Notice of Demonstration To Test Proposed New Method of Assessing the Physical Conditions of Voucher-Assisted Housing, 26759-26763 [2016-10460]
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Federal Register / Vol. 81, No. 86 / Wednesday, May 4, 2016 / Proposed Rules
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Leslie Kux,
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[FR Doc. 2016–10386 Filed 5–3–16; 8:45 am]
BILLING CODE 4164–01–P
DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT
24 CFR Part 982
[Docket No. FR–5928–N–01]
Notice of Demonstration To Test
Proposed New Method of Assessing
the Physical Conditions of VoucherAssisted Housing
Office of the Assistant
Secretary for Public and Indian
Housing, HUD.
ACTION: Notice.
AGENCY:
Through this document, HUD
solicits comment on a demonstration
designed to test a new method of
assessing the physical condition of
housing assisted by HUD vouchers
(voucher-assisted housing). In the Joint
Explanatory Statement accompanying
the act appropriating funds for HUD in
Fiscal Year (FY 2016), Congress directed
HUD to implement a single inspection
protocol for public housing and voucher
units. This demonstration would
commence the process for implementing
a single inspection protocol.
DATES: Comments Due Date: July 5,
2016.
SUMMARY:
Interested persons are
invited to submit comments to the
Office of the General Counsel,
Regulations Division, Department of
Housing and Urban Development, 451
7th Street SW., Room 10276,
Washington, DC 20410–0500.
Communications should refer to the
above docket number and title and
should contain the information
specified in the ‘‘Request for
ADDRESSES:
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Comments’’ section. There are two
methods for submitting public
comments.
1. Submission of Comments by Mail.
Comments may be submitted by mail to
the Regulations Division, Office of
General Counsel, Department of
Housing and Urban Development, 451
7th Street SW., Room 10276,
Washington, DC 20410–0500. Due to
security measures at all federal agencies,
however, submission of comments by
mail often results in delayed delivery.
To ensure timely receipt of comments,
HUD recommends that comments
submitted by mail be submitted at least
two weeks in advance of the public
comment deadline.
2. Electronic Submission of
Comments. Interested persons may
submit comments electronically through
the Federal eRulemaking Portal at
https://www.regulations.gov. HUD
strongly encourages commenters to
submit comments electronically.
Electronic submission of comments
allows the commenter maximum time to
prepare and submit a comment, ensures
timely receipt by HUD, and enables
HUD to make comments immediately
available to the public. Comments
submitted electronically through the
https://www.regulations.gov Web site can
be viewed by other commenters and
interested members of the public.
Commenters should follow instructions
provided on that site to submit
comments electronically.
Note: To receive consideration as public
comments, comments must be submitted
using one of the two methods specified
above. Again, all submissions must refer to
the docket number and title of the notice.
No Facsimile Comments. Facsimile
(fax) comments are not acceptable.
Public Inspection of Comments. All
comments and communications
submitted to HUD will be available, for
public inspection and copying between
8 a.m. and 5 p.m. weekdays at the above
address. Due to security measures at the
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HUD Headquarters building, an advance
appointment to review the public
comments must be scheduled by calling
the Regulations Division at (202) 708–
3055 (this is not a toll-free number).
Copies of all comments submitted are
available for inspection and
downloading at https://
www.regulations.gov.
FOR FURTHER INFORMATION CONTACT:
Daniel R. Williams, Real Estate
Assessment Center, Office of Public and
Indian Housing, Department of Housing
and Urban Development, 550 12th
Street SW., Suite 100, Washington DC
20410–4000; telephone number 202–
475–8586 (this is not a toll-free
number). Persons with hearing or
speech impairments may contact this
number via TTY by calling the toll-free
Federal Relay Service at 800–877–8339.
SUPPLEMENTARY INFORMATION:
I. Structure of the Notice
The following four sections discuss
the background through the solicitation
of comments. Section II below provides
background information on oversight of
the Housing Choice Voucher inspection
program and explains the origins of the
Uniform Physical Condition Standards
for Vouchers (UPCS–V), an alternative
approach for ensuring safe, habitable
voucher-assisted housing. In Section III,
the notice explains the three main areas
that will be evaluated during the
demonstration, which are: The objective
condition standards including a list of
life threatening and emergency items
that must be addressed, the revised
information technology (IT) processes,
and the new oversight approach. Also in
Section III, HUD discusses the general
public housing agency (PHA)
participation criteria it will use to select
a representative mix of volunteer PHAs.
In Section IV, HUD describes the
process by which HUD will assess the
results of the demonstration. In the last
section of this notice, Section V, HUD
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solicits public comment generally as
well as on several questions of specific
interest.
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II. Background
HUD’s Housing Choice Voucher
(HCV) program serves approximately 2.2
million households nationwide. The
HCV program is administered by PHAs
at the State and local levels and allows
participants the opportunity to rent
from private landlords in the
neighborhood of their choosing. The
goal of the HCV program is to enable
access to decent, safe and sanitary
affordable housing for low-income
families. In the 1970’s HUD established
housing quality standards (HQS) in
accordance with the U.S. Housing Act of
1937 (1937 Act) (42 U.S.C. 1437 et seq.).
Section 8(o)(8)(B) of the 1937 Act (42
U.S.C. 1437f(o)(8)(B)), directs HUD to
establish standards for safe and
habitable housing. These standards are
codified in HUD regulations at 24 CFR
982.401. PHAs use these standards to
determine if housing meets the
minimum criteria necessary for the
safety and habitability of occupants
assisted under the program.
The HUD Office of Inspector General
(OIG) has released several audit reports
and evaluations that identified
weakness in the HCV inspection
program.1 These OIG reports and other
factors led to the report of the Senate
Committee on Appropriations, Report
113–045, that accompanied the Senate
bill for HUD’s 2014 appropriations, and
directed HUD to ‘‘. . . move to a
consistent inspection standard across
housing assistance programs, as well as
[for] oversight of Section 8 units.’’ 2 In
response to this directive, HUD
conducted a quality assurance review of
HCV units using its current HQS
inspection model.3 The results of these
inspections showed that the current
HQS protocol lacked objective, welldefined deficiency descriptions, was
unable to capture granular unit
conditions, and relied on a paper
inspection form. In addition, there was
an absence of modern health standards
such as carbon monoxide detectors and
sprinkler systems, and an absence of a
universal list of life threatening or
emergency deficiencies. HUD
determined that these factors resulted in
inconsistent application of HQS
standards, and there was potential for
inconsistent housing outcomes and
1 See e.g., HUD OIG Reports: 2008–AT–003;
2012–BO–1005.
