[Code of Federal Regulations]

[Title 24, Volume 4]

[Revised as of April 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 24CFR903.7]



[Page 293-298]

 

                 TITLE 24--HOUSING AND URBAN DEVELOPMENT

 

CHAPTER IX--OFFICE OF ASSISTANT SECRETARY FOR PUBLIC AND INDIAN HOUSING, 

               DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

 

PART 903_PUBLIC HOUSING AGENCY PLANS--Table of Contents

 

                           Subpart B_PHA Plans

 

Sec.  903.7  What information must a PHA provide in the Annual Plan?



    With the exception of the first Annual Plan submitted by a PHA, the 

Annual Plan must include the information provided in this section. HUD 

will advise PHAs by separate notice, sufficiently in advance of the 

first Annual Plan due date, of the information, described in this 

section that must be



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part of the first Annual Plan submission, and any additional 

instructions or directions that may be necessary to prepare and submit 

the first Annual Plan. The information described in this section applies 

to both public housing and tenant-based assistance, except where 

specifically stated otherwise. The information that the PHA must submit 

for HUD approval under the Annual Plan includes the discretionary 

policies of the various plan components or elements (for example, rent 

policies) and not the statutory or regulatory requirements that govern 

these plan components and that provide no discretion on the part of the 

PHA in implementation of the requirements. The PHA's Annual Plan must be 

consistent with the goals and objectives of the PHA's 5-Year Plan.

    (a) A statement of housing needs. (1) This statement must address 

the housing needs of the low-income and very low-income families who 

reside in the jurisdiction served by the PHA, and other families who are 

on the public housing and Section 8 tenant-based assistance waiting 

lists, including:

    (i) Families with incomes below 30 percent of area median (extremely 

low-income families);

    (ii) Elderly families and families with disabilities;

    (iii) Households of various races and ethnic groups residing in the 

jurisdiction or on the waiting list.

    (2) A PHA must make reasonable efforts to identify the housing needs 

of each of the groups listed in paragraph (a)(1) of this section based 

on information provided by the applicable Consolidated Plan, information 

provided by HUD, and other generally available data.

    (i) The identification of housing needs must address issues of 

affordability, supply, quality, accessibility, size of units and 

location.

    (ii) The statement of housing needs also must describe the ways in 

which the PHA intends, to the maximum extent practicable, to address 

those needs, and the PHA's reasons for choosing its strategy.

    (b) A statement of the PHA's deconcentration and other policies that 

govern eligibility, selection, and admissions. This statement must 

describe the PHA's policies that govern resident or tenant eligibility, 

selection and admission. This statement also must describe any PHA 

admission preferences, and any occupancy policies that pertain to public 

housing units and housing units assisted under section 8(o) of the 1937 

Act, as well as any unit assignment policies for public housing. This 

statement must include the following information:

    (1) Deconcentration Policy. The PHA's deconcentration policy 

applicable to public housing, as described in Sec.  903.2(a).

    (2) Waiting List Procedures. The PHA's procedures for maintaining 

waiting lists for admission to the PHA's public housing developments. 

The statement must address any site-based waiting lists, as authorized 

by section 6(s) of the 1937 Act (42 U.S.C. 1437d(s)), for public 

housing. Section 6(s) of the 1937 Act permits PHAs to establish a system 

of site-based waiting lists for public housing that is consistent with 

all applicable civil rights and fair housing laws and regulations. 

Notwithstanding any other regulations, a PHA may adopt site-based 

waiting lists where:

    (i) The PHA regularly submits required occupancy data to HUD's 

Multifamily Tenant Characteristics Systems (MTCS) in an accurate, 

complete and timely manner;

    (ii) The system of site-based waiting lists provides for full 

disclosure to each applicant of any option available to the applicant in 

the selection of the development in which to reside, including basic 

information about available sites (location, occupancy, number and size 

of accessible units, amenities such as day care, security, 

transportation and training programs) and an estimate of the period of 

time the applicant would likely have to wait to be admitted to units of 

different sizes and types (e.g., regular or accessible) at each site;

    (iii) Adoption of site-based waiting lists would not violate any 

court order or settlement agreement, or be inconsistent with a pending 

complaint brought by HUD;

    (iv) The PHA includes reasonable measures to assure that adoption of 

site-based waiting lists is consistent



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with affirmatively furthering fair housing, such as reasonable marketing 

activities to attract applicants regardless of race or ethnicity;

