procedures that are consistent with the purpose of improving housing opportunities for very low- income families and reasonably related to program eligibility and an applicant’s ability to fulfill their obligations under the lease. An owner must promptly notify in writing any rejected applicant of the grounds for any rejection.
Leasing [24 CFR 983.253(a)]
During the term of the HAP contract, the owner must lease contract units to 751
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eligible families that are selected and referred by the PHA from the PHA’s waiting list. The contract unit leased to the family must be the appropriate size unit for the size of the family, based on the PHA’s subsidy standards.
Filling Vacancies [24 CFR 983.254(a)]
The owner must promptly notify the PHA of any vacancy or expected vacancy in a contract unit. After receiving such notice, the PHA must make every reasonable effort to promptly refer a sufficient number of families for the owner to fill such vacancies. The PHA and the owner must make reasonable efforts to minimize the likelihood and length of any vacancy.
HACP Policy:
The owner must notify HACP in writing (mail, fax, or e-mail) within five business days of learning about any vacancy or expected vacancy. HACP will make every reasonable effort to refer families to the owner within 10 business days of receiving such notice from the owner. Units set aside for homeless and disabled applicants, will be occupied by referrals from the County's Coordinated Entry System.
18-V.H. TENANT SCREENING [24 CFR 983.255]
PHA Responsibility
The PHA is not responsible or liable to the owner or any other person for the family’s behavior or suitability for tenancy. However, the PHA may opt to screen applicants for family behavior or suitability for tenancy and may deny applicants based on such screening.
HACP Policy:
HACP will not conduct screening to determine a PBV applicant family’s suitability for tenancy.
The PHA must provide the owner with an applicant family’s current and prior address (as shown in PHA records) and the name and address (if known by the PHA) of the family’s current landlord and any prior landlords.
In addition, the PHA may offer the owner other information the PHA may have about a family, including information about the tenancy history of family members or about drug trafficking and criminal activity by family members. The PHA must provide applicant families a description of the PHA policy on providing information to owners, and the PHA must give the same types of information to all owners.
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response to a request for documentation of domestic violence, dating violence, sexual assault, or stalking, or human trafficking except at the written request or with the written consent of the individual providing the documentation [24 CFR
5.2007(c)].
HACP Policy:
HACP will inform owners of their responsibility to screen prospective tenants and will provide owners with the required known name and address information, at the time of the turnover HQS inspection or before.
HACP will not provide any additional information to the owner, such as tenancy history, criminal history, etc.
All households who were living in the Converting property are not subject to further screening for the replacement units.
Owner Responsibility
The owner is responsible for screening and selection of the family to occupy the owner’s unit. When screening families the owner may consider a family’s background with respect to the following factors:
• Payment of rent and utility bills
• Caring for a unit and premises
• Respecting the rights of other residents to the peaceful enjoyment of their housing
• Drug-related criminal activity or other criminal activity that is a threat to the health, safety, or property of others
• Compliance with other essential conditions of tenancy.
PART VI: OCCUPANCY
18-VI.A. OVERVIEW
After an applicant has been selected from the waiting list, determined eligible by the PHA, referred to an owner, and determined suitable by the owner, the family will sign the lease and occupancy of the unit will begin. 18-VI.B. LEASE [24 CFR 983.256]
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local law. Legal capacity means that the tenant is bound by the terms of the lease and may enforce the terms of the lease against the owner. The tenant and the owner must enter into a written lease agreement that is signed by both parties. The tenancy addendum must include, word-for- word, all provisions required by HUD.
Lease Requirements [24 CFR 983.256(c); Notice PIH 2019-23] The lease for a PBV unit must specify all of the following information:
• The names of the owner and the tenant.
• The unit rented (address, apartment number, if any, and any other information needed to identify the leased contract unit); • The term of the lease (initial term and any provision for renewal); • The amount of the tenant rent to owner, which is subject to change during the term of the lease in accordance with HUD requirements; • A specification of the services, maintenance, equipment, and utilities that will be provided by the owner.
• The amount of any charges for food, furniture, or supportive services; and
• For any family admitted following conversion, the lease must specify what will happen if the family elects to remain in its unit after increasing its income such that it requires zero HAP. Specifically, the lease must make clear how the tenant rent will be calculated, and it must address the transition to a new lease. The PHA must include resident procedural rights for termination notification and grievance procedures in the owner’s lease.
