Office of the Assistant Secretary for Public and Indian Housing, HUD.
This proposed rule would revise the regulatory text of the final rule on Public Housing Agency Plans, published October 21, 1999, to fully reflect the importance of deconcentration by income and affirmatively furthering fair housing in a PHA's admission policy, consistent with the directive to achieve “One America,” and to provide further direction to PHAs on the implementation of deconcentration and affirmatively furthering fair housing.
HUD also proposes to make several clarifying language changes throughout the rule to make the PHA Plan regulation clearer for PHAs, their residents and members of the public. HUD sets out the entire rule for the convenience of the reader. In addition, one change would permit the Secretary to further simplify the PHA Plan submission for PHAs permitted to submit a streamlined Plan.
Comments Due Date: June 1, 2000.
Interested persons are invited to submit comments regarding this proposed rule to the Regulations Division, Office of General Counsel, Room 10276, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410. Communications should refer to the above docket number and title. Facsimile (FAX) comments are not acceptable. A copy of each communication submitted will be available for public inspection and copying between 7:30 a.m. and 5:30 p.m. weekdays at the above address.Start Further Info
FOR FURTHER INFORMATION CONTACT:
Rod Solomon, Deputy Assistant Secretary, Office of Policy, Program and Legislative Initiatives, Office of Public and Indian Housing, Department of Housing and Urban Development, 451 Seventh Street, SW, Room 4116, Washington, DC 20410; telephone (202) 708-0713 (this is not 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.End Further Info End Preamble Start Supplemental Information
I. Purpose of This Rule
HUD today is issuing this proposed rule for two purposes. The first is to assure that PHAs know what they must do to deconcentrate poverty in the public housing program. The second is to assure that PHAs know what they must do to affirmatively further fair housing, as it relates to admissions to public housing.
With the issuance of this revision of the PHA Plan rule, the Administration initiates a new chapter in the history of Federal policy on subsidized housing for low and moderate income people in America. Central to this new chapter is the dream of “One America,” where families are not segregated by such factors as income and race.
Focusing specifically on the income mixing and fair housing obligations of local public housing agencies, this revised rule outlines a bold commitment to meeting the critical housing needs of struggling renters and their families and to expanding opportunity through housing assistance—the original and enduring dream of America's housing policy and, by extension, of the American experiment itself. This commitment is embodied in a set of high expectations for public housing agencies. The expectations aim to significantly reduce the persistently high levels of racial segregation and poverty concentration that have too long characterized public housing in many of our Nation's communities.
Over fifty years ago, the Housing Act of 1949 articulated a national commitment to a “decent home and suitable living environment for every American family.” More than a commitment, it was a dream—namely, that housing and community development assistance generate real opportunity for individuals and families struggling up the ladder into our Nation's economic mainstream. This dream was also part of the 1937 enactment of the Nation's first public housing program: the law envisioned public housing as a platform of opportunity for families ranging in income and background to save money on rent and thereby make their way up the economic ladder.
Sadly, the reality of housing assistance, particularly when provided through subsidized housing developments, has often fallen short of the dream. And public housing has presented unique and significant challenges in this regard. Public housing is a form of subsidized housing development that is typically developed and managed by local public housing agencies (rather than private or nonprofit landlords), with funding from HUD.
For decades, many of the Nation's cities and towns sited public housing developments in predominantly low-income, minority neighborhoods. Discriminatory local political processes thus concentrated a large share of the locality's most affordable, subsidized rental units in geographic areas that tended to be—already—older, more dilapidated, higher in poverty, less politically powerful, and more poorly supported by public services than other areas. It was hardly the dream that our Nation's founding fathers, or the framers of Federal housing policy in the last century, envisioned. And the results of discrimination in the siting of public housing have been all too predictable: opportunity denied, racial and economic isolation perpetuated, and a mountain of civil rights litigation.