    (v) The PHA provides for review of its site-based waiting list 

policy to determine if the policy is consistent with civil rights laws 

and certifications through the following steps:

    (A) As part of the submission of the Annual Plan, the PHA shall 

assess changes in racial, ethnic or disability-related tenant 

composition at each PHA site that may have occurred during the 

implementation of the site-based waiting list, based upon MTCS occupancy 

data that has been confirmed to be complete and accurate by an 

independent audit (which may be the annual independent audit) or is 

otherwise satisfactory to HUD;

    (B) At least every three years the PHA uses independent testers or 

other means satisfactory to HUD, to assure that the site-based waiting 

list is not being implemented in a discriminatory manner, and that no 

patterns or practices of discrimination exist, and providing the results 

to HUD;

    (C) Taking any steps necessary to remedy the problems surfaced 

during the review; and

    (D) Taking the steps necessary to affirmatively further fair 

housing.

    (3) Other admissions policies. The PHA's admission policies that 

include any other PHA policies that govern eligibility, selection and 

admissions for the public housing (see part 960 of this title) and 

tenant-based assistance programs (see part 982, subpart E of this 

title). (The information requested on site-based waiting lists and 

deconcentration is applicable only to public housing.)

    (c) A statement of financial resources. This statement must address 

the financial resources that are available to the PHA for the support of 

Federal public housing and tenant-based assistance programs administered 

by the PHA during the plan year. The statement must include a listing, 

by general categories, of the PHA's anticipated resources, such as PHA 

operating, capital and other anticipated Federal resources available to 

the PHA, as well as tenant rents and other income available to support 

public housing or tenant-based assistance. The statement also should 

include the non-Federal sources of funds supporting each Federal 

program, and state the planned uses for the resources.

    (d) A statement of the PHA's rent determination policies. This 

statement must describe the PHA's basic discretionary policies that 

govern rents charged for public housing units, applicable flat rents, 

and the rental contributions of families receiving tenant-based 

assistance. For tenant-based assistance, this statement also shall cover 

any discretionary minimum tenant rents and payment standard policies.

    (e) A statement of the PHA's operation and management. (1) This 

statement must list the PHA's rules, standards, and policies that govern 

maintenance and management of housing owned, assisted, or operated by 

the PHA.

    (2) The policies listed in this statement must include a description 

of any measures necessary for the prevention or eradication of pest 

infestation. Pest infestation includes cockroach infestation.

    (3) This statement must include a description of PHA management 

organization, and a listing of the programs administered by the PHA.

    (4) The information requested on a PHA's rules, standards and 

policies regarding management and maintenance of housing applies only to 

public housing. The information requested on PHA program management and 

listing of administered programs applies to public housing and tenant-

based assistance.

    (f) A statement of the PHA grievance procedures. This statement 

describes the grievance and informal hearing and review procedures that 

the PHA makes available to its residents and applicants. These 

procedures include public housing grievance procedures and tenant-based 

assistance informal review procedures for applicants and hearing 

procedures for participants.

    (g) A statement of capital improvements needed. With respect to 

public housing only, this statement describes the capital improvements 

necessary to ensure long-term physical and social viability of the PHA's 

public housing developments, including the capital improvements to be 

undertaken in the year in question and their estimated costs, and



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any other information required for participation in the Capital Fund. 

PHAs also are required to include 5-Year Plans covering large capital 

items.

    (h) A statement of any demolition and/or disposition--(1) Plan for 

Demolition/Disposition. With respect to public housing only, a 

description of any public housing development, or portion of a public 

housing development, owned by the PHA for which the PHA has applied or 

will apply for demolition and/or disposition approval under section 18 

of the 1937 Act (42 U.S.C. 1437p), and the timetable for demolition and/

or disposition. The application and approval process for demolition and/

or disposition is a separate process. Approval of the PHA Plan does not 

constitute approval of these activities.

    (2) Interim Plan for Demolition/Disposition. (i) Before submission 

of the first Annual Plan, a PHA may submit an interim PHA Annual Plan 

solely for demolition/disposition. The interim plan must provide:

    (A) The required description of the action to be taken;

    (B) A certification of consistency with the Consolidated Plan;

    (C) A description of how the plan is consistent with the 

Consolidated Plan;

    (D) A relocation plan that includes the availability of units in the 

area and adequate funding; and

    (E) Confirmation that a public hearing was held on the proposed 

action and that the resident advisory board was consulted.

