Admissions and Continued Occupancy Policy
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The City of Chandler Housing and Redevelopment’s
Admissions and Continued Occupancy Policy
(ACOP)
20202021
Effective 07/01/20202021
Attachment C
1
CHAPTER 1 TABLE OF CONTENTS
CHAPTER 1 TABLE OF CONTENTS .............................................................................................................................. 1
CHAPTER 1 ............................................................................................................................................................. 1-1
OVERVIEW OF THE PROGRAM AND PLAN ..................................................................................................................... 1-1
INTRODUCTION ............................................................................................................................................................. 1-1
PART I: THE PHA ............................................................................................................................................................. 1-1
1-I.A. Overview...................................................................................................................................................... 1-1
1-I.B. Organization and Structure of the PHA ....................................................................................................... 1-1
1-I.C. PHA Mission ................................................................................................................................................. 1-2
1-I.D. The PHA’s Commitment to Ethics and Service ............................................................................................. 1-2
PART II: THE PUBLIC HOUSING PROGRAM .................................................................................................................... 1-3
1-II.A. Overview and History of the Program ........................................................................................................ 1-3
1-II.B. Public Housing Program Basics .................................................................................................................. 1-4
1-II.C. Public Housing Partnerships ....................................................................................................................... 1-4
1-II.D. Applicable Regulations ............................................................................................................................... 1-7
PART III: THE ADMISSIONS AND CONTINUED OCCUPANCY POLICIES ........................................................................... 1-8
1-III.A. Overview and Purpose of the Policy .......................................................................................................... 1-8
1-III.B. Contents of the Policy ................................................................................................................................ 1-8
1-III.C. Updating and Revising the Policy .............................................................................................................. 1-9
CHAPTER 2 ............................................................................................................................................................. 2-1
FAIR HOUSING AND EQUAL OPPORTUNITY ................................................................................................................... 2-1
PART I: NONDISCRIMINATION ....................................................................................................................................... 2-1
2-I.A. Overview...................................................................................................................................................... 2-1
2-I.B. Nondiscrimination ....................................................................................................................................... 2-2
PART II: POLICIES RELATED TO PERSONS WITH DISABILITIES ........................................................................................ 2-4
2-II.A. Overview..................................................................................................................................................... 2-4
2-II.B. Definition of Reasonable Accommodation ................................................................................................. 2-5
2-II.C. Request for an Accommodation ................................................................................................................. 2-6
2-II.D. Verification of Disability ............................................................................................................................. 2-6
2-II.E. Approval/Denial of A Requested Accommodation [Joint Statement of the Departments of HUD and
Justice: Reasonable Accommodations under the Fair Housing Act, Notice PIH 2010-26] ........................ 2-7
2-II.F. Program Accessibility for Persons with Hearing or Vision Impairments ..................................................... 2-8
2-II.G. Physical Accessibility .................................................................................................................................. 2-9
2-II.H. Denial or Termination of Assistance .......................................................................................................... 2-9
PART III: IMPROVING ACCESS TO SERVICES FOR PERSONS WITH LIMITED ENGLISH PROFICIENCY (LEP) ................... 2-10
2-III.A. Overview.................................................................................................................................................. 2-10
2-III.B. Oral Interpretation .................................................................................................................................. 2-11
2-III.C. Written Translation ................................................................................................................................. 2-11
2-III.D. Implementation Plan ............................................................................................................................... 2-11
Exhibit 2-1: Definition of a Person with a Disability Under Federal Civil Rights Laws [24 CFR Parts 8.3 and
100.201] ................................................................................................................................................. 2-12
CHAPTER 3 ............................................................................................................................................................. 3-2
ELIGIBILITY ..................................................................................................................................................................... 3-2
INTRODUCTION ............................................................................................................................................................. 3-2
PART I: DEFINITIONS OF FAMILY AND HOUSEHOLD MEMBERS .................................................................................... 3-2
3-I.A. Overview...................................................................................................................................................... 3-3
3-I.B. Family and Household [24 CFR 5.105(a)(2), 24 CFR 5.403, FR Notice 02/03/12, Notice PIH 2014-20] ....... 3-3
3-I.C. Family Break-Up and Remaining Member of Tenant Family ....................................................................... 3-4
Family Break-up .................................................................................................................................................... 3-4
3-I.D. Head of Household [24 CFR 5.504(b)] ......................................................................................................... 3-5
3-I.E. Spouse, Cohead, and Other Adult ................................................................................................................ 3-5
3-I.F. Dependent [24 CFR 5.603] ........................................................................................................................... 3-6
3-I.G. Full-Time Student [24 CFR 5.603] ................................................................................................................ 3-6
3-I.H. Elderly and Near-Elderly Persons, and Elderly Family ................................................................................. 3-7
3-I.I. Persons with Disabilities and Disabled Family [24 CFR 5.403] ...................................................................... 3-7
3-I.J. Guests [24 CFR 5.100]................................................................................................................................... 3-8
3-I.K. Foster Children and Foster Adults ................................................................................................................ 3-9
3-I.L. Absent Family Members .............................................................................................................................. 3-9
3-I.M. Live-In Aide ............................................................................................................................................... 3-11
PART II: BASIC ELIGIBILITY CRITERIA ............................................................................................................................ 3-12
3-II.A. Income Eligibility and Targeting ............................................................................................................... 3-12
3-II.B. Citizenship or Eligible Immigration Status [24 CFR 5, Subpart E] ............................................................. 3-13
3-II.C. Social Security Numbers [24 CFR 5.216 and 5.218], Notice PIH 2018-24] ................................................ 3-16
3-II.D. Family Consent to Release of Information [24 CFR 5.230] ....................................................................... 3-16
PART III: DENIAL OF ADMISSION.................................................................................................................................. 3-17
3-III.A. Overview [PIH 2015-19] .......................................................................................................................... 3-17
3-III.B. Required Denial of Admission [24 CFR 960.204] ..................................................................................... 3-18
3-III.C. Other Permitted Reasons for Denial of Admission .................................................................................. 3-19
3-III.D. Screening ................................................................................................................................................. 3-23
3-III.E. Criteria for Deciding to Deny Admission .................................................................................................. 3-27
3-III.F. Prohibition Against Denial of Assistance to Victims of Domestic Violence, Dating Violence, Sexual Assault,
or Stalking .............................................................................................................................................. 3-30
3-III.G. Notice of Eligibility or Denial ................................................................................................................... 3-31
Exhibit 3-1: Detailed Definitions Related To Disabilities ............................................................................................. 3-32
CHAPTER 4 ............................................................................................................................................................. 4-1
APPLICATIONS, WAITING LIST, AND TENANT SELECTION .............................................................................................. 4-1
INTRODUCTION ............................................................................................................................................................. 4-1
PART I: THE APPLICATION PROCESS .............................................................................................................................. 4-2
4-I.A. Overview...................................................................................................................................................... 4-2
4-I.B. Applying For Assistance ............................................................................................................................... 4-2
4-I.C. Accessibility of the Application Process ....................................................................................................... 4-3
4-I.D. Placement on the Waiting List .................................................................................................................... 4-3
PART II: MANAGING THE WAITING LIST ........................................................................................................................ 4-5
4-II.A. Overview..................................................................................................................................................... 4-5
4-II.B. Organization of the Waiting List ................................................................................................................ 4-5
4-II.C. Opening and Closing the Waiting List......................................................................................................... 4-6
4-II.D. Family Outreach [24 CFR 903.2(d); 24 CFR 903.7(a) and (b)] ..................................................................... 4-7
4-II.E. Reporting Changes in Family Circumstances .............................................................................................. 4-8
4-II.F. Updating The Waiting List .......................................................................................................................... 4-8
PART III: TENANT SELECTION ....................................................................................................................................... 4-10
4-III.A. Overview.................................................................................................................................................. 4-10
4-III.B. Selection Method ..................................................................................................................................... 4-11
4-III.C. Notification of Selection .......................................................................................................................... 4-17
4-III.D. The Application Interview........................................................................................................................ 4-17
4-III.E. Final Eligibility Determination [24 CFR 960.208] ..................................................................................... 4-19
CHAPTER 5 ............................................................................................................................................................. 5-1
OCCUPANCY STANDARDS AND UNIT OFFERS ................................................................................................................ 5-1
INTRODUCTION ............................................................................................................................................................. 5-1
PART I: OCCUPANCY STANDARDS .................................................................................................................................. 5-1
5-I.A. Overview...................................................................................................................................................... 5-1
5-I.B. Determining Unit Size .................................................................................................................................. 5-1
5-I.C. Exceptions to Occupancy Standards ............................................................................................................ 5-3
PART II: UNIT OFFERS [24 CFR 1.4(b)(2)(ii); 24 CFR 960.208] ........................................................................................ 5-4
5-II.A. Overview..................................................................................................................................................... 5-4
5-II.B. Number of Offers ........................................................................................................................................ 5-5
5-II.C. Time Limit for Unit Offer Acceptance or Refusal ........................................................................................ 5-5
5-II.D. Refusals of Unit Offers................................................................................................................................ 5-5
5-II.E. Accessible Units [24 CFR 8.27] .................................................................................................................... 5-7
5-II.F. Designated Housing .................................................................................................................................... 5-7
CHAPTER 6 ............................................................................................................................................................. 6-1
INCOME AND RENT DETERMINATIONS ......................................................................................................................... 6-1
INTRODUCTION ............................................................................................................................................................. 6-1
PART I: Annual Income .................................................................................................................................................. 6-1
6-I.A. Overview...................................................................................................................................................... 6-1
6-I.B. Household Composition and Income ........................................................................................................... 6-2
6-I.C. Anticipating Annual Income ........................................................................................................................ 6-5
6-I.D. Earned Income ............................................................................................................................................ 6-7
6-I.E. Earned Income Disallowance [24 CFR 960.255, 24 CFR §5.617]; Streamlining Final Rule (SFR) Federal
Register 3/8/16, , 3/8/2016 (HOTMA)]] ................................................................................................. 6-11
6-I.F. Business Income [24 CFR 5.609(b)(2)] ........................................................................................................ 6-14
6-I.G. Assets [24 CFR 5.609(b)(3) and 24 CFR 5.603(b)] ...................................................................................... 6-16
6-I.H. Periodic Payments ..................................................................................................................................... 6-23
6-I.I. Payments in Lieu of Earnings ...................................................................................................................... 6-25
6-I.J. Welfare Assistance ..................................................................................................................................... 6-25
6-I.K. Periodic and Determinable Allowances [24 CFR 5.609(b)(7)] .................................................................... 6-27
6-I.L. Additional Exclusions from Annual Income ................................................................................................ 6-27
PART II: ADJUSTED INCOME ........................................................................................................................................ 6-31
6-II.A. Introduction .............................................................................................................................................. 6-31
6-II.B. Dependent Deduction ............................................................................................................................... 6-32
6-II.C. Elderly or Disabled Family Deduction ....................................................................................................... 6-32
6-II.D. Medical Expenses Deduction [24 CFR 5.611(a)(3)(i)] ............................................................................... 6-32
6-II.E. Disability Assistance Expenses Deduction [24 CFR 5.603(b) and 24 CFR 5.611(a)(3)(ii)] ......................... 6-34
6-II.F. Child Care Expense Deduction ................................................................................................................... 6-36
6-II.G. Permissive Deductions [24 CFR 5.611(b)(1)] ............................................................................................ 6-39
PART III: CALCULATING RENT ...................................................................................................................................... 6-39
6-III.A. Overview of Income-Based Rent Calculations ......................................................................................... 6-39
6-III.B. Financial Hardships Affecting Minimum Rent [24 CFR 5.630] ................................................................. 6-41
6-III.C. Utility Allowances [24 CFR 965, Subpart E] ............................................................................................. 6-45
6-III.D. Prorated Rent for Mixed Families [24 CFR 5.520] ................................................................................... 6-45
6-III.E. Flat Rents and Family Choice In Rents [24 CFR 960.253] ......................................................................... 6-46
Exhibit 6-1: Annual Income Inclusions ................................................................................................................ 6-49
Exhibit 6-2: Annual Income Exclusions ................................................................................................................ 6-51
Exhibit 6-3: Treatment of Family Assets ............................................................................................................. 6-53
Exhibit 6-4: Earned Income Disallowance ........................................................................................................... 6-54
Exhibit 6-5: The Effect of Welfare Benefit Reduction ............................................................................................ 6-4
CHAPTER 7 ............................................................................................................................................................. 7-1
VERIFICATION ................................................................................................................................................................ 7-1
INTRODUCTION ............................................................................................................................................................. 7-1
PART I: GENERAL VERIFICATION REQUIREMENTS ......................................................................................................... 7-1
7-I.A. Family Consent to Release of Information [24 CFR 960.259, 24 CFR 5.230] ............................................... 7-1
7-I.B. Overview of Verification Requirements ....................................................................................................... 7-2
7-I.C. Up-Front Income Verification (UIV) ............................................................................................................. 7-4
7-I.D. Third-Party Written and Oral Verification ................................................................................................... 7-6
7-I.E. Self-Certification .......................................................................................................................................... 7-9
PART II: VERIFYING FAMILY INFORMATION ................................................................................................................. 7-10
7-II.A. Verification of Legal Identity .................................................................................................................... 7-10
7-II.B. Social Security Numbers [24 CFR 5.216 and Notice PIH 2018-24] ........................................................... 7-10
7-II.C. Documentation of Age .............................................................................................................................. 7-12
7-II.D. Family Relationships................................................................................................................................. 7-12
7-II.E. Verification of Student Status ................................................................................................................... 7-14
7-II.F. Documentation of Disability ..................................................................................................................... 7-14
7-II.G. Citizenship or Eligible Immigration Status [24 CFR 5.508] ....................................................................... 7-15
7-II.H. Verification of Preference Status .............................................................................................................. 7-16
PART III: VERIFYING INCOME AND ASSETS .................................................................................................................. 7-19
7-III.A. Earned Income ......................................................................................................................................... 7-19
7-III.B. Business and Self Employment Income.................................................................................................... 7-19
7-III.C. Periodic Payments and Payments In Lieu of Earnings ............................................................................. 7-20
7-III.D. Alimony or Child Support ......................................................................................................................... 7-20
7-III.E. Assets and Income from Assets ............................................................................................................... 7-21
7-III.F. Net Income from Rental Property ............................................................................................................ 7-22
7-III.G. Retirement Accounts ............................................................................................................................... 7-23
7-III.H. Income from Excluded Sources ................................................................................................................ 7-23
7-III.I. Zero Annual Income Status ....................................................................................................................... 7-24
PART IV: VERIFYING MANDATORY DEDUCTIONS ........................................................................................................ 7-24
7-IV.A. Dependent and Elderly/Disabled Household Deductions ........................................................................ 7-24
7-IV.B. Medical Expense Deduction .................................................................................................................... 7-25
7-IV.C. Disability Assistance Expenses................................................................................................................. 7-26
7-IV.D. Child Care Expenses ................................................................................................................................ 7-28
Exhibit 7-1: Summary of Documentation Requirements for Noncitizens [HCV GB, pp. 5-9 and 5-10] ............... 7-30
CHAPTER 8 ............................................................................................................................................................. 8-1
LEASING AND INSPECTIONS [24 CFR 5, SUBPART G; 24 CFR 966, SUBPART A] ........................................................ 8-1
INTRODUCTION ............................................................................................................................................................. 8-1
PART I: LEASING ............................................................................................................................................................. 8-1
8-I.A. Overview...................................................................................................................................................... 8-1
8-I.B. Lease Orientation ........................................................................................................................................ 8-2
8-I.C. Execution of Lease ....................................................................................................................................... 8-3
8-I.D. Modifications to the Lease .......................................................................................................................... 8-3
8-I.E. Security Deposits [24 CFR 966.4(b)(5)] ........................................................................................................ 8-4
8-I.F. Payments Under The Lease .......................................................................................................................... 8-6
8-I.G. Minimum Heating Standards (PIH Notice 2018-19) .................................................................................... 8-9
PART II: INSPECTIONS .................................................................................................................................................. 8-10
8-II.A. Overview................................................................................................................................................... 8-10
8-II.B. Types of Inspections ................................................................................................................................. 8-10
8-II.C. Notice and Scheduling of Inspections ....................................................................................................... 8-11
8-II.D. Inspection Results ..................................................................................................................................... 8-12
Exhibit 8-1: Smoke-Free Policy ............................................................................................................................ 8-14
CHAPTER 9 ............................................................................................................................................................. 9-1
REEXAMINATIONS [24 CFR 960.257, 960.259, 966.4] ............................................................................................. 9-1
INTRODUCTION ............................................................................................................................................................. 9-1
PART I: ANNUAL REEXAMINATIONS FOR FAMILIES PAYING INCOME BASED RENTS .................................................... 9-2
9-I.A. Overview...................................................................................................................................................... 9-2
9-I.B. Streamlined Annual Reexaminations (Fixed Income) [24 CFR 960.257] ...................................................... 9-2
9-I.C. Scheduling Annual Reexaminations [PIH 2020-32] ...................................................................................... 9-3
9-I.D. Conducting Annual Reexaminations [PIH 2020-32] .................................................................................... 9-4
9-I.E. Effective Dates of Rent Increases and Decreases ........................................................................................ 9-6
PART II: REEXAMINATIONS FOR FAMILIES PAYING FLAT RENTS [24 CFR 960.257(2)] ................................................... 9-7
9-II.A. Overview..................................................................................................................................................... 9-7
9-II.B. Full Reexamination of Family Income and Composition ............................................................................. 9-8
9-II.C. Reexamination of Family Composition (“Annual Update”) ....................................................................... 9-8
PART III: INTERIM REEXAMINATIONS [24 CFR 960.257; 24 CFR 966.4] ....................................................................... 9-11
9-III.A. Overview.................................................................................................................................................. 9-11
9-III.B. Changes in Family and Household Composition ...................................................................................... 9-12
9-III.C. Changes Affecting Income or Expenses ................................................................................................... 9-14
9-III.D. Processing the Interim Reexamination .................................................................................................... 9-16
PART IV: RECALCULATING TENANT RENT .................................................................................................................... 9-17
9-IV.A. Overview ................................................................................................................................................. 9-17
9-IV.B. Changes in Utility Allowances [24 CFR 965.507, 24 CFR 966.4] .............................................................. 9-17
9-IV.C. Notification of New Tenant Rent ............................................................................................................. 9-18
9-IV.D. Discrepancies .......................................................................................................................................... 9-18
CHAPTER 10 ......................................................................................................................................................... 10-1
PETS [24 CFR 5, SUBPART C; 24 CFR 960, SUBPART G] .......................................................................................... 10-1
INTRODUCTION ........................................................................................................................................................... 10-1
PART I: ASSISTANCE ANIMALS [Section 504; Fair Housing Act (42 U.S.C.); 24 CFR 5.30324 CFR 960.705] ................. 10-2
10-I.A. Overview.................................................................................................................................................. 10-2
10-I.B. Approval of Assistance Animals [Notice FHEO 2020-01] ......................................................................... 10-2
10-I.C. Care and Handling ................................................................................................................................... 10-5
PART II: PET POLICIES FOR ALL DEVELOPMENTS ......................................................................................................... 10-6
10-II.A. Overview................................................................................................................................................. 10-6
10-II.B. Management Approval of Pets ............................................................................................................... 10-6
10-II.C. Standards for Pets [24 CFR 5.318; 960.707(b)] ....................................................................................... 10-8
10-II.D. Pet Rules ................................................................................................................................................. 10-9
PART III: PET DEPOSITS AND FEES IN ELDERLY/DISABLED DEVELOPMENTS .............................................................. 10-13
10-III.A. Overview.............................................................................................................................................. 10-13
10-III.B. Pet Deposits ......................................................................................................................................... 10-13
10-III.C. Other Charges ...................................................................................................................................... 10-14
PART IV: PET DEPOSITS AND FEES IN GENERAL OCCUPANCY DEVELOPMENTS ........................................................ 10-15
10-IV.A. Overview ............................................................................................................................................. 10-15
10-IV.B. Pet Deposits......................................................................................................................................... 10-15
10-IV.C. Non-Refundable Nominal Pet Fee ....................................................................................................... 10-16
10-IV.D. Other Charges ..................................................................................................................................... 10-16
CHAPTER 11 ......................................................................................................................................................... 11-1
COMMUNITY SERVICE ................................................................................................................................................. 11-1
INTRODUCTION ........................................................................................................................................................... 11-1
PART I: COMMUNITY SERVICE REQUIREMENT ............................................................................................................ 11-1
11-I.A. Overview.................................................................................................................................................. 11-1
11-I.B. Requirements .......................................................................................................................................... 11-1
11-I.C. Determination of Exemption Status and Compliance [24 CFR 960.605(c)(3)] ......................................... 11-5
11-I.D. Documentation And Verification [24 CFR 960.605(c)(4)], 960.607, Notice PIH 2016-08] ....................... 11-7
11-I.E. Noncompliance ........................................................................................................................................ 11-8
PART II: IMPLEMENTATION OF COMMUNITY SERVICE.............................................................................................. 11-10
11-II.A. Overview............................................................................................................................................... 11-10
Exhibit 11-1: Community Service and Self-Sufficiency Policy ............................................................................ 11-11
Exhibit 11-2: Definition of a Person with a Disability Under Social Security Acts 216(i)(l) and Section 1416
(excerpt) for Purposes of Exemption from Community Service ............................................................ 11-17
Exhibit 11-3: PHA Determination of Exemption for Community Service ........................................................... 11-18
CHAPTER 12 ......................................................................................................................................................... 12-1
TRANSFER POLICY ........................................................................................................................................................ 12-1
INTRODUCTION ........................................................................................................................................................... 12-1
Part I: Emergency Transfers ......................................................................................................................................... 12-1
12-I.A. Overview.................................................................................................................................................. 12-1
12-I.B. Emergency Transfers ............................................................................................................................... 12-2
12-I.C. Emergency Transfer Procedures .............................................................................................................. 12-3
12-I.D. Costs of Transfer ..................................................................................................................................... 12-3
PART II: PHA REQUIRED TRANSFERS ............................................................................................................................ 12-3
12-II.A. Overview................................................................................................................................................. 12-3
12-II.B. Types of PHA Required Transfers ............................................................................................................ 12-4
12-II.C. Adverse Action [24 CFR 966.4(e)(8)(i)] .................................................................................................... 12-6
12-II.D. Cost of Transfer ...................................................................................................................................... 12-6
PART III: TRANSFERS REQUESTED BY TENANTS ........................................................................................................... 12-6
12-III.A. Overview................................................................................................................................................ 12-6
12-III.B. Types of Resident Requested Transfers ................................................................................................. 12-6
12-III.C. Eligibility for Transfer ............................................................................................................................ 12-7
12-III.D. Security Deposits ................................................................................................................................... 12-8
12-III.E. Cost of Transfer...................................................................................................................................... 12-8
12-III.F. Handling of Requests ............................................................................................................................. 12-8
PART IV: TRANSFER PROCESSING ................................................................................................................................ 12-9
12-IV.A. Overview ............................................................................................................................................... 12-9
12-IV.B. Transfer List ........................................................................................................................................... 12-9
12-IV.C. Transfer Offer Policy ............................................................................................................................ 12-10
12-IV.D. Good Cause for Unit Refusal ............................................................................................................... 12-10
12-IV.E. Deconcentration .................................................................................................................................. 12-11
12-IV.F. Reexamination Policies for Transfers................................................................................................... 12-11
CHAPTER 13 ......................................................................................................................................................... 13-1
LEASE TERMINATIONS ................................................................................................................................................. 13-1
INTRODUCTION ........................................................................................................................................................... 13-1
PART I: TERMINATION BY TENANT .............................................................................................................................. 13-2
13-I.A. Tenant Chooses To Terminate The Lease [24 CFR 966.4(k)(1)(ii) and 24 CFR 966.4(l)(1)] ....................... 13-2
PART II: TERMINATION BY PHA – MANDATORY .......................................................................................................... 13-2
13-II.A. Overview................................................................................................................................................. 13-2
13-II.B. Failure to Provide Consent [24 CFR 960.259(a) and (b)]......................................................................... 13-3
13-II.C. Failure To Document Citizenship [24 CFR 5.514(c) and (d) and 24 CFR 960.259(a)] .............................. 13-3
13-II.D. Failure To Disclose And Document Social Security Numbers [24 CFR 5.218(c),24 CFR 960.259(a)(3),
Notice PIH 2018-24] ............................................................................................................................... 13-3
13-II.E. Failure To Accept The PHA’s Offer of A Lease Revision [24 CFR 966.4(l)(2)(ii)(E)] .................................. 13-4
13-II.F. Methamphetamine Conviction [24 CFR 966.4(l)(5)(i)(A)] ....................................................................... 13-4
13-II.G. Lifetime Registered Sex Offenders (PIH Notice 2012-28) ....................................................................... 13-4
13-II.H. Noncompliance With Community Service Requirements [24 CFR 966.4(l)(2)(ii)(D), 24 CFR 960.603(b) and
24 CFR 960.607(b)(2)(ii) and (c)] ............................................................................................................ 13-4
13-II.I. DEATH OF A SOLE FAMILY MEMBER [Notice PIH 2010-3, Notice PIH 2010-50]) ..................................... 13-5
PART III: TERMINATION BY PHA – OTHER AUTHORIZED REASONS ............................................................................. 13-6
13-III.A. Overview................................................................................................................................................ 13-6
13-III.B. Mandatory Lease Provisions [24 CFR 966.4(l)(5)] .................................................................................. 13-7
13-III.C. Other Authorized Reasons For Termination [24 CFR 966.4(l)(2) and (5)(ii)(B)] ................................... 13-12
13-III.D. Alternatives to Termination of Tenancy for Criminal Activity or Alcohol Abuse ................................. 13-17
13-III.E. Criteria for Deciding to Terminate Tenancy ......................................................................................... 13-17
13-III.F. Terminations Related To Domestic Violence, Dating Violence, Sexual Assault, Or Stalking ................ 13-20
PART IV: NOTIFICATION REQUIREMENTS, EVICTION PROCEDURES AND RECORD KEEPING .................................... 13-23
13-IV.A. Overview ............................................................................................................................................. 13-23
13-IV.B. Conducting Criminal Records Checks [24 CFR 5.903(e)(ii) and 24 CFR 960.259] ................................. 13-23
13-IV.C. Disclosure of Criminal Records To Family [24 CFR 5.903(f), 24 CFR 5.905(d) and 24 CFR 966.4(l)(5)(iv)]13-
24
13-IV.D. Lease Termination Notice [24 CFR 966.4(l)(3); PIH 2020-32] .............................................................. 13-25
13-IV.E. Eviction [24 CFR 966.4(l)(4) and 966.4(m)] .......................................................................................... 13-27
13-IV.F. Notification To Post Office [24CFR 966.4(l)(5)(iii)(B)] .......................................................................... 13-28
13-IV.G. Record Keeping ................................................................................................................................... 13-28
CHAPTER 14 ......................................................................................................................................................... 14-1
GRIEVANCES AND APPEALS ......................................................................................................................................... 14-1
INTRODUCTION ........................................................................................................................................................... 14-1
PART I: INFORMAL HEARINGS FOR PUBLIC HOUSING APPLICANTS ............................................................................ 14-1
14-I.A. Overview.................................................................................................................................................. 14-1
14-I.B. Informal Hearing Process [24 CFR 960.208(a) and PH Occ GB, p. 58] ..................................................... 14-1
14-I.C Remote Informal Hearings [PIH 2020-32; 24 CFR §960.208; 24 CFR §966.56] ......................................... 14-3
PART II: INFORMAL HEARINGS WITH REGARD TO NONCITIZENS ................................................................................ 14-5
14-II.A. Hearing and Appeal Provisions for Noncitizens [24 CFR 5.514] ............................................................. 14-5
PART III: GRIEVANCE PROCEDURES FOR PUBLIC HOUSING RESIDENTS ...................................................................... 14-9
14-III.A. Requirements [24 CFR 966.52] .............................................................................................................. 14-9
14-III.B. Definitions [24 CFR 966.53; 24 CFR 966.51(a)(2)(i)] ............................................................................ 14-10
14-III.C. Applicability [24 CFR 966.51] ............................................................................................................... 14-11
14-III.D. Informal Settlement of Grievance [24 CFR 966.54][See local procedure, “Grievance Policy and
Flowchart” for details].......................................................................................................................... 14-11
14-III.E. Procedures to Obtain a Hearing After the Informal Settlement Meeting [24 CFR 966.56(a)] ............. 14-12
14-III.F. Selection of Hearing Officer/Panel [24CFR 966.4(n)(2); 966.53(e), PIH 2016-05 ................................ 14-13
14-III.G. REMOTE HEARINGS [PIH 2020-32] ..................................................................................................... 14-14
14-III.H. Procedures Governing The Hearing [24 CFR 966.56] .......................................................................... 14-16
14-III.I. Decision of the Hearing Officer/Panel [24 CFR 966.57] ........................................................................ 14-19
CHAPTER 15 ......................................................................................................................................................... 15-1
PROGRAM INTEGRITY .................................................................................................................................................. 15-1
INTRODUCTION ........................................................................................................................................................... 15-1
PART I: PREVENTING, DETECTING, AND INVESTIGATING ERRORS AND PROGRAM ABUSE ........................................ 15-1
15-I.A. Preventing Errors and Program Abuse .................................................................................................... 15-1
15-I.B. Detecting Errors and Program Abuse ...................................................................................................... 15-2
15-I.C. Investigating Errors and Program Abuse ................................................................................................. 15-3
PART II: CORRECTIVE MEASURES AND PENALTIES ...................................................................................................... 15-5
15-II.A. Under- Or Overpayment ......................................................................................................................... 15-5
15-II.B. Family-Caused Errors and Program Abuse ............................................................................................. 15-5
15-II.C. PHA-Caused Errors or Program Abuse .................................................................................................... 15-7
15-II.D. Criminal Prosecution .............................................................................................................................. 15-8
15-II.E. Fraud and Program Abuse Recoveries .................................................................................................... 15-8
CHAPTER 16 ......................................................................................................................................................... 16-1
PROGRAM ADMINISTRATION ...................................................................................................................................... 16-1
INTRODUCTION ........................................................................................................................................................... 16-1
PART I: SETTING UTILITY ALLOWANCES [24 CFR 965 Subpart E] ................................................................................. 16-1
16-I.A. Overview.................................................................................................................................................. 16-2
16-I.B Utility Allowances ..................................................................................................................................... 16-2
16-I.C. Surcharges for PHA-Furnished Utilities [24 CFR 965.506] ....................................................................... 16-3
16-I.D. Notice Requirements [965.502] .............................................................................................................. 16-4
16-I.E. Reasonable Accommodation [24 CFR 965.508] ....................................................................................... 16-4
PART II: ESTABLISHING FLAT RENTS ............................................................................................................................. 16-5
16-II.A. Overview................................................................................................................................................. 16-5
16-II.B. Flat Rents [24 CFR 960.253(b) and Notice PIH 2017-23] ........................................................................ 16-5
PART III: FAMILY DEBTS TO THE PHA ........................................................................................................................... 16-6
16-III.A. Overview................................................................................................................................................ 16-6
16-III.B. Repayment Policy .................................................................................................................................. 16-7
PART IV: PUBLIC HOUSING ASSESSMENT SYSTEM (PHAS)........................................................................................... 16-9
16-IV.A. Overview ............................................................................................................................................... 16-9
16-IV.B. PHAS Indicators [24 CFR 902 Subparts A, B, C, D, and E] ...................................................................... 16-9
16-IV.C. PHAS Scoring [24 CFR 902 Subpart F] .................................................................................................. 16-10
PART V: RECORD KEEPING ......................................................................................................................................... 16-11
16-V.A. Overview .............................................................................................................................................. 16-11
16-V.B. Record Retention .................................................................................................................................. 16-11
16-V.C. Records Management and Safeguarding Sensitive Personally Identifiable Information [PIH 2014-10] .. 16-
12
PART VI: REPORTING REQUIREMENTS FOR CHILDREN WITH ENVIRONMENTAL INTERVENTION BLOOD LEAD LEVEL16-15
16-VI.A. Reporting Requirements [24 CFR 35.1130(e), PIH Notice 2017-13] .................................................... 16-15
PART VII: VIOLENCE AGAINST WOMEN ACT (VAWA): NOTIFICATION, DOCUMENTATION, CONFIDENTIALITY ........ 16-15
16-VII.A. Overview ........................................................................................................................................... 16-15
16-VII.B. Definitions [24 CFR 5.2003] ................................................................................................................ 16-16
16-VII.C. Notification [24 CFR 5.2005(a)] .......................................................................................................... 16-17
16-VII.D. Documentation [24 CFR 5.2007] ........................................................................................................ 16-18
16-VII.E. Confidentiality [24 CFR 5.2007(b)(4)] ................................................................................................. 16-21
Exhibit 16-1: Notice of Occupancy Rights Under the Violence Against Women Act ......................................... 16-23
Exhibit 16-2: Certification of Domestic Violence, Dating Violence, Sexual Assault, or Stalking and Alternate
Documentation, Form HUD-5382 ......................................................................................................... 16-28
Exhibit 16-3: Emergency Transfer Plan for Victims of Domestic Violence, Dating Violence, Sexual Assault, or
Stalking ................................................................................................................................................. 16-32
Exhibit 16-4: Emergency Transfer Plan for Certain Victims of Domestic Violence, Dating Violence, Sexual Assault,
or Stalking, Form HUD-5383 ................................................................................................................ 16-36
CHAPTER 17 ....................................................................................................................................................... 17-39
GLOSSARY .................................................................................................................................................................. 17-39
A.
ACRONYMS USED IN PUBLIC HOUSING ................................................................................................ 17-39
B.
GLOSSARY OF PUBLIC HOUSING TERMS ................................................................................................. 17-1
1
Chapter 1
OVERVIEW OF THE PROGRAM AND PLAN
INTRODUCTION
The PHA receives its operating subsidy for the public housing program from the Department of
Housing and Urban Development. The PHA is not a federal department or agency. A public
housing agency (PHA) is a governmental or public body, created and authorized by state law to
develop and operate housing and housing programs for low-income families. The PHA enters
into an Annual Contributions Contract with HUD to administer the public housing program. The
PHA must ensure compliance with federal laws, regulations, and notices, and must establish
policy and procedures to clarify federal requirements and to ensure consistency in program
operation.
This chapter contains information about the PHA and its programs with emphasis on the public
housing program. It also contains information about the purpose, intent, and use of the plan and
guide.
There are three parts to this chapter:
Part I: The Public Housing Agency (PHA). This part includes a description of the PHA,
its jurisdiction, its programs, and its mission and intent.
Part II: The Public Housing Program. This part contains information about public
housing operation, roles and responsibilities, and partnerships.
Part III: The Admissions and Continued Occupancy (ACOP). This part discusses the
purpose and organization of the plan and its revision requirements.
PART I: THE PHA
1-I.A. Overview
This part describes the PHA’s creation and authorization, the general structure of the
organization, and the relationship between the PHA Board and staff.
1-I.B. Organization and Structure of the PHA
Public housing is funded by the federal government and administered by the City of Chandler
Housing and Redevelopment Division for the jurisdiction of City of Chandler.
PHAs are governed by a board of officials that are generally called “commissioners.” Although
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some PHAs may use a different title for their officials, this document will hitherto refer to the
“board of commissioners” or the “board” when discussing the board of governing officials.
Commissioners are appointed in accordance with state housing law and generally serve in the
same capacity as the directors of a corporation. The board of commissioners establishes policies
under which the PHA conducts business, and ensures that those policies are followed by PHA
staff. The board is responsible for preserving and expanding the agency’s resources and assuring
the agency’s continued viability and success.
Formal actions of the PHA are taken through written resolutions, adopted by the board, and
entered into the official records of the PHA.
The principal staff member of the PHA is the executive director (ED), who is selected and hired
by the board. The ED oversees the day to day operations of the PHA and is directly responsible
for carrying out the policies established by the commissioners. The ED’s duties include hiring,
training, and supervising the PHA’s staff, as well as budgeting and financial planning for the
agency. Additionally, the ED is charged with ensuring compliance with federal and state laws,
and program mandates. In some PHAs, the ED is known by another title, such as chief executive
officer or president.
1-I.C. PHA Mission
The purpose of a mission statement is to communicate the purpose of the agency to people inside
and outside of the agency. It provides the basis for strategy development, identification of critical
success factors, resource allocation decisions, as well as ensuring client and stakeholder
satisfaction.
PHA Policy
The Housing and Redevelopment Division (the Housing Authority) of the City of
Chandler is a local municipal subcomponent unit of government incorporated within the
City of Chandler with the purpose of providing, facilitating and managing affordable
housing products and supportive services to eligible persons with limited incomes,
through a variety of federal, state, local and private resources.
1-I.D. The PHA’s Commitment to Ethics and Service
As a public service agency, the PHA is committed to providing excellent service to all public
housing applicants, residents, and the public. In order to provide superior service, the PHA
resolves to:
Administer applicable federal and state laws and regulations to achieve high ratings in
compliance measurement indicators while maintaining efficiency in program operation to
ensure fair and consistent treatment of clients served.
Provide decent, safe, and sanitary housing in good repair – in compliance with program
uniform physical condition standards – for very low- and low-income families.
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Achieve a healthy mix of incomes in its public housing developments by attracting and
retaining higher income families and by working toward de-concentration of poverty goals.
Encourage self-sufficiency of participant families and assist in the expansion of family
opportunities which address educational, socio-economic, recreational, and other human
service needs.
Promote fair housing and the opportunity for very low- and low-income families of all races,
ethnicities, national origins, religions, ethnic backgrounds, and with all types of disabilities,
to participate in the public housing program and its services.
Create positive public awareness and expand the level of family and community support in
accomplishing the PHA’s mission.
Attain and maintain a high level of standards and professionalism in day-to-day management
of all program components.
Administer an efficient, high-performing agency through continuous improvement of the
PHA’s support systems and commitment to our employees and their development.
The PHA will make every effort to keep residents informed of program rules and regulations,
and to advise participants of how the program rules affect them.
PART II: THE PUBLIC HOUSING PROGRAM
1-II.A. Overview and History of the Program
The intent of this section is to provide the public and staff an overview of the history and
operation of public housing.
The United States Housing Act of 1937 (the “Act”) is responsible for the birth of federal housing
program initiatives, known as public housing. The Act was intended to provide financial
assistance to states and cities for public works projects, slum clearance, and the development of
affordable housing for low-income residents. There have been many changes to the program
since its inception in 1937.
The Housing Act of 1965 established the availability of federal assistance, administered through
local public agencies, to provide rehabilitation grants for home repairs and rehabilitation. This
act also created the federal Department of Housing and Urban Development (HUD).
The Housing Act of 1969 created an operating subsidy for the public housing program for the
first time. Until that time, public housing was a self-sustaining program.
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In 1998, the Quality Housing and Work Responsibility Act (QHWRA) – also known as the
Public Housing Reform Act or Housing Act of 1998 – was signed into law. Its purpose was to
provide more private sector management guidelines to the public housing program and provide
residents with greater choices. It also allowed PHAs more remedies to replace or revitalize
severely distressed public housing developments. Highlights of the Reform Act include: the
establishment of flat rents; the requirement for PHAs to develop five-year and annual plans;
income targeting, a requirement that 40% of all new admissions in public housing during any
given fiscal year be reserved for extremely low-income families; and resident self-sufficiency
incentives.
1-II.B. Public Housing Program Basics
HUD writes and publishes regulations in order to implement public housing laws enacted by
Congress. HUD contracts with the PHA to administer programs in accordance with HUD
regulations and provides an operating subsidy to the PHA. The PHA must create written policies
that are consistent with HUD regulations. Among these policies is the PHA’s Admissions and
Continued Occupancy Policy (ACOP). The ACOP must be approved by the board of
commissioners of the PHA.
The job of the PHA pursuant to HUD regulations is to provide decent, safe, and sanitary housing,
in good repair, to low-income families at an affordable rent. The PHA screens applicants for
public housing and, if they are determined to be eligible for the program, the PHA makes an
offer of a housing unit. If the applicant accepts the offer, the PHA and the applicant will enter
into a written lease agreement. At this point, the applicant becomes a tenant in the public housing
program.
In the context of the public housing program, a tenant is defined as the adult person(s) (other
than a live-in aide who (1) executed the lease with the PHA as lessee of the dwelling unit, or, if
no such person now resides in the unit, (2) who resides in the unit, and who is the remaining
head of household of the tenant family residing in the dwelling unit. [24 CFR 966.53]. The
Public Housing Occupancy Guidebook refers to tenants as “residents.” The terms “tenant” and
“resident” are used interchangeably in this policy. Additionally, this policy uses the term
“family” or “families” for residents or applicants, depending on context.
Since the PHA owns the public housing development, the PHA is the landlord. The PHA must
comply with all of the legal and management responsibilities of a landlord in addition to
administering the program in accordance with HUD regulations and PHA policy.
1-II.C. Public Housing Partnerships
To administer the public housing program, the PHA must enter into an Annual Contributions
Contract (ACC) with HUD. The PHA also enters into a contractual relationship with the tenant
through the public housing lease. These contracts define and describe the roles and
responsibilities of each party.
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In addition to the ACC, the PHA and family must also comply with federal regulations and other
HUD publications and directives. For the program to work and be successful, all parties
involved – HUD, the PHA, and the tenant – play an important role.
The following chart illustrates key aspects of these relationships.
The Public Housing Relationships
What does HUD do?
Federal law is the source of HUD responsibilities. HUD has the following major responsibilities:
1-6
Develop regulations, requirements, handbooks, notices and other guidance to implement
housing legislation passed by Congress
Allocate operating subsidies to PHAs
Allocate capital funding to PHAs
Provide technical assistance to PHAs on interpreting and applying program requirements
Monitor PHA compliance with program requirements and PHA performance in program
administration.
What does the PHA do?
The PHA’s responsibilities originate in federal regulations and the ACC. The PHA owns and
manages public housing developments, administers the program under contract with HUD and
has the following major responsibilities:
Ensure compliance with all non-discrimination, equal opportunity, and fair housing laws, and
ensure that the program is accessible to persons with disabilities
Establish local policies and procedures for operating the program
Accept applications from interested applicant families and determine whether they are
income eligible for the program
Maintain waiting list and select families for admission
Screen applicant families for suitability as renters.
Maintain housing units by making any necessary repairs in a timely manner
Make unit offers to families (minimize vacancies without overcrowding)
Maintain properties to the standard of decent, safe, sanitary, and in good repair (including
assuring compliance with uniform physical conditions standards)
Make sure the PHA has adequate financial resources to maintain its housing stock
Perform regular reexaminations of family income and composition in accordance with HUD
requirements
Collect rent due from the assisted family and comply with and enforce provisions of the lease
Ensure that families comply with program rules
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Provide families with prompt and professional service
Comply with HUD regulations and requirements, the Annual Contributions Contract, HUD-
approved applications for funding, the PHA’s ACOP, and other applicable federal, state, and
local laws.
What does the Tenant do?
The tenant’s responsibilities are articulated in the public housing lease. The tenant has the
following broad responsibilities:
Comply with the terms of the lease and PHA house rules, as applicable
Provide the PHA with complete and accurate information, determined by the PHA to be
necessary for administration of the program
Cooperate in attending all appointments scheduled by the PHA
Allow the PHA to inspect the unit at reasonable times and after reasonable notice
Take responsibility for care of the housing unit, including any violations of uniform physical
condition standards caused by the family
Not engage in drug-related or violent criminal activity
Notify the PHA before moving or termination of the lease
Use the assisted unit only for residence and as the sole residence of the family. Not sublet the
unit or assign the lease
Promptly notify the PHA of any changes in family composition
Not commit fraud, bribery, or any other corrupt or criminal act in connection with any
housing programs.
Take care of the housing unit and report maintenance problems to the PHA promptly
If all parties fulfill their obligations in a professional and timely manner, the program
responsibilities will be fulfilled in an effective manner.
1-II.D. Applicable Regulations
Applicable regulations include:
o 24 CFR Part 5: General Program Requirements
o 24 CFR Part 8: Nondiscrimination
o 24 CFR Part 902: Public Housing Assessment System
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o 24 CFR Part 903: Public Housing Agency Plans
o 24 CFR Part 945: Designated Housing
o 24 CFR Part 960: Admission and Occupancy Policies
o 24 CFR Part 965: PHA-Owned or Leased Projects – General Provisions
o 24 CFR Part 966: Lease and Grievance Procedures
PART III: THE ADMISSIONS AND CONTINUED OCCUPANCY POLICIES
1-III.A. Overview and Purpose of the Policy
The ACOP is the PHA’s written statement of policies used to carry out the housing program in
accordance with federal law and regulations, and HUD requirements. The ACOP is required by
HUD and it must be available for public review [CFR 24 Part 903]. The ACOP also contains
policies that support the objectives contained in the PHA’s Agency Plan.
All issues related to public housing not addressed in this ACOP are governed by federal
regulations, HUD handbooks and guidebooks, notices and applicable state and local laws. The
policies in this ACOP have been designed to ensure compliance with the consolidated ACC and
all HUD-approved applications for program funding. The PHA is responsible for complying with
all changes in HUD regulations pertaining to public housing. If such changes conflict with this
plan, HUD regulations will have precedence.
1-III.B. Contents of the Policy
Unlike the housing choice voucher program, HUD regulations for public housing do not contain
a list of what must be included in the ACOP. However, individual regulations contain
requirements of inclusion in the PHA’s written policy. At a minimum, the ACOP plan should
cover PHA policies on these subjects:
The organization of the waiting list and how families are selected and offered available units,
including any PHA admission preferences, procedures for removing applicant names from
the waiting list, and procedures for closing and reopening the PHA waiting list (Chapters 4
and 5)
Transfer policies and the circumstances under which a transfer would take precedence over
an admission (Chapter 12)
Standards for determining eligibility, suitability for tenancy, and the size and type of the unit
needed (Chapters 3 and 5)
Procedures for verifying the information the family has provided (Chapter 7)
The method for achieving de-concentration of poverty and income-mixing of public housing
developments (Chapter 4)
Grievance procedures (Chapter 14)
Policies concerning payment by a family to the PHA of amounts the family owes the PHA
(Chapter 15 and 16)
Interim redeterminations of family income and composition (Chapter 9)
Policies Regarding Community Service Requirements; (Chapter 11)
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Polices and rules about safety and ownership of pets in public housing (Chapter 10).
New Approach to Policy Development
HUD has developed an approach to monitoring PHAs that emphasizes the importance of
consistency in operation and decision-making. The ACOP supports that goal by clearly setting
forth the PHA’s operating policies.
A primary focus of HUD’s Rental Integrity Monitoring (RIM) program has been consistency in
how PHAs conduct their business and in how HUD monitors PHA activities. Referring to and
following the ACOP is essential to maintaining consistency in applying PHA policy.
HUD makes a distinction between:
Mandatory policies: those driven by legislation, regulations, current handbooks, current PIH
notices, and legal opinions, and from the Office of General Counsel,
Optional, non-binding guidance includes guidebooks, FAQs, PIH notices that have expired
and recommendations from individual HUD staff.
HUD expects PHAs to develop policies and procedures that are consistent with mandatory
policies and to make clear the optional policies the PHA has adopted. The ACOP is comprised
of mandatory policies and optional PHA policy. HUD’s new direction emphasizes the need for a
clearly written and comprehensive ACOP to guide staff in the clear and consistent application of
policy.
HUD suggestions, recommendations, written issuances, and guidance are consistent with
mandatory federal policy. Therefore, using HUD guidance in the preparation of PHA policy,
even though it is not mandatory, provides a PHA with a “safe harbor.” If a PHA adopts its own
optional policy, it must make its own determination that such policy is consistent with
legislation, regulations, and other mandatory requirements. There may be very good reasons for
adopting a policy or procedure that is different than that suggested by HUD, but PHAs should
carefully think through those decisions and be able to articulate how their policy is consistent
with federal laws, regulations, and mandatory policy.
1-III.C. Updating and Revising the Policy
The PHA will revise this ACOP as needed to comply with changes in HUD regulations. The
original policy and any changes must be approved by the board of commissioners of the PHA,
the pertinent sections included in the Agency Plan, and a copy provided to HUD.
PHA Policy
The PHA will review and update the ACOP as needed, to reflect changes in regulations,
PHA operations, or when needed to ensure staff consistency in operation.
1
CHAPTER 2
FAIR HOUSING AND EQUAL OPPORTUNITY
INTRODUCTION
This chapter explains the laws and HUD regulations requiring PHAs to affirmatively further civil
rights and fair housing in all federally-assisted housing programs. The letter and spirit of these
laws are implemented through consistent policy and procedures. The responsibility to further
nondiscrimination pertains to all areas of the PHA’s public housing operations.
This chapter describes HUD regulations and PHA policies related to these topics in three parts:
Part I: Nondiscrimination. This part presents the body of laws and regulations governing
the responsibilities of the PHA regarding nondiscrimination.
Part II: Policies Related to Persons with Disabilities. This part discusses the rules and
policies of the public housing program related to reasonable accommodation for persons
with disabilities. These rules and policies are based on the Fair Housing Act (42.U.S.C.)
and Section 504 of the Rehabilitation Act of 1973, and incorporate guidance from the
Joint Statement of The Department of Housing and Urban Development and the
Department of Justice (DOJ), issued May 17, 2004.
Part III: Prohibition of Discrimination Against Limited English Proficiency (LEP). This
part details the obligations of the PHA to ensure meaningful access to the public housing
program and its activities by persons with Limited English Proficiency (LEP). This part
incorporates the Final Guidance to Federal Financial Assistance Recipients Regarding
Title VI Prohibition against National Origin Discrimination Affecting Limited English
Proficiency (LEP) Persons published January 22, 2007, in the Federal Register.
PART I: NONDISCRIMINATION
2-I.A. Overview
Federal laws require PHAs to treat all applicants and tenant families equally, providing the same
quality of service, regardless of family characteristics and background. Federal law prohibits
discrimination in housing on the basis of race, color, religion, sex, national origin, age, familial
status, and disability. The PHA will comply fully with all federal, state, and local
nondiscrimination laws, and with rules and regulations governing fair housing and equal
opportunity in housing and employment, including:
Title VI of the Civil Rights Act of 1964
Title VIII of the Civil Rights Act of 1968 (as amended by the Community
Development Act of 1974 and the Fair Housing Amendments Act of 1988)
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Executive Order 11063
Section 504 of the Rehabilitation Act of 1973
The Age Discrimination Act of 1975
Title II of the Americans with Disabilities Act (to the extent that it applies, otherwise
Section 504 and the Fair Housing Amendments govern)
The Equal Access to Housing in HUD Programs Regardless of Sexual Orientation or
Gender Identity Final Rule, published in the Federal Register February 3, 2012 and
further clarified in Notice PIH 2014-20.
Violence against Women Act of 2013 (VAWA)
Any applicable state laws or local ordinances and any legislation protecting
individual rights of tenants, applicants, or staff that may subsequently be enacted
When more than one civil rights law applies to a situation, the laws will be read and applied
together.
PHA Policy
No state or local nondiscrimination laws or ordinances apply.
2-I.B. Nondiscrimination
Federal regulations prohibit discrimination against certain protected classes. State and local
requirements, as well as PHA policies, can prohibit discrimination against additional classes of
people.
The PHA shall not discriminate because of race, color, sex, religion, familial status, age,
disability, or national origin (called “protected classes”).
Familial status includes children under the age of 18 living with parents or legal custodians,
pregnant women, and people securing custody of children under the age of 18.
PHA Policy
The PHA will not discriminate on the basis of marital status or sexual orientation.
The PHA will not use any of these factors to:
Deny to any family the opportunity to apply for housing, nor deny to any qualified
applicant the opportunity to participate in the public housing program
Provide housing that is different from that provided to others
Subject anyone to segregation or disparate treatment
Subject anyone to sexual harassment
Restrict anyone's access to any benefit enjoyed by others in connection with the housing
program
Treat a person differently in determining eligibility or other requirements for admission
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Steer an applicant or tenant toward or away from a particular area based on any of these
factors
Deny anyone access to the same level of services
Deny anyone the opportunity to participate in a planning or advisory group that is an
integral part of the housing program
Discriminate in the provision of residential real estate transactions
Discriminate against someone because they are related to or associated with a member of
a protected class
Publish or cause to be published an advertisement or notice indicating the availability of
housing that prefers or excludes persons who are members of a protected class
Providing Information to Families
The PHA must take steps to ensure that families are fully aware of all applicable civil rights
laws. As part of the public housing orientation process, the PHA will provide information to
public housing applicant families about civil rights requirements.
Discrimination Complaints
If an applicant or tenant family believes that any family member has been discriminated against
by the PHA, the family should advise the PHA. The PHA should make every reasonable attempt
to determine whether the applicant or tenant family’s assertions have merit and take any
warranted corrective action.
In all cases, the PHA may advise the family to file a fair housing complaint if the family feels
they have been discriminated against under the Fair Housing Act.
Upon receipt of a housing discrimination complaint, the PHA is required to:
Provide written notice of the complaint to those alleged and inform the complainant that such
notice was made
Investigate the allegations and provide the complainant and those alleged with findings
and either a proposed corrective action or an explanation of why corrective action is
not warranted
Keep records of all complaints, investigations, notices, and corrective actions
[Notice PIH 2014-20]
PHA Policy
Applicants or tenant families who believe that they have been subject to unlawful
discrimination may notify the PHA either orally or in writing.
Within 10 business days of receiving the complaint, the PHA will provide a written
notice to those alleged to have violated the rule. The PHA will also send a written notice
to the complainant informing them that notice was sent to those alleged to have violated
2-4
the rule, as well as information on how to complete and submit a housing discrimination
complaint form to HUD's Office of Fair Housing and Equal Opportunity (FHEO).
The PHA will attempt to remedy discrimination complaints made against the PHA and
will conduct an investigation into all allegations or discrimination.
Within 10 business days following the conclusion of the PHA's investigation, the PHA
will provide the complainant and those alleged to have violated the rule with findings and
either a proposed corrective action plan or an explanation of why corrective action is not
warranted.
The PHA will keep a record of all complaints, investigations, notices, and corrective
actions. (See Chapter 16.)
PART II: POLICIES RELATED TO PERSONS WITH DISABILITIES
2-II.A. Overview
One type of disability discrimination prohibited by the Fair Housing Act is the refusal to make
reasonable accommodation in rules, policies, practices, or services when such accommodation
may be necessary to afford a person with a disability the equal opportunity to use and enjoy a
program or dwelling under the program.
The PHA must ensure that persons with disabilities have full access to the PHA’s programs and
services. This responsibility begins with the first inquiry of an interested family and continues
through every programmatic area of the public housing program [24 CFR 8].
The PHA must provide a notice to each tenant that the tenant may, at any time during the
tenancy, request reasonable accommodation of a handicap of a household member, including
reasonable accommodation so that the tenant can meet lease requirements or other requirements
of tenancy [24 CFR 966.7(b)].
PHA Policy
The PHA will provide for alternate format applications for persons requiring a reasonable
accommodation in the online application process.
The PHA will ask all applicants and participants if they require any type of
accommodations, in writing, on the intake application, reexamination documents, and
notices of adverse action by the PHA, by including the following language:
For applicants:
The City of Chandler Housing and Redevelopment Division is committed to fully
complying with all state, federal and local laws involving non-discrimination and
equal opportunity. Any person who believes he/she needs a reasonable
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accommodation to participate in any program for the City of Chandler Housing
and Redevelopment Division should notify our office at least twenty-four hours
prior to the date of the accommodation will be required.
For Reexamination documents and notices of adverse action by the PHA:
The City of Chandler Housing and Redevelopment Division is committed to fully
complying with all state, federal and local laws involving non-discrimination and
equal opportunity. Any person who believes he/she needs a reasonable
accommodation to participate in any program for the City of Chandler Housing
and Redevelopment Division should notify their housing specialist at least
twenty-four hours prior to the date of the accommodation will be required.-
2-II.B. Definition of Reasonable Accommodation
A “reasonable accommodation” is a change, exception, or adjustment to a policy, practice, or
service that may be necessary for a person with a disability to have an equal opportunity to use
and enjoy a dwelling, including public and common use spaces. Since policies and services may
have a different effect on persons with disabilities than on other persons, treating persons with
disabilities exactly the same as others will sometimes deny them an equal opportunity to use and
enjoy a dwelling. [Joint Statement of the Departments of HUD and Justice: Reasonable
Accommodations under the Fair Housing Act]
Federal regulations stipulate that requests for accommodations will be considered reasonable if
they do not create an "undue financial and administrative burden" for the PHA, or result in a
“fundamental alteration” in the nature of the program or service offered. A fundamental
alteration is a modification that alters the essential nature of a provider’s operations.
Types of Reasonable Accommodations
When it is reasonable (see definition above and Section 2-II.E), the PHA shall accommodate the
needs of a person with disabilities. Examples include but are not limited to:
Permitting applications and reexaminations to be completed by mail, telephone, or
walk-in. Reexaminations must be by appointment only. Walk-in applicants will be
directed to the online process only during times the waitlist is open.
Providing “large-print” forms
Conducting home visits
Permitting a higher utility allowance for the unit if a person with disabilities requires
the use of specialized equipment related to the disability
Modifying or altering a unit or physical system if such a modification or alteration is
necessary to provide equal access to a person with a disability
Installing a ramp into a dwelling or building
Installing grab bars in a bathroom
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Installing visual fire alarms for hearing impaired persons
Allowing a PHA-approved live-in aide to reside in the unit if that person is
determined to be essential to the care of a person with disabilities, is not obligated for
the support of the person with disabilities, and would not be otherwise living in the
unit.
Providing a designated handicapped-accessible parking space
Allowing an assistance animal
Permitting an authorized designee or advocate to participate in the application or
certification process and any other meetings with PHA staff
Displaying posters and other housing information in locations throughout the PHA's
office in such a manner as to be easily readable from a wheelchair
2-II.C. Request for an Accommodation
If an applicant or participant indicates that an exception, change, or adjustment to a rule, policy,
practice, or service is needed because of a disability, HUD requires that the PHA treat the
information as a request for a reasonable accommodation, even if no formal request is made
[Joint Statement of the Departments of HUD and Justice: Reasonable Accommodations under
the Fair Housing Act].
The family must explain what type of accommodation is needed to provide the person with the
disability full access to the PHA’s programs and services.
If the need for the accommodation is not readily apparent or known to the PHA, the family must
explain the relationship between the requested accommodation and the disability.
PHA Policy
The PHA will encourage the family to make its request in writing using a reasonable
accommodation request form. However, the PHA will consider the accommodation any
time the family indicates that an accommodation is needed whether or not a formal
written request is submitted.
2-II.D. Verification of Disability
The regulatory civil rights definition for persons with disabilities is provided in Exhibit 2-1 at the
end of this chapter. The definition of a person with a disability for the purpose of obtaining a
reasonable accommodation is much broader than the HUD definition of disability which is used
for waiting list preferences and income allowances.
Before providing an accommodation, the PHA must determine that the person meets the
definition of a person with a disability, and that the accommodation will enhance the family’s
access to the PHA’s programs and services.
If a person’s disability is obvious or otherwise known to the PHA, and if the need for the
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requested accommodation is also readily apparent or known, no further verification will be
required [Joint Statement of the Departments of HUD and Justice: Reasonable Accommodations
under the Fair Housing Act].
If a family indicates that an accommodation is required for a disability that is not obvious or
otherwise known to the PHA, the PHA must verify that the person meets the definition of a
person with a disability, and that the limitations imposed by the disability require the requested
accommodation.
When verifying a disability, the PHA will follow the verification policies provided in Chapter 7.
All information related to a person’s disability will be treated in accordance with the
confidentiality policies provided in Chapter 16 (Program Administration). In addition to the
general requirements that govern all verification efforts, the following requirements apply when
verifying a disability:
Third-party verification must be obtained from an individual identified by the family who is
competent to make the determination. A doctor or other medical professional, a peer support
group, a non-medical service agency, or a reliable third party who is in a position to know
about the individual’s disability may provide verification of a disability [Joint Statement of
the Departments of HUD and Justice: Reasonable Accommodations under the Fair Housing
Act]
The PHA must request only information that is necessary to evaluate the disability-related
need for the accommodation. The PHA may not inquire about the nature or extent of any
disability.
Medical records will not be accepted or retained in the participant file.
In the event that the PHA does receive confidential information about a person’s specific
diagnosis, treatment, or the nature or severity of the disability, the PHA will dispose of it. In
place of the information, the PHA will note in the file that the disability and other requested
information have been verified, the date the verification was received, and the name and
address of the knowledgeable professional who sent the information [Notice PIH 2010-26].
2-II.E. Approval/Denial of A Requested Accommodation [Joint Statement of the Departments
of HUD and Justice: Reasonable Accommodations under the Fair Housing Act, Notice PIH
2010-26]
The PHA must approve a request for an accommodation if the following three conditions are
met.
The request was made by or on behalf of a person with a disability.
There is a disability-related need for the accommodation.
The requested accommodation is reasonable, meaning it would not impose an undue
financial and administrative burden on the PHA, or fundamentally alter the nature of
the PHA’s operations.
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Requests for accommodations must be assessed on a case-by-case basis. The determination of
undue financial and administrative burden must be made on a case-by-case basis involving
various factors, such as the overall size of the PHA’s program with respect to the number of
employees, type of facilities and size of budget, type of operation including composition and
structure of workforce, the nature and cost of the requested accommodation and the availability
of alternative accommodations that would effectively meet the family’s disability-related needs.
Before making a determination whether to approve the request, the PHA may enter into
discussion and negotiation with the family, request more information from the family, or may
require the family to sign a consent form so that the PHA may verify the need for the requested
accommodation.
PHA Policy
After a request for an accommodation is presented, the PHA will respond, in writing,
within 10 business days.
If the PHA denies a request for an accommodation because there is no relationship, or
nexus, found between the disability and the requested accommodation, the notice will
inform the family of the right to appeal the PHA’s decision through an informal hearing
(if applicable) or the grievance process (see Chapter 14).
If the PHA denies a request for an accommodation because it is not reasonable (it would
impose an undue financial and administrative burden or fundamentally alter the nature of
the PHA’s operations), the PHA will discuss with the family whether an alternative
accommodation could effectively address the family’s disability-related needs without a
fundamental alteration to the public housing program and without imposing an undue
financial and administrative burden.
If the PHA believes that the family has failed to identify a reasonable alternative
accommodation after interactive discussion and negotiation, the PHA will notify the
family, in writing, of its determination within 10 business days from the date of the most
recent discussion or communication with the family. The notice will inform the family of
the right to appeal the PHA’s decision through an informal hearing (if applicable) or the
grievance process (see Chapter 14).
2-II.F. Program Accessibility for Persons with Hearing or Vision Impairments
HUD regulations require the PHA to take reasonable steps to ensure that persons with disabilities
related to hearing and vision have reasonable access to the PHA's programs and services [24
CFR 8.6].
At the initial point of contact with each applicant, the PHA shall inform all applicants of
alternative forms of communication that can be used other than plain language paperwork.
PHA Policy
To meet the needs of persons with hearing impairments, TTD/TTY (text telephone
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display / teletype) communication will be available.
To meet the needs of persons with vision impairments, large-print and audio versions of
key program documents will be made available upon request. When visual aids are used
in public meetings or presentations, or in meetings with PHA staff, one-on-one assistance
will be provided upon request.
Additional examples of alternative forms of communication are sign language
interpretation; having material explained orally by staff; or having a third party
representative (a friend, relative or advocate, named by the applicant) to receive, interpret
and explain housing materials and be present at all meetings.
2-II.G. Physical Accessibility
The PHA must comply with a variety of regulations pertaining to physical accessibility,
including the following.
Notice PIH 2010-26
Section 504 of the Rehabilitation Act of 1973
The Americans with Disabilities Act of 1990
The Architectural Barriers Act of 1968
The Fair Housing Act of 1988
The PHA’s policies concerning physical accessibility must be readily available to applicants and
resident families. They can be found in three key documents.
This policy, the Admissions and Continued Occupancy Policy, describes the key
policies that govern the PHA’s responsibilities with regard to physical accessibility.
Notice PIH 2010-26 summarizes information about pertinent laws and implementing
regulations related to non-discrimination and accessibility in federally-funded
housing programs.
The PHA Plan provides information about self-evaluation, needs assessment, and
transition plans.
The design, construction, or alteration of PHA facilities must conform to the Uniform Federal
Accessibility Standards (UFAS). Notice PIH 2010-26 contains specific information on
calculating the percentages of units for meeting UFAS requirements.
Newly-constructed facilities must be designed to be readily accessible to and usable by persons
with disabilities. Alterations to existing facilities must be accessible to the maximum extent
feasible, defined as not imposing an undue financial and administrative burden on the operations
of the public housing program.
2-II.H. Denial or Termination of Assistance
A PHA’s decision to deny or terminate the assistance of a family that includes a person with
disabilities is subject to consideration of reasonable accommodation [24 CFR 966.7].
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When applicants with disabilities are denied assistance, the notice of denial must inform them of
their right to request an informal hearing [24 CFR 960.208(a)].
When a family’s lease is terminated, the notice of termination must inform the family of their
right to request a hearing in accordance with the PHA’s grievance process [24 CFR
966.4(l)(3)(ii)].
When reviewing reasonable accommodation requests, the PHA must consider whether
reasonable accommodation will allow the family to overcome the problem that led to the PHA’s
decision to deny or terminate assistance. If a reasonable accommodation will allow the family to
meet the requirements, the PHA must make the accommodation [24 CFR 966.7].
In addition, the PHA must provide reasonable accommodation for persons with disabilities to
participate in the hearing process [24 CFR 966.56(h)].
PART III: IMPROVING ACCESS TO SERVICES FOR PERSONS WITH LIMITED
ENGLISH PROFICIENCY (LEP)
2-III.A. Overview
Language for Limited English Proficiency (LEP) Persons can be a barrier to accessing important
benefits or services, understanding and exercising important rights, complying with applicable
responsibilities, or understanding other information provided by the public housing program. In
certain circumstances, failure to ensure that LEP persons can effectively participate in or benefit
from federally-assisted programs and activities may violate the prohibition under Title VI against
discrimination on the basis of national origin. This part incorporates the Final Guidance to
Federal Assistance Recipients Regarding Title VI Prohibition against National Origin
Discrimination Affecting Limited English Proficiency (LEP) Persons, published January 22,
2007 in the Federal Register.
The PHA will take affirmative steps to communicate with people who need services or
information in a language other than English. These persons will be referred to as Persons with
Limited English Proficiency (LEP).
LEP persons are defined as persons who do not speak English as their primary language and who
have a limited ability to read, write, speak or understand English. For the purposes of this
Admissions and Continued Occupancy Policy, LEP persons are public housing applicants and
resident families, and parents and family members of applicants and resident families.
In order to determine the level of access needed by LEP persons, the PHA will balance the
following four factors: (1) the number or proportion of LEP persons eligible to be served or
likely to be encountered by the public housing program; (2) the frequency with which LEP
persons come into contact with the program; (3) the nature and importance of the program,
activity, or service provided by the program to people’s lives; and (4) the resources available to
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the PHA and costs. Balancing these four factors will ensure meaningful access by LEP persons
to critical services while not imposing undue burdens on the PHA.
2-III.B. Oral Interpretation
The PHA will offer competent interpretation services free of charge, upon request to the LEP
person.
PHA Policy
The PHA will utilize a language line for telephone interpreter services.
Where LEP persons desire, they will be permitted to use, at their own expense, an
interpreter of their own choosing, in place of or as a supplement to the free language
services offered by the PHA. The interpreter may be a family member or friend.
The PHA will analyze the various kinds of contacts it has with the public, to assess
language needs and decide what reasonable steps should be taken. “Reasonable steps”
may not be reasonable where the costs imposed substantially exceed the benefits.
Where feasible and possible, according to its language assistance plan (LAP), the PHA
will train and hire bilingual staff to be available to act as interpreters and translators, will
pool resources with other PHAs, and will standardize documents.
2-III.C. Written Translation
Translation is the replacement of a written text from one language into an equivalent written text
in another language.
PHA Policy
In order to comply with written-translation obligations, the PHA will take the following
steps:
The PHA will provide written translations of vital documents for each eligible
LEP language group that constitutes 5 percent or 1,000 persons, whichever is less,
of the population of persons eligible to be served or likely to be affected or
encountered. Translation of other documents, if needed, can be provided orally; or
If there are fewer than 50 persons in a language group that reaches the 5 percent
trigger, the PHA may not translate vital written materials, but will provide written
notice in the primary language of the LEP language group of the right to receive
competent oral interpretation of those written materials, free of cost.
2-III.D. Implementation Plan
After completing the four-factor analysis and deciding what language assistance services are
appropriate, the PHA shall determine whether it is necessary to develop a written implementation
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plan to address the identified needs of the LEP populations it serves.
If the PHA determines that it is not necessary to develop a written implementation plan, the
absence of a written plan does not obviate the underlying obligation to ensure meaningful access
by LEP persons to the PHA’s public housing program and services.
PHA Policy
If it is determined that the PHA serves very few LEP persons, and the PHA has very
limited resources, the PHA will not develop a written LEP plan, but will consider
alternative ways to articulate in a reasonable manner a plan for providing meaningful
access. Entities having significant contact with LEP persons, such as schools, grassroots
and faith-based organizations, community groups, and groups working with new
immigrants will be contacted for input into the process.
If the PHA determines it is appropriate to develop a written LEP plan, the following five
steps will be taken: (1) Identifying LEP individuals who need language assistance; (2)
identifying language assistance measures; (3) training staff; (4) providing notice to LEP
persons; and (5) monitoring and updating the LEP plan.
Exhibit 2-1: Definition of a Person with a Disability Under Federal Civil Rights Laws [24
CFR Parts 8.3 and 100.201]
A person with a disability, as defined under federal civil rights laws, is any person who:
Has a physical or mental impairment that substantially limits one or more of the major life
activities of an individual, or
Has a record of such impairment, or
Is regarded as having such impairment
The phrase “physical or mental impairment” includes:
Any physiological disorder or condition, cosmetic or disfigurement, or anatomical loss
affecting one or more of the following body systems: neurological; musculoskeletal; special
sense organs; respiratory, including speech organs; cardiovascular; reproductive; digestive;
genito-urinary; hemic and lymphatic; skin; and endocrine; or
Any mental or psychological disorder, such as mental retardation, organic brain syndrome,
emotional or mental illness, and specific learning disabilities. The term “physical or mental
impairment” includes, but is not limited to: such diseases and conditions as orthopedic,
visual, speech and hearing impairments, cerebral palsy, autism, epilepsy, muscular
dystrophy, multiple sclerosis, cancer, heart disease, diabetes, mental retardation, emotional
illness, drug addiction and alcoholism.
“Major life activities” includes, but is not limited to, caring for oneself, performing manual tasks,
walking, seeing, hearing, breathing, learning, and/or working.
“Has a record of such impairment” means has a history of, or has been misclassified as having, a
mental or physical impairment that substantially limits one or more major live activities.
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“Is regarded as having an impairment” is defined as having a physical or mental impairment that
does not substantially limit one or more major life activities but is treated by a public entity (such
as the PHA) as constituting such a limitation; has none of the impairments defined in this section
but is treated by a public entity as having such an impairment; or has a physical or mental
impairment that substantially limits one or more major life activities, only as a result of the
attitudes of others toward that impairment.
The definition of a person with disabilities does not include:
Current illegal drug users
People whose alcohol use interferes with the rights of others
Persons who objectively pose a direct threat or substantial risk of harm to others that cannot
be controlled with a reasonable accommodation under the public housing program
The above definition of disability determines whether an applicant or participant is entitled to
any of the protections of federal disability civil rights laws. Thus, a person who does not meet
this definition of disability is not entitled to a reasonable accommodation under federal civil
rights and fair housing laws and regulations.
The HUD definition of a person with a disability is much narrower than the civil rights definition
of disability. The HUD definition of a person with a disability is used for purposes of receiving
the disabled family preference, the $400 elderly/disabled household deduction, the allowance for
medical expenses, or the allowance for disability assistance expenses.
The definition of a person with a disability for purposes of granting a reasonable accommodation
request is much broader than the HUD definition of disability. Many people will not qualify as a
disabled person under the public housing program, yet an accommodation is needed to provide
equal opportunity.
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CHAPTER 3
ELIGIBILITY
INTRODUCTION
The PHA is responsible for ensuring that every individual and family admitted to the public
housing program meets all program eligibility requirements. This includes any individual
approved to join the family after the family has been admitted to the program. The family must
provide any information needed by the PHA to confirm eligibility and determine the level of the
family’s assistance.
To be eligible for the public housing program:
The applicant family must:
Qualify as a family as defined by HUD and the PHA.
Have income at or below HUD-specified income limits.
Qualify on the basis of citizenship or the eligible immigrant status of family members.
Provide social security number information for household members as required.
Consent to the PHA’s collection and use of family information as provided for in PHA-
provided consent forms.
The PHA must determine that the current or past behavior of household members does not
include activities that are prohibited by HUD or the PHA.
This chapter contains three parts:
Part I: Definitions of Family and Household Members. This part contains HUD and PHA
definitions of family and household members and explains initial and ongoing eligibility
issues related to these members.
Part II: Basic Eligibility Criteria. This part discusses income eligibility, and rules
regarding citizenship, social security numbers, and family consent.
Part III: Denial of Admission. This part covers factors related to an applicant’s past or
current conduct (e.g. criminal activity) that can cause the PHA to deny admission.
PART I: DEFINITIONS OF FAMILY AND HOUSEHOLD MEMBERS
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3-I.A. Overview
Some eligibility criteria and program rules vary depending upon the composition of the family
requesting assistance. In addition, some requirements apply to the family as a whole and others
apply to individual persons who will live in the public housing unit. This part provides
information that is needed to correctly identify family and household members, and explains
HUD's eligibility rules.
3-I.B. Family and Household [24 CFR 5.105(a)(2), 24 CFR 5.403, FR Notice 02/03/12,
Notice PIH 2014-20]
The terms family and household have different meanings in the public housing program.
Family
To be eligible for admission, an applicant must qualify as a family. Family as defined by HUD,
includes but is not limited to the following, regardless of actual or perceived sexual orientation,
gender identity, or marital status, a single person, who may be an elderly person, disabled
person, near-elderly person, or any other single person; or a group of persons residing together.
Such group includes, but not limited to a family with or without children (a child who is
temporarily away from the home because of placement in foster care is considered a member of
the family), an elderly family, near-elderly family, a disabled family, a displaced family, or the
remaining member of a tenant family. The PHA has the discretion to determine if any other
group of persons qualifies as a family.
Gender Identity means actual or perceived gender characteristics.
Sexual orientation means homosexuality, heterosexuality, or bisexuality.
PHA Policy
A family also includes two or more individuals who are not related by blood, marriage,
adoption, or other operation of law, but who either can demonstrate that they have lived
together previously or certify that each individual’s income and other resources will be
available to meet the needs of the family.
Each family must identify the individuals to be included in the family at the time of
application, and must notify the PHA if the family’s composition changes.
Household
Household is a broader term that includes additional people who, with the PHA’s permission,
live in a public housing unit, such as live-in aides, foster children, and foster adults.
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3-I.C. Family Break-Up and Remaining Member of Tenant Family
Family Break-up
Except under the following conditions, the PHA has discretion to determine which members of
an assisted family continue to receive assistance if the family breaks up:
If the family breakup results from an occurrence of domestic violence, dating violence,
sexual assault, or stalking, the PHA must ensure that the victim retains assistance. (For
documentation requirements and policies related to domestic violence, dating violence,
sexual assault, and stalking, see section 16-VII.D of this plan.)
If a court determines the disposition of property between members of the assisted family,
the PHA is bound by the court’s determination of which family members continue to
receive assistance.
PHA Policy
When a family on the waiting list breaks up into two otherwise eligible families, only one
of the new families may retain the original application date. Other former family
members may submit a new application with a new application date if the waiting list is
open.
If a family breaks up into two otherwise eligible families while living in public housing,
only one of the new families will retain occupancy of the unit.
If a court determines the disposition of property between members of the applicant or
resident family, the PHA will abide by the court's determination.
In the absence of a judicial decision or an agreement among the original family members,
the PHA will determine which family retains their placement on the waiting list, or will
continue in occupancy taking into consideration the following factors:
(1) the interest of any minor children, including custody arrangements
(2) the interest of any ill, elderly, or disabled family members
(3) the interest of any family member who is or has been the victim of domestic
violence, dating violence, sexual assault, or stalking, including a family member
who was forced to leave a public housing unit as a result of such actual or
threatened abuse, and provides documentation in accordance with section 16-
VII.D of this ACOP
(4) any possible risks to family members as a result of criminal activity
(5) the recommendations of social service professionals
Remaining Member of a Tenant Family [24 CFR 5.403]
The HUD definition of family includes the remaining member of a tenant family, which is a
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member of a resident family who remains in the unit when other members of the family have left
the unit [PH Occ GB, p. 26]. Household members such as live-in aides, foster children, and
foster adults do not qualify as remaining members of a family.