2 See page 100 of https://www.gpo.gov/fdsys/pkg/
CRPT-113srpt45/pdf/CRPT-113srpt45.pdf.
3 See https://portal.hud.gov/hudportal/HUD?src=/
program_offices/public_indian_housing/reac/oed.
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exposure of families to health and safety
hazards.
At the conclusion of the quality
control review, HUD accelerated the
search for a replacement to the Housing
Quality Standards, leading to the
eventual development of UPCS–V. In
the Joint Explanatory Statement
accompanying the Consolidated
Appropriations Act of 2016, Public Law
114–113, approved December 18, 2015,
Congress directed HUD to implement a
single inspection protocol for public
housing and voucher units.4 This
demonstration would commence the
process for implementing a single
inspection protocol by soliciting PHAs
to voluntarily move to the single
inspection protocol, conduct field
testing, and participate in oversight and
monitoring activities related to the new
standard. In addition to improving
outcomes for families and aligning
program standards, this demonstration
will provide valuable feedback to HUD
about how to efficiently and effectively
implement UPCS–V at all PHAs.
Congress has provided HUD with
funding to improve its oversight of the
HCV inspection program and to move
the inspection standard for the HCV
program to one that is consistent with
other affordable housing programs and
that incorporates modern health and
safety practices.5
III. The Demonstration
In response to Congressional direction
and HUD’s own goal to improve the
effectiveness of the inspection of public
and assisted housing while minimizing
burdens, HUD is developing a new
inspection and oversight approach
called UPCS–V. UPCS–V incorporates
housing health and safety constructs,
concepts from the Uniform Physical
Condition Standard (UPCS), codified in
HUD regulations at 24 CFR 5.703, and
HQS, codified at 24 CFR 982.401. The
new UPCS–V will include deficiency
definitions and decision criteria, and
tailored standards and protocols to
better meet HCV program needs. The
UPCS protocol is currently recognized
by industry stakeholders as the
benchmark for government-assisted and
affordable housing inspections. This
Demonstration is the first step in
implementing an aligned inspection
protocol for public housing/multipage 41 of Division L of the FY2016 Joint
Explanatory Statement. See https://rules.house.gov/
bill/114/hr-2029-sa.
5 See Title II of Division K of the FY2015 Joint
Explanatory Statement. See https://
www.congress.gov/congressional-record/2014/12/
11/house-section/article/H9307-1.
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B. The New Inspection Model and
Demonstration Protocols
Under this Demonstration, HUD will
test, for up to three years, with up to 250
PHAs, the UPCS–V model as a new
method of assessing the physical
condition of voucher-assisted housing.
In addition to hands-on training and
technical assistance that will be
provided by HUD to participating PHAs,
some additional benefits of participating
in the Demonstration include the
opportunity to provide input to HUD on
further refining the UPCS–V standards
and processes, and the ability to
evaluate, test, and refine internal PHA
systems and processes.
There are three components to the
Demonstration, each of which may run
concurrently:
• Evaluation of Revised Inspection
Model (UPCS–V)
• Data Standardization and Information
Exchange
• Oversight and Performance
Improvement
A. Overview
4 See
family housing and voucher programs,
and will test the UPCS–V inspection
model’s ability to assess the physical
condition of assisted housing, improve
service delivery, enhance oversight and
risk management capabilities, and better
identify health and safety hazards in the
home.
Component 1: Evaluation of the Revised
Inspection Model (UPCS–V)
For the past 17 years, HUD has used
the UPCS protocol when conducting
over 310,000 physical inspections of
public housing (PH) and subsidized
multifamily housing (MFH)
developments, solidifying UPCS as the
industry standard for governmentassisted and affordable housing
inspections. HUD leveraged its
experience with UPCS and developed a
product tailored to the objectives of the
HCV program. The scope of the
inspection, the procedural guidelines,
and the individual deficiencies have
been modified to emphasize those areas
that present the highest risk of harm to
the family living in the HCV assisted
unit.
UPCS–V seeks to utilize well-defined
and objective deficiency descriptions
that can be used consistently within and
across PHAs. The following table
summarizes some of the high-level
similarities and differences between
UPCS–V and HQS.
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Item
HQS
UPCS–V
Provides standardized list of deficiencies and measurable criteria ........................................................................
Defined standardized list of Life Threatening and Emergency items .....................................................................
Up-to-date health and safety standards ..................................................................................................................
Designed as a unit-based inspection standard for federally assisted units ............................................................
Inspection standard aligned with other federally assisted programs ......................................................................
Pass/Fail results for all deficiencies ........................................................................................................................
PHA ability to adopt HUD-approved variances .......................................................................................................
Uniform inspector training and registration .............................................................................................................
Includes guidance through the use of decision trees that lead to more consistent observations ..........................
Captures level of severity for line item deficiencies ................................................................................................
Unit and room acceptability criteria .........................................................................................................................
Standardized criteria for PHA submission of electronic inspection data to HUD ...................................................
Customized unit condition index to provide value added analytics of inspection data to PHAs and stakeholders
Photo requirements for fail deficiencies ..................................................................................................................
Allow PHAs the use photo and document evidence to ensure all fail deficiencies have been mitigated ..............
........................
........................
........................
X
........................
X
X
........................
........................
........................
X
........................
........................
........................
........................
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Like UPCS, HUD anticipates that the
new inspection model will enable a
PHA inspector to more consistently
identify and accurately describe those
items that pose a risk to tenant health
and safety in the home. The new
inspection model developed by HUD
has updated standards and a welldefined list of itemized deficiencies
enabling inspectors to make more
accurate and objective decisions on a
consistent basis. The new inspection
model differs from the current HQS
inspection model in that it incorporates
standards based on UPCS and uses a
classification system that collects a
more detailed level of data resulting in
a better representation of the condition
of the unit.