    (ii) Interim plans for demolition/disposition are subject to PHA 

Plan procedural requirements in this part (see Sec. Sec.  903.13, 

903.15, 903.17, 903.19, 903.21, 903.23, 903.25), with the following 

exception. If a resident advisory board has not yet been formed, the PHA 

may seek a waiver of the requirement to consult with the resident 

advisory board on the grounds that organizations that adequately 

represent residents for this purpose were consulted.

    (iii) The actual application for demolition or disposition may be 

submitted at the same time as submission of the interim plan or at a 

later date.

    (i) A statement of the public housing developments designated as 

housing for elderly families or families with disabilities or elderly 

families and families with disabilities. (1) With respect to public 

housing only, this statement identifies any public housing developments 

owned, assisted, or operated by the PHA, or any portion of these 

developments, that:

    (i) The PHA has designated for occupancy by:

    (A) Only elderly families;

    (B) Only families with disabilities; or

    (C) Elderly families and families with disabilities; and

    (ii) The PHA will apply for designation for occupancy by:

    (A) Only elderly families;

    (B) Only families with disabilities; or

    (C) Elderly families and families with disabilities as provided by 

section 7 of the 1937 Act (42 U.S.C. 1437e).

    (2) The designated housing application and approval process is a 

separate process. Approval of the PHA Plan does not constitute approval 

of these activities.

    (j) A statement of the conversion of public housing to tenant-based 

assistance. (1) This statement describes:

    (i) Any building or buildings that the PHA is required to convert to 

tenant-based assistance under section 33 of the 1937 Act (42 U.S.C. 

1437z-5);

    (ii) The status of any building or buildings that the PHA may be 

required to convert to tenant-based assistance under section 202 of the 

Fiscal Year 1996 HUD Appropriations Act (42 U.S.C. 14371 note); or

    (iii) The PHA's plans to voluntarily convert under section 22 of the 

1937 Act (42 U.S.C. 1437t).

    (2) The statement also must include an analysis of the developments 

or buildings required to be converted under section 33.

    (3) For both voluntary and required conversions, the statement must 

include the amount of assistance received commencing in Federal Fiscal 

Year 1999 to be used for rental assistance or other housing assistance 

in connection with such conversion.

    (4) The application and approval processes for required or voluntary 

conversions are separate approval processes. Approval of the PHA Plan 

does not constitute approval of these activities.



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    (5) The information required under this paragraph (j) of this 

section is applicable to public housing and only that tenant-based 

assistance which is to be included in the conversion plan.

    (k) A statement of homeownership programs administered by the PHA. 

(1) This statement describes:

    (i) Any homeownership programs administered by the PHA under section 

8(y) of the 1937 Act (42 U.S.C. 1437f(y));

    (ii) Any homeownership programs administered by the PHA under an 

approved section 5(h) homeownership program (42 U.S.C. 1437c(h));

    (iii) An approved HOPE I program (42 U.S.C. 1437aaa); or

    (iv) Any homeownership programs for which the PHA has applied to 

administer or will apply to administer under section 5(h), the HOPE I 

program, or section 32 of the 1937 Act (42 U.S.C. 1437z-4).

    (2) The application and approval process for homeownership under the 

programs described in paragraph (k) of this section, with the exception 

of the section 8(y) homeownership program, are separate processes. 

Approval of the PHA Plan does not constitute approval of these 

activities.

    (l) A statement of the PHA's community service and self-sufficiency 

programs. (1) This statement describes:

    (i) Any PHA programs relating to services and amenities coordinated, 

promoted or provided by the PHA for assisted families, including 

programs provided or offered as a result of the PHA's partnership with 

other entities;

    (ii) Any PHA programs coordinated, promoted or provided by the PHA 

for the enhancement of the economic and social self-sufficiency of 

assisted families, including programs provided or offered as a result of 

the PHA's partnerships with other entities, and activities under section 

3 of the Housing and Community Development Act of 1968 and under 

requirements for the Family Self-Sufficiency Program and others. The 

description of programs offered shall include the program's size 

(including required and actual size of the Family Self-Sufficiency 

program) and means of allocating assistance to households.

