[Federal Register Volume 64, Number 92 (Thursday, May 13, 1999)]
[Notices]
[Pages 26236-26238]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-11916]



[[Page 26235]]

_______________________________________________________________________

Part IX





Department of Housing and Urban Development





_______________________________________________________________________



Public Housing Assessment System; Resident Service and Satisfaction 
Scoring Process; Notice

  Federal Register / Vol. 64, No. 92 / Thursday, May 13, 1999 / 
Notices  

[[Page 26236]]



DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR 4509-N-06]


Public Housing Assessment System; Resident Service and 
Satisfaction Scoring Process

AGENCY: Office of the Director, Real Estate Assessment Center, HUD.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: This notice provides additional information to public housing 
agencies, and members of the public, regarding HUD's process for 
issuing scores under the Resident Service and Satisfaction Indicator of 
the Public Housing Assessment System (PHAS).

FOR FURTHER INFORMATION CONTACT: For further information contact Wanda 
Funk, Real Estate Assessment Center, Department of Housing and Urban 
Development, 1280 Maryland Avenue, SW, Suite 800, Washington DC, 20024; 
telephone Customer Service Center at 1-888-245-4860 (this is a toll 
free number). Persons with hearing or speech impairments may access 
that number via TTY by calling the Federal Information Relay Service at 
(800) 877-8339. Additional information is available from the REAC 
Internet Site, http://www.hud.gov/reac.

SUPPLEMENTARY INFORMATION:

1. Purpose of This Notice

    The purpose of this notice is to provide additional information 
about the scoring process for PHAS Indicator #4, Resident Service and 
Satisfaction. The purposes of the Resident Service and Satisfaction 
assessment are to measure the level of resident satisfaction with 
living conditions at their public housing, to facilitate positive 
interaction and communication between public housing agencies (PHAs) 
and residents, and to guide PHAs in recognizing areas of concern 
identified by residents in survey responses. The Resident Service and 
Satisfaction assessment is an important indicator of a PHA's 
performance.
    Of the total 100 points available for a PHAS score, a PHA may 
receive up to ten points under PHAS Indicator #4. Unlike PHAS 
Indicators #1, #2, or #3, PHAs will not be designated as ``troubled'' 
for a failing score under Indicator #4 in accordance with 24 CFR 
902.67. The Resident Service and Satisfaction score, however, is 
included in the aggregate PHAS score.

2. Elements of Scoring

    The score of the Resident Service and Satisfaction assessment for 
all PHAs will be based upon two components, plus a threshold 
requirement.

First Component

    The first component will be the aggregate score of the survey 
results.

Second Component

    The second component will be a score based on the PHA's 
certification that plans for survey implementation and follow-up 
corrective actions have been prepared by the PHA and have or will be 
acted upon. HUD's PHAS regulation at 24 CFR 902.53 provides that the 
second component will be a point score based on the level of 
implementation and follow-up or corrective actions based on the survey 
results.
    Each of the components are worth five points, for a total of ten 
points, as outlined under Indicator #4 in the PHAS final rule (24 CFR 
902.53). A PHA will receive a passing score if it receives at least six 
points of the available ten points. As noted earlier in this notice, 
however, a failing score under this Indicator will not cause a PHA to 
be designated as troubled.

Threshold Requirement

    A PHA will not receive any points under PHAS Indicator #4 if the 
survey process is not managed as directed by HUD or the survey results 
are determined to have been altered. The threshold requirement is 
subject to verification.
    The following chart shows the scoring components and point range.

------------------------------------------------------------------------
               Scoring components                      Point range
------------------------------------------------------------------------
Component One--Survey Results (5 points):
    Maintenance and Repair Section.............  0-1.
    Communication Section......................  0-1.
    Safety Section.............................  0-1.
    Services Section...........................  0-1.
    Neighborhood Section.......................  0-1.
Component Two--Implementation/Follow-Up Plan (5
 points):
    Survey Implementation Plan.................  0 or 2.
    Survey Follow-up Plan......................  0 or 3.
        Total Possible Score...................  10.
------------------------------------------------------------------------

3. Scoring Process

    The scoring process for the Resident Service and Satisfaction 
Indicator is dependent upon electronic updating, submission and 
certification of information by PHAs. Although this notice discusses 
these electronic steps in terms of requirements, HUD has made allowance 
for manual submission of information, as discussed later in the notice.

