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Understanding PHAS: A Management Tool for Public Housing Authorities

This session will provide attendees with a comprehensive understanding of the Public Housing Assessment System (PHAS). You will learn the underlying theories, identify key indicators for assessment, and how to effectively score and measure these indicators. The new project-based PHAS focuses on Asset Management Projects (AMPs), introducing significant changes in physical conditions, financial performance, management operations, and resident satisfaction. This knowledge will empower housing authorities to utilize PHAS as a proactive management tool rather than waiting for HUD evaluations.

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Understanding PHAS: A Management Tool for Public Housing Authorities

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Presentation Transcript

  1. Managing PHAS Terry Provance

  2. Managing PHAS • As a result of attending this session, you will: • Understand the theory behind PHAS • Identify PHAS indicators and how they are measured and scored • Understand the new PHAS as proposed • Begin to be able to use these assessments as a management tool

  3. Introduction • PHAS was designed to be system of accountability to assist HUD in monitoring and evaluating public housing • Defines acceptable standards for key areas • PHAs should use PHAS as a management tool • Don’t wait for a score from HUD!

  4. Introduction • We’ll describe how PHAS should be applied to the asset management projects (AMPs) • AMPS will become the new PHAS measurement focus • We’ll be discussing the new project-based PHAS

  5. PHAS • Four indicators: • Physical condition • Financial condition • Management operations • Resident service and satisfaction

  6. Four Indicators • Physical condition 30 points • Financial condition 30 points • Management operations 30 points • Resident service & satisfaction 10 points

  7. PHAS Scoring • A PHA’s overall PHAS grade will place it in one of the following categories: • High performer 90% to 100% • Standard performer 60% to 89% • Troubled performer 0% to 59%

  8. Mandatory Requirements • Many of the current PHAS indicators are statutory • Vacancy rate • Capital fund obligation and expenditure • Rent collection • Utility consumption • Unit turnaround time…

  9. Mandatory Requirements • PHAS indicators which are statutory: • Work orders • Inspections of units and systems • Screening, eviction, and anti-crime strategies • Economic self-sufficiency • Acceptable basic housing conditions • Other factors as deemed by HUD

  10. PHAS Indicator #1: Physical Condition

  11. Description & Purpose • For HUD to ensure that all PHAs provide housing that is: • Decent • Safe • Sanitary • In good repair

  12. The Condition of Properties • HUD’s intent is to determine condition of PHA’s housing stock • HUD assigns score • UPCS software has all PHA addresses • Physical condition measured numerically • Objective and consistent • For all property types and configurations

  13. What is Inspected • Inspector inspects: • Site Always 100% • Building Exteriors Sampled • Building Systems Sampled • Common Areas Sampled • Units Sampled

  14. How Inspectors Inspect • HUD-contracted inspectors use hand-held computers with PASS software from HUD • Random sample generated • Software starts with a perfect score of 100 • Deficiencies carry point deductions • Health & safety deficiencies biggest deductions

  15. Indicator #2: Financial Condition

  16. Description & Purpose • Measures financial condition of PHA • Does the PHA have, and is it capable of managing, financial resources to support a housing program

  17. Assessment • Six financial condition components: • Current ratio • Number of months expendable fund balance • Tenant receivable outstanding • Occupancy loss • Expense mgmt/utility consumption • Net income or loss

  18. Indicator #3:Management Operations

  19. Assessment • Vacant unit turnaround time • Capital Fund • Work orders • Inspection of units and systems • Security • Economic self sufficiency

  20. Reporting Requirements • PHA must certify on HUD form-50072 on performance under each of the management indicators • This is the indicator which will change from self-certification to onsite management review • Form 5834 will be used

  21. PHAS Indicator #4Resident Service & Satisfaction • 10 points maximum • 5 points implementation and follow-up • 5 points for the survey results

  22. Project-Based PHAS

  23. Project-Based PHAS • PHAS is being revised to be project-based • The AMPs will be the new measurement focus • Each AMP will receive its own PHAS score • The AMPs are the PHA’s groupings of properties for project-based accounting, budgeting, and management

  24. The New PHAS • 9/6/06 Fed Register Guidance Notice on Asset Mgt - HUD would revise PHAS to support the transition to asset mgt • PHAs to be measured at AMP level • March, 2007 Asset Management e-Newsletter - HUD discussed conforming PHAS to multifamily housing standards

  25. HUD Proposed Changes • 03/2007 Asset Mgt e-Newsletter - HUD to: • Conduct and track PIH-REAC physical inspections by AMP • Modify electronic submission of the FDS to support collection of AMP-level data • Replace PHA’s current MASS submission with on-site reviews (similar to multifamily)

  26. HUD Proposed Changes • 03/2007 Asset Mgt e-Newsletter - HUD to: • Establish new “integrated” assessment based on newly developed PHAS indicators • Simplify current scoring methodologies • Significantly reduce PHA submission requirements

  27. HUD Proposed Changes • On-site management reviews of AMPs (similar to multifamily) • Would replace the subject-specific reviews • Will eliminate need for PHAS confirmatory reviews (no PHA certifications)