If dependents are the only “remaining members of a tenant family” and there is no family
member able to assume the responsibilities of the head of household, see Chapter 6, Section 6-
I.B, for the policy on “Caretakers for a Child.”
3-I.D. Head of Household [24 CFR 5.504(b)]
Head of household means the adult member of the family who is considered the head for
purposes of determining income eligibility and rent. The head of household is responsible for
ensuring that the family fulfills all of its responsibilities under the program, alone or in
conjunction with a cohead or spouse.
PHA Policy
The family may designate any qualified family member as the head of household.
The head of household must have the legal capacity to enter into a lease under state and
local law. A minor who is emancipated under state law may be designated as head of
household.
3-I.E. Spouse, Cohead, and Other Adult
A family may have a spouse or cohead, but not both [HUD-50058 IB, p. 13].
Spouse means the marriage partner of the head of household.
PHA Policy
A marriage partner includes the partner in a "common law" marriage as defined in state
law. The term “spouse” does not apply to friends, roommates, or significant others who
are not marriage partners. A minor who is emancipated under state law may be
designated as a spouse.
A cohead is an individual in the household who is equally responsible with the head of
household for ensuring that the family fulfills all of its responsibilities under the program, but
who is not a spouse.
PHA Policy
The PHA does not acknowledge coheads as a household member relation type. Instead,
the term “other adult” is used.
A family can have only one cohead.
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PHA Policy
Minors who are emancipated under state law may be designated as a cohead.
Other adult means a family member, other than the head, spouse, or cohead, who is 18 years of
age or older. Foster adults and live-in aides are not considered other adults [HUD-50058 IB,
p. 14].
3-I.F. Dependent [24 CFR 5.603]
A dependent is a family member who is under 18 years of age or a person of any age who is a
person with a disability or a full-time student, except that the following persons can never be
dependents: the head of household, spouse, cohead, foster children/adults and live-in aides.
Identifying each dependent in the family is important because each dependent qualifies the
family for a deduction from annual income as described in Chapter 6.
Joint Custody of Dependents
PHA Policy
Dependents that are subject to a joint custody arrangement will be considered a member
of the family, if they live with the applicant or resident family 50 percent or more of
the time.
When more than one applicant or assisted family (regardless of program) are claiming the
same dependents as family members, the family with primary custody at the time of the
initial examination or reexamination will be able to claim the dependents. If there is a
dispute about which family should claim them, the PHA will make the determination
based on available documents such as court orders, an IRS income tax return showing
which family has claimed the child for income tax purposes, school records, or other
credible documentation acceptable to the PHA.
3-I.G. Full-Time Student [24 CFR 5.603]
A full-time student (FTS) is a person who is attending school or vocational training on a full-time
basis. The time commitment or subject load that is needed to determine if attendance is full-time
is defined by the educational institution.
Identifying each FTS is important because (1) each family member that is an FTS, other than the
head, spouse, or cohead, qualifies the family for a dependent deduction and (2) the income of
such an FTS is treated differently from the income of other family members.
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3-I.H. Elderly and Near-Elderly Persons, and Elderly Family
Elderly Persons
An elderly person is a person who is at least 62 years of age [24 CFR 5.100].
Near-Elderly Persons
A near-elderly person is a person who is 50-61 years of age [24 CFR 945.105].
Elderly Family
An elderly family is one in which the head, spouse, cohead, or sole member is an elderly person
[24 CFR 5.403]. Identifying elderly families is important because these families qualify for the
elderly family allowance and the medical allowance as described in Chapter 6 and may qualify
for a particular type of development as noted in Chapter 4.
3-I.I. Persons with Disabilities and Disabled Family [24 CFR 5.403]
Persons with Disabilities
Under the public housing program, special rules apply to persons with disabilities and to any
family whose head, spouse, or cohead is a person with disabilities. The technical definitions of
individual with handicaps and persons with disabilities are provided in Exhibit 3-1 at the end of
this chapter. These definitions are used for a number of purposes including ensuring that persons
with disabilities are not discriminated against based upon disability.
As discussed in Chapter 2, the PHA must make all aspects of the public housing program
accessible to persons with disabilities and consider requests for reasonable accommodations
when a person’s disability limits their full access to the unit, the program, or the PHA’s services.
Disabled Family
A disabled family is one in which the head, spouse, or cohead is a person with disabilities.
Identifying disabled families is important because these families qualify for the disabled family
allowance and the medical allowance as described in Chapter 6 and may qualify for a particular
type of development as noted in Chapter 4.
Even though persons with drug or alcohol dependencies are considered persons with disabilities
for the purpose of non-discrimination, this does not prevent the PHA from denying admission or
taking action under the lease for reasons related to alcohol and drug abuse in accordance with the
policies found in Part III of this chapter and in Chapter 13.
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3-I.J. Guests [24 CFR 5.100]
A guest is defined as a person temporarily staying in the unit with the consent of a tenant or
other member of the household who has express or implied authority to so consent on behalf of
the tenant.
The lease must provide that the tenant has the right to exclusive use and occupancy of the leased
unit by the members of the household authorized to reside in the unit in accordance with the
lease, including reasonable accommodation of their guests [24 CFR 966.4(d)]. The head of
household is responsible for the conduct of visitors and guests, inside the unit as well as
anywhere on or near PHA premises [24 CFR 966.4(f)].
PHA Policy
A resident family shall give prior notice to the Authority of any guest staying overnight at
the resident’s premises and any such overnight stay is deemed an accommodation for the
guest. A guest can remain in the unit no longer than 14 days during any 12-month
period.
A family may request an exception to this policy for valid reasons (e.g., care of a relative
recovering from a medical procedure expected to last 20 consecutive days). An exception
will not be made unless the family can identify and provide documentation of the
residence to which the guest will return.
Children who are subject to a joint custody arrangement or for whom a family has
visitation privileges, that are not included as a family member because they live outside
of the public housing unit more than 50 percent of the time, are not subject to the time
limitations of guests as described above.
The PHA will consider unauthorized occupants to be trespassers. The family in tenancy
that allows an unauthorized occupant to reside in their unit is not in compliance with the
lease and is subject to termination of tenancy. Some examples of unauthorized occupants
include:
A former resident of the PHA who has been evicted from a PHA development;
Persons that have been trespassed from a PHA development;
Guests who represent the unit address as their residence address or address of
record for receipt of benefits or any other purposes will be considered
unauthorized occupants
Family members over age 17 or emancipated minors who moved from the
dwelling unit to establish new households;
Persons that have joined the household without undergoing screening;
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Guests who remain in the unit beyond the allowable time limit; and
A person (often a relative) that came to the unit as an extended visitor because
the resident needed support, for example, after a medical procedure but stayed
on in the unit beyond the time needed by the resident.
Former residents who have been evicted or trespassed are not permitted as visitors or
overnight guests.
The burden of proof that the individual is a guest rests on the family. In the absence of
such proof, the individual will be considered an unauthorized member of the household
and the PHA will terminate assistance since prior approval was not requested for the
addition.
3-I.K. Foster Children and Foster Adults
Foster adults are usually persons with disabilities, unrelated to the tenant family, who are unable
to live alone [24 CFR 5.609(c)(2)].
The term foster child is not specifically defined by the regulations.
Foster children and foster adults that are living with an applicant or resident family are
considered household members but not family members. The income of foster children/adults is
not counted in family annual income and foster children/adults do not qualify for a dependent
deduction [24 CFR 5.603 and HUD-50058 IB, pp. 13-14].
PHA Policy
A foster child is a child that is in the legal guardianship or custody of a state, county, or
private adoption or foster care agency, yet is cared for by foster parents in their own
homes, under some kind of short-term or long-term foster care arrangement with the
custodial agency.
Children that are temporarily absent from the home as a result of placement in foster care are
discussed in Section 3-I.L.
3-I.L. Absent Family Members
Individuals may be temporarily or permanently absent from the unit for a variety of reasons
including educational activities, placement in foster care, employment, and illness
Definitions of Temporarily and Permanently Absent
PHA Policy
Generally, an individual who is or is expected to be absent from the public housing unit
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for less than 30 consecutive days is considered temporarily absent and continues to be
considered a family member. Generally an individual who is or is expected to be absent
from the public housing unit for more than 30 consecutive days is considered
permanently absent and no longer a family member. Exceptions to this general policy are
discussed below.
Absent Students
PHA Policy
When someone who has been considered a family member attends school away from
home, the person will continue to be considered a family member unless information
becomes available to the PHA indicating that the student has established a separate
household or the family declares that the student has established a separate household.
Absences Due to Placement in Foster Care [24 CFR 5.403]
Children temporarily absent from the home as a result of placement in foster care are considered
members of the family.
PHA Policy
If a child has been placed in foster care, the PHA will verify with the appropriate agency
whether and when the child is expected to be returned to the home. Unless the agency
confirms that the child has been permanently removed from the home, the child will be
counted as a family member.
Absent Head, Spouse, or Cohead
PHA Policy
An employed head, spouse, or cohead absent from the unit, up to a maximum of 180
consecutive days due to employment will continue to be considered a family member. A
head, spouse, or cohead who is absent from the unit because of a military deployment or
active service will continue to be considered a family member.
Individuals Confined for Medical Reasons
PHA Policy
An individual confined to a nursing home or hospital on a permanent basis is not
considered a family member, and the income of that person is not counted.
If there is a question about the status of a family member, the PHA will request
verification from a responsible medical professional and will use this determination. If
the responsible medical professional cannot provide a determination, the person generally
will be considered temporarily absent. The family may present evidence that the family
member is confined on a permanent basis and request that the person not be considered a
family member.
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Return of Permanently Absent Family Members
PHA Policy
The family must request PHA approval for the return of any adult family members that
the PHA has determined to be permanently absent. The individual is subject to the
eligibility and screening requirements discussed elsewhere in this chapter.
3-I.M. Live-In Aide
Live-in aide means a person who resides with one or more elderly persons, or near-elderly
persons, or persons with disabilities, and who: (1) is determined to be essential to the care and
well-being of the persons, (2) is not obligated for the support of the persons, and (3) would not
be living in the unit except to provide the necessary supportive services [24 CFR 5.403].
The PHA must approve a live-in aide if needed as a reasonable accommodation in accordance
with 24 CFR 8, to make the program accessible to and usable by the family member with
disabilities.
A live-in aide is considered a household member but not a family member.
The income of the live-in aide is not counted in determining the annual income of the family. [24
CFR 5.609(c)(5)]. Relatives may be approved as live-in aides if they meet all of the criteria
defining a live-in aide. However, a relative who serves as a live-in aide is not considered a
family member and would not be considered a remaining member of a tenant family.
PHA Policy
A family’s request for a live-in aide may be made either orally or in writing. The PHA
will verify the need for a live-in aide with a reliable, knowledgeable professional
provided by the family, such as a doctor, social worker, or case worker, that the live-in
aide is essential for the care and well-being of the elderly, near-elderly, or disabled family
member. For continued approval, the family must submit a new written request at every
other year during the annual reexamination process. Participants who have come portable
to COCHRD’s jurisdiction and have a valid, acceptable Reasonable Accommodation for
a Live-In Aide approved by the Initial PHA, may be allowed to use that Reasonable
Accommodation for one year, until the next Annual Reexamination, or until the next
change of unit, whichever comes first. At which time, participants will be required to
comply with the full Reasonable Accommodation process.
In addition, the family and live-in aide will be required to submit a certification stating
that the live-in aide is (1) not obligated for the support of the person(s) needing the care,
and (2) would not be living in the unit except to provide the necessary supportive
services.
The PHA has the discretion not to approve a particular person as a live-in aide, and may
withdraw such approval, if [24 CFR 966.4(d)(3)(i)]:
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1. The person commits fraud, bribery or any other corrupt or criminal act in
connection with any federal housing program;
2. The person has a history of drug-related criminal activity or violent
criminal activity; or
3. The person currently owes rent or other amounts to the PHA or to another
PHA in connection with Section 8 or public housing assistance under the
1937 Act.
Within 10 business days of receiving a request for a live-in aide, including all required
documentation related to the request, the PHA will notify the family of its decision in
writing.
Occasional, intermittent, multiple or rotating care givers typically do not reside in the unit and
would not qualify as live-in aides. Therefore, an additional bedroom should not be approved for
a live-in aide under these circumstances [PIH 2014-25].
PART II: BASIC ELIGIBILITY CRITERIA
3-II.A. Income Eligibility and Targeting
Income Limits
HUD is required by law to establish income limits that determine the income eligibility of
applicants for HUD’s assisted housing programs, including the public housing program. The
income limits are published annually and are based on HUD estimates of the median incomes for
families of different sizes in a particular area or county.
Types of Low-Income Families [24 CFR 5.603(b)]
Low-income family. A family whose annual income does not exceed 80 percent of the median
income for the area, adjusted for family size.
Very low-income family. A family whose annual income does not exceed 50 percent of the
median income for the area, adjusted for family size.
Extremely low-income family. A family whose annual income does not exceed the federal
poverty level or 30 percent of the median income for the area, whichever number is higher.
Area median income is determined by HUD, with adjustments for smaller and larger families.
HUD may establish income ceilings higher or lower than 30, 50, or 80 percent of the median
income for an area if HUD finds that such variations are necessary because of unusually high or
low family incomes.
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HUD also publishes over-income limits annually, but these are not used at admission. Over-
income limits will be discussed in Chapter 13.
Using Income Limits for Eligibility [24 CFR 960.201]
Income limits are used for eligibility only at admission. Eligibility is established by comparing a
family's annual income with HUD’s published income limits. To be income-eligible, a family
must be a low income family.
Using Income Limits for Targeting [24 CFR 960.202(b)]
At least 40 percent of the families admitted from the PHA waiting list to the public housing
program during a PHA fiscal year must be extremely low-income families. This is called the
“basic targeting requirement.”
If admissions of extremely low-income families to the PHA’s housing choice voucher program
during a PHA fiscal year exceed the 75 percent minimum targeting requirement for that program,
such excess shall be credited against the PHA’s public housing basic targeting requirement for
the same fiscal year.
The fiscal year credit for housing choice voucher program admissions that exceed the minimum
voucher program targeting requirement must not exceed the lower of:
Ten percent of public housing waiting list admissions during the PHA fiscal year
Ten percent of waiting list admission to the PHA’s housing choice voucher program
during the PHA fiscal year
The number of qualifying low-income families who commence occupancy during the
fiscal year of public housing units located in census tracts with a poverty rate of 30
percent or more. For this purpose, qualifying low-income family means a low-income
family other than an extremely low-income family.
For discussion of how income targeting is used in tenant selection, see Chapter 4.
3-II.B. Citizenship or Eligible Immigration Status [24 CFR 5, Subpart E]
Housing assistance is available only to individuals who are U.S. citizens, U.S. nationals (herein
referred to as citizens and nationals), or noncitizens that have eligible immigration status. At
least one family member must be a citizen, national, or noncitizen with eligible immigration
status in order for the family to qualify for any level of assistance.
All applicant families must be notified of the requirement to submit evidence of their citizenship
status when they apply. Where feasible, and in accordance with the PHA’s Limited English
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Proficiency (LEP) Plan, the notice must be in a language that is understood by the individual if
the individual is not proficient in English.
Declaration [24 CFR 5.508]
HUD requires each family member to declare whether the individual is a citizen, a national, or an
eligible noncitizen, except those members who elect not to contend that they have eligible
immigration status. Those who elect not to contend their status are considered to be ineligible
noncitizens. For citizens, nationals and eligible noncitizens the declaration must be signed
personally by the head, spouse, cohead, and any other family member 18 or older, and by a
parent or guardian for minors. The family must identify in writing any family members who elect
not to contend their immigration status (see Ineligible Noncitizens below). No declaration is
required for live-in aides, foster children, or foster adults.
U.S. Citizens and Nationals
In general, citizens and nationals are required to submit only a signed declaration that claims
their status. However, HUD regulations permit the PHA to request additional documentation of
their status, such as a passport.
PHA Policy
Family members who declare citizenship or national status will not be required to provide
additional documentation unless the PHA receives information indicating that an
individual’s declaration may not be accurate.
Eligible Noncitizens
In addition to providing a signed declaration, those declaring eligible noncitizen status must sign
a verification consent form and cooperate with PHA efforts to verify their immigration status as
described in Chapter 7. The documentation required for establishing eligible noncitizen status
varies depending upon factors such as the date the person entered the U.S., the conditions under
which eligible immigration status has been granted, the person’s age, and the date on which the
family began receiving HUD-funded assistance.
Lawful residents of the Marshall Islands, the Federated States of Micronesia, and Palau, together
known as the Freely Associated States, or FAS, are eligible for housing assistance under section
141 of the Compacts of Free Association between the U.S. Government and the Governments of
the FAS [Public Law 106-504].
Ineligible Noncitizens
Those noncitizens who do not wish to contend their immigration status are required to have their
names listed on a non-contending family members listing, signed by the head, spouse, or cohead
(regardless of citizenship status), indicating their ineligible immigration status. The PHA is not
required to verify a family member’s ineligible status and is not required to report an individual’s
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unlawful presence in the U.S. to the United States Citizenship and Immigration Services
(USCIS).
Providing housing assistance to noncitizen students is prohibited [24 CFR 5.522]. This
prohibition extends to the noncitizen spouse of a noncitizen student as well as to minor children
who accompany or follow to join the noncitizen student. Such prohibition does not extend to the
citizen spouse of a noncitizen student or to the children of the citizen spouse and noncitizen
student. Such a family is eligible for prorated assistance as a mixed family.
Mixed Families
A family is eligible for admission as long as at least one member is a citizen, national, or eligible
noncitizen. Families that include eligible and ineligible individuals are considered mixed
families. Such families will be given notice that their assistance will be prorated, and that they
may request a hearing if they contest this determination. See Chapter 6 for a discussion of how
rents are prorated, and Chapter 14 for a discussion of grievance hearing procedures.
Ineligible Families [24 CFR 5.514(d), (e), and (f)]
A PHA may elect to provide assistance to a family before the verification of the eligibility of the
individual or one family member [24 CFR 5.512(b)]. Otherwise, no individual or family may be
assisted prior to the affirmative establishment by the PHA that the individual or at least one
family member is eligible [24 CFR 5.512(a)].
PHA Policy
The PHA will not provide assistance to a family before the verification of at least one
family member as a citizen, national, or eligible noncitizen.
When a PHA determines that an applicant family does not include any citizens, nationals,
or eligible noncitizens, following the verification process, the family will be sent a
written notice within 10 business days of the determination.
The notice will explain the reasons for the denial of assistance and will advise the family
of its right to request an appeal to the United States Citizenship and Immigration Services
(USCIS), or to request an grievance hearing with the PHA. The grievance hearing with
the PHA may be requested in lieu of the USCIS appeal, or at the conclusion of the USCIS
appeal process. The notice must also inform the applicant family that assistance may not
be delayed until the conclusion of the USCIS appeal process, but that it may be delayed
pending the completion of the grievance hearing process.
Grievance hearing procedures are contained in Chapter 14.
Timeframe for Determination of Citizenship Status [24 CFR 5.508(g)]
For new occupants joining the resident family the PHA must verify status at the first interim or
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regular reexamination following the person’s occupancy, whichever comes first.
If an individual qualifies for a time extension for the submission of required documents, the PHA
must grant such an extension for no more than 30 days [24 CFR 5.508(h)].
Each family member is required to submit evidence of eligible status only one time during
continuous occupancy.
PHA Policy
The PHA will verify the status of applicants at the time other eligibility factors are
determined.
3-II.C. Social Security Numbers [24 CFR 5.216 and 5.218], Notice PIH 2018-24]
The applicant and all members of the applicant’s household must disclose the complete and
accurate social security number (SSN) assigned to each household member, and the
documentation necessary to verify each SSN. If a child under age 6 has been added to an
applicant family within the 6 months prior to program admission, an otherwise eligible family
may be admitted to the program and must disclose and document the child’s SSN within 90 days
of admission. A detailed discussion of acceptable documentation
is provided in Chapter 7.
Note: These requirements do not apply to noncitizens who do not contend eligible immigration
status.
In addition, each participant who has not previously disclosed an SSN, has previously disclosed
an SSN that HUD or the SSA determined was invalid, or has been issued a new SSN must
submit their complete and accurate SSN and the documentation required to verify the SSN at the
time of the next interim or annual reexamination or recertification. Participants age 62 or older as
of January 31, 2010, whose determination of eligibility was begun before January 31, 2010, are
exempt from this requirement and remain exempt even if they move to a new assisted unit.
The PHA must deny assistance to an applicant family if they do not meet the SSN disclosure and
documentation requirements contained in 24 CFR 5.216.
3-II.D. Family Consent to Release of Information [24 CFR 5.230]
HUD requires each adult family member, and the head of household, spouse, or cohead,
regardless of age, to sign form HUD-9886, Authorization for the Release of Information/
Privacy Act Notice, and other consent forms as needed to collect information relevant to the
family’s eligibility and level of assistance. Chapter 7 provides detailed information concerning
the consent forms and verification requirements.
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The PHA must deny admission to the program if any member of the applicant family fails to sign
and submit consent forms which allow the PHA to obtain information that the PHA has
determined is necessary in administration of the public housing program [24 CFR 960.259(a) and
(b)].
PART III: DENIAL OF ADMISSION
3-III.A. Overview [PIH 2015-19]
A family that does not meet the eligibility criteria discussed in Parts I and II, must be denied
admission.
In addition, HUD requires or permits the PHA to deny admission based on certain types of
current or past behaviors of family members as discussed in this part. The PHA’s authority in
this area is limited by the Violence against Women Reauthorization Act of 2013 (VAWA),
which expressly prohibits the denial of admission to an otherwise qualified applicant on the
basis, or as a direct result of the fact, that the applicant is or has been the victim of domestic
violence, dating violence, sexual assault or stalking.[24 CFR 5.2005]
While the regulations state that the PHA must prohibit admission for certain types of criminal
activity and give the PHA the option to deny for other types of previous criminal history, more
recent HUD rules and OGC guidance must also be taken into consideration when determining
whether a particular individual’s criminal history merits denial of admission.
When considering any denial of admission, PHAs may not use arrest records as the sole basis for
the denial.
An individualized assessment of relevant mitigating information beyond that contained in an
individual’s criminal record is likely to have a less discriminatory effect than categorical
exclusions that do not take such additional information into account. Relevant individualized
evidence might include the facts or circumstances surrounding the criminal conduct; the age of
the individual at the time of the conduct; evidence that the individual has maintained a good
tenant history before and/or after the criminal conduct; and evidence of rehabilitation efforts. By
delaying consideration of criminal history until after an individual’s financial and other
qualifications are verified, a PHA may be able to minimize any additional costs that might add to
the applicant screening process. [4/4/2016 Office on General Counsel Guidance on Application
of Fair Housing Act standards to the Use of Criminal Records by Housing Providers and Real
Estate-Related Transactions]
Notice PIH 2015-19 does not completely exclude the review of arrest records in housing
decisions. Although the fact that an individual was arrested is not grounds to deny a housing
opportunity, a record of an arrest might properly trigger an inquiry by a PHA or owner into
whether a person actually engaged in disqualifying criminal activity. As part of such an inquiry,
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a PHA or owner may continue to obtain and review the police report, record of disposition of any
criminal charges, and other evidence associated with the arrest to inform its eligibility
determination.
This part covers the following topics:
Required denial of admission
Other permitted reasons for denial of admission
Screening
Criteria for deciding to deny admission
Prohibition against denial of admission to victims of domestic violence, dating
violence, sexual assault, or stalking
Notice of eligibility or denial
3-III.B. Required Denial of Admission [24 CFR 960.204]
PHAs are required to establish standards that prohibit admission of an applicant to the public
housing program if they have engaged in certain criminal activity or if the PHA has reasonable
cause to believe that a household member’s current use or pattern of use of illegal drugs, or
current abuse or pattern of abuse of alcohol may threaten the health, safety, or right to peaceful
enjoyment of the premises by other residents.
Where the statute requires that the PHA prohibit admission for a prescribed period of time after
some disqualifying behavior or event, the PHA may choose to continue that prohibition for a
longer period of time [24 CFR 960.203(c)(3)(ii)].
HUD requires the PHA to deny assistance in the following cases:
Any member of the household has been evicted from federally-assisted housing in the last 3
years for drug-related criminal activity. HUD permits but does not require the PHA to admit
an otherwise-eligible family if the household member has completed a PHA-approved drug
rehabilitation program or the circumstances which led to eviction no longer exist (e.g. the
person involved in the criminal activity no longer lives in the household).
PHA Policy
The PHA will admit an otherwise-eligible family who was evicted from federally-
assisted housing within the past 3 years for drug-related criminal activity if the PHA is
able to verify that the household member who engaged in the criminal activity has
completed a supervised drug rehabilitation program approved by the PHA, or the person
who committed the crime is no longer living in the household.
If it is found that after admission the ineligible family member is residing in the unit, the
family will be terminated.
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The PHA determines that any household member is currently engaged in the use of illegal
drugs. Drug means a controlled substance as defined in section 102 of the Controlled
Substances Act [21 U.S.C. 802]. Currently engaged in the illegal use of a drug means a
person has engaged in the behavior recently enough to justify a reasonable belief that there is
continuing illegal drug use by a household member [24 CFR 960.205(b)(1)].
PHA Policy
Currently engaged in is defined as any use of illegal drugs during the previous six
months.
The PHA has reasonable cause to believe that any household member's current use or pattern
of use of illegal drugs, or current abuse or pattern of abuse of alcohol, may threaten the
health, safety, or right to peaceful enjoyment of the premises by other residents.
PHA Policy
The PHA will consider the use of a controlled substance or alcohol to be a pattern if there
is more than one incident during the previous six-6 months.
In determining reasonable cause, the PHA will consider all credible evidence, including
but not limited to, any record of convictions, arrests or evictions of household members
related to the use of illegal drugs or the abuse of alcohol. A conviction will be given more
weight than an arrest. A record or records of arrest(s) will not be used as the sole basis
for the denial or proof that the applicant engaged in disqualifying criminal activity. The
PHA will also consider evidence from treatment providers or community-based
organizations providing services to household members.
Any household member has ever been convicted of drug-related criminal activity for the
production or manufacture of methamphetamine on the premises of federally assisted
housing.
Any household member is subject to a lifetime registration requirement under a state lifetime
sex offender registration program.
State laws purporting to legalize medical marijuana directly conflict with the admission and
continued requirements of the Quality Housing and Work Responsibility Act of 1998 (“Public
Housing Reform Act”) and are thus subject to preemption. [September 24, 1999 HUD Letter Re:
Medical Use of Marijuana]
3-III.C. Other Permitted Reasons for Denial of Admission
HUD permits, but does not require the PHA to deny admission for the reasons discussed in this
section.
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Criminal Activity [24 CFR 960.203 (b) and (c)]
The PHA is responsible for screening family behavior and suitability for tenancy. In doing so,
the PHA may consider an applicant’s history of criminal activity involving crimes of physical
violence to persons or property and other criminal acts which would adversely affect the health,
safety or welfare of other tenants.
PHA Policy
If any household member is currently engaged in, or has engaged in any of the following
criminal activities, within the past three (3) years, the family will be denied admission.
Drug-related criminal activity, defined by HUD as the illegal manufacture, sale,
distribution, or use of a drug, or the possession of a drug with intent to manufacture, sell,
distribute or use the drug [24 CFR 5.100].
Violent criminal activity, defined by HUD as any criminal activity that has as one of its
elements the use, attempted use, or threatened use of physical force substantial enough to
cause, or be reasonably likely to cause, serious bodily injury or property damage
[24 CFR 5.100].
Criminal activity that may threaten the health, safety, or welfare of other tenants
[24 CFR 960.203(c)(3)].
Criminal activity that may threaten the health or safety of PHA staff, contractors,
subcontractors, or agents, and persons performing contract administration functions or
other responsibilities on behalf of the PHA (including a PHA employee or a PHA
contractor, subcontractor, or agent).
‘Immediate vicinity’ means within a three-block radius of the premises
Criminal sexual conduct, including but not limited to sexual assault, incest, open and
gross lewdness, or child abuse.
Evidence of such criminal activity includes, but is not limited to:
Any record of convictions, arrests or evictions for suspected drug-related or violent
criminal activity of household members within the past three (3) years. A conviction
for such activity will be given more weight than an arrest or an eviction. A record or
records of arrest(s) will not be used as the sole basis for the denial or proof that the
applicant engaged in disqualifying criminal activity.
Records of arrests for drug-related or violent criminal activity within the past three
(3) years, although a record of arrest(s) will not be used as the sole basis for the
denial, or proof that the applicant engaged in disqualifying criminal activity.
Criminal activity that may threaten the health, safety, or right to peaceful enjoyment
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of the premises by other residents or persons residing in the immediate vicinity; or
Criminal activity that may threaten the health or safety of management staff, and
persons performing contract administration functions or other responsibilities on
behalf of the PHA (including a PHA employee or a PHA contractor, subcontractor, or
agent).
Any record of eviction from public or privately-owned housing as a result of criminal
activity within the past (3) three years.
In making its decision to deny assistance, the PHA will consider the factors discussed in
Sections 3-III.E and 3-III.F. Upon consideration of such factors, the PHA may, on a case-
by-case basis, decide not to deny assistance.
Examples of criminal activity includes, but not limited to:
Loitering
Criminal Trespassing
Forgery
Identity Theft
Discharge of Firearm
Criminal Damage
Indecent Exposure
Theft against any government agency
Disorderly Conduct
Burglary
Harassment
Previous Behavior [960.203(c) and (d) and PH Occ GB, p. 48]
HUD authorizes the PHA to deny admission based on relevant information pertaining to the
family’s previous behavior and suitability for tenancy.
In the event of the receipt of unfavorable information with respect to an applicant, the PHA must
consider the time, nature, and extent of the applicant’s conduct (including the seriousness of the
offense). As discussed in Section 3-III.F, the PHA may also need to consider whether the cause
of the unfavorable information may be that the applicant is the victim of domestic violence,
dating violence, sexual assault, or stalking.
PHA Policy
The PHA will deny admission to an applicant family if the PHA determines that the
family:
o Has a pattern of unsuitable past performance in meeting financial obligations,
including rent within the past five years.
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o Has a pattern of disturbance of neighbors, destruction of property, or living or
housekeeping habits at prior residences within the past five years, which may
adversely affect the health, safety, or welfare of other tenants.
o Has a pattern of eviction from housing or termination from residential programs
within the past five years (considering relevant circumstances).
o Owes rent or other amounts to this or any other PHA or owner in connection with
any assisted housing program.
o The family has breached the terms of a repayment agreement entered into with the
PHA, unless the family repays the full amount of the debt covered in the
repayment agreement prior to being selected from the waiting list.
o Misrepresented or does not provide true and complete information related to
eligibility, including income, award of preferences for admission, expenses,
family composition or rent, or any other information that the PHA or HUD
determines is necessary in the administration of the program.
o Any family member has been evicted from federally assisted housing or
abandoned the federally assisted housing in the last five years. (Staff would
consider the date and circumstances of any past eviction or termination in
determining its relevance to PHA tenancy.)
o Has a household member, regardless of age, who has been trespassed (including
criminally trespassed) from a City of Chandler Public Housing site during the last
three years.
o Has committed fraud, bribery, or any other corrupt or criminal act in connection
with any federal housing program.
o Has engaged in or threatened violent or abusive behavior toward PHA personnel.
Abusive or violent behavior towards PHA personnel includes verbal as well as
physical abuse or violence. Use of racial epithets, or other language, written or
oral, that is customarily used to intimidate may be considered abusive or violent
behavior.
Threatening refers to oral or written threats or physical gestures that communicate
intent to abuse or commit violence.
In making its decision to deny admission, the PHA will consider the factors discussed in
Sections 3-III.E and 3-III.F. Upon consideration of such factors, the PHA may, on a case-
by-case basis, decide not to deny admission.
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The PHA will consider the existence of mitigating factors, such as loss of employment or
other financial difficulties, before denying admission to an applicant based on the failure
to meet prior financial obligations.
3-III.D. Screening
Screening for Eligibility
PHAs are authorized to obtain criminal conviction records from law enforcement agencies to
screen applicants for admission to the public housing program. This authority assists the PHA in
complying with HUD requirements and PHA policies to deny assistance to applicants who are
engaging in or have engaged in certain criminal activities. In order to obtain access to the records
the PHA must require every applicant family to submit a consent form signed by each adult
household member [24 CFR 5.903].
The PHA may not pass along to the applicant the costs of a criminal records check
[24 CFR 960.204(d)].
PHA Policy
The PHA will perform criminal background checks through local law enforcement for all
adult household members. The PHA may not pass along to the applicant the costs of a
criminal records check.
If the results of the criminal background check indicate there may have been past
criminal activity, but the results are inconclusive, the PHA will request a fingerprint card
and will request information from the National Crime Information Center (NCIC).
PHAs are required to perform criminal background checks necessary to determine whether any
household member is subject to a lifetime registration requirement under a state sex offender
program in the state where the housing is located, as well as in any other state where a household
member is known to have resided [24 CFR 960.204(a)(4)].
Sex Offender Registration 24 CFR 960.204 (A)(4) PIH Notice 2012-28
The PHA must establish standards that permanently prohibit admission to the PHA’s public
housing program if any member of the household is subject to a lifetime registration requirement
under a state sex offender registration program.
PHAs may only create policies that permanently deny admission to sex offenders subject to
lifetime registration requirements as per the regulatory requirements, and may not implement
policies that automatically deny admission to applicants for the duration of their sex offender
registration requirement, regardless of circumstances, if it is less than life. (Public Housing
Master Book, Section 4.3: Tenant Selection and Suitability, Suitability and Selection Criteria,
Mandatory Denial of Admission, Page 4.3-4)
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PHA Policy
The PHA may use the Dru Sjodin National Sex Offender database to screen applicants
for admission.
Additionally, PHAs must ask whether the applicant, or any member of the applicant’s household,
is subject to a lifetime registered sex offender registration requirement in any state. [Notice PIH
2012-28].
If the PHA proposes to deny admission based on a criminal record or on lifetime sex offender
registration information, the PHA must notify the household of the proposed action and must
provide the subject of the record and the applicant a copy of the record and an opportunity to
dispute the accuracy and relevance of the information prior to a denial of admission [24 CFR
5.903(f) and 5.905(d)].
Obtaining Information from Drug Treatment Facilities [24 CFR 960.205]
HUD authorizes PHAs to request and obtain information for each applicant to submit for all
household members who are at least 18 years of age, and from drug abuse treatment facilities
concerning applicants. Specifically, the PHA may require each family head, spouse, or cohead
regardless of age, one or more consent forms signed by such household members that requests
any drug abuse treatment facility to inform the PHA whether the drug abuse treatment facility
has reasonable cause to believe that the household member is currently engaging in illegal drug
use.
Drug Abuse Treatment Facility means an entity that holds itself out as providing, and provides,
diagnosis, treatment, or referral for treatment with respect to the illegal drug use, and is either an
identified unit within a general care facility, or an entity other than a general medical care
facility.
Currently engaging in illegal use of a drug means illegal use of a drug that occurred recently
enough to justify a reasonable belief that there is continuing illegal drug use by a household
member.
Any consent form used for the purpose of obtaining information from a drug abuse treatment
facility to determine whether a household member is currently engaging in illegal drug use must
expire automatically after the PHA has made a final decision to either approve or deny the
admission of such person.
Any charges incurred by the PHA for information provided from a drug abuse treatment facility
may not be passed on to the applicant or tenant.
If the PHA chooses to obtain such information from drug abuse treatment facilities, it must adopt
and implement one of the two following policies:
Policy A: The PHA must submit a request for information to a drug abuse treatment
facility for all families before they are admitted. The request must be submitted for each
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proposed household member who is at least 18 years of age, and for each family head,
spouse, or cohead regardless of age.
Policy B: The PHA must submit a request for information only for certain household
members, whose criminal record indicates prior arrests or conviction for any criminal
activity that may be a sole basis for denial of admission or whose prior tenancy records
indicate that the proposed household member engaged in destruction of property or
violent activity against another person, or they interfered with the right of peaceful
enjoyment of the premises of other residents.
If the PHA chooses to obtain such information, it must abide by the HUD requirements for
records management and confidentiality as described in 24 CFR 960.205(f).
PHA Policy
The PHA will obtain information from drug abuse treatment facilities to determine
whether any applicant family’s household members are currently engaging in illegal drug
activity only when the PHA has determined that the family will be denied admission
based on a family member’s drug-related criminal activity, and the family claims that the
culpable family member has successfully completed a supervised drug or alcohol
rehabilitation program.
Screening for Suitability as a Tenant [24 CFR 960.203(c)]
The PHA is responsible for the screening and selection of families to occupy public housing
units. The PHA may consider all relevant information. Screening is important to public housing
communities and program integrity, and to ensure that assisted housing is provided to those
families that will adhere to lease obligations.
PHA Policy
The PHA will consider the family’s history with respect to the following factors:
Payment of rent and utilities
Caring for a unit and premises
Respecting the rights of other residents to the peaceful enjoyment of their
housing
Criminal activity that is a threat to the health, safety, or property of others
Behavior of all household members as related to the grounds for denial as
detailed in Sections 3-III. B and C
Compliance with any other essential conditions of tenancy
Resources Used to Check Applicant Suitability [PH Occ. GB, pp. 47-56]
PHAs have a variety of resources available to them for determination of the suitability of
applicants. Generally, PHAs should reject applicants who have recent behavior that would
warrant lease termination for a public housing resident.
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PHA Policy
In order to determine the suitability of applicants the PHA will examine applicant history
for the past five years. Such background checks will include:
Past Performance in Meeting Financial Obligations, Especially Rent
PHA and landlord references for the past five years, gathering information about
past performance meeting rental obligations such as rent payment record, late
payment record, whether the PHA/landlord ever began or completed lease
termination for non-payment, and whether utilities were ever disconnected in the
unit. PHAs and landlords will be asked if they would rent to the applicant family
again.
Utility company references covering the monthly amount of utilities, late
payment, disconnection, return of a utility deposit and whether the applicant can
get utilities turned on in his/her name. (Use of this inquiry will be reserved for
applicants applying for units where there are tenant-paid utilities.)
If an applicant has no rental payment history the PHA will check court records of
eviction actions and other financial judgments, and credit reports. A lack of credit
history will not disqualify someone from becoming a public housing resident, but
a poor credit rating may.
Applicants with no rental payment history will also be asked to provide the PHA
with personal references. The references will be requested to complete a
verification of the applicant’s ability to pay rent if no other documentation of
ability to meet financial obligations is available. The applicant will also be
required to complete a checklist documenting their ability to meet financial
obligations.
If previous landlords or the utility company do not respond to requests from the
PHA, the applicant may provide other documentation that demonstrates their
ability to meet financial obligations (e.g. rent receipts, cancelled checks, etc.)
Disturbances of Neighbors, Destruction of Property or Living or Housekeeping
Habits at Prior Residences that May Adversely Affect Health, Safety, or Welfare of
Other Tenants, or Cause Damage to the Unit or the Development
PHA and landlord references for the past five years, gathering information on
whether the applicant kept a unit clean, safe and sanitary; whether they violated
health or safety codes; whether any damage was done by the applicant to a current
or previous unit or the development, and, if so, how much the repair of the
damage cost; whether the applicant’s housekeeping caused insect or rodent
infestation; and whether the neighbors complained about the applicant or whether
the police were ever called because of disturbances.
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Police and court records within the past five years will be used to check for any
evidence of disturbance of neighbors or destruction of property that might have
resulted in arrest or conviction. A record or records of arrest(s) will not be used as
the sole basis for the denial or proof that the applicant engaged in disqualifying
activity.
A personal reference will be requested to complete a verification of the
applicant’s ability to care for the unit and avoid disturbing neighbors if no other
documentation is available. In these cases, the applicant will also be required to
complete a checklist documenting their ability to care for the unit and to avoid
disturbing neighbors.
Home visits may be used to determine the applicant’s ability to care for the unit.
3-III.E. Criteria for Deciding to Deny Admission
Evidence
PHA Policy
The PHA will use the preponderance of the evidence as the standard for making all
admission decisions.
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.
The fact that an applicant or tenant was arrested for a disqualifying offense shall not be
treated or regarded as proof that the applicant or tenant engaged in disqualifying criminal
activity. The arrest may, however, trigger an investigation to determine whether the
applicant or tenant actually engaged in disqualifying criminal activity. As part of its
investigation, CCHRD may obtain the police report associated with the arrest and
consider the reported circumstances of the arrest. CCHRD may also consider any
statements made by witnesses or the applicant or tenant not included in the police report;
whether criminal charges were filed; whether, if filed, criminal charges were abandoned,
dismissed, not prosecuted, or ultimately resulted in an acquittal; and any other evidence
relevant to determining whether or not the applicant or tenant engaged in disqualifying
activity.
Consideration of Circumstances [24 CFR 960.203(c)(3) and (d)]
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HUD authorizes the PHA to consider all relevant circumstances when deciding whether to deny
admission based on a family’s past history except in the situations for which denial of admission
is mandated (see Section 3-III.B).
In the event the PHA receives unfavorable information with respect to an applicant,
consideration must be given to the time, nature, and extent of the applicant’s conduct (including
the seriousness of the offense). In a manner consistent with its policies, PHAs may give
consideration to factors which might indicate a reasonable probability of favorable future
conduct.
PHA Policy
The PHA will consider the following facts and circumstances prior to making its
decision:
The seriousness of the case, especially with respect to how it would affect
other residents’ safety or property
The effects that denial of admission may have on other members of the family
who were not involved in the action or failure to act
The extent of participation or culpability of individual family members,
including whether the culpable family member is a minor or a person with
disabilities, or (as discussed further in section 3-III.F) a victim of domestic
violence, dating violence, sexual assault, or stalking.
The length of time since the violation occurred, including the age of the
individual at the time of the conduct, as well as the family’s recent history and
the likelihood of favorable conduct in the future
While a record or records of arrest(s) will not be used as the sole basis for
denial, an arrest may, however, trigger an investigation to determine whether
the applicant actually engaged in disqualifying criminal activity. As part of its
investigation, the PHA may obtain the police report associated with the arrest
and consider the reported circumstances of the arrest. The PHA may also
consider:
-
Any statements made by witnesses or the applicant not included in the
police report
-
Whether criminal charges were filed
-
Whether, if filed, criminal charges were abandoned, dismissed, not
prosecuted, or ultimately resulted in an acquittal
-
Any other evidence relevant to determining whether or not the applicant
engaged in disqualifying activity
Evidence of criminal conduct will be considered if it indicates a demonstrable
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risk to safety and/or property
Evidence of the applicant family’s participation in or willingness to participate
in social service or other appropriate counseling service programs
In the case of drug or alcohol abuse, whether the culpable household member
is participating in or has successfully completed a supervised drug or alcohol
rehabilitation program or has otherwise been rehabilitated successfully
The PHA will require the applicant to submit evidence of the household
member’s current participation in or successful completion of a supervised
drug or alcohol rehabilitation program, or evidence of otherwise having
been rehabilitated successfully.
Removal of a Family Member's Name from the Application
Should the PHA’s screening process reveal that an applicant’s household includes an individual
subject to state lifetime registered sex offender registration; the PHA must offer the family the
opportunity to remove the ineligible family member from the household. If the family is
unwilling to remove that individual from the household, the PHA must deny admission to the
family. [Notice PIH 2012-29].
For other criminal activity, the PHA may permit the family to exclude the culpable family
members as a condition of eligibility. [24 CFR 960.203(c) (3)(i)].
PHA Policy
As a condition of receiving assistance, a family may agree to remove the culpable family
member from the application. In such instances, the head of household must certify that
the family member will not be permitted to visit or to stay as a guest in the public housing
unit.
After admission to the program, the family must present evidence of the former family
member’s current address upon PHA request.
Reasonable Accommodation [PH Occ GB, pp. 58-60]
If the family includes a person with disabilities, the PHA’s decision concerning denial of
admission is subject to consideration of reasonable accommodation in accordance with 24 CFR
Part 8.
PHA Policy
If the family indicates that the behavior of a family member with a disability is the reason
for the proposed denial of admission, the PHA will determine whether the behavior is
related to the disability. If so, upon the family’s request, the PHA will determine whether
alternative measures are appropriate as a reasonable accommodation. The PHA will only
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consider accommodations that can reasonably be expected to address the behavior that is
the basis of the proposed denial of admission. See Chapter 2 for a discussion of
reasonable accommodation.
3-III.F. Prohibition Against Denial of Assistance to Victims of Domestic Violence, Dating
Violence, Sexual Assault, or Stalking
The Violence against Women Act of 2013 (VAWA) and the HUD regulations at 24 CFR
5.2005(b) prohibit PHAs from denying admission to an otherwise qualified applicant on the basis
or as a direct result of the fact that the applicant is or has been a victim of domestic violence,
dating violence, sexual assault, or stalking.
Definitions of key terms used in VAWA are provided in section 16-VII of this ACOP, where
general VAWA requirements and policies pertaining to notification, documentation, and
confidentiality are also located.
Notification
VAWA 2013 expanded notification requirements to include the obligation for PHAs to provide
applicants who are denied assistance with a notice of VAWA Notice of Occupancy Rights (form
HUD-5380) and a domestic violence certification form (HUD-5382) at the time the applicant is
denied.
PHA Policy
The PHA acknowledges that a victim of domestic violence, dating violence, sexual
assault, or stalking may have an unfavorable history (e.g., a poor credit history, poor
rental history, a record of previous damage to an apartment, a prior arrest record) due to
adverse factors that would warrant denial under the PHA’s policies.
While the PHA is not required to identify whether adverse factors that resulted in the
applicant’s denial are a result of domestic violence, dating violence, sexual assault, or
stalking, the applicant may inform the PHA that their status as a victim is directly related
to the grounds for the denial. The PHA will request that the applicant provide enough
information to the PHA to allow the PHA to make an objectively reasonable
determination, based on all circumstances, whether the adverse factor is a direct result of
their status as a victim.
Therefore, if the PHA makes a determination to deny admission to an applicant family,
the PHA will include in its notice of denial information about the protection against
denial provided by VAWA in accordance with section 16-VII.C of this ACOP, a notice
of VAWA rights, and a copy of the form HUD-5382. The PHA will request in writing
that an applicant wishing to claim this protection notify the PHA within 14 business days.
Documentation
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Victim Documentation [24 CFR 5.2007]
PHA Policy
If an applicant claims the protection against denial of admission that VAWA provides to
victims of domestic violence, dating violence, sexual assault, or stalking, the PHA will
request in writing that the applicant provide documentation supporting the claim in
accordance with section 16-VII.D of this ACOP.
Perpetrator Documentation
PHA Policy
If the perpetrator of the abuse is a member of the applicant family, the applicant must
provide additional documentation consisting of one of the following:
A signed statement (1) requesting that the perpetrator be removed from the
application and (2) certifying that the perpetrator will not be permitted to
visit or to stay as a guest in the public housing unit
Documentation that the perpetrator has successfully completed, or is
successfully undergoing, rehabilitation or treatment. The documentation
must be signed by an employee or agent of a domestic violence service
provider or by a medical or other knowledgeable professional from whom
the perpetrator has sought or is receiving assistance in addressing the abuse.
The signer must attest under penalty of perjury to his or her belief that the
rehabilitation was successfully completed or is progressing successfully.
The victim and perpetrator must also sign or attest to the documentation.
3-III.G. Notice of Eligibility or Denial
The PHA will notify an applicant family of its final determination of eligibility in accordance
with the policies in Section 4-III.E.
If a PHA uses a criminal record or sex offender registration information obtained under 24 CFR
5, Subpart J, as the basis of a denial, a copy of the record must precede the notice to deny, with
an opportunity for the applicant to dispute the accuracy and relevance of the information before
the PHA can move to deny the application. In addition, a copy of the record must be provided to
the subject of the record [24 CFR 5.903(f) and 5.905(d)].
PHA Policy
If, based on a criminal record or sex offender registration information an applicant family
appears to be ineligible, the PHA will notify the family in writing of the proposed denial
and provide a copy of the record to the applicant and to the subject of the record. The
family will be given 10 business days to dispute the accuracy and relevance of the
information. If the family does not contact the PHA to dispute the information within that
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10 day period, the PHA will proceed with issuing the notice of denial of admission. A
family that does not exercise their right to dispute the accuracy of the information prior to
issuance of the official denial letter will still be given the opportunity to do so as part of
the informal hearing process.
Notice requirements related to denying admission to noncitizens are contained in Section 3-II.B.
Notice policies related to denying admission to applicants who may be victims of domestic
violence, dating violence, sexual assault, or stalking are contained in Section 3-III.F.
EXHIBIT 3-1: DETAILED DEFINITIONS RELATED TO DISABILITIES
Person with Disabilities [24 CFR 5.403]
The term person with disabilities means a person who has any of the following types of
conditions.
Has a disability, as defined in 42 U.S.C. Section 423(d)(1)(A), which reads:
Inability to engage in any substantial gainful activity by reason of any medically
determinable physical or mental impairment which can be expected to result in death or
which has lasted or can be expected to last for a continuous period of not less than 12
months
In the case of an individual who has attained the age of 55 and is blind (within the
meaning of “blindness” as defined in section 416(i)(1) of this title), inability by reason of
such blindness to engage in substantial gainful activity, requiring skills or ability
comparable to those of any gainful activity in which he has previously engaged with
some regularity and over a substantial period of time.
Has a developmental disability as defined in the Developmental Disabilities Assistance
and Bill of Rights Act of 2000 [42 U.S.C.15002(8)], which defines developmental
disability in functional terms as follows:
(A) IN GENERAL – The term developmental disability means a severe, chronic disability of
an individual that-
(i) is attributable to a mental or physical impairment or combination of mental and
physical impairments;
(ii) is manifested before the individual attains age 22;
(iii) is likely to continue indefinitely;
(iv) results in substantial functional limitations in 3 or more of the following areas of
major life activity: (I) self-care, (II) receptive and expressive language, (III) learning,
(IV) mobility, (V) self-direction, (VI) capacity for independent living, (VII) economic
self-sufficiency; and
(v) reflects the individual’s need for a combination and sequence of special,
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interdisciplinary, or generic services, individualized supports, or other forms of assistance
that are of lifelong or extended duration and are individually planned and coordinated.
(B) INFANTS AND YOUNG CHILDREN – An individual from birth to age 9, inclusive,
who has a substantial developmental delay or specific congenital or acquired condition,
may be considered to have a developmental disability without meeting 3 or more of the
criteria described in clauses (i) through (v) of subparagraph (A) if the individual, without
services and supports, has a high probability of meeting those criteria later in life.
Has a physical, mental, or emotional impairment that is expected to be of long-continued
and indefinite duration; substantially impedes his or her ability to live independently, and
is of such a nature that the ability to live independently could be improved by more
suitable housing conditions.
People with the acquired immunodeficiency syndrome (AIDS) or any conditions arising from the
etiologic agent for AIDS are not excluded from this definition.
A person whose disability is based solely on any drug or alcohol dependence does not qualify as
a person with disabilities for the purposes of this program.
For purposes of reasonable accommodation and program accessibility for persons with
disabilities, the term person with disabilities refers to an individual with handicaps.
Individual with Handicaps [24 CFR 8.3]
Individual with handicaps means any person who has a physical or mental impairment that
substantially limits one or more major life activities; has a record of such an impairment; or is
regarded as having such an impairment. The term does not include any individual who is an
alcoholic or drug abuser whose current use of alcohol or drugs prevents the individual from
participating in the program or activity in question, or whose participation, by reason of such
current alcohol or drug abuse, would constitute a direct threat to property or the safety of others.
As used in this definition, the phrase:
(1) Physical or mental impairment includes:
(a) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss
affecting one or more of the following body systems: neurological; musculoskeletal;
special sense organs; respiratory, including speech organs; cardiovascular; reproductive;
digestive; genito-urinary; hemic and lymphatic; skin; and endocrine
(b) Any mental or psychological disorder, such as mental retardation, organic brain
syndrome, emotional or mental illness, and specific learning disabilities. The term
physical or mental impairment includes, but is not limited to, such diseases and
conditions as orthopedic, visual, speech and hearing impairments, cerebral palsy, autism,
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, diabetes, mental
retardation, emotional illness, drug addiction and alcoholism.
(2) Major life activities means functions such as caring for one's self, performing manual tasks,
walking, seeing, hearing, speaking, breathing, learning and working.
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(3) Has a record of such an impairment means has a history of, or has been misclassified as
having, a mental or physical impairment that substantially limits one or more major life
activities.
(4) Is regarded as having an impairment means:
(a) Has a physical or mental impairment that does not substantially limit one or more major
life activities but that is treated by a recipient as constituting such a limitation
(b) Has a physical or mental impairment that substantially limits one or more major life
activities only as a result of the attitudes of others toward such impairment
(c) Has none of the impairments defined in paragraph (a) of this section but is treated by a
recipient as having such an impairment.
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CHAPTER 4
APPLICATIONS, WAITING LIST, AND TENANT SELECTION
INTRODUCTION
When a family wishes to reside in public housing, the family must submit a pre-application that
provides the PHA with the information needed to make a preliminary determination of the
family’s eligibility. HUD requires the PHA to place all eligible families that apply for public
housing on a waiting list. When a unit becomes available, the PHA must select families from the
waiting list in accordance with HUD requirements and PHA policies as stated in its Admissions
and Continued Occupancy Policy (ACOP) and its annual plan.
The PHA is required to adopt a clear approach to accepting applications, placing families on the
waiting list, and selecting families from the waiting list, and must follow this approach
consistently. The actual order in which families are selected from the waiting list can be affected
if a family has certain characteristics designated by HUD or the PHA to receive preferential
treatment.
HUD regulations require that the PHA comply with all equal opportunity requirements and it
must affirmatively further fair housing goals in the administration of the program [24 CFR
960.103, PH Occ GB p. 13]. Adherence to the selection policies described in this chapter
ensures that the PHA will be in compliance with all relevant fair housing requirements, as
described in Chapter 2.
This chapter describes HUD and PHA policies for accepting applications, managing the waiting
list and selecting families from the waiting list. The PHAs policies for assigning unit size and
making unit offers are contained in Chapter 5. Together, Chapters 4 and 5 of the ACOP comprise
the PHA’s Tenant Selection and Assignment Plan (TSAP).
The policies outlined in this chapter are organized into three sections, as follows:
Part I: The Application Process. This part provides an overview of the application
process, and discusses how applicants can obtain and submit applications. It also
specifies how the PHA will handle the applications it receives.
Part II: Managing the Waiting List. This part presents the policies that govern how the
PHA’s waiting list is structured, when it is opened and closed, and how the public is
notified of the opportunity to apply for public housing. It also discusses the process the
PHA will use to keep the waiting list current.
Part III: Tenant Selection. This part describes the policies that guide the PHA in selecting
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families from the waiting list as units become available. It also specifies how in-person
interviews will be used to ensure that the PHA has the information needed to make a final
eligibility determination.
PART I: THE APPLICATION PROCESS
4-I.A. Overview
This part describes the policies that guide the PHA’s efforts to distribute and accept pre-
applications/applications, and to make preliminary determinations of applicant family eligibility
that affect placement of the family on the waiting list. This part also describes the PHA’s
obligation to ensure the accessibility of the application process.
4-I.B. Applying For Assistance
Any family that wishes to reside in public housing must apply for admission to the program [24
CFR 1.4(b)(2)(ii), 24 CFR 960.202(a)(2)(iv), and PH Occ GB, p. 68]. HUD permits the PHA to
determine the format and content of its applications, as well how such applications will be made
available to interested families and how applications will be accepted by the PHA. However, the
PHA must include Form HUD-92006, Supplement to Application for Federally Assisted
Housing, as part of the PHA’s application [Notice PIH 2009-36].
PHA Policy
Families wishing to apply will be required to complete a pre-application. No one will be
denied the right to request or submit a pre-application when the waitlist is open. The
PHA will utilize an online application process. Applicants may use any computer,
tablet, or smart phone with internet access to apply. Alternate formats will be available
for Reasonable Accommodations. Alternate formats may include requesting a pre-
application for reasonable accommodation, modification, and auxiliary aids or services
by contacting the PHA office. Applicants may also submit a paper pre-application by
email, by fax, by telephone, or in person at the PHA office. The PHA will also strive to
accommodate those that may not have internet access to a computer at the Chandler
Public Libraries.
The PHA required two-step process will be used when it is expected that a family will
not be selected from the waiting list for at least 60 days from the date of pre-
application. Under the two-step application process, the applicant must complete a Pre-
Application.
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During the Pre-Application process, the PHA initially will require families to provide
only the information needed to make an initial assessment of the family’s placement on
the waitlist. The family will be required to provide all of the information necessary to
establish family eligibility and the amount of rent the family will pay when selected from
the waiting list.
4-I.C. Accessibility of the Application Process
The PHA must take a variety of steps to ensure that the application process is accessible to those
people who might have difficulty complying with the standard PHA application process.
Elderly or Disabled Populations [24 CFR 8; PH Occ GB, p. 68]
The PHA must provide reasonable accommodation as needed for elderly persons or persons with
disabilities to make the application process fully accessible. The facility where applications are
accepted and the application process must be fully accessible or the PHA must provide an
alternate approach that provides equal access to the program. Chapter 2 provides a full
discussion of the PHA’s policies related to providing reasonable accommodations for people
with disabilities.
The PHA will provide for alternate format pre-applications to the online application process for
persons requiring a reasonable accommodation that have been approved by the City of Chandler
Housing and Redevelopment Division.
Limited English Proficiency (LEP)
PHAs are required to take reasonable steps to ensure meaningful access to their programs and
activities by persons with Limited English Proficiency (LEP) [24 CFR 1]. Chapter 2 provides a
full discussion on the PHA’s policies related to ensuring access to people with Limited English
Proficiency (LEP).
4-I.D. Placement on the Waiting List
The PHA must accept applications from families for whom the list is open unless there is good
cause for not accepting the application (such as denial of assistance) for the grounds stated in the
regulations [24 CFR 982.206(b)(2)].
The PHA will accept applications only from approved methods. The PHA will not accept
duplicate applications for the same program.
The PHA reserves the right to review pre-applications for an initial assessment prior to placing
on the waiting list.
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No applicant has a right or entitlement to be listed on the waiting list, or to any particular
position on the waiting list.
Eligible for Placement on the Waiting List
PHA Policy
The PHA will utilize a random lottery selection for pre-application placement on the
waitlist. All interested persons are encouraged to apply. Once the waitlist closes, all
accepted pre-applications will be shuffled randomly through a computerized selection
process and each pre-application will be given a sequential waitlist number based on
where their pre-application fell during the shuffle. The sequential number will be the pre-
application’s waitlist number. Because the PHA reserves the right to limit the number of
pre-applications placed on an established waitlist, only those pre-applications with a
waitlist number less than, or equal to, the pre-determined number of pre-applications, will
be placed on the waitlist and become part of the established waitlist. Those pre-
applications with a waitlist number greater than the pre-determined number of pre-
applications to be placed on the waitlist will be denied. (Note: Pre-applicants are
encouraged to claim preferences for which they qualify, but these will preferences will
only be taken into consideration at the point when a pre-applicant is selected from the
waitlist to start the eligibility process. Pre-applicants with preferences will be selected
from an established waitlist before pre-applicants without preferences.)
Only pre-applicants who submitted a completed pre-application prior to the deadline will
be placed on the list for selection in the random lottery selection process. The PHA
reserves the right to select from the pre-applicant list a pre-determined number of pre-
applications to move to the waitlist. For each public posting, the PHA will assess the
needs at the time of the waitlist and the pre-determined number of waitlist spots will be
posted on the public notice. Applicants will receive written notification through the mail
via U.S. Postal Service that their pre-application has been placed on the waitlist or that
their pre-application has been denied, notification will be done within 60 to 90 days of
closing of the pre-application period.
Waitlist numbers will not be disclosed at any time while an applicant is on a waitlist.
Applicants may access their online account to determine if their application is still active,
or they may make inquiries at the housing office.
The PHA will assign families on the waiting list according to the bedroom size for which
a family qualifies as established in its occupancy standards (see Chapter 5).
Placement on the waiting list does not indicate that the family is, in fact, eligible for
assistance. A final determination of eligibility will be made when the family is selected
from the waiting list.
The second phase is when the family is selected from the waiting list. This is called
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Eligibility, during which time the PHA will verify any preference(s) claimed and
determine eligibility and suitability for admission to the program (See Chapter 3).
PART II: MANAGING THE WAITING LIST
4-II.A. Overview
The PHA must have policies regarding the type of waiting list it will utilize as well as how the
waiting list will be organized and managed. This includes policies on notifying the public on the
opening and closing of the waiting list to new applicants, updating family information, purging
the list of families that are no longer interested in or eligible for public housing, and conducting
outreach to ensure a sufficient number of applicants.
In addition, HUD imposes requirements on how the PHA may structure its waiting list and how
families must be treated if they apply for public housing at a PHA that administers more than one
assisted housing program.
4-II.B. Organization of the Waiting List
The PHA’s public housing waiting list must be organized in such a manner to allow the PHA to
accurately identify and select families in the proper order, according to the admissions policies
described in this ACOP.
PHA Policy
The waiting list will contain the following information for each applicant listed:
Name and identifying number of head of household;
Unit size (family members), based on applicant information supplied on the pre-
application;
Amount annual income;
Date and time of application/ application number;
Race and ethnicity of the head of household;
Disabled or Elderly status of head of household;
Preference points, based on applicant information supplied on the pre-application
The specific site(s) selected (only if PHA offers site-based waiting lists)
The PHA may adopt one community-wide waiting list or site-based waiting lists. The PHA must
obtain approval from HUD through submission of its Annual Plan before it may offer site-based
waiting lists. Site-based waiting lists allow families to select the development where they wish
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to reside and must be consistent with all applicable civil rights and fair housing laws and
regulations [24 CFR 903.7(b)(2)].
PHA Policy
The PHA will maintain one single community-wide waiting list for its developments.
Within the list, the PHA will designate subparts to easily identify who should be offered
the next available unit (i.e. mixed populations, general occupancy, unit size, and
accessible units).
The PHA will not adopt site-based waiting lists.
HUD requires that public housing applicants must be offered the opportunity to be placed on the
waiting list for any tenant-based or project-based voucher or moderate rehabilitation program
that the PHA operates if 1) the other programs’ waiting lists are open, and 2) the family is
qualified for the other programs [24 CFR 982.205(a)(2)(i)].
HUD permits, but does not require, that PHAs maintain a single merged waiting list for their
public housing, Section 8, and other subsidized housing programs [24 CFR 982.205(a)(1)].
PHA Policy
The PHA will not merge the public housing waiting list with the waiting list for any other
program the PHA operates.
4-II.C. Opening and Closing the Waiting List
Closing the Waiting List
The PHA is permitted to close the waiting list, in whole or in part, if it has an adequate pool of
families to fully lease units in all of its developments, or for administrative reasons. The PHA
may close the waiting list completely, or restrict intake by preference, type of project, or by size
and type of dwelling unit. [PH Occ GB, p. 31].
PHA Policy
The PHA will disclose in the public notice the close of the waitlist. The PHA reserves the
right to close the waiting list when the estimated waiting period for housing applicants on
the list reaches 24 months, or the PHA will assess the needs at the time of the waitlist and
the pre-determined number of waitlist spots will be posted on the public notice or for
administrative reasons. Where the PHA has particular preferences or other criteria that
require a specific category of family, the PHA may elect to continue to accept
applications from these applicants while closing the waiting list to others.
The PHA reserved the right to select from the applicant pool a pre-determined number of
applicants to move to the waitlist. For each posting, the PHA will assess the needs at the
time of the waitlist and the pre-determine number of waitlist spots will be posted on the
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public notice.
Reopening the Waiting List
If the waiting list has been closed, it may be reopened at any time. The PHA should publish a
notice announcing the opening of the waiting list in local newspapers of general circulation,
minority media, and other suitable media outlets. Such notice must comply with HUD fair
housing requirements. The PHA should specify who may apply, and where and when
applications will be received.
PHA Policy
The PHA will announce the reopening of the waiting list at least 10 business days prior to
the date applications will first be accepted. If the list is only being reopened for certain
categories of families, this information will be contained in the notice. The notice will
specify where, when, and how applications are to be received.
The PHA will give public notice by publishing the relevant information in suitable media
outlets including, but not limited to:
East Valley Tribune
City Scope
ChanWeb
La Voz
All Arizona PHA’s
Local Social Service Agencies
Channel 11 Public Service
4-II.D. Family Outreach [24 CFR 903.2(d); 24 CFR 903.7(a) and (b)]
The PHA should conduct outreach as necessary to ensure that the PHA has a sufficient number
of applicants on the waiting list to fill anticipated vacancies and to assure that the PHA is
affirmatively furthering fair housing and complying with the Fair Housing Act.
Because HUD requires the PHA to admit a specified percentage of extremely low income
families, the PHA may need to conduct special outreach to ensure that an adequate number of
such families apply for public housing.
PHA outreach efforts must comply with fair housing requirements. This includes:
Analyzing the housing market area and the populations currently being served to
identify underserved populations
Ensuring that outreach efforts are targeted to media outlets that reach eligible
populations that are underrepresented in the program
Avoiding outreach efforts that prefer or exclude people who are members of a
protected class
PHA outreach efforts must be designed to inform qualified families about the availability of units
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under the program. These efforts may include, as needed, any of the following activities:
Submitting press releases to local newspapers, including minority newspapers
Developing informational materials and flyers to distribute to other agencies
Providing application forms to other public and private agencies that serve the low
income population
Developing partnerships with other organizations that serve similar populations,
including agencies that provide services for persons with disabilities
PHA Policy
The PHA will monitor the characteristics of the population being served and the
characteristics of the population as a whole in the PHA’s jurisdiction. Targeted outreach
efforts will be undertaken if a comparison suggests that certain populations are being
underserved.
4-II.E. Reporting Changes in Family Circumstances
PHA Policy
While the family is on the waiting list, the family must inform the PHA, within 10
business days, of changes in family size or composition, preference status, or contact
information, including current residence, mailing address, and phone number. The
changes must be submitted in writing either through the applicant’s online account or on
a Change Report form. If using a Change Report form, the applicant copy of the form
must be time and date stamped by the City of Chandler Housing office to be considered
valid. The copy of the form will be provided to the participant.
Upon completion of the online resident system, the family will be urged to use the PHA
website/online process for submitting Change Report.
Changes in an applicant's circumstances while on the waiting list may affect the family's
qualification for a particular bedroom size or entitlement to a preference. When an
applicant reports a change that affects their placement on the waiting list, the waiting list
will be updated accordingly. Families with preferences will be selected before families
not claiming a preference.
4-II.F. Updating The Waiting List
HUD requires the PHA to establish policies that describe the circumstances under which
applicants will be removed from the waiting list [24 CFR 960.202(a)(2)(iv)].
Purging the Waiting List
The decision to remove an applicant family that includes a person with disabilities from the
waiting list is subject to reasonable accommodation. If the applicant did not respond to the
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PHA’s request for information or updates because of the family member’s disability, the PHA
must, upon the family’s request, reinstate the applicant family to their former position on the
waiting list as a reasonable accommodation [24 CFR 8.4(a), 24 CFR 100.204(a), and PH Occ
GB, p. 39 and 40]. See Chapter 2 for further information regarding reasonable accommodations.
PHA Policy
The waiting list will be purged every other year to ensure that all applicant information is
current.
To update the waiting list, the PHA will send an update request via first class mail to each
family on the waiting list to determine whether the family continues to be interested in,
and to qualify for, the program. This update request will be sent to the last address that
the PHA has on record for the family. The update request will provide a deadline by
which the family must respond and will state that failure to respond will result in the
applicant’s name being removed from the waiting list.
Families must respond via the online system on or before the due date or respond by mail
as indicated in purge letter instructions. Responses should be postmarked or received by
the PHA not later than 15 business days from the date of the PHA letter.
If the family fails to respond within 14 business days, the family will be removed from
the waiting list and the notice will be mailed to the last address of record or other address
provided by the applicant.
If the notice is returned by the post office with no forwarding address, the applicant will
be removed from the waiting list and a notice mailed to the last address of record or other
address provided by the applicant.
If the notice is returned by the post office with a forwarding address, the notice will be re-
sent to the address indicated. The family will have 14 business days to respond from the
date the letter was re-sent. If the family fails to respond within this time frame, the family
will be removed from the waiting list and a notice mailed to the last address of record.
When a family is removed from the waiting list during the update process for failure to
respond, an informal hearing may be offered. Such failures to act on the part of the
applicant prevent the PHA from making an eligibility determination.
If a family is removed from the waiting list for failure to respond, management may
reinstate the family if the lack of response was due to PHA error, or to circumstances
beyond the family’s control. If the lack of response was due to circumstances beyond the
family’s control, the family will need to provide a written statement outlining the issue
and the evidence to support the claim.
Removal from the Waiting List
PHA Policy
The PHA will remove an applicant from the waiting list upon written request by the
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applicant family. In such cases no informal hearing is required.
If the PHA determines that the family is not eligible for admission (see Chapter 3) at any
time while the family is on the waiting list the family will be removed from the waiting
list.
If a family is removed from the waiting list because the PHA has determined the family is
not eligible for admission, a notice will be sent to the family’s address of record as well
as to any alternate address provided on an informal review request. The notice will state
the reasons the family was removed from the waiting list and will inform the family how
to request an informal hearing regarding the PHA’s decision (see Chapter 14) [24 CFR
960.208(a)].
The family will also be removed from the waiting list for failure to respond to a request
for information, such as during the purge process (see Section 4-II.F).
PART III: TENANT SELECTION
4-III.A. Overview
The PHA must establish tenant selection policies for families being admitted to public housing
[24 CFR 960.201(a)]. The PHA must not require any specific income or racial quotas for any
developments [24 CFR 903.2(d)]. The PHA must not assign persons to a particular section of a
community or to a development or building based on race, color, religion, sex, disability, familial
status or national origin for purposes of segregating populations [24 CFR 1.4(b) and 24 CFR
903.2(d)].
The order in which families will be selected from the waiting list depends on the selection
method chosen by the PHA and is impacted in part by any selection preferences that the family
qualifies for. The availability of units also may affect the order in which families are selected
from the waiting list.
The PHA must maintain a clear record of all information required to verify that the family is
selected from the waiting list according to the PHA’s selection policies [24 CFR 960.206(e)(2)].
The PHA’s policies must be posted any place where the PHA receives applications. The PHA
must provide a copy of its tenant selection policies upon request to any applicant or tenant. The
PHA may charge the family for providing a copy of its tenant selection policies [24 CFR
960.202(c)(2)].
PHA Policy
When an applicant or resident family requests a copy of the PHA’s tenant selection
policies, the PHA will provide copies to them free of charge.
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4-III.B. Selection Method
PHAs must describe the method for selecting applicant families from the waiting list, including
the system of admission preferences that the PHA will use.
Local Preferences [24 CFR 960.206]
PHAs are permitted to establish local preferences and to give priority to serving families that
meet those criteria. HUD specifically authorizes and places restrictions on certain types of local
preferences. HUD also permits the PHA to establish other local preferences, at its discretion.
Any local preferences established must be consistent with the PHA plan and the consolidated
plan, and must be based on local housing needs and priorities that can be documented by
generally accepted data sources [24 CFR 960.206(a)].
These preferences will not have the purpose or effect of delaying or otherwise denying admission
to the program based on the race, color, ethnic origin, gender, religion, disability, or age of any
member of an applicant family [24 CFR 960.206].
PHA Policy
Families will be selected from the waitlist in numeric order, based on a family’s assigned
sequential number with consideration provided for eligible preferences. Families with a
preference will be selected before families without a preference. Preferences will be
calculated in a “lumping” order, whereby, a family with one preference will have the
same number of points as a family with multiple preferences.
The PHA uses the following Local Preferences:
A. Displaced person(s): Individuals or families displaced by local government action
or whose dwelling has been extensively damaged or destroyed as a result of a
disaster declared or otherwise formally recognized pursuant to Federal disaster
relief laws.
B. Living or Working in Chandler: Applicant must physically live, work,, or hired to
work in City of Chandler.
C. Chronically Homeless: The following definition must be met. A chronically
homeless person as defined by the U.S. Department of HUD (24 CFR 570.3): (1)
A “homeless individual with a disability,” as defined in section 401(9) of the
McKinney–Vento Homeless Assistance Act (42 U.S.C. 11360(9)), who: (i) Lives
in a place not meant for human habitation, a safe haven, or in an emergency
shelter; and ii) Has been homeless and living as described in paragraph (1)(i) of
this definition continuously for at least 12 months or on at least 4 separate
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occasions in the last 3 years, as long as the combined occasions equal at least 12
months and each break in homelessness separating the occasions included at least
7 consecutive nights of not living as described in paragraph (1)(i). Stays in
institutional care facilities for fewer than 90 days will not constitute as a break in
homelessness, but rather such stays are included in the 12–month total, as long as
the individual was living or residing in a place not meant for human habitation, a
safe haven, or an emergency shelter immediately before entering the institutional
care facility; (2) An individual who has been residing in an institutional care
facility, including a jail, substance abuse or mental health treatment facility,
hospital, or other similar facility, for fewer than 90 days and met all of the criteria
in paragraph (1) of this definition, before entering that facility; or (3) A family
with an adult head of household (or if there is no adult in the family, a minor head
of household) who meets all of the criteria in paragraph (1) or (2) of this
definition, including a family whose composition has fluctuated while the head of
household has been homeless.
D. Currently Employed/Employment Program: Families whose Head, Spouse, Head,
or Sole Member is employed. Applicants with an adult family member enrolled
in an employment training program or currently working (20) hours a week, or
attending school on a full-time basis Working hours must be attributed to only
one family members. Family cannot combine work hours.
E. Elderly families where the head of household or spouse is at least 62+ years of
age.
F. Disabled families and families with a disabled household member.
The above preferences are not weighted and will be used in a “lumping” manner so as to
allow an applicant with one preference to have the same advantage as an applicant
qualifying for all preferences. Applicants are encouraged to claim as many preferences
for which they qualify. Verification of preferences will be conducted at the time of
eligibility. Selected applicants going through the eligibility process who have claimed
preferences for which they do not qualify and cannot verify will be returned to the
waitlist and their pre-application will be updated with the correct preference information.
Income Targeting Requirement [24 CFR 960.202(b)]
HUD requires that extremely low-income (ELI) families make up at least 40 percent of the
families admitted to public housing during the PHA’s fiscal year. ELI families are those with
annual incomes at or below the federal poverty level or 30 percent of the area median income,
whichever number is higher [Federal Register notice 6/25/14]. To ensure this requirement is
met, the PHA may skip non-ELI families on the waiting list in order to select an ELI family.
If a PHA also operates a housing choice voucher (HCV) program, admissions of extremely low-
income families to the PHA’s HCV program during a PHA fiscal year that exceed the 75 percent
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minimum target requirement for the voucher program, shall be credited against the PHA’s basic
targeting requirement in the public housing program for the same fiscal year. However, under
these circumstances the fiscal year credit to the public housing program must not exceed the
lower of: (1) ten percent of public housing waiting list admissions during the PHA fiscal year;
(2) ten percent of waiting list admissions to the PHA’s housing choice voucher program during
the PHA fiscal year; or (3) the number of qualifying low-income families who commence
occupancy during the fiscal year of PHA public housing units located in census tracts with a
poverty rate of 30 percent or more. For this purpose, qualifying low-income family means a low-
income family other than an extremely low-income family.
PHA Policy
The PHA will monitor progress in meeting the ELI requirement throughout the fiscal
year. ELI families will be selected ahead of other eligible families on an as-needed basis
to ensure that the income targeting requirement is met.
Mixed Population Developments [24 CFR 960.407]
A mixed population development is a public housing development or portion of a development
that was reserved for elderly families and disabled families at its inception (and has retained that
character) or the PHA at some point after its inception obtained HUD approval to give
preference in tenant selection for all units in the development (or portion of a development) to
elderly and disabled families [24 CFR 960.102]. Elderly family means a family whose head,
spouse, cohead, or sole member is a person who is at least 62 years of age. Disabled family
means a family whose head, spouse, cohead, or sole member is a person with disabilities [24
CFR 5.403]. The PHA must give elderly and disabled families equal preference in selecting these
families for admission to mixed population developments. The PHA may not establish a limit on
the number of elderly or disabled families that may occupy a mixed population development. In
selecting elderly and disabled families to fill these units, the PHA must first offer the units that
have accessibility features for families that include a person with a disability and require the
accessibility features of such units. The PHA may not discriminate against elderly or disabled
families that include children (Fair Housing Amendments Act of 1988).