These requirements are not part of the regular PBV program but are required under RAD.
Tenancy Addendum [24 CFR 983.256(d)]
The tenancy addendum in the lease must state:
• The program tenancy requirements
• The composition of the household as approved by the PHA (the names of family members and any PHA-approved live-in aide) All provisions in the HUD-required tenancy addendum must be included in the lease. The terms of the tenancy addendum prevail over other provisions of the lease.
Initial Term and Lease Renewal [24 CFR 983.256(f); RAD PBV Quick 754
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Reference Guide 06/20]
Leases for residents who will remain in place (i.e., who will not be relocated solely as a result of conversion) must have an effective date that coincides with—and must be signed on or before— the effective date of the RAD PBV HAP contract.
The initial lease term must be for at least one year. The lease must provide for automatic renewal after the initial term of the lease in either successive definitive terms (e.g., month-to-month or year to-year) or an automatic indefinite extension of the lease term. For automatic indefinite extension of the lease term, the lease terminates if any of the following occur:
• The owner terminates the lease for good cause
• The tenant terminates the lease
• The owner and tenant agree to terminate the lease
• The PHA terminates the HAP contract
• The PHA terminates assistance for the family.
Changes in the Lease [24 CFR 983.256(e)] If the tenant and owner agree to any change in the lease, the change must be in writing, and the owner must immediately give the PHA a copy of all changes.
The owner must notify the PHA in advance of any proposed change in the lease regarding the allocation of tenant and owner responsibilities for utilities. Such changes may only be made if approved by the PHA and in accordance with the terms of the lease relating to its amendment. The PHA must redetermine reasonable rent, in accordance with program requirements, based on any change in the allocation of the responsibility for utilities between the owner and the tenant. The redetermined reasonable rent will be used in calculation of the rent to owner from the effective date of the change.
Owner Termination of Tenancy [24 CFR 983.257; Notice PIH 2019-23] With two exceptions, the owner of a PBV unit may terminate tenancy for the same reasons an owner may in the tenant-based voucher program (see Section 12-III.B. and 24 CFR 982.310). In the PBV program, terminating tenancy for “good cause” does not include doing so for a business or economic reason, or a desire to use the unit for personal or family use or other non-residential purpose.
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Projects converting from public housing to PBV under RAD have additional procedural rights that do not apply to the standard PBV program. These procedural rights must be included in the owner’s lease as well as the PHA’s administrative plan. In addition to the regulations at 24 CFR 983.257 related to project owner termination of tenancy and eviction (which MTW agencies may not alter) the termination procedure for RAD conversions to PBV will require that PHAs provide adequate written notice of termination of the lease, which may not be less than:
• A reasonable period of time, but not to exceed 30 days:
- If the health or safety of other tenants, PHA employees, or persons residing in the immediate vicinity of the premises is threatened; or - In the event of any drug-related or violent criminal activity or any felony conviction
• Not less than 14 days in the case of nonpayment of rent • Not less than 30 days in any other case, except that if a state or local law provides for a shorter period of time, such shorter period will apply These provisions apply to non-RAD PBV units located in the project as well.
Tenant Absence from the Unit [24 CFR 983.256(g) and 982.312(a)] The lease may specify a maximum period of family absence from the unit that may be shorter than the maximum period permitted by PHA policy.
According to program requirements, the family’s assistance must be terminated if they are absent from the unit for more than 180 consecutive days. PHA termination of assistance actions due to family absence from the unit are subject to 24 CFR 982.312, except that the unit is not terminated from the HAP contract if the family is absent for longer than the maximum period permitted.
Continuation of Housing Assistance Payments [24 CFR 983.258; Notice PIH 2019-23; Notice PIH 2023-19; RAD PBV Quick Reference Guide 06/20]
Current residents living in the property prior to conversion are placed on and remain under the HAP contract when
Pre-Conversion Residents
The unit for a family with a TTP that equals or exceeds the gross rent. (which is defined as the contract rent plus any utility allowance for the unit) must be placed on the PBV HAP contract and the family must be admitted to the PBV program.