Unit Address Update and Verification

    The scoring process for PHAS Indicator #4 begins with ensuring 
accurate information about the PHA's units. PHAs will be required to 
electronically update unit address information initially obtained by 
the REAC from the recently revised form HUD-50058, Family Report. The 
REAC will supply a list of current units (listed by development) to 
PHAs via the internet. PHAs will be asked to make additions, deletions 
and corrections to their unit address list. After updating the list, 
PHAs must verify that the list of unit addresses under their 
jurisdiction is complete. Any incorrect or obsolete address information 
will have a detrimental impact on the survey results. A statistically 
valid number of residents cannot be selected to participate in the 
survey if the unit addresses are incorrect or obsolete. If a PHA does 
not verify the address information within 30 calendar days of 
submission of the list of current units to the PHA by the REAC, and the 
address information is not valid, the REAC will not be able to conduct 
the survey at that PHA. Under those conditions, the PHA would not 
receive any points for the PHAS Resident Service and Satisfaction 
Indicator.

Electronic Update of Address List

    The preferred method for updating a unit address list is electronic 
updating. If a PHA does not have this capability

[[Page 26237]]

in-house, the PHA should consider utilizing local resources, such as 
the library or another local government entity that has internet 
access. In the event local resources are not available, the PHA may go 
to the nearest HUD Public and Indian Housing (PIH) program office and 
assistance will be given to transmit the unit address information. The 
PIH office will assist the PHA in electronically updating and 
transmitting its unit address list to the REAC. If circumstances 
preclude a PHA from updating and submitting its unit address list 
electronically, HUD will consider granting approval to allow a PHA to 
submit the updated unit address list information manually. A PHA that 
seeks approval to update its unit address list manually must ensure 
that the REAC receives the PHA's written request for manual submission 
30 calendar days before the submission due date. The written request 
must include the reasons why the PHA cannot update the list 
electronically. The REAC will respond to the PHA's request within 15 
calendar days of receipt of the request.

Sampling

    A statistically valid number of residents will be chosen to receive 
the Resident Service and Satisfaction survey. These residents will be 
randomly selected using a computerized program based on the total 
number of occupied and vacant units of the PHA. The Resident Service 
and Satisfaction assessment takes into account the different properties 
managed by a PHA by organizing the resident sampling based on the 
resident representation of each development in relation to the size of 
the entire PHA resident population. This procedure is known as 
selection with probability proportional to size. For example, if a PHA 
houses five percent of its residents in a given development, then five 
percent of the sample will be chosen from that development. A PHA's 
score, however, will represent the entire population within that 
agency.

Survey Distribution

    The Resident Service and Satisfaction survey will be distributed to 
the randomly selected sample of residents of each PHA by a third party 
organization designated by HUD. The third party organization will also 
be responsible for collecting, scanning and aggregating results of the 
survey. The aggregate results will be transmitted to HUD for analysis 
and scoring. HUD will keep individual responses to the survey 
confidential.

Component One--Survey Results (5 Points)

    The Resident Service and Satisfaction survey form, published in the 
Federal Register on November 23, 1998, with OMB approval No. 2535-0108, 
may be modified for nationwide implementation based on the pilot test 
currently underway at 32 public housing agencies. The modifications may 
include, but are not limited to, rewording of specific questions and 
possible elimination of some questions. No additional questions will be 
added to the existing Resident Service and Satisfaction survey. In 
addition, the basic content of the survey, as described in 24 CFR 
902.53, will not be modified.
    Once the survey form is finalized, weights will be assigned to 
individual questions. Answers to some questions on the survey will be 
used for informational purposes only and will not be calculated into 
the score for the PHA. For example, questions regarding overall 
satisfaction with the PHA will be used to confirm survey results and 
will not be calculated into the final survey score. The only questions 
that will be included in the score for the PHA will be questions that 
are directly related to compliance with the regulations or statutes 
applicable to the management of public housing. The score for the 
Resident Service and Satisfaction survey will be based on a total 
possible score of five points.
Five Survey Sections
    There are five survey sections as follows:
    (1) Maintenance and repair (e.g., work order response);
    (2) Communication (e.g., perceived effectiveness);
    (3) Safety (e.g., perception of personal security);
    (4) Services (e.g., recreation and personal programs); and
    (5) Neighborhood appearance.
    Scores for each survey section will be calculated in the following 
manner. Each section will be given a score between zero and one. For 
example, if the maintenance and repair survey section has 83 percent of 
the possible points for that section, then it would be given a score of 
.83. The total survey score will be the sum of the five survey section 
scores. Thus, there are five possible points for the survey results. 
This part of the score will be presented in a numeric format with one 
decimal place (i.e., 4.3).

