[Federal Register Volume 65, Number 125 (Wednesday, June 28, 2000)]
[Notices]
[Pages 40034-40048]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-16157]



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Part VII





Department of Housing and Urban Development





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

  Federal Register / Vol. 65, No. 125 / Wednesday, June 28, 2000 / 
Notices  

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4509-N-16]


Public Housing Assessment System Resident Service and 
Satisfaction Scoring Process

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

ACTION: Notice.

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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). This notice is an update 
of the Resident Service and Satisfaction Indicator notice on scoring 
that was published on June 23, 1999. This notice takes into 
consideration public comment received on the June 23, 1999 notice and 
reflects the changes made to the PHAS regulations published on January 
11, 2000, with certain corrections published on June 6, 2000. 
Additionally, the content has been revised to provide more detail about 
the formulas used to compute public housing agency (PHA) scores and to 
provide more information about requirements concerning the Follow-up 
Plan, which counts for 3 of the 10 points under the Resident Indicator. 
The changes made to this notice are discussed in the Supplementary 
Information section of this notice.

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 the Technical Assistance 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 agency (PHA), to facilitate 
positive interaction and communication between public housing agencies 
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.
    The information provided in this notice was originally published on 
May 13, 1999 (64 FR 26236) and updated on June 23, 1999 (64 FR 33712). 
HUD solicited public comment on both the May 13, 1999, and June 23, 
1999, notices. This Resident Service and Satisfaction Scoring Process 
notice, published in this edition of the Federal Register, has been 
revised from the June 23, 1999, notice, to reflect the public comments 
received on the previous notices and to reflect the changes made to the 
PHAS regulations by the final rule published on January 11, 2000 (65 
FR-1712).
    This notice includes the following major revisions and additions to 
the June 23, 1999 version:

     A detailed explanation of the weighted-average scoring 
methodology used to calculate PHA scores has been added.
     A table providing the weights assigned to each question 
and the scores assigned to each response has been provided. See 
Appendix 1.
     The threshold which exempts a PHA from the requirement 
to submit a Follow-up Plan has been changed from 90% to 75%.
     The manner in which the Survey Follow-up Plan is 
submitted to HUD has been changed. A PHA will receive three points 
for certifying that the Follow-up Plan will be developed as a 
supplement to its Annual Plan.

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 certifications 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 is 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, 
the survey results are determined to have been altered, or the unit 
addresses are not updated and verified as described at 24 CFR 902.51. 
The threshold requirement is subject to verification.
    The following chart shows the scoring components and point range.

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                     Scoring components                      Point range
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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
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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 address information 
is incorrect or obsolete. If a PHA does not verify the address 
information within two months 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 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 1 calendar month 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 stratified sampling. 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. 
Results will not be statistically valid for each development at this 
time. HUD is committed, however, to developing this capacity in the 
near future.
    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 (referred to as the ``survey 
administrator'') designated by HUD. The survey administrator will also 
be responsible for collecting, scanning, and aggregating results of the 
survey, and transmitting the survey results 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 that will be used for the first annual 
assessment was published in the Federal Register on November 23, 1998, 
with OMB approval No. 2507-0001. Following the first year of the 
process, the survey form may be modified for subsequent assessment 
years (any significant modifications to the form will be published in 
the Federal Register in accordance with the PHAS regulations). The 
modifications may include, but are not limited to, rewording of 
specific questions and possible elimination of some questions. No 
additional scored questions will be added to the existing Resident 
Service and Satisfaction Survey without the opportunity to comment as 
provided in the PHAS regulations. In addition, the five survey 
sections, as described in 24 CFR 902.53, will not be modified.
    Weights have been 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 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 building security measures);
    (4) Services (e.g., management response to service problems); 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 (e.g., 4.3).
    These section scores are calculated based upon weights, ranging 
from 0 to 0.25, assigned to each question. Within each question, the 
response categories are assigned values ranging from 0% to 125%. 
Responses are given a value of 125% if the resident indicates that the 
PHA has exceeded the regulatory requirement on which the question is 
based.
    Specifically, section scores are computed as follows:
    (1) The numeric values associated with the responses given by a 
resident are averaged, based on the question weights, to obtain the 
respondent's section score. Although some responses may be valued 125%, 
these section scores are limited to 100% of the section's total points.
    (2) The section scores of all respondents in each PHA are averaged, 
based on the weight of the questions that each resident answered, to 
obtain the PHA section score.

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    The scores assigned to each answer and the weights assigned to each 
question are provided as Appendix 1 to this notice.
    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 its results, when 
necessary.
    Survey Implementation Plan. Although, as noted earlier, a survey 
administrator 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 a Survey 
Implementation Plan provided by HUD. The Survey Implementation Plan 
will explicitly outline required marketing 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 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 require PHAs to develop a Survey 
Follow-up Plan, if appropriate, based on the results of the survey by 
section. Follow-up Plans will be required for the lowest-scoring 
sections based upon thresholds determined by HUD. If a PHA scores .75 
(i.e., 75% of the possible points) or higher on a section of the 
survey, a Follow-up Plan will not be required for that section. If a 
PHA scores .75 or higher on all sections of the survey, no Follow-up 
Plan will be required and the PHA will receive the additional three 
points.
    A PHA that is required to develop a Follow-up Plan will do so as 
part of its Annual Plan. Once the PHA receives its survey results, the 
PHA must electronically access a template to certify that it will 
complete its required Follow-up Plan as part of its annual 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; and
     The funding source (if required) that will be utilized.

    A PHA will receive the full three points for this section by 
completing its Survey Follow-up Plan certification and developing a 
Follow-up Plan as part of its Annual Plan. 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 in the 
PHA's office for three years, and available for review by HUD auditors 
or representatives of a duly constituted resident organization. No 
points will be awarded for this component if a PHA fails to certify and 
develop its Survey Follow-up Plan.
    Audit. Where appropriate, the Survey Follow-up Plan will be subject 
to audit. If the auditor finds that the plan is not appropriate or 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. 
Through the Resident Service and Satisfaction unit address, 
implementation, and follow-up certifications, 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 certifications. 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 certifications.
    If circumstances preclude the PHA from reporting electronically, 
HUD will consider granting approval to allow a PHA to submit its 
Resident Service and Satisfaction certifications manually. A PHA that 
seeks approval to submit the certifications manually must ensure that 
the REAC receives the PHA's written request for manual submission 2 
calendar months before the submission due date of the respective 
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 survey administrator 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 unit addresses were 
incorrect due to the survey administrator'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: June 20, 2000.
Donald J. LaVoy,
Director, Real Estate Assessment Center.
BILLING CODE 4210-01-P

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Appendix 1--Survey Answer Scores and Question Weights

    Detailed below are the weights assigned to each question in the 
Resident Service and Satisfaction Survey. These weights are used to 
determine the score for the survey portion of the Resident Service and 
Satisfaction Survey. The Resident Service and Satisfaction Survey is 
worth a total of five points. Sections 2 through 6 of the survey are 
each worth one point. Section 1 and Section 7 are not included in the 
scores of the survey and will be used for data gathering purposes. 
Several questions in Sections 2 through 6 are also not included in the 
survey score. The questions that are included in the score are 
identified below.
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[FR Doc. 00-16157 Filed 6-27-00; 8:45 am]
BILLING CODE 4210-01-C