Unfortunately, the challenge is broader than where public housing developments have been sited. Over the years, compounding the frequent problem of discriminatory siting was a second local practice: discrimination in the lease-up processes that open particular public housing developments or provide Section 8 rental subsidies (vouchers) to households of particular racial and socioeconomic backgrounds. In some cases, relatively higher income families might have been directed to higher income, “better” buildings in better neighborhoods, or similar discrimination might have been practiced on the basis of racial or ethnic background. In others, local actions might not have been undertaken to counteract discriminatory siting over the years.
With the issuance of this revised rule, the Administration initiates another historic shift in the direction of housing policy and a significant strengthening of HUD's role as a promoter of opportunity and protector of civil rights. Fulfilling the aims and expectations outlined in the Quality Housing and Work Responsibility Act of 1998 (also known as the Public Housing Reform Act), this revised rule specifies what local public housing agencies must do, as part of the Public Housing Agency Plans they submit to HUD in order to receive funding, to deconcentrate poverty and affirmatively further fair housing in the public housing program and to affirmatively further fair housing in the Section 8 voucher program.
No longer will an agency, whether by intent or by default, be able to Start Printed Page 20687concentrate relatively low-income families in some buildings and higher income families in other buildings. Under this revised rule, a local public housing agency will meet the first requirement—deconcentration-by bringing higher income tenants into relatively lower income buildings and lower income tenants into relatively higher income buildings. This will be accomplished by classifying buildings and prospective tenants according to their income levels and then making lease-up decisions, as outlined above, that gradually improve the income mix of each building under a public housing agency's management. In order to achieve deconcentration, an agency must skip particular families on its waiting list, as necessary. In addition, an agency may apply local admission preferences created to serve special, high-need groups: homeless persons, victims of domestic violence, and families with severe rent burden (greater than fifty percent of household income).
In addition, a public housing agency must meet the revised rule's second principal requirement by preparing and carrying out its Plan in ways that protect the civil rights of families served. First, each agency must carry out its Plan in conformity with Federal civil rights laws, including provisions of the Civil Rights Act of 1964 and the Fair Housing Act of 1968. Beyond the basic requirement of nondiscrimination, however, an agency should affirmatively further fair housing to reduce racial and national origin concentrations. As this revised rule indicates, HUD will take action to challenge civil rights certifications where it appears that a PHA Plan or its implementation does not reduce racial and ethnic concentrations and is perpetuating segregation or is, worse yet, creating new segregation. If HUD offers this challenge, the onus will be on the public housing agency to establish that it is providing the full range of housing opportunities to applicants and tenants or that it is implementing affirmative efforts. Affirmative efforts may include the marketing of geographic areas in which particular demographic groups typically do not reside, additional consultation and information for applicants, and provision of additional support services and amenities to a development.
Together, the deconcentration and fair housing expectations clarified in this historic revised rule represent a new contract between the Nation's housing and urban development agency and its communities, between HUD and those who provide vital housing assistance with HUD funds. The dream of One America, of opportunity for all across all the old divides, endures. And while much hard work lies ahead to meet the requirements of this revised rule and mount other important strategies that reduce social and economic isolation, this revised rule puts America's core rental housing assistance programs on a new path—the path of opportunity for hardworking families all across the land, regardless of income or background.
II. Scope of Comments
Although HUD is issuing the entire PHA Plan rule so that the reader can see the amended deconcentration and nondiscrimination provisions in the context of the entire PHA Plan rule, HUD is only seeking comment on the proposed changes (notably, the provisions of Subpart A), and will only address these comments at the final rule stage. In particular, the Department is interested in receiving comment on the principal approach presented in § 903.2 of the rule text, and on the alternative approach presented in Section III of this preamble.
III. Consideration of Approaches
When the Department decided on a specific approach to assure that poverty would be deconcentrated in public housing as a result of this rule, it considered various approaches, two of which are described below.