The new inspection protocol will
capture levels of severity for line item
deficiencies on an escalating scale of
severity (L1, L2, L3). The classifications
of minor (L1), major (L2) or significant
(L3) would be used to determine the
level of severity for each deficiency and
to develop a unit condition index score.
When considered in conjunction with a
Pass/Fail determination, the unit
condition index score would give
residents, owners, PHAs, and HUD
better insight into the overall condition
of the unit. In addition to capturing a
level of severity for all deficiencies,
HUD will create a minimum,
standardized list of life threatening
items that PHAs participating in the
demonstration must treat as ‘‘24 Hour’’
deficiencies.
When an inspector finds Life
Threatening or Emergency (LTE)
deficiencies during an inspection, the
inspector is to provide a list of such
deficiencies to the responsible party—
either tenant or owner—for repair
within 24 hours. A specific set of
deficiencies that must be addressed
within 24 hours is not currently defined
in HQS. UPCS–V will provide a list of
LTE categories to use when inspecting
HCV units during the Demonstration.
PHAs will be responsible for additional
items to this list.
GENERAL CATEGORIES OF LIFE THREATENING AND EMERGENCY ITEMS
Life threatening
b
b
b
b
b
b
Natural or Liquid Petroleum (LP) gas leak or fumes
Electrical problems which could result in shock or fire
Inoperable/missing smoke or carbon monoxide detector
Gas/Oil Fired Water Heater/HVAC with missing or misaligned chimney
Fire extinguishers expired or missing
Building lacks an alternate means of exit in case of fire/blocked egress
Emergency
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b Missing entry door
b The HVAC system fails to meet established criteria for emergency heating or cooling with consideration for ambient temperature range and
ventilation
b Absence of at least one functioning sink and toilet in unit
b No working refrigerator
b No working stove/oven or other method of heating/preparing food
b Waterlogged/damaged ceilings, floor or walls in imminent danger of potential collapse
b Major plumbing leaks or flooding
b Utilities not in service (e.g., electricity, gas (LP/natural), water or oil)
b No running hot water
b Structural integrity condition where the building, or a component of the building, is in imminent danger of potential collapse
With the inclusion of a level of
severity classification and a
standardized list of life threatening
items, the inspection report will be able
to provide a more detailed description
of the unit.
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As part of the Demonstration, HUD
will conduct extensive field tests of the
standards and protocol with a
representative sample of HCV units to
verify that the UPCS–V model
consistently, accurately, and objectively
evaluates housing conditions. The
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feasibility of implementing the protocol
will also be evaluated to identify
potential barriers that would prevent
PHAs from successfully implementing
UPCS–V. After HUD’s initial round of
testing has been completed, PHAs
participating in this component of the
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Demonstration will conduct a portion,
depending on the PHA’s capabilities, of
up to 100 percent of their required HCV
physical inspections using UPCS–V in
place of HQS. This component will
continue throughout the up to threeyear duration of the Demonstration until
HUD has sufficient information to
evaluate the success of PHAs using
UPCS–V and assurance that the new
method is achieving consistent results.
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Component 2: Data Standardization and
Information Exchange of UPCS–V
Inspections
UPCS–V is designed as an electronic
inspection model. This component of
the Demonstration will test the
transition from a paper-based to an
electronic inspection approach.
Initially, the UPCS–V inspections will
be performed electronically using HUDprovided software, and all inspections
will include photos of the most severe
deficiencies. For PHAs with their own
IT systems, including PHA-produced or
provided inspection software, HUD also
will test the feasibility of different
methods of transferring physical
inspection information between PHA
and HUD systems.
PHAs participating in this component
will be required to document and
submit to HUD all UPCS–V inspections
electronically. HUD anticipates that it
will then review, analyze, and where
appropriate, transform the inspection
data into value-added information, such
as a scoring report, healthy homes
report, and relative risk reports, for
electronic transmission back to the PHA
for its use.
PHAs participating in this component
of the Demonstration and that use nonHUD provided software will be required
to have and maintain the information
technology resources and support
necessary to interface with HUD’s
systems using industry standard file
transfer protocols such as Simple Object
Access Protocol (SOAP) and
Representational State Transfer (REST)
standards. Some data exchange may be
via transfer of flat files.
Component 3: Oversight and
Performance Improvement
In this component of the
Demonstration, HUD seeks to ensure
PHAs are consistently identifying
substandard housing, remedying such
cases appropriately and in a timely
manner, and accurately reporting HCV
unit-based inspection outcomes to HUD.
Selected PHAs will be required to
participate in quality assurance and
internal controls reviews, technical
assistance, and training activities. As
part of the Demonstration, HUD will
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analyze PHAs’ capacity, competencies,
inspection processes and systems that
are in place to effectively manage and
evaluate HCV units as decent, safe, and
sanitary. Further, HUD will test the
capacity of the UPCS–V model to
identify properties that are at risk of
falling into non-compliance before the
next regularly scheduled biennial
inspection.
To develop an inspector performance
baseline, HUD seeks to determine the
acceptable variation between inspectors.
HUD will conduct quality assurance
inspections on HCV units to ensure
inspector adherence to UPCS–V
inspection standards and provide
technical assistance where needed. HUD
also will test both PHA and its own
management controls to provide
reasonable assurance that the process
for planning, organizing, directing, and
controlling the HCV unit-based
inspection program will meet the
requirements prescribed by UPCS–V.
C. Selection Criteria and General
Participation Requirements
General Participation Requirements
To participate in this Demonstration,
a PHA must administer a housing
choice voucher program. PHAs
participating in any aspect of the
Demonstration will be required to
participate in focus groups, conference
calls, and training sessions on policies
and procedures. HUD will train each
participating PHA’s inspectors,
administrators, and quality control staff
on the new inspection protocol,
including how to use the inspection
software. The PHAs will be responsible
for scheduling inspections with all the
participants, assigning inspectors, and
conducting inspections. The PHA must
conduct at least 10 inspections per
week, and the geographic spread of
those inspections should be such that 90
percent of inspections are accessible
within a 30 mile (or 1 hour) driving
range.