In this case, and until such time as the family’s TTP falls below the gross rent, 756
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the family will pay the owner the alternate rent which is defined as the lesser of their:
• The family’s TTP minus the utility allowance or(subject to any required phase- in); or
• The Zero HAP Rent Cap, which is the lower of:
- 110 percent for the applicable maximum rentFMR minus the utility allowance; or
- In the event the units are subject to more restrictive rent setting requirement under the LIHTC program. or HOME programs (or other programs approved by HUD on a project-specific basis, the rent to owner set to comply with such requirements.
The family will continue to pay this amount until/if circumstances change, and HAP is paid on their behalf. In other words, assistance may subsequently be reinstated if the tenant becomes eligible for assistance. in which case normal PBV rent requirements will apply to the family. In such cases, the resident is still considered a program participant. All of the family obligations and protections under RAD and standard PBV apply to the resident. Likewise, all requirements with respect to the unit, such as compliance with the HQS requirementsNSPIRE standards, apply as long as the unit is under HAP contract. or added back to the HAP Contract. Any non-RAD PBV units located in the same project are also subject to these requirements.
After a family has paid the Zero HAP Rent Cap for a period of 180 days, the PHA must remove the unit from the HAP Contract and the family’s participating in the PBV program ends. If the Covered Project is fully assisted and the family subsequently leaves the property, the PHA must reinstate the unit back onto the HAP contract and admit an eligible family. If the Covered Project is partially assisted and the family subsequently leaves the property, the unit must be reinstated back onto the HAP contract unless the PHA previously substituted a different unit on the HAP contract in accordance with 24 CFR § 983.207 or, where “floating units” have been permitted.
Additionally, if the family continues to reside in the project after the family’s unit was removed from the HAP contract, the family may request to return to the PBV program if the family’s income subsequently decreases to the extent that the family’s TTP is less than the Zero-HAP Rent Cap, and the family is otherwise eligible for PBV assistance. The PHA must, at the earliest opportunity, reinstate the family’s unit back onto the HAP contract to provide rental assistance to the family. If the project was partially assisted and the PHA previously substituted a different unit on the HAP contract, the PHA must substitute the family’s unit for a vacant unit on the HAP contract if there is a vacant unit at the time of the request, or by doing so as soon as a unit on the HAP contract becomes vacant if there are no vacant units on the HAP contract at the time of the family request Formatted: Indent: Left: 0", Space Before: 0 pt
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New Admission Families
Unless a waiver is requested and approved, following conversion, 24 CFR 983.53(d) applies, and any new families referred to the RAD PBV project must be initially eligible for a HAP payment at admission to the program. This means a family’s TTP may not equal or exceed the gross rent for the unit at admission.
The PHA may request a waiver from HUD in order to admit otherwise eligible families whose TTP exceeds gross rent and to allow the units those families occupy to remain under the HAP contract even if the PHA has not paid HAP for the family in 180 days.
Further, for any new families admitted after the conversion, assistance will be terminated 180 days after the last housing assistance payment on their behalf.
The cessation of housing assistance payments does not affect the family’s other rights under its lease, nor does it preclude the resumption of payments as a result of later changes in income, rents, or other relevant circumstances if such changes occur within the 180-day window. If a family’s assistance is terminated as a result of their zero HAP status, the PHA must remove the unit from the HAP contract. If the project is fully assisted and the family subsequently leaves the property, the PHA must reinstate the unit after the family has vacated the property. and admit an eligible family. If the project is partially assisted, the PHA may substitute a different unit for the unit on the HAP contract in accordance with 24 CFR 983.207. or where floating units have been permitted.
Per the RAD Use Agreement, the owner may charge the family a rent that does not exceed 30 percent of 80 percent of the area median income. If a unit is removed from the RAD PBV HAP contract, then the lease terminates automatically, as stated in the tenancy addendum, as though the RAD PBV HAP contract had been terminated. The tenant must be offered a new lease, which must reflect the new tenant rent. A tenant in this circumstance is no longer a program participant and therefore no longer benefits from any of the rights or protections specific to RAD, or to the PBV program. Should the family subsequently lose employment, the owner may choose to reduce the family’s rent, but if the family wishes to be admitted to the HCV/PBV program, then it must be admitted through the waiting list like any other applicant.