Component Two--Implementation and Follow-Up Plans (5 Points)

    Points awarded for component two are based on the level of 
implementation of the survey and follow-up on the results of the 
survey, where necessary.
Survey Implementation Plan
    Although as noted earlier, a third party organization will be 
responsible for distributing and collecting the survey results, the PHA 
will be responsible for disseminating information about the survey to 
its residents based on Survey Implementation Plan provided by HUD. The 
Survey Implementation Plan will explicitly outline required 
implementation activities. The PHA must certify to the dates the 
implementation activities are carried out. Activities will include, but 
are not limited to, displaying posters supplied by HUD; conducting 
meetings with residents and/or communicating with residents through a 
newsletter; and distributing flyers.
    If the PHA certifies to having completed the above activities prior 
to the date set by HUD, the PHA will receive the full two points for 
this section. All implementation activities should take place prior to 
residents' receipt of the survey. HUD will set deadlines for electronic 
submission of Survey Implementation Plans by PHAs. All Survey 
Implementation Plans received past the deadline will not be considered, 
and the PHA will not receive any points for this component.
Survey Follow-up Plan
    HUD will supply PHAs with an electronic template to develop a 
Survey Follow-up Plan based on the results of the survey. If a PHA 
scores 4.5 or higher on the resident survey, a follow-up plan will not 
be required and the PHA will receive the additional three points. The 
PHA will receive its aggregate survey results electronically prior to 
its PHAS Resident Service and Satisfaction certification due date. Once 
the PHA receives its survey results, the PHA must electronically access 
a template to be completed outlining any follow-up actions. The 
appropriate HUD Office will supply suggested actions to assist the PHA 
in completing its Survey Follow-up Plan. Follow-up actions will be 
directly related to the five survey sections listed above. The PHA will 
be able to develop its Survey Follow-up Plan based on areas identified 
by the survey which need improvement. As part of the Survey Follow-up 
Plan, the PHA will need to specify the following:
     Actions to be taken in the next fiscal year;
     The target date of completion;
     The funding source (if required) that will be utilized;

[[Page 26238]]

     The section of the survey being addressed with the action 
(i.e., communication, safety, etc.).
    A PHA will receive the full three points for this section by 
completing its Survey Follow-up Plan and submitting a copy of it 
electronically to HUD/REAC by the due date. Survey Follow-up Plans will 
then be bundled and forwarded via the internet to the Public Housing 
Director in the appropriate HUD Field Office. Where appropriate, Field 
Office staff may offer technical assistance to a PHA regarding the 
Survey Follow-up Plan. Survey Follow-up Plans shall be retained for 
three years, and available for review at REAC or the PHA by HUD 
auditors. No points will be awarded for this component if a PHA fails 
to submit its Survey Follow-up Plan.
Audit
    Where appropriate, the Survey Follow-up Plan will be subject to 
audit. If the auditor finds that the PHA is not following its plan in 
good faith, the PHA will not receive the three points for the Survey 
Follow-up Plan portion of the Resident Service and Satisfaction 
assessment score.

Submission of Resident Service and Satisfaction Certification

    Submission to the REAC by the PHA of its Resident Service and 
Satisfaction certification brings a close to the scoring process for 
this PHAS Indicator. Through the Resident Service and Satisfaction 
certification, the PHA certifies that the resident survey process has 
been managed as directed by HUD. PHAs are required to electronically 
submit their Resident Service and Satisfaction certification. If a PHA 
does not have this capability in-house, the PHA should consider 
utilizing local resources, such as the library or another local 
government entity that has internet access. In the event local 
resources are not available, the PHA may go to the nearest HUD PIH 
program office and assistance will be given to the PHA to transmit its 
Resident Service and Satisfaction certification.
    If circumstances preclude the PHA from reporting electronically, 
HUD will consider granting approval to allow a PHA to submit its 
Resident Service and Satisfaction certification manually. A PHA that 
seeks approval to submit the certification manually must ensure that 
the REAC receives the PHA's written request for manual submission 60 
calendar days before the submission due date of its Resident Service 
and Satisfaction certification. The written request must include the 
reasons why the PHA cannot submit the certification electronically. The 
REAC will respond to the PHA's request and will manually forward its 
determination in writing to the PHA.

Technical Review of the Resident Survey

    The REAC will consider conducting a technical review of a PHA's 
resident survey results in cases where the contracted third party 
organization can be shown by the PHA to be in error. The burden of 
proof, however, rests with the PHA to provide objectively verifiable 
evidence that a technical error occurred. Examples include, but are not 
limited to, incorrect material being mailed to residents; too few 
survey forms sent, which could render the sample size invalid; or the 
PHA's units addresses were incorrect due to the third party 
organization's error, such as unit numbers being omitted from the 
addresses. A PHA that does not update its unit address list as 
described, above, will not be eligible for a technical review based on 
incorrect addresses.

    Dated: May 6, 1999.
Barbara L. Burkhalter,
Deputy Director, Real Estate Assessment Center.
[FR Doc. 99-11916 Filed 5-12-99; 8:45 am]
BILLING CODE 4210-32-P