If selected, the PHA must participate
in the Demonstration throughout the
duration of the testing period for at least
one (1) calendar year with the
possibility of an extension, as
determined by HUD, for a maximum
total of three (3) years. PHAs that
participate will also need to provide an
internet connected, internet operating
system (iOS) or Android based
electronic handheld device (smart
phone or tablet) for each PHA staff
inspector participating with capability
to download the required HUDprovided inspection software.
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Selection Criteria
All PHAs must meet, at minimum, the
general participation requirements
described above. The strategic objectives
for the Demonstration are for HUD to
identify a diverse set of participants that
will be representative of the different
types of PHAs, properties and tenants
found nationwide. HUD will use the
following criteria to consider PHAs that
have expressed an interest in
participating in the Demonstration to
ensure that participants represent the
universe of PHAs that run HCV
programs.
Participants will be selected based on
the characteristics of the organization
(PHA) and the type of properties and
tenants it administers:
1. Characteristics of the PHA:
• Is the PHA a local or state agency?
• What percentage of HQS
inspections are conducted annually?
Biennially?
• What percentage of the HCV
housing stock is urban and what
percentage is rural?
• What percentage of the PHAs
inspections are HCV inspections?
• What is the number of monthly
HCV inspections conducted?
2. Characteristics of the Properties &
Tenants:
• What is the number of HCV voucher
holders?
• What is the average rent amount?
• What is the percentage of PHA’s
HCV program that is Veterans Affairs
Supportive Housing (VASH), Family
Unification Program (FUP), and NonElderly Disabled (NED) participants?
• What is the average HCV family
size?
• What type of housing is leased by
HCV participants (single family,
apartment, condo, high-rise, row house,
duplex, townhouse, etc.)?
• What is the average age of the
housing stock?
• What is the HCV tenant mix (by age,
disability, elderly, family type, children,
income level/hap amount)?
The criteria are designed to capture
the variation in PHAs and market
characteristics that could affect the
implementation of UPCS–V. Depending
on the applications for participation
received and the characteristics of the
PHAs applying, the criteria may be
adjusted to more accurately represent
the diversity of PHAs. Not all 250
participants may be selected in the first
round of testing. Accordingly, as the
Demonstration proceeds, HUD may
expand the number of participating
PHAs, revise the selection criteria, or
both, to reflect HUD’s experience in
implementing the Demonstration.
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IV. Evaluating the Demonstration
The Demonstration will provide HUD
insight into the UPCS–V model,
including its ability to expand HUD’s
oversight and risk management
capabilities through a reliable,
repeatable inspection process that better
identifies health and safety risks to
families, before implementing such a
program nationwide. The
Demonstration is anticipated to begin 60
days following the date of publication of
this notice, with PHAs being added on
a rolling basis until a representative
sample has been reached. At the
conclusion of the demonstration, HUD
will assess its success and determine
whether to implement UPCS–V on a
permanent basis throughout the
country.
In the evaluation of the
Demonstration, HUD will assess such
factors as whether the use of the new
UPCS–V protocol produces (1) more
consistent and accurate results, (2) data
standardization and a reliable method
for information exchange, and (3)
increased oversight and administration
of the HCV Program. The demonstration
also will review the feasibility of a PHA
to implement the UPCS–V protocol, a
factor HUD considers necessary for an
accurate evaluation of the
Demonstration’s success.
V. Solicitation of Public Comment
In accordance with section 470 of the
Housing and Urban-Rural Recovery Act
of 1983 (42 U.S.C. 3542), HUD is
seeking comment on the Demonstration.
Section 470 provides that HUD may not
begin a demonstration program not
expressly authorized by statute until a
description of the demonstration
program is published in the Federal
Register and a 60-day period expires
following the date of publication, during
which time HUD solicits public
comment and considers the comments
submitted. HUD has established a
public comment period of 60 days. The
public comment period provided allows
HUD the opportunity to consider those
comments during the 60-day period,
and be in a position to commence
implementation of the demonstration
following the conclusion of the 60-day
period.
While HUD solicits comment on all
aspects of the Demonstration, HUD
specifically solicits comment on the
following:
1. HUD is considering selecting for
participation only PHAs that do not
utilize contract inspectors. Are there
any instances where an exception to this
criterion might be useful?
2. Will utilizing commercial, off-theshelf hardware, such as internet
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connected tablets or smartphones,
reduce the barriers to participation for
PHAs as opposed to having PHAs use
more specific devices such as those
required for other HUD UPCS
inspections?
3. Are there other PHA characteristics
that HUD should consider in selecting
PHAs to participate in the
demonstration?
4. Are there other revisions outside of
the UPCS criteria that HUD should
consider when moving toward a single
inspection protocol?
HUD requests that PHAs interested in
participating in the Demonstration
notify HUD by the public comment
deadline for this Demonstration notice
by emailing HUD at UPCSV@hud.gov,
and providing the PHA name, PHA
address, contact name, contact phone
number, and email address.
Dated: April 28, 2016.
´
Lourdes Castro Ramırez,
Principal Deputy Assistant Secretary for
Public and Indian Housing.
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Register, the IRS is issuing temporary
regulations that clarify the employment
tax treatment of partners in a
partnership that owns a disregarded
entity. These regulations affect partners
in a partnership that owns a disregarded
entity. The text of those temporary
regulations serves as the text of these
proposed regulations.
DATES: Comments and requests for a
public hearing must be received by
August 2, 2016.
ADDRESSES: Send submissions to:
CC:PA:LPD:PR (REG–114307–15), Room
5203, Internal Revenue Service, P.O.
Box 7604, Ben Franklin Station,
Washington, DC 20044. Submissions
SUMMARY:
PO 00000
Frm 00017
Fmt 4702
Sfmt 4702
26763
may be hand-delivered Monday through
Friday between the hours of 8 a.m. and
4 p.m. to CC:PA:LPD:PR (REG–114307–
15), Courier’s Desk, Internal Revenue
Service, 1111 Constitution Avenue NW.,
Washington, DC 20224 or sent
electronically, via the Federal
eRulemaking Portal at https://
www.regulations.gov/ (IRS REG–
114307–15).