In circumstances where low RAD PBV rents may prohibit a significant number of otherwise eligible families on the waiting list from being admitted to the project because they do not require subsidy, and which could consequently create an undue concentration of poverty at the project compared to non-RAD PBV projects, a PHA may request a waiver from HUD for the covered project. The waiver will apply the alternative requirements applicable to the pre-conversion residents to new admission families.
HACP Policy:
The PHA will not request waivers from HUD to apply the alternative Formatted: Indent: Left: 0"
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requirements applicable to pre-conversion residents to new admission families.HACP Policy:
The PHA will not request a waiver from HUD to allow new families whose TTP initially exceeds gross rent to occupy units.
If a participating family who was admitted after the RAD conversion receives zero assistance and subsequently experiences a change in circumstances that would result in a HAP payment to the owner, the family must notify the PHA of the change and request an interim reexamination before the expiration of the 180-day period.
Security Deposits [24 CFR 983.259; RAD PBV Quick Reference Guide (06/20)]
Owners are permitted to recognize security deposit amounts that have been previously provided by tenants who are in-place at the time of the RAD conversion. If a tenant residing in a converting project has not previously provided a security deposit, then the owner may collect a security deposit at the time of initial lease execution. Otherwise, the security deposit requirements for standard PBV apply.
The owner may collect a security deposit from the tenant. The PHA may prohibit security deposits in excess of private market practice, or in excess of amounts charged by the owner to unassisted tenants.
HACP Policy:
HACP will allow the owner to collect a security deposit amount the owner determines is appropriate and commensurate with local and California rental laws.
When the tenant moves out of a contract unit, the owner, subject to state and local law, may use the security deposit, including any interest on the deposit, in accordance with the lease, as reimbursement for any unpaid tenant rent, damages to the unit, or other amounts owed by the tenant under the lease.
The owner must give the tenant a written list of all items charged against the security deposit and the amount of each item. After deducting the amount used to reimburse the owner, the owner must promptly refund the full amount of the balance to the tenant.
If the security deposit does not cover the amount owed by the tenant under the lease, the owner may seek to collect the balance from the tenant. The PHA has no liability or responsibility for payment of any 759
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amount owed by the family to the owner.
18-VI.C. PUBLIC HOUSING FSS AND ROSS PARTICIPANTS [NOTICE PIH 2019-23]
Current PH FSS participants will continue to participate in the PHA’s FSS program, and PHAs will be allowed to use any PH FSS funds granted previously or pursuant to the current fiscal year (FY) PH FSS notice of funding availability (NOFA), to serve those FSS participants who live in units converted to RAD and who will as a result be moving to the HCV FSS program. A PHA must convert the PH FSS program participants at the covered project to their HCV FSS program.
Residents who were converted from the PH FSS program to the HCV FSS program through RAD may not be terminated from the HCV FSS program or have HCV assistance withheld due to the participant’s failure to comply with the contract of participation. Consequently, 24 CFR 984.303(b)(5)(iii) does not apply to FSS participants in converted properties.
At the completion of the FSS grant, PHAs should follow the normal closeout procedures outlined in the grant agreement. If the PHA continues to run an FSS program that serves PH and/or HCV participants, the PHA will continue to be eligible (subject to NOFA requirements) to apply for FSS funding.
Current Resident Opportunities and Self-Sufficiency–Service Coordinators (ROSS–SC) program grantees will be able to finish out their current ROSS–SC grants once their housing is converted under RAD. However, once the property is converted, it will no longer be eligible to be counted towards the unit count for future public housing ROSS–SC grants.
At the completion of the ROSS-SC grant, PHAs should follow the normal closeout procedures outlined in the grant agreement. Please note that ROSS-SC grantees may be a non-profit or local resident association and this consequence of a RAD conversion may impact those entities.
Any non-RAD PBV units located in the same project are also subject to these requirements.
18-VI.D. RESIDENT PARTICIPATION AND FUNDING [NOTICE PIH 2019-23]
Residents of covered projects converting assistance to PBVs will have the right to establish and operate a resident organization for the purpose of addressing issues related to their living environment and be eligible for resident participation funding. Resident rights under RAD conversions 760
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apply to all PBV assisted units in a project, RAD or PBV. 18-VI.E. MOVES Overcrowded, Under-Occupied, and Accessible Units [24 CFR 983.260; Notice PIH 2019-23]
All in-place tenants at the time of conversion are eligible to remain in the project. Over-housed families should be moved into appropriately sized units if such units are available in the new or rehabbed project. If appropriately sized units are not available, the existing tenants may continue to be over-housed until an appropriately sized unit becomes available or until the tenant leaves the project. Once the unit turns over, it must be leased to an appropriately sized family. Any non-RAD PBV units located in the same project are also subject to these requirements.