    (iii) How the PHA will comply with the requirements of section 12(c) 

and (d) of the 1937 Act (42 U.S.C. 1437j(c) and (d)). These statutory 

provisions relate to community service by public housing residents and 

treatment of income changes in public housing and tenant-based 

assistance recipients resulting from welfare program requirements. PHAs 

must address any cooperation agreements, as described in section 

12(d)(7) of the 1937 Act (42 U.S.C. 1437j(d)(7)), that the PHA has 

entered into or plans to enter into.

    (2) The information required by paragraph (l) of this section is 

applicable to both public housing and tenant-based assistance, except 

that the information regarding the PHA's compliance with the community 

service requirement applies only to public housing.

    (m) A statement of the PHA's safety and crime prevention measures. 

(1) With respect to public housing only, this statement describes the 

PHA's plan for safety and crime prevention to ensure the safety of the 

public housing residents that it serves. The plan for safety and crime 

prevention must be established in consultation with the police officer 

or officers in command of the appropriate precinct or police 

departments. The plan also must provide, on a development-by-development 

or jurisdiction wide-basis, the measures necessary to ensure the safety 

of public housing residents.

    (2) The statement regarding the PHA's safety and crime prevention 

plan must include the following information:

    (i) A description of the need for measures to ensure the safety of 

public housing residents;

    (ii) A description of any crime prevention activities conducted or 

to be conducted by the PHA; and

    (iii) A description of the coordination between the PHA and the 

appropriate police precincts for carrying out crime prevention measures 

and activities.

    (3) If the PHA expects to receive drug elimination program grant 

funds, the PHA must submit, in addition to the information required by 

paragraph (m)(1) of this section, the plan required by HUD's Public 

Housing Drug Elimination Program regulations (see part 761 of this 

title).

    (4) If HUD determines at any time that the security needs of a 

public



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housing development are not being adequately addressed by the PHA's 

plan, or that the local police precinct is not assisting the PHA with 

compliance with its crime prevention measures as described in the Annual 

Plan, HUD may mediate between the PHA and the local precinct to resolve 

any issues of conflict.

    (n) A statement of the PHA's policies and rules regarding ownership 

of pets in public housing. This statement describes the PHA's policies 

and requirements pertaining to the ownership of pets in public housing. 

The policies must be in accordance with section 31 of the 1937 Act (42 

U.S.C. 1437a-3).

    (o) Civil rights certification. (1) The PHA must certify that it 

will carry out its plan in conformity with title VI of the Civil Rights 

Act of 1964 (42 U.S.C. 2000d-2000d-4), the Fair Housing Act (42 U.S.C. 

3601-19), section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), 

and title II of the Americans with Disabilities Act of 1990 (42 U.S.C. 

12101 et seq.). The PHA also must certify that it will affirmatively 

further fair housing.

    (2) The certification is applicable to both the 5-Year Plan and the 

Annual Plan.

    (3) A PHA shall be considered in compliance with the certification 

requirement to affirmatively further fair housing if the PHA fulfills 

the requirements of Sec.  903.2(b) and:

    (i) Examines its programs or proposed programs;

    (ii) Identifies any impediments to fair housing choice within those 

programs;

    (iii) Addresses those impediments in a reasonable fashion in view of 

the resources available;

    (iv) Works with local jurisdictions to implement any of the 

jurisdiction's initiatives to affirmatively further fair housing that 

require the PHA's involvement; and

    (v) Maintains records reflecting these analyses and actions.

    (p) Recent results of PHA's fiscal year audit. This statement 

provides the results of the most recent fiscal year audit of the PHA 

conducted under section 5(h)(2) of the 1937 Act (42 U.S.C. 1437c(h)).

    (q) A statement of asset management. To the extent not covered by 

other components of the PHA Annual Plan, this statement describes how 

the PHA will carry out its asset management functions with respect to 

the PHA's public housing inventory, including how the PHA will plan for 

long-term operating, capital investment, rehabilitation, modernization, 

disposition, and other needs for such inventory.

    (r) Additional information to be provided. (1) For all Annual Plans 

following submission of the first Annual Plan, a PHA must include a 

brief statement of the PHA's progress in meeting the mission and goals 

described in the 5-Year Plan;

    (2) A PHA must identify the basic criteria the PHA will use for 

determining:

    (i) A substantial deviation from its 5-Year Plan; and

    (ii) A significant amendment or modification to its 5-Year Plan and 

Annual Plan.

    (3) A PHA must include such other information as HUD may request of 

PHAs, either on an individual or across-the-board basis. HUD will advise 

the PHA or PHAs of this additional information through advance notice.