FOR FURTHER INFORMATION CONTACT:
Concerning the proposed regulations,
Andrew K. Holubeck at (202) 317–4774;
concerning submission of comments, or
a request for a public hearing please
contact Regina Johnson at (202) 317–
6901 (not toll-free numbers).
SUPPLEMENTARY INFORMATION:
Background and Explanation of
Provisions
Temporary regulations in the Rules
and Regulations section of this issue of
the Federal Register amend the
Procedure and Administration
Regulations (26 CFR part 301) relating to
section 7701. The temporary regulations
clarify that an entity disregarded as
separate from its owner (a disregarded
entity), that is treated as a corporation
for purposes of employment taxes
imposed under subtitle C, is not treated
as a corporation for purposes of
employing its individual owner (who is
treated as a sole proprietor) or for
purposes of employing an individual
that is a partner in a partnership that
owns the disregarded entity. Rather, the
entity is disregarded as an entity
separate from its owner for this purpose.
The partners are subject to the same
self-employment tax rules as partners in
a partnership that does not own an
entity that is disregarded as separate
from its owner. The text of those
regulations also serves as the text of
these proposed regulations. The
preamble to the temporary regulations
explains the amendments.
Special Analysis
Certain IRS regulations, including this
one, are exempt from the requirements
of Executive Order 12866, as
supplemented and reaffirmed by
Executive Order 13563. Therefore, a
regulatory impact assessment is not
required. It has also been determined
that section 553(b) of the Administrative
Procedure Act (5 U.S.C. chapter 5) does
not apply to these regulations, and
because the regulations do not impose a
collection of information on small
entities, the Regulatory Flexibility Act
(5 U.S.C. chapter 6) does not apply.
Pursuant to section 7805(f) of the
Internal Revenue Code, this notice of
proposed rulemaking will be submitted
E:\FR\FM\04MYP1.SGM
04MYP1
Agencies
[Federal Register Volume 81, Number 86 (Wednesday, May 4, 2016)]
[Proposed Rules]
[Pages 26759-26763]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-10460]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
24 CFR Part 982
[Docket No. FR-5928-N-01]
Notice of Demonstration To Test Proposed New Method of Assessing
the Physical Conditions of Voucher-Assisted Housing
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice.
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SUMMARY: Through this document, HUD solicits comment on a demonstration
designed to test a new method of assessing the physical condition of
housing assisted by HUD vouchers (voucher-assisted housing). In the
Joint Explanatory Statement accompanying the act appropriating funds
for HUD in Fiscal Year (FY 2016), Congress directed HUD to implement a
single inspection protocol for public housing and voucher units. This
demonstration would commence the process for implementing a single
inspection protocol.
DATES: Comments Due Date: July 5, 2016.
ADDRESSES: Interested persons are invited to submit comments to the
Office of the General Counsel, Regulations Division, Department of
Housing and Urban Development, 451 7th Street SW., Room 10276,
Washington, DC 20410-0500. Communications should refer to the above
docket number and title and should contain the information specified in
the ``Request for Comments'' section. There are two methods for
submitting public comments.
1. Submission of Comments by Mail. Comments may be submitted by
mail to the Regulations Division, Office of General Counsel, Department
of Housing and Urban Development, 451 7th Street SW., Room 10276,
Washington, DC 20410-0500. Due to security measures at all federal
agencies, however, submission of comments by mail often results in
delayed delivery. To ensure timely receipt of comments, HUD recommends
that comments submitted by mail be submitted at least two weeks in
advance of the public comment deadline.
2. Electronic Submission of Comments. Interested persons may submit
comments electronically through the Federal eRulemaking Portal at
https://www.regulations.gov. HUD strongly encourages commenters to
submit comments electronically. Electronic submission of comments
allows the commenter maximum time to prepare and submit a comment,
ensures timely receipt by HUD, and enables HUD to make comments
immediately available to the public. Comments submitted electronically
through the https://www.regulations.gov Web site can be viewed by other
commenters and interested members of the public. Commenters should
follow instructions provided on that site to submit comments
electronically.
Note: To receive consideration as public comments, comments
must be submitted using one of the two methods specified above.
Again, all submissions must refer to the docket number and title of
the notice.
No Facsimile Comments. Facsimile (fax) comments are not acceptable.
Public Inspection of Comments. All comments and communications
submitted to HUD will be available, for public inspection and copying
between 8 a.m. and 5 p.m. weekdays at the above address. Due to
security measures at the HUD Headquarters building, an advance
appointment to review the public comments must be scheduled by calling
the Regulations Division at (202) 708-3055 (this is not a toll-free
number). Copies of all comments submitted are available for inspection
and downloading at https://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: Daniel R. Williams, Real Estate
Assessment Center, Office of Public and Indian Housing, Department of
Housing and Urban Development, 550 12th Street SW., Suite 100,
Washington DC 20410-4000; telephone number 202-475-8586 (this is not a
toll-free number). Persons with hearing or speech impairments may
contact this number via TTY by calling the toll-free Federal Relay
Service at 800-877-8339.
SUPPLEMENTARY INFORMATION:
I. Structure of the Notice
The following four sections discuss the background through the
solicitation of comments. Section II below provides background
information on oversight of the Housing Choice Voucher inspection
program and explains the origins of the Uniform Physical Condition
Standards for Vouchers (UPCS-V), an alternative approach for ensuring
safe, habitable voucher-assisted housing. In Section III, the notice
explains the three main areas that will be evaluated during the
demonstration, which are: The objective condition standards including a
list of life threatening and emergency items that must be addressed,
the revised information technology (IT) processes, and the new
oversight approach. Also in Section III, HUD discusses the general
public housing agency (PHA) participation criteria it will use to
select a representative mix of volunteer PHAs. In Section IV, HUD
describes the process by which HUD will assess the results of the
demonstration. In the last section of this notice, Section V, HUD
[[Page 26760]]
solicits public comment generally as well as on several questions of
specific interest.
II. Background
HUD's Housing Choice Voucher (HCV) program serves approximately 2.2
million households nationwide. The HCV program is administered by PHAs
at the State and local levels and allows participants the opportunity
to rent from private landlords in the neighborhood of their choosing.