The approach included in this Proposed Rule is basically to require that PHAs determine an overall average income for tenants in their family developments; characterize each building as higher income or lower income, based on whether the average income in the building is above or below the overall average; and require that lower income families be admitted to higher income buildings and higher income families be admitted to lower income buildings. This method for implementing the deconcentration policy would be easy to understand and have the widest possible impact.
Another approach that was considered, but is not included in the Proposed Rule, is to require consideration of the income of a family relative to the average income of a building only when the average income in a building is a certain percentage below or above the overall average; and then to allow the admission of families with incomes below the overall average only to those buildings in the middle range or above, and to allow the admission of families with incomes above the overall average only to those buildings with incomes in the middle range or below. Although this approach involves less administrative complexity, it also would have less impact on deconcentration.
The Department solicits comments on the changes in the entire rule but especially regarding the following:
1. To the extent that your comments express concern that this rule affects the fulfillment of statutory and policy goals other than income deconcentration, what alternative mechanisms do you suggest that still accomplish deconcentration?
2. To the extent that your comments address administrative complexity, please include alternative suggestions that achieve deconcentration.
IV. Justification for Shortened Public Comment Period
It is the general practice of the Department to provide a 60-day public comment period on all proposed rules. The Department, however, is reducing its usual 60-day public comment period to 45 days for this proposed rule. Through the PHA Annual Plans submitted to date, HUD has determined that there is in urgent need to provide PHAs with more specific direction on how to implement deconcentration policies in public housing and how to comply with requirements for nondiscrimination and affirmatively furthering fair housing in public housing admissions. The October 21, 1999 final rule provided that PHAs could determine a PHA-wide average income in family developments and categorize applicant families and public housing buildings as higher or lower income based on that average. The October 21, 1999 final rule did not make clear, however, what action PHAs must take with respect to these higher and lower income applicants relative to the higher or lower income buildings. Additionally, the rule did not specify various other critical matters regarding deconcentration requirements. The rule also did not specify how the requirement to affirmatively further fair housing would be applied in the context of admission to public housing. The first PHA Annual Plans that have been submitted to HUD generally reflect these shortcomings. HUD, therefore, needs to issue a second final rule as quickly as possible, so that PHAs that have not yet submitted their Plans can submit deconcentration plans and related fair housing admissions policies that meet the statutory requirements and accomplish the statutory goals. Start Printed Page 20688
V. Findings and Certifications
Regulatory Flexibility Act
The Secretary, in accordance with the Regulatory Flexibility Act (5 U.S.C. 605(b)), has reviewed and approved this proposed rule, and in so doing certifies that this rule does not have a significant economic impact on a substantial number of small entities. This proposed rule amends the final rule published on October 21, 1999, to make clarification and plain language changes made to the earlier final rule. This proposed rule does not alter the Regulatory Flexibility finding made in the October 21, 1999 final rule.
Executive Order 13132, Federalism
Executive Order 13132 (entitled “Federalism”) prohibits, to the extent practicable and permitted by law, an agency from promulgating a regulation that has federalism implications and either imposes substantial direct compliance costs on State and local governments and is not required by statute, or preempts State law, unless the relevant requirements of section 6 of the Executive Order are met. This proposed rule does not have federalism implications and does not impose substantial direct compliance costs on State and local governments or preempt State law within the meaning of the Executive Order.
The Finding of No Significant Impact with respect to the environment was prepared during the interim rulemaking stage of this rule, in accordance with HUD regulations in 24 CFR part 50 that implement section 102(2)(C) of the National Environmental Policy Act of 1969 (42 U.S.C. 4223). That Finding remains applicable to this proposed rule, and is available for public inspection between 7:30 a.m. and 5:30 p.m. weekdays in the Office of the Rules Docket Clerk, Office of General Counsel, Room 10276, Department of Housing and Urban Development, 451 7th Street, SW, Washington, DC 20410.