Units Designated for Elderly or Disabled Families [24 CFR 945]
The PHA may designate projects or portions of a public housing project specifically for elderly
or disabled families. The PHA must have a HUD-approved allocation plan before the designation
may take place.
Among the designated developments, the PHA must also apply any preferences that it has
established. If there are not enough elderly families to occupy the units in a designated elderly
development, the PHA may allow near-elderly families to occupy the units [24 CFR
945.303(c)(1)]. Near-elderly family means a family whose head, spouse, or cohead is at least 50
years old, but is less than 62 [24 CFR 5.403].
If there are an insufficient number of elderly families and near-elderly families for the units in a
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development designated for elderly families, the PHA must make available to all other families
any unit that is ready for re-rental and has been vacant for more than 60 consecutive days [24
CFR 945.303(c)(2)].
The decision of any disabled family or elderly family not to occupy or accept occupancy in
designated housing shall not have an adverse effect on their admission or continued occupancy in
public housing or their position on or placement on the waiting list. However, this protection
does not apply to any family who refuses to occupy or accept occupancy in designated housing
because of the race, color, religion, sex, disability, familial status, or national origin of the
occupants of the designated housing or the surrounding area [24 CFR 945.303(d)(1) and (2)].
This protection does apply to an elderly family or disabled family that declines to accept
occupancy, respectively, in a designated project for elderly families or for disabled families, and
requests occupancy in a general occupancy project or in a mixed population project [24 CFR
945.303(d)(3)].
PHA Policy
The PHA has designated elderly housing. The PHA’s development with designated
housing is as follows:
Kingston Arms, 127 North Kingston
When there are insufficient elderly families on the waiting list who wish to reside in a
designated elderly development, near-elderly families will receive a preference over other
families for designated elderly units.
Deconcentration of Poverty and Income-Mixing [24 CFR 903.1 and 903.2]
The PHA's admission policy must be designed to provide for deconcentration of poverty and
income-mixing by bringing higher income tenants into lower income projects and lower income
tenants into higher income projects. A statement of the PHA’s deconcentration policies must be
included in its annual plan [24 CFR 903.7(b)].
The PHA’s deconcentration policy must comply with its obligation to meet the income targeting
requirement [24 CFR 903.2(c)(5)].
Developments subject to the deconcentration requirement are referred to as ‘covered
developments’ and include general occupancy (family) public housing developments. The
following developments are not subject to deconcentration and income mixing requirements:
developments operated by a PHA with fewer than 100 public housing units; mixed population or
developments designated specifically for elderly or disabled families; developments operated by
a PHA with only one general occupancy development; developments approved for demolition or
for conversion to tenant-based public housing; and developments approved for a mixed-finance
plan using HOPE VI or public housing funds [24 CFR 903.2(b)].
Steps for Implementation [24 CFR 903.2(c)(1)]
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To implement the statutory requirement to deconcentrate poverty and provide for income mixing
in covered developments, the PHA must comply with the following steps:
Step 1. The PHA must determine the average income of all families residing in all the PHA's
covered developments. The PHA may use the median income, instead of average income,
provided that the PHA includes a written explanation in its annual plan justifying the use of
median income.
PHA Policy
The PHA will determine the average income of all families in all covered developments
on an annual basis.
Step 2. The PHA must determine the average income (or median income, if median income was
used in Step 1) of all families residing in each covered development. In determining average
income for each development, the PHA has the option of adjusting its income analysis for unit
size in accordance with procedures prescribed by HUD.
PHA Policy
The PHA will determine the average income of all families residing in each covered
development (not adjusting for unit size) on an annual basis.
Step 3. The PHA must then determine whether each of its covered developments falls above,
within, or below the established income range (EIR), which is from 85% to 115% of the average
family income determined in Step 1. However, the upper limit must never be less than the
income at which a family would be defined as an extremely low-income family (federal poverty
level or 30 percent of median income, whichever number is higher).
Step 4. The PHA with covered developments having average incomes outside the EIR must then
determine whether or not these developments are consistent with its local goals and annual plan.
Step 5. Where the income profile for a covered development is not explained or justified in the
annual plan submission, the PHA must include in its admission policy its specific policy to
provide for deconcentration of poverty and income mixing.
Depending on local circumstances the PHA’s deconcentration policy may include, but is not
limited to the following:
Providing incentives to encourage families to accept units in developments where
their income level is needed, including rent incentives, affirmative marketing plans,
or added amenities
Targeting investment and capital improvements toward developments with an
average income below the EIR to encourage families with incomes above the EIR to
accept units in those developments
Establishing a preference for admission of working families in developments below
the EIR
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Skipping a family on the waiting list to reach another family in an effort to further the
goals of deconcentration
Providing other strategies permitted by statute and determined by the PHA in
consultation with the residents and the community through the annual plan process to
be responsive to local needs and PHA strategic objectives
A family has the sole discretion whether to accept an offer of a unit made under the PHA's
deconcentration policy. The PHA must not take any adverse action toward any eligible family
for choosing not to accept an offer of a unit under the PHA's deconcentration policy [24 CFR
903.2(c)(4)].
If, at annual review, the average incomes at all general occupancy developments are within the
EIR, the PHA will be considered to be in compliance with the deconcentration requirement and
no further action is required.
PHA Policy
For developments outside the EIR the PHA will take the following actions to provide for
deconcentration of poverty and income mixing:
The PHA's Deconcentration Policy, as described in the PHA Plan, may include skipping
of families on the waiting list in order to bring families above the established income
range into developments below the established income range, and to bring families below
the established income range into developments above the established income range.
Order of Selection [24 CFR 960.206(e)]
The PHA system of preferences may select families either according to the date and time of
application or by a random selection process.
PHA Policy
The PHA will utilize a lottery system and families will be selected from the waitlist in
numeric order, based on a family’s assigned sequential number with consideration
provided for eligible preferences. Families with a preference will be selected before
families without a preference. Preferences will be calculated in a “lumping” order,
whereby, a family with one preference will have the same number of points as a family
with multiple preferences. The methods and formats of pre-applications will be posted in
each notice and will depend upon the needs at the time the waitlist is opened.
When selecting applicants from the waiting list, the PHA will match the characteristics of
the available unit (unit size, accessibility features, unit type) to the applicants on the
waiting lists. The PHA will offer the unit to the highest ranking applicant who qualifies
for that unit size or type, or that requires the accessibility features.
By matching unit and family characteristics, it is possible that families who are lower on
4-17
the waiting list may receive an offer of housing ahead of families with an earlier date and
time of application or higher preference status.
Factors such as deconcentration or income mixing and income targeting will also be
considered in accordance with HUD requirements and PHA policy.
4-III.C. Notification of Selection
When the family has been selected from the waiting list, the PHA must notify the family
[24 CFR 960.208].
PHA Policy
The PHA will notify the family by first class mail when it is selected from the waiting
list.
The notice will inform the family of the following:
Date, time, and location of the eligibility interview, or process for obtaining an
eligibility interview appointment, and any procedures for rescheduling the
interview;
Who is required to attend the interview;
All eligibility documents that must be provided, including information about what
constitutes acceptable documentation, and due dates;
Documents that must be provided at the interview to document eligibility for a
preference, if applicable; and
Other documents and information that should be brought to the interview.
If a notification letter is returned to the PHA with no forwarding address or the online system is
not updated with the current information to maintain active status on the waiting list, the family
will be removed from the waiting list without further notice. Such failure to act on the part of the
applicant prevents the PHA from making an eligibility determination; however, an informal
review may be requested.
4-III.D. The Application Interview
HUD recommends that the PHA obtain the information and documentation needed to make an
eligibility determination through a private interview. Being invited to attend an interview does
not constitute admission to the program.
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Assistance cannot be provided to the family until all SSN documentation requirements are met.
However, if the PHA determines that an applicant family is otherwise eligible to participate in
the program, the family may retain its place on the waiting list for a period of time determined by
the PHA [Notice PIH2018-24].
Reasonable accommodation must be made for elderly persons or persons with disabilities who
are unable to attend an interview due to their disability [24 CFR 8.4(a) and 24 CFR 100.204(a)].
PHA Policy
Families selected from the waiting list are required to participate in an eligibility
interview.
The head of household and all adult family members will be strongly encouraged to
attend the interview together. However, the head of household, the spouse, or a legal
representative (documented through a legal power of attorney or guardianship) may
attend the interview on behalf of the family. Verification of information pertaining to
adult members of the household not present at the interview will not begin until signed
release forms are returned to the PHA.
The interview will be conducted only if the head of household, or spouse, or legal
representative provides appropriate documentation of legal identity (Chapter 7 provides a
discussion of proper documentation of legal identity). If the family representative does
not provide the required documentation at the time of the scheduled interview, they will
be required to provide the documentation within 10 business days.
Pending disclosure and documentation of social security numbers, the PHA will allow the
family to retain its place on the waiting list for thirty (30) days.
If the family is claiming a waiting list preference, the family must provide documentation
to verify their eligibility for a preference (see Chapter 7). If the family is verified as
eligible for the preference, the PHA will proceed with the interview. If the PHA
determines the family is not eligible for the preference, the interview will not proceed and
the family will be placed back on the waiting list according to the date and time of their
application.
The family must provide the information necessary to establish the family’s eligibility,
including suitability, and to determine the appropriate amount of rent the family will pay.
The family must also complete required forms, provide required signatures, and submit
required documentation. If any materials are missing, the PHA will provide the family
with a written list of items that must be submitted.
Any required documents or information that the family is unable to provide at the
interview must be provided within 10 business days of the interview (Chapter 7 provides
details about longer submission deadlines for particular items, including documentation
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of Social Security numbers and eligible noncitizen status). If the family is unable to
obtain the information or materials within the required time frame, the family may
request an extension for reasonable cause. If the required documents and information are
not provided within the required time frame (plus any extensions), the family will be sent
a notice of denial (see Chapter 3).
An advocate, interpreter, or other assistant may assist the family with the application and
the interview process.
Interviews will be conducted in English. For Limited English Proficiency (LEP)
applicants, the PHA will provide translation services in accordance with the PHA’s LEP
plan.
If the family is unable to attend a scheduled interview, the family should contact the PHA
in advance of the interview to schedule a new appointment.
In all circumstances, if a family does not attend a scheduled interview, the PHA will send
another notification letter with a new interview appointment time. Applicants who fail to
attend two scheduled interviews without PHA approval will have their applications made
inactive based on the family’s failure to supply information needed to determine
eligibility.
The second appointment letter will state that failure to appear for the appointment
without a request to reschedule will be interpreted to mean that the family is no longer
interested and their application will be made inactive. Such failure to act on the part of
the applicant prevents the PHA from making an eligibility determination; therefore the
PHA will not offer an informal hearing.
4-III.E. Final Eligibility Determination [24 CFR 960.208]
The PHA must verify all information provided by the family (see Chapter 7). Based on verified
information related to the eligibility requirements, including PHA suitability standards, the PHA
must make a final determination of eligibility (see Chapter 3).
When a determination is made that a family is eligible and satisfies all requirements for
admission, including tenant selection criteria, the applicant must be notified of the approximate
date of occupancy insofar as that date can be reasonably determined [24 CFR 960.208(b)].
PHA Policy
The PHA will notify a family in writing of their eligibility within 10 business days of the
determination and will provide the approximate date of occupancy insofar as that date
can be reasonably determined.
The PHA will expedite the administrative process for determining eligibility to the extent
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possible for applicants who are admitted to the public housing program as a result of an
emergency transfer from another PHA program.
The PHA must promptly notify any family determined to be ineligible for admission of the basis
for such determination, and must provide the applicant upon request, within a reasonable time
after the determination is made, with an opportunity for an informal hearing on such
determination [24 CFR 960.208(a)].
PHA Policy
If the PHA determines that the family is ineligible, the PHA will send written notification
of the ineligibility determination within 10 business days of the determination. The notice
will specify the reasons for ineligibility, and will inform the family of its right to request
an informal hearing (see Chapter 14).
If the PHA uses a criminal record or sex offender registration information obtained under 24
CFR 5, Subpart J, as the basis of a denial, a copy of the record must precede the notice to deny,
with an opportunity for the applicant to dispute the accuracy and relevance of the information
before the PHA can move to deny the application. See Section 3-III.G for the PHA’s policy
regarding such circumstances.
Upon making an eligibility determination, the PHA must provide the family a notice of VAWA
rights (form HUD-5380) as well as the HUD VAWA self-certification form (form HUD-5382) in
accordance with the Violence against Women Act of 2013, and as outlined in 16-VII.C., at the
time the applicant is provided assistance or at the time the applicant is denied assistance. The
notice and self-certification from must accompany the written notification of eligibility
determination. This notice must be provided in both of the following instances: (1) when a
family actually begins receiving assistance (lease execution); or (2) when a family is notified of
its ineligibility.
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CHAPTER 5
OCCUPANCY STANDARDS AND UNIT OFFERS
INTRODUCTION
The PHA must establish policies governing occupancy of dwelling units and offering dwelling
units to qualified families.
This chapter contains policies for assigning unit size and making unit offers. The PHA’s waiting
list and selection policies are contained in Chapter 4. Together, Chapters 4 and 5 of the ACOP
comprise the PHA’s Tenant Selection and Assignment Plan (TSAP).
Policies in this chapter are organized in two parts.
Part I: Occupancy Standards. This part contains the PHA’s standards for determining the
appropriate unit size for families of different sizes, compositions, and types.
Part II: Unit Offers. This part contains the PHA’s policies for making unit offers, and
describes actions to be taken when unit offers are refused.
PART I: OCCUPANCY STANDARDS
5-I.A. Overview
Occupancy standards are established by the PHA to ensure that units are occupied by families of
the appropriate size. This policy maintains the maximum usefulness of the units, while
preserving them from underutilization or from excessive wear and tear due to overcrowding. Part
I of this chapter explains the occupancy standards. These standards describe the methodology
and factors the PHA will use to determine the size unit for which a family qualifies, and includes
the identification of the minimum and maximum number of household members for each unit
size. This part also identifies circumstances under which an exception to the occupancy standards
may be approved.
5-I.B. Determining Unit Size
In selecting a family to occupy a particular unit, the PHA may match characteristics of the family
with the type of unit available, for example, number of bedrooms [24 CFR 960.206(c)].
HUD does not specify the number of persons who may live in public housing units of various
sizes. PHAs are permitted to develop appropriate occupancy standards as long as the standards
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do not have the effect of discriminating against families with children [PH Occ GB, p. 62].
Although the PHA does determine the size of unit the family qualifies for under the occupancy
standards, the PHA does not determine who shares a bedroom/sleeping room.
The PHA’s occupancy standards for determining unit size must be applied in a manner consistent
with fair housing requirements.
PHA Policy
The PHA will use the same occupancy standards for each of its developments.
The PHA’s occupancy standards are as follows:
The PHA will assign one bedroom for each two persons within the household,
except in the following circumstances:
Persons of the opposite sex (other than spouses/couples, and children
under age 5) will not be required to share a bedroom.
Persons of different generations will not be required to share a
bedroom(e.g., grandparents, parents) except:
o A single pregnant woman with no other household
members and a single parent with one child and no other
household members will be assigned a 1-bedroom unit.
Assuming no other changes in family composition, after the
child reaches the age of 5 years, the family will be eligible
for transfer to a 2-bedroom unit.
An unborn child will not be counted as a person in determining unit
size.
Live-in aides will be allocated a separate bedroom. No additional
bedrooms will be provided for the live-in aide’s family.
Single person families will be allocated a zero or one bedroom.
Children related to a household member by birth, adoption, or court
awarded custody will be considered when determining unit size.
Foster children will be considered when determining unit size. The
family may add foster children to the household as long as it does not
overcrowd the unit based on the PHA’s occupancy standard.
Children away at school, but for whom the unit is considered the
primary residence, and children temporarily placed outside the home,
will be considered when determining unit size.
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Children in the process of being adopted will be considered when
determining unit size.
Children who will live in the unit less than 50 percent of the time will
not be considered when determining unit size.
The PHA will reference the following standards in determining the appropriate unit
bedroom size for a family:
BEDROOM SIZE
MINIMUM NUMBER OF
PERSONS
MAXIMUM NUMBER
OF PERSONS
0
1
1
1
1
2
2
2
4
3
3
6
4
4
8
5
6
10
6
8
12
5-I.C. Exceptions to Occupancy Standards
Types of Exceptions
PHA Policy
The PHA will consider granting exceptions to the occupancy standards at the family’s
request if the PHA determines the exception is justified by the relationship, age, sex,
health or disability of family members, or other personal circumstances.
For example, an exception may be granted if a larger bedroom size is needed for medical
equipment due to its size and/or function, or as a reasonable accommodation for a person
with disabilities. An exception may also be granted for a smaller bedroom size in cases
where the number of household members exceeds the maximum number of persons
allowed for the unit size in which the family resides (according to the chart in Section 5-
I.B) and the family does not want to transfer to a larger size unit.
When evaluating exception requests the PHA will consider the size and configuration of
the unit. In no case will the PHA grant an exception that is in violation of local housing
or occupancy codes, regulations or laws.
Requests from applicants to be placed on the waiting list for a unit size smaller than
designated by the occupancy standards will be approved as long as the unit is not
overcrowded according to local code, and the family agrees not to request a transfer for a
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period of two years from the date of admission, unless they have a subsequent change in
family size or composition.
To prevent vacancies, the PHA may provide an applicant family with a larger unit than
the occupancy standards permit. However, in these cases the family must agree to move
to a suitable, smaller unit when another family qualifies for the larger unit and there is an
appropriate size unit available for the family to transfer to.
Processing of Exceptions
PHA Policy
All requests for exceptions to the occupancy standards must be submitted in writing.
In the case of a request for exception as a reasonable accommodation, the PHA will
encourage the resident to make the request in writing using a reasonable accommodation
request form. However, the PHA will consider the exception request any time the
resident indicates that an accommodation is needed whether or not a formal written
request is submitted.
Requests for a larger size unit must explain the need or justification for the larger size
unit, and must include appropriate documentation. Requests based on health-related
reasons must be verified by a knowledgeable professional source, unless the disability
and the disability-related request for accommodation is readily apparent or otherwise
known.
The PHA will notify the family of its decision within 10 business days of receiving the
family’s request.
PART II: UNIT OFFERS [24 CFR 1.4(B)(2)(II); 24 CFR 960.208]
5-II.A. Overview
The PHA must assign eligible applicants to dwelling units in accordance with a plan that is
consistent with civil rights and nondiscrimination laws.
In filling an actual or expected vacancy, the PHA must offer the dwelling unit to an applicant in
the appropriate offer sequence. The PHA will offer the unit until it is accepted. This section
describes the PHA’s policies with regard to the number of unit offers that will be made to
applicants selected from the waiting list. This section also describes the PHA’s policies for
offering units with accessibility features.
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PHA Policy
The PHA will maintain a record of units offered, including location, date and
circumstances of each offer, each acceptance or rejection, including the reason for the
rejection.
5-II.B. Number of Offers
PHA Policy
Under this plan, the PHA will determine how many locations within its jurisdiction have
available units of suitable size and type in the appropriate type of project. Applicants
from the appropriate waiting list will be offered two (2) suitable vacant units for
occupancy.
The offers will be made in sequence and the applicant must refuse the first offer before
the second offer is made. If both offers are rejected, unless there is a good cause for
refusing the offers, the applicant will be removed from the waiting list and will be
required to complete a new application when the waiting list is open.
If the applicant is on the waiting list for the Housing Choice Voucher (aka Section 8)
program, refusal of a public housing unit will not affect placement on the other list.
If the PHA offers an accessible unit to a non-disabled applicant and the offer is rejected,
the offer will not count.
5-II.C. Time Limit for Unit Offer Acceptance or Refusal
PHA Policy
Applicants must accept or refuse a unit offer within 3 business days of the date of the unit
offer. Offers made by telephone will be confirmed by letter.
5-II.D. Refusals of Unit Offers
Good Cause for Unit Refusal
An elderly or disabled family may decline an offer for designated housing. Such a refusal must
not adversely affect the family's position on or placement on the public housing waiting list [24
CFR 945.303(d)].
PHA Policy
Applicants may refuse to accept a unit offer for "good cause." Good cause includes
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situations in which an applicant is willing to move but is unable to do so at the time of the
unit offer, or the applicant demonstrates that acceptance of the offer would cause undue
hardship not related to considerations of the applicant’s race, color, national origin, etc.
[PH Occ GB, p. 104]. Examples of good cause for refusal of a unit offer include, but are
not limited to, the following:
The family demonstrates to the PHA’s satisfaction that accepting the unit offer
will require an adult household member to quit a job, drop out of an educational
institution or job training program, or take a child out of day care or an
educational program for children with disabilities.
The family demonstrates to the PHA’s satisfaction that accepting the offer will
place a family member’s life, health, or safety in jeopardy. The family should
offer specific and compelling documentation such as restraining orders; other
court orders; risk assessments related to witness protection from a law
enforcement agency; or documentation of domestic violence, dating violence,
sexual assault, or stalking in accordance with section 16-VII.D of this ACOP.
Reasons offered must be specific to the family. Refusals due to location alone
do not qualify for this good cause exemption.
A health professional verifies temporary hospitalization or recovery from illness
of the principal household member, other household members (as listed on final
application) or live-in aide necessary to the care of the principal household
member
The unit is inappropriate for the applicant’s disabilities.
In the case of a unit refusal for good cause the applicant will not be removed from the
waiting list as described later in this section. The applicant will remain at the top of
the waiting list until the family receives an offer for which they do not have good
cause to refuse.
The PHA will require documentation of good cause for unit refusals.
Unit Refusal Without Good Cause
PHA Policy
When an applicant rejects the final unit offer without good cause, the PHA will remove
the applicant’s name from the waiting list and send notice to the family of such removal.
The notice will inform the family of their right to request an informal hearing and the
process for doing so (see Chapter 14).
The applicant may reapply for assistance if the waiting list is open. If the waiting list is
not open, the applicant must wait to reapply until the PHA opens the waiting list.
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5-II.E. Accessible Units [24 CFR 8.27]
PHAs must adopt suitable means to assure that information regarding the availability of
accessible units reaches eligible individuals with disabilities, and take reasonable
nondiscriminatory steps to maximize the utilization of such units by eligible individuals whose
disability requires the accessibility features of a particular unit.
When an accessible unit becomes vacant, before offering such units to a non-disabled applicant
the PHA must offer such units:
First, to a current resident of another unit of the same development, or other public
housing development under the PHA’s control, who has a disability that requires the
special features of the vacant unit and is occupying a unit not having such features, or if
no such occupant exists, then
Second, to an eligible qualified applicant on the waiting list having a disability that
requires the special features of the vacant unit.
When offering an accessible unit to an applicant not having a disability requiring the
accessibility features of the unit, the PHA may require the applicant to agree (and may
incorporate this agreement in the lease) to move to a non-accessible unit when available.
PHA Policy
Families requiring an accessible unit may be over-housed in such a unit if there are no
resident or applicant families of the appropriate size who also require the accessible
features of the unit.
When there are no resident or applicant families requiring the accessible features of the
unit, including families who would be over-housed, the PHA may offer the unit to a non-
disabled applicant.
When an applicant who does not require accessibility features for disabled persons
accepts an accessible unit, the applicant acknowledges and agrees to transfer to a unit
without such features should another person eligible for housing assistance need the
accessible dwelling unit. The applicant further acknowledges the responsibility for all
costs associated with the transfer to another dwelling unit.
5-II.F. Designated Housing
When applicable, the PHA’s policies for offering units designated for elderly families only or for
disabled families only are described in the PHA’s Designated Housing Plan.
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CHAPTER 6
INCOME AND RENT DETERMINATIONS
[24 CFR Part 5, Subparts E and F; 24 CFR 960, Subpart C]
INTRODUCTION
A family’s annual income is used to determine their income eligibility for the public housing
program and is also used to calculate the amount of the family’s rent payment. The PHA will use
the policies and methods described in this chapter to ensure that only income-eligible families
receive assistance and that no family pays more or less rent than is required under the
regulations. This chapter describes HUD regulations and PHA policies related to these topics in
three parts as follows:
Part I: Annual Income. HUD regulations specify the sources of income to include and
exclude to arrive at a family’s annual income. These requirements and PHA policies for
calculating annual income are found in Part I.
Part II: Adjusted Income. Once annual income has been established HUD regulations
require the PHA to subtract from annual income any of five mandatory deductions for
which a family qualifies. These requirements and PHA policies for calculating adjusted
income are found in Part II.
Part III: Calculating Rent. This part describes the statutory formula for calculating total
tenant payment (TTP), the use of utility allowances, and the methodology for determining
family rent payment. Also included here are flat rents and the family’s choice in rents.
PART I: ANNUAL INCOME
6-I.A. Overview
The general regulatory definition of annual income shown below is from 24 CFR 5.609.
5.609 Annual income.
(a) Annual income means all amounts, monetary or not, which:
(1) Go to, or on behalf of, the family head or spouse (even if temporarily absent) or to any other
family member; or
(2) Are anticipated to be received from a source outside the family during the 12-month period
following admission or annual reexamination effective date; and
(3) Which are not specifically excluded in paragraph [5.609(c)].
(4) Annual income also means amounts derived (during the 12-month period) from assets to
which any member of the family has access.
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In addition to this general definition, HUD regulations establish policies for treating specific
types of income and assets. The full texts of those portions of the regulations are provided in
exhibits at the end of this chapter as follows:
Annual Income Inclusions (Exhibit 6-1)
Annual Income Exclusions (Exhibit 6-2)
Treatment of Family Assets (Exhibit 6-3)
Earned Income Disallowance (Exhibit 6-4)
The Effect of Welfare Benefit Reduction (Exhibit 6-5)
Sections 6-I.B and 6-I.C discuss general requirements and methods for calculating annual
income. The rest of this section describes how each source of income is treated for the purposes
of determining annual income. HUD regulations present income inclusions and exclusions
separately [24 CFR 5.609(b) and 24 CFR 5.609(c)]. In this ACOP, however, the discussions of
income inclusions and exclusions are integrated by topic (e.g., all policies affecting earned
income are discussed together in section 6-I.D). Verification requirements for annual income are
discussed in Chapter 7.
6-I.B. Household Composition and Income
Income received by all family members must be counted unless specifically excluded by the
regulations. It is the responsibility of the head of household to report changes in family
composition. The rules on which sources of income are counted vary somewhat by family
member. The chart below summarizes how family composition affects income determinations.
Summary of Income Included and Excluded by Person
Live-in aides
Income from all sources is excluded [24 CFR 5.609(c)(5)].
Foster child or foster adult
Income from all sources is excluded [24 CFR 5.609(a)(1)].
Head, spouse, or cohead
Other adult family members
All sources of income not specifically excluded by the
regulations are included.
Children under 18 years of age
Employment income is excluded [24 CFR 5.609(c)(1)].
All other sources of income, except those specifically
excluded by the regulations, are included.
Full-time students 18 years of
age or older (not head, spouse,
or cohead)
Employment income above $480/year is excluded [24 CFR
5.609(c)(11)].
All other sources of income, except those specifically
excluded by the regulations, are included.
Temporarily Absent Family Members
The income of family members approved to live in the unit will be counted, even if the family
member is temporarily absent from the unit [HCV GB, p. 5-18].
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PHA Policy
Generally an individual who is or is expected to be absent from the assisted unit for less
than 30consecutive days is considered temporarily absent and continues to be considered
a family member. Generally an individual who is or is expected to be absent from the
assisted unit for more than 30 consecutive days is considered permanently absent and no
longer a family member. Exceptions to this general policy are discussed below.
Absent Students
PHA Policy
When someone who has been considered a family member attends school away from
home, the person will continue to be considered a family member unless information
becomes available to the PHA indicating that the student has established a separate
household or the family declares that the student has established a separate household.
Absences Due to Placement in Foster Care
Children temporarily absent from the home as a result of placement in foster care are considered
members of the family [24 CFR 5.403].
PHA Policy
If a child has been placed in foster care, the PHA will verify with the appropriate agency
whether and when the child is expected to be returned to the home. Unless the agency
confirms that the child has been permanently removed from the home, the child will be
counted as a family member.
Absent Head, Spouse, or Cohead
PHA Policy
An employed head, spouse, or cohead absent from the unit more than 180 consecutive
days due to employment will continue to be considered a family member.
Individuals Confined for Medical Reasons
PHA Policy
An individual confined to a nursing home or hospital on a permanent basis is not
considered a family member, and the income of that person is not counted.
If there is a question about the status of a family member, the PHA will request
verification from a responsible medical professional and will use this determination. If
the responsible medical professional cannot provide a determination, the person generally
will be considered temporarily absent. The family may present evidence that the family
member is confined on a permanent basis and request that the person not be considered a
family member.
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Joint Custody of Children
PHA Policy
Dependents that are subject to a joint custody arrangement will be considered a member
of the family, if they live with the applicant or resident family 50 percent or more of the
time.
When more than one applicant or assisted family (regardless of program) are claiming the
same dependents as family members, the family with primary custody at the time of the
initial examination or reexamination will be able to claim the dependents. If there is a
dispute about which family should claim them, the PHA will make the determination
based on available documents such as court orders, an IRS income tax return showing
which family has claimed the child for income tax purposes, school records, or other
credible documentation.
Caretakers for a Child
PHA Policy
The approval of a caretaker is at the PHA’s discretion and subject to the PHA’s screening
criteria. If neither a parent nor a designated guardian remains in a household , the PHA
will take the following actions.
If a responsible agency has determined that another adult is to be brought into the
unit to care for a child for an indefinite period, the designated caretaker will not
be considered a family member until a determination of custody or legal
guardianship is made.
If a caretaker has assumed responsibility for a child without the involvement of a
responsible agency or formal assignment of custody or legal guardianship, the
caretaker will be treated as a visitor for 90 days. After the 90 days has elapsed, the
caretaker will be considered a family member unless information is provided that
would confirm that the caretaker’s role is temporary. In such cases the PHA will
extend the caretaker’s status as an eligible visitor.
At any time that custody or guardianship legally has been awarded to a caretaker,
the lease will be transferred to the caretaker, as head of household.
During any period that a caretaker is considered a visitor, the income of the
caretaker is not counted in annual income and the caretaker does not qualify the
family for any deductions from income.
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6-I.C. Anticipating Annual Income
The PHA is required to count all income “anticipated to be received from a source outside the
family during the 12-month period following admission or annual reexamination effective date”
[24 CFR 5.609(a)(2)]. Policies related to anticipating annual income are provided below.
Basis of Annual Income Projection
The PHA generally will use current circumstances to determine anticipated income for the
coming 12-month period. HUD authorizes the PHA to use other than current circumstances to
anticipate income when:
An imminent change in circumstances is expected [HCV GB, p. 5-17]
It is not feasible to anticipate a level of income over a 12-month period (e.g., seasonal or
cyclic income) [24 CFR 5.609(d)]
The PHA believes that past income is the best available indicator of expected future
income [24 CFR 5.609(d)]
PHAs are required to use HUD’s Enterprise Income Verification (EIV) system in its entirety as a
third party source to verify employment and income information, and to reduce administrative
subsidy payment errors in accordance with HUD administrative guidance [24 CFR 5.233(a)(2)].
HUD allows PHAs to use tenant-provided documents (pay stubs) to project income once EIV
data has been received in such cases where the family does not dispute the EIV employer data
and where the PHA does not determine it is necessary to obtain additional third-party data.
PHA Policy
When EIV is obtained and the family does not dispute the EIV employer data, the PHA will
use current tenant-provided documents to project annual income. When the tenant-provided
documents are pay stubs, the PHA will make every effort to obtain current and consecutive
pay stubs for a total of 8 current and consecutive paystubs, regardless of how often a person
is paid.
When EIV is obtained and the family does not dispute the EIV employer data, the PHA
will use current tenant-provided documents to project annual income. When the tenant provided
Example: When the tenant provided documents are paystubs, use the
amount of paystubs listed to determine how many should be collected to
meet the 2 month requirement.
Weekly-
8 consecutive paystubs
Bi-weekly-
4 consecutive paystubs
Semi-monthly-
4 consecutive paystubs
Monthly-
2 consecutive paystubs
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documents are pay stubs, the PHA will make every effort to obtain current and consecutive pay
stubs dated within the last two months.
The PHA will obtain written and/or oral third-party verification in accordance with the
verification requirements and policy in Chapter 7 in the following cases:
If EIV or other UIV data is not available,
If the family disputes the accuracy of the EIV employer data, and/or
If the PHA determines additional information is needed.
In such cases, the PHA will review and analyze current data to anticipate annual income.
In all cases, the family file will be documented with a clear record of the reason for the
decision, and a clear audit trail will be left as to how the PHA annualized projected
income.
When the PHA cannot readily anticipate income based upon current circumstances (e.g.,
in the case of seasonal employment, unstable working hours, or suspected fraud), the
PHA will review and analyze historical data for patterns of employment, paid benefits,
and receipt of other income and use the results of this analysis to establish annual income.
Any time current circumstances are not used to project annual income, a clear rationale
for the decision will be documented in the file. In all such cases the family may present
information and documentation to the PHA to show why the historic pattern does not
represent the family’s anticipated income.
Known Changes in Income
If the PHA verifies an upcoming increase or decrease in income, annual income will be
calculated by applying each income amount to the appropriate part of the 12-month
period.
The family may present information that demonstrates that implementing a change before
its effective date would create a hardship for the family. In such cases the PHA will
calculate annual income using current circumstances and then require an interim
reexamination when the change actually occurs. This requirement will be imposed even if
Example: An employer reports that a full-time employee who has
been receiving $8/hour will begin to receive $8.25/hour in the
eighth week after the effective date of the reexamination. In such a
case the PHA would calculate annual income as follows:
($8/hour × 40 hours × 7 weeks) + ($8.25 × 40 hours × 45 weeks).
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the PHA’s policy on reexaminations does not require interim reexaminations for other
types of changes.
When tenant-provided third-party documents are used to anticipate annual income, they
will be dated within the last 60 days of the reexamination interview date.
Projecting Income
In HUD’s EIV webcast of January 2008, HUD made clear that PHAs are not to use EIV
quarterly wages to project annual income.
6-I.D. Earned Income
Types of Earned Income Included in Annual Income
Wages and Related Compensation [24 CFR 5.609(b)(1)]
The full amount, before any payroll deductions, of wages and salaries, overtime pay,
commissions, fees, tips and bonuses, and other compensation for personal services is included in
annual income.
PHA Policy
For persons who regularly receive bonuses or commissions, the PHA will verify and then
average amounts received for the two years preceding admission or reexamination. If
only a one-year history is available, the PHA will use the prior year amounts. In either
case the family may provide, and the PHA will consider, a credible justification for not
using this history to anticipate future bonuses or commissions. If a new employee has not
yet received any bonuses or commissions, the PHA will count only the amount estimated
by the employer. The file will be documented appropriately.
PHA Policy
When commuting annual income, staff will convert earned income to annual income as
follows:
-
Multiply hourly wages by the number of hours worked/year (2080 hours
for full-time employment with a 40-hour work week and no overtime).
-
Multiply weekly wages by 52.
-
Multiply bi-weekly wages (paid every other week) by 26.
-
Multiply semi-monthly (paid twice each month) wages by 24.
-
Multiply monthly wages by 12.
Some Types of Military Pay
All regular pay, special pay and allowances of a member of the Armed Forces are counted [24
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CFR 5.609(b)(8)] except for the special pay to a family member serving in the Armed Forces
who is exposed to hostile fire [24 CFR 5.609(c)(7)].
Types of Earned Income Not Counted in Annual Income
Temporary, Nonrecurring, or Sporadic Income [24 CFR 5.609(c)(9)]
This type of income (including gifts) is not included in annual income.
PHA Policy
Sporadic income is income that is not received periodically and cannot be reliably
predicted. For example, the income of an individual who works occasionally as a
handyman would be considered sporadic if future work could not be anticipated and no
historic, stable pattern of income existed.
Children’s Earnings [24 CFR 5.609(c)(1)]
Employment income earned by children (including foster children) under the age of 18 years is
not included in annual income. (See Eligibility chapter for a definition of foster children.)
PHA Policy
Although “earned” income from a minor is excluded, minors will be required to sign
employment verifications to verify actual income.
Certain Earned Income of Full-Time Students
Earnings in excess of $480 for each full-time student 18 years old or older (except for the head,
spouse, or cohead) are not counted [24 CFR 5.609(c)(11)]. To be considered “full-time,” a
student must be considered “full-time” by an educational institution with a degree or certificate
program [HCV GB, p. 5-29].
Income of a Live-in Aide
Income earned by a live-in aide, as defined in [24 CFR 5.403], is not included in annual income
[24 CFR 5.609(c)(5)]. (See Eligibility chapter for a full discussion of live-in aides.)
Income Earned under Certain Federal Programs [24 CFR 5.609(c)(17)]
Income from some federal programs is specifically excluded from consideration as income,
including:
Payments to volunteers under the Domestic Volunteer Services Act of 1973 (42 U.S.C.
5044(g), 5058)
Awards under the federal work-study program (20 U.S.C. 1087 uu)
Payments received from programs funded under Title V of the Older Americans Act of
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1985 (42 U.S.C. 3056(f))
Allowances, earnings, and payments to AmeriCorps participants under the National and
Community Service Act of 1990 (42 U.S.C. 12637(d))
Allowances, earnings, and payments to participants in programs funded under the
Workforce Investment Act of 1998 (29 U.S.C. 2931)
Resident Service Stipend [24 CFR 5.600(c)(8)(iv)]
Amounts received under a resident service stipend are not included in annual income. A resident
service stipend is a modest amount (not to exceed $200 per individual per month) received by a
resident for performing a service for the PHA, on a part-time basis, that enhances the quality of
life in the development. Such services may include, but are not limited to, fire patrol, hall
monitoring, lawn maintenance, resident initiatives coordination, and serving as a member of the
PHA’s governing board. No resident may receive more than one such stipend during the same
period of time.
PHA Policy
A resident service stipend in the amount of $50 per month will be provided as a rent
credit to a resident for performing a service as a Housing and Human Service
Commissioner (HHSC) and Public Housing Authority Commissioner (PHAC). If the
monthly tenant account credit exceeds the balance owed on the account the difference
will be paid once a month by check.
A resident service stipend will be credited to the resident’s account monthly for
performing a service as a Beautification Site Representative. If the monthly tenant
account credit exceeds the balance owed on the account the difference will be paid once a
month by check.
The resident service stipend for 130 North Hamilton is $200 per month
The resident service stipend for 210 North McQueen is $160 per month
The resident service stipend for 73 South Hamilton is $160 per month
The resident service stipend for 660 South Palm Lane is $160 per month
The resident service stipend for 127 North Kingston is $120 per month
State and Local Employment Training Program
Incremental earnings and benefits to any family member resulting from participation in
qualifying state or local employment training programs (including training programs not
affiliated with a local government) and training of a family member as resident management staff
are excluded from annual income. Amounts excluded by this provision must be received under
employment training programs with clearly defined goals and objectives and are excluded only
for the period during which the family member participates in the training program [24 CFR
5.609(c)(8)(v)].
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PHA Policy
The PHA defines training program as “a learning process with goals and objectives,
generally having a variety of components, and taking place in a series of sessions over a
period of time. It is designed to lead to a higher level of proficiency, and it enhances the
individual’s ability to obtain employment. It may have performance standards to measure
proficiency. Training may include, but is not limited to: (1) classroom training in a
specific occupational skill, (2) on-the-job training with wages subsidized by the program,
or (3) basic education” [expired Notice PIH 98-2, p. 3].
The PHA defines incremental earnings and benefits as the difference between (1) the
total amount of welfare assistance and earnings of a family member prior to enrollment in
a training program and (2) the total amount of welfare assistance and earnings of the
family member after enrollment in the program [expired Notice PIH 98-2, pp. 3–4].
In calculating the incremental difference, the PHA will use as the pre-enrollment income
the total annualized amount of the family member’s welfare assistance and earnings
reported on the family’s most recently completed HUD-50058.
End of participation in a training program must be reported in accordance with the PHA's
interim reporting requirements (see chapter on reexaminations).
HUD-Funded Training Programs
Amounts received under training programs funded in whole or in part by HUD [24 CFR
5.609(c)(8)(i)] are excluded from annual income. Eligible sources of funding for the training
include operating subsidy, Section 8 administrative fees, and modernization, Community
Development Block Grant (CDBG), HOME program, and other grant funds received from HUD.
PHA Policy
To qualify as a training program, the program must meet the definition of training
program provided above for state and local employment training programs.
Earned Income Tax Credit. Earned income tax credit (EITC) refund payments received on or
after January 1, 1991 (26 U.S.C. 32(j)), are excluded from annual income [24 CFR 5.609(c)(17)].
Although many families receive the EITC annually when they file taxes, an EITC can also be
received throughout the year. The prorated share of the annual EITC is included in the
employee’s payroll check.
Earned Income Disallowance. The earned income disallowance is discussed in section 6-I.E
below.
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6-I.E. Earned Income Disallowance [24 CFR 960.255, 24 CFR §5.617]; Streamlining Final
Rule (SFR) Federal Register 3/8/16, , 3/8/2016 (HOTMA)]]
The earned income disallowance (EID) encourages people to enter the work force by not
including the full value of increases in earned income for a period of time. The full text of 24
CFR 960.255 is included as Exhibit 6-4 at the end of this chapter. Eligibility criteria and
limitations on the disallowance are summarized below.
Eligibility
This disallowance applies only to individuals in qualified families already participating in the
public housing program (not at initial examination). To qualify, the family must experience an
increase in annual income that is the result of one of the following events:
Employment of a family member who was previously unemployed for one or more years
prior to employment. Previously unemployed includes a person who annually has earned
not more than the minimum wage applicable to the community multiplied by 500 hours.
The applicable minimum wage is the federal minimum wage unless there is a higher state
or local minimum wage.
Increased earnings by a family member whose earnings increase during participation in
an economic self-sufficiency or job-training program. A self-sufficiency program
includes a program designed to encourage, assist, train, or facilitate the economic
independence of HUD-assisted families or to provide work to such families [24 CFR
5.603(b)].
New employment or increased earnings by a family member who has received benefits or
services under Temporary Assistance for Needy Families (TANF) or any other state
program funded under Part A of Title IV of the Social Security Act within the past six
months. If the benefits are received in the form of monthly maintenance, there is no
minimum amount. If the benefits or services are received in a form other than monthly
maintenance, such as one-time payments, wage subsidies, or transportation assistance, the
total amount received over the six-month period must be at least $500.
Calculation of the Disallowance
Calculation of the earned income disallowance for an eligible member of a qualified family
begins with a comparison of the member’s current income with his or her “baseline income.”
The family member’s baseline income is his or her income immediately prior to qualifying for
the EID. The family member’s baseline income remains constant throughout the period that he or
she is participating in the EID.
While qualification for the disallowance is the same for all families, calculation of the
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disallowance will differ depending on when the family member qualified for the EID. Residents
qualifying prior to May 9, 2016 will have the disallowance calculated under the “Original
Calculation Method” described below, which requires a maximum lifetime disallowance period
of up to 48 consecutive months. Residents qualifying on or after May 9, 2016 will be subject to
the “Revised Calculation Method”, which shortens the lifetime disallowance period to 24
consecutive months.
Under both the original and new methods, the EID eligibility criteria, the benefit amount, the
single lifetime eligibility requirement and the ability of the applicable family member to stop and
restart employment during the eligibility period are the same.
Original Calculation Method
Initial 12-Month Exclusion
During the initial 12-month exclusion period, the full amount (100 percent) of any increase in
income attributable to new employment or increased earnings is excluded. The 12 months are
cumulative and need not be consecutive.
PHA Policy
The initial EID exclusion period will begin on the first of the month following the date an
eligible member of a qualified family is first employed or first experiences an increase in
earnings.
Second 12-Month Exclusion and Phase-In
During the second 12-month exclusion period, the exclusion is reduced to half (50 percent) of
any increase in income attributable to employment or increased earnings. The 12 months are
cumulative and need not be consecutive.
Lifetime Limitation
The EID has a four-year (48-month) lifetime maximum. The four-year eligibility period begins at
the same time that the initial exclusion period begins and ends 48 months later. The one-time
eligibility for the EID applies even if the eligible individual begins to receive assistance from
another housing agency, if the individual moves between public housing and Section 8
assistance, or if there are breaks in assistance.
PHA Policy
During the 48-month eligibility period, the PHA will conduct an interim reexamination
each time there is a change in the family member’s annual income that affects or is
affected by the EID (e.g., when the family member’s income falls to a level at or below
his/her prequalifying income, when one of the exclusion periods ends, and at the end of
the lifetime maximum eligibility period).
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Revised Calculation Method
Initial 12-Month Exclusion
During the initial exclusion period of 12 consecutive months, the full amount (100 percent) of
any increase in income attributable to new employment or increased earnings is excluded.
PHA Policy
The initial EID exclusion period will begin on the first of the month following the date an
eligible member of a qualified family is first employed or first experiences an increase in
earnings.
Second 12-Month Exclusion
During the second exclusion period of 12 consecutive months, the PHA must exclude at least 50
percent of any increase in income attributable to employment or increased earnings.
PHA Policy
During the second 12-month exclusion period, the PHA will exclude 100 percent of any
increase in income attributable to new employment or increased earnings.
Lifetime Limitation
The EID has a two-year (24-month) lifetime maximum. The two-year eligibility period begins at
the same time that the initial exclusion period begins and ends 24 months later. During the 24-
month period, an individual remains eligible for EID even if they receive assistance from a
different housing agency, move between public housing and Section 8 assistance, or have breaks
in assistance.
Individual Savings Accounts [24 CFR 960.255(d)]
PHA Policy
The PHA chooses not to establish a system of individual savings accounts (ISAs) for
families who qualify for the EID.
The following rules pertaining to ISAs do not apply to this public housing program.
A qualified family paying income-based rent may choose an ISA instead of being given the EID.
The PHA must advise the family that the ISA option is available. Families who choose the ISA
will pay the higher rent and the PHA will deposit the difference between the higher rent and the
EID rent in the savings account.
Amounts deposited to ISAs may only be withdrawn for the following reasons:
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Because the family is purchasing a home
To pay education costs of family members
Because the family is moving out of public or assisted housing
To pay any other expenses the PHA authorizes to promote economic self-sufficiency
The PHA is required to maintain ISAs in interest bearing accounts, for which the family is
credited with interest earned. The PHA may not charge the family a fee for maintaining the
account.
At least once each year the PHA must provide the family with a statement of the balance in their
account, including any interest earned, if required by state law.
PHA Policy
When applicable, the PHA will provide the family with a statement of the balance in their
account, including any interest earned, annually and upon request when the family makes
withdrawals from the account.
If the family moves out of public housing, the PHA must return the balance in the family’s ISA,
less any amounts the family owes the PHA.
6-I.F. Business Income [24 CFR 5.609(b)(2)]
Annual income includes “the net income from the operation of a business or profession.
Expenditures for business expansion or amortization of capital indebtedness shall not be used as
deductions in determining net income. An allowance for depreciation of assets used in a business
or profession may be deducted, based on straight line depreciation, as provided in Internal
Revenue Service regulations. Any withdrawal of cash or assets from the operation of a business
or profession will be included in income, except to the extent the withdrawal is reimbursement of
cash or assets invested in the operation by the family” [24 CFR 5.609(b)(2)].
Business Expenses
Net income is “gross income less business expense” [HCV GB, p. 5-19].
PHA Policy
To determine business expenses that may be deducted from gross income, the PHA will
use current applicable Internal Revenue Service (IRS) rules for determining allowable
business expenses [see IRS Publication 535], unless a topic is addressed by HUD
regulations or guidance as described below.
Business Expansion
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HUD regulations do not permit the PHA to deduct from gross income expenses for business
expansion.
PHA Policy
Business expansion is defined as any capital expenditures made to add new business
activities, to expand current facilities, or to operate the business in additional locations.
For example, purchase of a street sweeper by a construction business for the purpose of
adding street cleaning to the services offered by the business would be considered a
business expansion. Similarly, the purchase of a property by a hair care business to open
at a second location would be considered a business expansion.
Capital Indebtedness
HUD regulations do not permit the PHA to deduct from gross income the amortization of capital
indebtedness.
PHA Policy
Capital indebtedness is defined as the principal portion of the payment on a capital asset
such as land, buildings, and machinery. This means the PHA will allow as a business
expense interest, but not principal, paid on capital indebtedness.
Negative Business Income
If the net income from a business is negative, no business income will be included in annual
income; a negative amount will not be used to offset other family income.
Withdrawal of Cash or Assets from a Business
HUD regulations require the PHA to include in annual income the withdrawal of cash or assets
from the operation of a business or profession unless the withdrawal reimburses a family
member for cash or assets invested in the business by the family.
PHA Policy
Acceptable investments in a business include cash loans and contributions of assets or
equipment. For example, if a member of a tenant family provided an up-front loan of
$2,000 to help a business get started, the PHA will not count as income any withdrawals
from the business up to the amount of this loan until the loan has been repaid.
Investments do not include the value of labor contributed to the business without
compensation.
Co-owned Businesses
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PHA Policy
If a business is co-owned with someone outside the family, the family must document the
share of the business it owns. If the family’s share of the income is lower than its share of
ownership, the family must document the reasons for the difference.
6-I.G. Assets [24 CFR 5.609(b)(3) and 24 CFR 5.603(b)]
Overview
There is no asset limitation for participation in the public housing program. However, HUD
requires that the PHA include in annual income the anticipated “interest, dividends, and other net
income of any kind from real or personal property” [24 CFR 5.609(b)(3)]. This section discusses
how the income from various types of assets is determined. For most types of assets, the PHA
must determine the value of the asset in order to compute income from the asset. Therefore, for
each asset type, this section discusses:
How the value of the asset will be determined
How income from the asset will be calculated
Exhibit 6-1 provides the regulatory requirements for calculating income from assets [24 CFR
5.609(b)(3)], and Exhibit 6-3 provides the regulatory definition of net family assets. This section
begins with a discussion of general policies related to assets and then provides HUD rules and
PHA policies related to each type of asset.
Optional policies for family self-certification of assets are found in Chapter 7.
Note that withdrawals from ABLE accounts (i.e., tax advantaged savings accounts under
the Achieving a Better Life Experience Act) are also an exception and are excluded from
income. (Notice PIH 2019-09)
General Policies
Temporary Provisions
PIH 2013-03 established temporary guidelines for public housing agencies in fulfilling certain
Public Housing and Housing Choice Voucher program requirements during this period of
decreased resources available to public housing authorities. The temporary provisions
established are available until March 31, 2014. This notice allows a PHA to accept a family’s
declaration of the amount of assets of less than $5,000, and the amount of income expected to be
received from those assets. The PHA’s application and reexamination documentation, which is
signed by all adult family members, can serve as the declaration. Where the family has net
family assets equal to or less than $5,000, the PHAs does not need to request supporting
documentation (e.g. bank statements) from the family to confirm the assets or the amount of
income expected to be received from those assets. Where the family has net family assets in
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excess of $5,000, the PHA must obtain supporting documentation (e.g. bank statements) from
the family to confirm the assets. Any assets will continue to be reported on HUD form 50058.
PHA Policy
The temporary provision (PIH 2013-03) will be adopted to allow households to self-
certify as to having assets of less than $5,000.
The full application will serve as the family’s declaration and staff does not need to
request supporting documentation.
Income from Assets
The PHA generally will use current circumstances to determine both the value of an asset and the
anticipated income from the asset. As is true for all sources of income, HUD authorizes the PHA
to use other than current circumstances to anticipate income when (1) an imminent change in
circumstances is expected (2) it is not feasible to anticipate a level of income over 12 months or
(3) the PHA believes that past income is the best indicator of anticipated income. For example, if
a family member owns real property that typically receives rental income but the property is
currently vacant, the PHA can take into consideration past rental income along with the
prospects of obtaining a new tenant.
PHA Policy
Any time current circumstances are not used to determine asset income, a clear rationale
for the decision will be documented in the file. In such cases the family may present
information and documentation to the PHA to show why the asset income determination
does not represent the family’s anticipated asset income.
Valuing Assets
The calculation of asset income sometimes requires the PHA to make a distinction between an
asset’s market value and its cash value.
The market value of an asset is its worth in the market (e.g., the amount a buyer would pay
for real estate or the total value of an investment account).
The cash value of an asset is its market value less all reasonable amounts that would be
incurred when converting the asset to cash.
PHA Policy
Reasonable costs that would be incurred when disposing of an asset include, but are
not limited to, penalties for premature withdrawal, broker and legal fees, and
settlement costs incurred in real estate transactions [HCV GB, p. 5-28 and PH Occ
GB, p. 121].
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Lump-Sum Receipts
Payments that are received in a single lump sum, such as inheritances, capital gains, lottery
winnings, insurance settlements, and proceeds from the sale of property, are generally considered
assets, not income. However, such lump-sum receipts are counted as assets only if they are
retained by a family in a form recognizable as an asset (e.g., deposited in a savings or checking
account) [RHIIP FAQs]. (For a discussion of lump-sum payments that represent the delayed start
of a periodic payment, most of which are counted as income, see sections 6-I.H and 6-I.I.)
Imputing Income from Assets [24 CFR 5.609(b)(3), Notice PIH 2012-29]
When net family assets are $5,000 or less, the PHA will include in annual income the
actual income anticipated to be derived from the assets. When the family has net family
assets in excess of $5,000, the PHA will include in annual income the greater of (1) the
actual income derived from the assets or (2) the imputed income. Imputed income from
assets is calculated by multiplying the total cash value of all family assets by an average
passbook savings rate as determined by the PHA. Note: The HUD field office no longer
provides an interest rate for imputed asset income. The “safe harbor” is now for the PHA
to establish a passbook rate within 0.75 percent of a national average.
The PHA must review its passbook rate annually to ensure that it remains within 0.75
percent of the national average.
Determining Actual Anticipated Income from Assets
It may or may not be necessary for the PHA to use the value of an asset to compute the actual
anticipated income from the asset. When the value is required to compute the anticipated income
from an asset, the market value of the asset is used. For example, if the asset is a property for
which a family receives rental income, the anticipated income is determined by annualizing the
actual monthly rental amount received for the property; it is not based on the property’s market
value. However, if the asset is a savings account, the anticipated income is determined by
multiplying the market value of the account by the interest rate on the account.
Withdrawal of Cash or Liquidation of Investments
Any withdrawal of cash or assets from an investment will be included in income except to the
extent that the withdrawal reimburses amounts invested by the family. For example, when a
family member retires, the amount received by the family from a retirement investment plan is
not counted as income until the family has received payments equal to the amount the family
member deposited into the retirement investment plan.
Jointly Owned Assets
The regulation at 24 CFR 5.609(a)(4) specifies that annual income includes “amounts derived
(during the 12-month period) from assets to which any member of the family has access.”
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PHA Policy
If an asset is owned by more than one person and any family member has unrestricted
access to the asset, the PHA will count the full value of the asset. A family member has
unrestricted access to an asset when he or she can legally dispose of the asset without the
consent of any of the other owners.
If an asset is owned by more than one person, including a family member, but the family
member does not have unrestricted access to the asset, the PHA will prorate the asset
according to the percentage of ownership. If no percentage is specified or provided for by
state or local law, the PHA will prorate the asset evenly among all owners.
Assets Disposed Of for Less than Fair Market Value [24 CFR 5.603(b)]
HUD regulations require the PHA to count as a current asset any business or family asset that
was disposed of for less than fair market value during the two years prior to the effective date of
the examination/reexamination, except as noted below.
Minimum Threshold
The PHA may set a threshold below which assets disposed of for less than fair market value will
not be counted [HCV GB, p. 5-27].
PHA Policy
The PHA will not include the value of assets disposed of for less than fair market value
unless the cumulative fair market value of all assets disposed of during the past two years
exceeds the gross amount received for the assets by more than $1,000.
When the two-year period expires, the income assigned to the disposed asset(s) also
expires. If the two-year period ends between annual recertifications, the family may
request an interim recertification to eliminate consideration of the asset(s).
Assets placed by the family in non-revocable trusts are considered assets disposed of for
less than fair market value except when the assets placed in trust were received through
settlements or judgments.
Separation or Divorce
The regulation also specifies that assets are not considered disposed of for less than fair market
value if they are disposed of as part of a separation or divorce settlement and the applicant or
tenant receives important consideration not measurable in dollar terms.
PHA Policy
All assets disposed of as part of a separation or divorce settlement will be considered
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assets for which important consideration not measurable in monetary terms has been
received. In order to qualify for this exemption, a family member must be subject to a
formal separation or divorce settlement agreement established through arbitration,
mediation, or court order.
Foreclosure or Bankruptcy
Assets are not considered disposed of for less than fair market value when the disposition is the
result of a foreclosure or bankruptcy sale.
Family Declaration
PHA Policy
Families must sign a declaration form at initial certification and each annual
recertification identifying all assets that have been disposed of for less than fair market
value or declaring that no assets have been disposed of for less than fair market value.
The PHA may verify the value of the assets disposed of if other information available to
the PHA does not appear to agree with the information reported by the family.
Types of Assets
Checking and Savings Accounts
For regular checking accounts and savings accounts, cash value has the same meaning as market
value. If a checking account does not bear interest, the anticipated income from the account is
zero.
PHA Policy
For families with net assets totaling $5,000 or less, the PHA may accept the family’s
declaration of asset value and anticipated asset income (Notice PIH 2016-05). However,
the PHA is required to obtain third-party verification of all assets regardless of the
amount during the intake process, whenever a family member is added, and at least every
three years thereafter.
When third-party verification is required, the PHA will do the following:
In determining the value of a checking account, the PHA will use the average monthly
balance for the last three (3) months if the asset is equal to or greater than $5,000 (Notice
PIH 2016-05).
In determining the value of a savings account, the PHA will use the current balance
provided on the family’s declaration if it equals to or is less than $5,000.
In determining the anticipated income from an interest-bearing checking or savings
account, the PHA will multiply the value of the account by the current rate of interest
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paid on the account.
Investment Accounts Such as Stocks, Bonds, Saving Certificates, and Money Market Funds
Interest or dividends earned by investment accounts are counted as actual income from assets
even when the earnings are reinvested. The cash value of such an asset is determined by
deducting from the market value any broker fees, penalties for early withdrawal, or other costs of
converting the asset to cash.
PHA Policy
In determining the market value of an investment account, the PHA will use the value of
the account on the most recent investment report.
How anticipated income from an investment account will be calculated depends on
whether the rate of return is known. For assets that are held in an investment account with
a known rate of return (e.g., savings certificates), asset income will be calculated based
on that known rate (market value multiplied by rate of earnings). When the anticipated
rate of return is not known (e.g., stocks), the PHA will calculate asset income based on
the earnings for the most recent reporting period.
Equity in Real Property or Other Capital Investments
Equity (cash value) in a property or other capital asset is the estimated current market value of
the asset less the unpaid balance on all loans secured by the asset and reasonable costs (such as
broker fees) that would be incurred in selling the asset [HCV GB, p. 5-25 and PH, p. 121].
Equity in real property and other capital investments is considered in the calculation of asset
income except for the following types of assets:
Equity accounts in HUD homeownership programs [24 CFR 5.603(b)]
Equity in real property when a family member’s main occupation is real estate [HCV GB,
p. 5-25]. This real estate is considered a business asset, and income related to this asset
will be calculated as described in section 6-I.F.
Interests in Indian Trust lands [24 CFR 5.603(b)]
Real property and capital assets that are part of an active business or farming operation
[HCV GB, p. 5-25]
A family may have real property as an asset in two ways: (1) owning the property itself and (2)
holding a mortgage or deed of trust on the property. In the case of a property owned by a family
member, the anticipated asset income generally will be in the form of rent or other payment for
the use of the property. If the property generates no income, actual anticipated income from the
asset will be zero.
In the case of a mortgage or deed of trust held by a family member, the outstanding balance
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(unpaid principal) is the cash value of the asset. The interest portion only of payments made to
the family in accordance with the terms of the mortgage or deed of trust is counted as anticipated
asset income.
PHA Policy
In the case of capital investments owned jointly with others not living in a family’s unit, a
prorated share of the property’s cash value will be counted as an asset unless the PHA
determines that the family receives no income from the property and is unable to sell or
otherwise convert the asset to cash.
Trusts
A trust is a legal arrangement generally regulated by state law in which one party (the creator or
grantor) transfers property to a second party (the trustee) who holds the property for the benefit
of one or more third parties (the beneficiaries).
Revocable Trusts
If any member of a family has the right to withdraw the funds in a trust, the value of the trust is
considered an asset [HCV GB, p. 5-25]. Any income earned as a result of investment of trust
funds is counted as actual asset income, whether the income is paid to the family or deposited in
the trust.
Non-revocable Trusts
In cases where a trust is not revocable by, or under the control of, any member of a family, the
value of the trust fund is not considered an asset. However, any income distributed to the family
from such a trust is counted as a periodic payment or a lump-sum receipt, as appropriate [24 CFR
5.603(b)]. (Periodic payments are covered in section 6-I.H. Lump-sum receipts are discussed
earlier in this section.)
Retirement Accounts
Company Retirement/Pension Accounts
In order to correctly include or exclude as an asset any amount held in a company retirement or
pension account by an employed person, the PHA must know whether the money is accessible
before retirement [HCV GB, p. 5-26].
While a family member is employed, only the amount the family member can withdraw without
retiring or terminating employment is counted as an asset [HCV GB, p. 5-26].
After a family member retires or terminates employment, any amount distributed to the family
member is counted as a periodic payment or a lump-sum receipt, as appropriate [HCV GB, p. 5-
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26], except to the extent that it represents funds invested in the account by the family member.
(For more on periodic payments, see section 6-I.H.) The balance in the account is counted as an
asset only if it remains accessible to the family member.
IRA, Keogh, and Similar Retirement Savings Accounts
IRA, Keogh, and similar retirement savings accounts are counted as assets even though early
withdrawal would result in a penalty [HCV GB, p. 5-25].
Personal Property
Personal property held as an investment, such as gems, jewelry, coin collections, antique cars,
etc., is considered an asset [HCV GB, p. 5-25].
PHA Policy
In determining the value of personal property held as an investment, the PHA will use the
family’s estimate of the value. The PHA may obtain an appraisal if there is reason to
believe that the family’s estimated value is off by $50 or more. The family must
cooperate with the appraiser but cannot be charged any costs related to the appraisal.
Generally, personal property held as an investment generates no income until it is
disposed of. If regular income is generated (e.g., income from renting the personal
property), the amount that is expected to be earned in the coming year is counted as
actual income from the asset.
Necessary items of personal property are not considered assets [24 CFR 5.603(b)].
PHA Policy
Necessary personal property consists of only those items not held as an investment. It
may include clothing, furniture, household furnishings, jewelry, and vehicles, including
those specially equipped for persons with disabilities.
Life Insurance
The cash value of a life insurance policy available to a family member before death, such as a
whole life or universal life policy, is included in the calculation of the value of the family’s
assets [HCV GB 5-25]. The cash value is the surrender value. If such a policy earns dividends or
interest that the family could elect to receive, the anticipated amount of dividends or interest is
counted as income from the asset whether or not the family actually receives it.
6-I.H. Periodic Payments
Periodic payments are forms of income received on a regular basis. HUD regulations specify
periodic payments that are and are not included in annual income.
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Periodic Payments Included in Annual Income
Periodic payments from sources such as social security, unemployment and welfare
assistance, annuities, insurance policies, retirement funds, and pensions. However, periodic
payments from retirement accounts, annuities, and similar forms of investments are counted
only after they exceed the amount contributed by the family [24 CFR 5.609(b)(4) and (b)(3)].
Disability or death benefits and lottery receipts paid periodically, rather than in a single lump
sum [24 CFR 5.609(b)(4) and HCV, p. 5-14]
Lump-Sum Payments for the Delayed Start of a Periodic Payment
Most lump sums received as a result of delays in processing periodic payments, such as
unemployment or welfare assistance, are counted as income. However, lump-sum receipts for the
delayed start of periodic social security or supplemental security income (SSI) payments are not
counted as income. Additionally, any deferred disability benefits that are received in a lump sum
or in prospective monthly amounts from the Department of Veterans Affairs are to excluded
from annual income [24 CFR 5.609 (c)(14)].
PHA Policy
When a delayed-start payment is received and reported during the period in which the
PHA is processing an annual reexamination, the PHA will adjust the tenant rent
retroactively for the period the payment was intended to cover. The family may pay in
full any amount due or request to enter into a repayment agreement with the PHA.
See the chapter on reexaminations for information about a family’s obligation to report
lump-sum receipts between annual reexaminations.
Treatment of Overpayment Deductions from Social Security Benefits
The PHA must make a special calculation of annual income when the Social Security
Administration (SSA) overpays an individual, resulting in a withholding or deduction from his or
her benefit amount until the overpayment is paid in full. The amount and duration of the
withholding will vary depending on the amount of the overpayment and the percent of the
benefit rate withheld. Regardless of the amount withheld or the length of the withholding period,
the PHA must use the reduced benefit amount after deducting only the amount of the
overpayment withholding from the gross benefit amount [Notice PIH 2018-24].
Periodic Payments Excluded from Annual Income
Payments received for the care of foster children or foster adults (usually persons with
disabilities, unrelated to the tenant family, who are unable to live alone) [24 CFR
5.609(c)(2)]. Kinship care payments are considered equivalent to foster care payments and
are also excluded from annual income [Notice PIH 2008-40].
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PHA Policy
The PHA will exclude payments for the care of foster children and foster adults only if
the care is provided through an official arrangement with a local welfare agency [HCV
GB, p. 5-18].
Amounts paid by a state agency to a family with a member who has a developmental
disability and is living at home to offset the cost of services and equipment needed to keep
the developmentally disabled family member at home [24 CFR 5.609(c)(16)]
Amounts received under the Low-Income Home Energy Assistance Program (42 U.S.C.
1626(c)) [24 CFR 5.609(c)(17)]
Amounts received under the Child Care and Development Block Grant Act of 1990
(42 U.S.C. 9858q) [24 CFR 5.609(c)(17)]
Earned Income Tax Credit (EITC) refund payments (26 U.S.C. 32(j)) [24 CFR 5.609(c)(17)].
Note: EITC may be paid periodically if the family elects to receive the amount due as part of
payroll payments from an employer.
Lump sums received as a result of delays in processing Social Security and SSI payments
(see section 6-I.H.) [24 CFR 5.609(c)(14)].
Lump-sums or prospective monthly amounts received as deferred disability benefits from the
Department of Veterans Affairs (VA) [24 CFR 5.609(c)(14)].
6-I.I. Payments in Lieu of Earnings
Payments in lieu of earnings, such as unemployment and disability compensation, worker’s
compensation, and severance pay, are counted as income [24 CFR 5.609(b)(5)] if they are
received either in the form of periodic payments or in the form of a lump-sum amount or
prospective monthly amounts for the delayed start of a periodic payment. If they are received in
a one-time lump sum (as a settlement, for instance), they are treated as lump-sum receipts [24
CFR 5.609(c)(3)]. (See also the discussion of periodic payments in section 6-I.H and the
discussion of lump-sum receipts in section 6-I.G.)
6-I.J. Welfare Assistance
Overview
Welfare assistance is counted in annual income. Welfare assistance includes Temporary
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Assistance for Needy Families (TANF) and any payments to individuals or families based on
need that are made under programs funded separately or jointly by federal, state, or local
governments [24 CFR 5.603(b)].
Sanctions Resulting in the Reduction of Welfare Benefits [24 CFR 5.615]
The PHA must make a special calculation of annual income when the welfare agency imposes
certain sanctions on certain families. The full text of the regulation at 24 CFR 5.615 is provided
as Exhibit 6-5. The requirements are summarized below. This rule applies only if a family was a
public housing resident at the time the sanction was imposed.
Covered Families
The families covered by 24 CFR 5.615 are those “who receive welfare assistance or other public
assistance benefits (‘welfare benefits’) from a State or other public agency (’welfare agency’)
under a program for which Federal, State or local law requires that a member of the family must
participate in an economic self-sufficiency program as a condition for such assistance” [24 CFR
5.615(b)]
Imputed Income
When a welfare agency imposes a sanction that reduces a family’s welfare income because the
family commits fraud or fails to comply with the agency’s economic self-sufficiency program or
work activities requirement, the PHA must include in annual income “imputed” welfare income.
The PHA must request that the welfare agency provide the reason for the reduction of benefits
and the amount of the reduction of benefits. The imputed welfare income is the amount that the
benefits were reduced as a result of the sanction.
This requirement does not apply to reductions in welfare benefits: (1) at the expiration of the
lifetime or other time limit on the payment of welfare benefits, (2) if a family member is unable
to find employment even though the family member has complied with the welfare agency
economic self-sufficiency or work activities requirements, or (3) because a family member has
not complied with other welfare agency requirements [24 CFR 5.615(b)(2)].
For special procedures related to grievance hearings based upon the PHA’s denial of a family’s
request to lower rent when the family experiences a welfare benefit reduction, see Chapter 14,
Grievances and Appeals.
Offsets
The amount of the imputed welfare income is offset by the amount of additional income the
family begins to receive after the sanction is imposed. When the additional income equals or
exceeds the imputed welfare income, the imputed income is reduced to zero [24 CFR
5.615(c)(4)].
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6-I.K. Periodic and Determinable Allowances [24 CFR 5.609(b)(7)]
Annual income includes periodic and determinable allowances, such as alimony and child
support payments, and regular contributions or gifts received from organizations or from persons
not residing with a tenant family.
Alimony and Child Support
The PHA must count alimony or child support amounts awarded as part of a divorce or
separation agreement.
PHA Policy
The PHA will count court-awarded amounts for alimony and child support unless the
PHA verifies that (1) the payments are not being made and (2) the family has made
reasonable efforts to collect amounts due, including filing with courts or agencies
responsible for enforcing payments [HCV GB, pp. 5-23 and 5-47].
Families who do not have court-awarded alimony and child support awards are not
required to seek a court award and are not required to take independent legal action to
obtain collection.
Regular Contributions or Gifts
The PHA must count as income regular monetary and nonmonetary contributions or gifts from
persons not residing with a tenant family [24 CFR 5.609(b)(7)]. Temporary, nonrecurring, or
sporadic income and gifts are not counted [24 CFR 5.609(c)(9)].
PHA Policy
Examples of regular contributions include: (1) regular payment of a family’s bills (e.g.,
utilities, telephone, rent, credit cards, and car payments), (2) cash or other liquid assets
provided to any family member on a regular basis, and (3) “in-kind” contributions such
as groceries and clothing provided to a family on a regular basis.
Nonmonetary contributions will be valued at the cost of purchasing the items, as
determined by the PHA. For contributions that may vary from month to month (e.g.,
utility payments), the PHA will include an average amount based upon past history.
6-I.L. Additional Exclusions from Annual Income
Other exclusions contained in 24 CFR 5.609(c) and updated by FR Notice 05/20/14 that have not
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been discussed earlier in this chapter include the following:
Reimbursement of medical expenses [24 CFR 5.609(c)(4)]
The full amount of student financial assistance paid directly to the student or to the
educational institution [24 CFR 5.609(c)(6)], except that in accordance with Section
224 of the FY 2005 Appropriations Act, the portion of any athletic scholarship
assistance available for housing costs must be included in annual income [PIH Notice
2005-16].
PHA Policy
Regular financial support from parents or guardians to students for food, clothing
personal items, and entertainment is not considered student financial assistance
and is included in annual income.
Amounts received by participants in other publicly assisted programs which are
specifically for or in reimbursement of out-of-pocket expenses incurred and which are
made solely to allow participation in a specific program [24 CFR 5.609(c)(8)(iii)]
Amounts received by a person with a disability that are disregarded for a limited time
for purposes of Supplemental Security Income eligibility and benefits because they
are set aside for use under a Plan to Attain Self-Sufficiency (PASS) [(24 CFR
5.609(c)(8)(ii)]
Reparation payments paid by a foreign government pursuant to claims filed under the
laws of that government by persons who were persecuted during the Nazi era [24
CFR 5.609(c)(10)]
Adoption assistance payments in excess of $480 per adopted child [24 CFR
5.609(c)(12)]
Refunds or rebates on property taxes paid on the dwelling unit [24 CFR 5.609(c)(15)]
Amounts paid by a state agency to a family with a member who has a developmental
disability and is living at home to offset the cost of services and equipment needed to
keep the developmentally disabled family member at home [24 CFR 5.609(c)(16)]
Amounts specifically excluded by any other federal statute [24 CFR 5.609(c)(17)].
FR Notice 5/20/2014. HUD publishes an updated list of these exclusions periodically.
It includes:
(a) The value of the allotment provided to an eligible household under the Food
Stamp Act of 1977 (7 U.S.C. 2017 (b))
(b) Benefits under Section 1780 of the School Lunch Act and Child Nutrition
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Act of 1966, including WIC
(c) Payments to Volunteers under the Domestic Volunteer Services Act of 1973
(42 U.S.C. 5044(g), 5058)
(d) Payments received under the Alaska Native Claims Settlement Act (43
U.S.C. 1626(c))
(e) Income derived from certain sub-marginal land of the United States that is
held in trust for certain Indian tribes (25 U.S.C. 459e)
(f) Payments or allowances made under the Department of Health and Human
Services’ Low-Income Home Energy Assistance Program (42 U.S.C.
8624(f))
(g) Payments received under programs funded in whole or in part under the
Workforce Investment Act of 1998 (29 U.S.C. 2931)
(h) Deferred disability benefits from the Department of Veterans Affairs,
whether received as a lump sum or in monthly prospective amounts.
(i) Income derived from the disposition of funds to the Grand River Band of
Ottawa Indians (Pub. L. 94-540, 90 Stat. 2503-04)
(j) Payments, funds, or distributions authorized, established, or directed by the
Seneca Nation Settlement Act of 1990 (25 U.S.C. 1774f(b))
(k) A lump sum or periodic payment received by an individual Indian pursuant
to the Class Action Settlement Agreement in the United States District Court
case entitled Elouise Cobell et al. v Ken Salazar et al., for a period of one
year from the time of receipt of that payment in the Claims Resolution Act
of 2010
(l) The first $2,000 of per capita shares received from judgment funds awarded
by the Indian Claims Commission or the U. S. Claims Court, the interests of
individual Indians in trust or restricted lands, including the first $2,000 per
year of income received by individual Indians from funds derived from
interests held in such trust or restricted lands (25 U.S.C. 1407-1408)
(m) Benefits under the Indian Veterans Housing Opportunity Act of 2010 (only
applies to Native American housing programs)
(n) Payments received from programs funded under Title V of the Older
Americans Act of 1985 (42 U.S.C. 3056(f))
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(o) Payments received on or after January 1, 1989, from the Agent Orange
Settlement Fund or any other fund established pursuant to the settlement in
In Re Agent Orange-product liability litigation, M.D.L. No. 381 (E.D.N.Y.)
(p) Payments received under 38 U.S.C. 18339(c) to children of Vietnam
veterans born with spinal bifida, children of women Vietnam veterans born
with certain defects, and children of certain Korean service veterans born
with spinal bifida
(q) Payments received under the Maine Indian Claims Settlement Act of 1980
(25 U.S.C. 1721)
(r) The value of any child care provided or arranged (or any amount received as
payment for such care or reimbursement for costs incurred for such care)
under the Child Care and Development Block Grant Act of 1990 (42 U.S.C.
9858q)
(s) Earned income tax credit (EITC) refund payments received on or after
January 1, 1991 (26 U.S.C. 32(j))
(t) Payments by the Indian Claims Commission to the Confederated Tribes and
Bands of Yakima Indian Nation or the Apache Tribe of Mescalero
Reservation (Pub. L. 95-433)
(u) Amounts of scholarship funded under Title IV of the Higher Education Act
of 1965, including awards under federal work-study programs or under the
Bureau of Indian Affairs student assistance programs (20 U.S.C.108.7uu).