The goal of the HCV program is to enable access to decent, safe and
sanitary affordable housing for low-income families. In the 1970's HUD
established housing quality standards (HQS) in accordance with the U.S.
Housing Act of 1937 (1937 Act) (42 U.S.C. 1437 et seq.). Section
8(o)(8)(B) of the 1937 Act (42 U.S.C. 1437f(o)(8)(B)), directs HUD to
establish standards for safe and habitable housing. These standards are
codified in HUD regulations at 24 CFR 982.401. PHAs use these standards
to determine if housing meets the minimum criteria necessary for the
safety and habitability of occupants assisted under the program.
The HUD Office of Inspector General (OIG) has released several
audit reports and evaluations that identified weakness in the HCV
inspection program.\1\ These OIG reports and other factors led to the
report of the Senate Committee on Appropriations, Report 113-045, that
accompanied the Senate bill for HUD's 2014 appropriations, and directed
HUD to ``. . . move to a consistent inspection standard across housing
assistance programs, as well as [for] oversight of Section 8 units.''
\2\ In response to this directive, HUD conducted a quality assurance
review of HCV units using its current HQS inspection model.\3\ The
results of these inspections showed that the current HQS protocol
lacked objective, well-defined deficiency descriptions, was unable to
capture granular unit conditions, and relied on a paper inspection
form. In addition, there was an absence of modern health standards such
as carbon monoxide detectors and sprinkler systems, and an absence of a
universal list of life threatening or emergency deficiencies. HUD
determined that these factors resulted in inconsistent application of
HQS standards, and there was potential for inconsistent housing
outcomes and exposure of families to health and safety hazards.
---------------------------------------------------------------------------
\1\ See e.g., HUD OIG Reports: 2008-AT-003; 2012-BO-1005.
\2\ See page 100 of https://www.gpo.gov/fdsys/pkg/CRPT-113srpt45/pdf/CRPT-113srpt45.pdf.
\3\ See https://portal.hud.gov/hudportal/HUD?src=/program_offices/public_indian_housing/reac/oed.
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At the conclusion of the quality control review, HUD accelerated
the search for a replacement to the Housing Quality Standards, leading
to the eventual development of UPCS-V. In the Joint Explanatory
Statement accompanying the Consolidated Appropriations Act of 2016,
Public Law 114-113, approved December 18, 2015, Congress directed HUD
to implement a single inspection protocol for public housing and
voucher units.\4\ This demonstration would commence the process for
implementing a single inspection protocol by soliciting PHAs to
voluntarily move to the single inspection protocol, conduct field
testing, and participate in oversight and monitoring activities related
to the new standard. In addition to improving outcomes for families and
aligning program standards, this demonstration will provide valuable
feedback to HUD about how to efficiently and effectively implement
UPCS-V at all PHAs. Congress has provided HUD with funding to improve
its oversight of the HCV inspection program and to move the inspection
standard for the HCV program to one that is consistent with other
affordable housing programs and that incorporates modern health and
safety practices.\5\
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\4\ See page 41 of Division L of the FY2016 Joint Explanatory
Statement. See https://rules.house.gov/bill/114/hr-2029-sa.
\5\ See Title II of Division K of the FY2015 Joint Explanatory
Statement. See https://www.congress.gov/congressional-record/2014/12/11/house-section/article/H9307-1.
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III. The Demonstration
A. Overview
In response to Congressional direction and HUD's own goal to
improve the effectiveness of the inspection of public and assisted
housing while minimizing burdens, HUD is developing a new inspection
and oversight approach called UPCS-V. UPCS-V incorporates housing
health and safety constructs, concepts from the Uniform Physical
Condition Standard (UPCS), codified in HUD regulations at 24 CFR 5.703,
and HQS, codified at 24 CFR 982.401. The new UPCS-V will include
deficiency definitions and decision criteria, and tailored standards
and protocols to better meet HCV program needs. The UPCS protocol is
currently recognized by industry stakeholders as the benchmark for
government-assisted and affordable housing inspections. This
Demonstration is the first step in implementing an aligned inspection
protocol for public housing/multi-family housing and voucher programs,
and will test the UPCS-V inspection model's ability to assess the
physical condition of assisted housing, improve service delivery,
enhance oversight and risk management capabilities, and better identify
health and safety hazards in the home.
B. The New Inspection Model and Demonstration Protocols
Under this Demonstration, HUD will test, for up to three years,
with up to 250 PHAs, the UPCS-V model as a new method of assessing the
physical condition of voucher-assisted housing.
In addition to hands-on training and technical assistance that will
be provided by HUD to participating PHAs, some additional benefits of
participating in the Demonstration include the opportunity to provide
input to HUD on further refining the UPCS-V standards and processes,
and the ability to evaluate, test, and refine internal PHA systems and
processes.
There are three components to the Demonstration, each of which may
run concurrently:
Evaluation of Revised Inspection Model (UPCS-V)
Data Standardization and Information Exchange
Oversight and Performance Improvement
Component 1: Evaluation of the Revised Inspection Model (UPCS-V)
For the past 17 years, HUD has used the UPCS protocol when
conducting over 310,000 physical inspections of public housing (PH) and
subsidized multifamily housing (MFH) developments, solidifying UPCS as
the industry standard for government-assisted and affordable housing
inspections. HUD leveraged its experience with UPCS and developed a
product tailored to the objectives of the HCV program. The scope of the
inspection, the procedural guidelines, and the individual deficiencies
have been modified to emphasize those areas that present the highest
risk of harm to the family living in the HCV assisted unit.
UPCS-V seeks to utilize well-defined and objective deficiency
descriptions that can be used consistently within and across PHAs. The
following table summarizes some of the high-level similarities and
differences between UPCS-V and HQS.
[[Page 26761]]
------------------------------------------------------------------------
Item HQS UPCS-V
------------------------------------------------------------------------
Provides standardized list of ............... X
deficiencies and measurable criteria.
Defined standardized list of Life ............... X
Threatening and Emergency items......
Up-to-date health and safety standards ............... X
Designed as a unit-based inspection X X
standard for federally assisted units
Inspection standard aligned with other ............... X
federally assisted programs..........
Pass/Fail results for all deficiencies X X
PHA ability to adopt HUD-approved X X
variances............................