Following conversion, the standard PBV regulations apply. If the PHA determines that a family is occupying a wrong-size unit, based on the PHA’s subsidy standards, or a unit with accessibility features that the family does not require, and the unit is needed by a family that does require the features, the PHA must promptly notify the family and the owner of this determination, and the PHA must offer the family the opportunity to receive continued housing assistance in another unit.
HACP Policy: The PHA will notify the family and the owner of the family’s need to move based on the occupancy of a wrong-size or accessible unit within 10 business days of the PHA’s determination.
The PHA will offer the family the following types of continued assistance in the following order, based on the availability of assistance:
- PBV assistance in the same building or project
- PBV assistance in another project
- Tenant-based voucher assistance
If the PHA offers the family a tenant-based voucher, the PHA must terminate the housing assistance payments for a wrong-size or accessible unit at the earlier of the expiration of the term of the family’s voucher, including any extension granted by the PHA, or the date upon which the family vacates the unit. If the family does not move out of the wrong-size unit or accessible unit by the expiration of the term of the family’s voucher, the PHA must remove the unit from the HAP contract.
If the PHA offers the family another form of assistance that is not a tenant-based voucher, and the family does not accept the offer, 761
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does not move out of the PBV unit within a reasonable time as determined by the PHA, or both, the PHA must terminate the housing assistance payments for the unit at the expiration of a reasonable period as determined by the PHA and remove the unit from the HAP contract.
HACP Policy:
When HACP offers a family another form of assistance that is not a tenant-based voucher, the family will be given 30 days from the date of the offer to accept the offer and move out of the PBV unit. If the family does not move out within this 30-day time frame, HACP will terminate the housing assistance payments at the expiration of this 30-day period.
HACP may make exceptions to this 30-day period if needed for reasons beyond the family’s control such as death,
serious illness, or other medical emergency of a family member.
Family Right to Move [24 CFR 983.261]
The family may terminate the lease at any time after the first year of occupancy. The family must give advance written notice to the owner in accordance with the lease and provide a copy of such notice to the PHA.
Choice Mobility [Notice PIH 2019-23; PRRAC Choice Mobility Implementation Guidance, 8/20]
Family’s Right to Choice Mobility
Under RAD PBV, the choice mobility option provides families with the opportunity to move with continued assistance any time after 12 months of occupancy. All residents in converted properties should be aware of their housing mobility rights and of their options in a range of neighborhoods.
HACP Policy:
To ensure that residents are fully aware of and understand their rights under choice mobility, HACP will inform families of their rights under the choice mobility option and the benefits to moving to lower poverty areas, and provide a summary of the steps necessary to exercise this option, at the time the family signs the lease for the RAD PBV unit and 762
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during their annual recertification.
Information on choice mobility will be made be accessible to persons with disabilities, ensuring any information, electronic or otherwise, is accessible for persons with vision, hearing, and other disabilities. This information will also be made available in accordance with Limited English Proficiency (LEP) requirements, including document translation and use of interpretation services. See Chapter 2 for a more thorough discussion of accessibility and LEP requirements.
Moving with Continued Assistance under Choice Mobility
If the family wishes to move with continued tenant-based assistance, the family must contact the PHA to request the rental assistance prior to providing notice to terminate the lease. If the family terminates the lease in accordance with lease requirements, the PHA is required to offer the family the opportunity for continued tenant-based assistance, in the form of a voucher or other comparable tenant-based rental assistance. If a voucher or other comparable tenant-based assistance is not immediately availa ble,
the PHA must give the family priority to receive the next available opportunity for continued tenant-based assistance.
Families are eligible to move with continued assistance under choice mobility after 12 months of occupancy. If the family terminates the assisted lease before the end of the first year, the family relinquishes the opportunity for continued tenant-based assistance.
HACP Policy:: :
Prior to providing notice to the owner to terminate the lease, the family may submit a written request to HACP for a choice mobility voucher at any time after completing the 12-month occupancy requirement.