For Section 8 programs, the exception found in § 237 of Public Law 109-
249 applies and requires that the amount of financial assistance in excess of
tuition shall be considered income in accordance with the provisions
codified at 24 CFR 5.609(b)(9), except for those persons with disabilities as
defined by 42 U.S.C. 1437 a(b)(3)(E) (Pub. L. 109-249)
(v) Allowances, earnings and payments to AmeriCorps participants under the
National and Community Service Act of 1990 (42 U.S.C. 12637(d))
(w) Any amount of crime victim compensation (under the Victims of Crime
Act) received through crime victim assistance (or payment or
reimbursement of the cost of such assistance) as determined under the
Victims of Crime Act because of the commission of a crime against the
applicant under the Victims of Crime Act (42 U.S.C. 10602)
(x) Any amounts in an “individual development account” as provided by the
Assets for Independence Act, as amended in 2002
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(y) Payments made from the proceeds of Indian tribal trust cases as described in
Notice PIH 2013-30, “Exclusion from Income of Payments under Recent
Tribal Trust Settlements” (25 U.S.C. 117b(a)).
(z) Major disaster and emergency assistance received under the Robert T.
Stafford Disaster Relief and Emergency Assistance Act and comparable
disaster assistance provided by states, local governments, and disaster
assistance organizations.
(aa) Distributions from an ABLE account, and actual or imputed interest on the
ABLE account balance (Achieving a Better Life Experience Act of 2014).
PART II: ADJUSTED INCOME
6-II.A. Introduction
Overview
HUD regulations require PHAs to deduct from annual income any of five mandatory deductions
for which a family qualifies. The resulting amount is the family’s adjusted income. Mandatory
deductions are found in 24 CFR 5.611.
This part covers policies related to these mandatory deductions. Verification requirements related
to these deductions are found in Chapter 7, Verifications.
5.611(a) Mandatory deductions. In determining adjusted income, the responsible entity (PHA)
must deduct the following amounts from annual income:
(1) $480 for each dependent;
(2) $400 for any elderly family or disabled family;
(3) The sum of the following, to the extent the sum exceeds three percent of annual
income:
(i) Unreimbursed medical expenses of any elderly family or disabled family;
(ii) Unreimbursed reasonable attendant care and auxiliary apparatus expenses
for each member of the family who is a person with disabilities, to the extent
necessary to enable any member of the family (including the member who is a
person with disabilities) to be employed. This deduction may not exceed the
earned income received by family members who are 18 years of age or older
and who are able to work because of such attendant care or auxiliary apparatus;
and
(4) Any reasonable child care expenses necessary to enable a member of the family to
be employed or to further his or her education.
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Anticipating Expenses
PHA Policy
Generally, the PHA will use current circumstances to anticipate expenses. When possible,
for costs that are expected to fluctuate during the year (e.g., child care during school and
non-school periods and cyclical medical expenses), the PHA will estimate costs based on
historic data and known future costs.
If a family has an accumulated debt for medical or disability assistance expenses, the
PHA will include as an eligible expense the portion of the debt that the family expects to
pay during the period for which the income determination is being made. However,
amounts previously deducted will not be allowed even if the amounts were not paid as
expected in a preceding period. The PHA may require the family to provide
documentation of payments made in the preceding year.
6-II.B. Dependent Deduction
An allowance of $480 is deducted from annual income for each dependent [24 CFR 5.611(a)(1)].
Dependent is defined as any family member other than the head, spouse, or cohead who is under
the age of 18 or who is 18 or older and is a person with disabilities or a full-time student. Foster
children, foster adults, and live-in aides are never considered dependents [24 CFR 5.603(b)].
6-II.C. Elderly or Disabled Family Deduction
A single deduction of $400 is taken for any elderly or disabled family [24 CFR 5.611(a)(2)]. An
elderly family is a family whose head, spouse, cohead, or sole member is 62 years of age or
older, and a disabled family is a family whose head, spouse, cohead, or sole member is a person
with disabilities [24 CFR 5.403].
6-II.D. Medical Expenses Deduction [24 CFR 5.611(a)(3)(i)]
Unreimbursed medical expenses may be deducted to the extent that, in combination with any
disability assistance expenses, they exceed three percent of annual income.
The medical expense deduction is permitted only for families in which the head, spouse, or
cohead is at least 62 or is a person with disabilities. If a family is eligible for a medical expense
deduction, the medical expenses of all family members are counted [VG, p. 28].
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Definition of Medical Expenses
HUD regulations define medical expenses at 24 CFR 5.603(b) to mean “medical expenses,
including medical insurance premiums, that are anticipated during the period for which annual
income is computed, and that are not covered by insurance.”
PHA Policy
The most current IRS Publication 502, Medical and Dental Expenses, will be used as a
reference to determine the costs that qualify as medical expenses.
Summary of Allowable Medical Expenses from IRS Publication 502
Services of medical professionals
Surgery and medical procedures that are
necessary, legal, non-cosmetic
Services of medical facilities
Hospitalization, long-term care, and in-
home nursing services
Prescription medicines and insulin, but not
nonprescription medicines even if
recommended by a doctor
Improvements to housing directly related
to medical needs (e.g., ramps for a wheel
chair, handrails)
Substance abuse treatment programs
Psychiatric treatment
Ambulance services and some costs of
transportation related to medical expenses
The cost and care of necessary equipment
related to a medical condition (e.g.,
eyeglasses/lenses, hearing aids, crutches,
and artificial teeth)
Cost and continuing care of necessary
service animals
Medical insurance premiums or the cost of
a health maintenance organization (HMO)
Note: This chart provides a summary of eligible medical expenses only. Detailed
information is provided in IRS Publication 502. Medical expenses are considered only to
the extent they are not reimbursed by insurance or some other source.
PHA Policy
The cost of medical marijuana is not considered a deductible medical expense.
Families That Qualify for Both Medical and Disability Assistance Expenses
PHA Policy
This policy applies only to families in which the head, spouse, or cohead is 62 or older or
is a person with disabilities.
When expenses anticipated by a family could be defined as either medical or disability
assistance expenses, the PHA will consider them medical expenses unless it is clear that
the expenses are incurred exclusively to enable a person with disabilities to work.
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6-II.E. Disability Assistance Expenses Deduction [24 CFR 5.603(b) and
24 CFR 5.611(a)(3)(ii)]
Reasonable expenses for attendant care and auxiliary apparatus for a disabled family member
may be deducted if they: (1) are necessary to enable a family member 18 years or older to work,
(2) are not paid to a family member or reimbursed by an outside source, (3) in combination with
any medical expenses, exceed three percent of annual income, and (4) do not exceed the earned
income received by the family member who is enabled to work.
Earned Income Limit on the Disability Assistance Expense Deduction
A family can qualify for the disability assistance expense deduction only if at least one family
member (who may be the person with disabilities) is enabled to work [24 CFR 5.603(b)].
The disability expense deduction is capped by the amount of “earned income received by family
members who are 18 years of age or older and who are able to work” because of the expense [24
CFR 5.611(a)(3)(ii)]. The earned income used for this purpose is the amount verified before any
earned income disallowances or income exclusions are applied.
PHA Policy
The family must identify the family members enabled to work as a result of the disability
assistance expenses. In evaluating the family’s request, the PHA will consider factors
such as how the work schedule of the relevant family members relates to the hours of
care provided, the time required for transportation, the relationship of the family
members to the person with disabilities, and any special needs of the person with
disabilities that might determine which family members are enabled to work.
When the PHA determines that the disability assistance expenses enable more than one
family member to work, the disability assistance expenses will be capped by the sum of
the family members’ incomes [PH Occ GB, p. 124].
Eligible Disability Expenses
Examples of auxiliary apparatus are provided in the PH Occupancy Guidebook as follows:
“Auxiliary apparatus: Including wheelchairs, walkers, scooters, reading devices for persons with
visual disabilities, equipment added to cars and vans to permit their use by the family member
with a disability, or service animals” [PH Occ GB, p. 124], but only if these items are directly
related to permitting the disabled person or other family member to work [HCV GB, p. 5-30].
HUD advises PHAs to further define and describe auxiliary apparatus [VG, p. 30].
Eligible Auxiliary Apparatus
PHA Policy
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Expenses incurred for maintaining or repairing an auxiliary apparatus are eligible. In the
case of an apparatus that is specially adapted to accommodate a person with disabilities
(e.g., a vehicle or computer), the cost to maintain the special adaptations (but not
maintenance of the apparatus itself) is an eligible expense. The cost of service animals
trained to give assistance to persons with disabilities, including the cost of acquiring the
animal, veterinary care, food, grooming, and other continuing costs of care, will be
included.
Eligible Attendant Care
The family determines the type of attendant care that is appropriate for the person with
disabilities.
PHA Policy
Attendant care includes, but is not limited to, reasonable costs for home medical care,
nursing services, in-home or center-based care services, interpreters for persons with
hearing impairments, and readers for persons with visual disabilities.
Attendant care expenses will be included for the period that the person enabled to work is
employed plus reasonable transportation time. The cost of general housekeeping and
personal services is not an eligible attendant care expense. However, if the person
enabled to work is the person with disabilities, personal services necessary to enable the
person with disabilities to work are eligible.
If the care attendant also provides other services to the family, the PHA will prorate the
cost and allow only that portion of the expenses attributable to attendant care that enables
a family member to work. For example, if the care provider also cares for a child who is
not the person with disabilities, the cost of care must be prorated. Unless otherwise
specified by the care provider, the calculation will be based upon the number of hours
spent in each activity and/or the number of persons under care.
Payments to Family Members
No disability expenses may be deducted for payments to a member of a tenant family [23 CFR
5.603(b)]. However, expenses paid to a relative who is not a member of the tenant family may be
deducted if they are not reimbursed by an outside source.
Necessary and Reasonable Expenses
The family determines the type of care or auxiliary apparatus to be provided and must describe
how the expenses enable a family member to work. The family must certify that the disability
assistance expenses are necessary and are not paid or reimbursed by any other source.
PHA Policy
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The PHA determines the reasonableness of the expenses based on typical costs of care or
apparatus in the locality. To establish typical costs, the PHA will collect information
from organizations that provide services and support to persons with disabilities. A
family may present, and the PHA will consider, the family’s justification for costs that
exceed typical costs in the area.
Families That Qualify for Both Medical and Disability Assistance Expenses
PHA Policy
This policy applies only to families in which the head, spouse, or cohead is 62 or older or
is a person with disabilities.
When expenses anticipated by a family could be defined as either medical or disability
assistance expenses, the PHA will consider them medical expenses unless it is clear that
the expenses are incurred exclusively to enable a person with disabilities to work.
6-II.F. Child Care Expense Deduction
HUD defines child care expenses at 24 CFR 5.603(b) as “amounts anticipated to be paid by the
family for the care of children under 13 years of age during the period for which annual income
is computed, but only where such care is necessary to enable a family member to actively seek
employment, be gainfully employed, or to further his or her education and only to the extent such
amounts are not reimbursed. The amount deducted shall reflect reasonable charges for child care.
In the case of child care necessary to permit employment, the amount deducted shall not exceed
the amount of employment income that is included in annual income.”
Child care expenses do not include child support payments made to another on behalf of a minor
who is not living in an assisted family’s household [VG, p. 26]. However, child care expenses for
foster children that are living in the assisted family’s household are included when determining
the family’s child care expenses.
Qualifying for the Deduction
Determining Who Is Enabled to Pursue an Eligible Activity
PHA Policy
The family must identify the family member(s) enabled to pursue an eligible activity. The
term eligible activity in this section means any of the activities that may make the family
eligible for a child care deduction (seeking work, pursuing an education, or being
gainfully employed).
In evaluating the family’s request, the PHA will consider factors such as how the
schedule for the claimed activity relates to the hours of care provided, the time required
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for transportation, the relationship of the family member(s) to the child, and any special
needs of the child that might help determine which family member is enabled to pursue
an eligible activity.
Seeking Work
PHA Policy
If the child care expense being claimed is to enable a family member to seek
employment, the family must provide evidence of the family member’s efforts to obtain
employment at each reexamination. The deduction may be reduced or denied if the
family member’s job search efforts are not commensurate with the child care expense
being allowed by the PHA.
Furthering Education
PHA Policy
If the child care expense being claimed is to enable a family member to further his or her
education, the member must be enrolled in school (academic or vocational) or
participating in a formal training program. The family member is not required to be a
full-time student, but the time spent in educational activities must be commensurate with
the child care claimed.
Being Gainfully Employed
PHA Policy
If the child care expense being claimed is to enable a family member to be gainfully
employed, the family must provide evidence of the family member’s employment during
the time that child care is being provided. Gainful employment is any legal work activity
(full- or part-time) for which a family member is compensated.
Earned Income Limit on Child Care Expense Deduction
When a family member looks for work or furthers his or her education, there is no cap on the
amount that may be deducted for child care – although the care must still be necessary and
reasonable. However, when child care enables a family member to work, the deduction is capped
by “the amount of employment income that is included in annual income” [24 CFR 5.603(b)].
The earned income used for this purpose is the amount of earned income verified after any
earned income disallowances or income exclusions are applied.
When the person who is enabled to work is a person who receives the earned income
disallowance (EID) or a full-time student whose earned income above $480 is excluded, child
care costs related to enabling a family member to work may not exceed the portion of the
person’s earned income that actually is included in annual income. For example, if a family
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member who qualifies for the EID makes $15,000 but because of the EID only $5,000 is
included in annual income, child care expenses are limited to $5,000.
The PHA must not limit the deduction to the least expensive type of child care. If the care allows
the family to pursue more than one eligible activity, including work, the cap is calculated in
proportion to the amount of time spent working [HCV GB, p. 5-30].
PHA Policy
When the child care expense being claimed is to enable a family member to work, only
one family member’s income will be considered for a given period of time. When more
than one family member works during a given period, the PHA generally will limit
allowable child care expenses to the earned income of the lowest-paid member. The
family may provide information that supports a request to designate another family
member as the person enabled to work.
Eligible Child Care Expenses
The type of care to be provided is determined by the tenant family. The PHA may not refuse to
give a family the child care expense deduction because there is an adult family member in the
household that may be available to provide child care [VG, p. 26].
Allowable Child Care Activities
PHA Policy
For school-age children, costs attributable to public or private school activities during
standard school hours are not considered. Expenses incurred for supervised activities
after school or during school holidays (e.g., summer day camp, after-school sports
league) are allowable forms of child care.
The costs of general housekeeping and personal services are not eligible. Likewise, child
care expenses paid to a family member who lives in the family’s unit are not eligible;
however, payments for child care to relatives who do not live in the unit are eligible.
If a child care provider also renders other services to a family or child care is used to
enable a family member to conduct activities that are not eligible for consideration, the
PHA will prorate the costs and allow only that portion of the expenses that is attributable
to child care for eligible activities. For example, if the care provider also cares for a child
with disabilities who is 13 or older, the cost of care will be prorated. Unless otherwise
specified by the child care provider, the calculation will be based upon the number of
hours spent in each activity and/or the number of persons under care.
Necessary and Reasonable Costs
Child care expenses will be considered necessary if: (1) a family adequately explains how the
care enables a family member to work, actively seek employment, or further his or her education,
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and (2) the family certifies, and the child care provider verifies, that the expenses are not paid or
reimbursed by any other source.
PHA Policy
Child care expenses will be considered for the time required for the eligible activity plus
reasonable transportation time. For child care that enables a family member to go to
school, the time allowed may include not more than one study hour for each hour spent in
class.
To establish the reasonableness of child care costs, the PHA will use the schedule of child
care costs from the local welfare agency. Families may present, and the PHA will
consider, justification for costs that exceed typical costs in the area.
6-II.G. Permissive Deductions [24 CFR 5.611(b)(1)]
Permissive deductions are additional, optional deductions that may be applied to annual income.
As with mandatory deductions, permissive deductions must be based on need or family
circumstance and deductions must be designed to encourage self-sufficiency or other economic
purpose. If the PHA offers permissive deductions, they must be granted to all families that
qualify for them and should complement existing income exclusions and deductions [PH Occ
GB, p. 128].
The Form HUD-50058 Instruction Booklet states that the maximum allowable amount for total
permissive deductions is less than $90,000 per year.
PHA Policy
The PHA has opted not to use permissive deductions.
PART III: CALCULATING RENT
6-III.A. Overview of Income-Based Rent Calculations
The first step in calculating income-based rent is to determine each family’s total tenant payment
(TTP). Then, if the family is occupying a unit that has tenant-paid utilities, the utility allowance
is subtracted from the TTP. The result of this calculation, if a positive number, is the tenant rent.
If the TTP is less than the utility allowance, the result of this calculation is a negative number,
and is called the utility reimbursement, which may be paid to the family or directly to the utility
company by the PHA.
TTP Formula [24 CFR 5.628]
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HUD regulations specify the formula for calculating the total tenant payment (TTP) for a tenant
family. TTP is the highest of the following amounts, rounded to the nearest dollar:
30 percent of the family’s monthly adjusted income (adjusted income is defined in Part
II)
10 percent of the family’s monthly gross income (annual income, as defined in Part I,
divided by 12)
The welfare rent (in as-paid states only)
A minimum rent between $0 and $50 that is established by the PHA
The PHA has authority to suspend and exempt families from minimum rent when a financial
hardship exists, as defined in section 6-III.B.
Welfare Rent [24 CFR 5.628]
PHA Policy
Welfare rent does not apply in this locality.
Minimum Rent [24 CFR 5.630]
PHA Policy
The minimum rent for this locality is $50.
Optional Changes to Income-Based Rents [24 CFR 960.253(c)(2) and PH Occ GB,
pp. 131-134]
PHAs have been given very broad flexibility to establish their own, unique rent calculation
systems as long as the rent produced is not higher than that calculated using the TTP and
mandatory deductions. At the discretion of the PHA, rent policies may structure a system that
uses combinations of permissive deductions, escrow accounts, income-based rents, and the
required flat and minimum rents.
The PHA’s minimum rent and rent choice policies still apply to affected families. Utility
allowances are applied to PHA designed income-based rents in the same manner as they are
applied to the regulatory income-based rents.
The choices are limited only by the requirement that the method used not produce a TTP or
tenant rent greater than the TTP or tenant rent produced under the regulatory formula.
PHA Policy
The PHA chooses not to adopt optional changes to income-based rents.
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Ceiling Rents [24 CFR 960.253 (c)(2) and (d)]
Ceiling rents are used to cap income-based rents. They are part of the income-based formula. If
the calculated TTP exceeds the ceiling rent for the unit, the ceiling rent is used to calculate tenant
rent (ceiling rent/TTP minus utility allowance). Increases in income do not affect the family
since the rent is capped. The use of ceiling rents fosters upward mobility and income mixing.
Because of the mandatory use of flat rents, the primary function of ceiling rents now is to assist
families who cannot switch back to flat rent between annual reexaminations and would otherwise
be paying an income-based tenant rent that is higher than the flat rent.
Ceiling rents must be set to the level required for flat rents (which will require the addition of the
utility allowance to the flat rent for properties with tenant-paid utilities) [PH Occ GB, p. 135].
PHA Policy
The PHA chooses not to use ceiling rents.
Utility Reimbursement [24 CFR 960.253(c)(3)]
Utility reimbursement occurs when any applicable utility allowance for tenant-paid utilities
exceeds the TTP. HUD permits the PHA to pay the reimbursement to the family or directly to the
utility provider.
PHA Policy
The PHA will make all utility reimbursement payments to qualifying families on a
monthly basis to the electric utility company(s) of their choice, and the family will be
notified in writing.
Partial Month Calculations
The partial month calculation for move-ins, move-outs and transfers are by dividing the monthly
tenant rent amount by the actual number of days in the month and multiplying the result by
actual number of days the resident lived in the unit.
6-III.B. Financial Hardships Affecting Minimum Rent [24 CFR 5.630]
Overview
If the PHA establishes a minimum rent greater than zero, the PHA must grant an exemption from
the minimum rent if a family is unable to pay the minimum rent because of financial hardship.
The financial hardship exemption applies only to families required to pay the minimum rent. If a
family’s TTP is higher than the minimum rent, the family is not eligible for a hardship
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exemption. If the PHA determines that a hardship exists, the TTP is the highest of the remaining
components of the family’s calculated TTP.
HUD-Defined Financial Hardship
Financial hardship includes the following situations:
(1)
The family has lost eligibility for or is awaiting an eligibility determination for a federal,
state, or local assistance program. This includes a family member who is a noncitizen
lawfully admitted for permanent residence under the Immigration and Nationality Act
who would be entitled to public benefits but for Title IV of the Personal Responsibility
and Work Opportunity Act of 1996.
PHA Policy
A hardship will be considered to exist only if the loss of eligibility has an impact on the
family’s ability to pay the minimum rent.
For a family waiting for a determination of eligibility, the hardship period will end as of
the first of the month following (1) implementation of assistance, if approved, or (2) the
decision to deny assistance. A family whose request for assistance is denied may request
a hardship exemption based upon one of the other allowable hardship circumstances.
(2)
The family would be evicted because it is unable to pay the minimum rent.
PHA Policy
For a family to qualify under this provision, the cause of the potential eviction must be
the family’s failure to pay rent or tenant-paid utilities.
(3)
Family income has decreased because of changed family circumstances, including the
loss of employment.
(4)
A death has occurred in the family.
PHA Policy
In order to qualify under this provision, a family must describe how the death has created
a financial hardship (e.g., because of funeral-related expenses or the loss of the family
member’s income).
(5)
The family has experienced other circumstances determined by the PHA.
PHA Policy
The PHA has not established any additional hardship criteria.
Implementation of Hardship Exemption
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Determination of Hardship
When a family requests a financial hardship exemption, the PHA must suspend the minimum
rent requirement beginning the first of the month following the family’s request.
The PHA then determines whether the financial hardship exists and whether the hardship is
temporary or long-term.
PHA Policy
The PHA defines temporary hardship as a hardship expected to last 90 days or less. Long
term hardship is defined as a hardship expected to last more than 90 days.
The PHA may not evict the family for nonpayment of minimum rent during the 90-day period
beginning the month following the family’s request for a hardship exemption.
When the minimum rent is suspended, the TTP reverts to the highest of the remaining
components of the calculated TTP. The example in the following table demonstrates the effect of
the minimum rent exemption.
Example: Impact of Minimum Rent Exemption
Assume the PHA has established a minimum rent of $35.
TTP – No Hardship
TTP – With Hardship
$0
$15
N/A
$35
30% of monthly adjusted income
10% of monthly gross income
Welfare rent
Minimum rent
$0
$15
N/A
$35
30% of monthly adjusted income
10% of monthly gross income
Welfare rent
Minimum rent
Minimum rent applies.
TTP = $35
Hardship exemption granted.
TTP = $15
PHA Policy
To qualify for a hardship exemption, a family must submit a request for a hardship
exemption in writing. The request must explain the nature of the hardship and how the
hardship has affected the family’s ability to pay the minimum rent.
The PHA will make the determination of hardship within 30 calendar days.
No Financial Hardship
If the PHA determines there is no financial hardship, the PHA will reinstate the minimum rent
and require the family to repay the amounts suspended.
For procedures pertaining to grievance hearing requests based upon the PHA’s denial of a
hardship exemption, see Chapter 14, Grievances and Appeals.
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PHA Policy
The PHA will require the family to repay the suspended amount within 30 calendar days
of the PHA’s notice that a hardship exemption has not been granted.
Temporary Hardship
If the PHA determines that a qualifying financial hardship is temporary, the PHA must reinstate
the minimum rent from the beginning of the first of the month following the date of the family’s
request for a hardship exemption.
The family must resume payment of the minimum rent and must repay the PHA the amounts
suspended. HUD requires the PHA to offer a reasonable repayment agreement, on terms and
conditions established by the PHA. The PHA also may determine that circumstances have
changed and the hardship is now a long-term hardship.
For procedures pertaining to grievance hearing requests based upon the PHA’s denial of a
hardship exemption, see Chapter 14, Grievances and Appeals.
PHA Policy
The PHA will enter into a repayment agreement in accordance with the PHA's repayment
agreement policy (see Chapter 16).
Long-Term Hardship
If the PHA determines that the financial hardship is long-term, the PHA must exempt the family
from the minimum rent requirement for so long as the hardship continues. The exemption will
apply from the first of the month following the family’s request until the end of the qualifying
hardship. When the financial hardship has been determined to be long-term, the family is not
required to repay the minimum rent.
PHA Policy
The hardship period ends when any of the following circumstances apply:
(1)
At an interim or annual reexamination, the family’s calculated TTP is greater than
the minimum rent.
(2)
For hardship conditions based on loss of income, the hardship condition will
continue to be recognized until new sources of income are received that are at
least equal to the amount lost. For example, if a hardship is approved because a
family no longer receives a $60/month child support payment, the hardship will
continue to exist until the family receives at least $60/month in income from
another source or once again begins to receive the child support.
(3)
For hardship conditions based upon hardship-related expenses, the minimum rent
exemption will continue to be recognized until the cumulative amount exempted
is equal to the expense incurred.
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6-III.C. Utility Allowances [24 CFR 965, Subpart E]
Overview
Utility allowances are provided to families paying income-based rents when the cost of utilities
is not included in the rent. When determining a family’s income-based rent, the PHA must use
the utility allowance applicable to the type of dwelling unit leased by the family.
For policies on establishing and updating utility allowances, see Chapter 16.
Reasonable Accommodation [24 CFR 8]
On request from a family, PHAs must approve a utility allowance that is higher than the
applicable amount for the dwelling unit if a higher utility allowance is needed as a reasonable
accommodation to make the program accessible to and usable by the family with a disability [PH
Occ GB, p. 172].
Residents with disabilities may not be charged for the use of certain resident-supplied appliances
if there is a verified need for special equipment because of the disability [PH Occ GB, p. 172].
See Chapter 2 for policies related to reasonable accommodations.
Utility Allowance Revisions [24 CFR 965.507]
The PHA must review its schedule of utility allowances each year. Between annual reviews, the
PHA must revise the utility allowance schedule if there is a rate change that by itself or together
with prior rate changes not adjusted for, results in a change of 10 percent or more from the rate
on which such allowances were based. Adjustments to resident payments as a result of such
changes must be retroactive to the first day of the month following the month in which the last
rate change taken into account in such revision became effective [PH Occ GB, p. 171].
The tenant rent calculations must reflect any changes in the PHA’s utility allowance schedule [24
CFR 960.253(c)(3)].
PHA Policy
Unless the PHA is required to revise utility allowances retroactively, revised utility
allowances will be applied to a family’s rent calculations at the first annual reexamination
after the allowance is adopted.
6-III.D. Prorated Rent for Mixed Families [24 CFR 5.520]
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HUD regulations prohibit assistance to ineligible family members. A mixed family is one that
includes at least one U.S. citizen or eligible immigrant and any number of ineligible family
members. The PHA must prorate the assistance provided to a mixed family. The PHA will first
determine TTP as if all family members were eligible and then prorate the rent based upon the
number of family members that actually are eligible. To do this, the PHA must:
(1)
Subtract the TTP from the flat rent applicable to the unit. The result is the maximum
subsidy for which the family could qualify if all members were eligible.
(2)
Divide the family maximum subsidy by the number of persons in the family to determine
the maximum subsidy per each family member who is eligible (member maximum
subsidy).
(3)
Multiply the member maximum subsidy by the number of eligible family members.
(4)
Subtract the subsidy calculated in the last step from the flat rent. This is the prorated
TTP.
(5)
Subtract the utility allowance for the unit from the prorated TTP. This is the prorated
rent for the mixed family.
PHA Policy
Revised public housing flat rents will be applied to a mixed family’s rent calculation at
the first annual reexamination after the revision is adopted.
(6)
When the mixed family’s TTP is greater than the applicable flat rent, use the TTP as the
prorated TTP. The prorated TTP minus the utility allowance is the prorated rent for the
mixed family.
6-III.E. Flat Rents and Family Choice In Rents [24 CFR 960.253]
Flat Rents [24 CFR 960.253(b)]
The flat rent is designed to encourage self-sufficiency and to avoid creating disincentives for
continued residency by families who are attempting to become economically self-sufficient.
Changes in family income, expenses, or composition will not affect the flat rent amount because
it is outside the income-based formula.
Policies related to the reexamination of families paying flat rent are contained in Chapter 9, and
policies related to the establishment and the review of flat rents are contained in Chapter 16.
Family Choice in Rents [24 CFR 960.253(a) and (e)]
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Once each year, the PHA must offer families the choice between a flat rent and an income-based
rent. The family may not be offered this choice more than once a year. The PHA must document
that flat rents were offered to families under the methods used to determine flat rents for the
PHA.
PHA Policy
The annual PHA offer to a family of the choice between flat and income-based rent will
be conducted upon admission and upon each subsequent annual reexamination.
The PHA will require families to submit their choice of flat or income-based rent in
writing and will maintain such requests in the tenant file as part of the admission or
annual reexamination process.
The PHA must provide sufficient information for families to make an informed choice. This
information must include the PHA’s policy on switching from flat rent to income-based rent due
to financial hardship and the dollar amount of the rent under each option. However, if the family
chose the flat rent for the previous year the PHA is required to provide an income-based rent
amount only in the year that a reexamination of income is conducted or if the family specifically
requests it and submits updated income information.
Switching from Flat Rent to Income-Based Rent Due to Hardship [24 CFR 960.253(f)]
A family can opt to switch from flat rent to income-based rent at any time if they are unable to
pay the flat rent due to financial hardship. If the PHA determines that a financial hardship exists,
the PHA must immediately allow the family to switch from flat rent to the income-based rent.
PHA Policy
Upon determination by the PHA that a financial hardship exists, the PHA will allow a
family to switch from flat rent to income-based rent effective the first of the month
following the family’s request.
Reasons for financial hardship include:
The family has experienced a decrease in income because of changed circumstances,
including loss or reduction of employment, death in the family, or reduction in or loss of
earnings or other assistance
The family has experienced an increase in expenses, because of changed circumstances, for
medical costs, child care, transportation, education, or similar items
Such other situations determined by the PHA to be appropriate
PHA Policy
The PHA considers payment of flat rent to be a financial hardship whenever the switch to
income-based rent would be lower than the flat rent [PH Occ GB, p. 137].
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Phasing In Flat Rents [Notice PIH 2017-23; 24 CFR 960.253(b)]
When new flat rents requirements were implemented in 2014, HUD limited the increase for
existing residents paying flat rent at that time to no more than 35 percent of the current tenant
rent per year. In some cases, this meant that some residents had or will have their flat rents
phased-in at the time of their annual recertification. To do this, PHAs conduct a flat rent impact
analysis to determine whether a phase-in is or was necessary. For families whose flat rent is
being phased-in, the PHA must multiply the family’s current rent amount by 1.35 and compare
the result to the flat rent under the PHA’s policies. Families who have subsequently been
admitted to the program or have subsequently selected flat rent will not experience a phase-in.
Notice PIH 2017-23 requires that flat rents must be phased in at the full 35 percent per year.
PHAs do not have the option of phasing in flat rent increases at less than 35 percent per year.
Flat Rents and Earned Income Disallowance [A&O FAQs]
Because the EID is a function of income-based rents, a family paying flat rent cannot qualify for
the EID even if a family member experiences an event that would qualify the family for the EID.
If the family later chooses to pay income-based rent, they would only qualify for the EID if a
new qualifying event occurred.
Under the EID original calculation method, a family currently paying flat rent that previously
qualified for the EID while paying income-based rent and is currently within their exclusion
period would have the exclusion period continue while paying flat rent as long as the
employment that is the subject of the exclusion continues. A family paying flat rent could
therefore see a family member’s exclusion period expire while the family is paying flat rent.
Under the EID revised calculation method, a family currently paying flat rent that previously
qualified for the EID while paying income-based rent and is currently within their exclusion
period would have the exclusion period continue while paying flat rent regardless whether the
Example: A family was paying a flat rent of $500 per month. At their annual
recertification, the PHA has increased the flat rent for their unit size to comply with the
new requirements to $700. The PHA conducted a flat rent impact analysis as follows:
$500 x 1.35 = $675
Since the PHA’s increased flat rent of $700 resulted in a rent increase of more than
35 percent, the PHA offered the family the choice to pay either $675 per month or an
income-based rent. The flat rent increase was phased in. At their next annual
recertification in November 2015, the PHA will again multiply the family’s current flat
rent by 1.35 and compare the results to the PHA’s current flat rent.
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employment that is the subject of the exclusion continues. A family paying flat rent could
therefore see a family member’s exclusion period expire while the family is paying flat rent.
Exhibit 6-1: Annual Income Inclusions
24 CFR 5.609
(a) Annual income means all amounts,
monetary or not, which:
(1) Go to, or on behalf of, the family head or
spouse (even if temporarily absent) or to any
other family member; or
(2) Are anticipated to be received from a
source outside the family during the 12-
month period following admission or annual
reexamination effective date; and
(3) Which are not specifically excluded in
paragraph (c) of this section.
(4) Annual income also means amounts
derived (during the 12-month period) from
assets to which any member of the family
has access.
(b) Annual income includes, but is not
limited to:
(1) The full amount, before any payroll
deductions, of wages and salaries, overtime
pay, commissions, fees, tips and bonuses,
and other compensation for personal
services;
(2) The net income from the operation of a
business or profession. Expenditures for
business expansion or amortization of
capital indebtedness shall not be used as
deductions in determining net income. An
allowance for depreciation of assets used in
a business or profession may be deducted,
based on straight line depreciation, as
provided in Internal Revenue Service
regulations. Any withdrawal of cash or
assets from the operation of a business or
profession will be included in income,
except to the extent the withdrawal is
reimbursement of cash or assets invested in
the operation by the family;
(3) Interest, dividends, and other net income
of any kind from real or personal property.
Expenditures for amortization of capital
indebtedness shall not be used as deductions
in determining net income. An allowance for
depreciation is permitted only as authorized
in paragraph (b)(2) of this section. Any
withdrawal of cash or assets from an
investment will be included in income,
except to the extent the withdrawal is
reimbursement of cash or assets invested by
the family. Where the family has net family
assets in excess of $5,000, annual income
shall include the greater of the actual income
derived from all net family assets or a
percentage of the value of such assets based
on the current passbook savings rate, as
determined by HUD;
(4) The full amount of periodic amounts
received from Social Security, annuities,
insurance policies, retirement funds,
pensions, disability or death benefits, and
other similar types of periodic receipts,
including a lump-sum amount or prospective
monthly amounts for the delayed start of a
periodic amount (except as provided in
paragraph (c)(14) of this section);
(5) Payments in lieu of earnings, such as
unemployment and disability compensation,
worker's compensation and severance pay
(except as provided in paragraph (c)(3) of
this section);
(6) Welfare assistance payments.
(i) Welfare assistance payments made under
the Temporary Assistance for Needy
Families (TANF) program are included in
annual income only to the extent such
payments:
(A) Qualify as assistance under the TANF
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program definition at 45 CFR 260.311; and
(B) Are not otherwise excluded under
paragraph (c) of this section.
(ii) If the welfare assistance payment
includes an amount specifically designated
for shelter and utilities that is subject to
adjustment by the welfare assistance agency
in accordance with the actual cost of shelter
and utilities, the amount of welfare
assistance income to be included as income
shall consist of:
(A) The amount of the allowance or grant
exclusive of the amount specifically
designated for shelter or utilities; plus
(B) The maximum amount that the welfare
assistance agency could in fact allow the
family for shelter and utilities. If the family's
welfare assistance is ratably reduced from
the standard of need by applying a
percentage, the amount calculated under this
paragraph shall be the amount resulting from
one application of the percentage.
(7) Periodic and determinable allowances,
such as alimony and child support payments,
and regular contributions or gifts received
from organizations or from persons not
residing in the dwelling;
(8) All regular pay, special pay and
allowances of a member of the Armed
Forces (except as provided in paragraph
(c)(7) of this section)
(9) For section 8 programs only and as
provided in 24 CFR 5.612, any financial
assistance, in excess of amounts received for
tuition, that an individual receives under the
Higher Education Act of 1965 (20 U.S.C.
1001 et seq.), from private sources, or from
an institution of higher education (as defined
under the Higher Education Act of 1965
(20 U.S.C. 1002)), shall be considered
income to that individual, except that
financial assistance described in this
1Text of 45 CFR 260.31 follows (next page).
paragraph is not considered annual income
for persons over the age of 23 with
dependent children. For purposes of this
paragraph, “financial assistance” does not
include loan proceeds for the purpose of
determining income.
HHS DEFINITION OF
"ASSISTANCE"
45 CFR: GENERAL TEMPORARY
ASSISTANCE FOR NEEDY FAMILIES
260.31 What does the term “assistance”
mean?
(a)(1) The term “assistance” includes cash,
payments, vouchers, and other forms of
benefits designed to meet a family’s ongoing
basic needs (i.e., for food, clothing, shelter,
utilities, household goods, personal care
items, and general incidental expenses).
(2) It includes such benefits even when they
are:
(i) Provided in the form of payments by a
TANF agency, or other agency on its behalf,
to individual recipients; and
(ii) Conditioned on participation in work
experience or community service (or any
other work activity under 261.30 of this
chapter).
(3) Except where excluded under paragraph
(b) of this section, it also includes supportive
services such as transportation and child
care provided to families who are not
employed.
(b) [The definition of “assistance”]
excludes: (1) Nonrecurring, short-term
benefits that:
(i) Are designed to deal with a specific crisis
situation or episode of need;
(ii) Are not intended to meet recurrent or
ongoing needs; and
(iii) Will not extend beyond four months.
(2) Work subsidies (i.e., payments to
employers or third parties to help cover the
costs of employee wages, benefits,
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supervision, and training);
(3) Supportive services such as child care
and transportation provided to families who
are employed;
(4) Refundable earned income tax credits;
(5) Contributions to, and distributions from,
Individual Development Accounts;
(6) Services such as counseling, case
management, peer support, child care
information and referral, transitional
services, job retention, job advancement,
and other employment-related services that
do not provide basic income support; and
(7) Transportation benefits provided under a
Job Access or Reverse Commute project,
pursuant to section 404(k) of [the Social
Security] Act, to an individual who is not
otherwise receiving assistance
Exhibit 6-2: Annual Income Exclusions
24 CFR 5.609
(c) Annual income does not include the
following:
(1) Income from employment of children
(including foster children) under the age of
18 years;
(2) Payments received for the care of foster
children or foster adults (usually persons with
disabilities, unrelated to the tenant family, who
are unable to live alone);
(3) Lump-sum additions to family assets, such
as inheritances, insurance payments (including
payments under health and accident insurance
and worker's compensation), capital gains and
settlement for personal or property losses
(except as provided in paragraph (b)(5) of this
section);
(4) Amounts received by the family that are
specifically for, or in reimbursement of, the
cost of medical expenses for any family
member;
(5) Income of a live-in aide, as defined in
Sec. 5.403;
(6) Subject to paragraph (b)(9) of this section,
the full amount of student financial assistance
paid directly to the student or to the
educational institution;
(7) The special pay to a family member
serving in the Armed Forces who is exposed to
hostile fire;
(8) (i) Amounts received under training
programs funded by HUD;
(ii) Amounts received by a person with a
disability that are disregarded for a limited
time for purposes of Supplemental Security
Income eligibility and benefits because they
are set aside for use under a Plan to Attain
Self-Sufficiency (PASS);
(iii) Amounts received by a participant in other
publicly assisted programs which are
specifically for or in reimbursement of out-of-
pocket expenses incurred (special equipment,
clothing, transportation, child care, etc.) and
which are made solely to allow participation in
a specific program;
(iv) Amounts received under a resident service
stipend. A resident service stipend is a modest
amount (not to exceed $200 per month)
received by a resident for performing a service
for the PHA or owner, on a part-time basis,
that enhances the quality of life in the
development. Such services may include, but
are not limited to, fire patrol, hall monitoring,
lawn maintenance, resident initiatives
coordination, and serving as a member of the
PHA's governing board. No resident may
receive more than one such stipend during the
same period of time;
(v) Incremental earnings and benefits resulting
to any family member from participation in
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qualifying State or local employment training
programs (including training programs not
affiliated with a local government) and
training of a family member as resident
management staff. Amounts excluded by this
provision must be received under employment
training programs with clearly defined goals
and objectives, and are excluded only for the
period during which the family member
participates in the employment training
program;
(9) Temporary, nonrecurring or sporadic
income (including gifts);
(10) Reparation payments paid by a foreign
government pursuant to claims filed under the
laws of that government by persons who were
persecuted during the Nazi era;
(11) Earnings in excess of $480 for each full-
time student 18 years old or older (excluding
the head of household and spouse);
(12) Adoption assistance payments in excess
of $480 per adopted child;
(13) [Reserved]
(14) Deferred periodic amounts from
supplemental security income and social
security benefits that are received in a lump
sum amount or in prospective monthly
amounts, or any deferred Department of
Veterans Affairs disability benefits that are
received in a lump sum amount or prospective
monthly amounts.
(15) Amounts received by the family in the
form of refunds or rebates under State or local
law for property taxes paid on the dwelling
unit;
(16) Amounts paid by a State agency to a
family with a member who has a
developmental disability and is living at home
to offset the cost of services and equipment
needed to keep the developmentally disabled
family member at home; or
(17) Amounts specifically excluded by any
other Federal statute from consideration as
income for purposes of determining eligibility
or benefits under a category of assistance
programs that includes assistance under any
program to which the exclusions set forth in 24
CFR 5.609(c) apply. A notice will be
published in the Federal Register and
distributed to PHAs and housing owners
identifying the benefits that qualify for this
exclusion. Updates will be published and
distributed when necessary. [See the following
chart for a list of benefits that qualify for this
exclusion.]
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Exhibit 6-3: Treatment of Family Assets
24 CFR 5.603(b) Net Family Assets
(1) Net cash value after deducting reasonable
costs that would be incurred in disposing of
real property, savings, stocks, bonds, and other
forms of capital investment, excluding
interests in Indian trust land and excluding
equity accounts in HUD homeownership
programs. The value of necessary items of
personal property such as furniture and
automobiles shall be excluded.
(2) In cases where a trust fund has been
established and the trust is not revocable by, or
under the control of, any member of the family
or household, the value of the trust fund will
not be considered an asset so long as the fund
continues to be held in trust. Any income
distributed from the trust fund shall be counted
when determining annual income under Sec.
5.609.
(3) In determining net family assets, PHAs or
owners, as applicable, shall include the value
of any business or family assets disposed of by
an applicant or tenant for less than fair market
value (including a disposition in trust, but not
in a foreclosure or bankruptcy sale) during the
two years preceding the date of application for
the program or reexamination, as applicable, in
excess of the consideration received therefor.
In the case of a disposition as part of a
separation or divorce settlement, the
disposition will not be considered to be for less
than fair market value if the applicant or tenant
receives important consideration not
measurable in dollar terms.
(4) For purposes of determining annual income
under Sec. 5.609, the term "net family assets''
does not include the value of a home currently
being purchased with assistance under part
982, subpart M of this title. This exclusion is
limited to the first 10 years after the purchase
date of the home.
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Exhibit 6-4: Earned Income Disallowance
24 CFR 960.255 Self-sufficiency incentive–Disallowance of increase in annual income.
(a) Definitions. The following definitions
apply for purposes of this section.
Baseline income. The annual income
immediately prior to implementation of the
disallowance described in paragraph (c)(1) of
this section of a person who is a member of a
qualified family.
Disallowance. Exclusion from annual income.
Previously unemployed includes a person who
has earned, in the twelve months previous to
employment, no more than would be received
for 10 hours of work per week for 50 weeks at
the established minimum wage.
Qualified family. A family residing in public
housing:
(i) Whose annual income increases as a result
of employment of a family member who was
unemployed for one or more years previous to
employment;
(ii) Whose annual income increases as a result
of increased earnings by a family member
during participation in any economic self-
sufficiency or other job training program; or
(iii) Whose annual income increases, as a
result of new employment or increased
earnings of a family member, during or within
six months after receiving assistance, benefits
or services under any state program for
temporary assistance for needy families
funded under Part A of Title IV of the Social
Security Act, as determined by the PHA in
consultation with the local agencies
administering temporary assistance for needy
families (TANF) and Welfare-to-Work
(WTW) programs. The TANF program is not
limited to monthly income maintenance, but
also includes such benefits and services as
one-time payments, wage subsidies and
transportation assistance—provided that the
total amount over a six-month period is at least
$500.
(b) Disallowance of increase in annual
income.
(1) Initial twelve month exclusion. During the
12-month period beginning on the date on
which a member of a qualified family is first
employed or the family first experiences an
increase in annual income attributable to
employment, the PHA must exclude from the
annual income (as defined in § 5.609 of this
title) of a qualified family any increase in the
income of the family member as a result of
employment over the baseline income of that
family member.
(2) Phase-in of rent increase. Upon the
expiration of the 12-month period defined in
paragraph (b)(1) of this section and for the
subsequent 12-month period, the PHA must
exclude from the annual income of a qualified
family at least 50 percent of any increase in
income of such family member as a result of
employment over the family member’s
baseline income.
(3) Maximum 2-year disallowance. The
disallowance of increased income of an
individual family member as provided in
paragraph (b)(1) or (b)(2) of this section is
limited to a lifetime 24-month period. It
applies for a maximum of 12 months for
disallowance under paragraph (b)(1) of this
section and a maximum of 12 months for
disallowance under paragraph (b)(2) of this
section, during the 24-month period starting
from the initial exclusion under paragraph
(b)(1) of this section.
(4) Effect of changes on currently participating
families. Families eligible for and participating
in the disallowance of earned income under
this section prior to May 9, 2016 will continue
to be governed by this section in effect as it
6-3
existed immediately prior to that date.
(c) Inapplicability to admission. The
disallowance of increases in income as a result
of employment under this section does not
apply for purposes of admission to the
program (including the determination of
income eligibility and income targeting).
(d) Individual Savings Accounts. As an
alternative to the disallowance of increases in
income as a result of employment described in
paragraph (b) of this section, a PHA may
choose to provide for individual savings
accounts for public housing residents who pay
an income-based rent, in accordance with a
written policy, which must include the
following provisions:
(1) The PHA must advise the family that the
savings account option is available;
(2) At the option of the family, the PHA must
deposit in the savings account the total amount
that would have been included in tenant rent
payable to the PHA as a result of increased
income that is disallowed in accordance with
paragraph (b) of this section;
(3) Amounts deposited in a savings account
may be withdrawn only for the purpose of:
(i) Purchasing a home;
(ii) Paying education costs of family members;
(iii) Moving out of public or assisted housing;
or
(iv) Paying any other expense authorized by
the PHA for the purpose of promoting the
economic self-sufficiency of residents of
public housing;
(4) The PHA must maintain the account in an
interest bearing investment and must credit the
family with the net interest income, and the
PHA may not charge a fee for maintaining the
account;
(5) At least annually the PHA must provide the
family with a report on the status of the
account; and
(6) If the family moves out of public housing,
the PHA shall pay the tenant any balance in
the account, minus any amounts owed to the
PHA
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Exhibit 6-5: The Effect of Welfare Benefit Reduction
24 CFR 5.615
Public housing program and Section 8 tenant-based assistance program: How welfare
benefit reduction affects family income.
(a) Applicability. This section applies to
covered families who reside in public housing
(part 960 of this title) or receive Section 8
tenant-based assistance (part 982 of this title).
(b) Definitions. The following definitions
apply for purposes of this section:
Covered families. Families who receive
welfare assistance or other public assistance
benefits ("welfare benefits'') from a State or
other public agency ("welfare agency'') under a
program for which Federal, State, or local law
requires that a member of the family must
participate in an economic self-sufficiency
program as a condition for such assistance.
Economic self-sufficiency program. See
definition at Sec. 5.603.
Imputed welfare income. The amount of
annual income not actually received by a
family, as a result of a specified welfare
benefit reduction, that is nonetheless included
in the family's annual income for purposes of
determining rent.
Specified welfare benefit reduction.
(1) A reduction of welfare benefits by the
welfare agency, in whole or in part, for a
family member, as determined by the welfare
agency, because of fraud by a family member
in connection with the welfare program; or
because of welfare agency sanction against a
family member for noncompliance with a
welfare agency requirement to participate in an
economic self-sufficiency program.
(2) "Specified welfare benefit reduction'' does
not include a reduction or termination of
welfare benefits by the welfare agency:
(i) at expiration of a lifetime or other time
limit on the payment of welfare benefits;
(ii) because a family member is not able to
obtain employment, even though the family
member has complied with welfare agency
economic self-sufficiency or work activities
requirements; or
(iii) because a family member has not
complied with other welfare agency
requirements.
(c) Imputed welfare income.
(1) A family's annual income includes the
amount of imputed welfare income (because of
a specified welfare benefits reduction, as
specified in notice to the PHA by the welfare
agency), plus the total amount of other annual
income as determined in accordance with Sec.
5.609.
(2) At the request of the PHA, the welfare
agency will inform the PHA in writing of the
amount and term of any specified welfare
benefit reduction for a family member, and the
reason for such reduction, and will also inform
the PHA of any subsequent changes in the
term or amount of such specified welfare
benefit reduction. The PHA will use this
information to determine the amount of
imputed welfare income for a family.
(3) A family's annual income includes imputed
welfare income in family annual income, as
determined at the PHA's interim or regular
reexamination of family income and
composition, during the term of the welfare
benefits reduction (as specified in information
provided to the PHA by the welfare agency).
(4) The amount of the imputed welfare income
is offset by the amount of additional income a
family receives that commences after the time
the sanction was imposed. When such
additional income from other sources is at
least equal to the imputed
(5) The PHA may not include imputed welfare
income in annual income if the family was not
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an assisted resident at the time of sanction.
(d) Review of PHA decision.
(1) Public housing. If a public housing tenant
claims that the PHA has not correctly
calculated the amount of imputed welfare
income in accordance with HUD requirements,
and if the PHA denies the family's request to
modify such amount, the PHA shall give the
tenant written notice of such denial, with a
brief explanation of the basis for the PHA
determination of the amount of imputed
welfare income. The PHA notice shall also
state that if the tenant does not agree with the
PHA determination, the tenant may request a
grievance hearing in accordance with part 966,
subpart B of this title to review the PHA
determination. The tenant is not required to
pay an escrow deposit pursuant to Sec.
966.55(e) for the portion of tenant rent
attributable to the imputed welfare income in
order to obtain a grievance hearing on the
PHA determination.
(2) Section 8 participant. A participant in the
Section 8 tenant-based assistance program
may request an informal hearing, in
accordance with Sec. 982.555 of this title, to
review the PHA determination of the amount
of imputed welfare income that must be
included in the family's annual income in
accordance with this section. If the family
claims that such amount is not correctly
calculated in accordance with HUD
requirements, and if the PHA denies the
family's request to modify such amount, the
PHA shall give the family written notice of
such denial, with a brief explanation of the
basis for the PHA determination of the amount
of imputed welfare income. Such notice shall
also state that if the family does not agree with
the PHA determination, the family may
request an informal hearing on the
determination under the PHA hearing
procedure.
(e) PHA relation with welfare agency.
(1) The PHA must ask welfare agencies to
inform the PHA of any specified welfare
benefits reduction for a family member, the
reason for such reduction, the term of any such
reduction, and any subsequent welfare agency
determination affecting the amount or term of
a specified welfare benefits reduction. If the
welfare agency determines a specified welfare
benefits reduction for a family member, and
gives the PHA written notice of such
reduction, the family's annual incomes shall
include the imputed welfare income because of
the specified welfare benefits reduction.
(2) The PHA is responsible for determining
the amount of imputed welfare income that is
included in the family's annual income as a
result of a specified welfare benefits reduction
as determined by the welfare agency, and
specified in the notice by the welfare agency to
the PHA. However, the PHA is not responsible
for determining whether a reduction of welfare
benefits by the welfare agency was correctly
determined by the welfare agency in
accordance with welfare program requirements
and procedures, nor for providing the
opportunity for review or hearing on such
welfare agency determinations.
(3) Such welfare agency determinations are
the responsibility of the welfare agency, and
the family may seek appeal of such
determinations through the welfare agency's
normal due process procedures. The PHA shall
be entitled to rely on the welfare agency notice
to the PHA of the welfare agency's
determination of a specified welfare benefits
reduction
7-1
CHAPTER 7
VERIFICATION
[24 CFR 960.259, 24 CFR 5.230 Notice PIH 2018-18]
INTRODUCTION
The PHA must verify all information that is used to establish the family’s eligibility and level of
assistance and is required to obtain written authorization from the family in order to collect the
information. Applicants and program participants must cooperate with the verification process as
a condition of receiving assistance. The PHA must not pass on the cost of verification to the
family.
The PHA will follow the verification guidance provided by HUD in PIH Notice 2018-18 and any
subsequent guidance issued by HUD. This chapter summarizes those requirements and provides
supplementary PHA policies.
Part I describes the general verification process. Part II provides more detailed requirements
related to family information Part III provides information on income and assets, and Part IV
covers mandatory deductions.
Verification policies, rules and procedures will be modified as needed to accommodate persons
with disabilities. All information obtained through the verification process will be handled in
accordance with the records management policies established by the PHA.
PART I: GENERAL VERIFICATION REQUIREMENTS
7-I.A. Family Consent to Release of Information [24 CFR 960.259, 24 CFR 5.230]
The family must supply any information that the PHA or HUD determines is necessary to the
administration of the program and must consent to PHA verification of that information [24 CFR
960.259(a)(1)].
Consent Forms
It is required that all adult applicants and tenants sign form HUD-9886, Authorization for
Release of Information. The purpose of form HUD-9886 is to facilitate automated data collection
and computer matching from specific sources and provides the family's consent only for the
specific purposes listed on the form. HUD and the PHA may collect information from State
Wage Information Collection Agencies (SWICAs) and current and former employers of adult
family members. Only HUD is authorized to collect information directly from the Internal
7-2
Revenue Service (IRS) and the Social Security Administration (SSA). Adult family members
must sign other consent forms as needed to collect information relevant to the family’s eligibility
and level of assistance.
Penalties for Failing to Consent [24 CFR 5.232]
If any family member who is required to sign a consent form fails to do so, the PHA will deny
admission to applicants and terminate the lease of tenants. The family may request a hearing in
accordance with the PHA's grievance procedures.
7-I.B. Overview of Verification Requirements
HUD’s Verification Hierarchy [Notice PIH 2018-18]
HUD mandates the use of the EIV system and offers administrative guidance on the use of other
methods to verify family information and specifies the circumstances in which each method will
be used. In general HUD requires the PHA to use the most reliable form of verification that is
available and to document the reasons when the PHA uses a lesser form of verification.
PHAs should begin with the highest level of verification techniques.
7-3
Note: This verification hierarchy applies to income determinations for applicants and
participants. However, EIV is not available for verifying income of applicants.
Each of the verification methods is discussed in subsequent sections below.
Requirements for Acceptable Documents
PHA Policy
Any documents used for verification must be the original (not photocopies) and generally
must be dated within 60 days of the PHA request. The documents must not be damaged,
altered or in any way illegible.
Print-outs from web pages are considered original documents.
The PHA staff member who views the original document must make a photocopy,
annotate the copy with the name of the person who provided the document and the date
the original was viewed, and sign the copy.
Any family self-certifications must be made in a format acceptable to the PHA and must
be signed in the presence of a PHA representative or PHA notary public. The PHA
reserves the right to request the self-certification be received in different formats due to
COVID, or other situations at the PHA’s discretion.
7-4
File Documentation
The PHA must document in the file how the figures used in income and rent calculations were
determined. All verification attempts, information obtained, and decisions reached during the
verification process will be recorded in the family’s file in sufficient detail to demonstrate that
the PHA has followed all of the verification policies set forth in this ACOP. The record should
be sufficient to enable a staff member or HUD reviewer to understand the process followed and
conclusions reached.
PHA Policy
The PHA will document, in the family file, the following:
Reported family annual income
Value of assets
Expenses related to deductions from annual income
Other factors influencing the adjusted income or income-based rent determination
When the PHA is unable to obtain third-party verification, the PHA will document in the family
file the reason that third-party verification was not available [24 CFR 960.259(c)(1); Notice
PIH2018-18].
7-I.C. Up-Front Income Verification (UIV)
Up-front income verification (UIV) refers to the PHA’s use of the verification tools available
from independent sources that maintain computerized information about earnings and benefits.
UIV will be used to the extent that these systems are available to the PHA.
The PHA must restrict access to and safeguard UIV data in accordance with HUD guidance on
security procedures, as issued and made available by HUD.
There may be legitimate differences between the information provided by the family and UIV-
generated information. If the family disputes the accuracy of UIV data, no adverse action can be
taken until the PHA has independently verified the UIV information and the family has been
granted an opportunity to contest any adverse findings through the PHA's informal
review/hearing processes. (For more on UIV and income projection, see section 6-I.C.)
Upfront Income Verification Using HUD’s Enterprise Income Verification (EIV) System
(Mandatory)
PHAs must use HUD’s EIV system in its entirety as a third-party source to verify tenant
employment and income information during mandatory reexaminations or recertifications of
family composition and income in accordance with 24 CFR 5.236 and administrative guidance
issued by HUD. HUD’s EIV system contains data showing earned income, unemployment
7-5
benefits, social security benefits, and SSI benefits for participant families. The following policies
apply to the use of HUD’s EIV system.
EIV Income and IVT Reports
The data shown on income and Income Validation Tool (IVT) reports is updated quarterly. Data
may be between three and six months old at the time reports are generated.
PHA Policy
The PHA will obtain income and IVT reports for annual reexaminations on a monthly
basis. Reports will be generated as part of the regular reexamination process.
Income and IVT reports will be compared to family-provided information as part of the
annual reexamination process. Income reports may be used in the calculation of annual
income, as described in Chapter 6.I.C. Income reports may also be used to meet the
regulatory requirement for third party verification, as described above. Policies for
resolving discrepancies between income and IVT reports and family-provided
information will be resolved as described in Chapter 6.I.C. and in this chapter.
Income and IVT reports will be used in interim reexaminations to identify any
discrepancies between reported income and income shown in the EIV system, and as
necessary to verify earned income, and to verify and calculate unemployment benefits,
Social Security and/or SSI benefits. EIV will also be used to verify that families claiming
zero income are not receiving income from any of these sources.
Income and IVT reports will be retained in resident files with the applicable annual or
interim reexamination documents.
When the PHA determines through EIV reports and third-party verification that a family
has concealed or under-reported income, corrective action will be taken pursuant to the
policies in Chapter 15, Program Integrity.
EIV Identity Verification
The EIV system verifies resident identities against Social Security Administration (SSA) records.
These records are compared to Public Indian Housing Information Center (PIC) data for a match
on Social Security number, name, and date of birth.
PHAs are required to use EIV’s Identity Verification Report on a monthly basis to improve the
availability of income information in EIV [Notice PIH 2018-18].
When identity verification for a resident fails, a message will be displayed within the EIV system
and no income information will be displayed.
PHA Policy
7-6
The PHA will identify residents whose identity verification has failed by reviewing EIV’s
Identity Verification Report on a monthly basis
The PHA will attempt to resolve PIC/SSA discrepancies by obtaining appropriate
documentation from the tenant. When the PHA determines that discrepancies exist due
to PHA errors such as spelling errors or incorrect birth dates, the errors will be corrected
promptly.
Upfront Income Verification Using Non-HUD Systems (Optional)
In addition to mandatory use of the EIV system, HUD encourages PHAs to utilize other upfront
verification sources.
PHA Policy
The PHA will inform all applicants and residents of its possible use of UIV
resources that may include the following during the admission and reexamination
process:
HUD’s EIV system
Theworknumber.com
Verifytoday.com
Verifydirect.com (aka First Advantage)
Past-Employ.com
7-I.D. Third-Party Written and Oral Verification
HUD’s current verification hierarchy defines two types of written third-party verification. The
more preferable form, “written third-party verification,” consists of an original document
generated by a third-party source, which may be received directly from a third-party source or
provided to the PHA by the family. If written third-party verification is not available, the PHA
must attempt to obtain a “written third-party verification form.” This is a standardized form used
to collect information from a third party.
Written Third-Party Verification [Notice PIH 2018-18]
Written third-party verification documents must be original and authentic and may be supplied
by the family or received from a third-party source.
Examples of acceptable tenant-provided documents include, but are not limited to: pay stubs,
payroll summary reports, employer notice or letters of hire and termination, SSA benefit
verification letters, bank statements, child support payment stubs, welfare benefit letters and/or
printouts, and unemployment monetary benefit notices.
7-7
The PHA is required to obtain, at minimum, two current and consecutive pay stubs for
determining annual income from wages.
The PHA may reject documentation provided by the family if the document is not an original, if
the document appears to be forged, or if the document is altered, mutilated, or illegible.
PHA Policy
Third-party documents provided by the family must be dated within 60 days of the PHA
request date.
If the PHA determines that third-party documents provided by the family are not
acceptable, the PHA will explain the reason to the family and request additional
documentation.
As verification of earned income, the PHA will require the family provide the two most
current consecutive pay stubs.
Written Third-Party Verification Form
When upfront verification is not available and the family is unable to provide written third-party
documents, the PHA must request a written third-party verification form. HUD’s position is that
this traditional third-party verification method presents administrative burdens and risks which
may be reduced through the use of family-provided third-party documents.
PHAs may mail, fax, or e-mail third-party written verification form requests to third-party
sources.
PHA Policy
The PHA will send third-party verification forms directly to the third party. Third-party
verification forms will be sent when third-party verification documents are unavailable or
are rejected by the PHA.
Oral Third-Party Verification [Notice PIH 2018-18]
For third-party oral verification, PHAs contact sources, identified by UIV techniques or by the
family, by telephone or in person.
Oral third-party verification is mandatory if neither form of written third-party verification is
available.
Third-party oral verification may be used when requests for written third-party verification forms
have not been returned within a reasonable time—e.g., 10 business days.
PHAs should document in the file the date and time of the telephone call or visit, the name of the
person contacted, the telephone number, as well as the information confirmed.
7-8
PHA Policy
In collecting third-party oral verification, PHA staff will record in the family’s file the
name and title of the person contacted, the date and time of the conversation (or attempt),
the telephone number used, and the facts provided.
When any source responds verbally to the initial written request for verification the PHA
will accept the verbal response as oral verification but will also request that the source
complete and return any verification forms that were provided.
When Third-Party Verification is Not Required [Notice PIH 2018-18]
Third-party verification may not be available in all situations. HUD has acknowledged that it
may not be cost-effective or reasonable to obtain third-party verification of income, assets, or
expenses when these items would have a minimal impact on the family’s total tenant payment.
PHA Policy
If the family cannot provide original documents, the PHA will pay the service charge
required to obtain third-party verification, unless it is not cost effective in which case a
self-certification will be acceptable as the only means of verification. The cost of
verification will not be passed on to the family.
The cost of postage and envelopes to obtain third-party verification of income, assets, and
expenses is not an unreasonable cost [VG, p. 18].
Primary Documents
Third-party verification is not required when legal documents are the primary source, such as a
birth certificate or other legal documentation of birth.
Imputed Assets
The PHA may accept a self-certification from the family as verification of assets disposed of for
less than fair market value [HCV GB, p. 5-28].
PHA Policy
The PHA will accept a self-certification from the family as verification of assets disposed
of for less than fair market value [HCV GB, p. 5-28].
Value of Assets and Asset Income [24 CFR 960.259]
For families with net assets totaling $5,000 or less, the PHA may accept the family’s declaration
of asset value and anticipated asset income. However, the PHA is required to obtain third-party
verification of all assets regardless of the amount during the intake process, whenever a family
member is added, and at least every three years thereafter.
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PHA Policy
For families with net assets totaling $5,000 or less, the PHA will accept the family’s self-
certification of the value of family assets and anticipated asset income when applicable.
The family’s declaration must show each asset and the amount of income expected from
that asset. All family members 18 years of age and older must sign the family’s
declaration.
The PHA will use third-party documentation for assets as part of the intake process,
whenever a family member is added to verify the individual’s assets, and every three
years thereafter.
7-I.E. Self-Certification
When HUD requires third-party verification, self-certification, or “tenant declaration,” is used as
a last resort when the PHA is unable to obtain third-party verification.
Self-certification, however, is an acceptable form of verification when:
A source of income is fully excluded
Net family assets total $5,000 or less and the PHA has adopted a policy to accept self-
certification at annual recertification, when applicable
The PHA has adopted a policy to implement streamlined annual recertifications for fixed
sources of income (See Chapter 9)
When the PHA was required to obtain third-party verification, but instead relies on a tenant
declaration for verification of income, assets, or expenses, the family’s file must be documented
to explain why third-party verification was not available.
PHA Policy
When information cannot be verified by a third party or by review of documents, family
members will be required to submit self-certifications attesting to the accuracy of the
information they have provided to the PHA.
The PHA may require a family to certify that a family member does not receive a
particular type of income or benefit.
The self-certification must be made in a format acceptable to the PHA and must be
signed by the family member whose information or status is being verified. All self-
certifications must be signed in the presence of a PHA representative or PHA notary
public. The PHA reserves the right to request the self-certification be received in different
formats due to COVID, or other situations at the PHA’s discretion.
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PART II: VERIFYING FAMILY INFORMATION
7-II.A. Verification of Legal Identity
PHA Policy
The PHA will require families to furnish verification of legal identity for each household
member.
Verification of Legal Identity for Adults
Verification of Legal Identity for
Children
Certificate of birth, naturalization papers
Church issued baptismal certificate
Current, valid driver's license or
Department of Motor Vehicle
identification card
U.S. military discharge (DD 214)
Current U.S. passport
Current employer identification card
Certificate of birth
Adoption papers
Custody agreement
Health and Human Services ID
Certified school records
If a document submitted by a family is illegible for any reason or otherwise questionable,
more than one of these documents may be required.
If none of these documents can be provided and at the PHA’s discretion, a third party
who knows the person may attest to the person’s identity. The certification must be
provided in a format acceptable to the PHA and be signed in the presence of a PHA
representative or PHA notary public. The PHA reserves the right to request the self-
certification be received in different formats due to COVID, or other situations at the
PHA’s discretion.
Legal identity will be verified for all applicants at the time of eligibility determination
and in cases where the PHA has reason to doubt the identity of a person representing him
or herself to be a tenant or a member of a tenant family.
7-II.B. Social Security Numbers [24 CFR 5.216 and Notice PIH 2018-24]
The family must provide documentation of a valid social security number (SSN) for each
member of the household, with the exception of individuals who do not contend eligible
immigration status. Exemptions also include, existing residents who were at least 62 years of age
as of January 31, 2010, and had not previously disclosed an SSN.
The PHA must accept the following documentation as acceptable evidence of the social security
number:
An original SSN card issued by the Social Security Administration (SSA)
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An original SSA-issued document, which contains the name and SSN of the
individual
An original document issued by a federal, state, or local government agency, which
contains the name and SSN of the individual, along with other identifying
information of the individual
Such other evidence of the SSN as HUD may prescribe in administrative instructions
The PHA may only reject documentation of an SSN provided by an applicant or resident if the
document is not an original document, if the original document has been altered, mutilated, or is
not legible, or if the document appears to be forged.
PHA Policy
The PHA will explain to the applicant or resident the reasons the document is not
acceptable and request that the individual obtain and submit acceptable documentation of
the SSN to the PHA within 90 days.
If an applicant family includes a child under 6 years of age who joined the household within the
6 months prior to the date of program admission, an otherwise eligible family may be admitted
and must provide documentation of the child’s SSN within 90 days. A 90-day extension will be
granted if the PHA determines that the resident’s failure to comply was due to unforeseen
circumstances and was outside of the resident’s control.
PHA Policy
The PHA will grant one additional 90-day extension if needed for reasons beyond the
applicant’s control, such as delayed processing of the SSN application by the SSA,
natural disaster, fire, death in the family, or other emergency.
When the resident requests to add a new household member who is at least 6 years of age, or
who is under the age of 6 and has an SSN, the resident must provide the complete and accurate
SSN assigned to each new member at the time of reexamination or recertification, in addition to
the documentation required to verify it. The PHA may not add the new household member until
such documentation is provided.
When a resident requests to add a new household member who is under the age of 6 and has not
been assigned an SSN, the resident must provide the SSN assigned to each new child and the
required documentation within 90 calendar days of the child being added to the household. A 90-
day extension will be granted if the PHA determines that the resident’s failure to comply was due
to unforeseen circumstances and was outside of the resident’s control. During the period the
PHA is awaiting documentation of the SSN, the child will be counted as part of the assisted
household.
PHA Policy
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The PHA will grant one additional 90-day extension if needed for reasons beyond the
resident’s control such as delayed processing of the SSN application by the SSA, natural
disaster, fire, death in the family, or other emergency.
Social security numbers must be verified only once during continuously-assisted occupancy.
PHA Policy
The PHA will verify each disclosed SSN by:
Obtaining documentation from applicants and residents that is acceptable as evidence of
social security numbers
Making a copy of the original documentation submitted, returning it to the individual,
and retaining a copy in the file folder
Once the individual’s verification status is classified as “verified,” the PHA should remove and
destroy copies of documentation accepted as evidence of social security numbers by no later than
the next reexamination.
PHA Policy
Once an individual’s status is classified as “verified” in HUD’s EIV system, the PHA
may remove and destroy copies of documentation accepted as evidence of social security
numbers by no later than the next reexamination.
7-II.C. Documentation of Age
A birth certificate or other official record of birth is the preferred form of age verification for all
family members. For elderly family members an original document that provides evidence of the
receipt of social security retirement benefits is acceptable.
PHA Policy
If an official record of birth or evidence of social security retirement benefits cannot be
provided, the PHA will require the family to submit other documents that support the
reported age of the family member (e.g., school records, driver's license if birth year is
recorded) and to provide a self-certification.
Age must be verified only once during continuously-assisted occupancy.
7-II.D. Family Relationships
Applicants and tenants are required to identify the relationship of each household member to the
head of household. Definitions of the primary household relationships are provided in the
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Eligibility chapter.
PHA Policy
Family relationships are verified only to the extent necessary to determine a family’s
eligibility and level of assistance. Certification by the head of household normally is
sufficient verification of family relationships.
Marriage
PHA Policy
Certification by the head of household is normally sufficient verification. If the PHA has
reasonable doubts about a marital relationship, the PHA will require the family to
document the marriage with a marriage certificate or other documentation to verify that
the couple is married.
In the case of a common law marriage, the couple must demonstrate that they hold
themselves to be married (e.g., by telling the community they are married, calling each
other husband and wife, using the same last name, filing joint income tax returns).
Separation or Divorce
PHA Policy
Certification by the head of household is normally sufficient verification. If the PHA has
reasonable doubts about a divorce or separation, the PHA will require the family to
provide documentation of the divorce, or separation with a certified copy of a divorce
decree, signed by a court officer; a copy of a court-ordered maintenance or other court
record; or other documentation that shows a couple is divorced or separated.
If no court document is available, documentation from a community-based agency will
be accepted.
Absence of Adult Member
PHA Policy
If an adult member who was formerly a member of the household is reported to be
permanently absent, the family must provide evidence to support that the person is no
longer a member of the family (e.g., documentation of another address at which the
person resides such as a lease or utility bill).
Foster Children and Foster Adults
PHA Policy
Third-party verification from the state or local government agency responsible for the
placement of the individual with the family is required.
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7-II.E. Verification of Student Status
PHA Policy
The PHA requires families to provide information about the student status of all students
who are 18 years of age or older. This information will be verified only if:
The family claims full-time student status for an adult other than the head,
spouse, or cohead, or
The family claims a child care deduction to enable a family member to
further his or her education.
7-II.F. Documentation of Disability
The PHA must verify the existence of a disability in order to allow certain income disallowances
and deductions from income. The PHA is not permitted to inquire about the nature or extent of a
person’s disability [24 CFR 100.202(c)]. 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 will not place this information in the tenant
file. Under no circumstances will the PHA request a resident’s medical record(s). For more
information on health care privacy laws, see the Department of Health and Human Services’
website at www.os.dhhs.gov.
The above cited regulation does not prohibit the following inquiries, provided these inquiries are
made of all applicants, whether or not they are persons with disabilities [VG, p. 24]:
Inquiry into an applicant’s ability to meet the requirements of ownership or tenancy
Inquiry to determine whether an applicant is qualified for a dwelling available only to
persons with disabilities or to persons with a particular type of disability
Inquiry to determine whether an applicant for a dwelling is qualified for a priority
available to persons with disabilities or to persons with a particular type of disability
Inquiring whether an applicant for a dwelling is a current illegal abuser or addict of a
controlled substance
Inquiring whether an applicant has been convicted of the illegal manufacture or
distribution of a controlled substance
Family Members Receiving SSA Disability Benefits
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Verification of receipt of SSA benefits or SSI based upon disability is sufficient for verification
of disability for the purpose of qualification for waiting list preferences or certain income
disallowances and deductions [VG, p. 23].
PHA Policy
For family members claiming disability who receive SSI or other disability payments
from the SSA, the PHA will attempt to obtain information about disability benefits
through the HUD Enterprise Income Verification (EIV) system when it is available, or
HUD’s Tenant Assessment Subsystem (TASS). If documentation from HUD’s EIV
System or TASS is not available, the PHA will request a current (dated within the last 60
days) SSA benefit verification letter from each family member claiming disability status.
If the family is unable to provide the document(s), the PHA will ask the family to request
a benefit verification letter by either calling SSA at 1-800-772-1213, or by requesting it
from www.ssa.gov. Once the applicant or resident receives the benefit verification letter
they will be required to provide it to the PHA.
Family Members Not Receiving SSA Disability Benefits
Receipt of veteran’s disability benefits, worker’s compensation, or other non-SSA benefits based
on the individual’s claimed disability are not sufficient verification that the individual meets
HUD’s definition of disability in 24 CFR 5.603, necessary to qualify for waiting list preferences
or certain income disallowances and deductions.
PHA Policy
For family members claiming disability who do not receive disability benefits from the
SSA, a knowledgeable professional must provide third-party verification that the family
member meets the HUD definition of disability. See the Eligibility chapter for the HUD
definition of disability. The knowledgeable professional will verify whether the family
member does or does not meet the HUD definition.
7-II.G. Citizenship or Eligible Immigration Status [24 CFR 5.508]
Overview
Housing assistance is not available to persons who are not citizens, nationals, or eligible
immigrants. Prorated assistance is provided for "mixed families" containing both eligible and
ineligible persons. See the Eligibility chapter for detailed discussion of eligibility requirements.
This chapter (7) discusses HUD and PHA verification requirements related to citizenship status.
The family must provide a certification that identifies each family member as a U.S. citizen, a
U.S. national, an eligible noncitizen or an ineligible noncitizen and submit the documents
discussed below for each family member. Once eligibility to receive assistance has been verified
for an individual it need not be collected or verified again during continuously-assisted
occupancy [24 CFR 5.508(g)(5)]
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U.S. Citizens and Nationals
HUD requires a declaration for each family member who claims to be a U.S. citizen or national.
The declaration must be signed personally by any family member 18 or older and by a guardian
for minors.
The PHA may request verification of the declaration by requiring presentation of a birth
certificate, United States passport or other appropriate documentation.
PHA Policy
Family members who claim U.S. citizenship or national status will not be required to
provide additional documentation unless the PHA receives information indicating that an
individual’s declaration may not be accurate.
Eligible Immigrants
Documents Required
All family members claiming eligible immigration status must declare their status in the same
manner as U.S. citizens and nationals.
The documentation required for eligible noncitizens varies depending upon factors such as the
date the person entered the U.S., the conditions under which eligible immigration status has been
granted, age, and the date on which the family began receiving HUD-funded assistance. Exhibit
7-1 at the end of this chapter summarizes documents family members must provide.
PHA Verification [HCV GB, pp 5-3 and 5-7]
For family members age 62 or older who claim to be eligible immigrants, proof of age is
required in the manner described in 7-II.C. of this ACOP. No further verification of eligible
immigration status is required.
For family members under the age of 62 who claim to be eligible immigrants, the PHA must
verify immigration status with the U.S. Citizenship and Immigration Services (USCIS).
The PHA will follow all USCIS protocols for verification of eligible immigration status.
7-II.H. Verification of Preference Status
The PHA must verify any preferences claimed by an applicant that determined his or her
placement on the waiting list.
PHA Policy
A. Displaced person(s): Individuals or families displaced by local government action
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or whose dwelling has been extensively damaged or destroyed as a result of a
disaster declared or otherwise formally recognized pursuant to Federal disaster
relief laws.
B. Living or Working in Chandler: Applicant must physically live, work, or hired to
work in City of Chandler.
C. Chronically Homeless: The following definition must be met. A chronically
homeless person as defined by the U.S. Department of HUD (24 CFR 570.3): (1)
A “homeless individual with a disability,” as defined in section 401(9) of the
McKinney–Vento Homeless Assistance Act (42 U.S.C. 11360(9)), who: (i) Lives
in a place not meant for human habitation, a safe haven, or in an emergency
shelter; and ii) Has been homeless and living as described in paragraph (1)(i) of
this definition continuously for at least 12 months or on at least 4 separate
occasions in the last 3 years, as long as the combined occasions equal at least 12
months and each break in homelessness separating the occasions included at least
7 consecutive nights of not living as described in paragraph (1)(i). Stays in
institutional care facilities for fewer than 90 days will not constitute as a break in
homelessness, but rather such stays are included in the 12–month total, as long as
the individual was living or residing in a place not meant for human habitation, a
safe haven, or an emergency shelter immediately before entering the institutional
care facility; (2) An individual who has been residing in an institutional care
facility, including a jail, substance abuse or mental health treatment facility,
hospital, or other similar facility, for fewer than 90 days and met all of the criteria
in paragraph (1) of this definition, before entering that facility; or (3) A family
with an adult head of household (or if there is no adult in the family, a minor head
of household) who meets all of the criteria in paragraph (1) or (2) of this
definition, including a family whose composition has fluctuated while the head of
household has been homeless.