  28. HUD Proposed Changes • Note that fee income (property management fees, bookkeeping fees, asset management fees, capital fund management fees, etc) is not considered “program income” • No review of the COCC • Not subject to federal review! • Will streamline PHA compliance reviews

  29. HUD Proposed Changes • In Federal Register, February 8, 2008, HUD published for public comment it’s proposed “Management Review for Public Housing Projects” form HUD-5834 • Form to be used by HUD (or contractor) review team

  30. The New PHAS • PIH 2008-18(HA) published March 27, 2008 • HUD is moving forward on project-based PHAS • HUD will issue a proposed PHAS rule in Spring of 2008 – including four scoring notices • Scoring will be in the proposed rule

  31. Notice PIH 2008-18 • The new PHAS indicators will assess, for each AMP: • Physical condition • Financial condition • Management assessment • Capital fund obligation/expenditure

  32. Notice PIH 2008-18 • Notice 2008-18 is mostly FAQs • For first year, will PHA continue to be scored under the old (current) PHAS? • No – the last PHAs to get a score under the current PHAS will be those with FYE March 31, 2008

  33. Notice PIH 2008-18 • Physical condition • No significant changes are anticipated in the protocol for REAC inspections • If a PHA scored 80 or above in the year immediately before the transition year, the PHA’s AMPs won’t get inspected in the transition year • If projects were combined into different AMPs, HUD will use a unit-weighted score

  34. Notice PIH 2008-18 • Financial condition • Although PHAs have to submit the project-based FDS, financial condition will not be scored by project under the transitional PHAS • Only physical condition of each project will be scored

  35. Notice PIH 2008-18 • Financial condition • Financial condition of each AMP will be measured • HUD will issue a final version of the Financial Data Schedule (FDS) • Probably financial liquidity (current ratio) will be assessed • COCC and non-public housing won’t be included in the financial assessment

  36. Notice PIH 2008-18 • Management assessment • HUD will attempt to conduct at least one onsite management review at all PHAs in the transition year, in order to expose PHAs to the new system • Management reviews will not be scored in the transition year

  37. Notice PIH 2008-18 • Management assessment • Onsite management review will utilize HUD-5834 • Form based on HUD-9834 for multifamily • HUD says it will “delineate” between performance, compliance and process • Performance will be what’s scored

  38. Goals of Review Form • To consolidate reviews of performance and compliance in a flexible manner • Allows reviewers to tailor on-site work to the needs of the project and HUD guidance • HUD-5834 contains information related to both performance and compliance

  39. Performance vs. Compliance • Performance items are those that most directly relate to how well the project is operated (e.g. rate of rent collection) • Compliance items are related to project observance of program regulations (e.g. did the staff calculate rent in accordance with HUD rules)

  40. On-Site Reviews • Management review form (5834) will provide the framework for the on-site reviews • Basic review will be high-level, looking at key performance & compliance indicators • More detailed checklists can be incorporated into the review as needed

  41. Notice PIH 2008-18 • Management assessment • Performance will be scored • HUD is “examining” primary vs. secondary performance measures • Primary = indicator of high level financial, physical, or management performance • Secondary = diagnoses potential problems in these areas

  42. Notice PIH 2008-18 • Management assessment • Performance will be scored • HUD states that a project’s vacancy rate is a primary performance indicator, while unit turnaround is a secondary measure

  43. Form HUD-5834 • Let’s look at this form more closely, since it will be an important assessment tool for project-based management under PHAS • 7 sub-indicators

  44. Form HUD-5834Review for Projects • General appearance and security • Appearance and market appeal • Entrance, building exterior, paved surfaces, fencing, porches, trash, landscaping, graffiti, public spaces and amenities windows, debris, units…

  45. Form HUD-5834Review for Projects • General appearance and security • Security • Crime statistics, law enforcement certification, discussions with law enforcement, observations, discussions with resident, policies for screening and evicting for history of drug-related criminal activity, alcohol abuse, and criminal

  46. Form HUD-5834Review for Projects • Follow-up and monitoring of project inspections • Exigent H&S deficiencies • Lead-based paint inspection deficiencies…

  47. Form HUD-5834Review for Projects • Maintenance • Unit inspections • Work orders • Average completion time • Progress in preceding three years

  48. Form HUD-5834Review for Projects • Maintenance • Preventive maintenance • Systems applicable to property and in preventive maintenance plan: • HVAC, security, fire safety, roof, gutters & downspouts, intercoms & doorbells, accessibility, elevators, mechanical, boilers, emergency generators, other

  49. Form HUD-5834Review for Projects • Maintenance • Energy conservation/utility consumption • Energy audit within past 5 years? • Energy audit less than 1 year old? • Audit contains cost-effective recommendations? Implemented? On schedule?

  50. Form HUD-5834Review for Projects • Modernization • Physical needs assessment completed? • Updated in last 5 years? • Estimating the useful life remaining and modernization cost for all major building systems?

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