Uniform inspector training and ............... X
registration.........................
Includes guidance through the use of ............... X
decision trees that lead to more
consistent observations..............
Captures level of severity for line ............... X
item deficiencies....................
Unit and room acceptability criteria.. X X
Standardized criteria for PHA ............... X
submission of electronic inspection
data to HUD..........................
Customized unit condition index to ............... X
provide value added analytics of
inspection data to PHAs and
stakeholders.........................
Photo requirements for fail ............... X
deficiencies.........................
Allow PHAs the use photo and document ............... X
evidence to ensure all fail
deficiencies have been mitigated.....
------------------------------------------------------------------------
Like UPCS, HUD anticipates that the new inspection model will
enable a PHA inspector to more consistently identify and accurately
describe those items that pose a risk to tenant health and safety in
the home. The new inspection model developed by HUD has updated
standards and a well-defined list of itemized deficiencies enabling
inspectors to make more accurate and objective decisions on a
consistent basis. The new inspection model differs from the current HQS
inspection model in that it incorporates standards based on UPCS and
uses a classification system that collects a more detailed level of
data resulting in a better representation of the condition of the unit.
The new inspection protocol will capture levels of severity for
line item deficiencies on an escalating scale of severity (L1, L2, L3).
The classifications of minor (L1), major (L2) or significant (L3) would
be used to determine the level of severity for each deficiency and to
develop a unit condition index score. When considered in conjunction
with a Pass/Fail determination, the unit condition index score would
give residents, owners, PHAs, and HUD better insight into the overall
condition of the unit. In addition to capturing a level of severity for
all deficiencies, HUD will create a minimum, standardized list of life
threatening items that PHAs participating in the demonstration must
treat as ``24 Hour'' deficiencies.
When an inspector finds Life Threatening or Emergency (LTE)
deficiencies during an inspection, the inspector is to provide a list
of such deficiencies to the responsible party--either tenant or owner--
for repair within 24 hours. A specific set of deficiencies that must be
addressed within 24 hours is not currently defined in HQS. UPCS-V will
provide a list of LTE categories to use when inspecting HCV units
during the Demonstration. PHAs will be responsible for additional items
to this list.
General Categories of Life Threatening and Emergency Items
------------------------------------------------------------------------
Life threatening
-------------------------------------------------------------------------
[ballot] Natural or Liquid Petroleum (LP) gas leak or fumes
[ballot] Electrical problems which could result in shock or fire
[ballot] Inoperable/missing smoke or carbon monoxide detector
[ballot] Gas/Oil Fired Water Heater/HVAC with missing or misaligned
chimney
[ballot] Fire extinguishers expired or missing
[ballot] Building lacks an alternate means of exit in case of fire/
blocked egress
------------------------------------------------------------------------
Emergency
------------------------------------------------------------------------
[ballot] Missing entry door
[ballot] The HVAC system fails to meet established criteria for
emergency heating or cooling with consideration for ambient temperature
range and ventilation
[ballot] Absence of at least one functioning sink and toilet in unit
[ballot] No working refrigerator
[ballot] No working stove/oven or other method of heating/preparing food
[ballot] Waterlogged/damaged ceilings, floor or walls in imminent danger
of potential collapse
[ballot] Major plumbing leaks or flooding
[ballot] Utilities not in service (e.g., electricity, gas (LP/natural),
water or oil)
[ballot] No running hot water
[ballot] Structural integrity condition where the building, or a
component of the building, is in imminent danger of potential collapse
------------------------------------------------------------------------
With the inclusion of a level of severity classification and a
standardized list of life threatening items, the inspection report will
be able to provide a more detailed description of the unit.
As part of the Demonstration, HUD will conduct extensive field
tests of the standards and protocol with a representative sample of HCV
units to verify that the UPCS-V model consistently, accurately, and
objectively evaluates housing conditions. The feasibility of
implementing the protocol will also be evaluated to identify potential
barriers that would prevent PHAs from successfully implementing UPCS-V.
After HUD's initial round of testing has been completed, PHAs
participating in this component of the
[[Page 26762]]
Demonstration will conduct a portion, depending on the PHA's
capabilities, of up to 100 percent of their required HCV physical
inspections using UPCS-V in place of HQS. This component will continue
throughout the up to three-year duration of the Demonstration until HUD
has sufficient information to evaluate the success of PHAs using UPCS-V
and assurance that the new method is achieving consistent results.
Component 2: Data Standardization and Information Exchange of UPCS-V
Inspections
UPCS-V is designed as an electronic inspection model. This
component of the Demonstration will test the transition from a paper-
based to an electronic inspection approach. Initially, the UPCS-V
inspections will be performed electronically using HUD-provided
software, and all inspections will include photos of the most severe
deficiencies. For PHAs with their own IT systems, including PHA-
produced or provided inspection software, HUD also will test the
feasibility of different methods of transferring physical inspection
information between PHA and HUD systems.
PHAs participating in this component will be required to document
and submit to HUD all UPCS-V inspections electronically. HUD
anticipates that it will then review, analyze, and where appropriate,
transform the inspection data into value-added information, such as a
scoring report, healthy homes report, and relative risk reports, for
electronic transmission back to the PHA for its use.
PHAs participating in this component of the Demonstration and that
use non-HUD provided software will be required to have and maintain the
information technology resources and support necessary to interface
with HUD's systems using industry standard file transfer protocols such
as Simple Object Access Protocol (SOAP) and Representational State
Transfer (REST) standards. Some data exchange may be via transfer of
flat files.
Component 3: Oversight and Performance Improvement
In this component of the Demonstration, HUD seeks to ensure PHAs
are consistently identifying substandard housing, remedying such cases
appropriately and in a timely manner, and accurately reporting HCV
unit-based inspection outcomes to HUD. Selected PHAs will be required
to participate in quality assurance and internal controls reviews,
technical assistance, and training activities. As part of the
Demonstration, HUD will analyze PHAs' capacity, competencies,
inspection processes and systems that are in place to effectively
manage and evaluate HCV units as decent, safe, and sanitary. Further,
HUD will test the capacity of the UPCS-V model to identify properties
that are at risk of falling into non-compliance before the next
regularly scheduled biennial inspection.