D. Currently Employed/Employment Program: Families whose Head, Spouse, Head,
or Sole Member is employed. Applicants with an adult family member enrolled
in an employment training program or currently working (20) hours a week, or
attending school on a full-time basis. Working hours must be attributed to only
one family members. Family cannot combine work hours.
E. Elderly families where the head of household or spouse is at least 62+ years of
age. Verification of disability may include documentation proving age.
F. Disabled families and families with a disabled household member. Verification of
disability may include a letter from a medical provider or proof of receiving
Social Security benefits for disability.
PHA Policy
The PHA offers a preference for persons or households displaced, living or working in
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the City of Chandler, families currently employed or with an adult family member
attending an employment training program, elderly families, and disabled families and
families with a disabled household member.
The PHA may verify that the family qualifies for displaced person(s) preference based on
the verification received from the local government that displaced the family or
verification from Federal Emergency Management Agency (FEMA). Additionally, the
PHA may document any external risk factors that have occurred in the past 12 months
that affect the PHA (E.g. natural disasters and PHA’s Continuity of Operations planning,
local environmental risks, negative media attention, market conditions, local hostility
towards subsidized housing, etc).
The PHA may verify that the family qualifies for Living in the City of Chandler
preference based on the verification received from the landlord, driver’s license, post
office, or employer or other valid, third party source.
The PHA may verify that the family qualifies for Chronically Homeless based on 1)
referral letter from a non-profit organization in which the applicant is enrolled or
verifying their status as an unaccompanied homeless person with a disabling condition
and 2) printout from the Homeless Management Information System (HMIS).
The PHA may verify that the family qualifies for Working in the City of Chandler
preference based on the verification received from the employer or the Internal Revenue
Service (IRS) documents.
The PHA may verify that the family qualifies for the working family preference based on
the verification received from the employer. If the employment verification is not
received from the employer within a reasonable amount of time, the family’s submission
of the working member’s most recent paycheck stub indicating that the working member
works at least 20 hours per week is acceptable. The paycheck stub must have been issued
to the working member within the last thirty days.
The PHA may verify that the family qualifies for adult family member(s) enrolled in an
employment-training program preference based on the verification received from the
institution or agency that is providing the employment-training program.
The PHA may verify that the family qualifies for an adult family member(s) attending
school preference based on the verification received from the school that indicates that
the adult family member(s) is attending on a full-time basis.
Elderly/disabled status will be verified by birth certificate or other form of valid
identification showing birth date (e.g., Social Security documents, passport, etc.).
Disabled status will be verified by a Social Security Administration letter/document
showing the person is disabled, or by a letter received from a disability or medical
professional willing to sign under oath that the individual is disabled.
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PART III: VERIFYING INCOME AND ASSETS
Chapter 6, Part I of this ACOP describes in detail the types of income that are included and
excluded and how assets and income from assets are handled. Any assets and income reported by
the family must be verified. This part provides PHA policies that supplement the general
verification procedures specified in Part I of this chapter.
7-III.A. Earned Income
Tips
PHA Policy
Unless tip income is included in a family member’s W-2 by the employer, persons who
work in industries where tips are standard will be required to sign a certified estimate of
tips received for the prior year and tips anticipated to be received in the coming year.
Wages
PHA Policy
For wages other than tips, the family must provide originals of the two most current,
consecutive pay stubs.
7-III.B. Business and Self Employment Income
PHA Policy
Business owners and self-employed persons will be required to provide:
An audited financial statement for the previous fiscal year if an audit was
conducted. If an audit was not conducted, a statement of income and expenses
must be submitted and the business owner or self-employed person must certify
to its accuracy.
All schedules completed for filing federal and local taxes in the preceding year.
If accelerated depreciation was used on the tax return or financial statement, an
accountant's calculation of depreciation expense, computed using straight-line
depreciation rules.
The PHA will provide a format for any person who is unable to provide such a statement
to record income and expenses for the coming year. The business owner/self-employed
person will be required to submit the information requested and to certify to its accuracy
at all future reexaminations.
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At any reexamination the PHA may request documents that support submitted financial
statements such as manifests, appointment books, cash books, or bank statements.
If a family member has been self-employed less than three months, the PHA will accept
the family member's certified estimate of income and schedule an interim reexamination
in three months. If the family member has been self-employed for three to 12 months the
PHA will require the family to provide documentation of income and expenses for this
period and use that information to project income. The self-certification must be made in
a format acceptable to the PHA and must be signed by the family member whose
information or status is being verified. All self-certifications must be signed in the
presence of a notary public.
7-III.C. Periodic Payments and Payments In Lieu of Earnings
For policies governing streamlined income determinations for fixed sources of income, please
see Chapter 9.
Social Security/SSI Benefits
PHA Policy
To verify the SS/SSI benefits of applicants, the PHA will request a current (dated within
the last 60 days) SSA benefit verification letter from each family member who receives
social security benefits. If a family member is unable to provide the document, the PHA
will help the applicant request a benefit verification letter from SSA’s Web site at
www.socialsecurity.gov or ask the family to request one by calling SSA at 1-800-772-
1213. Once the family has received the original benefit verification letter, it will be
required to provide the letter to the PHA.
To verify the SS/SSI benefits of residents, the PHA will obtain information about social
security/SSI benefits through HUD’s EIV system, and confirm with the resident(s) that
the current listed benefit amount is correct. If the resident disputes the EIV-reported
benefited amount, or if benefit information is not available in HUD systems, the PHA
will request a current SSA benefit verification letter from each family member that
receives social security benefits.
If a family member is unable to provide the document, the PHA will help the applicant
request a benefit verification letter from SSA’s Web site at www.socialsecurity.gov or
ask the family to request one by calling SSA at 1-800-772-1213. Once the family has
received the benefit verification letter, it will be required to provide the letter to the PHA.
7-III.D. Alimony or Child Support
PHA Policy
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The method the PHA will use to verify alimony and child support payments differs
depending on whether the family declares that it receives regular payments.
If the family declares that it receives regular payments, verification will be
obtained in the following order of priority.
1. Copies of the receipts and/or payment stubs for the 60 days prior to PHA
request.
2. Third-party verification form from the state or local child support
enforcement agency.
3. Third-party verification form from the person paying the support
4. Copy of a separation or settlement agreement or a divorce decree stating
amount and type of support and payment schedules
5. Family's self-certification of amount received
If the family declares that it receives irregular or no payments, in addition to the
verification process listed above, the family must provide evidence that it has
taken all reasonable efforts to collect amounts due. This may include:
A statement from any agency responsible for enforcing payment that
shows the family has requested enforcement and is cooperating with all
enforcement efforts; or
If the family has made independent efforts at collection, a written
statement from the attorney or other collection entity that has assisted the
family in these efforts
Note: Families are not required to undertake independent enforcement action.
7-III.E. Assets and Income from Assets
Temporary Provision
PIH 2013-03 established temporary guidelines for public housing agencies in fulfilling
certain Public Housing and Housing Choice Voucher program requirements during this
period of decreased resources available to public housing authorities. The temporary
provisions established are available until March 31, 2014.
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In regards to assets, the temporary provision will allow households to self-certify as to
having assets of less than $5,000. The City of Chandler Housing and Redevelopment
Division will adopt this provision.
Assets Disposed of for Less than Fair Market Value
The family must certify whether any assets have been disposed of for less than fair market value
in the preceding two years. The PHA needs to verify only those certifications that warrant
documentation [HCV GB, p. 5-28].
PHA Policy
The PHA will verify the value of assets disposed of only if:
The PHA does not already have a reasonable estimation of its value from
previously collected information, or
The amount reported by the family in the certification appears obviously in error.
Example 1: An elderly resident reported a $10,000 certificate of deposit at the last annual
reexamination and the PHA verified this amount. Now the person reports that she has
given this $10,000 to her son. The PHA has a reasonable estimate of the value of the
asset; therefore, reverification of the value of the asset is not necessary.
Example 2: A family member has disposed of its 1/4 share of real property located in a
desirable area and has valued her share at approximately 5,000. Based upon market
conditions, this declaration does not seem realistic. Therefore, the PHA will verify the
value of this asset.
7-III.F. Net Income from Rental Property
PHA Policy
The family must provide:
A current executed lease for the property that shows the rental amount or
certification from the current tenant
A self-certification from the family members engaged in the rental of property
providing an estimate of expenses for the coming year and the most recent IRS
Form 1040 with Schedule E (Rental Income). If schedule E was not prepared, the
PHA will require the family members involved in the rental of property to provide
a self-certification of income and expenses for the previous year and may request
documentation to support the statement including: tax statements, insurance
invoices, bills for reasonable maintenance and utilities, and bank statements or
amortization schedules showing monthly interest expense.
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7-III.G. Retirement Accounts
PHA Policy
The PHA will accept written third-party documents supplied by the family as evidence of
the status of retirement accounts.
The type of original document that will be accepted depends upon the family member’s
retirement status.
Before retirement, the PHA will accept an original document from the entity
holding the account with a date that shows it is the most recently scheduled
statement for the account but in no case earlier than 6 months from the effective
date of the examination.
Upon retirement, the PHA will accept an original document from the entity
holding the account that reflects any distributions of the account balance, any
lump sums taken and any regular payments.
After retirement, the PHA will accept an original document from the entity
holding the account dated no earlier than 12 months before that reflects any
distributions of the account balance, any lump sums taken and any regular
payments.
7-III.H. Income from Excluded Sources
A detailed discussion of excluded income is provided in Chapter 6, Part I.
HUD guidance on verification of excluded income draws a distinction between income which is
fully excluded and income which is only partially excluded.
For fully excluded income, the PHA is not required to follow the verification hierarchy,
document why third-party verification is not available, or report the income on the 50058. Fully
excluded income is defined as income that is entirely excluded from the annual income
determination (for example, food stamps, earned income of a minor, or foster care funds) [Notice
PIH 2013-04].
PHAs may accept a family’s signed application or reexamination form as self-certification of
fully excluded income. They do not have to require additional documentation. However, if there
is any doubt that a source of income qualifies for full exclusion, PHAs have the option of
requiring additional verification.
For partially excluded income, the PHA is required to follow the verification hierarchy and all
applicable regulations, and to report the income on the 50058. Partially excluded income is
defined as income where only a certain portion of what is reported by the family qualifies to be
excluded and the remainder is included in annual income (for example, the income of an adult
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full-time student, or income excluded under the earned income disallowance).
PHA Policy
The PHA will accept the family’s self-certification as verification of fully excluded
income. The PHA may request additional documentation if necessary to document the
income source.
The PHA will verify the source and amount of partially excluded income as described in
Part 1 of this chapter.
7-III.I. Zero Annual Income Status
PHA Policy
The PHA will check UIV sources and/or request information from third-party sources to
verify that certain forms of income such as unemployment benefits, TANF, SS, SSI,
earned income, etc. are not being received by families claiming to have zero annual
income.
PART IV: VERIFYING MANDATORY DEDUCTIONS
7-IV.A. Dependent and Elderly/Disabled Household Deductions
The dependent and elderly/disabled family deductions require only that the PHA verify that the
family members identified as dependents or elderly/disabled persons meet the statutory
definitions. No further verifications are required.
Dependent Deduction
See Chapter 6 (6-II.B.) for a full discussion of this deduction. The PHA will verify that:
Any person under the age of 18 for whom the dependent deduction is claimed is not the head,
spouse or cohead of the family and is not a foster child
Any person age 18 or older for whom the dependent deduction is claimed is not a foster adult
or live-in aide, and is a person with a disability or a full time student
Elderly/Disabled Family Deduction
See the Eligibility chapter for a definition of elderly and disabled families and Chapter 6 (6-II.C.)
for a discussion of the deduction. The PHA will verify that the head, spouse, or cohead is 62
years of age or older or a person with disabilities.
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7-IV.B. Medical Expense Deduction
Policies related to medical expenses are found in 6-II.D. The amount of the deduction will be
verified following the standard verification procedures described in Part I.
Amount of Expense
PHA Policy
Medical expenses will be verified through:
Written third-party documents provided by the family, such as pharmacy printouts
or receipts.
The PHA will make a best effort to determine what expenses from the past are
likely to continue to occur in the future. The PHA will also accept evidence of
monthly payments or total payments that will be due for medical expenses during
the upcoming 12 months.
Written third-party verification forms, if the family is unable to provide
acceptable documentation.
If third-party or document review is not possible, written family certification as to
costs anticipated to be incurred during the upcoming 12 months
In addition, the PHA must verify that:
The household is eligible for the deduction.
The costs to be deducted are qualified medical expenses.
The expenses are not paid for or reimbursed by any other source.
Costs incurred in past years are counted only once.
Eligible Household
The medical expense deduction is permitted only for households in which the head, spouse, or
cohead is at least 62 or a person with disabilities. The PHA will verify that the family meets the
definition of an elderly or disabled family provided in the Eligibility chapter, and as described in
Chapter 7 (7-IV.A) of this plan.
Qualified Expenses
To be eligible for the medical expenses deduction, the costs must qualify as medical expenses.
See Chapter 6 (6-II.D.) for the PHA’s policy on what counts as a medical expense.
Unreimbursed Expenses
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To be eligible for the medical expenses deduction, the costs must not be reimbursed by another
source.
PHA Policy
The family will be required to certify that the medical expenses are not paid or
reimbursed to the family from any source. If expenses are verified through a third party,
the third party must certify that the expenses are not paid or reimbursed from any other
source.
Expenses Incurred in Past Years
PHA Policy
When anticipated costs are related to on-going payment of medical bills incurred in past
years, the PHA will verify:
The anticipated repayment schedule
The amounts paid in the past, and
Whether the amounts to be repaid have been deducted from the family’s annual
income in past years
7-IV.C. Disability Assistance Expenses
Policies related to disability assistance expenses are found in 6-II.E. The amount of the deduction
will be verified following the standard verification procedures described in Part I.
Amount of Expense
Attendant Care
PHA Policy
The PHA will accept written third-party documents provided by the family.
If the family-provided documents are not available, the PHA will provide a third-party
verification form directly to the care provider requesting the needed information.
Expenses for attendant care will be verified through:
Written third-party documents provided by the family, such as receipts or
cancelled checks; or
Third-party verification form signed by the provider, if family-provided
documents are not available.
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If third-party verification is not possible, written family certification as to costs
anticipated to be incurred for the upcoming 12 months
Auxiliary Apparatus
PHA Policy
Expenses for auxiliary apparatus will be verified through:
Written third-party documents provided by the family, such as billing statements
for purchase of auxiliary apparatus, or other evidence of monthly payments or
total payments that will be due for the apparatus during the upcoming 12 months.
Third-party verification form signed by the provider, if family-provided
documents are not available.
If third-party or document review is not possible, written family certification of
estimated apparatus costs for the upcoming 12 months
In addition, the PHA must verify that:
The family member for whom the expense is incurred is a person with disabilities (as
described in 7-II.F above).
The expense permits a family member, or members, to work (as described in 6-II.E.).
The expense is not reimbursed from another source (as described in 6-II.E.).
Family Member is a Person with Disabilities
To be eligible for the disability assistance expense deduction, the costs must be incurred for
attendant care or auxiliary apparatus expense associated with a person with disabilities. The PHA
will verify that the expense is incurred for a person with disabilities (See 7-II.F.).
Family Member(s) Permitted to Work
The PHA must verify that the expenses claimed actually enable a family member, or members,
(including the person with disabilities) to work.
PHA Policy
The PHA will request third-party verification from a rehabilitation agency or
knowledgeable medical professional indicating that the person with disabilities requires
attendant care or an auxiliary apparatus to be employed, or that the attendant care or
auxiliary apparatus enables another family member, or members, to work (See 6-II.E.).
This documentation may be provided by the family.
If third-party verification has been attempted and is either unavailable or proves
unsuccessful, the family must certify that the disability assistance expense frees a family
member, or members (possibly including the family member receiving the assistance), to
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work.
Unreimbursed Expenses
To be eligible for the disability expenses deduction, the costs must not be reimbursed by another
source.
PHA Policy
The family will be required to certify that attendant care or auxiliary apparatus expenses
are not paid by or reimbursed to the family from any source.
7-IV.D. Child Care Expenses
Policies related to child care expenses are found in Chapter 6 (6-II.F). The amount of the
deduction will be verified following the standard verification procedures described in Part I. In
addition, the PHA must verify that:
The child is eligible for care. (12 or younger).
The costs claimed are not reimbursed.
The costs enable a family member to work, actively seek work, or further their
education.
The costs are for an allowable type of child care.
The costs are reasonable.
Eligible Child
To be eligible for the child care deduction, the costs must be incurred for the care of a child
under the age of 13. The PHA will verify that the child being cared for (including foster children)
is under the age of 13 (See 7-II.C.).
Unreimbursed Expense
To be eligible for the child care deduction, the costs must not be reimbursed by another source.
PHA Policy
The family and the care provider will be required to certify that the child care expenses
are not paid by or reimbursed to the family from any source.
Pursuing an Eligible Activity
The PHA must verify that the family member(s) that the family has identified as being enabled to
seek work, pursue education, or be gainfully employed, are actually pursuing those activities.
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PHA Policy
Information to be Gathered
The PHA will verify information about how the schedule for the claimed activity relates
to the hours of care provided, the time required for transportation, the time required for
study (for students), the relationship of the family member(s) to the child, and any special
needs of the child that might help determine which family member is enabled to pursue
an eligible activity.
Seeking Work
Whenever possible the PHA will use documentation from a state or local agency that
monitors work-related requirements (e.g., welfare or unemployment). In such cases the
PHA will request family-provided verification from the agency of the member’s job
seeking efforts to date and require the family to submit to the PHA any reports provided
to the other agency.
In the event third-party verification is not available, the PHA will provide the family with
a form on which the family member must record job search efforts. The PHA will review
this information at each subsequent reexamination for which this deduction is claimed.
Furthering Education
The PHA will request third-party documentation to verify that the person permitted to
further his or her education by the child care is enrolled and provide information about
the timing of classes for which the person is registered. The documentation may be
provided by the family.
Gainful Employment
The PHA will seek third-party verification of the work schedule of the person who is
permitted to work by the child care. In cases in which two or more family members could
be permitted to work, the work schedules for all relevant family members may be
verified. The documentation may be provided by the family.
Allowable Type of Child Care
The type of care to be provided is determined by the family, but must fall within certain
guidelines, as discussed in Chapter 6.
PHA Policy
The PHA will verify that the type of child care selected by the family is allowable, as
described in Chapter 6 (6-II.F).
The PHA will verify that the fees paid to the child care provider cover only child care
costs (e.g., no housekeeping services or personal services) and are paid only for the care
of an eligible child (e.g., prorate costs if some of the care is provided for ineligible family
members).
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The PHA will verify that the child care provider is not an assisted family member.
Verification will be made through the head of household’s declaration of family members
who are expected to reside in the unit.
Reasonableness of Expenses
Only reasonable child care costs can be deducted.
PHA Policy
The actual costs the family incurs will be compared with the PHA’s established standards
of reasonableness for the type of care in the locality to ensure that the costs are
reasonable.
If the family presents a justification for costs that exceed typical costs in the area, the
PHA will request additional documentation, as required, to support a determination that
the higher cost is appropriate.
Exhibit 7-1: Summary of Documentation Requirements for Noncitizens
[HCV GB, pp. 5-9 and 5-10]
All noncitizens claiming eligible status must sign a declaration of eligible immigrant status
on a form acceptable to the PHA.
Except for persons 62 or older, all noncitizens must sign a verification consent form
Additional documents are required based upon the person's status.
Elderly Noncitizens
A person 62 years of age or older who claims eligible immigration status also must provide
proof of age such as birth certificate, passport, or documents showing receipt of SS old-age
benefits.
All other Noncitizens
Noncitizens that claim eligible immigration status also must present the applicable USCIS
document. Acceptable USCIS documents are listed below.
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Form I-551 Alien Registration Receipt
Card (for permanent resident aliens)
Form I-94 Arrival-Departure Record
annotated with one of the following:
“Admitted as a Refugee Pursuant to
Section 207”
“Section 208” or “Asylum”
“Section 243(h)” or “Deportation
stayed by Attorney General”
“Paroled Pursuant to Section 221 (d)(5)
of the USCIS”
Form I-94 Arrival-Departure Record with
no annotation accompanied by:
A final court decision granting asylum
(but only if no appeal is taken);
A letter from a USCIS asylum officer
granting asylum (if application is filed
on or after 10/1/90) or from a USCIS
district director granting asylum
(application filed before 10/1/90);
A court decision granting withholding
of deportation; or
A letter from an asylum officer granting
withholding or deportation (if
application filed on or after 10/1/90).
Form I-688 Temporary Resident Card
annotated “Section 245A” or Section 210”.
Form I-688B Employment Authorization Card
annotated “Provision of Law 274a. 12(11)” or
“Provision of Law 274a.12”.
A receipt issued by the USCIS indicating that an application for issuance of a replacement
document in one of the above listed categories has been made and the applicant’s entitlement
to the document has been verified; or
Other acceptable evidence. If other documents are determined by the USCIS to constitute
acceptable evidence of eligible immigration status, they will be announced by notice
published in the Federal Register
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CHAPTER 8
LEASING AND INSPECTIONS
[24 CFR 5, SUBPART G; 24 CFR 966, SUBPART A]
INTRODUCTION
Public housing leases are the contractual basis of the legal relationship between the PHA and the
tenant. All units must be occupied pursuant to a dwelling lease agreement that complies with
HUD regulations.
HUD regulations require the PHA to inspect each dwelling unit prior to move-in, at move-out,
and annually during the period of occupancy. In addition, the PHA may conduct additional
inspections in accordance with PHA policy.
This chapter is divided into two parts as follows:
Part I: Leasing. This part describes pre-leasing activities and the PHA’s policies
pertaining to lease execution, lease modification, and payments under the lease.
Part II: Inspections. This part describes the PHA’s policies for inspecting dwelling units.
PART I: LEASING
8-I.A. Overview
An eligible family may occupy a public housing dwelling unit under the terms of a lease. The
lease must meet all regulatory requirements, and must also comply with applicable state and
local laws and codes.
The term of the lease must be for a period of 12 months. The lease must be renewed
automatically for another 12-month term, except that the PHA may not renew the lease if the
family has violated the community service requirement [24 CFR 966.4(a)(2)].
PHAs must adopt smoke-free policies, which must be implemented no later than July 30, 2018.
A smoke-free policy is attached as Exhibit 8-1.
PHAs must include in the ACOP residential minimum heating standards policies [Notice PIH
2018-19]. The policy is included in Part I of this chapter.
Part I of this chapter contains regulatory information on leasing, where applicable, as well as the
PHA’s leasing policies.
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8-I.B. Lease Orientation
PHA Policy
After unit acceptance but prior to occupancy, a PHA representative will conduct a lease
orientation with the family. The head of household or spouse is required to attend.
Orientation Agenda
PHA Policy
When families attend the lease orientation, they will be provided with:
A copy of the lease
A copy of the PHA’s grievance procedure
A copy of the house rules
A copy of the Smoke Free Policy
A copy of the pamphlet Protect Your Family From Lead in Your Home
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
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
2017-12
A copy of the form HUD-5380, VAWA Notice of Occupancy Rights
A copy of form HUD-5382, Certification of Domestic Violence, Dating Violence,
Sexual Assault, or Stalking
A copy of the PHA’s smoke-free policy
A notice that includes the procedures for requesting relief and the PHA’s criteria for
granting requests for relief for excess utility surcharges.
Topics to be discussed and explained to all families include:
Applicable deposits and all other charges
Review and explanation of lease provisions, including House Rules and.
Unit maintenance requests and work orders
The PHA’s interim reporting requirements
Review and explanation of occupancy forms
Community service requirements
Family choice of rent
VAWA protections
Smoke-free policies
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8-I.C. Execution of Lease
The lease must be executed by the tenant and the PHA, except for automatic renewals of a lease
[24 CFR 966.4(a)(3)].
A lease is executed at the time of admission for all new residents. A new lease is also executed at
the time of transfer from one PHA unit to another.
The lease must state the composition of the household as approved by the PHA (family members
and any PHA-approved live-in aide) [24 CFR 966.4(a)(1)(v)]. See Section 8-I.D. for policies
regarding changes in family composition during the lease term.
PHA Policy
The head of household, spouse or cohead, and all other adult members of the household
will be required to sign the public housing lease prior to admission. An appointment will
be scheduled for the parties to execute the lease. The head of household will be provided
a copy of the executed lease and the PHA will retain a copy in the resident’s file.
Files for households that include a live-in aide will contain file documentation signed by
the live-in aide, that the live-in aide is not a party to the lease and is not entitled to PHA
assistance. The live-in aide is only approved to live in the unit while serving as the care
attendant for the family member who requires the care.
8-I.D. Modifications to the Lease
The lease may be modified at any time by written agreement of the tenant and the PHA [24 CFR
966.4(a)(3)].
Modifications to the Lease Form
The PHA may modify its lease from time to time. However, the PHA must give residents at least
thirty (30) days advance notice of the proposed changes and an opportunity to comment on the
changes. The PHA must also consider any comments before formally adopting the new lease [24
CFR 966.3].
After proposed changes have been incorporated into the lease and approved by the Board, each
family must be notified at least 60 days in advance of the effective date of the new lease or lease
revision. A resident's refusal to accept permissible and reasonable lease modifications that are
made in accordance with HUD requirements, or are required by HUD, is grounds for termination
of tenancy [24 CFR 966.4(l)(2)(iii)(E)].
PHA Policy
The family will have 30 days to accept the revised lease. If the family does not accept the
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offer of the revised lease within that 30 day timeframe, the family’s tenancy will be
terminated for other good cause in accordance with the policies in Chapter 13.
Schedules of special charges and rules and regulations are subject to modification or revision.
Because these schedules are incorporated into the lease by reference, residents and resident
organizations must be provided at least thirty days written notice of the reason(s) for any
proposed modifications or revisions, and must be given an opportunity to present written
comments. The notice must be delivered directly or mailed to each tenant; or posted in at least
three conspicuous places within each structure or building in which the affected dwelling units
are located, as well as in a conspicuous place at the project office, if any, or if none, a similar
central business location within the project. Comments must be taken into consideration before
any proposed modifications or revisions become effective [24 CFR 966.5].
After the proposed revisions become effective they must be publicly posted in a conspicuous
manner in the project office and must be furnished to applicants and tenants on request [24 CFR
966.5].
PHA Policy
When the PHA proposes to modify or revise schedules of special charges or rules and
regulations, the PHA will post a copy of the notice in the central office, post it at the
family sites and will mail a copy of the notice to each resident family. Documentation of
proper notice will be included in each resident file.
Other Modifications
PHA Policy
The lease will be amended to reflect all changes in family composition.
If, for any reason, any member of the household ceases to reside in the unit, the lease will
be amended by drawing a line through the person's name. The head of household and
PHA will be required to initial and date the change.
If a new household member is approved by the PHA to reside in the unit, the person’s
name and birth date will be added to the lease. The head of household and PHA will be
required to initial and date the change. If the new member of the household is an adult,
s/he will also be required to sign and date the lease.
Policies governing when and how changes in family composition must be reported are
contained in Chapter 9, Reexaminations.
8-I.E. Security Deposits [24 CFR 966.4(b)(5)]
At the option of the PHA, the lease may require security deposits. The amount of the security
deposit cannot exceed one month’s rent or a reasonable fixed amount as determined by the PHA.
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The PHA may allow for gradual accumulation of the security deposit by the family, or the family
may be required to pay the security deposit in full prior to occupancy. Subject to applicable laws,
interest earned on security deposits may be refunded to the tenant after vacating the unit, or used
for tenant services or activities.
PHA Policy
Residents must pay a security deposit to the PHA at the time of admission. The amount
of the security deposit is as follows:
Public Housing Development
Bedroom Size
Security Deposit Amount
1
$350
2
$400
3
$450
4
$500
5
$550
Public Housing Scattered Sites
Bedroom Size
Security Deposit Amount
2
$525
3
$500
4
$600
5
$675
The security deposit must be paid in full prior to occupancy.
The PHA will hold the security deposit for the period the family occupies the unit. The
PHA will not use the security deposit for rent or other charges while the resident is living
in the unit.
Within 30 days of move-out, the PHA will refund to the resident the amount of the
security deposit , less any amount needed to pay the cost of unpaid rent, damages listed
on the move-out inspection report that exceed normal wear and tear, and other charges
due under the lease.
The PHA will provide the resident with a written list of any charges against the security
deposit. If the resident disagrees with the amount charged, the PHA will provide a
meeting to discuss the charges.
If the resident transfers to another unit, the PHA will transfer the security deposit to the
new unit. The tenant will be billed for any maintenance or other charges due for the “old”
unit.
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8-I.F. Payments Under The Lease
Rent Payments [24 CFR 966.4(b)(1)]
Families must pay the amount of the monthly tenant rent determined by the PHA in accordance
with HUD regulations and other requirements. The amount of the tenant rent is subject to change
in accordance with HUD requirements.
The lease must specify the initial amount of the tenant rent at the beginning of the initial lease
term, and the PHA must give written notice stating any change in the amount of tenant rent and
when the change is effective.
PHA Policy
The tenant rent is due and payable at the PHA-designated location on the first of every
month. If the first falls on a weekend or holiday, the rent is due and payable on the first
business day thereafter.
If a family’s tenant rent changes, the PHA will notify the family of the new amount and
the effective date by sending a written notice which will become an attachment to the
lease.
Late Fees and Nonpayment
At the option of the PHA, the lease may provide for payment of penalties when the family is late
in paying tenant rent [24 CFR 966.4(b)(3)].
The lease must provide that late payment fees are not due and collectible until two weeks after
the PHA gives written notice of the charges. The written notice is considered an adverse action,
and must meet the requirements governing a notice of adverse action [24 CFR 966.4(b)(4)].
The notice of proposed adverse action must identify the specific grounds for the action and
inform the family of their right for a hearing under the PHA grievance procedures. The PHA
must not take the proposed action until the time for the tenant to request a grievance hearing has
expired, or (if a hearing was requested within the required timeframe,) the grievance process has
been completed [24 CFR 966.4(e)(8)].
PHA Policy
If the family fails to pay their rent by the fifth day of the month, and the PHA has not
agreed to accept payment at a later date, a 14 day Notice to Vacate will be issued to the
resident for failure to pay rent, demanding payment in full or the surrender of the
premises.
If the family has received six (6) 14-day Notice to Vacate termination letters in a lease
period, even if they pay all amount specified in the notice, the lease violation will not be
cured and the family must vacate the premise.
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In addition, if the resident fails to make payment by the end of office hours on the fifth
day of the month, a late fee of $25.00 will be charged. Notices of late fees will be in
accordance with requirements regarding notices of adverse action. If the family requests a
grievance hearing within the required timeframe, the PHA may not take action for
nonpayment of the fee until the conclusion of the grievance process. If the resident can
document financial hardship, the late fee may be waived on a case-by-case basis.
If the PHA agrees to accept payment at a later date, a ‘Tenant Payment Agreement’ will
signed by the resident, housing representative and the housing administrative supervisor.
The payment amount will include late fees and will need to be collected in the month that
the rent is due. Tenant payment agreements are entered into any time before the last two
weeks of the month.
When a check is returned for insufficient funds or is written on a closed account, the rent
will be considered unpaid and a returned check fee of $25.00 will be charged to the
family.
Any rent payment received will be applied to the oldest rent charges in the resident's
account with the exception of debts currently under a payment agreement.
Excess Utility Charges
If the PHA charges the tenant for consumption of excess utilities, the lease must state the basis
for the determination of such charges. The imposition of charges for consumption of excess
utilities is permissible only if the charges are determined by an individual check meter servicing
the leased unit or result from the use of major tenant-supplied appliances [24 CFR 966.4(b)(2)].
Schedules of special charges for utilities that are required to be incorporated in the lease by
reference must be publicly posted in a conspicuous manner in the development office and must
be furnished to applicants and tenants on request [24 CFR 966.5].
The lease must provide that charges for excess utility consumption are not due and collectible
until two weeks after the PHA gives written notice of the charges. The written notice is
considered an adverse action, and must meet the requirements governing a notice of adverse
action [24 CFR 966.4(b)(4)].
The notice of proposed adverse action must identify the specific grounds for the action and
inform the family of their right to a hearing under the PHA grievance procedures. The PHA must
not take the proposed action until the time for the tenant to request a grievance hearing has
expired, or (if a hearing was requested within the required timeframe,) the grievance process has
been completed [24 CFR 966.4(e)(8)].
PHA Policy
When applicable, families will be charged for excess utility usage according to the PHA’s
current posted scheduled. Notices of excess utility charges will be mailed monthly and
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will be in accordance with requirements regarding notices of adverse actions. Charges are
due and payable 14 calendar days after billing. If the family requests a grievance hearing
within the required timeframe, the PHA may not take action for nonpayment of the
charges until the conclusion of the grievance process.
Nonpayment of excess utility charges is a violation of the lease and is grounds for
eviction.
The PHA may grant requests for relief from surcharges from excess utility consumption
of PHA-furnished utilities as a reasonable accommodation where the PHA deems and
exception is appropriate to meet the needs of the elderly, ill, or disabled residents. In
determining whether to grant this request, the PHA will consider special factors affecting
the utility usage that are not within the control of the resident, such as the need for
medical equipment. Residents may request relief in accordance with Section 2-II.C. of
this ACOP. The PHA will process such requests in accordance with Section 2-II.E. of
this ACOP.
Notice of the availability of procedures for requesting relief (including the PHA
representative with whom initial contact may be made by the resident) and the PHA’s
criteria for granting requests, will be included in each notice to residents of changes in
utility allowances or surcharges as well as to new residents as part of the lease
orientation.
Maintenance and Damage Charges
If the PHA charges the tenant for maintenance and repair beyond normal wear and tear, the lease
must state the basis for the determination of such charges [24 CFR 966.4(b)(2)].
Schedules of special charges for services and repairs which are required to be incorporated in the
lease by reference must be publicly posted in a conspicuous manner in the development office
and must be furnished to applicants and tenants on request [24 CFR 966.5].
The lease must provide that charges for maintenance and repair beyond normal wear and tear are
not due and collectible until two weeks after the PHA gives written notice of the charges. The
written notice is considered an adverse action, and must meet the requirements governing a
notice of adverse action [24 CFR 966.4(b)(4)].
The notice of proposed adverse action must identify the specific grounds for the action and
inform the family of their right for a hearing under the PHA grievance procedures. The PHA
must not take the proposed action until the time for the tenant to request a grievance hearing has
expired, or (if a hearing was requested within the required timeframe,) the grievance process has
been completed [24 CFR 966.4(e)(8)].
PHA Policy
When applicable, families will be charged for maintenance and/or damages according to
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the PHA’s current schedule. Work that is not covered in the schedule will be charged
based on the actual cost of labor and materials to make needed repairs (including
overtime, if applicable).
Notices of maintenance and damage charges will be mailed monthly and will be in
accordance with requirements regarding notices of adverse actions. Charges are due and
payable 14 calendar days after billing. If the family requests a grievance hearing within
the required timeframe, the PHA may not take action for nonpayment of the charges until
the conclusion of the grievance process.
Nonpayment of maintenance and damage charges is a violation of the lease and is
grounds for eviction.
8-I.G. Minimum Heating Standards (PIH Notice 2018-19)
PHAs in states, territories, or localities with existing minimum heating standards must use their
respective local standards for public housing dwelling units. For PHAs where state or local
minimum heating standards do not exist, PHAs must use the HUD-prescribed heating standards
specified in Notice PIH 2018-19.
PHA Policy
The PHA is located in an area where state or local residential heating standards exist and
will utilize those standards for public housing units. Therefore, the PHA’s minimum
heating standards are as follows:
Minimum temperature:
If the PHA controls the temperature, the minimum temperature in each
unit must be at least [insert degrees Fahrenheit]. If the resident controls the
temperature, the heating equipment must have the capability of heating to
at least [insert degrees Fahrenheit].
Minimum temperature capability:
[If PHAs are allowed flexibility maintaining the indoor temperature when
the outdoor temperature approaches the design day temperature, insert
criteria for when flexibility applies and the minimum temperature
threshold that the indoor temperature should never fall below. Note, the
design day temperature refers to the lowest expected outdoor temperature
a heating system was designed to accommodate.]
Measurement:
Temperature measurements must be taken according to the following
methodology: [insert methodology for taking temperature measurements].
8-10
PART II: INSPECTIONS
8-II.A. Overview
HUD regulations require the PHA to inspect each dwelling unit prior to move-in, at move-out,
and annually during occupancy. In addition, the PHA may require additional inspections, in
accordance with PHA Policy. This part contains the PHA’s policies governing inspections,
notification of unit entry, and inspection results.
8-II.B. Types of Inspections
Move-In Inspections [24 CFR 966.4(i)]
The lease must require the PHA and the family to inspect the dwelling unit prior to occupancy in
order to determine the condition of the unit and equipment in the unit. A copy of the initial
inspection, signed by the PHA and the tenant, must be provided to the tenant and retained in the
resident file.
PHA Policy
Any adult family member may attend the initial inspection and sign the inspection form
for the head of household.
Move-Out Inspections [24 CFR 966.4(i)]
The PHA must inspect the unit at the time the resident vacates the unit and must allow the
resident to participate in the inspection if he or she wishes, unless the tenant vacates without
notice to the PHA. The PHA must provide to the tenant a statement of any charges to be made
for maintenance and damage beyond normal wear and tear.
The difference between the condition of the unit at move-in and move-out establishes the basis
for any charges against the security deposit so long as the work needed exceeds that for normal
wear and tear.
PHA Policy
When applicable, the PHA will provide the tenant with a statement of charges to be made
for maintenance and damage beyond normal wear and tear, within 10 business days of
conducting the move-out inspection.
Annual Inspections [24 CFR 5.705]
Section 6(f)(3) of the United States Housing Act of 1937 requires that PHAs inspect each public
housing project annually to ensure that the project’s units are maintained in decent, safe, and
sanitary condition. The PHA shall continue using the Uniform Physical Condition Standards
8-11
(UPCS) in 24 CFR 5, Subpart G, Physical Condition Standards and Inspection Requirements, to
conduct annual project inspections. These standards address the inspection of the site area,
building systems and components, and dwelling units.
PHA Policy
The PHA will inspect all occupied units annually using HUD’s Uniform Physical
Condition Standards (UPCS).
Quality Control Inspections
The purpose of quality control inspections is to assure that all defects were identified in the
original inspection, and that repairs were completed at an acceptable level of craftsmanship and
within an acceptable time frame.
PHA Policy
The Maintenance Supervisor will conduct quality control inspections in accordance with
the PHA’s maintenance plan.
Special Inspections
PHA Policy
PHA staff may conduct a special inspection for any of the following reasons:
Housekeeping
Unit condition
Suspected lease violation
Preventive maintenance
Routine maintenance
There is reasonable cause to believe an emergency exists
Other Inspections
PHA Policy
Building exteriors, grounds, common areas and systems will be inspected according to
the PHA’s maintenance plan.
8-II.C. Notice and Scheduling of Inspections
Notice of Entry
Non-emergency Entries [24 CFR 966.4(j)(1)]
The PHA may enter the unit, with reasonable advance notification to perform routine inspections
8-12
and maintenance, make improvements and repairs, or to show the unit for re-leasing. A written
statement specifying the purpose of the PHA entry delivered to the dwelling unit at least two
days before such entry is considered reasonable advance notification.
PHA Policy
A “routine inspection” includes, without limitation, an annual inspection of the dwelling
unit, monthly pest control treatment and any required follow up inspection necessary to
assure compliance with the Housekeeping Standards and House Rules.
The PHA will notify the resident in writing at least two (2) days prior to any non-
emergency inspection.
Entry for repairs requested by the family will not require prior notice. Resident-requested
repairs presume permission for the PHA to enter the unit.
Emergency Entries [24 CFR 966.4(j)(2)]
The PHA may enter the dwelling unit at any time without advance notice when there is
reasonable cause to believe that an emergency exists. If no adult household member is present at
the time of an emergency entry, the PHA must leave a written statement showing the date, time
and purpose of the entry prior to leaving the dwelling unit.
Scheduling of Inspections
PHA Policy
Inspections will be conducted during business hours between 7:00 a.m. and 5:00 p.m. If a
family needs to reschedule an inspection, they must notify the PHA at least 24 hours prior
to the scheduled inspection. The PHA will reschedule the inspection no more than once
unless the resident has a verifiable good cause to delay the inspection. The PHA may
request verification of such cause.
Attendance at Inspections
Residents are required to be present for move-in inspections [24 CFR 966.4(i)]. There is no such
requirement for other types of inspections.
PHA Policy
Except at move-in inspections, the resident is not required to be present for the
inspection. The resident may attend the inspection if he or she wishes. If no one is at
home, the inspector will enter the unit, conduct the inspection and leave a copy of the
inspection report in the unit.
8-II.D. Inspection Results
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The PHA is obligated to maintain dwelling units and the project in decent, safe and sanitary
condition and to make necessary repairs to dwelling units [24 CFR 966.4(e)].
Emergency Repairs [24 CFR 966.4(h)]
If the unit is damaged to the extent that conditions are created which are hazardous to the life,
health, or safety of the occupants, the tenant must immediately notify the PHA of the damage,
and the PHA must make repairs within a reasonable time frame.
If the damage was caused by a household member or guest, the PHA must charge the family for
the reasonable cost of repairs. The PHA may also take lease enforcement action against the
family.
If the PHA cannot make repairs quickly, the PHA must offer the family standard alternative
accommodations. If the PHA can neither repair the defect within a reasonable time frame nor
offer alternative housing, rent shall be abated in proportion to the seriousness of the damage and
loss in value as a dwelling. Rent shall not be abated if the damage was caused by a household
member or guest, or if the resident rejects the alternative accommodations.
PHA Policy
When conditions in the unit are hazardous to life, health, or safety, the PHA will make
repairs or otherwise abate the situation within 24 hours.
Defects hazardous to life, health or safety include, but are not limited to, the following:
Any condition that jeopardizes the security of the unit, major plumbing leaks or
flooding, waterlogged ceiling or floor in imminent danger of falling
Natural or LP gas or fuel oil leaks
Any electrical problem or condition that could result in shock or fire
Absence of a working heating system when outside temperature is below 60
degrees Fahrenheit
Absence of a working air conditioner when the outside temperature is 110 degrees
or above. Utilities not in service, including no running hot water
Conditions that present the imminent possibility of injury
Obstacles that prevent safe entrance or exit from the unit
Absence of a functioning toilet in the unit
Inoperable smoke detectors
8-14
Non-emergency Repairs
PHA Policy
The PHA will correct non-life threatening health and safety defects within 15 business
days of the inspection date. If the PHA is unable to make repairs within that period due to
circumstances beyond the PHA’s control (e.g. required parts or services are not available,
weather conditions, etc.) the PHA will notify the family of an estimated date of
completion.
The family must allow the PHA access to the unit to make repairs.
Resident-Caused Damages
PHA Policy
Damages to the unit beyond wear and tear will be billed to the tenant in accordance with
the policies in 8-I.F., Maintenance and Damage Charges.
Repeated or excessive damages to the unit beyond normal wear and tear will be
considered a serious or repeated violation of the lease.
Utilities that are the resident’s responsibility and are found not in service will be cause
for a 5 five-day lease termination.
Notices of lease termination will also be issued to residents who purposely disengage the
unit’s smoke detector.
Housekeeping
PHA Policy
If a PHA determination is made on objective facts supported by written statements
received by an eye witness, that a resident whose housekeeping habits pose a non-
emergency health or safety risk, encourage insect or rodent infestation, or cause damage
to the unit , the PHA may serve a written notice of lease violation(s) to the resident.
The resident will have five (5) business days from the effective date of the notice to correct
the violation(s) or make a written request for a meeting to discuss the violation(s).
The resident’s failure to correct the violation(s), request a meeting, or appear at the
requested meeting will result in the resident being served a written lease termination.
Exhibit 8-1: Smoke-Free Policy
Smoke-Free Policy
8-15
The City of Chandler Housing and Redevelopment (COCHRD) and the United States
Department of Housing and Urban Development (HUD) have become increasingly
aware of the ill effects caused by secondhand smoke. These ill effects include, but are not
limited to (1) health concerns raised by other residents who experience secondhand
smoke filtering into adjoining apartments, with resulting increased potential for lung
related illnesses and disorders; (2) additional costs for maintenance such as cleaning,
painting, replacing blinds and cleaning air conditioning coils; (3) safety concerns resulting
from smokers disconnecting the smoke alarms in their units.
In response to these concerns and in order to provide a safe living environment for all
Residents. HUD, on February 3, 2017, issued a federal rule requiring all Public Housing
Authorities implement a smoke-free policy. The COCHRD adopted the following Policy
effective December 31, 2017:
Smoking is not permitted anywhere on public housing grounds, to include living units, interior
and exterior common areas, outdoor areas, and in or near public housing and administrative
office buildings.
The term “prohibited tobacco products” is defined as items that involve the ignition and burning
of tobacco leaves, such as: cigarettes, cigars, pipes and water pipes (also known as hookahs).
The term “electronic delivery device” means any product that can be used to deliver aerosolized
or vaporized nicotine, lobelia, or any other substance to the person inhaling from the device,
including, but not limited to, an e-cigarette, e-cigar, e-pipe, or vape pen.
The term “interior common areas” include but are not limited to: hallways, rental and
administrative offices, community rooms/centers, laundry rooms/centers and similar structures.
“Smoke” or “Smoking” means inhaling or exhaling smoke, aerosol, or vapor from any lighted or
heated cigar, cigarette, pipe, electronic delivery device, or any other natural or synthetic tobacco
or plant product. “Smoke” or “Smoking” also includes burning or possessing any lighted or
heated cigar, cigarette, pipe, electronic delivery device, or any other natural or synthetic tobacco
or plant product intended for inhalation.
The premises to be occupied by Resident and members of Resident’s household have been
designated as a smoke-free living environment. Resident, members of Resident’s household, and
guests shall not smoke anywhere in the unit leased by Resident, interior common areas
utilized by Residents and staff, and in or near the public housing buildings.
Residents are responsible for notifying their guests and invitees that the COCHRD has designed
the property as a smoke-free property. Residents are responsible for ensuring that their guests
and any and all visitors under their control fully comply with this policy.
8-16
Non-Smoking areas within the property include the following areas:
Smoking is not permitted anywhere on public housing grounds, to include living units, interior
and exterior, common areas, outdoor areas, and in or near public housing, playgrounds and
administrative office buildings.
Resident should promptly provide the COCHRD with a written statement of any incident where
tobacco smoke is migrating into Resident’s unit from sources outside Resident’s unit.
The COCHRD has posted No Smoking signs at entrances and exits, common areas, hallways and
in conspicuous places at Public Housing family sites.
The COCHRD will take reasonable steps to enforce this Smoke-Free Policy and to make
the unit smoke-free. The COCHRD is not required to take steps in response to smoking
unless the COCHRD knows of a violation of this Smoke-Free Policy or has been provided with
written notice of any violation of this Policy.
A material breach of this Policy shall be a material breach of the resident’s lease agreement
and the Rules and Regulations and grounds for termination of tenancy through a graduated
enforcement framework will include:.
a lease amendment identifying the actions that constitutes a policy violation and
encourage residents to promptly provide a written statement of any incident where
tobacco smoke is migrating into the resident’s unit from sources outside the resident’s
unit.
if a determination is made on objective facts supported by written statements, that a
tenant is in violation, the COCHRD may serve a written notice of lease violation(s) to
the tenant to meet with the housing specialist to discuss the violation(s).
Documentation of noncompliance, if there are repeated violations (more than two) or
persistent non-responsiveness, will constitute a violation of the lease.
eviction proceedings as a last resort.
As referenced in Section X of Resident’s lease and the Smoke-Free Policy Attachment
restrictions.
1. Resident acknowledges that the COCHRD’s adoption of a Smoke-Free living environment
and its efforts to designate the unit as Smoke-Free do not make the COCHRD
guarantor of Resident’s health or of the smoke-free condition of Resident unit or the
common areas. Resident acknowledges that the COCHRD’S adoption of a smoke-free
living environment and its efforts to designate the unit as smoke-free do not in any way
change the standard of care that the COCHRD has to Resident’s household to render
units designated as smoke-free any safer, more habitable, or improved in terms of air
8-17
quality standards than any other rental premises. The COCHRD specifically disclaims
any implied or express warranties that the Resident’s premises will have any higher or
improved air quality standards than any other rental units. The COCHRD cannot and
does not warranty or promise that the rental premises will be free from second hand
smoke.
2. Resident acknowledges that the COCHRD’S ability to police, monitor, or enforce the
restrictions of this Policy is dependent in significant part on voluntary compliance by
Resident and Resident’s guests and invitees. Residents with respiratory ailments,
allergies, or any other physical or mental condition relating to smoke are put on notice
that the COCHRD does not assume any higher duty of care to enforce this Policy than any
other obligation imposed on them under the Lease or Rules and Regulations.
3. To assist all residents with the Smoke-Free Policy transition and to accommodate
resident interest in smoking cessation, the COCHRD is committed to providing
resources for cessation education and outreach.
Please refer to the Lease Addendum and/or your Section X of the Lease for information
regarding the Smoke-Free Policy restrictions.
By signing below, the resident acknowledges receipt of the Smoke-Free Policy.
Resident
Date
Resident
Date
Resident
Date
Resident
Date
9-1
CHAPTER 9
REEXAMINATIONS
[24 CFR 960.257, 960.259, 966.4]
INTRODUCTION
The PHA is required to reexamine each family’s income and composition periodically, and to
adjust the family’s rent accordingly. PHAs must adopt policies for conducting annual and interim
reexaminations that are consistent with regulatory requirements, and must conduct
reexaminations in accordance with such policies [24 CFR 960.257(c)].
The frequency with which the PHA must reexamine the income and composition of a family
depends on whether the family pays income-based or flat rent. HUD requires the PHA to offer
all families the choice of paying income-based rent or flat rent at least annually. The PHA’s
policies for offering families a choice of rents are located in Chapter 6.
This chapter discusses both annual and interim reexaminations.
Part I: Annual Reexaminations for Families Paying Income Based Rents. This part
discusses the requirements for annual reexamination of income and family composition.
Full reexaminations are conducted at least once a year for families paying income-based
rents.
Part II: Reexaminations for Families Paying Flat Rents. This part contains the PHA’s
policies for conducting full reexaminations of family income and composition for
families paying flat rents. These full reexaminations are conducted at least once every 3
years. This part also contains the PHA’s policies for conducting annual updates of family
composition for flat rent families.
Part III: Interim Reexaminations. This part includes HUD requirements and PHA policies
related to when a family may and must report changes that occur between annual
reexaminations.
Part IV: Recalculating Tenant Rent. After gathering and verifying required information
for an annual or interim reexamination, the PHA must recalculate the tenant rent. While
the basic policies that govern these calculations are provided in Chapter 6, this part
describes the policies that affect these calculations during a reexamination.
Policies governing reasonable accommodation, family privacy, required family cooperation and
program abuse, as described elsewhere in this ACOP, apply to annual and interim
reexaminations.
9-2
PART I: ANNUAL REEXAMINATIONS FOR FAMILIES PAYING INCOME BASED
RENTS
[24 CFR 960.257]
9-I.A. Overview
For those families who choose to pay income-based rent, the PHA must conduct a reexamination
of income and family composition at least annually [24 CFR 960.257(a)(1)]. For families who
choose flat rents, the PHA must conduct a reexamination of family composition at least annually,
and must conduct a reexamination of family income at least once every 3 years [24 CFR
960.257(a)(2)]. Policies related to the reexamination process for families paying flat rent are
located in Part II of this chapter.
For all residents of public housing, whether those residents are paying income-based or flat rents,
the PHA must conduct an annual review of community service requirement compliance. This
annual reexamination is also a good time to have residents sign consent forms for criminal
background checks in case the criminal history of a resident is needed at some point for the
purposes of lease enforcement or eviction.
The PHA is required to obtain all of the information necessary to conduct reexaminations. How
that information will be collected is left to the discretion of the PHA. Families are required to
provide current and accurate information on income, assets, allowances and deductions, family
composition and community service compliance as part of the reexamination process [24 CFR
960.259].
This part contains the PHA’s policies for conducting annual reexaminations.
9-I.B. Streamlined Annual Reexaminations (Fixed Income) [24 CFR 960.257]
HUD permits PHAs to streamline the income determination process for family members with
fixed sources of income. While third-party verification of all income sources must be obtained
during the intake process and every three years thereafter, in the intervening years the PHA may
determine income from fixed sources by applying a verified cost of living adjustment (COLA) or
rate of interest. The PHA may, however, obtain third-party verification of all income, regardless
of the source. Further, upon request of the family, the PHA must perform third-party verification
of all income sources.
Fixed sources of income include Social Security and SSI benefits, pensions, annuities, disability
or death benefits, and other sources of income subject to a COLA or rate of interest. The
determination of fixed income may be streamlined even if the family also receives income from
other non-fixed sources.
Two streamlining options are available, depending upon the percentage of the family’s income
9-3
that is received from fixed sources. If at least 90 percent of the family’s income is from fixed
sources, the PHA may streamline the verification of fixed income and may choose whether to but
is not required to verify non-fixed income amounts in years where no fixed-income review is
required. If the family receives less than 90 percent of its income from fixed sources, the PHA
may streamline the verification of fixed income and must verify non-fixed income annually
PHA Policy
The PHA will streamline the annual reexamination process by applying the verified
COLA or interest rate to fixed-income sources. The PHA will document in the file how
the determination that a source of income was fixed was made.
If a family member with a fixed source of income is added, the PHA will use third-party
verification of all income amounts for that family member.
If verification of the COLA or rate of interest is not available, the PHA will obtain third-
party verification of income amounts.
Third-party verification of fixed sources of income will be obtained during the intake
process and at least once every three years thereafter.
Third-party verification of non-fixed income will be obtained annually regardless of the
percentage of family income received from fixed sources.
9-I.C. Scheduling Annual Reexaminations [PIH 2020-32]
The PHA must establish a policy to ensure that the annual reexamination for each family paying
an income-based rent is completed within a 12 month period [24 CFR 960.257(a)(1)].
PHA Policy
Generally, the PHA will schedule annual reexaminations to coincide with the family's
anniversary date. The PHA will begin the annual reexamination process approximately
120 days in advance of the scheduled effective date.
Anniversary date is defined as 12 months from the effective date of the family’s last
annual reexamination or, during a family’s first year in the program, from the effective
date of the family’s initial examination (admission).
If the family transfers to a new unit, the PHA will perform a new annual reexamination,
and the anniversary date will be changed.
The PHA may also schedule an annual reexamination for completion prior to the
anniversary date for administrative purposes.
9-4
The PHA is required to obtain information needed to conduct annual reexaminations. How that
information will be collected is left to the discretion of the PHA. However, PHAs should give
tenants who were not provided the opportunity to provide contact information at the time of
admission the option to complete Form HUD-92006 at this time. The PHA should provide the
family with the opportunity to update, change, or remove information from the HUD-92006 at
the time of the annual reexamination [Notice PIH 2009-36].
PHA Policy
Families generally are required to participate in an annual reexamination interview,
which must be attended by the head of household, spouse, or cohead. If participation in
an in-person interview poses a hardship because of a family member’s disability, the
family should contact the PHA to request a reasonable accommodation.
The PHA has the sole discretion to hold the annual reexamination via an online process,
or an in-person interview. Notification of annual reexamination interviews will be sent
by first-class mail and will contain the date, time, and method of the reexamination. If in-
person, the notice will include the date, time, and location of the interview. In addition, it
will inform the family of the information and documentation that must be brought to the
interview.
If the family is unable to attend a scheduled interview, the family should contact the PHA
in advance of the interview to schedule a new appointment. In all circumstances, if a
family does not attend the scheduled interview the PHA will send a second notification
with a new interview appointment time.
If a family fails to attend two scheduled interviews without PHA approval, the family
will be in violation of their lease and may be terminated in accordance with the policies
in Chapter 13.
An advocate, interpreter, or other assistant may assist the family in the interview process.
9-I.D. Conducting Annual Reexaminations [PIH 2020-32]
The terms of the public housing lease require the family to furnish information regarding income
and family composition as may be necessary for the redetermination of rent, eligibility, and the
appropriateness of the housing unit [24 CFR 966.4(c)(2)].
PHA Policy
The PHA has the sole discretion to require that documentation for annual reexaminations
are sent to the PHA via the housing authorities online process.
Families will be asked to bring provide all required information (as described in the
reexamination notice) through the tenant’s online account. The PHA may also opt to
Reference to
9-5
complete the to the reexamination appointment in person.
The required information will include a PHA-designated reexamination form, an
Authorization for the Release of Information/Privacy Act Notice, as well as supporting
documents or forms related to the family’s income, expenses, and family composition.
Any required documents or information that the family is unable to provide for the annual
reexamination process at the time of the interview must be provided within 10 business
days of the interviewrequest. If the family is unable to obtain the information or
materials within the required time frame, the family may request an extension.
If the family does not provide the required documents or information within the required
time period (plus any extensions), the family will be in violation of their lease and may
be terminated in accordance with the policies in Chapter 13.
Families who have extenuating circumstances or are elderly will be permitted to complete
their reexamination by mail or by using their online account process.. A request for an
exception must be submitted in writing and will be reviewed and approved by
management on a case-by-case basis.
The information provided by the family generally must be verified in accordance with the
policies in Chapter 7. Unless the family reports a change, or the agency has reason to believe a
change has occurred in information previously reported by the family, certain types of
information that are verified at admission typically do not need to be re-verified on an annual
basis. These include:
Legal identity
Age
Social security numbers
A person’s disability status
Citizenship or immigration status
Change in Unit Size
Changes in family or household composition may make it appropriate to consider transferring
the family to comply with occupancy standards. The PHA may use the results of the annual
reexamination to require the family to move to an appropriate size unit [24 CFR 960.257(a)(4)].
Policies related to such transfers are located in Chapter 12.
Criminal Background Checks [PIH Notice 2012-28]
Information obtained through criminal background checks may be used for lease enforcement
and eviction [24 CFR 5.903(e)(1)(ii)]. Criminal background checks of residents will be
conducted in accordance with the policy in Section 13-IV.B.
9-6
PHA Policy
Each household member age 18 and over will be required to execute a consent form for a
criminal background check as part of the annual reexamination process.
Additionally, HUD recommends that at annual reexaminations PHAs ask whether the tenant, or
any member of the tenant’s household, is subject to a lifetime sex offender registration
requirement in any state [Notice PIH 2012-28].
PHA Policy
At the annual reexamination, the PHA will ask whether the tenant, or any member of the
tenant’s household, is subject to a lifetime sex offender registration requirement in any
state. The PHA will perform criminal background checks through local law enforcement
or use the Dru Sjodin National Sex Offender database to verify the information provided
by the tenant.
If the PHA proposes to terminate assistance based on lifetime sex offender registration
information, the PHA must notify the household of the proposed action and must provide the
subject of the record and the tenant a copy of the record and an opportunity to dispute the
accuracy and relevance of the information prior to termination. [24 CFR 5.903(f) and 5.905(d)].
(See Chapter 13.)
Compliance with Community Service
For families who include nonexempt individuals, the PHA must determine compliance with
community service requirements once each 12 months [24 CFR 960.257(a)(3)].
See Chapter 11 for the PHA’s policies governing compliance with the community service
requirement.
9-I.E. Effective Dates of Rent Increases and Decreases
As part of the annual reexamination process, the PHA must make appropriate adjustments in the
rent after consultation with the family and upon verification of the information [24 CFR
960.257(a)(1)].
PHA Policy
In general, an increase in the tenant rent that results from an annual reexamination will
take effect on the family’s anniversary date, and the family will be notified at least 30
days in advance.
If less than 30 days remain before the scheduled effective date, the increase will
take effect on the first of the month following the end of the 30-day notice period.
9-7
If the PHA chooses to schedule an annual reexamination for completion prior to
the family’s anniversary date for administrative purposes, the effective date will
be determined by the PHA, but will always allow for the 30-day notice period.
If the family causes a delay in processing the annual reexamination, increases in
the tenant rent will be applied retroactively, to the scheduled effective date of the
annual reexamination. The family will be responsible for any underpaid rent and
may be offered a repayment agreement in accordance with the policies in Chapter
16.
In general, a decrease in the tenant rent that results from an annual reexamination will
take effect on the family’s anniversary date.
If the PHA chooses to schedule an annual reexamination for completion prior to
the family’s anniversary date for administrative purposes, the effective date will
be determined by the PHA.
If the family causes a delay in processing the annual reexamination, decreases in
the tenant rent will be applied prospectively, from the first day of the month
following completion of the reexamination processing.
Delays in reexamination processing are considered to be caused by the family if the
family fails to provide information requested by the PHA by the date specified, and this
delay prevents the PHA from completing the reexamination as scheduled.
PART II: REEXAMINATIONS FOR FAMILIES PAYING FLAT RENTS
[24 CFR 960.257(2)]
9-II.A. Overview
HUD requires that the PHA offer all families the choice of paying income-based rent or flat rent
at least annually. The PHA’s policies for offering families a choice of rents are located in
Chapter 6.
For families who choose flat rents, the PHA must conduct a reexamination of family
composition at least annually, and must conduct a reexamination of family income at least once
every 3 years [24 CFR 960.257(a)(2)]. The PHA is only required to provide the amount of
income-based rent the family might pay in those years that the PHA conducts a full
reexamination of income and family composition, or upon request of the family after the family
submits updated income information [24 CFR 960.253(e)(2)].
9-8
As it does for families that pay income-based rent, the PHA must also review compliance with
the community service requirement for families with nonexempt individuals.
This part contains the PHA’s policies for conducting reexaminations of families who choose to
pay flat rents.
9-II.B. Full Reexamination of Family Income and Composition
Frequency of Reexamination
PHA Policy
For families paying flat rents, the PHA will conduct a full reexamination of family
income and composition once every 3 years.
Reexamination Policies
PHA Policy
In conducting full reexaminations for families paying flat rents, the PHA will follow the
policies used for the annual reexamination of families paying income-based rent as set
forth in Sections 9-I.B through 9-I.D above.
9-II.C. Reexamination of Family Composition (“Annual Update”)
As noted above, full reexaminations are conducted every 3 years for families paying flat rents. In
the years between full reexaminations, regulations require the PHA to conduct a reexamination
of family composition (“annual update”) [24 CFR 960.257(a)(2)].
The annual update process is similar to the annual reexamination process, except that the PHA
does not collect information about the family’s income and expenses, and the family’s rent is not
recalculated following an annual update.
Scheduling
The PHA must establish a policy to ensure that the reexamination of family composition for
families choosing to pay the flat rent is completed at least annually [24 CFR 960.257(a)(2)].
PHA Policy
For families paying flat rents, annual updates will be conducted in each of the 2 years
following the full reexamination.
In scheduling the annual update, the PHA will follow the policy used for scheduling the
annual reexamination of families paying income-based rent as set forth in Section 9-I.B.
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above.
Conducting Annual Updates
The terms of the public housing lease require the family to furnish information necessary for the
redetermination of rent and family composition [24 CFR 966.4(c)(2)].
PHA Policy
Generally, the family will not be required to attend an interview for an annual update.
However, if the PHA determines that an interview is warranted, the family may be
required to attend.
Notification of the annual update will be sent by first-class mail and will inform the
family of the information and documentation that must be provided to the PHA. The
family will have 10 business days to submit the required information to the PHA. If the
family is unable to obtain the information or documents within the required time frame,
the family may request an extension. The PHA will accept required documentation by
mail, by fax, or in person.
If the family’s submission is incomplete, or the family does not submit the information in
the required time frame, the PHA will send a second written notice to the family. The
family will have 10 business days from the date of the second notice to provide the
missing information or documentation to the PHA.
If the family does not provide the required documents or information within the required
time frame (plus any extensions), the family will be in violation of their lease and may be
terminated in accordance with the policies in Chapter 13.
Change in Unit Size
Changes in family or household composition may make it appropriate to consider transferring
the family to comply with occupancy standards. The PHA may use the results of the annual
update to require the family to move to an appropriate size unit [24 CFR 960.257(a)(4)]. Policies
related to such transfers are located in Chapter 12.
Criminal Background Checks [PIH Notice 2012-28]
HUD authorizes PHAs to perform criminal background checks during the annual
recertification/reexamination to determine if a member of a participant’s household is subject to
a lifetime registration requirement under any State sex offender registration program.
Additionally, PHAs must ask whether the tenant, or any member of the tenant’s household, is
subject to a lifetime registered sex offender registration requirement in any state [Notice
PIH 2012-28]. The PHA may not pass along to the applicant the costs of a criminal records
check [24 CFR 960.204(d)].
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Information obtained through criminal background checks may be used for lease enforcement
and eviction [24 CFR 5.903(e)]. Criminal background checks of residents will be conducted in
accordance with the policy in Section 13-IV.B.
PHA Policy
Each household member age 18 and over will be required to execute a consent form for
criminal background check as part of the annual update process.
The PHA will perform criminal background checks through local law enforcement or use
the Dru Sjodin National Sex Offender database for all adult household members.
If the recertification screening reveals that the tenant has falsified information or
otherwise failed to disclose criminal history on his/her full application and/or
recertification forms, the PHA will pursue termination of assistance, as described in
Chapter 13, Mandatory Termination of Assistance.
Compliance with Community Service
For families who include nonexempt individuals, the PHA must determine compliance with
community service requirements once each 12 months [24 CFR 960.257(a)(3)].
See Chapter 11 for the PHA’s policies governing compliance with the community service
requirement.
PART III: REEXAMINATION FOR ELDERLY FAMILIES AND DISABLED
FAMILIES ON FIXED INCOMES
9-III. A. Overview
PIH 2013-03 established temporary guidelines for public housing agencies in fulfilling certain
Public Housing and Housing Choice Voucher program requirements during this period of
decreased resources available to PHAs. These guidelines are intended to facilitate the ability of
PHAs to continue, without interruption and with minimal burden, the delivery of rental
assistance to eligible families in their communities. The temporary provisions established by this
notice will be available to PHAs until March 31, 2014.
The temporary provision allows optional streamlined annual reexaminations for elderly families
and disabled families on fixed incomes.
PHAs are statutorily required to verify income and calculate rent annually, including for elderly
and disabled families on fixed incomes. The requirement to undertake the complete process for
income verification and rent determination for families on fixed incomes is not necessary given
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the infrequency of changes to their incomes. Further, this requirement requires considerable
staff time and PHA resources. This provision is intended to simplify the requirements associated
with determining the annual income of participants on fixed incomes (24 CFR 982.516, 960-
257).
9-III. B. Streamlined Annual Reexamination of Income
PHAs may opt to conduct a streamlined reexamination of income for elderly families and
disabled families when 100 percent of the family’s income consists of fixed income. In a
streamlined reexamination, PHAs will recalculate family incomes by applying any published
cost of living adjustments to the previously verified income amount.
PHA Policy
Annual reexaminations of income will be streamlined for elderly families and disabled
families when 100 percent of the family’s income consists of fixed income. The families
income will be recalculated by applying any published cost of living adjustment to the
previously verified income amount.
For the purposes of this notice, the term ‘fixed’ income’ includes from:
i. Social Security payments to include Supplemental Security Income (SSI) and
Supplemental Security Disability Insurance (SSDI)
ii. Federal, State, local, and private pension plans
iii. Other periodic payments received from annuities, insurance policies,
retirement funds, disability or death benefits, and other similar types of
periodic receipts that are of substantially the same amounts from year to year.
PART IVIII: INTERIM REEXAMINATIONS
[24 CFR 960.257; 24 CFR 966.4]
9-IVIII.A. Overview
Family circumstances may change during the period between annual reexaminations. HUD and
PHA policies define the types of information about changes in family circumstances that must be
reported, and under what circumstances the PHA must process interim reexaminations to reflect
those changes. HUD regulations also permit the PHA to conduct interim reexaminations of
income or family composition at any time.
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In addition to specifying what information the family must report, HUD regulations permit the
family to request an interim determination if other aspects of the family’s income or composition
change. The PHA must complete the interim reexamination within a reasonable time after the
family’s request.
This part includes HUD and PHA policies that describe the changes families are required to
report, the changes families may choose to report, and how the PHA will process both PHA- and
family-initiated interim reexaminations.
9-IVIII.B. Changes in Family and Household Composition
The PHA must adopt policies prescribing when and under what conditions the family must report
changes in family composition. However, due to provisions of the public housing lease, the PHA
has limited discretion in this area.
Changes in family or household composition may make it appropriate to consider transferring
the family to comply with occupancy standards. Policies related to such transfers are located in
Chapter 12.
PHA Policy
All families must notify the PHA of the any change within 10 business days of its
occurrence (e.g., If the resident or any member of the family became employed, the start
date of employment would start the count of 10 business days). The changes must be
submitted in writing either through the applicant’s online account or on a Change Report
form. If using a Change Report form, the applicant copy of the form must be time and
date stamped by the City of Chandler Housing office to be considered valid. The copy of
the form will be provided to the participant.The changes must be submitted in writing by
using our ‘Change Report Form’. The copy of the form must be time and date stamped
by the City of Chandler Housing office to be considered valid. The copy of the form will
be provided to the participant.
The PHA will conduct interim reexaminations to account for any changes in household
composition or income changes that occur between annual reexaminations.
New Family Members Not Requiring Approval
The addition of a family member as a result of birth, adoption, or court-awarded custody does
not require PHA approval. However, the family is required to promptly notify the PHA of the
addition [24 CFR 966.4(a)(1)(v)].
PHA Policy
The family must inform the PHA in writing of the birth, adoption or court-awarded
custody of a child within 10 business days.
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New Family and Household Members Requiring Approval
With the exception of children who join the family as a result of birth, adoption, or court-
awarded custody, a family must request PHA approval to add a new family member [24 CFR
966.4(a)(1)(v)] or other household member (live-in aide or foster child) [24 CFR 966.4(d)(3)].
The PHA may adopt reasonable policies concerning residence by a foster child or a live-in aide,
and defining the circumstances in which PHA consent will be given or denied. Under such
policies, the factors considered by the PHA may include [24 CFR 966.4(d)(3)(i)]:
Whether the addition of a new occupant may necessitate a transfer of the family to
another unit, and whether such units are available.
The PHA’s obligation to make reasonable accommodation for persons with
disabilities.
PHA Policy
Families must request PHA approval to add a new family member, live-in aide, foster
child, or foster adult. This includes any person not on the lease who is expected to stay in
the unit for more than 14 days during any 12-month period, and therefore no longer
qualifies as a “guest.” Requests must be made in writing and approved by the PHA prior
to the individual moving into the unit.
The PHA will not approve the addition of a separate family to be added to the household
unless the separate family is the live-in aide’s family. Only one bedroom will be granted
for a live-in aide and their family. All members of the live-in aide’s family must meet
eligibility requirements. A live-in aide must be requested through the reasonable
accommodation process if a disable household member needs the accommodation due to
medical reasons.
The PHA will approve the addition of a biological minor when a current household
member has physical custody of the minor, the adoption or court-awarded custody of a
minor, or a minor who has been placed temporarily in the household and a current
household member has physical custody of the minor.
The PHA will approve the addition of a significant other or spouse as long as the adult
meets the eligibility requirements. Other additions to the household will be reviewed on a
case-by-case basis to take into consideration adult relatives returning to the household
who need care provided by a household members; relatives who have never lived in the
household, but now a household member is responsible for the care of the relative; or in
situations where an adult biological or adopted child of a household member needs to live
in the household for safety reasons or to attend school. All household additions must
meet eligibility requirements.
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The PHA will not approve the addition of a new family or household member unless the
individual meets the PHA’s eligibility criteria (see Chapter 3) and documentation
requirements (See Chapter 7, Part II).
If the PHA determines that an individual does not meet the PHA’s eligibility criteria or
documentation requirements, the PHA will notify the family in writing of its decision to
deny approval of the new family or household member and the reasons for the denial.
The PHA will make its determination within 10 business days of receiving all
information required to verify the individual’s eligibility.
The family will not receive approval to add a separate family (two or more persons) to
the household.
Departure of a Family or Household Member
PHA Policy
If a family member ceases to reside in the unit, the family must inform the PHA in
writing within 10 business days of its occurrence and provide the new residential address
of the family member who is being removed. This requirement also applies to family
members who had been considered temporarily absent, who are now permanently absent.
If a live-in aide, foster child, or foster adult ceases to reside in the unit, the family must
inform the PHA within 10 business days.
9-IVIII.C. Changes Affecting Income or Expenses
Interim reexaminations can be scheduled either because the PHA has reason to believe that
changes in income or expenses may have occurred, or because the family reports a change.
When a family reports a change, the PHA may take different actions depending on whether the
family reported the change voluntarily, or because it was required to do so.
PHA Policy
This section only applies to families paying income-based rent. Families paying flat rent
are not required to report changes in income or expenses.
PHA-initiated Interim Reexaminations
PHA-initiated interim reexaminations are those that are scheduled based on circumstances or
criteria defined by the PHA. They are not scheduled because of changes reported by the family.
PHA Policy
The PHA will conduct interim reexaminations in each of the following instances:
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For families receiving the Earned Income Disallowance (EID), the PHA will
conduct an interim reexamination at the start, to adjust the exclusion with any
changes in income, and at the conclusion of the 24-month eligibility period
If the family has reported zero income, the PHA will conduct an interim
reexamination every month as long as the family continues to report that they
have no income. The family will provide a notarized affirmation of zero income,
complete a zero income budgeting worksheet and questionnaire. A review of the
checking and saving bank statements will be conducted to observe the cost
expenditures and deposits.
If at the time of the annual reexamination, it is not feasible to anticipate a level of
income for the next 12 months (e.g. seasonal or cyclic income), the PHA will
schedule an interim reexamination to coincide with the end of the period for
which it is feasible to project income.
If at the time of the annual reexamination, tenant declarations were used on a
provisional basis due to the lack of third-party verification, and third-party
verification becomes available, the PHA will conduct an interim reexamination.
The PHA may conduct an interim reexamination at any time in order to correct an
error in a previous reexamination, or to investigate a tenant fraud complaint.
Family-Initiated Interim Reexaminations
The PHA must adopt policies prescribing when and under what conditions the family must report
changes in family income or expenses [24 CFR 960.257(c)]. In addition, HUD regulations
require that the family be permitted to obtain an interim reexamination any time the family has
experienced a change in circumstances since the last determination [24 CFR 960.257(b)].
Required Reporting
HUD regulations give the PHA the discretion to determine the circumstances under which
families will be required to report changes affecting income.
PHA Policy
Families are required to report all increases in earned and unearned income, including
new employment within 10 business days of its occurrence. The changes must be
submitted in writing by using our ‘Change Report Form’. The copy of the form must be
time and date stamped by the City of Chandler Housing office to be considered valid. The
copy of the form will be provided to the participant.
To encourage economic self-sufficiency and independence from federal assistance the
following income will be excluded from an interim change and processed only at the annual
reexamination:
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Increases in Social Security benefits;
The interim reexamination will be processed for Family Self Sufficiency (FSS) participants who
report an increase in earned income.
Optional Reporting
The family may request an interim reexamination any time the family has experienced a change
in circumstances since the last determination [24 CFR 960.257(b)]. The PHA must process the
request if the family reports a change that will result in a reduced family income [PH Occ GB, p.
159].
If a family reports a decrease in income from the loss of welfare benefits due to fraud or non-
compliance with a welfare agency requirement to participate in an economic self-sufficiency
program, the family’s share of the rent will not be reduced [24 CFR 5.615]. For more
information regarding the requirement to impute welfare income see Chapter 6.
PHA Policy
If a family reports a change that it was not required to report and that would result in an
increase in the tenant rent, the PHA will note the information in the tenant file, but will
not conduct an interim reexamination.
Families may report changes in income or expenses at any time.
9-IVIII.D. Processing the Interim Reexamination
Method of Reporting
PHA Policy
The family may notify the PHA of changes either orally or in writing. If the family
provides oral notice, the PHA may also require the family to submit the changes in
writing.
Generally, the family will not be required to attend an interview for an interim
reexamination. However, if the PHA determines that an interview is warranted, the
family may be required to attend.
Based on the type of change reported, the PHA will determine the documentation the
family will be required to submit. The family must submit any required information or
documents within 10 business days of receiving a request from the PHA. This time frame
may be extended for good cause with PHA approval. The PHA will accept required
documentation by mail, by fax, or in person.
Effective Dates
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The PHA must make the interim reexamination within a reasonable time after the family request
[24 CFR 960.257(b)].
PHA Policy
If the tenant rent is to increase:
The increase generally will be effective on the first of the month following 30
days’ notice to the family.
If a family fails to report a change within the required time frames, or fails to
provide all required information within the required time frames, the increase will
be applied retroactively, to the date it would have been effective had the
information been provided on a timely basis. The family will be responsible for
any underpaid rent and may be offered a repayment agreement in accordance with
the policies in Chapter 16.
If the tenant rent is to decrease:
The decrease will be effective on the first day of the month following the month
in which the change was reported and all required documentation was submitted;
however, all required documentation must be received by the 20th calendar day of
the month to allow adequate time for processing.
In cases where the change cannot be verified until after the date the change would
have become effective, the change will be made retroactively.
PART IV: RECALCULATING TENANT RENT
9-IV.A. Overview
For those families paying income-based rent, the PHA must recalculate the rent amount based on
the income information received during the reexamination process and notify the family of the
changes [24 CFR 966.4, 960.257]. While the basic policies that govern these calculations are
provided in Chapter 6, this part lays out policies that affect these calculations during a
reexamination.
9-IV.B. Changes in Utility Allowances [24 CFR 965.507, 24 CFR 966.4]
The tenant rent calculations must reflect any changes in the PHA’s utility allowance schedule [24
CFR 960.253(c)(3)]. Chapter 16 discusses how utility allowance schedules are established.
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PHA Policy
Unless the PHA is required to revise utility allowances retroactively, revised utility
allowances will be applied to a family’s rent calculations at the first annual reexamination
after the allowance is adopted.
9-IV.C. Notification of New Tenant Rent
The public housing lease requires the PHA to give the tenant written notice stating any change in
the amount of tenant rent, and when the change is effective [24 CFR 966.4(b)(1)(ii)].
When the PHA redetermines the amount of rent (Total Tenant Payment or Tenant Rent) payable
by the tenant, not including determination of the PHA’s schedule of Utility Allowances for
families in the PHA’s Public Housing Program, or determines that the tenant must transfer to
another unit based on family composition, the PHA must notify the tenant that the tenant may
ask for an explanation stating the specific grounds of the PHA determination, and that if the
tenant does not agree with the determination, the tenant shall have the right to request a hearing
under the PHA’s grievance procedure [24 CFR 966.4(c)(4)].
PHA Policy
The notice to the family will include the annual and adjusted income amounts that were
used to calculate the tenant rent.
9-IV.D. Discrepancies
During an annual or interim reexamination, the PHA may discover that information previously
reported by the family was in error, or that the family intentionally misrepresented information.
In addition, the PHA may discover errors made by the PHA. When errors resulting in the
overpayment or underpayment of rent are discovered, corrections will be made in accordance
with the policies in Chapter 15.
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CHAPTER 10
PETS
[24 CFR 5, SUBPART C; 24 CFR 960, SUBPART G]
INTRODUCTION
This chapter explains the PHA's policies on the keeping of pets and describes any criteria or
standards pertaining to the policies. The rules adopted are reasonably related to the legitimate
interest of the PHA to provide a decent, safe and sanitary living environment for all tenants, and
to protect and preserve the physical condition of the property, as well as the financial interest of
the PHA.
The chapter is organized as follows:
Part I: Service Animals and Assistance Animals. This part explains the difference
between service animals, assistance animals, including service and support animals, and
pets and contains policies related to the designation of an service animal or assistance
animal as well as their care and handling.
Part II: Pet policies for all developments. This part includes pet policies that are common
to both elderly/disabled developments and general occupancy developments.
Part III: Pet deposits and fees for elderly/disabled developments. This part contains
policies for pet deposits and fees that are applicable to elderly/disabled developments.
Part IV: Pet deposits and fees for general occupancy developments. This part contains
policies for pet deposits and fees that are applicable to general occupancy developments.
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PART I: SERVICE ANIMALS AND ASSISTANCE ANIMALS
[SECTION 504; FAIR HOUSING ACT (42 U.S.C.); 24 CFR 5.30324 CFR 960.705]
[Notice FHEO 2013-012020-01]
10-I.A. Overview
This part discusses situations under which permission for ana service animal or an assistance
animal, including service and support animals, may be denied, and also establishes standards for
the care of service and assistance animals.
Notice FHEO 2013-012020-01 was published January 28, 2020. The notice explains the
difference between service animals and assistance animalsanimalsprovides guidance to help
PHAs and other housing providers distinguish between a person with a non-obvious disability
who has a legitimate need for an assistance animal and a person without a disability who simply
wants to have a pet or avoid the costs and limitations imposed by the PHA’s pet policies. FHEO
2020-01 makes clear that the notice is guidance and a tool for PHAs and other housing providers
to use at their discretion and provides a set of best practices for addressing requests for assistance
animals. The guidance in FHEO 2020-01 should be read together with HUD’s regulations
prohibiting discrimination under the Fair Housing Act (FHA) and the HUD/Department of
Justice (DOJ) Joint Statement on Reasonable Accommodation under the Fair Housing Act..
While the ADA applies to the premises of public housing agencies and to “public
accommodations” such as stores and movie theaters, it does not apply to private-market rental
housing. Therefore, in public housing the PHA must evaluate a request for a service animal
under both the ADA and the Fair Housing Act. Service animals are limited to trained dogs.
Housing providers may also be subject to the Americans with Disabilities Act (ADA) and should
therefore refer also to DOJ’s regulations implementing Titles II and III of the ADA at 28 CFR
Parts 35 and 36, in addition to DOJ’s other guidance on assistance animals.
There are two types of assistance animals: (1) service animals, and (2) other animals that do
work, perform tasks, provide assistance, and/or provide therapeutic emotional support for
individuals with disabilities (i.e., support animals).
Neither service animals nor aAssistance animals, including service and support animals, are not
pets, and thus, are not subject to the PHA’s pet policies described in Parts II through IV of this
chapter [24 CFR 5.303; 960.705; Notice FHEO 20132020-01].
10-I.B. Approval of Service Animals and Assistance Animals [Notice FHEO 2020-01]
Service Animals
Notice FHEO 2013 2020-01 states that PHAs should initially follow the Department of Justice
(DOJ) analysis to assessing whether an animal is a the PHA should first evaluate the request as a
service animal under the Americans with Disabilities Act (ADA). Under the ADA, a service
animal means any dog that is individually trained to do work or perform tasks for the benefit of
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an individual with a disability, including a physical, sensory, psychiatric, intellectual, or other
mental disability. Other species of animals, whether wild or domestic, trained or untrained, are
not service animals for the purposes of this definition. The work or tasks performed by a service
animal must be directly related to the individual’s disability.
As a best practice, housing providers may use the following questions to help them determine if
an animal is a service animal under the ADA:The PHA may only ask whether the dog is a
service animal required due to a disability, and what tasks the animal has been trained to
perform.
Is the animal a dog? If not, the animal is not a service animal but may be another type of
assistance animal for which an accommodation is needed (support animal).
Is it readily apparent that the dog is trained to do work or perform tasks for the benefit of the
individual with a disability? If yes, further inquiries are inappropriate because the animal is a
service animal. If not, it is advisable that the PHA limit its inquiries to the following two
questions: (1) Is the animal required because of the disability? and (2) What work or task has
the animal been trained to perform?
If the answer to question (1) is “yes” and work or a task is identified in response to question
(2), grant the requested accommodation if otherwise reasonable. If the answer to either
question is “no,” the animal does not qualify as a service animal but may be a support
animal.
The PHA cannot require proof of training or certification for a service animal, even if the
disability and/or tasks performed are not readily apparent. If the disability and/or tasks performed
are not readily apparent, no further inquiries may be made.
PHAs may only deny a request for a service animal in limited circumstances:
The animal is out of control and the handler does not take effective action to control it
The animal is not housebroken, or
The animal poses a direct threat to health or safety that cannot be eliminated or reduced by a
reasonable modification of other policies
A service animal must be permitted in all areas of the facility where members of the public are
allowed.
Support Animals (Assistance Animals other than Service Animals)
If the animal does not qualify as a service animal, the PHA must next determine whether the
animal would qualify as a support animal (other type of assistance animal) under the ADA, the
PHA must next determine whether the animal would qualify as an assistance animal under the
reasonable accommodation provisions of the Fair Housing Act. Such assistance animals may
include animals other than dogs. If the individual has indeed requested a reasonable
accommodation to get or keep an animal in connection with a physical or mental impairment or
disability, the PHA may use the following questions to help them assess whether to grant the
accommodation in accordance with the policies outlined in Chapter 2 (the PHA is not required to
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grant a reasonable accommodation that has not been requested):
Does the person have an observable disability or does the PHA already have information
giving them reason to believe that the person has a disability? If not, has the person
requesting the accommodation provided information that reasonably supports that the person
seeking the accommodation has a disability?
If the person has an observable disability, the PHA already has information giving them
reason to believe the person has a disability, or the person has provided information
supporting that he or she has a disability, then has the person provided information that
reasonably supports that the animal does work, performs tasks, provides assistance, and/or
provides therapeutic emotional support with respect to the individual’s disability?
If yes, is the animal commonly kept in households? An animal commonly kept in households
would be a dog, cat, small bird, rabbit, hamster, gerbil, other rodent, fish, turtle, or other
small, domesticated animal that is traditionally kept in the home for pleasure rather than for
commercial purposes. For purposes of this assessment, reptiles (other than turtles), barnyard
animals, monkeys, kangaroos, and other non-domesticated animals are not considered
common household animals.
If the individual is requesting to keep a unique animal not commonly kept in households,
then the requestor has the substantial burden of demonstrating a disability-related therapeutic
need for the specific animal or the specific type of animal. Such individuals are encouraged
to submit documentation from a health care professional.
General Considerations
A person with a disability is not automatically entitled to have an assistance animal. Reasonable
accommodation requires that there is a relationship between the person’s disability and his or her
need for the animal [PH Occ GB, p. 179].
Before denying a reasonable accommodation request due to lack of information confirming an
individual’s disability or disability-related need for an animal, the PHA is encouraged to engage
in a good-faith dialog with the requestor called the “interactive process” [FHEO 2020-01].
A PHA may not refuse to allow a person with a disability to have an assistance animal merely
because the animal does not have formal training. Some, but not all, animals that assist persons
with disabilities are professionally trained. Other assistance animals are trained by the owners
themselves and, in some cases, no special training is required. The question is whether or not the
animal performs the assistance or provides the benefit needed by the person with the disability
[PH Occ GB, p. 178].
A PHA’s refusal to permit persons with a disability to use and live with an assistance animal that
is needed to assist them, would violate Section 504 of the Rehabilitation Act and the Fair
Housing Act unless [PH Occ GB, p. 179]:
There is reliable objective evidence that the animal poses a direct threat to the health or
safety of others that cannot be reduced or eliminated by a reasonable accommodation
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There is reliable objective evidence that the animal would cause substantial physical damage
to the property of others
The Fair Housing Act does not require a dwelling to be made available to an individual
whose tenancy would constitute a direct threat to the health or safety of other individuals or
would result in substantial physical damage to the property of others. A PHA may therefore
refuse a reasonable accommodation for an assistance animal if the specific animal poses a
direct threat that cannot be eliminated or reduced to an acceptable level through the actions
the individual takes to maintain or control the animal (e.g., keeping the animal in a security
enclosure).
While most requests for reasonable accommodations involve one animal, requests sometimes
involve more than one animal (for example, a person has a disability-related need for both
animals, or two people living together each have a disability-related need for a separate
assistance animal). The decision-making process in Notice FHEO 2020-01 should be used in
accordance with the reasonable accommodation policies in Chapter 2 for all requests for
exceptions or modifications to the PHA’s rules, policies, practices, and procedures so that
persons with disabilities can have assistance animals in the housing where they reside.
PHAs have the authority to regulate service animals and assistance animals under applicable
federal, state, and local law [24 CFR 5.303(b)(3); 960.705(b)(3)].
PHA Policy
For an animal to be excluded from the pet policy and be considered a service animal, it
must be a trained dog, and there must be a person with disabilities in the household who
requires the dog’s services.
For an animal to be excluded from the pet policy and be considered an assistance support
animal, there must be a person with disabilities in the household, there must be a
disability-related need for the animal, and the family must request and the PHA
approve a reasonable accommodation in accordance with the criteria outlined in Notice
FHEO 2020-01 and the policies contained in Chapter 2.
10-I.C. Care and Handling
HUD regulations do not affect any authority a PHA may have to regulate service animals and
assistance animals, including service animals, under federal, state, and local law [24 CFR 5.303;
24 CFR 960.705].
PHA Policy
Residents are responsible for feeding, maintaining, providing veterinary care, and
controlling their assistance animals. A resident may do this on his or her own or with the
assistance of family, friends, volunteers, or service providers.
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Residents must care for service animals and assistance animals in a manner that complies
with state and local laws, including anti-cruelty laws.
Residents must ensure that service animals and assistance animals do not pose a direct
threat to the health or safety of others, or cause substantial physical damage to the
development, dwelling unit, or property of other residents.
When a resident’s care or handling of an service animal or assistance animal violates
these policies, the PHA will consider whether the violation could be reduced or
eliminated by a reasonable accommodation. If the PHA determines that no such
accommodation can be made, the PHA may withdraw the approval of a particular service
or assistance animal.
PART II: PET POLICIES FOR ALL DEVELOPMENTS
[24 CFR 5, Subpart C; 24 CFR 960, Subpart G]
10-II.A. Overview
The purpose of a pet policy is to establish clear guidelines for ownership of pets and to ensure
that no applicant or resident is discriminated against regarding admission or continued
occupancy because of ownership of pets. It also establishes reasonable rules governing the
keeping of common household pets. This part contains pet policies that apply to all
developments.
10-II.B. Management Approval of Pets
Registration of Pets
PHAs may require registration of the pet with the PHA [24 CFR 960.707(b)(5)].
PHA Policy
Pets must be registered and the pet agreement must be executed with the PHA before
they are brought onto the premises.
Registration includes documentation signed by a licensed veterinarian or state/local
authority that the pet has been spayed or neutered as applicable or in the case of underage
animals within 30 days of the pet reaching 6 months of age; Documentation signed by a
licensed veterinarian that the pet has received all inoculations required by state or local
law, and that the pet has no communicable disease(s) and is pest-free; Documentation
that the pet is licensed in accordance with state or local law and one photograph of the
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pet.
This registration must be renewed annually and will be coordinated with the annual
reexamination date.
Pets will not be approved to reside in a unit until the completion of the registration
requirements are met and the pet agreement is executed
Refusal to Register Pets
PHA Policy
The PHA will refuse to register a pet if:
The pet is not a common household pet as defined in Section 10-II.C. below
Keeping the pet would violate any pet restrictions listed in this policy
The pet owner fails to provide complete pet registration information , execute
a pet agreement, or fails to update the registration annually
The applicant has previously been charged with animal cruelty under state or
local law; or has been evicted, had to relinquish a pet or been prohibited from
future pet ownership due to pet rule violations or a court order
The PHA reasonably determines that the pet owner is unable to keep the pet in
compliance with the pet rules and other lease obligations. The pet's
temperament and behavior may be considered as a factor in determining the
pet owner's ability to comply with provisions of the lease.
If the PHA refuses to register a pet, a written notification will be sent to the pet owner
within 10 business days of the PHA’s decision. The notice will state the reason for
refusing to register the pet and will inform the family of their right to appeal the decision
in accordance with the PHA’s grievance procedures.
Pet Agreement
PHA Policy
Residents who have been approved to have a pet must enter into a pet agreement with the
PHA, or the approval of the pet will be withdrawn.
The pet agreement is the resident’s certification that he or she has received a copy of the
PHA’s pet policy and applicable house rules, that he or she has read the policies and/or
rules, understands them, and agrees to comply with them.
The resident further certifies by signing the pet agreement that he or she understands that
noncompliance with the PHA’s pet policy and applicable house rules may result in the
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withdrawal of PHA approval of the pet or termination of tenancy.
10-II.C. Standards for Pets [24 CFR 5.318; 960.707(b)]
PHAs may establish reasonable requirements related to pet ownership including, but not
limited to:
Limitations on the number of animals in a unit, based on unit size
Prohibitions on types of animals that the PHA classifies as dangerous, provided that such
classifications are consistent with applicable state and local law
Prohibitions on individual animals, based on certain factors, including the size and weight of
the animal
Requiring pet owners to have their pets spayed or neutered
PHA’s may not require pet owners to have any pet’s vocal cords removed.
PHAs may not require pet owners to obtain or carry liability insurance.
PHAs may not require that cats be declawed.
Definition of “Common Household Pet”
There is no regulatory definition of common household pet for public housing programs,
although the regulations for pet ownership in both elderly/disabled and general occupancy
developments use the term. The regulations for pet ownership in elderly/disabled developments
expressly authorize PHAs to define the term [24 CFR 5.306(2)].
PHA Policy
Common household pet means a domesticated animal, such as a dog (maximum adult
weight: 20 pounds full grown), cat, bird, or fish that is traditionally recognized as a
companion animal and is kept in the home for pleasure rather than commercial purposes.
The COCHRD also permits a hamster, gerbil, guinea pig or a turtle. The size of the
aquarium may not exceed 10 gallons.
Pet Restrictions
PHA Policy
The following animals are not permitted:
Any animal whose adult weight will exceed 20 pounds
Dogs of the pit bull, rottweiler, chow, or boxer breeds
Ferrets or other animals whose natural protective mechanisms pose a risk to small
children of serious bites or lacerations
Any animal not permitted under state or local law or code
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Vicious
Exotic
Reptiles
Insects
Arachnids
Wild animals or feral animals
Pot-bellied pigs
Animals used for commercial breeding
Number of Pets
PHA Policy
Residents may own a maximum of 1 pet. In the case of fish, residents may keep no more
than can be maintained in a safe and healthy manner in a tank holding up to 10 gallons.
Such a tank or aquarium will be counted as 1 pet.
10-II.D. Pet Rules
Pet owners must maintain pets responsibly, in accordance with PHA policies, and in compliance
with applicable state and local public health, animal control, and animal cruelty laws and
regulations [24 CFR 5.315; 24 CFR 960.707(a)].
Pet Area Restrictions
PHA Policy
Pets must be maintained within the resident's unit. When outside of the unit (within the
building or on the grounds) dogs and cats must be kept on a leash or carried. They must
be under the control of the resident or other responsible individual at all times.
Pets other than dogs or cats must be kept in a cage or carrier when outside of the unit.
Pets are not permitted in common areas including lobbies, community rooms and laundry
areas except for those common areas which are entrances to and exits from the building.
Pet owners are not permitted to exercise pets or permit pets to deposit waste on project
premises outside of the areas designated for such purposes.
Designated Pet/No-Pet Areas [24 CFR 5.318(g), PH Occ GB, p. 182]
PHAs may designate buildings, floors of buildings, or sections of buildings as no-pet areas where
pets generally may not be permitted. Pet rules may also designate buildings, floors of building, or
sections of building for residency by pet-owning tenants.
PHAs may direct initial tenant moves as may be necessary to establish pet and no-pet areas. The
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PHA may not refuse to admit, or delay admission of, an applicant on the grounds that the
applicant’s admission would violate a pet or no-pet area. The PHA may adjust the pet and no-pet
areas or may direct such additional moves as may be necessary to accommodate such applicants
for tenancy or to meet the changing needs of the existing tenants.
PHAs may not designate an entire development as a no-pet area, since regulations permit
residents to own pets.
PHA Policy
With the exception of common areas as described in the previous policy, the PHA has not
designated any buildings, floors of buildings, or sections of buildings as no-pet areas. In
addition, the PHA has not designated any buildings, floors of buildings, or sections of
buildings for residency of pet-owning tenants.
Cleanliness
PHA Policy
The pet owner shall be responsible for the removal of waste by placing it in a sealed
plastic bag and disposing of it in a suitable covered trash container.
The pet owner shall take adequate precautions to eliminate any pet odors within or
around the unit and to maintain the unit in a sanitary condition at all times.
Litter box requirements:
Pet owners must promptly dispose of waste from litter boxes and must maintain
litter boxes in a sanitary manner.
Litter shall not be disposed of by being flushed through a toilet.
Litter boxes shall be kept inside the resident's dwelling unit.
Alterations to Unit
PHA Policy
Pet owners shall not alter their unit, patio, premises or common areas to create an
enclosure for any animal.
Installation of pet doors is prohibited.
Noise
PHA Policy
Pet owners must agree to control the noise of pets so that such noise does not constitute a
nuisance to other residents or interrupt their peaceful enjoyment of their housing unit or
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premises. This includes, but is not limited to loud or continuous barking, howling,
whining, biting, scratching, chirping, or other such activities.
Pet Care
PHA Policy
Each pet owner shall be responsible for adequate care, nutrition, exercise and medical
attention for his/her pet.
Each pet owner shall be responsible for appropriately training and caring for his/her pet
to ensure that the pet is not a nuisance or danger to other residents and does not damage
PHA property.
No animals may be tethered or chained inside or outside the dwelling unit at any time.
Responsible Parties
PHA Policy
The pet owner will be required to designate two responsible parties for the care of the pet
if the health or safety of the pet is threatened by the death or incapacity of the pet owner,
or by other factors that render the pet owner unable to care for the pet.
A resident who cares for another resident's pet must notify the PHA and sign a statement
that they agree to abide by all of the pet rules.
Pets Temporarily on the Premises
PHA Policy
Pets that are not owned by a tenant are not allowed on the premises. Residents are
prohibited from feeding or harboring stray animals.
This rule does not apply to visiting pet programs sponsored by a humane society or other
non-profit organizations, and approved by the PHA.
Pet Rule Violations
PHA Policy
All complaints of cruelty and all dog bites will be referred to animal control or an
applicable agency for investigation and enforcement.
If a determination is made on objective facts supported by written statements received by
an eye witness, that a resident/pet owner is in violation, the COCHRD may serve a
written notice of lease violation(s) to the resident/pet owner.
The notice will contain a brief statement of the factual basis for the determination and the
pet rule(s) that were violated. The notice will also state:
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That the pet owner has 3 business days from the effective date of the service of
notice to correct the violation or make written request for a meeting to discuss the
violation(s).
That the pet owner is entitled to be accompanied by another person of his or her
choice at the meeting
That the pet owner's failure to correct the violation(s), request a meeting, or
appear at a requested meeting may result in initiation of procedures to remove the
pet, or to terminate the pet owner's tenancy
Pet Removal
PHA Policy
If the death or incapacity of the pet owner threatens the health or safety of the pet, or
other factors occur that render the owner unable to care for the pet, the situation will be
reported to the responsible party designated by the pet owner.
If the responsible party is unwilling or unable to care for the pet, or if the PHA after
reasonable efforts cannot contact the responsible party, the PHA may contact the
appropriate state or local agency and request the removal of the pet.
In the event of the death of a pet, the resident/pet owner shall properly and immediately
remove and dispose of the remains. The remains shall not be placed in any container on the
grounds of a COCHRD property or in a container on COCHRD grounds.
If the pet is removed as a result of any aggressive act on the part of the pet, the pet will
not be allowed back on the premises.
Termination of Tenancy
PHA Policy
The PHA may initiate procedures for termination of tenancy based on a pet rule
violation if:
The pet owner has failed to remove the pet or correct a pet rule violation within
the time period specified
The pet rule violation is sufficient to begin procedures to terminate tenancy under
terms of the lease
Emergencies
PHA Policy
The PHA will take all necessary steps to ensure that pets that become vicious, display
symptoms of severe illness, or demonstrate behavior that constitutes an immediate threat
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to the health or safety of others, are immediately removed from the premises by referring
the situation to the appropriate state or local entity authorized to remove such animals.
If it is necessary for the PHA to place the pet in a shelter facility, the cost will be the
responsibility of the pet owner.
If the pet is removed as a result of any aggressive act on the part of the pet, the pet will
not be allowed back on the premises.
PART III: PET DEPOSITS AND FEES IN ELDERLY/DISABLED DEVELOPMENTS
10-III.A. Overview
This part describes the PHA’s policies for pet deposits and fees in elderly, disabled and mixed
population developments. Policies governing deposits and fees in general occupancy
developments are described in Part IV.
10-III.B. Pet Deposits
Payment of Deposit
The PHA may require tenants who own or keep pets in their units to pay a refundable pet
deposit. This deposit is in addition to any other financial obligation generally imposed on tenants
of the project [24 CFR 5.318(d)(1)].
The maximum amount of pet deposit that may be charged by a PHA on a per dwelling unit basis,
is the higher of the total tenant payment (TTP) or such reasonable fixed amount as the PHA may
require. The PHA may permit gradual accumulation of the pet deposit by the pet owner [24 CFR
5.318(d)(3)].
The pet deposit is not part of the rent payable by the resident [24 CFR 5.318(d)(5)].
PHA Policy
Pet owners are required to pay a pet deposit in addition to any other required deposits.
Resident/Pet owners of a dog or cat that meet the standards are required to pay a $250.00
deposit before the pet is brought on the premises. $250.00 is refunded when the resident
vacates the premises and the property has no damages caused by the pet.
The deposit must be paid in full before the pet is brought on the premises.
Refund of Deposit [24 CFR 5.318(d)(1)]
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The PHA may use the pet deposit only to pay reasonable expenses directly attributable to the
presence of the pet, including (but not limited to) the costs of repairs and replacements to, and
fumigation of, the tenant’s dwelling unit. The PHA must refund the unused portion of the pet
deposit to the tenant within a reasonable time after the tenant moves from the project or no
longer owns or keeps a pet in the unit.
PHA Policy
The PHA will refund the pet deposit to the resident, less the costs of any damages caused
by the pet to the dwelling unit, within 30 days of move-out or removal of the pet from the
unit.
The resident will be billed for any amount that exceeds the pet deposit. The PHA will
provide the resident with a written list of any charges against the pet deposit within 10
business days of the move-out inspection. If the resident disagrees with the amount
charged to the pet deposit, the PHA will provide a meeting to discuss the charges.
10-III.C. Other Charges
Pet Fees
PHA Policy
Resident/Pet owners, who have a dog or a cat that meet the standards, are not required to
pay a non-refundable pet fee or a sanitation fee.
Sanitation fee for unauthorized pets
Residents who have a dog or cat without the written permission of the COCHRD will be
charged a $150.00 sanitation fee.
Pet-Related Damages During Occupancy
PHA Policy
All reasonable expenses incurred by the PHA as a result of damages directly attributable
to the presence of the pet in the property will be the responsibility of the resident,
including but not limited to:
The cost of repairs and replacements to the resident's dwelling unit
Fumigation of the dwelling unit
Repairs to common areas of the project
Elimination of fleas
If the resident is in occupancy when such costs occur, the resident shall be billed for such
costs in accordance with the policies in Section 8-I.G, Maintenance and Damage
Charges. Pet deposits will not be applied to the costs of pet-related damages during
occupancy.
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Charges for pet-related damage are not part of rent payable by the resident.
Pet Waste Removal Charge
The regulations do not address the PHA’s ability to impose charges for house pet rule violations.
However, charges for violation of PHA pet rules may be treated like charges for other violations
of the lease and PHA tenancy rules.
PHA Policy
Pet Waste Removal Charge: A separate pet waste removal charge of $21.00 (a minimum
labor charge) per occurrence will be assessed against the resident/pet owners who fail to
remove pet waste.
PART IV: PET DEPOSITS AND FEES IN GENERAL OCCUPANCY DEVELOPMENTS
10-IV.A. Overview
This part describes the PHA’s policies for pet deposits and fees for those who reside in general
occupancy developments.
10-IV.B. Pet Deposits
A PHA may require a refundable pet deposit to cover additional costs attributable to the pet and
not otherwise covered [24 CFR 960.707(b)(1)].
A PHA that requires a resident to pay a pet deposit must place the deposit in an account of the
type required under applicable State or local law for pet deposits, or if there are no such
requirements, for rental security deposits, if applicable. The PHA must comply with such laws as
to retention of the deposit, interest, and return of the deposit to the resident, and any other
applicable requirements [24 CFR 960.707(d)].
Payment of Deposit
PHA Policy
All resident pet owners of a dog or cat that meet the standards are required to pay a $250.00
deposit before the pet is brought on the premises. $100.00 is refunded when the resident
vacates the premises and the property has no damages caused by the pet. $150.00 is a non-
refundable pet sanitation fee.
The pet deposit is not part of rent payable by the resident.
Refund of Deposit
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PHA Policy
The PHA will refund the pet deposit to the resident, less the costs of any damages caused
by the pet to the dwelling unit, within 30 days of move-out or removal of the pet from the
unit.
The resident will be billed for any amount that exceeds the pet deposit.
The PHA will provide the resident with a written list of any charges against the pet
deposit within 10 business days of the move-out inspection. If the resident disagrees with
the amount charged to the pet deposit, the PHA will provide a meeting to discuss the
charges.
10-IV.C. Non-Refundable Nominal Pet Fee
PHAs may require payment of a non-refundable nominal pet fee to cover the reasonable
operating costs to the development relating to the presence of pets [24 CFR 960.707(b)(1)].
PHA Policy
Resident/Pet owners, who have a dog or a cat that meet the standards, are required to pay a
non-refundable pet fee of $10.00 per month.
This fee is intended to cover the reasonable operating costs to the project relating to the
presence of pets. Reasonable operating costs to the project relating to the presence of pets
include, but are not limited to:
Landscaping costs
Pest control costs
Insurance costs
Clean-up costs
The pet fee of $10.00 will be billed on a monthly basis.
Charges for the non-refundable pet fee are not part of rent payable by the resident.
Sanitation fee for unauthorized pets
Residents who have a dog or cat without the written permission of the COCHRD will be
charged a $150.00 sanitation fee and must remove the animal from the premises within 48
hours.
10-IV.D. Other Charges
Pet-Related Damages During Occupancy
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PHA Policy
All reasonable expenses incurred by the PHA as a result of damages directly attributable
to the presence of the pet in the project will be the responsibility of the resident,
including:
The cost of repairs and replacements to the resident’s dwelling unit
Fumigation of the dwelling unit
Repairs to common areas of the project
Elimination of fleas
If the resident is in occupancy when such costs occur, the resident shall be billed for such
costs in accordance with the policies in Section 8-I.G, Maintenance and Damage
Charges.
Pet deposits will not be applied to the costs of pet-related damages during occupancy.
Charges for pet-related damage are not part of rent payable by the resident.
Pet Waste Removal Charge
The regulations do not address the PHA’s ability to impose charges for house pet rule violations.
However, charges for violation of PHA pet rules may be treated like charges for other violations
of the lease and PHA tenancy rules.
PHA Policy
Pet Waste Removal Charge: A separate pet waste removal charge of $21.00 (a minimum
labor charge) per occurrence will be assessed against the resident/pet owners who fail to
remove pet waste.
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CHAPTER 11
COMMUNITY SERVICE
INTRODUCTION
This chapter explains HUD regulations requiring PHAs to implement a community service
program for all nonexempt adults living in public housing.
This chapter describes HUD regulations and PHA policies related to these topics in two parts:
Part I: Community Service Requirements. This part describes who is subject to the
community service requirement, who is exempt, and HUD’s definition of economic self-
sufficiency.
Part II: PHA Implementation of Community Service. This part provides PHA policy
regarding PHA implementation and program design.
PART I: COMMUNITY SERVICE REQUIREMENT
11-I.A. Overview
HUD regulations pertaining to the community service requirement are contained in 24 CFR 960
Subpart F (960.600 through 960.609). PHAs and residents must comply with the community
service requirement, effective with PHA fiscal years that commenced on or after October 1,
2000. Per 903.7(l)(1)(iii), the PHA Plan must contain a statement of how the PHA will comply
with the community service requirement, including any cooperative agreement that the PHA has
entered into or plans to enter into.
Community service is the performance of voluntary work or duties that are a public benefit, and
that serve to improve the quality of life, enhance resident self-sufficiency, or increase resident
self-responsibility in the community. Community service is not employment and may not include
political activities [24 CFR 960.601(b)].
In administering community service requirements, the PHA must comply with all
nondiscrimination and equal opportunity requirements [24 CFR 960.605(c)(5)].
11-I.B. Requirements
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Each adult resident of the PHA, who is not exempt, must [24 CFR 960.603(a)]:
Contribute 8 hours per month of community service; or
Participate in an economic self-sufficiency program (as defined in the regulations) for 8
hours per month; or
Perform 8 hours per month of combined activities (community service and economic self-
sufficiency programs).
The required community service or self-sufficiency activity may be completed 8 hours each
month or may be aggregated across a year. Any blocking of hours is acceptable as long as 96
hours is completed by each annual certification of compliance [Notice PIH 2015-12].
Definitions
Exempt Individual [24 CFR 960.601(b), Notice PIH 2015-12]
An exempt individual is an adult who:
Is age 62 years or older
Is blind or disabled (as defined under section 216[i][l] or 1614 of the Social Security Act),
and who certifies that because of this disability s/he is unable to comply with the service
provisions
Is a primary caretaker of such an individual
Is engaged in work activities
PHA Policy
The PHA will consider 30 hours per week as the minimum number of hours needed to
qualify for a work activity exemption.
Is able to meet requirements of being exempted under a state program funded under part A
of title IV of the Social Security Act, or under any other welfare program of the state in
which the PHA is located, including a state-administered welfare-to-work program
This exemption applied to anyone whose characteristics or family situation meet the welfare
agency exemption criteria and can be verified.
Is a member of a family receiving assistance, benefits, or services under a state program
funded under part A of title IV of the Social Security Act, or under any other welfare
program of the state in which the PHA is located, including a state-administered welfare-to-
work program and the supplemental nutrition assistance program (SNAP), and has not been
found by the state or other administering entity to be in noncompliance with such program.
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Community Service [24 CFR 960.601(b), Notice PIH 2015-12]
Community service is the performance of voluntary work or duties that are a public benefit, and
that serve to improve the quality of life, enhance resident self-sufficiency, or increase resident
self-responsibility in the community. Community service is not employment and may not
include political activities.
Eligible community service activities include, but are not limited to, work at:
Local public or nonprofit institutions such as schools, head start programs, before or after
school programs, child care centers, hospitals, clinics, hospices, nursing homes, recreation
centers, senior centers, adult day care programs, homeless shelters, feeding programs, food
banks, distribution either donated or commodity foods), or clothes closets,(distributing
donated clothing.).
Nonprofit organizations serving PHA residents or their children such as: Boy or Girl Scouts,
Boys or Girls Club, 4-H clubs, Police Assistance League (PAL), organized children’s
recreation, mentoring or education programs, Big Brothers or Big Sisters, garden centers,
community clean-up programs, beautification programs.
Programs funded under the Older Americans Act, such as Green Thumb Service Corps of
Retired Executives, senior meals programs, senior centers, Meals on Wheels.
Serve as member of the resident organization (Tenant Community Builders) or resident
advisory board
Public or nonprofit organizations dedicated to seniors, youth, children, residents, citizens,
special-needs populations or with missions to enhance the environment, historic
resources, cultural identities, neighborhoods, or performing arts
Caring for the children of other residents so parent may volunteer.
PHA Policy
Community Service must be only in the City of Chandler or serving citizens from the
City of Chandler.
Economic Self-Sufficiency Program [24 CFR 5.603(b), Notice PIH 2015-12]
For purposes of satisfying the community service requirement, an economic self-sufficiency
program is defined by HUD as any program designed to encourage, assist, train, or facilitate
economic independence of assisted families or to provide work for such families.
Eligible self-sufficiency activities include but are not limited to:
Job readiness or job training
Training programs through local one-stop career centers, workforce investment
boards (local entities administered through the U.S. Department of Labor), or
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other training providers
Employment counseling, work placement, or basic skills training
Education, including higher education (junior college or college), GED classes, or
reading financial, or computer literacy classes
Apprenticeships (formal or informal)
English proficiency or English as a second language classes
Budgeting and credit counseling
Any other program necessary to ready a participant to work (such as substance
abuse or mental health counseling)
Work Activities [42 U.S.C. 607(d)]
As it relates to an exemption from the community service requirement, work activities means:
Unsubsidized employment
Subsidized private sector employment
Subsidized public sector employment
Work experience (including work associated with the refurbishing of publicly assisted
housing) if sufficient private sector employment is not available
On-the-job training
Job search and job readiness assistance
Community service programs
Vocational educational training (not to exceed 12 months with respect to any individual)
Job skills training directly related to employment
Education directly related to employment, in the case of a recipient who has not received a
high school diploma or a certificate of high school equivalency
Satisfactory attendance at secondary school or in a course of study leading to a certificate of
general equivalence, in the case of a recipient who has not completed secondary school or
received such a certificate
Notification Requirements [24 CFR 960.605(c)(2), Notice PIH 2015-12, Notice PIH 2016-06]
The PHA must give each family a written description of the community service requirement, the
process for claiming status as an exempt person, and the process for PHA verification of exempt
status. The PHA must also notify the family of its determination identifying the family members
who are subject to the service requirement, and the family members who are exempt. In
addition, the family must sign a certification, such as Attachment A of Notice PIH 2015-12, that
they have received and read the policy and understand that if they are not exempt, failure to
comply with the requirement will result in nonrenewal of their lease. The family must also sign a
certification at annual reexamination, such as Attachment B of Notice PIH 2015-12, certifying
that they understand the requirement.
PHA Policy
The PHA will provide the family with a copy of the Community Service Policy at lease-
up, lease renewal, when a family member is determined to be subject to the community
service requirement during the lease term, and at any time upon the family’s request. The
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policy will notify the family that self-certification forms are subject to review by the
PHA.
On an annual basis, at the time of lease renewal, the PHA will notify the family in writing
of the family members who are subject to the community service requirement and the
family members who are exempt. If the family includes nonexempt individuals the notice
will include a list of agencies in the community that provide volunteer and/or training
opportunities, as well as a documentation form on which they may record the activities
they perform and the number of hours contributed. The form will also have a place for a
signature by an appropriate official, who will certify to the activities and hours
completed.
11-I.C. Determination of Exemption Status and Compliance [24 CFR 960.605(c)(3)]
The PHA must review and verify family compliance with service requirements annually at least
thirty days before the end of the twelve month lease term. The policy for documentation and
verification of compliance with service requirements may be found at Section 11-I.D.,
Documentation and Verification.
PHA Policy
Where the lease term does not coincide with the effective date of the annual
reexamination, the PHA will change the effective date of the annual reexamination to
coincide with the lease term. In making this change, the PHA will ensure that the annual
reexamination is conducted within 12 months of the last annual reexamination.
Annual Determination
Determination of Exemption Status
An exempt individual is excused from the community service requirement [24 CFR 960.603(a)].
PHA Policy
At least 60 days prior to lease renewal, the PHA will review and verify the exemption
status of all adult family members. This verification will only be done on an annual basis
unless the family reports a change or the PHA has reason to believe that an individual’s
exemption status has changed. For individuals who are exempt because they are 62 years
of age and older, or disabled, verification of exemption status will be done only at the
initial examination.
Upon completion of the verification process, the PHA will notify the family of its
determination in accordance with the policy in Section 11-I.B., Notification
Requirements.
Determination of Compliance
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The PHA must review resident family compliance with service requirements annually at least 30
days before the end of the 12-month lease term [24 CFR 960.605(c)(3)]. As part of this review,
the PHA must verify that any family member that is not exempt from the community service
requirement has met his or her service obligation.
PHA Policy
Approximately 90-120 days prior to the end of the lease term, the PHA will provide
written notice requiring the family to submit documentation that all subject family
members have complied with the service requirement. The family will have 10 business
days to submit the PHA required documentation form(s).
If the family fails to submit the required documentation within the required timeframe, or
PHA approved extension, the subject family members will be considered noncompliant
with community service requirements, and notices of noncompliance will be issued
pursuant to the policies in Section 11-I.E., Noncompliance.
Change in Status between Annual Determinations
PHA Policy
Exempt to Nonexempt Status
If an exempt individual becomes nonexempt during the twelve month lease term,
it is the family’s responsibility to report this change to the PHA within 10
business days.
Within 10 business days of a family reporting such a change, or the PHA
determining such a change is necessary, the PHA will provide written notice of
the effective date of the requirement, a list of agencies in the community that
provide volunteer and/or training opportunities, as well as a documentation form
on which the family member may record the activities performed and number of
hours contributed.
The effective date of the community service requirement will be the first of the
month following 30 day notice.
Determination of Initial Compliance
When an adult family member becomes subject to community service, he or she
must perform 8 hours of community service for the months he or she is subject to
the requirement before the end of the lease term (anniversary date).
Example 1: Alberto Jones turns 18 on 5/10/15 and is not exempt from the
community service requirement. His community service requirement begins on
6/1/15, and his initial compliance is reviewed before the end of the lease term
(anniversary date), which is 11/30/15.
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- Alberto must perform 6 months of community service in his initial compliance
period, before the end of the lease term (anniversary date).
Example 2: Lisa Dewhurst leaves her job on 9/20/14 and is not exempt from the community
service requirement. Her community service requirement begins on 10/1/14, and her initial
compliance is reviewed before the end of the lease term (anniversary date), which is 6/30/15
- Ms. Dewhurst must perform 9 months of community service in her initial compliance period,
before the end of the lease term (anniversary date).
Nonexempt to Exempt Status
If a nonexempt person becomes exempt during the twelve month lease term, it is
the family’s responsibility to report this change to the PHA within 10 business
days. Any claim of exemption will be verified by the PHA in accordance with the
policy at 11-I.D., Documentation and Verification of Exemption Status.
Within 10 business days of a family reporting such a change, or the PHA
determining such a change is necessary, the PHA will provide the family written
notice that the family member is no longer subject to the community service
requirement, if the PHA is able to verify the exemption.
The exemption will be effective immediately.
11-I.D. Documentation And Verification [24 CFR 960.605(c)(4)], 960.607, Notice PIH 2016-
08]
The PHA must retain reasonable documentation of service requirement performance or
exemption in participant files.
Documentation and Verification of Exemption Status
PHA Policy
All family members who claim they are exempt from the community service requirement
will be required to sign the community service exemption certification form found in
Exhibit 11-3. The PHA will provide a completed copy to the family and will keep a copy
in the tenant file.
The PHA will verify that an individual is exempt from the community service
requirement by following the verification hierarchy and documentation requirements in
Chapter 7.
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The PHA makes the final determination whether or not to grant an exemption from the
community service requirement. If a resident does not agree with the PHA’s
determination, s/he can dispute the decision through the PHA’s grievance procedures (see
Chapter 14).
Documentation and Verification of Compliance
At each regularly scheduled reexamination, each nonexempt family member presents a signed
standardized certification form developed by the PHA of community service and self-sufficiency
activities performed over the last 12 months [Notice PIH 2015-12].
If qualifying community service activities are administered by an organization other than the
PHA, a family member who is required to fulfill a service requirement must provide
documentation required by the PHA. The PHA may require a self-certification or certification
form a third party [24 CFR 960.607].
If the PHA accepts self-certification of compliance with the community service requirement, it
must provide a form which includes a statement that the client performed the required hours,
contact information for the community service provider, a description of activities performed,
and dates of service.
If the PHA accepts self-certification, it must validate a sample of certifications through third-
party documentation. The PHA must notify families that self-certification forms are available
and that a sample of self-certifications will be validated.
HUD strongly encourages PHAs to investigate community service compliance when there are
questions of accuracy.
PHA Policy
Each individual who is subject to the community service requirement will be required to
record their community service or self-sufficiency activities and the number of hours
contributed on the required form. The certification form will also include places for
signatures and phone numbers of supervisors, instructors, and counselors certifying to the
number of hours contributed.
Families will be required to submit the documentation to the PHA, upon request by the
PHA, at least annually.
If the PHA has reasonable cause to believe that the certification provided by the family is
false or fraudulent, the PHA has the right to require additional third-party verification.
11-I.E. Noncompliance
Noncompliant Residents
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The lease specifies that it is renewed automatically for all purposes, unless the family fails to
comply with the community service requirement. Violation of the service requirement is grounds
for nonrenewal of the lease at the end of the twelve month lease term, but not for termination of
tenancy during the course of the twelve month lease term [24 CFR 960.603(b)].
PHAs may not evict a family due to CSSR noncompliance. However, if PHA finds a tenant is
noncompliant with CSSR, the PHA must provide written notification to the tenant of the
noncompliance which must include:
A brief description of the finding of non-compliance with CSSR.
A statement that the PHA will not renew the lease at the end of the current 12-month lease
term unless the tenant enters into a written work-out agreement with the PHA or the family
provides written assurance that is satisfactory to the PHA explaining that the tenant or other
noncompliant resident no longer resides in the unit. Such written work-out agreement must
include the means through which a noncompliant family member will comply with the CSSR
requirement [24 CFR 960.607(c), Notice PIH 2015-12].
The notice must also state that the tenant may request a grievance hearing on the PHA’s
determination, in accordance with the PHA’s grievance procedures, and that the tenant may
exercise any available judicial remedy to seek timely redress for the PHA’s nonrenewal of the
lease because of the PHA’s determination.
PHA Policy
The notice of noncompliance will be sent at least 45 days prior to the end of the lease
term.
The family will have 10 business days from the date of the notice of noncompliance to
enter into a written work-out agreement to cure the noncompliance over the 12 month
term of the new lease, provide documentation that the noncompliant resident no longer
resides in the unit, or to request a grievance hearing.
If the family reports that a noncompliant family member is no longer residing in the unit,
the family must provide documentation that the family member has actually vacated the
unit before the PHA will agree to continued occupancy of the family. Documentation
must consist of a certification signed by the head of household as well as evidence of the
current address of the family member that previously resided with them.
If the family does not request a grievance hearing, or does not take either corrective
action required by the notice of noncompliance within the required 10 business day
timeframe, the PHA will terminate tenancy in accordance with the policies in Section 13-
IV.D.
Continued Noncompliance and Enforcement Documentation [24 CFR 960.607(b)]
Should a family member refuse to sign a written work-out agreement, or fail to comply with the
terms of the work-out agreement, PHAs are required to initiate termination of tenancy
proceedings at the end of the current 12-month lease (see 24 CFR 966.53(c)) for failure to
11-10
comply with lease requirements. When initiating termination of tenancy proceedings, the PHA
will provide the following procedural safeguards:
Adequate notice to the tenant of the grounds for terminating the tenancy and for non-renewal
of the lease;
Right of the tenant to be represented by counsel;
Opportunity for the tenant to refute the evidence presented by the PHA, including the right to
confront and cross-examine witnesses and present any affirmative legal or equitable defense
which the tenant may have; and,
A decision on the merits.
PHA Policy
Notices of continued noncompliance will be sent at least 30 days prior to the end of the
lease term and will also serve as the family’s termination notice. The notice will meet the
requirements for termination notices described in Section 13-IV.D, Form, Delivery, and
Content of the Notice.
The family will have 10 business days from the date of the notice of non-compliance to
provide documentation that the noncompliant resident no longer resides in the unit, or to
request a grievance hearing.
If the family reports that a noncompliant family member is no longer residing in the unit,
the family must provide documentation that the family member has actually vacated the
unit before the PHA will agree to continued occupancy of the family. Documentation
must consist of a certification signed by the head of household as well as evidence of the
current address of the noncompliant family member that previously resided with them.
If the family does not request a grievance hearing, or provide such documentation within
the required 10 business day timeframe, the family’s lease and tenancy will automatically
terminate at the end of the current lease term without further notice.
PART II: IMPLEMENTATION OF COMMUNITY SERVICE
11-II.A. Overview
Each PHA must develop a policy for administration of the community service and economic
self-sufficiency requirements for public housing. It is in the PHA’s best interests to develop a
viable, effective community service program, to provide residents the opportunity to engage in
the community and to develop competencies.
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PHA Implementation of Community Service
The PHA may not substitute any community service or self-sufficiency activities performed by
residents for work ordinarily performed by PHA employees, or replace a job at any location
where residents perform activities to satisfy the service requirement [24 CFR 960.609].
PHA Policy
If a disabled resident certifies that s/he is able to perform community service, the PHA
will ensure that requests for reasonable accommodation are handled in accordance with
the policies in Chapter 2.
PHA Program Design
The PHA may administer qualifying community service or economic self-sufficiency activities
directly, or may make community service activities available through a contractor, or through
partnerships with qualified organizations, including resident organizations, and community
agencies or institutions [24 CFR 960.605(b)].
PHA Policy
The PHA will attempt to provide the broadest choice possible to residents as they choose
community service activities.
The PHA’s goal is to design a service program that gives residents viable opportunities to
become involved in the community and to gain competencies and skills. The PHA will
work with resident organizations and community organizations to design, implement,
assess and recalibrate its community service program.
The PHA will make every effort to identify volunteer opportunities throughout the
community, especially those in proximity to public housing developments. To the
greatest extent possible, the PHA will provide names and contacts at agencies that can
provide opportunities for residents, including persons with disabilities, to fulfill their
community service obligations.
The PHA will provide in-house opportunities for volunteer work or self-sufficiency
programs when possible.
If a member of the family is participating in the FSS program, the regular meetings with
the FSS Specialist will satisfy community service activities.
Exhibit 11-1: Community Service and Self-Sufficiency Policy
A. Background
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The Quality Housing and Work Responsibility Act of 1998 requires that all nonexempt (see
definitions) public housing adult residents (18 or older) contribute eight (8) hours per month of
community service (volunteer work) or participate in eight (8) hours of training, counseling,
classes or other activities that help an individual toward self-sufficiency and economic
independence. This is a requirement of the public housing lease.
B. Definitions
Community Service – community service activities include, but are not limited to, work at:
Local public or nonprofit institutions such as schools, head start programs, before or after
school programs, child care centers, hospitals, clinics, hospices, nursing homes,
recreation centers, senior centers, adult day care programs, homeless shelters, feeding
programs, food banks (distributing either donated or commodity foods), or clothes closets
(distributing donated clothing).
Nonprofit organizations serving PHA residents or their children such as: Boy or Girl
Scouts, Boys or Girls Club, 4-H clubs, Police Assistance League (PAL), organized
children’s recreation, mentoring or education programs, Big Brothers or Big Sisters,
garden centers, community clean-up programs, beautification programs.
Programs funded under the Older Americans Act, such as Green Thumb, Service Corps
of Retired Executives, senior meals programs, senior centers, Meals on Wheels
Public or nonprofit organizations dedicated to seniors, youth, children, residents, citizens,
special-needs populations or with missions to enhance the environment, historic
resources, cultural identities, neighborhoods, or performing arts.
PHA housing to improve grounds or provide gardens (so long as such work does not alter
the PHA’s insurance coverage); or work through resident organizations to help other
residents with problems, including serving on the Resident Advisory Board.
Care for the children of other residents so parent may volunteer
NOTE: Political activity is excluded.
PHA Policy
Community Service must be only in the City of Chandler or serving citizens from the
City of Chandler.
Self-Sufficiency Activities – self-sufficiency activities include, but are not limited to:
Job readiness or job training
Training programs through local one-stop career centers, workforce investment boards
(local entities administered through the U.S. Department of Labor), or other training
providers
Employment counseling, work placement, or basic skills training
Education, including higher education (junior college or college) or reading, financial, or
computer literacy classes
Apprenticeships (formal or informal)
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English proficiency or English as a second language classes
Budgeting and credit counseling
Any other program necessary to ready a participant to work (such as substance abuse or
mental health counseling)
Exempt Adult – an adult member of the family who meets any of the following criteria:
Is 62 years of age or older
Is blind or a person with disabilities (as defined under section 216[i][l] or 1614 of the Social
Security Act), and who certifies that because of this disability he or she is unable to comply
with the service provisions, or is the primary caretaker of such an individuals
Is engaged in work activities
Is able to meet requirements under a state program funded under part A of title IV of the
Social Security Act, or under any other welfare program of the state in which the PHA is
located, including a state-administered welfare-to-work program; or
Is a member of a family receiving assistance, benefits, or services under a state program
funded under part A of title IV of the Social Security Act, or under any other welfare
program of the state in which the PHA is located, including a state-administered welfare-to
work program and the supplemental nutrition assistance program (SNAP), and has not been
found by the state or other administering entity to be in noncompliance with such program.
PHAs can use reasonable guidelines in clarifying the work activities in coordination with TANF,
as appropriate.
Work Activities – as it relates to an exemption from the community service requirement, work
activities means:
Unsubsidized employment
Subsidized private sector employment
Subsidized public sector employment
Work experience (including work associated with the refurbishing of publicly assisted
housing) if sufficient private sector employment is not available
On-the-job training
Job search and job readiness assistance
Community service programs
Vocational educational training (not to exceed 12 months with respect to any individual)
Job skills training directly related to employment
Education directly related to employment, in the case of a recipient who has not received
a high school diploma or a certificate of high school equivalency
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Satisfactory attendance at secondary school or in a course of study leading to a certificate
of general equivalence, in the case of a recipient who has not completed secondary school
or received such a certificate
Provision of child care services to an individual who is participating in a community
service Program
C. Requirements of the Program
1. The eight (8) hours per month may be either volunteer work or self-sufficiency program
activity, or a combination of the two.
2. At least eight (8) hours of activity must be performed each month or may be aggregated
across a year. Any blocking of hours is acceptable as long as 96 hours is completed by
each annual certification of compliance.
3. Family obligation:
At lease execution, all adult members (18 or older) of a public housing resident
family must:
Sign a certification (Attachment A) that they have received and read this
policy and understand that if they are not exempt, failure to comply with
the community service requirement will result in a nonrenewal of their
lease; and
Declare if they are exempt. If exempt, they must complete the Exemption
Form (Exhibit 11-3) and provide documentation of the exemption.
Upon written notice from the PHA, nonexempt family members must present
complete documentation of activities performed during the applicable lease term.
This documentation will include places for signatures of supervisors, instructors,
or counselors, certifying to the number of hours contributed.
If a family member is found to be noncompliant at the end of the 12-month lease
term, he or she, and the head of household, will be required to sign an agreement
with the housing authority to make up the deficient hours over the next twelve
(12) month period, or the lease will be terminated.
At annual reexamination, the family must also sign a certification certifying that
they understand the community service requirement.
4. Change in exempt status:
If, during the twelve (12) month lease period, a nonexempt person becomes
exempt, it is his or her responsibility to report this to the PHA and provide
documentation of exempt status.
If, during the twelve (12) month lease period, an exempt person becomes
nonexempt, it is his or her responsibility to report this to the PHA. Upon receipt
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of this information the PHA will provide the person with the appropriate
documentation form(s) and a list of agencies in the community that provide
volunteer and/or training opportunities.
D. Authority Obligation
1. To the greatest extent possible and practicable, the PHA will:
Provide names and contacts at agencies that can provide opportunities for
residents, including residents with disabilities, to fulfill their community service
obligations.
Provide in-house opportunities for volunteer work or self-sufficiency activities.
2. The PHA will provide the family with a copy of this policy, and all applicable exemption
verification forms and community service documentation forms, at lease-up, lease
renewal, when a family member becomes subject to the community service requirement
during the lease term, and at any time upon the family’s request.
3. Although exempt family members will be required to submit documentation to support
their exemption, the PHA will verify the exemption status in accordance with its
verification policies. The PHA will make the final determination as to whether or not a
family member is exempt from the community service requirement. Residents may use
the PHA’s grievance procedure if they disagree with the PHA’s determination.
4. Noncompliance of family member:
At least thirty(30) days prior to the end of the 12-month lease term, the PHA will
begin reviewing the exempt or nonexempt status and compliance of family
members;
If, at the end of the initial 12-month lease term under which a family member is
subject to the community service requirement, the PHA finds the family member
to be noncompliant, the PHA will not renew the lease unless:
The head of household and any other noncompliant resident enter into a
written agreement with the PHA, to make up the deficient hours over the
next twelve (12) month period; or
The family provides written documentation satisfactory to the PHA that
the noncompliant family member no longer resides in the unit.
If, at the end of the next 12-month lease term, the family member is still not
compliant, a 30-day notice to terminate the lease will be issued and the entire
family will have to vacate, unless the family provides written documentation
satisfactory to the PHA that the noncompliant family member no longer resides in
the unit;
The family may use the PHA’s grievance procedure to dispute the lease
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termination.
All adult family members must sign and date below, certifying that they have read and received a
copy of this Community Service and Self-Sufficiency Policy.
Resident
Date
Resident
Date
Resident
Date
Resident
Date
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Exhibit 11-2: Definition of a Person with a Disability Under Social Security Acts 216(i)(l)
and Section 1416 (excerpt) for Purposes of Exemption from Community Service
Social Security Act:
216(i)(1): Except for purposes of sections 202(d), 202(e), 202(f), 223, and 225, the term
“disability” means (A) inability to engage in any substantial gainful activity by reason of any
medically determinable physical or mental impairment which can be expected to result in death
or has lasted or can be expected to last for a continuous period of not less than 12 months, or (B)
blindness; and the term “blindness” means central visual acuity of 20/200 or less in the better eye
with the use of a correcting lens. An eye which is accompanied by a limitation in the fields of
vision such that the widest diameter of the visual field subtends an angle no greater than 20
degrees shall be considered for purposes of this paragraph as having a central visual acuity of
20/200 or less.
Section 1416 (excerpt):
SEC. 1614. [42 U.S.C. 1382c] (a)(1) For purposes of this title, the term “aged, blind, or disabled
individual” means an individual who—
(A) is 65 years of age or older, is blind (as determined under paragraph (2)), or is
disabled (as determined under paragraph (3)), and
(B)(i) is a resident of the United States, and is either (I) a citizen or (II) an alien lawfully
admitted for permanent residence or otherwise permanently residing in the United States
under color of law (including any alien who is lawfully present in the United States as a
result of the application of the provisions of section 212(d)(5) of the Immigration and
Nationality Act), or
(ii) is a child who is a citizen of the United States and, who is living with a parent of the
child who is a member of the Armed Forces of the United States assigned to permanent
duty ashore outside the United States.
(2) An individual shall be considered to be blind for purposes of this title if he has central
visual acuity of 20/200 or less in the better eye with the use of a correcting lens. An eye
which is accompanied by a limitation in the fields of vision such that the widest diameter
of the visual field subtends an angle no greater than 20 degrees shall be considered for
purposes of the first sentence of this subsection as having a central visual acuity of
20/200 or less. An individual shall also be considered to be blind for purposes of this title
if he is blind as defined under a State plan approved under title X or XVI as in effect for
October 1972 and received aid under such plan (on the basis of blindness) for December
1973, so long as he is continuously blind as so defined.
(3)(A) Except as provided in subparagraph (C), an individual shall be considered to be
disabled for purposes of this title if he is unable to engage in any substantial gainful
activity by reason of any medically determinable physical or mental impairment which
can be expected to result in death or which has lasted or can be expected to last for a
continuous period of not less than twelve months.
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Exhibit 11-3: PHA Determination of Exemption for Community Service
Family:
Adult family member:
This adult family member meets the requirements for being exempted from the PHA’s
community service requirement for the following reason:
62 years of age or older. (Documentation of age in file)
Is a person with disabilities and self-certifies below that he or she is unable to comply
with the community service requirement. (Documentation of HUD definition of disability
in file)
Tenant certification: I am a person with disabilities and am unable to comply with the
community service requirement.
Signature of Family Member
Date
Is the primary caretaker of such an individual in the above category. (Documentation in
file)
Is engaged in work activities. (Employment Verification in file)
Is able to meet requirements under a state program funded under part A of title IV of the
Social Security Act, or under any other welfare program of the state in which the PHA is
located, including a state-administered welfare-to-work (Documentation in file)
Is a member of a family receiving assistance, benefits, or services under a state program
funded under part A of title IV of the Social Security Act, or under any other welfare
program of the state in which the PHA is located, including a state-administered welfare-
to-work program and the supplemental nutrition assistance program (SNAP), and has not
been found by the state or other administering entity to be in noncompliance with such
program (Documentation in file)
Signature of Family Member
Date
11-19
Signature of PHA Official
Date
Exhibit 11-4: CSSR Work-Out Agreement
Date:
Noncompliant Adult:
Adult family member:
Community Service & Self-Sufficiency Requirement (CSSR):
Under Section 12 of the U.S. Housing Act, the _______________ (insert name of PHA) is
required to enforce the community service and self-sufficiency requirement (CSSR). Under the
CSSR, each nonexempt adult family member residing in public housing must perform 8 hours
per month of community service or self-sufficiency activities.
Noncompliance: ____________ (insert name of PHA) has found that the nonexempt individual
named above is in noncompliance with the CSSR. This work-out agreement is the PHA’s written
notification to you of this noncompliance.
Our records show that for the most recent lease term you were required to perform
hours of CSSR activities. However, there were
hours of
verified CSSR activities. Therefore, you are in noncompliance for
hours.
__________ (insert name of PHA) will not renew the lease at the end of the current 12-month
lease term unless the head of household and noncompliant adult sign a written work-out
agreement with __________ (insert name of PHA) or the family provides written assurance that
is satisfactory to _______________ (insert name of PHA) explaining that the noncompliant adult
no longer resides in the unit. The regulations require that the work-out agreement include the
means through which a noncompliant family member will comply with the CSSR requirement.
[24 CFR 960.607(c), Notice PIH 2015-12]. The terms of the CSSR work-out agreement are on
the reverse side of this page.
Enforcement: Should a family member refuse to sign this CSSR work-out agreement, or fail to
comply with the terms of this CSSR work-out agreement, or fail to provide satisfactory written
assurance that the noncompliant adult no longer resides in the unit, _________ (insert name of
PHA) is required to initiate termination of tenancy proceedings at the end of the current 12-
month lease [24 CFR 966.53(c)].
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Terms of CSSR Work-Out Agreement
Noncompliant Adult:
Please check one of the below boxes:
I [head of household or spouse/cohead] certify that the noncompliant adult named above
no longer resides in the unit. [Verification attached.]
I, the noncompliant adult named above, agree to complete
hours in the
upcoming 12-month lease term. These hours include the
hours not fulfilled in
the most previous lease term, plus the 96 hours for the upcoming lease term.
Below is a description of means through which I will comply with the CSSR
requirement:
Description of Activity
Number of Hours
1.
2.
3.
4.
5.
Total Hours
SIGNED AND ATTESTED THIS DATE
Signature:
Date:
Head of Household
Signature:
Date:
Noncompliant Adult, if other than Head of Household
Signature:
Date:
PHA Official
12-1
CHAPTER 12
TRANSFER POLICY
INTRODUCTION
This chapter explains the PHA’s transfer policy, based on HUD regulations, HUD guidance, and
PHA policy decisions.
This chapter describes HUD regulations and PHA policies related to transfers in four parts:
Part I: Emergency Transfers. This part describes emergency transfers, emergency transfer
procedures, and payment of transfer costs.
Part II: PHA Required Transfers. This part describes types of transfers that may be
required by the PHA, notice requirements, and payment of transfer costs.
Part III: Transfers Requested by Residents. This part describes types of transfers that may
be requested by residents, eligibility requirements, security deposits, payment of transfer
costs, and handling of transfer requests.
Part IV: Transfer Processing. This part describes creating a waiting list, prioritizing
transfer requests, the unit offer policy, examples of good cause, deconcentration,
transferring to another development and reexamination.
The PHA may require the tenant to move from the unit under some circumstances. There are
also emergency circumstances under which alternate accommodations for the tenant must be
provided, that may or may not require a transfer.
The tenant may also request a transfer, such as a request for a new unit as a reasonable
accommodation.
The PHA must have specific policies in place to deal with acceptable transfer requests.
PART I: EMERGENCY TRANSFERS
12-I.A. Overview
HUD categorizes certain situations that require emergency transfers [PH Occ GB, p. 147]. The
emergency transfer differs from a typical transfer in that it requires immediate action by the
12-2
PHA.
In the case of a genuine emergency, it may be unlikely that the PHA will have the time or
resources to immediately transfer a tenant. Due to the immediate need to vacate the unit, placing
the tenant on a transfer waiting list would not be appropriate. Under such circumstances, if an
appropriate unit is not immediately available, the PHA should find alternate accommodations for
the tenant until the emergency passes, or a permanent solution, i.e., return to the unit or transfer
to another unit, is possible.
12-I.B. Emergency Transfers
If the dwelling unit is damaged to the extent that conditions are created which are hazardous to
life, health, or safety of the occupants, the PHA must offer standard alternative accommodations,
if available, where necessary repairs cannot be made within a reasonable time [24 CFR
966.4(h)].
The VAWA 2013 final rule requires the PHA to adopt an emergency transfer plan for victims of
domestic violence, dating violence, sexual assault, or stalking.
PHA Policy
The following are considered emergency circumstances warranting an immediate transfer
of the tenant or family:
Maintenance conditions in the resident’s unit, building or at the site that pose an
immediate, verifiable threat to the life, health or safety of the resident or family
members that cannot be repaired or abated within 24 hours. Examples of such unit
or building conditions would include: a gas leak, no heat in the building during
the winter, no water, toxic contamination, and serious water leaks.
A verified incident of domestic violence, dating violence, sexual assault, or
stalking. For instances of domestic violence, dating violence, sexual assault, or
stalking, the threat may be established through documentation outlined in section
16-VII.D, or by any proof accepted by the PHA. In order to request the
emergency transfer, the requestor must submit an emergency transfer request
form (HUD-5383) (Exhibit 16-3 of this ACOP), although the PHA may waive
this requirement in order to expedite the transfer process.
The PHA will immediately process requests for transfers due to domestic
violence, dating violence, sexual assault, or stalking. The PHA will allow a tenant
to make an internal emergency transfer under VAWA when a safe unit is
immediately available. If an internal transfer to a safe unit is not immediately
available, the PHA will assist the resident in seeking an external emergency
transfer either within or outside the PHA’s programs.
The PHA has adopted an emergency transfer plan, which is included as
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Exhibit 16-3 to this plan.
12-I.C. Emergency Transfer Procedures
PHA Policy
If the transfer is necessary because of maintenance conditions, and an appropriate unit is
not immediately available, the PHA will provide temporary accommodations to the
tenant by arranging for temporary lodging at a hotel or similar location. If the conditions
that required the transfer cannot be repaired, or the condition cannot be repaired in a
reasonable amount of time, the PHA will transfer the resident to the first available and
appropriate unit after the temporary relocation.
Emergency transfers are mandatory for the tenant.
If the emergency transfer is necessary to protect a victim of domestic violence, dating
violence, sexual assault, or stalking, the PHA will follow procedures outlined in Exhibit
16-3.
12-I.D. Costs of Transfer
PHA Policy
The PHA will bear the reasonable costs of temporarily accommodating the tenant and of
long term transfers, if any, due to emergency conditions.
The reasonable cost of an emergency transfer may include the lowest quote (usually of 3)
for movers as approved and agreed to by housing management staff. Other costs may
include the fees associated with disconnecting and reestablishment of any existing
resident paid utility, phone and cable/satellite services if services are in good standing at
the time of the disconnect.
PART II: PHA REQUIRED TRANSFERS
12-II.A. Overview
HUD regulations regarding transfers are minimal, leaving it up to the PHA to develop reasonable
transfer policies.
The PHA’s transfer policy must be reasonable, must ensure that families are not discriminated
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against based on race, color, religion, sex, national origin, age, familial status, and disability, and
must be applied consistently.
The PHA may require that a resident transfer to another unit under some circumstances. For
example, the PHA may require a resident to transfer to make an accessible unit available to a
disabled family. The PHA may also transfer a resident in order to maintain occupancy standards
based on family composition. Finally, a PHA may transfer residents in order to demolish or
renovate the unit.
A transfer that is required by the PHA is an adverse action, and is subject to the notice
requirements for adverse actions [24 CFR 966.4(e)(8)(i)].
12-II.B. Types of PHA Required Transfers
PHA Policy
The types of transfers that may be required by the PHA, include, but are not limited to,
transfers to make an accessible unit available for a disabled family, transfers to comply
with occupancy standards, transfers for demolition, disposition, revitalization, or
rehabilitation, and emergency transfers as discussed in Part I of this chapter.
Transfers required by the PHA are mandatory for the tenant.
Transfers to Make an Accessible Unit Available
When offering an accessible unit to an applicant not having handicaps requiring the accessibility
features of the unit, the PHA may require the applicant to agree (and may incorporate this
agreement in the lease) to move to a non-accessible unit when available. [24 CFR 8.27(b)].
PHA Policy
When a tenant who does not require accessibility features for disabled persons accepts an
accessible unit, the tenant acknowledges and agrees to transfer to a unit without such
features should another person eligible for housing assistance need the accessible
dwelling unit. The tenant further acknowledges the responsibility for all costs associated
with the transfer to another dwelling unit.
Occupancy Standards Transfers
The PHA may require a resident to move when a reexamination indicates that there has been a
change in family composition, and the family is either overcrowded or over-housed according to
PHA policy [24 CFR 960.257(a)(4)]. On some occasions, the PHA may initially place a resident
in an inappropriately sized unit at lease-up, where the family is over-housed, to prevent
vacancies. The public housing lease must include the tenant’s agreement to transfer to an
appropriately sized unit based on family composition [24 CFR 966.4(c)(3)].
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PHA Policy
The PHA will transfer a family when the family size has changed and the family is now
too large (overcrowded) or too small (over-housed) for the unit occupied.
For purposes of the transfer policy, overcrowded and over-housed are defined as follows:
Overcrowded: the number of household members exceeds the maximum number
of persons allowed for the unit size in which the family resides, according to the
chart in Section 5-I.B.
Over-housed: the family no longer qualifies for the bedroom size in which they
are living based on the PHA’s occupancy standards as described in Section 5-I.B.
The PHA may also transfer a family who was initially placed in a unit in which the
family was over-housed to a unit of an appropriate size based on the PHA’s occupancy
standards, when the PHA determines there is a need for the transfer.
The PHA may elect not to transfer an over-housed family in order to prevent vacancies.
A family that is required to move because of family size will be advised by the PHA that
a transfer is necessary and that the family has been placed on the transfer list.
Families that request and are granted an exception to the occupancy standards (for either
a larger or smaller size unit) in accordance with the policies in Section 5-I.C. will only be
required to transfer if it is necessary to comply with the approved exception.
Demolition, Disposition, Revitalizations, or Rehabilitation Transfers
These transfers permit the PHA to demolish, sell or do major capital or rehabilitation work at a
building site [PH Occ GB, page 148].
PHA Policy
The PHA will relocate a family when the unit or site in which the family lives is
undergoing major rehabilitation that requires the unit to be vacant, or the unit is being
disposed of or demolished. The PHA’s relocation plan may or may not require
transferring affected families to other available public housing units.
If the relocation plan calls for transferring public housing families to other public housing
units, affected families will be placed on the transfer list.
In cases of revitalization or rehabilitation, the family may be offered a temporary
relocation if allowed under Relocation Act provisions, and may be allowed to return to
their unit, depending on contractual and legal obligations, once revitalization or
rehabilitation is complete.
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12-II.C. Adverse Action [24 CFR 966.4(e)(8)(i)]
A PHA required transfer is an adverse action. As an adverse action, the transfer is subject to the
requirements regarding notices of adverse actions. If the family requests a grievance hearing
within the required timeframe, the PHA may not take action on the transfer until the conclusion
of the grievance process.
12-II.D. Cost of Transfer
PHA Policy
The PHA will bear the reasonable costs of transfers that the PHA requires, except that
residents will be required to bear the cost of occupancy standard transfers or transfers to
make an accessible unit available.
The reasonable costs of transfers that the PHA requires to make an accessible unit
available (see what is on Costs of Transfer for Emergency).
PART III: TRANSFERS REQUESTED BY TENANTS
12-III.A. Overview
HUD provides the PHA with discretion to consider transfer requests from tenants. The only
requests that the PHA is required to consider are requests for reasonable accommodation. All
other transfer requests are at the discretion of the PHA. To avoid administrative costs and
burdens, this policy limits the types of requests that will be considered by the PHA.
Some transfers that are requested by tenants should be treated as higher priorities than others due
to the more urgent need for the transfer.
12-III.B. Types of Resident Requested Transfers
PHA Policy
The types of requests for transfers that the PHA will consider are limited to requests for
transfers to alleviate a serious or life threatening medical condition, transfers due to a
threat of physical harm or criminal activity, reasonable accommodation, transfers to a
different unit size as long as the family qualifies for the unit according to the PHA’s
occupancy standards, and transfers to a location closer to employment. No other transfer
requests will be considered by the PHA.
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The PHA will consider the following as high priority transfer requests:
When a transfer is needed to alleviate verified medical problems of a serious or
life-threatening nature
When there has been a verified threat of physical harm or criminal activity. Such
circumstances may, at the PHA’s discretion, include an assessment by law
enforcement indicating that a family member is the actual or potential victim of a
criminal attack, retaliation for testimony, or a hate crime.
When a family requests a transfer as a reasonable accommodation. Examples of a
reasonable accommodation transfer include, but are not limited to, a transfer to a
first floor unit for a person with mobility impairment, or a transfer to a unit with
accessible features.
The PHA will consider the following as regular priority transfer requests:
When a family requests a larger bedroom size unit even though the family does
not meet the PHA’s definition of overcrowded, as long as the family meets the
PHA’s occupancy standards for the requested size unit
When the head of household or spouse is employed 25 miles or more from the
public housing unit, has no reliable transportation and public transportation is not
adequate.
Transfers requested by the tenant are considered optional for the tenant.
12-III.C. Eligibility for Transfer
Transferring residents do not have to meet the admission eligibility requirements pertaining to
income or preference. However, the PHA may establish other standards for considering a
transfer request [PH Occ GB, p. 150].
PHA Policy
Except where reasonable accommodation is being requested, the PHA will only consider
transfer requests from residents that meet the following requirements:
Have not engaged in criminal activity that threatens the health and safety or
residents and staff
Owe no back rent or other charges, or have a pattern of late payment
Have no housekeeping lease violations or history of damaging property
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Can get utilities turned on in the name of the head of household (applicable only
to properties with tenant-paid utilities)
A resident with housekeeping standards violations will not be transferred until the
resident passes a follow-up housekeeping inspection.
Exceptions to the good record requirement may be made when it is to the PHA’s
advantage to make the transfer.
Exceptions will also be made when the PHA determines that a transfer is necessary to
protect the health or safety of a resident who is a victim of domestic violence, dating
violence, sexual assault or stalking and who provides documentation of abuse in
accordance with section 16-VII.D of this ACOP. Tenants who are not in good standing
may still request an emergency transfer under VAWA.
12-III.D. Security Deposits
PHA Policy
When a family transfers from one unit to another, the PHA will transfer their security
deposit to the new unit. The tenant will be billed for any maintenance or others charges
due for the “old” unit.
12-III.E. Cost of Transfer
The PHA must pay moving expenses to transfer a resident with a disability to an accessible unit
as an accommodation for the resident’s disability [Notice PIH 2010-26].
PHA Policy
Residents who do not substantiate a disability-related need for a reasonable
accommodation will bear all of the costs of a transfer.
12-III.F. Handling of Requests
PHA Policy
Residents requesting a transfer to another unit or development will be required to submit
a written request for transfer.
In order to request the emergency transfer under VAWA, the resident will be required to
submit an emergency transfer request form (HUD-5383) (Exhibit 16-3 of this ACOP).
The PHA may, on a case-by-case basis, waive this requirement and accept a verbal
request in order to expedite the transfer process. If the PHA accepts an individual’s
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statement, the PHA will document acceptance of the statement in the individual’s file in
accordance with 16-VII.D. of this ACOP. Transfer requests under VAWA will be
processed in accordance with the PHA’s Emergency Transfer Plan (Exhibit 16-3).
In case of a reasonable accommodation transfer, the PHA will encourage the resident to
make the request in writing using a reasonable accommodation request form. However,
the PHA will consider the transfer request any time the resident indicates that an
accommodation is needed whether or not a formal written request is submitted.
The PHA will respond by approving the transfer and putting the family on the transfer
list, by denying the transfer, or by requiring more information or documentation from the
family, such as documentation of domestic violence, dating violence, sexual assault or
stalking in accordance with section 16-VII.D of this ACOP.
If the family does not meet the “good record” requirements under Section 12-III.C., the
manager will address the problem and, until resolved, the request for transfer will be
denied.
The PHA will respond within ten (10) business days of the submission of the family’s
request. If the PHA denies the request for transfer, the family will be informed of its
grievance rights.