To develop an inspector performance baseline, HUD seeks to
determine the acceptable variation between inspectors. HUD will conduct
quality assurance inspections on HCV units to ensure inspector
adherence to UPCS-V inspection standards and provide technical
assistance where needed. HUD also will test both PHA and its own
management controls to provide reasonable assurance that the process
for planning, organizing, directing, and controlling the HCV unit-based
inspection program will meet the requirements prescribed by UPCS-V.
C. Selection Criteria and General Participation Requirements
General Participation Requirements
To participate in this Demonstration, a PHA must administer a
housing choice voucher program. PHAs participating in any aspect of the
Demonstration will be required to participate in focus groups,
conference calls, and training sessions on policies and procedures. HUD
will train each participating PHA's inspectors, administrators, and
quality control staff on the new inspection protocol, including how to
use the inspection software. The PHAs will be responsible for
scheduling inspections with all the participants, assigning inspectors,
and conducting inspections. The PHA must conduct at least 10
inspections per week, and the geographic spread of those inspections
should be such that 90 percent of inspections are accessible within a
30 mile (or 1 hour) driving range.
If selected, the PHA must participate in the Demonstration
throughout the duration of the testing period for at least one (1)
calendar year with the possibility of an extension, as determined by
HUD, for a maximum total of three (3) years. PHAs that participate will
also need to provide an internet connected, internet operating system
(iOS) or Android based electronic handheld device (smart phone or
tablet) for each PHA staff inspector participating with capability to
download the required HUD-provided inspection software.
Selection Criteria
All PHAs must meet, at minimum, the general participation
requirements described above. The strategic objectives for the
Demonstration are for HUD to identify a diverse set of participants
that will be representative of the different types of PHAs, properties
and tenants found nationwide. HUD will use the following criteria to
consider PHAs that have expressed an interest in participating in the
Demonstration to ensure that participants represent the universe of
PHAs that run HCV programs.
Participants will be selected based on the characteristics of the
organization (PHA) and the type of properties and tenants it
administers:
1. Characteristics of the PHA:
Is the PHA a local or state agency?
What percentage of HQS inspections are conducted annually?
Biennially?
What percentage of the HCV housing stock is urban and what
percentage is rural?
What percentage of the PHAs inspections are HCV
inspections?
What is the number of monthly HCV inspections conducted?
2. Characteristics of the Properties & Tenants:
What is the number of HCV voucher holders?
What is the average rent amount?
What is the percentage of PHA's HCV program that is
Veterans Affairs Supportive Housing (VASH), Family Unification Program
(FUP), and Non-Elderly Disabled (NED) participants?
What is the average HCV family size?
What type of housing is leased by HCV participants (single
family, apartment, condo, high-rise, row house, duplex, townhouse,
etc.)?
What is the average age of the housing stock?
What is the HCV tenant mix (by age, disability, elderly,
family type, children, income level/hap amount)?
The criteria are designed to capture the variation in PHAs and
market characteristics that could affect the implementation of UPCS-V.
Depending on the applications for participation received and the
characteristics of the PHAs applying, the criteria may be adjusted to
more accurately represent the diversity of PHAs. Not all 250
participants may be selected in the first round of testing.
Accordingly, as the Demonstration proceeds, HUD may expand the number
of participating PHAs, revise the selection criteria, or both, to
reflect HUD's experience in implementing the Demonstration.
[[Page 26763]]
IV. Evaluating the Demonstration
The Demonstration will provide HUD insight into the UPCS-V model,
including its ability to expand HUD's oversight and risk management
capabilities through a reliable, repeatable inspection process that
better identifies health and safety risks to families, before
implementing such a program nationwide. The Demonstration is
anticipated to begin 60 days following the date of publication of this
notice, with PHAs being added on a rolling basis until a representative
sample has been reached. At the conclusion of the demonstration, HUD
will assess its success and determine whether to implement UPCS-V on a
permanent basis throughout the country.
In the evaluation of the Demonstration, HUD will assess such
factors as whether the use of the new UPCS-V protocol produces (1) more
consistent and accurate results, (2) data standardization and a
reliable method for information exchange, and (3) increased oversight
and administration of the HCV Program. The demonstration also will
review the feasibility of a PHA to implement the UPCS-V protocol, a
factor HUD considers necessary for an accurate evaluation of the
Demonstration's success.
V. Solicitation of Public Comment
In accordance with section 470 of the Housing and Urban-Rural
Recovery Act of 1983 (42 U.S.C. 3542), HUD is seeking comment on the
Demonstration. Section 470 provides that HUD may not begin a
demonstration program not expressly authorized by statute until a
description of the demonstration program is published in the Federal
Register and a 60-day period expires following the date of publication,
during which time HUD solicits public comment and considers the
comments submitted. HUD has established a public comment period of 60
days. The public comment period provided allows HUD the opportunity to
consider those comments during the 60-day period, and be in a position
to commence implementation of the demonstration following the
conclusion of the 60-day period.
While HUD solicits comment on all aspects of the Demonstration, HUD
specifically solicits comment on the following:
1. HUD is considering selecting for participation only PHAs that do
not utilize contract inspectors. Are there any instances where an
exception to this criterion might be useful?
2. Will utilizing commercial, off-the-shelf hardware, such as
internet connected tablets or smartphones, reduce the barriers to
participation for PHAs as opposed to having PHAs use more specific
devices such as those required for other HUD UPCS inspections?
3. Are there other PHA characteristics that HUD should consider in
selecting PHAs to participate in the demonstration?
4. Are there other revisions outside of the UPCS criteria that HUD
should consider when moving toward a single inspection protocol?
HUD requests that PHAs interested in participating in the
Demonstration notify HUD by the public comment deadline for this
Demonstration notice by emailing HUD at UPCSV@hud.gov, and providing
the PHA name, PHA address, contact name, contact phone number, and
email address.
Dated: April 28, 2016.
Lourdes Castro Ram[iacute]rez,
Principal Deputy Assistant Secretary for Public and Indian Housing.
[FR Doc. 2016-10460 Filed 5-3-16; 8:45 am]
BILLING CODE 4210-67-P