PART IV: TRANSFER PROCESSING
12-IV.A. Overview
Generally, families who request a transfer should be placed on a transfer list and processed in a
consistent and appropriate order. The transfer process must be clearly auditable to ensure that
residents do not experience inequitable treatment.
12-IV.B. Transfer List
PHA Policy
The PHA will maintain a centralized transfer list to ensure that transfers are processed in
the correct order and that procedures are uniform across all properties.
Emergency transfers will not automatically go on the transfer list. Instead emergency
transfers will be handled immediately, on a case by case basis. If the emergency cannot
be resolved by a temporary accommodation, and the resident requires a permanent
transfer, the family will be placed at the top of the transfer list.
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Transfers will be processed in the following order:
1. Emergency transfers (hazardous maintenance conditions, VAWA)
2. High-priority transfers (verified medical condition, threat of
harm or criminal activity, and reasonable accommodation)
3. Transfers to make accessible units available
4. Demolition, renovation, etc.
5. Occupancy standards
6. Other PHA-required transfers
7. Other tenant-requested transfers
Within each category, transfers will be processed in order of the date a family was placed
on the transfer list, starting with the earliest date.
With the approval of the executive director, the PHA may, on a case-by-case basis,
transfer a family without regard to its placement on the transfer list in order to address the
immediate need of a family in crisis.
Demolition and renovation transfers will gain the highest priority as necessary to allow
the PHA to meet the demolition or renovation schedule.
Transfers will take precedence over waiting list admissions.
12-IV.C. Transfer Offer Policy
PHA Policy
Residents will receive one offer of a transfer.
When the transfer is required by the PHA, the refusal of that offer without good cause
will result in lease termination.
When the transfer has been requested by the resident, the refusal of that offer without
good cause will result in the removal of the family from the transfer list. In such cases,
the family must wait six months to reapply for another transfer.
12-IV.D. Good Cause for Unit Refusal
PHA Policy
Examples of good cause for refusal of a unit offer include, but are not limited to, the
following:
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The family demonstrates to the PHA’s satisfaction that accepting the unit offer
will require an adult household member to quit a job, drop out of an educational
institution or job training program, or take a child out of day care or an
educational program for children with disabilities.
The family demonstrates to the PHA’s satisfaction that accepting the offer will
place a family member’s life, health or safety in jeopardy. The family should offer
specific and compelling documentation such as restraining orders, other court
orders, or risk assessments related to witness protection from a law enforcement
agency, or documentation of domestic violence, dating violence, sexual assault, or
stalking in accordance with section 16-VII.D of this ACOP. Reasons offered must
be specific to the family. Refusals due to location alone do not qualify for this
good cause exemption.
A health professional verifies temporary hospitalization or recovery from illness
of the principal household member, other household members (as listed on final
application) or live-in aide necessary to the care of the principal household
member.
The unit is inappropriate for the applicant’s disabilities, or the family does not
need the accessible features in the unit offered and does not want to be subject to
a 30-day notice to move.
The PHA will require documentation of good cause for unit refusals.
12-IV.E. Deconcentration
PHA Policy
If subject to deconcentration requirements, the PHA will consider its deconcentration
goals when transfer units are offered. When feasible, families above the Established
Income Range will be offered a unit in a development that is below the Established
Income Range, and vice versa, to achieve the PHA’s deconcentration goals. A
deconcentration offer will be considered a “bonus” offer; that is, if a resident refuses a
deconcentration offer, the resident will receive one additional transfer offer.
12-IV.F. Reexamination Policies for Transfers
PHA Policy
The reexamination date will be changed to the first of the month in which the transfer
took place.
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CHAPTER 13
LEASE TERMINATIONS
INTRODUCTION
Either party to the dwelling lease agreement may terminate the lease in accordance with the
terms of the lease. A public housing lease is different from a private dwelling lease in that the
family’s rental assistance is tied to their tenancy. When the family moves from their public
housing unit, they lose their rental assistance. Therefore, there are additional safeguards to
protect the family’s tenancy in public housing.
Likewise, there are safeguards to protect HUD’s interest in the public housing program. The
PHA has the authority to terminate the lease because of the family’s failure to comply with HUD
regulations, for serious or repeated violations of the terms of the lease, and for other good cause.
HUD regulations also specify when termination of the lease is mandatory by the PHA.
When determining PHA policy on terminations of the lease, the PHA must consider state and
local landlord-tenant laws in the area where the PHA is located. Such laws vary from one
location to another, and these variances may be either more or less restrictive than federal law or
HUD regulation.
This chapter presents the policies that govern voluntary termination of the lease by the family
and the mandatory and voluntary termination on the lease by the PHA. It is presented in four
parts:
Part I: Termination by Tenant. This part discusses the PHA requirements for voluntary
termination of the lease by the family.
Part II: Termination by PHA - Mandatory. This part describes circumstances when
termination of the lease by the PHA is mandatory. This part also explains nonrenewal of
the lease for noncompliance with community service requirements.
Part III: Termination by PHA – Other Authorized Reasons. This part describes the PHA’s
options for lease termination that are not mandated by HUD regulation but for which
HUD authorizes PHAs to terminate. For some of these options HUD requires the PHA to
establish policies and lease provisions for termination, but termination is not mandatory.
For other options the PHA has full discretion whether to consider the options as just
cause to terminate as long as the PHA policies are reasonable, nondiscriminatory, and do
not violate state or local landlord-tenant law. This part also discusses the alternatives that
the PHA may consider in lieu of termination, and the criteria the PHA will use when
deciding what actions to take.
Part IV: Notification Requirements. This part presents the federal requirements for
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disclosure of criminal records to the family prior to termination, the HUD requirements
and PHA policies regarding the timing and content of written notices for lease
termination and eviction, and notification of the post office when eviction is due to
criminal activity. This part also discusses record keeping related to lease termination.
PART I: TERMINATION BY TENANT
13-I.A. Tenant Chooses To Terminate The Lease [24 CFR 966.4(k)(1)(ii) and 24 CFR
966.4(l)(1)]
The family may terminate the lease at any time, for any reason, by following the notification
procedures as outlined in the lease. Such notice must be in writing and delivered to the property
site office or the PHA central office or sent by pre-paid first-class mail, properly addressed.
PHA Policy
If a family desires to move and terminate their tenancy with the PHA, they must give at
least 30 calendar days advance written notice to the PHA of their intent to vacate. When a
family must give less than 30 days’ notice due to circumstances beyond their control the
PHA, at its discretion, may waive the 30-day requirement.
The notice of lease termination must be signed by the head of household, spouse, or
cohead.
PART II: TERMINATION BY PHA – MANDATORY
13-II.A. Overview
HUD requires mandatory termination of the lease for certain actions or inactions of the family.
There are other actions or inaction is of the family that constitutes grounds for lease termination,
but the lease termination is not mandatory. The PHA must establish policies for termination of
the lease in these cases where termination is optional for the PHA.
For those tenant actions or failures to act where HUD requires termination, the PHA has no such
option. In those cases, the family’s lease must be terminated. This part describes situations in
which HUD requires the PHA to terminate the lease.
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13-II.B. Failure to Provide Consent [24 CFR 960.259(a) and (b)]
The PHA must terminate the lease if any family member fails to sign and submit any consent
form s/he is required to sign for any reexamination. See Chapter 7 for a complete discussion of
consent requirements.
13-II.C. Failure To Document Citizenship [24 CFR 5.514(c) and (d) and 24 CFR
960.259(a)]
The PHA must terminate the lease if (1) a family fails to submit required documentation within
the required timeframe concerning any family member’s citizenship or immigration status; (2) a
family submits evidence of citizenship and eligible immigration status in a timely manner, but
United States Citizenship and Immigration Services (USCIS) primary and secondary verification
does not verify eligible immigration status of the family, resulting in no eligible family members;
or (3) a family member, as determined by the PHA, has knowingly permitted another individual
who is not eligible for assistance to reside (on a permanent basis) in the unit. For (3), such
termination must be for a period of at least 24 months. This does not apply to ineligible
noncitizens already in the household where the family’s assistance has been prorated.
See Chapter 7 for a complete discussion of documentation requirements.
13-II.D. Failure To Disclose And Document Social Security Numbers [24 CFR 5.218(c),24
CFR 960.259(a)(3), Notice PIH 2018-24]
The PHA must terminate assistance if a participant family fails to disclose the complete and
accurate social security numbers of each household member and the documentation necessary to
verify each social security number.
However, if the family is otherwise eligible for continued program assistance, and the PHA
determines that the family’s failure to meet the SSN disclosure and documentation requirements
was due to circumstances that could not have been foreseen and were outside of the family’s
control, the PHA may defer the family’s termination and provide the opportunity to comply with
the requirement within a period not to exceed 90 calendar days from the date the PHA
determined the family to be noncompliant.
PHA Policy
The PHA will defer the family’s termination and provide the family with the opportunity
to comply with the requirement for a period of 90 calendar days for circumstances beyond the
participant’s control such as delayed processing of the SSN application by the SSA, natural
disaster, fire, death in the family, or other emergency, if there is a reasonable likelihood that the
participant will be able to disclose an SSN by the deadline.
See Chapter 7 for a complete discussion of documentation and certification requirements.
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13-II.E. Failure To Accept The PHA’s Offer of A Lease Revision [24 CFR 966.4(l)(2)(ii)(E)]
The PHA must terminate the lease if the family fails to accept the PHA’s offer of a lease revision
to an existing lease, provided the PHA has done the following:
The revision is on a form adopted by the PHA in accordance with 24 CFR 966.3 pertaining to
requirements for notice to tenants and resident organizations and their opportunity to present
comments.
The PHA has made written notice of the offer of the revision at least 60 calendar days before
the lease revision is scheduled to take effect.
The PHA has specified in the offer a reasonable time limit within that period for acceptance
by the family.
See Chapter 8 for information pertaining to PHA policies for offering lease revisions.
13-II.F. Methamphetamine Conviction [24 CFR 966.4(l)(5)(i)(A)]
The PHA must immediately terminate the lease if the PHA determines that any household
member has ever been convicted of the manufacture or production of methamphetamine on the
premises of federally-assisted housing.
See Part 13-III.B. below for the HUD definition of premises.
13-II.G. Lifetime Registered Sex Offenders (PIH Notice 2012-28)
Should a PHA discover that a member of an assisted household was subject to a lifetime
registration requirement at admission and was erroneously admitted after June 25, 2001, the
PHA must immediately terminate assistance for the household member.
In this situation, the PHA must offer the family the opportunity to remove the ineligible family
member from the household. If the family is unwilling to remove that individual from the
household, the PHA must terminate assistance for the household.
13-II.H. Noncompliance With Community Service Requirements [24 CFR 966.4(l)(2)(ii)(D),
24 CFR 960.603(b) and 24 CFR 960.607(b)(2)(ii) and (c)]
The PHA is prohibited from renewing the lease at the end of the 12 month lease term when the
family fails to comply with the community service requirements as described in Chapter 11.
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13-II.I. DEATH OF A SOLE FAMILY MEMBER [Notice PIH 2010-3, Notice PIH 2010-50])
The PHA should confirm the death through EIV Deceased report or with the family’s head of
household or listed emergency contact person. If the individual is deceased and the only
household member (single member household), the PHA should complete an End of
Participation (EOP) action on form HUD-50058, and discontinue assistance and/or tenancy. If
there are remaining household members, update the family composition accordingly, complete
an Interim Reexamination action on form HUD-50058, and take any other action in accordance
with HUD guidance and PHA-established policies.
If there are unauthorized persons (including a live-in aide) in the unit of a deceased single
member household you must pursue judicial intervention to have them lawfully removed from
the unit. You may be found liable for a wrongful eviction if you change the locks on the unit to
prevent the unauthorized occupants from entering the unit. Follow your local Tenant and
Landlord laws to regain possession of the unit.
Upon notification of the death, either by HUD’s EIV system or a third party, the family or
designee of the deceased tenant’s estate should be allotted a minimum of fourteen (14)
consecutive days to remove personal belongings from the unit in accordance with the guidance
below. This guidance is designed to afford families a reasonable time frame to remove personal
belongings from the public housing unit and enable the PHA to prepare the unit, as quickly as
possible, for occupancy by the next eligible family in need of affordable housing.
While there is no HUD requirement for the time frame allotted to the family or designee of the
deceased tenant’s estate, HUD recommends an allotted time frame of fourteen (14) consecutive
days, beginning the day after the date of notification, for the family or designee of the
descendant’s estate to remove personal belongings from the public housing unit unless:
1.
There is a state or local law which requires a shorter or longer time frame to remove
personal belongings. In those instances, the PHA must comply with local and/or state law;
or
2.
The rent has been paid for the month in which the death occurs, in advance of the date of
death. In those instances, the family or designee of the deceased tenant’s estate should be
allotted time through the end of the month in which the rent has been paid, or fourteen
consecutive days from the date the PHA is notified of the death, whichever is greater.
a. Example 1: As of August 1, 2010, Joe Jones has paid rent through August 31, 2010.
Mr. Jones died on August 22, 2010, and the PHA is notified of the death
by Mr. Jones’ sister on August 23, 2010. The family or designee of the
deceased tenant’s estate has until September 6, 2010, to remove personal
belongings from the unit, unless state or local landlord laws authorize a
shorter or longer time period.
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b. Example 2: As of August 1, 2010, Mary Smith has paid rent through September 30,
2010. Ms. Smith died on August 22, 2010, and the PHA is notified of the
death by a 3rd party on August 24, 2010. The family or designee of the
deceased tenant’s estate has until September 30, 2010, to remove personal
belongings from the unit, unless state or local landlord laws authorize a
shorter or longer time period.
c. Example 3: As of August 1, 2010, John Doe has not paid rent for August 2010. Mr.
Doe died on August 10, 2010, and the PHA is notified of the death by Mr.
Doe’s friend on August 12, 2010. The family or designee of the deceased
tenant’s estate has until August 26, 2010, to remove personal belongings
from the unit, unless state or local landlord laws authorize a shorter or
longer time period.
PHAs are reminded to comply with local and state established tenant-landlord laws with respect
to lease termination, possession of premises upon death and removal of personal belongings from
the public housing unit.
PART III: TERMINATION BY PHA – OTHER AUTHORIZED REASONS
13-III.A. Overview
Besides requiring PHAs to terminate the lease under the circumstances described in Part II, HUD
requires the PHA to establish provisions in the lease for termination pertaining to certain
criminal activity, alcohol abuse, and certain household obligations stated in the regulations.
While these provisions for lease termination must be in the lease agreement, HUD does not
require PHAs to terminate for such violations in all cases. The PHA has the discretion to
consider circumstances surrounding the violation or, in applicable situations, whether the
offending household member has entered or completed rehabilitation, and the PHA may, as an
alternative to termination, require the exclusion of the culpable household member. The PHA
must adopt policy decisions concerning the use of these options.
In addition, HUD authorizes PHAs to terminate the lease for other grounds, but for only those
grounds that constitute serious or repeated violations of material terms of the lease or for other
good cause. The PHA must develop policies pertaining to what constitutes serious or repeated
lease violations, and other good cause, based upon the content of the PHA lease. In the
development of the terms of the lease, the PHA must consider the limitations imposed by state
and local landlord-tenant law, as well as HUD regulations and federal statutes. Because of
variations in state and local landlord-tenant law, and because HUD affords PHAs wide discretion
in some areas, a broad range of policies could be acceptable.
The PHA also has the option to terminate the tenancies of families who are over income.
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The PHA may consider alternatives to termination and must establish policies describing the
criteria the PHA will use when deciding what action to take, the types of evidence that will be
acceptable, and the steps the PHA must take when terminating a family’s lease.
13-III.B. Mandatory Lease Provisions [24 CFR 966.4(l)(5)]
This section addresses provisions for lease termination that must be included in the lease
agreement according to HUD regulations. Although the provisions are required, HUD does not
require PHAs to terminate for such violations in all cases, therefore PHA policies are needed.
Definitions [24 CFR 5.100]
The following definitions will be used for this and other parts of this chapter:
Affiliated individual is defined in section 16-VII.B.
Covered person means a tenant, any member of the tenant’s household, a guest, or another
person under the tenant’s control.
Dating violence is defined in section 3-III.F.
Domestic violence is defined in section 3-III.F.
Drug means a controlled substance as defined in section 102 of the Controlled Substances Act
[21 U.S.C. 802].
Drug-related criminal activity means the illegal manufacture, sale, distribution, or use of a drug,
or the possession of a drug with the intent to manufacture, sell, distribute, or use the drug.
Guest means a person temporarily staying in the unit with the consent of a tenant or other
member of the household who has express or implied authority to so consent on behalf of the
tenant.
Household means the family and PHA-approved live-in aide. The term household also includes
foster children and/or foster adults that have been approved to reside in the unit [HUD-50058,
Instruction Booklet, p. 65].
Affiliated individual is defined in section 3-III.F.
Other person under the tenant’s control means that the person, although not staying as a guest in
the unit, is, or was at the time of the activity in question, on the premises because of an invitation
from the tenant or other member of the household who has express or implied authority to so
consent on behalf of the tenant. Absent evidence to the contrary, a person temporarily and
infrequently on the premises solely for legitimate commercial purposes is not under the tenant’s
control.
13-8
Premises means the building or complex or development in which the public or assisted housing
dwelling unit is located, including common areas and grounds.
Sexual assault is defined in section 16-VII.B.
Stalking is defined in section 16-VII.B.
Violent criminal activity means any criminal activity that has as one of its elements the use,
attempted use, or threatened use of physical force substantial enough to cause, or be reasonably
likely to cause, serious bodily injury or property damage.
Drug Crime On or Off the Premises [24 CFR 966.4(l)(5)(i)(B)]
The lease must provide that drug-related criminal activity engaged in on or off the premises by
the tenant, member of the tenant’s household or guest, or any such activity engaged in on the
premises by any other person under the tenant’s control is grounds for termination.
PHA Policy
The PHA will terminate the lease for drug-related criminal activity engaged in, on, or
off the premises by any tenant, member of the tenant’s household or guest, and any such
activity engaged in on the premises by any other person under the tenant’s control.
The PHA will consider all credible evidence, including but not limited to, Police
Reports, any record of arrests or convictions of covered persons related to the drug-
related criminal activity.
A record or records of arrest(s) will not be used as the sole basis for the termination or
proof that the participant engaged in disqualifying criminal activity.
In making its decision to terminate the lease, the PHA will consider alternatives as described in
Section 13-III.D and other factors as described in Section 13-III.E. Upon consideration of such
alternatives and factors, the PHA may, on a case-by-case basis, choose not to terminate the lease.
Illegal Use of a Drug [24 CFR 966.4(l)(5)(i)(B)]
The lease must provide that a PHA may evict a family when the PHA determines that a
household member is illegally using a drug or that a pattern of illegal use of a drug interferes
with the health, safety, or right to peaceful enjoyment of the premises by other residents.
PHA Policy
The PHA will terminate the lease when the PHA determines that a household member is
illegally using a drug or the PHA determines that a pattern of illegal use of a drug interferes
with the health, safety, or right to peaceful enjoyment of the premises by other residents.
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A pattern of illegal drug use means more than one incident of any use of illegal drugs during
the previous six-6 months.
The PHA will consider all credible evidence, including but not limited to, Police Reports, or
any record of arrests or convictions of household members related to the use of illegal drugs.
A record or records of arrest(s) will not be used as the sole basis for the termination or proof
that the participant engaged in disqualifying criminal activity.
In making its decision to terminate the lease, the PHA will consider alternatives as described
in Section 13-III.D and other factors as described in Section 13-III.E. Upon consideration of
such alternatives and factors, the PHA may, on a case-by-case basis, choose not to terminate
the lease.
State laws purporting to legalize medical marijuana directly conflict with the admission
and continued requirements of the Quality Housing and Work Responsibility Act of
1998 (“Public Housing Reform Act”) and are thus subject to preemption. [September
24, 1999 HUD Letter Re: Medical Use of Marijuana]
PHA Policy
The use, possession, or growing of marijuana by any household member on the
premises of a subsidized unit is grounds for termination of assistance. The
“premises” includes, but is not limited to, the interior and exterior of the
subsidized unit, patio/balcony, sidewalks, walkways, recreation areas/common
areas, laundry room, parking lot, etc.).
Household members with a “medical marijuana card” are not exempt from this
rule.
The use of marijuana may include smoking, edibles, or other forms of the drug.
Threat to Other Residents [24 CFR 966.4(l)(5)(ii)(A)]
The lease must provide that any criminal activity by a covered person that threatens the health,
safety, or right to peaceful enjoyment of the premises by other residents (including PHA
management staff residing on the premises) or by persons residing in the immediate vicinity of
the premises are grounds for termination of tenancy.
PHA Policy
The PHA will terminate the lease when a covered person engages in any criminal activity
that threatens the health, safety, or right to peaceful enjoyment of the premises by other
residents (including PHA management staff residing on the premises) or by persons
residing in the immediate vicinity of the premises.
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Immediate vicinity means within a three-block radius of the premises.
The PHA will consider all credible evidence, including but not limited to, Police Reports,
any record of arrests or convictions of covered persons related to the criminal activity.
In making its decision to terminate the lease, the PHA will consider alternatives as
described in Section 13-III.D and other factors as described in Sections 13-III.E and
13-III.F. Upon consideration of such alternatives and factors, the PHA may, on a case-by-
case basis, choose not to terminate the lease.
Alcohol Abuse [24 CFR 966.4(l)(5)(vi)(A)]
PHAs must establish standards that allow termination of tenancy if the PHA determines that a
household member has engaged in abuse or pattern of abuse of alcohol that threatens the health,
safety, or right to peaceful enjoyment of the premises by other residents.
PHA Policy
The PHA will terminate the lease if the PHA determines that a household member has
engaged in abuse or a pattern of abuse of alcohol that threatens the health, safety, or right
to peaceful enjoyment of the premises by other residents.
A pattern of such alcohol abuse means more than one incident of any such abuse of
alcohol during the previous six months.
The PHA will consider all credible evidence, including but not limited to, Police Reports,
any record of arrests or convictions of household members related to the abuse of
alcohol.
In making its decision to terminate the lease, the PHA will consider alternatives as
described in Section 13-III.D and other factors as described in Sections 13-III.E and
13-III.F. Upon consideration of such alternatives and factors, the PHA may, on a case-by-
case basis, choose not to terminate the lease.
Furnishing False or Misleading Information Concerning Illegal Drug Use or Alcohol Abuse
or Rehabilitation [24 CFR 966.4(l)(5)(vi)(B)]
PHAs must establish standards that allow termination of tenancy if the PHA determines that a
household member has furnished false or misleading information concerning illegal drug use,
alcohol abuse, or rehabilitation of illegal drug users or alcohol abusers.
PHA Policy
The PHA will terminate the lease if the PHA determines that a household member has
furnished false or misleading information concerning illegal drug use, alcohol abuse, or
rehabilitation of illegal drug users or alcohol abusers.
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The PHA will consider all credible evidence, including but not limited to, Police Reports,
any record of arrests or convictions of household members related to the use of illegal
drugs or the abuse of alcohol, and any records or other documentation (or lack of records
or documentation) supporting claims of rehabilitation of illegal drug users or alcohol
abusers.
In making its decision to terminate the lease, the PHA will consider alternatives as
described in Section 13-III.D and other factors as described in Section 13-III.E. Upon
consideration of such alternatives and factors, the PHA may, on a case-by-case basis,
choose not to terminate the lease.
Other Serious or Repeated Violations of Material Terms of the Lease – Mandatory Lease
Provisions [24 CFR 966.4(l)(2)(i) and 24 CFR 966.4(f)]
HUD regulations require certain tenant obligations to be incorporated into the lease. Violations
of such regulatory obligations are considered to be serious or repeated violations of the lease and
grounds for termination. Incidents of actual or threatened domestic violence, dating violence,
sexual assault, or stalking may not be construed as serious or repeated violations of the lease by
the victim or threatened victim of such violence or stalking [Pub.L. 109-162].
PHA Policy
The PHA will terminate the lease for the following violations of tenant obligations under
the lease:
Failure to make payments due under the lease, including nonpayment of rent (see Chapter
8 for details pertaining to lease requirements for payments due);
Repeated late payment of rent or other charges: Six (6) four (4) late payments within the
last lease period shall constitute a repeated late payment.
Failure to fulfill the following household obligations:
Not to assign the lease or to sublease the dwelling unit. Subleasing includes receiving
payment to cover rent and utility costs by a person living in the unit who is not listed
as a family member.
Not to provide accommodations for boarders or lodgers
To use the dwelling unit solely as a private dwelling for the tenant and the tenant’s
household as identified in the lease, and not to use or permit its use for any other
purpose
To abide by necessary and reasonable regulations promulgated by the PHA for the
benefit and well-being of the housing project and the tenants which shall be posted in
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the project office and incorporated by reference in the lease.
To comply with all obligations imposed upon tenants by applicable provisions of
building and housing codes materially affecting health and safety
To keep the dwelling unit and such other areas as may be assigned to the tenant for
the tenant’s exclusive use in a clean and safe condition
To dispose of all ashes, garbage, rubbish, and other waste from the dwelling unit in a
sanitary and safe manner
To use only in a reasonable manner all electrical, plumbing, sanitary, heating,
ventilating, air-conditioning and other facilities and appurtenances including elevators
To refrain from, and to cause the household and guests to refrain from destroying,
defacing, damaging, or removing any part of the dwelling unit or project
To pay reasonable charges (other than for normal wear and tear) for the repair of
damages to the dwelling unit, or to the project (including damages to project buildings,
facilities or common areas) caused by the tenant, a member of the household or a guest
To act, and cause household members or guests to act, in a manner which will not disturb
other residents’ peaceful enjoyment of their accommodations and will be conducive to
maintaining the project in a decent, safe and sanitary condition
In making its decision to terminate the lease, the PHA will consider alternatives as
described in Section 13-III.D and other factors as described in Sections 13-III.E and
13 III.F. Upon consideration of such alternatives and factors, the PHA may, on a case-by-
case basis, choose not to terminate the lease.
13-III.C. Other Authorized Reasons For Termination [24 CFR 966.4(l)(2) and (5)(ii)(B)]
HUD authorizes PHAs to terminate the lease for reasons other than those described in the
previous sections. These reasons are referred to as “other good cause.”
Other Good Cause [24 CFR 966.4(l)(2)(ii)(B) and (C)]
HUD regulations state that the PHA may terminate tenancy for other good cause. The regulations
provide a few examples of other good cause, but do not limit the PHA to only those examples.
The Violence against Women Reauthorization Act of 2013 explicitly prohibits PHAs from
considering incidents of actual or threatened domestic violence, dating violence, sexual assault,
or stalking as “other good cause” for terminating the tenancy or occupancy rights of the victim of
such violence.
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PHA Policy
The PHA will terminate the lease for the following reasons.
Fugitive Felon or Parole Violator. If a tenant is fleeing to avoid prosecution, or custody or
confinement after conviction, for a crime, or attempt to commit a crime, that is a felony
under the laws of the place from which the individual flees, or that, in the case of the State
of New Jersey, is a high misdemeanor; or violating a condition of probation or parole
imposed under federal or state law.
Persons subject to sex offender registration requirement. If any member of the household
has, during their current public housing tenancy, become subject to a registration
requirement under a state sex offender registration program.
Discovery of facts after admission to the program that would have made the tenant
ineligible
Discovery of material false statements or fraud by the tenant in connection with an
application for assistance or with reexamination of income
Failure to furnish such information and certifications regarding family composition and
income as may be necessary for the PHA to make determinations with respect to rent,
eligibility, and the appropriateness of the dwelling unit size
Failure to transfer to an appropriate size dwelling unit based on family composition, upon
appropriate notice by the PHA that such a dwelling unit is available
Failure to permit access to the unit by the PHA after proper advance notification for the
purpose of performing routine inspections and maintenance, for making improvements or
repairs, or to show the dwelling unit for re-leasing, or without advance notice if there is
reasonable cause to believe that an emergency exists
Failure to promptly inform the PHA of the birth, adoption or court-awarded custody of a
child. In such a case, promptly means within 10 business days of the event.
Failure to abide by the provisions of the PHA pet policy
If the family has breached the terms of a repayment agreement entered into with the PHA
If a family member has violated federal, state, or local law that imposes obligations in
connection with the occupancy or use of the premises.
If a household member has engaged in or threatened violent or abusive behavior toward
PHA personnel.
Abusive or violent behavior towards PHA personnel includes verbal as well as
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physical abuse or violence. Use of racial epithets, or other language, written or
oral, that is customarily used to intimidate may be considered abusive or violent
behavior.
Threatening refers to oral or written threats or physical gestures that communicate
intent to abuse or commit violence.
In making its decision to terminate the lease, the PHA will consider alternatives as
described in Section 13-III.D and other factors described in Sections 13-III.E and
13 III.F. Upon consideration of such alternatives and factors, the PHA may, on a case-by-
case basis, choose not to terminate the lease.
Family Absence from Unit [24 CFR 982.551(i)]
It is reasonable that the family may be absent from the public housing unit for brief periods.
However, the PHA needs a policy on how long the family may be absent from the unit. Absence
in this context means that no member of the family is residing in the unit.
PHA Policy
The family must supply any information or certification requested by the PHA to verify
that the family is living in the unit, or relating to family absence from the unit, including
any PHA-requested information or certification on the purposes of family absences. The
family must cooperate with the PHA for this purpose.
The family must promptly notify the PHA when all family members will be absent from
the unit for an extended period. An extended period is defined as any period greater than
30 calendar days. In such a case promptly means within 10 business days of the start of
the extended absence.
If a family is absent from the public housing unit for more than 30 consecutive days, and
the family does not adequately verify that they are living in the unit, the PHA will
terminate the lease for other good cause.
Abandonment of the unit. If the family appears to have vacated the unit without giving
proper notice, the PHA will follow state and local landlord-tenant law pertaining to
abandonment before taking possession of the unit. If necessary, the PHA will secure the
unit immediately to prevent vandalism and other criminal activity.
Over-Income Families [24 CFR 960.261 and FR 7/26/2018; PIH Notice 2019-11]
A. Subject to certain restrictions, HUD authorizes PHAs to evict or terminate the tenancies of
families because they are over income. Unless required to do so by local law, the PHA may
not evict or terminate the tenancy of a family solely because the family is over income if: (1)
the family has a valid contract of participation in the Family Self-Sufficiency (FSS) program,
or (2) the family is currently receiving the earned income disallowance. This rule does not
require PHAs to evict over-income residents, but rather gives PHAs the discretion to do so
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thereby making units available for applicants who are income-eligible.
B. The Housing Opportunity Through Modernization Act (HOTMA) of 2016 placed an income
limitation on public housing tenancies. The over-income requirement states that after a
family’s adjusted income has exceeded 120 percent of area median income (AMI) (or a
different limitation established by the secretary) for two consecutive years, the PHA must
either terminate the family’s tenancy within six months of the determination, or charge the
family a monthly rent that is the higher of the applicable fair market rent (FMR) or the
amount of monthly subsidy for the unit, including amounts from the operating and capital
funds, as determined by regulations.
Notice PIH 2019-11 also requires that PHAs publish over-income limits in their ACOP and
update them no later than 60 days after HUD publishes new income limits each year. The
over-income limit is calculated by multiplying the very low-income limit (VLI) by 2.4, as
adjusted for family size.
PHAs also have discretion, under 24 CFR 960.261, to adopt policies allowing termination of
tenancy for families whose income exceeds the limit for program eligibility. Such policies
would exempt families participating in the Family Self-Sufficiency (FSS) program or
currently receiving the earned income disallowance.
PHA Policy
The PHA will not evict or terminate the tenancies of families solely becauseif they
continue to are exceed the over income limit for a period of two years.
At annual or interim reexamination, if a family’s adjusted income exceeds the applicable
over-income limit, the PHA will document the family file and begin tracking the family’s
over-income status.
If one year after the applicable annual or interim reexamination the family’s income
continues to exceed the applicable over-income limit, the PHA will notify the family in
writing that their income has exceeded the over-income limit for one year, and that if the
family continues to be over-income for 12 consecutive months, the family will be subject
to the PHA’s over-income policies.
If two years after the applicable annual or interim reexamination the family’s income
continues to exceed the applicable over-income limit, the PHA will charge the family a
rent that is the higher of the applicable fair market rent (FMR) or the amount of monthly
subsidy for the unit**.
HUD allows for PHAs to terminate assistance after two years of a family consistently
exceeding the over-income limit for their household size. COCHRD will monitor the
family’s over-income status for the entire two years and the family will be notified of
their status at each point of the process during the two years. If they continue to be
over-time at the end of the two-year over-income limit, then the family will be given
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a final 30-day notice of termination of assistance based on the income information
on file. If the family’s income should change before the termination date to the point
where the family is no longer over income, COCHRD will void the termination. The
over-income limits are updated when the new income limits are announced by HUD
each year.
** Future Guidance. Section 103 of HOTMA requires HUD to issue a proposed rule,
which will include guidelines on how PHAs are to set their rent policies for over-income
families after the two-year grace period for being over-income has ended (PIH Notice
2019-11).
The PHA will notify the family in writing of their new rent amount. The new rent amount
will be effective 30 days after the PHA’s written notice to the family.
If, at any time, an over-income family experiences a decrease in income, the family may
request an interim redetermination of rent in accordance with PHA policy. If, as a result,
the previously over-income family is now below the over-income limit, the family is no
longer subject to over-income provisions as of the effective date of the recertification.
The PHA will notify the family in writing that over-income policies no longer apply to
them. If the family’s income later exceeds the over-income limit again, the family is
entitled to a new two-year grace period.
The PHA will begin tracking over-income families once these policies have been
adopted, but no later than March 24, 2019**
** - Additionally, the requirement to submit an annual report on the number of over-
income families and the number of families on the public housing waiting lists will be
made effective through a separate PIH notice.
The PHA will not evict or terminate the tenancies of families whose income exceeds the
income limit for program eligibility as described at 24 CFR 960.261.
The PHA will rely on the following over-income limits. These numbers will be updated
within 60 days of HUD publishing new income limits each year and will be effective for
all annual and interim reexaminations once these policies have been adopted. (HUD
issued guidance forthcoming)
Over-income limits effective April 2020:
Family Size
1
2
3
4
5
6
7
8
VLI
$27,250
$31,150
$35,050
$38,900
$42,050
$45,150
$48,250
$51,350
Over-
Income
$65,400
$74,760
$84,120
$93,360
$100,920
$108,360
$115,800
$123,240
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Limit
(2.4
adjustment)
The over-income limit is calculated by multiplying the very low-income limit (VLI) by
2.4, as adjusted for family size.
For families larger than 8 persons, the over-income limit will be calculated by
multiplying the applicable very-low income limit by 2.4.
13-III.D. Alternatives to Termination of Tenancy for Criminal Activity or Alcohol Abuse
Exclusion of Culpable Household Member [24 CFR 966.4(l)(5)(vii)(C)]
As an alternative to termination of the lease for criminal activity or alcohol abuse HUD provides
that the PHA may consider exclusion of the culpable household member. Such an alternative can
be used, by PHA policy, for any other reason where such a solution appears viable in accordance
with PHA policy.
PHA Policy
The PHA will consider requiring the tenant to exclude a household member in order to
continue to reside in the assisted unit, where that household member has participated in
or been culpable for action or failure to act that warrants termination.
As a condition of the family’s continued occupancy, the head of household must certify
that the culpable household member has vacated the unit and will not be permitted to visit
or to stay as a guest in the assisted unit. The family must present evidence of the former
household member’s current address upon PHA request.
Repayment of Family Debts
PHA Policy
If a family owes amounts to the PHA, as a condition of continued occupancy, the PHA
will require the family to repay the full amount or to enter into a repayment agreement,
within 30 days of receiving notice from the PHA of the amount owed. See Chapter 16 for
policies on repayment agreements.
13-III.E. Criteria for Deciding to Terminate Tenancy
A PHA that has grounds to terminate a tenancy is not required to do so, except as explained in
Part II of this chapter, and may consider all of the circumstances relevant to a particular case
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before making a decision.
Evidence [24 CFR 982.553(c)]
For criminal activity, HUD permits the PHA to terminate the lease if a preponderance of the
evidence indicates that a household member has engaged in the activity, regardless of whether
the household member has been arrested or convicted, and without satisfying the standard of
proof used for a criminal conviction.
PHA Policy
The PHA will use the preponderance of the evidence as the standard for making all
termination decisions.
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.
The fact that an applicant or tenant was arrested for a disqualifying offense shall not be treated or
regarded as proof that the applicant or tenant engaged in disqualifying criminal activity. The
arrest may, however, trigger an investigation to determine whether the applicant or tenant
actually engaged in disqualifying criminal activity. As part of its investigation, CCHRD may
obtain the police report associated with the arrest and consider the reported circumstances of the
arrest. CCHRD may also consider any statements made by witnesses or the applicant or tenant
not included in the police report; whether criminal charges were filed; whether, if filed, criminal
charges were abandoned, dismissed, not prosecuted, or ultimately resulted in an acquittal; and
any other evidence relevant to determining whether or not the applicant or tenant engaged in
disqualifying activity. [PIH Notice 2015-19]
Consideration of Circumstances [24 CFR 966.4(l)(5)(vii)(B)]
Although it is required that certain lease provisions exist for criminal activity and alcohol abuse,
HUD provides that the PHA may consider all circumstances relevant to a particular case in order
to determine whether or not to terminate the lease.
Such relevant circumstances can also be considered when terminating the lease for any other
reason.
PHA Policy
The PHA will consider the following factors before deciding whether to terminate the
lease for any of the HUD required lease provisions or for any other reasons:
The seriousness of the offending action, especially with respect to how it would affect
other residents
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The extent of participation or culpability of the leaseholder, or other household
members, in the offending action, including whether the culpable member is a minor,
a person with disabilities, or (as discussed further in section 13-III.F) a victim of
domestic violence, dating violence, or stalking
The effects that the eviction will have on other family members who were not
involved in the action or failure to act
The effect on the community of the termination, or of the PHA’s failure to terminate
the tenancy
The effect of the PHA’s decision on the integrity of the public housing program
The demand for housing by eligible families who will adhere to lease responsibilities
The extent to which the leaseholder has shown personal responsibility and whether
they have taken all reasonable steps to prevent or mitigate the offending action
The length of time since the violation occurred, the family’s recent history, and the
likelihood of favorable conduct in the future
While a record or records of arrest will not be used as the sole basis for termination,
an arrest may, however, trigger an investigation to determine whether the participant
actually engaged in disqualifying criminal activity. As part of its investigation, the
PHA may obtain the police report associated with the arrest and consider the reported
circumstances of the arrest. The PHA may also consider:
Any statements made by witnesses or the participant not included in the police
report
Whether criminal charges were filed
Whether, if filed, criminal charges were abandoned, dismissed, not prosecuted, or
ultimately resulted in an acquittal
Any other evidence relevant to determining whether or not the participant
engaged in disqualifying activity
Evidence of criminal conduct will be considered if it indicates a demonstrable risk to
safety and/or property.
In the case of program abuse, the dollar amount of the underpaid rent and whether or
not a false certification was signed by the family.
Consideration of Rehabilitation [24 CFR 966.4(l)(5)(vii)(D)]
HUD authorizes PHAs to take into consideration whether a household member who had used
illegal drugs or abused alcohol and is no longer engaging in such use or abuse is participating in
or has successfully completed a supervised drug or alcohol rehabilitation program.
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PHA Policy
In determining whether to terminate the lease for illegal drug use or a pattern of illegal
drug use, or for abuse or a pattern of abuse of alcohol, by a household member who is no
longer engaging in such use or abuse, the PHA will consider whether such household
member has successfully completed a supervised drug or alcohol rehabilitation program.
For this purpose the PHA will require the tenant to submit evidence of the household
member’s successful completion of a supervised rehabilitation program (i.e. drug or
alcohol or anger management).
Reasonable Accommodation [24 CFR 966.7]
If the family includes a person with disabilities, the PHA’s decision to terminate the family’s
lease is subject to consideration of reasonable accommodation in accordance with 24 CFR Part 8.
PHA Policy
If a family indicates that the behavior of a family member with a disability is the reason
for a proposed termination of lease, the PHA will determine whether the behavior is
related to the disability. If so, upon the family’s request, the PHA will determine whether
alternative measures are appropriate as a reasonable accommodation. The PHA will only
consider accommodations that can reasonably be expected to address the behavior that is
the basis of the proposed lease termination. See Chapter 2 for a discussion of reasonable
accommodation.
Nondiscrimination Limitation [24 CFR 966.4(l)(5)(vii)(F)]
The PHA’s eviction actions must be consistent with fair housing and equal opportunity
provisions of 24 CFR 5.105.
13-III.F. Terminations Related To Domestic Violence, Dating Violence, Sexual Assault, Or
Stalking
This section addresses the protections against termination of tenancy that the Violence against
Women Act of 2013 (VAWA) provides for public housing residents who are victims of domestic
violence, dating violence, sexual assault, or stalking. For general VAWA requirements and PHA
policies pertaining to notification, documentation, and confidentiality, see section 16-VII of this
ACOP, where definitions of key VAWA terms are also located.
VAWA Protections against Termination [24 CFR 5.2005(c)]
VAWA provides that no person may deny assistance, tenancy, or occupancy rights to public
housing to a tenant on the basis or as a direct result of criminal activity directly relating to
domestic violence, dating violence, sexual assault, or stalking that is engaged in by a member of
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the household of the tenant or any guest or other person under the control of the tenant, if the
tenant or affiliated individual is the victim or threatened victim of such domestic violence, dating
violence, sexual assault, or stalking [FR Notice 8/6/13].
VAWA further provides that incidents of actual or threatened domestic violence, dating violence,
sexual assault, or stalking may not be construed either as serious or repeated violations of the
lease by the victim of such violence or as good cause for terminating the tenancy or occupancy
rights of the victim of such violence [24 CFR 5.2005(c)(1), FR Notice 8/36/13.
Limitations on VAWA Protections [24 CFR 5.2005(d) and (e), FR Notice 8/6/13]
While VAWA prohibits a PHA from using domestic violence, dating violence, sexual assault, or
stalking as the cause for a termination or eviction action against a public housing tenant who is
the victim of the abuse, the protections it provides are not absolute. Specifically:
VAWA does not limit a PHA’s otherwise available authority to terminate assistance to or
evict a victim for lease violations not premised on an act of domestic violence, dating
violence, sexual assault, or stalking providing that the PHA does not subject the victim to a
more demanding standard than the standard to which it holds other tenants.
VAWA does not limit a PHA’s authority to terminate the tenancy of any public housing
tenant if the PHA can demonstrate an actual and imminent threat to other tenants or those
employed at or providing service to the property if that tenant’s tenancy is not terminated.
HUD regulations define actual and imminent threat to mean words, gestures, actions, or other
indicators of a physical threat that (a) is real, (b) would occur within an immediate time frame,
and (c) could result in death or serious bodily harm [24 CFR 5.2005(d)(2) and (e)]. 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
The length of time before the potential harm would occur [24 CFR 5.2005(e)]
In order to demonstrate an actual and imminent threat, the PHA must have objective evidence of
words, gestures, actions, or other indicators. Even when a victim poses an actual and imminent
threat, however, HUD regulations authorize a PHA to terminate the victim’s assistance “only
when there are no other actions that could be taken to reduce or eliminate the threat” [24 CFR
5.2005(d)(3)].
PHA Policy
In determining whether a public housing tenant who is a victim of domestic violence,
dating violence, sexual assault, or stalking is an actual and imminent threat to other
tenants or those employed at or providing service to a property, the PHA will consider the
following, and any other relevant, factors:
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Whether the threat is toward an employee or tenant other than the victim of
domestic violence, dating violence, or stalking
Whether the threat is a physical danger beyond a speculative threat
Whether the threat is likely to happen within an immediate time frame
Whether the threat to other tenants or employees can be eliminated in some
other way, such as by helping the victim relocate to a confidential location,
transferring the victim to another unit, or seeking a legal remedy to prevent
the perpetrator from acting on the threat
If the tenant wishes to contest the PHA’s determination that he or she is an actual and
imminent threat to other tenants or employees, the tenant may do so as part of the
grievance hearing or in a court proceeding.
Documentation of Abuse [24 CFR 5.2007]
PHA Policy
When an individual facing termination of tenancy for reasons related to domestic
violence, dating violence, sexual assault, or stalking claims protection under VAWA, the
PHA will request that the individual provide documentation supporting the claim in
accordance with the policies in section 16-VII.D of this ACOP.
The PHA reserves the right to waive the documentation requirement if it determines that
a statement or other corroborating evidence from the individual will suffice. In such cases
the PHA will document the waiver in the individual’s file.
Terminating or Evicting a Perpetrator of Domestic Violence
Although VAWA provides protection from termination for victims of domestic violence, it does
not provide such protection for perpetrators. In fact, VAWA gives the PHA the explicit authority
to bifurcate a lease, or remove a household member from a lease, “in order to evict, remove,
terminate occupancy rights, or terminate assistance to any tenant or lawful occupant who
engages in criminal acts of physical violence against family members or others, without evicting,
removing, terminating assistance to, or otherwise penalizing the victim of such violence who is a
tenant or lawful occupant” [24 CFR 5.2009(a)]. Moreover, HUD regulations impose on the PHA
the obligation to consider lease bifurcation in any circumstances involving domestic violence,
dating violence, sexual assault, or stalking [24 CFR 966.4(e)(9)].
Specific lease language affirming the PHA’s authority to bifurcate a lease is not necessary, and
the authority supersedes any local, state, or federal law to the contrary. However, if the PHA
chooses to exercise its authority to bifurcate a lease, it must follow any procedures prescribed by
HUD or by applicable local, state, or federal law for eviction, lease termination, or termination of
assistance. This means that the PHA must follow the same rules when terminating or evicting an
individual as it would when terminating or evicting an entire family [3/16/07 Federal Register
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notice on the applicability of VAWA to HUD programs]. The PHA must not initiate eviction
procedures until 30 days after the lease bifurcation [Notice PIH 2017-18].
PHA Policy
The PHA will bifurcate a family’s lease and terminate the tenancy of a family member if
the PHA determines that the family member has committed criminal acts of physical
violence against other family members or others. This action will not affect the tenancy
or program assistance of the remaining, nonculpable family members.
In making its decision, the PHA will consider all credible evidence, including, but not
limited to, a signed certification (form HUD-5382) or other documentation of abuse
submitted to the PHA by the victim in accordance with this section and section 16-VII.D.
The PHA will also consider the factors in section 13.III.E. Upon such consideration, the
PHA may, on a case-by-case basis, choose not to bifurcate the lease and terminate the
tenancy of the culpable family member.
If the PHA does bifurcate the lease and terminate the tenancy of the culpable family
member, it will do so in accordance with the lease, applicable law, and the policies in this
ACOP. If necessary, the PHA will also take steps to ensure that the remaining family
members have a safe place to live during the termination process. For example, the PHA
may offer the remaining family members another public housing unit, if available; it may
help them relocate to a confidential location; or it may refer them to a victim service
provider or other agency with shelter facilities.
The PHA may consider trespassing the perpetrator.
PART IV: NOTIFICATION REQUIREMENTS, EVICTION PROCEDURES
AND RECORD KEEPING
13-IV.A. Overview
HUD regulations specify the requirements for the notice that must be provided prior to lease
termination. This part discusses those requirements and the specific requirements that precede
and follow termination for certain criminal activities which are addressed in the regulations.
This part also discusses specific requirements pertaining to the actual eviction of families and
record keeping.
13-IV.B. Conducting Criminal Records Checks [24 CFR 5.903(e)(ii) and 24 CFR 960.259]
HUD authorizes PHAs to conduct criminal records checks on public housing residents for lease
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enforcement and eviction. PHA policy determines when the PHA will conduct such checks.
PHA Policy
The PHA will conduct criminal records checks for all adult household members at the
annual reexamination and when it has come to the attention of the PHA, either from local
law enforcement or by other means that an individual has engaged in the destruction of
property, engaged in violent activity against another person, or has interfered with the
right to peaceful enjoyment of the premises of other residents.
Such checks will also include sex offender registration information. In order to obtain
such information, all adult household members must sign consent forms for release of
criminal conviction and sex offender registration records on an annual basis.
The PHA may not pass along to the tenant the costs of a criminal records check.
13-IV.C. Disclosure of Criminal Records To Family [24 CFR 5.903(f), 24 CFR 5.905(d) and
24 CFR 966.4(l)(5)(iv)]
In conducting criminal records checks, if the PHA uses the authority of 24 CFR 5.903 and 5.905
to obtain such information, certain protections must be afforded the tenant before any adverse
action is taken. In such cases if the PHA obtains criminal records information from a state or
local agency showing that a household member has been convicted of a crime, or is subject to a
sex offender registration requirement, relevant to lease enforcement or eviction, the PHA must
notify the household of the proposed action and must provide the subject of the record and the
tenant a copy of such information, and an opportunity to dispute the accuracy and relevance of
the information before an eviction or lease enforcement action is taken.
PHA Policy
In all cases where criminal record or sex offender registration information would result in
lease enforcement or eviction, the PHA will notify the household in writing of the
proposed adverse action and will provide the subject of the record and the tenant a
redacted copy of such information, and an opportunity to dispute the accuracy and
relevance of the information before an eviction or lease enforcement action is taken.
The family will be given 10 business days from the date of the PHA notice, to dispute the
accuracy and relevance of the information. If the family does not contact the PHA to
dispute the information within that 10 business day period, the PHA will proceed with the
termination action.
Should the tenant not exercise their right to dispute prior to any adverse action, the tenant
still has the right to dispute in the grievance hearing or court trial.
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13-IV.D. Lease Termination Notice [24 CFR 966.4(l)(3); PIH 2020-32]]
Form, Delivery, and Content of the Notice [PIH 2020-32]
Notices of lease termination must be in writing. The notice must state the specific grounds for
termination; the date the termination will take place, the resident’s right to reply to the
termination notice, and their right to examine PHA documents directly relevant to the
termination or eviction. If the PHA does not make the documents available for examination upon
request by the tenant, the PHA may not proceed with the eviction [24 CFR 996.4(m)].
PHA Policy
The PHA has the sole discretion to require that informal hearings be conducted remotely.
in case of local, state, or national physical distancing orders, and other requirements for
public health mitigation, and in cases of inclement weather or natural disaster
At the time the notice is sent to the resident informing them of the right to request a
hearing, the resident will be notified how the hearing will be conducted (remotely or in
person). If remote, the resident will be informed of the processes involved in a remote
hearing and that the PHA will provide technical assistance, if needed, before the hearing.
Remote hearings will allow the PHA to provide a reasonable accommodation for a person
with a disability, if an applicant does not have child care or transportation that would
enable them to attend the informal hearing, or if the applicant believes an in-person
informal hearing would create an undue health risk. The PHA will consider other
reasonable requests for a remote informal hearing on a case-by-case basis.
(24 CFR §966.56.(a), states, “The hearing must be scheduled promptly for a time and
place reasonably convenient to both the complainant and the PHA and held before a
hearing officer.)
When the PHA is required to offer the resident an opportunity for a grievance hearing, the notice
must also inform the resident of their right to request a hearing in accordance with the PHA’s
grievance procedure. In these cases, the tenancy shall not terminate until the time for the tenant
to request a grievance hearing has expired and the grievance procedure has been completed.
When the PHA is not required to offer the resident an opportunity for a grievance hearing
because HUD has made a due process determination and the lease termination is for criminal
activity that threatens health, safety or right to peaceful enjoyment or for drug-related criminal
activity, the notice of lease termination must state that the tenant is not entitled to a grievance
hearing on the termination. It must specify the judicial eviction procedure to be used by the PHA
for eviction of the tenant, and state that HUD has determined that the eviction procedure
provides the opportunity for a hearing in court that contains the basic elements of due process as
defined in HUD regulations. The notice must also state whether the eviction is for a criminal
activity that threatens the health, safety, or right to peaceful enjoyment of the premises of other
residents or employees of the PHA, or for a drug-related criminal activity on or off the premises.
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PHA Policy
The PHA will attempt to deliver notices of lease termination directly to the tenant or an
adult member of the household. If such attempt fails, the notice will be sent by first-class
mail the same day.
All notices of lease termination will include information about the protection against
termination provided by the Violence against Women Act of 2013 (VAWA) for victims
of domestic violence, dating violence, sexual assault, or stalking (see section 16-VII.C).
The PHA will include a copy of the forms HUD-5382 and HUD-5380. Any family
member who claims that the cause for termination involves (a) criminal acts of physical
violence against family members or others or (b) incidents of domestic violence, dating
violence, sexual assault, or stalking of which a family member is the victim will be given
the opportunity to provide documentation in accordance with the policies in sections 13-
III.F and 16-VII.D.
Timing of the Notice [24 CFR 966.4(l)(3)(i)]
The PHA must give written notice of lease termination of:
14 calendar days in the case of failure to pay rent or other charges due
A reasonable period of time considering the seriousness of the situation (but not to exceed 30
calendar days)
If the health or safety of other residents, PHA employees, or persons residing in the
immediate vicinity of the premises is threatened
If any member of the household has engaged in any drug-related criminal activity or
violent criminal activity
If any member of the household has been convicted of a felony
30 calendar days in any other case, except that if a state or local law allows a shorter notice
period, such shorter period shall apply
PHA Policy
The PHA will give written notice of 14 calendar days for nonpayment of rent or other
charges due. The PHA will give written notice of 5 calendar days for utilities not in
service.
For all other lease terminations the PHA will give a 30 day written notice or, if state or
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local law allows less than 30 days, such shorter notice will be given.
The Notice to Vacate that may be required under state or local law may be combined with or run
concurrently with the notice of lease termination.
Notice of Nonrenewal Due to Community Service Noncompliance [24 CFR 966.4(l)(2)(ii)
(D), 24 CFR 960.603(b) and 24 CFR 960.607(b)]
When the PHA finds that a family is in noncompliance with the community service requirement,
the tenant and any other noncompliant resident must be notified in writing of this determination.
Notices of noncompliance will be issued in accordance with the requirements and policies in
Section 11-I.E.
PHA Policy
If after receiving a notice of initial noncompliance the family does not request a
grievance hearing, or does not take either corrective action required by the notice within
the required timeframe, a termination notice will be issued in accordance with the
policies above.
If a family agreed to cure initial noncompliance by signing an agreement, and is still in
noncompliance after being provided the 12-month opportunity to cure, the family will be
issued a notice of continued noncompliance. The notice of continued noncompliance will
be sent in accordance with the policies in Section 11-I.E. and will also serve as the notice
of termination of tenancy.
Notice of Termination Based on Citizenship Status [24 CFR 5.514 (c) and (d)]
In cases where termination of tenancy is based on citizenship status, HUD requires the notice of
termination to contain additional information. In addition to advising the family of the reasons
their assistance is being terminated, the notice must also advise the family of any of the
following that apply: the family’s eligibility for proration of assistance, the criteria and
procedures for obtaining relief under the provisions for preservation of families, the family’s
right to request an appeal to the USCIS of the results of secondary verification of immigration
status and to submit additional documentation or a written explanation in support of the appeal,
and the family’s right to request an informal hearing with the PHA either upon completion of the
USCIS appeal or in lieu of the USCIS appeal. Please see Chapter 14 for the PHA’s informal
hearing procedures.
13-IV.E. Eviction [24 CFR 966.4(l)(4) and 966.4(m)]
Eviction notice means a notice to vacate, or a complaint or other initial pleading used under state
or local law to commence an eviction action. The PHA may only evict the tenant from the unit
by instituting a court action, unless the law of the jurisdiction permits eviction by administrative
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action, after a due process administrative hearing, and without a court determination of the rights
and liabilities of the parties.
PHA Policy
When a family does not vacate the unit after receipt of a termination notice, by the
deadline given in the notice, the PHA will follow state and local landlord-tenant law in
filing an eviction action with the local court that has jurisdiction in such cases.
If the eviction action is finalized in court and the family remains in occupancy beyond the
deadline to vacate given by the court, the PHA will seek the assistance of the court to
remove the family from the premises as per state and local law.
The PHA may not proceed with an eviction action if the PHA has not made available the
documents to be used in the case against the family, and has not afforded the family the
opportunity to examine and copy such documents in accordance with the provisions of 24 CFR
966.4(l)(3) and (m).
13-IV.F. Notification To Post Office [24CFR 966.4(l)(5)(iii)(B)]
When the PHA evicts an individual or family for criminal activity, including drug-related
criminal activity, the PHA must notify the local post office serving the dwelling unit that the
individual or family is no longer residing in the unit.
13-IV.G. Record Keeping
For more information concerning general record keeping, see Chapter 16.
PHA Policy
A written record of every termination and/or eviction will be maintained by the PHA at
the development where the family was residing, and will contain the following
information:
Name of resident, number and identification of unit occupied
Date of the notice of lease termination and any other notices required by state or
local law; these notices may be on the same form and will run concurrently
Specific reason(s) for the notices, citing the lease section or provision that was
violated, and other facts pertinent to the issuing of the notices described in detail
(other than any criminal history reports obtained solely through the authorization
provided in 24 CFR 5.903 and 5.905)
Date and method of notifying the resident
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Summaries of any conferences held with the resident including dates, names of
conference participants, and conclusions
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CHAPTER 14
GRIEVANCES AND APPEALS
INTRODUCTION
This chapter discusses grievances and appeals pertaining to PHA actions or failures to act that
adversely affect public housing applicants or residents. The policies are discussed in the
following three parts:
Part I: Informal Hearings for Public Housing Applicants. This part outlines the
requirements and procedures for informal hearings for public housing applicants.
Part II: Informal Hearings with Regard to Noncitizens. This part discusses informal
hearings regarding citizenship status and where they differ from the requirements for
general applicant and tenant grievances.
Part III: Grievance Procedures for Public Housing Residents. This part outlines the
requirements and procedures for handling grievances for public housing residents.
Note that this chapter is not the PHA’s grievance procedure. The grievance procedure is a
document separate from the ACOP. This chapter of the ACOP provides the policies that drive
the grievance procedure.
PART I: INFORMAL HEARINGS FOR PUBLIC HOUSING APPLICANTS
14-I.A. Overview
When the PHA makes a decision that has a negative impact on an applicant family, the family is
often entitled to appeal the decision. For applicants, the appeal takes the form of an informal
hearing. HUD regulations do not provide a structure for or requirements regarding informal
hearings for applicants (except with regard to citizenship status, to be covered in Part II). This
part discusses the PHA policies necessary to respond to applicant appeals through the informal
hearing process.
14-I.B. Informal Hearing Process [24 CFR 960.208(a) and PH Occ GB, p. 58]
Informal hearings are provided for public housing applicants. An applicant is someone who has
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applied for admission to the public housing program, but is not yet a tenant in the program.
Informal hearings are intended to provide a means for an applicant to dispute a determination of
ineligibility for admission to a project [24 CFR 960.208(a)]. Applicants to public housing are not
entitled to the same hearing process afforded tenants under the PHA grievance procedure [24
CFR 966.53(a) and PH Occ GB, p. 58].
Informal hearings provide applicants the opportunity to review the reasons for denial of
admission and to present evidence to refute the grounds for denial.
Use of Informal Hearing Process
While the PHA must offer the opportunity of an informal hearing to applicants who have been
determined as ineligible for admission, the PHA could make the informal hearing process
available to applicants who wish to dispute other PHA actions that adversely affect them.
PHA Policy
The PHA will only offer informal hearings to applicants for the purpose of disputing
denials of admission.
Notice of Denial [24 CFR 960.208(a); PIH 2020-32]]
The PHA must give an applicant prompt notice of a decision denying eligibility for admission.
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 hearing to dispute the decision. The notice must
describe how to obtain the informal hearing.
PHA Policy
The PHA has the sole discretion to require that informal hearings be conducted remotely.
The PHA’s notice of denial will include information about how the hearing will be
conducted (remotely or in person). If remote, the resident will be informed of the
processes involved in a remote hearing and that the PHA will provide technical
assistance, if needed, before the hearing.
Remote hearings will allow the PHA to provide a reasonable accommodation for a person
with a disability, if an applicant does not have child care or transportation that would
enable them to attend the informal hearing, or if the applicant believes an in-person
informal hearing would create an undue health risk. The PHA will consider other
reasonable requests for a remote informal hearing on a case-by-case basis.
(24 CFR §966.56.(a), states, “The hearing must be scheduled promptly for a time and
place reasonably convenient to both the complainant and the PHA and held before a
hearing officer.)
When denying eligibility for admission, the PHA must provide the family a notice of VAWA
rights (form HUD-5380) as well as the HUD VAWA self-certification form (form HUD-5382) in
accordance with the Violence against Women Reauthorization Act of 2013, and as outlined in
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16-VII.C. The notice and self-certification form must accompany the written notification of the
denial of eligibility determination.
Prior to notification of denial based on information obtained from criminal or sex offender
registration records, the family, in some cases, must be given the opportunity to dispute the
information in those records which would be the basis of the denial. See Section 3-III.G for
details concerning this requirement.
Scheduling an Informal Hearing
PHA Policy
A request for an informal hearing must be made in writing and delivered to the PHA
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 PHA’s notification of denial of admission.
The PHA will schedule and send written notice of the informal hearing within 10
business days of the family’s request.
Conducting an Informal Hearing [PH Occ GB, p. 58]
PHA Policy
The informal hearing will 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 will be provided an opportunity to present written or oral objections to the
decision of the PHA.
The person conducting the informal hearing will make a recommendation to the PHA, but
the PHA is responsible for making the final decision as to whether admission should be
granted or denied.
14-I.C Remote Informal Hearings [PIH 2020-32; 24 CFR §960.208; 24 CFR §966.56]
PHA Policy
All PHA policies and processes for remote informal hearings will be conducted in
accordance with due process requirements and compliance with HUD regulations.
The PHA has the sole discretion to require that informal hearings be conducted remotely.
in case of local, state, or national physical distancing orders, and other requirements for
public health mitigation, and in cases of inclement weather or natural disaster
24 CFR §966.56.(a), states, “The hearing must be scheduled promptly for a time and
place reasonably convenient to both the complainant and the PHA and held before a
hearing officer.
Remote hearings as a standard of customer service, will allow the PHA to provide a
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reasonable accommodation for a person with a disability, if an applicant does not have
child care or transportation that would enable them to attend the informal hearing, or if
the applicant believes an in-person informal hearing would create an undue health risk.
Conducting Remote Informal Hearings [PIH 2020-32; 28 CFR §35.104]
The PHA must ensure that the applicant has the right to hear and be heard. The PHA shall ensure
due process and that all parties are able to have full access to the hearing.
PHA Policy
The PHA will conduct remote informal hearings via videoconferencing or telephone
conferencing.
If the informal hearing will be conducted via videoconferencing, the PHA will ensure the
following:
All applicants, applicant representatives, PHA representatives, and the person
conducting the informal hearing can adequately access the platform (i.e., hear, be
heard, see, and be seen).
All parties who must have necessary documentation from the PHA has received it and
makes it available for the hearing.
At least 48 hours in advance of the hearing, that all parties have received the
documentation to be presented at the hearing.
At least 48 hours in advance of the hearing, all parties have received information on
how to access the video or telephone conference.
The PHA has tested their access with the participants to ensure on the day and
time of the hearing, delays due to inability to access will be at a minimum.
If any applicant, applicant representative, PHA representative, or person conducting the
informal hearing is unable to effectively utilize the videoconferencing platform, the
informal hearing will be conducted allowing those participants to utilize telephone
conferencing call-in for those that cannot access video conferencing.
Witness testimony may be accepted via telephone call-in.
Informal Hearing Decision [PH Occ GB, p. 58]
PHA Policy
The PHA will notify the applicant of the PHA’s final decision, including a brief
statement of the reasons for the final decision.
In rendering a decision, the PHA will evaluate the following matters:
Whether or not the grounds for denial were stated factually in the notice
The validity of grounds for denial of admission. If the grounds for denial are not
specified in the regulations or in PHA policy, then the decision to deny assistance
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will be overturned. See Chapter 3 for a detailed discussion of the grounds for
applicant denial.
The validity of the evidence. The PHA will evaluate whether the facts presented
prove the grounds for denial of admission. If the facts prove that there are grounds
for denial, and the denial is required by HUD, the PHA will uphold the decision
to deny admission.
If the facts prove the grounds for denial, and the denial is discretionary, the PHA
will consider the recommendation of the person conducting the informal hearing
in making the final decision whether to deny admission.
The PHA will notify the applicant of the final decision, including a statement explaining
the reason(s) for the decision. The notice will be mailed, with return receipt requested,
within 10 business days of the informal hearing, to the applicant and his or her
representative, if any.
If the informal hearing decision overturns the denial, processing for admission will
resume.
If the family fails to appear for their informal hearing, the denial of admission will stand
and the family will be so notified.
Reasonable Accommodation for Persons with Disabilities [24 CFR 966.7]
Persons with disabilities may request reasonable accommodations to participate in the informal
hearing process and the PHA must consider such accommodations. The PHA must also consider
reasonable accommodation requests pertaining to the reasons for denial if related to the person’s
disability. See Chapter 2 for more detail pertaining to reasonable accommodation requests.
PART II: INFORMAL HEARINGS WITH REGARD TO NONCITIZENS
14-II.A. 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. These special hearings are referred to in the regulations as informal hearings, but the
requirements for such hearings are different from the informal hearings used to deny applicants
for reasons other than immigration status.
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
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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.
Notice of Denial or Termination of Assistance [24 CFR 5.514(d)]
As discussed in Chapters 3 and 13, the notice of denial or termination of assistance for
noncitizens must advise the family of any of the following that apply:
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 tenant, 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.
United States Citizenship and Immigration Services 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
proof of mailing.
PHA Policy
The PHA 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 PHA with a copy of the written request for appeal and proof
of mailing within 10 business days of sending the request to the USCIS.
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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 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.
PHA Policy
The PHA 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, an
applicant 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 [24CFR 966.4(n)(2); 966.53(e), PIH 2016-05
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. Such individual or individuals do not need
legal training.
PHA Policy
The PHA will contract a hearing officer.
Efforts will be made to assure that the person selected is neither a friend, nor enemy, of
the complainant that they do not have a personal stake in the matter under dispute and
will otherwise not appear to lack impartiality.
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.
PHA Policy
14-8
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 PHA 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.
The family must also be provided the opportunity to refute evidence relied upon by the PHA, and
to confront and cross-examine all witnesses on whose testimony or information the PHA 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. The PHA is obligated to provide a competent
interpreter, free of charge, upon request. The family may also or instead provide its own
interpreter, at the expense of the family.
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.
PHA Policy
The family will be allowed to have a copy of the informal hearing tape at a prepaid cost
of $5.00 per tape.
Hearing Decision
The PHA must provide the family with a written notice of the final decision, based solely on the
facts presented at the hearing, within 14 calendar days of the date of the informal hearing. The
notice must state the basis for the decision.
PHA Policy
The hearing decision may be provided to the family by the hearing officer in which case,
the PHA will not need to mail one out; however, it is the PHA’s responsibility to insure
the hearing decision is mailed out within 14 calendar days of the date of the informal
hearing.
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
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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
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
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, a
resident 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.
The informal hearing procedures for resident families whose tenancy is being terminated based
on immigration status is the same as for any grievance under the grievance procedures for
resident families found in Part III below.
PART III: GRIEVANCE PROCEDURES FOR PUBLIC HOUSING RESIDENTS
14-III.A. Requirements [24 CFR 966.52]
PHAs must have a grievance procedure in place through which residents of public housing are
provided an opportunity to grieve any PHA action or failure to act involving the lease or PHA
policies which adversely affect their rights, duties, welfare, or status.
The PHA grievance procedure must be included in the lease.
PHA Policy
The PHA grievance procedure will be incorporated by reference in the tenant lease.
The PHA must provide at least 30 day notice to tenants and resident organizations setting forth
proposed changes in the PHA grievance procedure, and provide an opportunity to present written
comments. Comments submitted must be considered by the PHA before adoption of any changes
to the grievance procedure by the PHA.
PHA Policy
Residents and resident organizations will have 30 calendar days from the date they are
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notified by the PHA of any proposed changes in the PHA grievance procedure, to submit
written comments to the PHA.
The PHA must furnish a copy of the grievance procedure to each tenant and to resident
organizations.
14-III.B. Definitions [24 CFR 966.53; 24 CFR 966.51(a)(2)(i)]
There are several terms used by HUD with regard to public housing grievance procedures, which
take on specific meanings different from their common usage. These terms are as follows:
Grievance – any dispute which a tenant may have with respect to PHA action or failure to
act in accordance with the individual tenant’s lease or PHA regulations which adversely
affect the individual tenant’s rights, duties, welfare or status
Complainant – any tenant whose grievance is presented to the PHA or at the project
management office
Due Process Determination – a determination by HUD that law of the jurisdiction requires
that the tenant must be given the opportunity for a hearing in court which provides the basic
elements of due process before eviction from the dwelling unit
Elements of Due Process – an eviction action or a termination of tenancy in a state or local
court in which the following procedural safeguards are required:
Adequate notice to the tenant of the grounds for terminating the tenancy and for eviction
Right of the tenant to be represented by counsel
Opportunity for the tenant to refute the evidence presented by the PHA including the
right to confront and cross-examine witnesses and to present any affirmative legal or
equitable defense which the tenant may have
A decision on the merits
Hearing Officer/Panel – a person/panel selected in accordance with HUD regulations to
hear grievances and render a decision with respect thereto
Tenant – the adult person (or persons) (other than a live-in aide)
Who resides in the unit, and who executed the lease with the PHA as lessee of the
dwelling unit, or, if no such person now resides in the unit,
Who resides in the unit, and who is the remaining head of household of the tenant family
residing in the dwelling unit
Resident Organization – includes a resident management corporation
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14-III.C. Applicability [24 CFR 966.51]
Grievances could potentially address most aspects of a PHA’s operation. However, there are
some situations for which the grievance procedure is not applicable.
The grievance procedure is applicable only to individual tenant issues relating to the PHA. It is
not applicable to disputes between tenants not involving the PHA. Class grievances are not
subject to the grievance procedure and the grievance procedure is not to be used as a forum for
initiating or negotiating policy changes of the PHA.
If HUD has issued a due process determination, a PHA may exclude from the PHA grievance
procedure any grievance concerning a termination of tenancy or eviction that involves:
Any criminal activity that threatens the health, safety or right to peaceful enjoyment of the
premises of other residents or employees of the PHA
Any violent or drug-related criminal activity on or off such premises
Any criminal activity that resulted in felony conviction of a household member
In states without due process determinations, PHAs must grant opportunity for grievance
hearings for all lease terminations, regardless of cause, with the following exception: PHAs may
use expedited grievance procedures for the first two of the three excluded categories listed
above. These expedited grievance procedures are described in Section 14-III.E., below.
If HUD has issued a due process determination, the PHA may evict through the state/local
judicial eviction procedures. In this case, the PHA is not required to provide the opportunity for a
hearing under the PHA’s grievance procedure as described above.
PHA Policy
The PHA is located in a HUD-declared due process state. Therefore, the PHA will not
offer grievance hearings for lease terminations involving criminal activity that resulted in
a felony conviction of a household member or that threatens the health, safety, or right to
peaceful enjoyment of the premises of other residents or employees of the PHA, or for
violent or drug-related criminal activity on or off the premises, or for any criminal
activity that resulted in felony conviction of a household member.
See Chapter 13 for related policies on the content of termination notices.
14-III.D. Informal Settlement of Grievance [24 CFR 966.54][See local procedure,
“Grievance Policy and Flowchart” for details]
The informal settlement is the first step in the Public Housing Grievance process, and is
performed internally, between the tenant and PHA. As of March 8, 2016, HUD no longer
mandates the grievance process, instead allowing local authority to determine the process.
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PHA Policy
The PHA will accept requests for an informal settlement of a grievance either orally or in
writing (including emailed requests), to the PHA office or to the office of the housing
development in which the complainant resides, within 10 business days of the grievable
event, to allow the grievance to be discussed informally and settled without a hearing.
Within 10 business days of receipt of the request, the PHA will mail and/or email the
arrange a meeting with the tenant at a mutually agreeablethe date and time and confirm
such meeting in writing to the tenantof the appointment. The tenant must notify the PHA
in writing 48 hours in advance to reschedule the appointment.
The PHA has the option to conduct the informal settlement via writing only, or it may be
conducted remotely, telephonically, or in person. The PHA has the sole discretion
regarding the method of an informal settlement.
If a tenant fails to attend the scheduled meeting without prior notice, the PHA will
reschedule the appointment only if the tenant can show good cause for failing to appear,
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.
HUD regulations require that a summary of such discussion will be prepared within a reasonable
time and one copy will be given to the tenant and one retained in the PHA’s tenant file.
The summary must specify the names of the participants, dates of meeting, the nature of the
proposed disposition of the complaint and the specific reasons therefore, and will specify the
procedures by which a hearing may be obtained if the complainant is not satisfied.
PHA Policy
The PHA has the sole discretion to determine the method of holding the informal
grievance settlement meeting.
The PHA will prepare a summary of the informal settlement within 5 business days; one
copy to be given to the tenant and one copy to be retained in the PHA’s tenant file.
For PHAs who have the option to establish an expedited grievance procedure, and who exercise
this option, the informal settlement of grievances is not applicable to those grievances for which
the expedited grievance procedure applies.
14-III.E. Procedures to Obtain a Hearing After the Informal Settlement Meeting [24 CFR
966.56(a)]
Requests for Hearing and Failure to Request [24 CFR 966.56(a), (c)]
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All grievances must be presented in accordance with the informal settlement procedures
prescribed above as a condition prior to a grievance hearing.
PHA Policy
The resident must submit a written request for a grievance hearing to the PHA within 5
business days of the tenant’s receipt of the summary of the informal settlement.
If the complainant does not request a hearing, the PHA’s disposition of the grievance
under the informal settlement process will become final.
However, failure to request a hearing does not constitute a waiver by the complainant of
the right to contest the PHA’s action in disposing of the complaint in an appropriate
judicial proceeding [24 CFR 966.56(c)].
Scheduling of Hearings [24 CFR 966.56(a) and (b)]
If the complainant has complied with all requirements for requesting a hearing as described
above, a hearing must be scheduled by the PHA promptly for a time and place reasonably
convenient to both the complainant and the PHA.
A written notification specifying the time, place and the procedures governing the hearing must
be delivered to the complainant and the appropriate PHA official.
PHA Policy
Within 10 business days of receiving a written request for a hearing, the hearing officer
will schedule and send written notice of the hearing to both the complainant and the
PHA.
The PHA may wish to permit the tenant to request to reschedule a hearing for good cause.
PHA Policy
The tenant 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 PHA may request documentation of the “good cause” prior to
rescheduling the hearing.
The PHA will not offer expedited grievance procedures.
14-III.F. Selection of Hearing Officer/Panel [24CFR 966.4(n)(2); 966.53(e), PIH 2016-05
The grievance hearing must be conducted by an impartial person or persons appointed by the
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PHA, other than the person who made or approved the PHA action under review, or a
subordinate of such person. Such individual or individuals do not need legal training. PHAs
must describe their policies for selection of a hearing officer in their lease forms as required by
§966.4.
PHA Policy
PHA grievance hearings will be conducted by a single hearing officer and not a panel.
The PHA will contract a hearing officer.
The PHA must determine the methodology for appointment of the hearing officer and it must be
stated in the grievance procedure.
PHA Policy
The PHA will appoint a person who has been selected in the manner required under the
grievance procedure. Efforts will be made to assure that the person selected is neither a
friend, nor enemy, of the complainant that they do not have a personal stake in the matter
under dispute and will otherwise not appear to lack impartiality.
The PHA must include the method of selection in the Public Housing Lease. (See Public
Housing Lease Agreement, effective 7/1/2019, Section XVI, “.”)
14-III.G. REMOTE HEARINGS [PIH 2020-32]
The PHA has the option to conduct hearings remotely. The PHA’s essential responsibility is to
ensure hearings meet the requirements of due process and comply with HUD regulations.
PHA Policy
The PHA has the sole discretion to require informal hearings be conducted remotely. In
case of local, state, or national physical distancing orders, and other requirements for
public health mitigation, and in cases of inclement weather or natural disaster.
24 CFR §966.56 (a) states, “The hearing must be scheduled promptly for a time and place
reasonably convenient to both the complainant and the PHA and held before a hearing
officer.
Remote hearings as a standard of customer service, will allow the PHA to provide a
reasonable accommodation for a person with a disability, if an applicant does not have
child care or transportation that would enable them to attend the informal hearing, or if
the applicant believes an in-person informal hearing would create an undue health risk.
Discovery of Documents Before the Remote Hearing [PIH 2020-32]
PHA Policy
If the hearing will be conducted remotely, the PHA will compile a hearing packet,
consisting of all documents the PHA intends to produce at the hearing. The PHA will
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deliver by mail, email or hand-delivery, copies of the hearing packet to the tenant, the
tenant’s representatives, if any, and the hearing officer at least three (3) days before the
scheduled remote hearing. The original hearing packet will be in the possession of the
PHA representative and retained by the PHA.
If the hearing is to be held in person, the packet will be available at the front desk for the
tenant to pick up at least three (3) days before the scheduled hearing.
If the hearing is to be conducted remotely, the PHA will require the resident to provide
any documents directly relevant to the hearing at least 24 hours before the scheduled
hearing.
The PHA will scan and email copies of these documents to the hearing officer the same
day they are received.
Documents will be shared electronically whenever possible.
Conducting Remote Formal Hearings [PIH 2020-32; 28 CFR §35.104]
The PHA must ensure that the tenant has the right to hear and be heard. The PHA shall ensure
due process and that all parties are able to have full access to the hearing.
PHA Policy
The PHA will conduct remote formal hearings via videoconferencing or telephone
conferencing.
If the hearing will be conducted via videoconferencing, the PHA will ensure the
following:
All tenants, tenant’s representatives, witnesses, PHA representatives, and the hearing
officer can adequately access the platform (i.e., hear, be heard, see, and be seen).
All parties who must have necessary documentation from the PHA has received it and
makes it available for the hearing.
At least 48 hours in advance of the hearing, that all parties have received the
documentation to be presented at the hearing.
At least 48 hours in advance of the hearing, all parties have received information on
how to access the video or telephone conference.
The PHA has tested the access with the participants to ensure on the day and time
of the hearing, delays due to inability to access will be at a minimum.
If any tenant, tenant’s representative, PHA representative, or person conducting the
informal hearing is unable to effectively utilize the videoconferencing platform, the
informal hearing will be conducted allowing those participants to utilize telephone
conferencing call-in for those that cannot access video conferencing.
Witness testimony may be accepted via telephone call-in.
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14-III.GH. Procedures Governing The Hearing [24 CFR 966.56]
Rights of Complainant [24 CFR 966.56(b)]
The complainant will be afforded a fair hearing. This includes:
The opportunity to examine before the grievance hearing any PHA documents, including
records and regulations that are directly relevant to the hearing. The tenant must be allowed
to copy any such document at the tenant’s expense. If the PHA does not make the document
available for examination upon request by the complainant, the PHA may not rely on such
document at the grievance hearing.
PHA Policy
The tenant will be allowed to copy any documents related to the hearing at a cost of $.25
per page.
For documents determined by the PHA to be relevant, there will be no charge for
documents emailed by the PHA. The family must request discovery of PHA documents
no later than 12:00 p.m. on the business day prior to the hearing.
The right to be represented by counsel or other person chosen to represent the tenant and to
have such person make statements on the tenant’s behalf.
PHA Policy
Hearings may be attended by the following applicable persons:
A The PHA representative(s) and any witnesses for the PHA
The tenant and any witnesses for the tenant
The tenant’s counsel or other representative
PHA’s counsel
Any other person approved by the PHA as a reasonable accommodation for a
person with a disability
The right to a private hearing unless the complainant requests a public hearing.
The right to present evidence and arguments in support of the tenant’s complaint, to
controvert evidence relied on by the PHA or project management, and to confront and cross-
examine all witnesses upon whose testimony or information the PHA or project management
relies.
A decision based solely and exclusively upon the facts presented at the hearing.
Failure to Appear [24 CFR 966.56(c)]
If the complainant or the PHA fails to appear at a scheduled hearing, the hearing officer/panel
may make a determination to postpone the hearing for not to exceed five business days or may
make a determination that the party has waived his/her right to a hearing. Both the complainant
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and the PHA must be notified of the determination by the hearing officer/panel: Provided, that a
determination that the complainant has waived his/her right to a hearing will not constitute a
waiver of any right the complainant may have to contest the PHA’s disposition of the grievance
in an appropriate judicial proceeding.
There may be times when a complainant does not appear due to unforeseen circumstances which
are out of their control and are no fault of their own.
PHA Policy
If the tenant does not appear at the scheduled time of the hearing, the hearing officer will
wait up to 30 minutes. If the tenant appears within 30 minutes of the scheduled time, the
hearing will be held. If the tenant does not arrive within 30 minutes of the scheduled
time, they will be considered to have failed to appear.
If the tenant fails to appear and was unable to reschedule the hearing in advance, the
tenant must contact the PHA within 24 hours of the scheduled hearing date, excluding
weekends and holidays. The hearing officer will reschedule the hearing only if the tenant
can show good cause for the failure to appear, or 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.
General Procedures [24 CFR 966.56(b), (d), (e), and (f)]
At the hearing, the complainant must first make a showing of an entitlement to the relief sought
and thereafter the PHA must sustain the burden of justifying the PHA action or failure to act
against which the complaint is directed [24 CFR 966.56(d)].
The hearing must be conducted by the hearing officer/panel. The PHA and the tenant must be
given the opportunity to present oral or documentary evidence pertinent to the facts and issues
raised by the complaint and question any witnesses. In general, all evidence is admissible and
may be considered without regard to admissibility under the rules of evidence applicable to
judicial proceedings [24 CFR 966.56(b), (d)].
PHA 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 PHA. Writings include all forms of recorded communication
or representation, including letters, emails, words, pictures, sounds, videotapes or
symbols or combinations thereof.
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Police Reports are documentary evidence and will take the place of an
officer’s presence at the informal hearing.
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.
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 the PHA fails to comply with the discovery requirements (providing the tenant with the
opportunity to examine PHA documents prior to the grievance hearing), the hearing
officer will refuse to admit such evidence.
Other than the failure of the PHA to comply with discovery requirements, the hearing
officer has the authority to overrule any objections to evidence.
PHA Policy
The hearing officer/panel must require the PHA, the complainant, counsel and other
participants or spectators to conduct themselves in an orderly fashion. Failure to comply
with the directions of the hearing officer/panel to obtain order may result in exclusion
from the proceedings or in a decision adverse to the interests of the disorderly party and
granting or denial of the relief sought, as appropriate.
The complainant or the PHA may arrange, in advance and at the expense of the party making the
arrangement, for a transcript of the hearing. Any interested party may purchase a copy of such
transcript [24 CFR 966.56(e)].
PHA Policy
If the complainant would like the PHA to record the proceedings by audiotape, the
request must be made to the PHA by 12:00 p.m. on the business day prior to the hearing.
The PHA will consider that an audio tape recording of the proceedings is a transcript.
Accommodations of Persons with Disabilities [24 CFR 966.56(f)]
The PHA must provide reasonable accommodation for persons with disabilities to participate in
the hearing. Reasonable accommodation may include qualified sign language interpreters,
readers, accessible locations, or attendants.
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If the tenant is visually impaired, any notice to the tenant which is required in the grievance
process must be in an accessible format.
See Chapter 2 for a thorough discussion of the PHA’s responsibilities pertaining to reasonable
accommodation.
Limited English Proficiency (LEP) (24 CFR 966.56(g)
The PHA must comply with HUD’s LEP Final Rule in providing language services throughout
the grievance process.
14-III.HI. Decision of the Hearing Officer/Panel [24 CFR 966.57]
The hearing officer/panel must issue a written decision, stating the reasons for the decision,
within a reasonable time after the hearing. Factual determinations relating to the individual
circumstances of the family must be based on a preponderance of evidence presented at the
hearing. A copy of the decision must be sent to the tenant and the PHA. The PHA must retain a
copy of the decision in the tenant’s folder. A copy of the decision, with all names and identifying
references deleted, must also be maintained on file by the PHA and made available for inspection
by a prospective complainant, his/her representative, or the hearing officer/panel [24 CFR
966.57(a)].
PHA Policy
In rendering a decision, the hearing officer will consider the following matters:
PHA Notice to the Family: The hearing officer will determine if the reasons for
the PHA’s decision are factually stated in the notice.
Discovery: The hearing officer will determine if the family was given the
opportunity to examine any relevant documents in accordance with PHA policy.
PHA Evidence to Support the PHA Decision: The evidence consists of the facts
presented. Evidence is not conclusion and it is not argument. The hearing officer
will evaluate the facts to determine if they support the PHA’s conclusion.
Validity of Grounds for Termination of Tenancy (when applicable): The
hearing officer will determine if the termination of tenancy is for one of the
grounds specified in the HUD regulations and PHA policies. If the grounds for
termination are not specified in the regulations or in compliance with PHA
policies, then the decision of the PHA will be overturned.
The hearing officer will issue a written decision the PHA no later than 10 business days
after the hearing. The PHA will provide a copy to the family. The report will contain the
following information:
Hearing information:
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Name of the complainant
Date, time and place of the hearing
Name of the hearing officer
Name of the PHA representative(s)
Name of family representative (if any)
Names of witnesses (if any)
Background: A brief, impartial statement of the reason for the hearing and the
date(s) on which the informal settlement was held, who held it, and a summary of
the results of the informal settlement. Also includes the date the complainant
requested the grievance 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 tenancy, the hearing officer will
instruct the PHA to restore the family’s status.
Procedures for Further Hearing
PHA Policy
The hearing officer may ask the family for additional information and/or 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 PHA
will take effect and another hearing will not be granted.
Final Decision [24 CFR 966.57(b)]
The decision of the hearing officer/panel is binding on the PHA which must take the action, or
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refrain from taking the action cited in the decision unless the PHA Board of Commissioners
determines within a reasonable time, and notifies the complainant that:
The grievance does not concern PHA action or failure to act in accordance with or involving
the complainant’s lease on PHA policies which adversely affect the complainant’s rights,
duties, welfare, or status; or
The decision of the hearing officer/panel is contrary to Federal, state, or local law, HUD
regulations or requirements of the annual contributions contract between HUD and the PHA
PHA Policy
When the PHA considers the decision of the hearing officer to be invalid due to the
reasons stated above, it will present the matter to the PHA Board of Commissioners
within 10 business days of the date of the hearing officer’s decision. The Board has 30
calendar days to consider the decision. If the Board decides to reverse the hearing
officer’s decision, it must notify the complainant within 10 business days of this decision.
A decision by the hearing officer/panel, or Board of Commissioners in favor of the PHA or
which denies the relief requested by the complainant in whole or in part must not constitute a
waiver of any rights the complainant may have to a subsequent trial or judicial review in court
[24 CFR 966.57(c)].
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CHAPTER 15
PROGRAM INTEGRITY
INTRODUCTION
The PHA is committed to ensuring that funds made available to the PHA are spent in accordance
with HUD requirements.
This chapter covers HUD and PHA 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 PHA policies related to preventing, detecting, and investigating errors and
program abuse.
Part II: Corrective Measures and Penalties. This part describes the corrective measures
the PHA must and may take when errors or program abuses are found.
PART I: PREVENTING, DETECTING, AND
INVESTIGATING ERRORS AND PROGRAM ABUSE
15-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 program abuse. PHAs are required to use the EIV system in its
entirety in accordance with HUD administrative guidance [24 CFR 5.233]. PHAs are further
required to:
Provide applicants and residents 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
PHA Policy
The PHA anticipates that the vast majority of families and PHA employees intend to and
will comply with program requirements and make reasonable efforts to avoid errors.
To ensure that the PHA’s program is administered effectively and according to the
highest ethical and legal standards, the PHA will employ a variety of techniques to ensure
that both errors and intentional program abuse are rare.
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The PHA will provide each applicant and resident 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.
The PHA will provide each applicant and resident 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 2017-12. In addition, the PHA will require the
head of each household to acknowledge receipt of the guide by signing a copy for
retention in the family file.
The PHA will require mandatory orientation sessions for all prospective residents either
prior to or upon execution of the lease. The PHA will discuss program compliance and
integrity issues. At the conclusion of all program orientation sessions, the family
representative will be required to sign a program briefing certificate to confirm that all
rules and pertinent regulations were explained to them.
The PHA will routinely provide resident counseling as part of every reexamination
interview in order to clarify any confusion pertaining to program rules and requirements.
PHA staff will be required to review and explain the contents of all HUD- and PHA-
required forms prior to requesting family member signatures.
The PHA will place a warning statement about the penalties for fraud (as described in 18
U.S.C. 1001 and 1010) on key PHA forms and form letters that request information from
a family member.
The PHA will provide each PHA employee with the necessary training on program rules
and the organization’s standards of conduct and ethics.
At every regular reexamination the PHA staff will explain any changes in HUD
regulations or PHA policy that affect residents.
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.
15-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
PHA Policy
The PHA will employ a variety of methods to detect errors and program abuse, including:
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The PHA routinely will use EIV 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 PHA.
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 PHA will compare family-reported income and expenditures to detect
possible unreported income.
Independent Audits and HUD Monitoring
Notice PIH 2015-16 requires all PHAs that expend $750,000 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.
PHA Policy
The PHA 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 PHA’s error
detection and abuse prevention efforts.
Individual Reporting of Possible Errors and Program Abuse
PHA Policy
The PHA will encourage staff, residents, and the public to report possible program abuse.
15-I.C. Investigating Errors and Program Abuse
When the PHA Will Investigate
PHA Policy
The PHA 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 PHA 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 PHA will investigate when inconsistent or contradictory information is detected
through file reviews and the verification process.
Consent to Release of Information [24 CFR 960.259]
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The PHA may investigate possible instances of error or abuse using all available PHA and public
records. If necessary, the PHA will require families to sign consent forms for the release of
additional information.
Analysis and Findings
PHA Policy
The PHA 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 may not be determined by the number of witnesses, but by the greater weight
of all evidence.
For each investigation the PHA 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.
PHA Policy
In the case of family-caused errors or program abuse, the PHA 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 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.
Notice and Appeals
PHA Policy
The PHA 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 PHA determined the
error or program abuses, (3) the remedies to be employed, and (4) the family’s right to
appeal the results through an informal hearing or grievance hearing (see Chapter 14).
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PART II: CORRECTIVE MEASURES AND PENALTIES
15-II.A. Under- Or Overpayment
An under- or overpayment includes an incorrect tenant rent payment by the family, or an
incorrect utility reimbursement to a family.
Corrections
Whether the incorrect rental determination is an overpayment or underpayment, the PHA must
promptly correct the tenant rent and any utility reimbursement prospectively.
PHA Policy
Increases in the tenant rent will be implemented on the first of the month following a
written 30 day notice.
Any decreases in tenant rent will become effective the first of the month following the
discovery of the error.
Reimbursement
Whether the family is required to reimburse the PHA or the PHA is required to reimburse the
family depends upon which party is responsible for the incorrect payment and whether the action
taken was an error or program abuse. Policies regarding reimbursement are discussed in the three
sections that follow.
15-II.B. Family-Caused Errors and Program Abuse
General administrative requirements for participating in the program are discussed throughout
the ACOP. This section deals specifically with errors and program abuse by family members.
An incorrect rent 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
PHA Policy
In the case of family-caused errors or program abuse, the family will be required to repay
any amounts of rent underpaid. The PHA may, but is not required to, offer the family a
repayment agreement in accordance with Chapter 16. If the family fails to repay the
amount owed, the PHA will terminate the family’s lease in accordance with the policies
in Chapter 13.
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PHA Reimbursement to Family
PHA Policy
The PHA will not reimburse the family for any overpayment of rent when the
overpayment clearly is caused by the family.
Prohibited Actions
An applicant or resident in the public housing program must not knowingly:
Make a false statement to the PHA [Title 18 U.S.C. Section 1001].
Provide incomplete or false information to the PHA [24 CFR 960.259(a)(4)].
Commit fraud, or make false statements in connection with an application for assistance
or with reexamination of income [24 CFR 966.4(l)(2)(iii)(C)].
PHA Policy
Any of the following will be considered evidence of family program abuse:
Offering bribes or illegal gratuities to the PHA Board of Commissioners,
employees, contractors, or other PHA representatives
Offering payments or other incentives to a third party as an inducement for the
third party to make false or misleading statements to the PHA 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.,
misreporting of income or 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 PHA 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 any amounts owed to the program (see 15-
II.B., Family Reimbursement to PHA).
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
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applicants) and Chapter 13 (for residents).
The PHA may deny admission or terminate the family’s lease following the policies
set forth in Chapter 3 and Chapter 13 respectively.
The PHA may refer the family for state or federal criminal prosecution as described
in section 15-II.D.
15-II.C. PHA-Caused Errors or Program Abuse
The responsibilities and expectations of PHA staff with respect to normal program
administration are discussed throughout the ACOP. This section specifically addresses actions of
a PHA staff member that are considered errors or program abuse related to the public housing
program. Additional standards of conduct may be provided in the PHA personnel policy.
PHA-caused incorrect rental determinations include (1) failing to correctly apply public housing
rules regarding family composition, income, assets, and expenses, and (2) errors in calculation.
Repayment to the PHA
The family is not required to repay an underpayment of rent if the error or program abuse is
caused by PHA staff.
PHA Reimbursement to Family
PHA Policy
The PHA will reimburse a family for any family overpayment of rent, regardless of
whether the overpayment was the result of staff-caused error or staff program abuse.
Prohibited Activities
PHA Policy
Any of the following will be considered evidence of program abuse by PHA staff:
Failing to comply with any public housing program requirements for personal gain
Failing to comply with any public housing program requirements as a result of a
conflict of interest relationship with any applicant or resident
Seeking or accepting anything of material value from applicants, residents, vendors,
contractors, or other persons who provide services or materials to the PHA
Disclosing confidential or proprietary information to outside parties
Gaining profit as a result of insider knowledge of PHA activities, policies, or
practices
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Misappropriating or misusing public housing funds
Destroying, concealing, removing, or inappropriately using any records related to the
public housing program
Committing any other corrupt or criminal act in connection with any federal housing
program
Committing sexual harassment or other harassment based on race, color, religion,
national origin, familial status, disability, sexual orientation, or gender identity, either
quid pro quo (supervisory harassment) or hostile environment
Allowing sexual harassment or other harassment based on race, color, religion,
national origin, familial status, disability, sexual orientation, or gender identity, either
quid pro quo (supervisory harassment) or hostile environment, where the PHA knew
or should have known such harassment was occurring
Retaliating against any applicant, resident, or staff reporting sexual harassment or
other harassment based on race, color, religion, national origin, familial status,
disability, sexual orientation, or gender identity, either quid pro quo (supervisory
harassment) or hostile environment
15-II.D. Criminal Prosecution
PHA Policy
Criminal violations related to the HCV program will be referred to the appropriate local,
state, or federal entity.
In determining prosecution, the City of Chandler Housing and Redevelopment Division
will examine each case by case using a three-prong approach. The three-prong approach
is as follows:
1. Loss
2. Criminal intent that it is egregious
3. Extenuating Circumstances. The City of Chandler reserves the right to
terminate assistance in high profile or violent crime cases.
15-II.E. Fraud and Program Abuse Recoveries
PHAs who enter into a repayment agreement with a family to collect rent owed, initiate litigation
against the family to recover rent owed, or begin eviction proceedings against a family may
retain 100 percent of program funds that the PHA recovers [Notice PIH 2005-7 (HA)].
If the PHA does none of the above, all amounts that constitute an underpayment of rent must be
returned to HUD.
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The family must be afforded the opportunity for a hearing through the PHA’s grievance process.
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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 ACOP. The policies are discussed in seven parts as described below:
Part I: Setting Utility Allowances. This part describes how utility allowances are
established and revised. Also discussed are the requirements to establish surcharges for
excess consumption of PHA-furnished utilities.
Part II: Establishing Flat Rents and Public Housing Maximum Rents. This part describes
the requirements and policies related to establishing and updating flat rent amounts and
public housing maximum rents.
Part III: Repayment of Family Debts. This part contains policies for recovery of monies
that have been underpaid by families, and describes the circumstances under which the
PHA will offer repayment agreements to families. Also discussed are the consequences
for failure to make payments in accordance with a repayment agreement.
Part IV: Public Housing Assessment System (PHAS). This part describes the PHAS
indicators, how PHAs are scored under PHAS, and how those scores affect a PHA.
Part V: 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 VI: Reporting and Record Keeping for Children with Elevated Blood Lead Level.
This part describes the PHA’s reporting responsibilities related to children with elevated
blood lead levels that are living in public housing.
Part VII: Violence against Women Act (VAWA): Notification, Documentation, and
Confidentiality. This part contains key terms used in VAWA and describes requirements
related to notifying families about their rights and responsibilities under VAWA;
requesting documentation from victims of domestic violence, dating violence, sexual
assault, and stalking; and maintaining the confidentiality of information obtained
from victims.
PART I: SETTING UTILITY ALLOWANCES [24 CFR 965 SUBPART E]
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16-I.A. Overview
PHAs must establish allowances for PHA-furnished utilities for all check metered utilities and
for resident-purchased utilities for all utilities purchased directly by residents from a utility
supplier [24 CFR 965.502(a)].
PHAs must also establish surcharges for excess consumption of PHA-furnished utilities [24 CFR
965.506].
The PHA must maintain a record that documents the basis on which utility allowances and
scheduled surcharges are established and revised, and the record must be made available for
inspection by residents [24 CFR 965.502(b)].
16-I.B Utility Allowances
The PHA must establish separate allowances for each utility and for each category of dwelling
units the PHA determines to be reasonably comparable as to factors affecting utility usage [24
CFR 965.503].
The objective of a PHA in establishing utility allowances for each dwelling unit category and
unit size is to approximate a reasonable consumption of utilities by an energy-conservative
household of modest circumstances consistent with the requirements of a safe, sanitary, and
healthful living environment [24 CFR 965.505].
Utilities include gas, electricity, fuel for heating, water, sewerage, and solid waste disposal for a
dwelling unit. In addition, if the PHA does not furnish a range and refrigerator, the family must
be granted a utility allowance for the range and refrigerator they provide [24 CFR 965.505].
Costs for telephone, cable/satellite TV, and internet services are not considered utilities [PH Occ
GB, p. 138].
Utility allowance amounts will vary by the rates in effect, size and type of unit, climatic location
and sitting of the unit, type of construction, energy efficiency of the dwelling unit, and other
factors related to the physical condition of the unit. Utility allowance amounts will also vary by
residential demographic characteristics affecting home energy usage [PH Occ GB, p. 138].
Chapter 14 of the PH Occupancy Guidebook provides detailed guidance to the PHA about
establishing utility allowances.
Air-Conditioning
“If a PHA installs air conditioning, it shall provide, to the maximum extent economically
feasible, systems that give residents the option of choosing to use air conditioning in their units.
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The design of systems that offer each resident the option to choose air conditioning shall include
retail meters or check meters, and residents shall pay for the energy used in its operation. For
systems that offer residents the option to choose air conditioning but cannot be check metered,
residents are to be surcharged in accordance with 965.506. If an air conditioning system does not
provide for resident option, residents are not to be charged, and these systems should be avoided
whenever possible.” [24 CFR 965.505(e)].
PHA Policy
The PHA has installed air-conditioning.
PHA Policy
The United States Department of Housing and Urban Development (HUD) does not
generally allow Housing Authorities to include air conditioning as a part of the utility
allowance for Public Housing. Per 24 CFR 965.508 (Individual Relief), Public Housing
Authorities may provide relief to resident purchased utilities on reasonable grounds.
Housing staff and the Public Housing Authority Commission have determined that in
Chandler, Arizona, the desert climate meets the ‘special factors’ criteria of a 'health and
safety' (healthy living environment) and therefore grants relief to the residents by
providing Public Housing residents with a reasonable air conditioning utility allowance.
Every resident who signs a Public Housing Lease Agreement is deemed qualified and
therefore request an air conditioning utility allowance.
Utility Allowance Revisions [24 CFR 965.507]
The PHA must review at least annually the basis on which utility allowances have been
established and must revise the allowances if necessary in order to adhere to the standards for
establishing utility allowances that are contained in 24 CFR 965.505.
The PHA may revise its allowances for resident-purchased utilities between annual reviews if
there is a rate change, and is required to do so if such change, by itself or together with prior rate
changes not adjusted for, results in a change of 10 percent or more from the rate on which the
allowance was based.
Adjustments to resident payments as a result of such changes must be retroactive to the first day
of the month following the month in which the last rate change taken into account became
effective.
PHA Policy
Between annual reviews of utility allowances, the PHA will only revise its utility
allowances due to a rate change, when required to by the regulation.
16-I.C. Surcharges for PHA-Furnished Utilities [24 CFR 965.506]
For dwelling units subject to allowances for PHA-furnished utilities where check meters have
been installed, the PHA must establish surcharges for utility consumption in excess of the
allowances. Surcharges may be computed on a straight per unit of purchase basis or for stated
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blocks of excess consumption, and must be based on the PHA’s average utility rate. The basis for
calculating the surcharges must be described in the PHA’s schedule of allowances. Changes in
the amount of surcharges based directly on changes in the PHA’s average utility rate are not
subject to the advance notice requirements discussed under 16-I.D.
For dwelling units served by PHA-furnished utilities where check meters have not been installed,
the PHA must establish schedules of surcharges indicating additional dollar amounts residents
will be required to pay by reason of estimated utility consumption attributable to resident-owned
major appliances or to optional functions of PHA-furnished equipment. The surcharge schedule
must state the resident-owned equipment (or functions of PHA-furnished equipment) for which
surcharges will be made and the amounts of such charges. Surcharges must be based on the cost
to the PHA of the utility consumption estimated to be attributable to reasonable usage of such
equipment.
PHA Policy
The PHA does have PHA-furnished utilities (water only for family sites).
16-I.D. Notice Requirements [965.502]
The PHA must give notice to all residents of proposed allowances and scheduled surcharges, and
revisions thereof. The notice must be given in the manner provided in the lease and must:
Be provided at least 60 days before the proposed effective date of the allowances,
scheduled surcharges, or revisions.
Describe the basis for determination of the allowances, scheduled surcharges, or
revisions, including a statement of the specific items of equipment and function whose
utility consumption requirements were included in determining the amounts of the
allowances and schedule of surcharges.
Notify residents of the place where the PHA’s documentation on which allowances and
surcharges are based is available for inspection.
Provide all residents an opportunity to submit written comments during a period expiring
not less than 30 days before the proposed effective date of the allowances, scheduled
surcharges, or revisions.
16-I.E. Reasonable Accommodation [24 CFR 965.508]
On request from a family that includes a disabled or elderly person, the PHA must approve a
utility allowance that is higher than the applicable amount for the dwelling unit if a higher utility
allowance is needed as a reasonable accommodation to make the program accessible to and
usable by the family [PH Occ GB, p. 172].
Likewise, residents with disabilities may not be charged for the use of certain resident-supplied
appliances if there is a verified need for special equipment because of the disability [PH Occ GB,
p. 172].
See Chapter 2 for policies regarding the request and approval of reasonable accommodations.
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PART II: ESTABLISHING FLAT RENTS
16-II.A. Overview
Flat rents are designed to encourage self-sufficiency and to avoid creating disincentives for
continued residency by families who are attempting to become economically self-sufficient.
Flat rents are also used to prorate assistance for a mixed family. A mixed family is one whose
members include those with citizenship or eligible immigration status, and those without
citizenship or eligible immigrations status [24 CFR 5.504].
This part discusses how the PHA establishes and updates flat rents. Policies related to the use of
flat rents, family choice of rent, flat rent hardships, and proration of rent for a mixed family are
discussed in Chapter 6.
16-II.B. Flat Rents [24 CFR 960.253(b) and Notice PIH 2017-23]
Establishing Flat Rents
The 2015 Appropriations Act requires that flat rents must be set at no less than 80 percent of the
applicable fair market rent (FMR). Alternatively, the PHA may set flat rents at no less than 80
percent of the applicable small area FMR (SAFMR) for metropolitan areas, or 80 percent of the
applicable unadjusted rents for nonmetropolitan areas.
For areas where HUD has not determined a SAFMR or an unadjusted rent, PHAs must set flat
rents at no less than 80 percent of the FMR or apply for an exception flat rent.
The 2015 Appropriations Act permits PHAs to request an exception flat rent that is lower than
either 80 percent of the FMR or SAFMR/unadjusted rent if the PHA can demonstrate that these
FMRs do not reflect the market value of a particular property or unit.
In order to demonstrate the need for an exception flat rent, PHAs are required to submit a market
analysis methodology that demonstrates the value of the unit. The PHA must use HUD's rent
reasonableness methodology to determine flat rents. In determining flat rents, PHAs must
consider the following:
Location
Quality
Unit size
Unit type
Age of the unit
Amenities at the property and in immediate neighborhood
Housing services provided
Maintenance provided by the PHA
Utilities provided by the PHA and/or landlord for (comparable units in the market study)
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The PHA must provide a corresponding key explaining the calculations used for determining the
valuation for each factor. HUD published a Flat Rent Market Analysis tool on August 22, 2018,
which includes a rent adjustment guide, a market rent comparison guide, and a rent adjustment
worksheet to aide PHAs in requesting exception flat rents.
PHAs must receive written HUD approval before implementing exception flat rents.. PHAs with
a previously approved flat rent exception request may submit a written request to extend the
approved flat rents for up to two additional years, provided local market conditions remain
unchanged. Detailed information on how to request exception flat rents can be found in Notice
PIH 2017-23.
PHAs are now required to apply a utility allowance to flat rents as necessary. Flat rents set at 80
percent of the FMR must be reduced by the amount of the unit's utility allowance, if any.
Review of Flat Rents
No later than 90 days after HUD publishes new annual FMRs/SAFMRs/unadjusted rent, PHAs
must revise flat rents as necessary based on changes to the FMRs/SAFMRs/unadjusted rent . The
PHA must offer changes to the flat rent to all new admissions and to existing families at the next
annual rent option.
If the FMR falls from year to year, the PHA may, but is not required to, lower the flat rent to 80
percent of the current FMR.
PHA Policy
If the FMR/SAFMR/unadjusted rent is lower than the previous year, the PHA will reduce
flat rents to 80 percent of the current FMR/SAFMR.
Posting of Flat Rents
PHA Policy
The PHA will publicly post the schedule of flat rents in a conspicuous manner in the
applicable PHA or project office.
Documentation of Flat Rents [24 CFR 960.253(b)(5)]
The PHA must maintain records that document the method used to determine flat rents, and that
show how flat rents were determined by the PHA in accordance with this method.
PART III: FAMILY DEBTS TO THE PHA
16-III.A. Overview
This part describes the PHA’s policies for recovery of monies owed to the PHA by families.
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PHA Policy
When an action or inaction of a resident family results in the underpayment of rent or
other amounts, the PHA holds the family liable to return any underpayments to the PHA.
The PHA will enter into repayment agreements in accordance with the policies contained
in this part as a means to recover overpayments.
When a family refuses to repay monies owed to the PHA, the PHA will utilize other
available collection alternatives including, but not limited to, the following:
Collection agencies
Small claims court
Civil law suit
State income tax set-off program
16-III.B. Repayment Policy
Family Debts to the PHA
PHA Policy
Any amount owed to the PHA by a public housing family must be repaid. If the family is
unable to repay the debt within 30 days, the PHA 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 the family’s tenancy in
accordance with the policies in Chapter 13. The PHA will also pursue other modes of
collection.
General Repayment Agreement Guidelines
Payment Thresholds
Notice PIH 2017-12 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, which is considered “affordable.” Moreover,
Notice PIH 2017-12 acknowledges that PHAs have the discretion to establish “thresholds and
policies” for repayment agreements with families [24 CFR 982.552(c)(1)(vii)].
PHA Policy
The PHA has established the following thresholds for repayment of debts:
Amounts between $3,000 and more must be repaid within 18-36 months.
Amounts between $1,000 and $2,999 must be repaid within 12-18 months.
Amounts between $501 and $999 must be repaid within 6-10 months.
Amounts under $500 must be repaid within 3-6 months.
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The minimum monthly amount of monthly payment for any payment agreement
is $50. Any payment agreement in excess of 36 months requires the approval
from the Housing Manager.
Execution of the Agreement
PHA Policy
Any repayment agreement between the PHA and a family must be signed and dated by
the PHA and by the head of household and spouse/cohead (if applicable).
Due Dates
PHA Policy
All payments are due by the close of business on the agreed upon date.
Late or Missed Payments
PHA 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 PHA, the PHA will 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 PHA will terminate tenancy in accordance
with the policies in Chapter 13.
No Offer of Repayment Agreement
PHA Policy
The PHA will 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
Notice PIH 2017-12 requires certain provisions to be included in any repayment agreement
involving amounts owed by a family because it underreported or failed to report income:
A reference to the items in the public housing lease that state the family’s obligation to
provide 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 PHA the
monthly tenant rent
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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 tenancy
PART IV: PUBLIC HOUSING ASSESSMENT SYSTEM (PHAS)
16-IV.A. Overview
The purpose of the Public Housing Assessment System (PHAS) is to improve the delivery of
services in public housing and enhance trust in the public housing system among PHAs, public
housing residents, HUD and the general public by providing a management tool for effectively
and fairly measuring the performance of a public housing agency in essential housing operations.
16-IV.B. PHAS Indicators [24 CFR 902 Subparts A, B, C, D, and E]
The table below lists each of the PHAS indicators, the points possible under each indicator, and a
brief description of each indicator. A PHA’s performance is based on a combination of all four
indicators.
Indicator 1: Physical condition of the PHA’s projects
Maximum Score: 40
The objective of this indicator is to determine the level to which a PHA is maintaining its public
housing in accordance with the standard of decent, safe, sanitary, and in good repair.
To determine the physical condition of a PHA’s projects, inspections are performed of the
following five major areas of each public housing project: site, building exterior, building
systems, dwelling units, and common areas. The inspections are performed by an independent
inspector arranged by HUD, and include a statistically valid sample of the units in each project
in the PHA’s public housing portfolio
Indicator 2: Financial condition of the PHA’s projects
Maximum Score: 25
The objective of this indicator is to measure the financial condition of the PHA’s public housing
projects for the purpose of evaluating whether the PHA has sufficient financial resources and is
capable of managing those financial resources effectively to support the provision of housing
that is decent, safe, sanitary, and in good repair.
A PHA’s financial condition is determined by measuring each public housing project’s
performance in each of the following subindicators: quick ratio, month’s expendables net assets
ratio, and debt service coverage ratio.
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Indicator 3: Management operations of the PHA’s projects
Maximum Score 25
The objective of this indicator is to measure certain key management operations and
responsibilities of a PHA’s projects for the purpose of assessing the PHA’s management
operations capabilities.
Each project’s management operations are assessed based on the following sub-indicators:
occupancy, tenant accounts receivable, and accounts payable.
An on-site management review may be conducted as a diagnosis and feedback tool for problem
performance areas, and for compliance. Management reviews are not scored.
Indicator 4: Capital Fund
Maximum Score 10
The objective of this indicator is to measure how long it takes the PHA to obligate capital funds
and to occupy units.
The PHA’s score for this indicator is measured at the PHA level and is based on the following
subindicators: timeliness of find obligation and occupancy rate.
16-IV.C. PHAS Scoring [24 CFR 902 Subpart F]
HUD’s Real Estate Assessment Center (REAC) issues overall PHAS scores, which are based on
the scores of the four PHAS indicators, and the subindicators under each indicator. The PHA’s
indicator scores are based on a weighted average of the PHA’s public housing projects’ scores.
PHAS scores translate into a designation for each PHA as high performing, standard,
substandard, or troubled.
A high performer is a PHA that achieves an overall PHAS score of 90 or greater, and achieves a
score of at least 60 percent of the points available under the physical, financial, and management
indicators and at least 50 percent of the points available under the capital fund indicator.
A standard performer is a PHA that has an overall PHAS score between 60 and 89, and achieves
a score of at least 60 percent of the points available under the physical, financial, and
management indicators and at least 50 percent of the points available under the capital fund
indicator.
A substandard performer is a PHA that has an overall PHAS score of at least 60 percent and
achieves a score of less than 60 percent under one or more of the physical, financial, or
management indicators.
A troubled performer is a PHA that achieves an overall PHAS score of less than 60, or achieves
less than 50 percent of the total points available under the capital fund indicator.
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These designations can affect a PHA in several ways:
High-performing PHAs are eligible for incentives including relief from specific HUD
requirements and bonus points in funding competitions [24 CFR 902.71].
PHAs that are standard performers may be required to submit and operate under a
corrective action plan to eliminate deficiencies in the PHA’s performance [24 CFR
902.73(a)(1)].
PHAs that are substandard performers will be required to submit and operate under a
corrective action plan to eliminate deficiencies in the PHA’s performance [24 CFR
902.73(a)(2)].
PHAs with an overall rating of “troubled” are subject to additional HUD oversight, and
are required to enter into a memorandum of agreement (MOA) with HUD to improve
PHA performance [24 CFR 902.75].
PHAs that fail to execute or meet MOA requirements may be referred to the Assistant
Secretary to determine remedial actions, including, but not limited to, remedies available
for substantial default [24 CFR 902.75(g) and 24 CFR Part 907].
PHAs must post a notice of its final PHAS score and status in appropriate conspicuous and
accessible locations in its offices within two weeks of receipt of its final score and designation
[24 CFR 902.64(b)(2)].
PART V: RECORD KEEPING
16-V.A. Overview
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-V.B. Record Retention
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].
Notice PIH 2014-20 requires the PHA 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.
The PHA must keep confidential records of all emergency transfer requested under the PHA’s
Emergency Transfer Plan, and the outcomes of such requests, and retain the records for a period
of three years, or for a period of time as specified in program regulations [24 CFR
5.2002(e)(12)].
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PHA Policy
During the term of each public housing tenancy, and for at least three years thereafter, the PHA
will keep all documents related to a family’s eligibility, tenancy, and termination. The PHA will
keep the last three years of Form HUD-50058 and supporting documentation, and for at least five
years after end of participation all documents related to a family’s eligibility, tenancy, and
termination.
In addition, the PHA will keep the following records for at least three years:
An application from each ineligible family and notice that the applicant is not eligible
Lead-based paint records as required by 24 CFR 35, Subpart B
Documentation supporting the establishment of flat rents and the public housing maximum rent
Documentation supporting the establishment of utility allowances and surcharges
Documentation related to PHAS
Accounts and other records supporting PHA budget and financial statements for the program
Complaints, investigations, notices, and corrective actions related to violations of the Fair
Housing Act or the equal access final rule
Confidential records of all emergency transfers related to VAWA requested under the PHA’s
Emergency Transfer Plan and the outcomes of such requests
Other records as determined by the PHA or as required by HUD
If a hearing to establish a family’s citizenship status is held, longer retention requirements apply
for some types of documents. For specific requirements, see Section 14-II.A.
16-V.C. Records Management and Safeguarding Sensitive Personally Identifiable
Information [PIH 2014-10]
PHAs must maintain applicant and participant files and information in accordance with the
regulatory requirements described below. PHAs are responsible for safeguarding personally
identifiable information required by HUD and preventing potential breaches of this sensitive
data. Personally Identifiable Information (PII) is defined in OMB M-07-16 as “… information
which can be used to distinguish or trace an individual’s identity, such as their name, social
security number, biometric records, etc. alone, or when combined with other personal or
identifying information which is linked or linkable to a specific individual, such as a date and
place of birth, mother’s maiden name, etc.” Examples of sensitive personal identifiable
information includes social security or driver’s license numbers, medical records, and financial
account numbers such as credit or debit card numbers.
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PHA Policy
All applicant and participant information will be kept in a secure location and access will
be limited to authorized PHA staff.
PHA 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.
When discussing sensitive PII on the telephone, PHA staff will confirm that they are
speaking to the right person before discussing the information and inform him/her that
the discussion will include sensitive information. PHA staff will not leave messages
containing sensitive PII on voicemail.
PHA staff will avoid discussing sensitive PII if there are unauthorized personnel,
contractors, or guests in the adjacent cubicles, rooms, or hallways who may overhear
their conversation.
When faxing sensitive PII, PHA staff will use the date stamp function, confirm the fax
number, verify that the intended recipient is available, and confirm that he/she has
received the fax. PHA staff will, before faxing sensitive PII, coordinate with the
recipient so that the information is not left unattended on the receiving end.
PHA Policy
PHA staff will request a written statement from the receiving PHA documenting that the
intended recipient is available to receive the fax and they understand the information will
not be left unattended on the receiving end.
PHA staff will not transmit sensitive PII via an unsecured information system (e.g.,
electronic mail, internet, or electronic bulletin board) without first encrypting the
information.
PHA Policy
The City of Chandler does not have encrypting capabilities for information systems;
therefore, PHA staff will not use information systems (e.g., electronic mail, internet, or
electronic bulletin board) to transmit sensitive PII.
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 1974, 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
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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
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 (UIV)
Data.
PHA Policy
The City of Chandler Housing and Redevelopment Division will adopt and implement
HUD’s Enterprise Income Verification (EIV) system security procedures required by
HUD as set forth in Version 1.4, November 2005.
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
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should not place this information in the tenant file. The PHA should destroy the document.
Domestic Violence, Dating Violence, Sexual Assault, or Stalking Records
For requirements and PHA policies related to management of documentation obtained from
victims of domestic violence, dating violence, sexual assault, or stalking, see section 16-VII.E.
PART VI: REPORTING REQUIREMENTS FOR CHILDREN WITH
ENVIRONMENTAL INTERVENTION BLOOD LEAD LEVEL
16-VI.A. Reporting Requirements [24 CFR 35.1130(e), PIH Notice 2017-13]
The PHA has certain responsibilities relative to children with elevated blood lead levels that are
living in public housing.
The PHA must report the name and address of a child identified as having an elevated blood lead
level (EBLL) to the public health department within 5 business days of being so notified by any
other medical health care professional. The PHA must also report each known case of a child
with an EBLL to the HUD field office.
PHA Policy
The PHA will provide the public health department written notice of the name and
address of any child identified as having an EBLL.
The PHA will provide written notice of each known case of a child with an EBLL to the
HUD field office, and to HUD’s Office of Lead Hazard Control (OLHCHH), within 5
business days of receiving the information.
PART VII: VIOLENCE AGAINST WOMEN ACT (VAWA): NOTIFICATION,
DOCUMENTATION, CONFIDENTIALITY
16-VII.A. Overview
The Violence against Women Act of 2013 (VAWA) provides special protections for victims of
domestic violence, dating violence, sexual assault, and stalking who are applying for or receiving
assistance under the public housing program. If your state or local laws provide greater
protection for such victims, those laws take precedence over VAWA.
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.
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Specific VAWA requirements and PHA policies are located in Chapter 3, “Eligibility” (sections
3-I.C and 3-III.F); Chapter 5, “Occupancy Standards and Unit Offers” (section 5-II.D); Chapter
8, “Leasing and Inspections” (section 8-I.B); Chapter 12, “Transfer Policy” (sections 12-III.C,
12-III.F, and 12-IV.D); and Chapter 13, “Lease Terminations” (sections 13-III.F and 13-IV.D).
16-VII.B. Definitions [24 CFR 5.2003]
PHA Policy
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
- Any individual, tenant or lawful occupant living in the household of that individual.
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 of the victim, by a person with whom the
victim shares a child in common, by a person who is cohabitating with or has
cohabitated with the victim as a spouse, by a person similarly situated to a spouse of
the victim under the domestic or family violence laws of the jurisdiction receiving
grant monies, or by any other person against an adult or youth victim who is protected
from that person’s acts under the domestic or family violence laws of the jurisdiction.
The term sexual assault means:
-
Any nonconsensual sexual act prescribed by the Federal, Tribal, or State law,
including when the victim lacks the capacity to consent
The term stalking means:
-
To follow, pursue, or repeatedly commit acts with the intent to kill, injure,
harass, or intimidate; or
-
To place under surveillance with the intent to kill, injure, harass, or intimidate
another person; and
-
In the course of, or as a result of, such following, pursuit, surveillance, or
repeatedly committed acts, to place a person in reasonable fear of the death of,
or serious bodily injury to, or to cause substantial emotional harm to (1) that
person, (2) a member of the affiliated member of that person, or (3) the spouse
or intimate partner of that person.
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16-VII.C. Notification [24 CFR 5.2005(a)]
The PHA adopts the following policy to help ensure that all actual and potential beneficiaries of
its public housing program are aware of their rights under VAWA.
PHA Policy
The PHA will post the following information regarding VAWA on its web site. It will
also make the information readily available to anyone who requests it.
A notice of occupancy rights under VAWA to public housing 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 PHA’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 Exhibit 16-1)
Contact information for local victim advocacy groups or service providers
Notification to Applicants and Tenants [24 CFR 5.2005(a)(1)]
PHAs are required to inform public housing applicants and tenants 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.
The PHA must distribute a notice of VAWA rights, along with the VAWA self-certification
form (HUD-5382) at each of these three junctures.
PHA Policy
The VAWA information provided to applicants and participants will consist of the
notices in Exhibit 16-1, Notice of Occupancy Rights under the Violence Against Women
Act and 16-2, Certification of Domestic Violence, Dating Violence, Sexual Assault, or
Stalking, and Alternate Documentation.
.
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The PHA will provide all applicants with information about VAWA at the time they request an
application for housing assistance. The PHA will also include such information in all notices of
denial of assistance (see section 3-III.F).
The PHA will provide all tenants with information about VAWA at the time of admission (see
section 8-I.B) and at annual reexamination. The PHA will also include such information in all
lease termination notices (see section 13-IV.D).
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 tenant following an incident of
domestic violence, Notice PIH 2006-42 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.
PHA Policy
Whenever the PHA has reason to suspect that providing information about VAWA to a
public housing tenant 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 PHA may decide not to send mail
regarding VAWA protections to the victim’s unit if the PHA believes the perpetrator may
have access to the victim’s mail, unless requested by the victim.
When discussing VAWA with the victim, the PHA 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.
16-VII.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, 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)]
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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), 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
3.
Documentation signed by a person who has assisted the victim in addressing domestic
violence, dating violence, sexual assault, or stalking, or the effects of such abuse. This
person may be an employee, agent, or volunteer of a victim service provider; an attorney;
or a medical professional. Acceptable documentation also includes a record of an
administrative agency, and documentation from a mental health 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 rule].
PHA Policy
Any request for documentation of domestic violence, dating violence, sexual assault, or
stalking will 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 PHA may, in its discretion, extend the deadline for 10 business days. Any extension
granted by the PHA will be in writing. In determining whether to extend the deadline, the
PHA 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 (LEP), 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 PHA will be in writing.
Once the victim provides documentation, the PHA 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
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3). The PHA may also request third-party documentation when submitted documentation
contains information that conflicts with existing information already available to the PHA. The
PHA must honor any court orders issued to protect the victim or to address the distribution of
property. 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 2017-18]
PHA Policy
If presented with conflicting certification documents (two or more forms HUD-5382)
from members of the same household, the PHA 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(b)(2) or (3) and by following any HUD guidance on how such
determinations should be made. When requesting third-party documents, the PHA will
provide contact information for local domestic violence and legal aid offices. In such
cases, applicants or tenants will be given 30 calendar days from the date of the request to
provide such documentations.
If the PHA does not receive third-party documentation within the required timeframe
(and any extensions), the PHA 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 PHA 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.
PHA Policy
If the PHA accepts an individual’s statement or other corroborating evidence (as
determined by the victim) of domestic violence, dating violence, sexual assault, or
stalking, the PHA 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.
Immigration Status/Self-Petitioner (PIH Notice 2017-02)
A “Self-Petitioner” is a category of battered noncitizens seeking legal permanent resident status
without the cooperation or knowledge of their abusive relative. A “VAWA Self-Petitioner” is a
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category of battered noncitizens seeking VAWA-related relief and other VAWA-related petitions
or applications for lawful permanent resident status.
PIH Notice 2017-02 explains the procedures that COCHRD must follow when an applicant or
resident/tenant requests admission or continued residency as a result of being a VAWA self-
petitioner
In accordance with Section 214 of the Housing and Community Development Act of 1980, HUD
may not allow financial assistance to ineligible non-citizens, but assistance must not be denied
while verifying immigration status or appeal of a determination as to satisfactory immigration
status is pending.
HUD has determined that self-petitioners can indicate that they are in “satisfactory immigration
status” when applying for assistance or continued assistance from Section 214 covered housing
providers. “Satisfactory immigration status” means an immigration status which does not make
the individual ineligible for financial assistance. After verifying such immigration status in the
Department of Homeland Security (DHS) Systematic Alien Verification for Entitlements
(SAVE) System, the COCHRD will make a final determination as to the self-petitioner’s
eligibility for assistance.
COCHRD will not deny, reduce, or terminate the assistance of a VAWA Self-Petitioner who
claims “satisfactory immigration status.” COCHRD will verify that the applicant or participant is
a self-petitioner by utilizing the SAVE system to verify immigration status.
All protections afforded under VAWA apply to the self-petitioner throughout the verification
process.
Not every noncitizen victim who has been subjected to battery or extreme cruelty will qualify
under these procedures. In order to qualify, the noncitizen victim must have been battered or
subjected to extreme cruelty by their spouse or parent, who is a U.S. citizen or LPR. COCHRD
may receive a petition at any time, but submissions will most likely be related to a request for
VAWA protections pursuant to 24 CFR Part 5 Subpart L (e.g. with a request for an emergency
transfer or family breakup resulting from domestic violence, dating violence, sexual assault, or
stalking.
COCHRD will follow the steps outlined in PIH Notice 2017-02 to complete verification.
16-VII.E. Confidentiality [24 CFR 5.2007(b)(4)]
All information provided to the PHA regarding domestic violence, dating violence, sexual
assault, or stalking, 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
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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.
PHA Policy
If disclosure is required for use in an eviction proceeding or is otherwise required by applicable
law, the PHA will inform the victim before disclosure occurs so that safety risks can be
identified and addressed.
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Exhibit 16-1: Notice of Occupancy Rights Under the Violence Against Women Act
City of Chandler Housing and Redevelopment Division
Notice of Occupancy Rights under the Violence Against Women Act
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. The U.S. Department of Housing and Urban Development (HUD) is the Federal
agency that oversees that public housing and housing choice voucher 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 public housing or housing choice voucher, 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 public housing or housing choice voucher, 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 public housing or housing choice
voucher solely on the basis of criminal activity directly relating to that domestic violence, dating
violence, sexual assault, or stalking.
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 City of Chandler Housing and Redevelopment Division (COCHRD) may divide (bifurcate)
the 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.
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If the COCHRD chooses to remove the abuser or perpetrator, COCHRD 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, COCHRD 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, COCHRD must follow Federal, State,
and local eviction procedures. In order to divide a lease, COCHRD 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, COCHRD 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, COCHRD 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
COCHRD does not already have documentation that you are a victim of domestic violence,
dating violence, sexual assault, or stalking, COCHRD may ask you for such documentation, as
described in the documentation section below.
2. You expressly request the emergency transfer. COCHRD may choose to require that you
submit a form, or may accept 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.
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COCHRD 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.
COCHRD’s emergency transfer plan provides further information on emergency transfers, and
COCHRD 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
COCHRD 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 COCHRD must be in writing, and COCHRD 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. COCHRD 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 COCHRD as documentation. It is your choice which of
the following to submit if the COCHRD 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 COCHRD with this notice, that
documents an incident of domestic violence, 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 COCHRD has agreed to accept.
If you fail or refuse to provide one of these documents within the 14 business days, the
COCHRD does not have to provide you with the protections contained in this notice.
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If the COCHRD 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), COCHRD 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, COCHRD does not have to provide you with the protections contained in this notice.
Confidentiality
COCHRD 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.
COCHRD must not allow any individual administering assistance or other services on behalf of
COCHRD (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
uner applicable Federal, State, or local law.
COCHRD must not enter your information into any shared database or disclose your information
to any other entity or individual. COCHRD, however, may disclose the information provided if:
You give written permission to COCHRD to release the information on a time limited basis.
COCHRD 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 COCHRD or your landlord to release the information.
VAWA does not limit COCHRD’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, COCHRD 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 COCHRD 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
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2. Could result in death or serious bodily harm to other tenants or those who work on the
property.
If COCHRD can demonstrate the above, COCHRD should only terminate your assistance or
evict you if there are no other actions that could be taken to reduce 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 COCHRD’s violations of these rights and seek additional assistance,
if needed, by contacting or filing a complaint with Amy Jacobson, Housing and Redevelopment
Manager or HUD’s Phoenix 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. Additionally, COCHRD must make a copy of HUD’s VAWA
regulations available to you if you ask to see them. For questions regarding VAWA, please
contact your housing specialist.
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 2-1-1 within Arizona or at https://211arizona.org/domestic-violence/
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 2-1-1 within Arizona or at
https://211arizona.org/domestic-violence/.
Victims of stalking seeking help may contact 2-1-1 within Arizona or at
https://211arizona.org/domestic-violence/.
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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, 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 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
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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.
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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):__________________________________________
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): ______________________________________________________
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.
In your own words, briefly describe the incident(s):
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
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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
Attachment: Certification form HUD-5382
City of Chandler Housing and Redevelopment Division
EMERGENCY TRANSFER PLAN
FOR VICTIMS OF DOMESTIC VIOLENCE, DATING VIOLENCE, SEXUAL
ASSAULT, OR STALKING
Public Housing Program
Emergency Transfers
The City of Chandler Housing and Redevelopment Division (COCHRD) 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), COCHRD 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 regardless of sex, gender identity, or
sexual orientation. The ability of COCHRD 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
COCHRD 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 model
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.
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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 PHA 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 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 confidential 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 of
information related to incidents of domestic violence, dating violence, sexual assault, or stalking.
Emergency Transfer Timing and Availability
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.
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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 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: Public Housing (PH) Program
If you are a public housing resident and request an emergency transfer as described in this plan,
the PHA will attempt to assist you in moving to a safe unit quickly. The PHA will make
exceptions as required to policies restricting moves.
Emergency transfers for which you are not required to apply for assistance include the following:
Public housing unit in a different development
Public housing unit in the same development, if you determine that the unit is safe
At your request, the PHA will refer you to organizations that may be able to further assist you.
You may also request an emergency transfer to the following programs for which you are
required to apply for assistance:
HCV tenant-based program
HCV project-based assistance
Other programs administered by the PHA (such as state housing programs)
Emergency transfers will not take priority over waiting list admissions for these types of
assistance. 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 (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/.
Tenants who are or have been victims of stalking seeking help may visit the National Center for
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Victims of Crime’s Stalking Resource Center at https://www.victimsofcrime.org/our-
programs/stalking-resource-center.
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Exhibit 16-4: Emergency Transfer Plan 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 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
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.
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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) __________________________________________
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):___________________________________________________________________
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8. Relationship of the accused perpetrator to the victim:
__________________________________________________________________________
9. Date(s), Time(s) and location(s) of incident(s):
__________________________________________________________________________
__________________________________________________________________________
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 _______________________Signed on (Date) _________________________
Form HUD-5383 (12/2016)
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CHAPTER 17
GLOSSARY
A.
ACRONYMS USED IN PUBLIC HOUSING
ACC
Annual contributions contract
ACOP
Admissions and Continued Occupancy
ADA
Americans with Disabilities Act of 1990
AIDS
Acquired immune deficiency syndrome
AMI
Area median income
AMP
Asset management project
BR
Bedroom
CDBG
Community Development Block Grant (Program)
CFP
Capital fund program
CFR
Code of Federal Regulations (published federal rules that define and implement
laws; commonly referred to as “the regulations”)
COCC
Central office cost center
CPI
Consumer price index (published monthly by the Department of Labor as an
inflation indicator)
EID
Earned income disallowance
EIV
Enterprise Income Verification
FDIC
Federal Deposit Insurance Corporation
FHA
Federal Housing Administration
FHEO
Fair Housing and Equal Opportunity
FICA
Federal Insurance Contributions Act (established Social Security taxes)
FMR
Fair market rent
FR
Federal Register
FSS
Family Self-Sufficiency (Program)
FY
Fiscal year
FYE
Fiscal year end
GAO
Government Accountability Office
HA
Housing authority or housing agency
HCV
Housing choice voucher
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HQS
Housing quality standards
HERA
Housing and Economic Recovery Act of 2008
HOPE VI
Revitalization of Severely Distressed Public Housing Program
HUD
Department of Housing and Urban Development
HUDCLIPS HUD Client Information and Policy System
IMS
Inventory Management System
IPA
Independent public accountant
IRA
Individual retirement account
IRS
Internal Revenue Service
IVT
Income Verification Tool
JTPA
Job Training Partnership Act
LBP
Lead-based paint
LEP
Limited English Proficiency
LIHTC
Low-income housing tax credit
MTW
Moving to Work
NOFA
Notice of funding availability
OGC
HUD’s Office of General Counsel
OIG
HUD’s Office of Inspector General
OMB
Office of Management and Budget
PASS
Plan to Achieve Self-Support
PHA
Public housing agency
PHAS
Public Housing Assessment System
PIC
PIH Information Center
PIH
(HUD Office of) Public and Indian Housing
QC
Quality control
QHWRA
Quality Housing and Work Responsibility Act of 1998 (also known as the Public
Housing Reform Act)
RAD
Rental Assistance Demonstration Program
REAC
(HUD) Real Estate Assessment Center
RFP
Request for proposals
RIGI
Regional inspector general for investigation (handles fraud and program abuse
matters for HUD at the regional office level)
ROSS
Resident Opportunity and Supportive Services
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SSA
Social Security Administration
SSI
Supplemental security income
SWICA
State wage information collection agency
TANF
Temporary assistance for needy families
TR
Tenant rent
TTP
Total tenant payment
UA
Utility allowance
UFAS
Uniform Federal Accessibility Standards
UIV
Upfront income verification
URP
Utility reimbursement payment
VAWA
Violence Against Women Reauthorization Act of 2013
VCA
Voluntary Compliance Agreement
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B.
GLOSSARY OF PUBLIC HOUSING TERMS
Accessible. The facility or portion of the facility can be approached, entered, and used by persons
with disabilities.
Adjusted income. Annual income, less allowable HUD deductions and allowances.
Affiliated individual. With respect to an individual, a spouse, parent, brother, sister, or child of
that individual, or an individual to whom that individual stands in loco parentis (in the place
of a parent), or any individual, tenant, or lawful occupant living in the household of that
individual
Annual contributions contract (ACC). The written contract between HUD and a PHA under
which HUD agrees to provide funding for a program under the 1937 Act, and the PHA
agrees to comply with HUD requirements for the program.
Annual income. The anticipated total income of an eligible family from all sources for the
12-month period following the date of determination of income, computed in accordance
with the regulations.
Applicant (applicant family). A family that has applied for admission to a program but is not yet
a participant in the program.
As-paid states. States where the welfare agency adjusts the shelter and utility component of the
welfare grant in accordance with actual housing costs.
Assets. (See net family assets.)
Auxiliary aids. Services or devices that enable persons with impaired sensory, manual, or
speaking skills to have an equal opportunity to participate in, and enjoy the benefits of,
programs or activities receiving federal financial assistance.
Bifurcate. 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.
Ceiling Rent. The highest rent amount the PHA will require a family to pay, for a particular unit
size, when the family is paying an income-based rent.
Child. A member of the family other than the family head or spouse who is under 18 years of
age.
Child care expenses. Amounts anticipated to be paid by the family for the care of children under
13 years of age during the period for which annual income is computed, but only where such
care is necessary to enable a family member to actively seek employment, be gainfully
employed, or to further his or her education and only to the extent such amounts are not
reimbursed. The amount deducted shall reflect reasonable charges for child care. In the case
of child care necessary to permit employment, the amount deducted shall not exceed the
amount of employment income that is included in annual income.
Citizen. A citizen or national of the United States.
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Cohead. An individual in the household who is equally responsible for the lease with the head of
household. A family may have a cohead or spouse but not both. A cohead never qualifies as a
dependent. The cohead must have legal capacity to enter into a lease.
Confirmatory review. An on-site review performed by HUD to verify the management
performance of a PHA.
Consent form. Any consent form approved by HUD to be signed by assistance applicants and
participants to obtain income information from employers and SWICAs; return information
from the Social Security Administration (including wages, net earnings from self-
employment, and retirement income); and return information for unearned income from the
IRS. Consent forms expire after a certain time and may authorize the collection of other
information to determine eligibility or level of benefits.
Covered families. Statutory term for families who are required to participate in a welfare agency
economic self-sufficiency program and who may be subject to a welfare benefit sanction for
noncompliance with this obligation. Includes families who receive welfare assistance or other
public assistance under a program for which federal, state or local law requires that a member
of the family must participate in an economic self-sufficiency program as a condition for the
assistance.
Dating violence. 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
Dependent. A member of the family (except foster children and foster adults) other than the
family head or spouse, who is under 18 years of age, or is a person with a disability, or is a
full-time student.
Dependent child. In the context of the student eligibility restrictions, a dependent child of a
student enrolled in an institution of higher education. The dependent child must also meet the
definition of dependent as specified above.
Disability assistance expenses. Reasonable expenses that are anticipated, during the period for
which annual income is computed, for attendant care and auxiliary apparatus for a disabled
family member, and that are necessary to enable a family member (including the disabled
member) to be employed, provided that the expenses are neither paid to a member of the
family nor reimbursed by an outside source.
Disabled family. A family whose head, cohead, spouse, or sole member is a person with
disabilities; two or more persons with disabilities living together; or one or more persons
with disabilities living with one or more live-in aides.
Disabled person. See person with disabilities.
Disallowance. Exclusion from annual income.
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Displaced family. A family in which each member, or whose sole member, is a person displaced
by governmental action, or a person whose dwelling has been extensively damaged or
destroyed as a result of a disaster declared or otherwise formally recognized pursuant to
federal disaster relief laws.
Domestic violence. Felony or misdemeanor crimes of violence committed by a current or former
spouse of the victim, by a person with whom the victim shares a child in common, by a
person who is cohabitating with or has cohabitated with the victim as a spouse, by a person
similarly situated to a spouse of the victim under the domestic or family violence laws of the
jurisdiction receiving grant monies, or by any other person against an adult or youth victim
who is protected from that person’s acts under the domestic or family violence laws of the
jurisdiction.
Domicile. The legal residence of the household head or spouse as determined in accordance with
state and local law.
Drug-related criminal activity. The illegal manufacture, sale, distribution, or use of a drug, or
the possession of a drug with intent to manufacture, sell, distribute, or use the drug.
Economic self-sufficiency program. Any program designed to encourage, assist, train or
facilitate the economic independence of assisted families, or to provide work for such
families. Can include job training, employment counseling, work placement, basic skills
training, education, English proficiency, Workfare, financial or household management,
apprenticeship, or any other program necessary to ready a participant to work (such as
treatment for drug abuse or mental health treatment). Includes any work activities as defined
in the Social Security Act (42 U.S.C. 607(d)). Also see 24 CFR 5.603(c).
Effective date. The “effective date” of an examination or reexamination refers to: (i) in the case
of an examination for admission, the date of initial occupancy and (ii) in the case of
reexamination of an existing tenant, the date the redetermined rent becomes effective.
Elderly family. A family whose head, cohead, spouse, or sole member is a person who is at least
62 years of age; two or more persons who are at least 62 years of age living together; or one
or more persons who are at least 62 years of age living with one or more live-in aides.
Elderly person. An individual who is at least 62 years of age.
Eligible family (Family). A family that is income eligible and meets the other requirements of
the 1937 Act and Part 5 of 24 CFR.
Employer identification number (EIN). The nine-digit taxpayer identifying number that is
assigned to an individual, trust, estate, partnership, association, company, or corporation.
Evidence of citizenship or eligible status. The documents which must be submitted as evidence
of citizenship or eligible immigration status. (See 24 CFR 5.508(b).)
Extremely low-income family. A family whose annual income does not exceed the federal
poverty level or 30 percent of the median income for the area, as determined by HUD,
whichever number is higher, with adjustments for smaller and larger families. HUD may
establish income ceilings higher or lower than 30 percent of median income if HUD finds
such variations are necessary due to unusually high or low family incomes. (See 24 CFR
5.603.)
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Facility. All or any portion of buildings, structures, equipment, roads, walks, parking lots, rolling
stock, or other real or personal property or interest in the property.
Fair Housing Act. Title VIII of the Civil Rights Act of 1968, as amended by the Fair Housing
Amendments Act of 1988.
Fair market rent (FMR). The rent, including the cost of utilities (except telephone), as
established by HUD for units of varying sizes (by number of bedrooms), that must be paid in
the housing market area to rent privately owned, existing, decent, safe, and sanitary rental
housing of modest (non-luxury) nature with suitable amenities. See periodic publications in
the Federal Register in accordance with 24 CFR Part 888.
Family. Includes but is not limited to the following, regardless of actual or perceived sexual
orientation, gender identity, or marital status, and can be further defined in PHA policy.
- A family with or without children (the temporary absence of a child from the home due to
placement in foster care is not considered in determining family composition and
family size)
- An elderly family or a near-elderly family
- A displaced family
- The remaining member of a tenant family
- A single person who is not an elderly or displaced person, or a person with disabilities, or
the remaining member of a tenant family.
Family self-sufficiency program (FSS program). The program established by a PHA in
accordance with 24 CFR part 984 to promote self-sufficiency of assisted families, including
the coordination of supportive services (42 U.S.C. 1437u).
Federal agency. A department of the executive branch of the federal government.
Flat rent. Established by the PHA for each public housing unit; a rent based on the market rent
charged for comparable units in the unassisted rental market, set at no less than 80 percent of
the applicable Fair Market Rent (FMR), and adjusted by the amount of the utility allowance,
if any.
Foster child care payment. A payment to eligible households by state, local, or private agencies
appointed by the state to administer payments for the care of foster children.
Full-time student. A person who is attending school or vocational training on a full-time basis
(carrying a subject load that is considered full-time for day students under the standards and
practices of the educational institution attended). (See 24 CFR 5.603)
Handicap. Any condition or characteristic that renders a person an individual with handicaps.
(See person with disabilities)
Head of household. The adult member of the family who is the head of the household for
purposes of determining income eligibility and rent.
Household. A household includes additional people other than the family who, with the PHA’s
permission, live in an assisted unit, such as live-in aides, foster children, and foster adults.
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Housing agency (HA). See public housing agency.
HUD. The U.S. Department of Housing and Urban Development.
Imputed asset. An asset disposed of for less than fair market value during the two years
preceding examination or reexamination.
Imputed asset income. The PHA-established passbook rate multiplied by the total cash value of
assets. The calculation is used when net family assets exceed $5,000.
Imputed welfare income. An amount of annual income that is not actually received by a family
as a result of a specified welfare benefit reduction, but is included in the family’s annual
income and therefore reflected in the family’s rental contribution.
Income. Income from all sources of each member of the household, as determined in accordance
with criteria established by HUD.
Income-based rent. A tenant rent that is based on the family’s income and the PHA’s rent
policies for determination of such rents.
Income information means information relating to an individual’s income, including:
- All employment income information known to current or previous employers or other
income sources
- All information about wages, as defined in the state's unemployment compensation law,
including any social security number; name of the employee; quarterly wages of the
employee; and the name, full address, telephone number, and, when known, employer
identification number of an employer reporting wages under a state unemployment
compensation law
- Whether an individual is receiving, has received, or has applied for unemployment
compensation, and the amount and the period received
- Unearned IRS income and self-employment wages and retirement income
- Wage, social security, and supplemental security income data obtained from the Social
Security Administration.
Individual with handicaps. See person with disabilities.
Jurisdiction. The area in which the PHA has authority under state and local law to administer the
program.
Lease. A written agreement between the PHA and a tenant family for the leasing a public
housing unit. The lease establishes the legal relationship between the PHA and the tenant
family.
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Live-in aide. A person who resides with one or more elderly persons, or near-elderly persons, or
persons with disabilities, and who:
- Is determined to be essential to the care and well-being of the persons;
- Is not obligated for the support of the persons; and
- Would not be living in the unit except to provide the necessary supportive services.
Local preference. A preference used by the PHA to select among applicant families.
Low-income family. A family whose income does not exceed 80 percent of the median income
for the area as determined by HUD with adjustments for smaller or larger families, except
that HUD may establish income limits higher or lower than 80 percent for areas with
unusually high or low incomes.
Medical expenses. Medical expenses, including medical insurance premiums, that are
anticipated during the period for which annual income is computed, and that are not covered
by insurance (a deduction for elderly or disabled families only). These allowances are given
when calculating adjusted income for medical expenses in excess of 3 percent of
annual income.
Minimum rent. An amount established by the PHA of zero to $50.
Minor. A member of the family household other than the family head or spouse, who is under 18
years of age.
Mixed family. A family whose members include those with citizenship or eligible immigration
status, and those without citizenship or eligible immigration status.
Monthly adjusted income. One twelfth of adjusted income.
Monthly income. One twelfth of annual income.
National. A person who owes permanent allegiance to the United States, for example, as a result
of birth in a United States territory or possession.
Near-elderly family. A family whose head, spouse, or sole member is a person who is at least 50
years of age but below the age of 62; or two or more persons, who are at least 50 years of age
but below the age of 62, living together; or one or more persons who are at least 50 years of
age but below the age of 62 living with one or more live-in aides.
Net family assets. (1) Net cash value after deducting reasonable costs that would be incurred in
disposing of real property, savings, stocks, bonds, and other forms of capital investment,
excluding interests in Indian trust land and excluding equity accounts in HUD
homeownership programs. The value of necessary items of personal property such as
furniture and automobiles shall be excluded.
- In cases where a trust fund has been established and the trust is not revocable by, or under
the control of, any member of the family or household, the value of the trust fund will not
be considered an asset so long as the fund continues to be held in trust. Any income
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distributed from the trust fund shall be counted when determining annual income under
§5.609.
- In determining net family assets, PHAs or owners, as applicable, shall include the value of
any business or family assets disposed of by an applicant or tenant for less than fair market
value (including a disposition in trust, but not in a foreclosure or bankruptcy sale) during
the two years preceding the date of application for the program or reexamination, as
applicable, in excess of the consideration received therefore. In the case of a disposition as
part of a separation or divorce settlement, the disposition will not be considered to be for
less than fair market value if the applicant or tenant receives important consideration not
measurable in dollar terms.
Noncitizen. A person who is neither a citizen nor national of the United States.
PHA Plan. The annual plan and the 5-year plan as adopted by the PHA and approved by HUD.
Participant (participant family). A family that has been admitted to the PHA program and
is currently assisted in the program.
Payment standard. The maximum monthly assistance payment for a family assisted in the
voucher program (before deducting the total tenant payment by the family).
Person with disabilities. For the purposes of program eligibility. A person who has a disability
as defined under the Social Security Act or Developmental Disabilities Care Act, or a person
who has a physical or mental impairment expected to be of long and indefinite duration and
whose ability to live independently is substantially impeded by that impairment but could be
improved by more suitable housing conditions. This includes persons with AIDS or
conditions arising from AIDS but excludes persons whose disability is based solely on drug
or alcohol dependence. For the purposes of reasonable accommodation. A person with a
physical or mental impairment that substantially limits one or more major life activities, a
person regarded as having such an impairment, or a person with a record of such
an impairment.
Premises. The building or complex in which the dwelling unit is located, including common
areas and grounds.
Previously unemployed. With regard to the earned income disallowance, a person who has
earned, in the 12 months previous to employment, no more than would be received for 10
hours of work per week for 50 weeks at the established minimum wage.
Public assistance. Welfare or other payments to families or individuals, based on need, which
are made under programs funded, separately or jointly, by federal, state, or local
governments.
Public housing agency (PHA). Any state, county, municipality, or other governmental entity or
public body, or agency or instrumentality of these entities, that is authorized to engage or
assist in the development or operation of low-income housing under the 1937 Act.
Qualified family A family residing in public housing:
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*
-Whose annual income increases as a result of employment of a family member
who was unemployed for one or more years previous to employment;
* Whose annual income increases as a result of increased earnings by a family member
during participation in any economic self-sufficiency or other job training program; or
* Whose annual income increases, as a result of new employment or increased earnings of a
family member, during or within six months after receiving assistance, benefits or services
under any state program for temporary assistance for needy families funded under Part A of
Title IV of the Social Security Act, as determined by the PHA in consultation with the local
agencies administering temporary assistance for needy families (TANF) and Welfare-to-
Work (WTW) programs. The TANF program is not limited to monthly income
maintenance, but also includes such benefits and services as one-time payments, wage
subsidies and transportation assistance, provided that the total amount over a six-month
period is at least $500.
Reasonable accommodation. A change, exception, or adjustment to a rule, policy, practice, or
service to allow a person with disabilities to fully access the PHA’s programs or services.
Recertification. Sometimes called reexamination. The process of securing documentation of
total family income used to determine the rent the tenant will pay for the next 12 months if
there are no additional changes to be reported.
Remaining member of the tenant family. The person left in assisted housing who may or may
not normally qualify for assistance on their own circumstances (i.e., an elderly spouse dies,
leaving widow age 47 who is not disabled).
Residency preference. A PHA preference for admission of families that reside anywhere in a
specified area, including families with a member who works or has been hired to work in the
area (See residency preference area).
Residency preference area. The specified area where families must reside to qualify for a
residency preference.
Responsible entity. For the public housing the PHA administering the program under an ACC
with HUD. Secretary. The Secretary of Housing and Urban Development.
Section 8. Section 8 of the United States Housing Act of 1937. Refers to the housing choice
voucher program.
Security deposit. A dollar amount (maximum set according to the regulations) which can be used
for unpaid rent or damages to the PHA upon termination of the lease.
Sexual Assault. Any nonconsensual sexual act proscribed by federal, tribal, or state law,
including when the victim lacks capacity to consent (42 U.S.C. 13925(a)).
Sexual orientation. Homosexuality, heterosexuality or bisexuality.
Single person. A person living alone or intending to live alone.
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Social security number (SSN). The nine-digit number that is assigned to a person by the Social
Security Administration and that identifies the record of the person’s earnings reported to the
Social Security Administration. The term does not include a number with a letter as a suffix
that is used to identify an auxiliary beneficiary.
Specified welfare benefit reduction. Those reductions of welfare benefits (for a covered family)
that may not result in a reduction of the family rental contribution. A reduction of welfare
benefits because of fraud in connection with the welfare program, or because of welfare
sanction due to noncompliance with a welfare agency requirement to participate in an
economic self-sufficiency program.
Spouse. The marriage partner of the head of household.
Stalking. To follow, pursue, or repeatedly commit acts with the intent to kill, injure, harass, or
intimidate; or to place under surveillance with the intent to kill, injure, harass, or intimidate
another person; and in the course of, or as a result of, such following, pursuit, surveillance, or
repeatedly committed acts, to place a person in reasonable fear of the death of, or serious
bodily injury to, or to cause substantial emotional harm to (1) that person, (2) a member of
the affiliated individual of that person, or (3) the spouse or intimate partner of that person.
State wage information collection agency (SWICA). The state agency, including any Indian
tribal agency, receiving quarterly wage reports from employers in the state, or an alternative
system that has been determined by the Secretary of Labor to be as effective and timely in
providing employment-related income and eligibility information.
Tenant. The person or persons (other than a live-in aide) who executes the lease as lessee of the
dwelling unit.
Tenant rent. The amount payable monthly by the family as rent to the PHA.
Total tenant payment (TTP). The total amount the HUD rent formula requires the tenant to pay
toward rent and utilities.
Utilities. Water, electricity, gas, other heating, refrigeration, cooking fuels, trash collection, and
sewage services. Telephone service is not included.
Utility allowance. If the cost of utilities (except telephone) and other housing services for an
assisted unit is not included in the tenant rent but is the responsibility of the family occupying
the unit, an amount equal to the estimate made or approved by a PHA or HUD of the
monthly cost of a reasonable consumption of such utilities and other services for the unit by
an energy-conservative household of modest circumstances consistent with the requirements
of a safe, sanitary, and healthful living environment.
Utility reimbursement. The amount, if any, by which the utility allowance for the unit, if
applicable, exceeds the total tenant payment (TTP) for the family occupying the unit.
Veteran. A person who has served in the active military or naval service of the United States at
any time and who shall have been discharged or released therefrom under conditions other
than dishonorable.
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Violence Against Women Reauthorization Act (VAWA) of 2013. Prohibits denying admission
to the project to an otherwise qualified applicant on the basis that the applicant is or has been
a victim of domestic violence, dating violence, sexual assault, or stalking.
Violent criminal activity. Any illegal criminal activity that has as one of its elements the use,
attempted use, or threatened use of physical force against the person or property of another.
Waiting list. A list of families organized according to HUD regulations and PHA policy who are
waiting for a unit to become available.
Welfare assistance. Income assistance from federal or state welfare programs, including
assistance provided under TANF and general assistance. Does not include assistance directed
solely to meeting housing expenses, nor programs that provide health care, child care or other
services for working families. For the FSS program (984.103(b)), welfare assistance includes
only cash maintenance payments from federal or state programs designed to meet a family’s
ongoing basic needs, but does not include food stamps, emergency rental and utilities assistance,
SSI, SSDI, or social security.