The Office of Management and Budget (OMB) reviewed this proposed rule under Executive Order 12866, Regulatory Planning and Review. OMB determined that this proposed rule is a “significant regulatory action,” as defined in section 3(f) of the Order (although not economically significant, as provided in section 3(f)(1) of the Order). Any changes made to the final rule after its submission to OMB are identified in the docket file, which is available for public inspection in the office of the Department's Office of General Counsel, Regulations Division, Room 10276, 451 Seventh Street, SW, Washington, DC 20410-0500.
Unfunded Mandates Reform Act
Title II of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4; approved March 22, 1995) (UMRA) establishes requirements for Federal agencies to assess the effects of their regulatory actions on State, local, and tribal governments, and on the private sector. This proposed rule does not impose any Federal mandates on any State, local, or tribal governments, or on the private sector, within the meaning of the UMRA.
Catalog of Federal Domestic Assistance
The Catalog of Federal Domestic Assistance numbers applicable to the programs affected by this rule are 14.850 and 14.855.Start List of Subjects
List of Subjects in 24 CFR Part 903End List of Subjects Start Amendment Part
For the reasons stated in the preamble, HUD proposes to revise part 903 of title 24 of the Code of Federal Regulations to read as follows:End Amendment Part Start Part
PART 903—PUBLIC HOUSING AGENCY PLANS
- What is the purpose of this subpart?
- With respect to admissions, what must a PHA do to deconcentrate poverty in its developments and comply with fair housing requirements?
- What is the purpose of this subpart?
- What are the public housing agency plans?
- When must a PHA submit the plans to HUD?
- What information must a PHA provide in the 5-Year Plan?
- What information must a PHA provide in the Annual Plan?
- May HUD request additional information in the Annual Plan of a troubled PHA?
- Are certain PHAs eligible to submit a streamlined Annual Plan?
- What is a Resident Advisory Board and what is its role in development of the Annual Plan?
- What is the relationship of the public housing agency plans to the Consolidated Plan?
- What is the process for obtaining public comment on the plans?
- When is the 5-Year Plan or Annual Plan ready for submission to HUD?
- May the PHA amend or modify a plan?
- What is the process by which HUD reviews, approves, or disapproves an Annual Plan?
- How does HUD ensure PHA compliance with its plans?
Subpart A—Deconcentration of Poverty and Fair Housing in Program Admissions
The purpose of this subpart is to specify what a Public Housing Agency must do in order to reduce the concentration of lower income and higher income public housing tenants in particular buildings or developments and to affirmatively further fair housing.
(a) Deconcentration of poverty and income mixing. The PHA's admission policy with respect to deconcentration of poverty and income mixing implements section 16(a)(3)(B) of the 1937 Act (42 U.S.C. 1437n), which applies to the PHA's public housing program. Deconcentration is achieved by bringing higher income tenants into lower income developments and lower income tenants into higher income developments. The provisions of this section apply to applicants to and residents seeking voluntary transfers within public housing developments, except for those approved for demolition or for conversion to tenant-based assistance.
(1) General. To implement this requirement, the PHA must admit lower income families to higher income buildings (or developments) and admit higher income families to lower income buildings (or developments), using the following steps:
(i) Step 1. Annually determine the average income of all families residing in all of its general occupancy developments (including families residing in developments approved for demolition or conversion to tenant-based assistance and families residing in public housing units in mixed-finance developments).
(ii) Step 2. Annually determine the average income of all families residing in each building of each general occupancy development.
(iii) Step 3. Determine which general occupancy development buildings have an average income higher than the PHA average for general occupancy developments—designated “higher income buildings”—and which have an Start Printed Page 20689average income lower than the PHA average for general occupancy developments—designated “lower income buildings”.
(iv) Step 4. Determine which families on the waiting list have incomes higher than the PHA-wide average income for general occupancy developments—designated “higher income families” for this purpose—and which have incomes lower than the PHA-wide average for general occupancy developments—designated “lower income families” for this purpose.
(v) Step 5. When a unit becomes available for occupancy in a higher income building, the PHA must skip families on the waiting list if necessary to reach a lower income family to whom it will offer the unit. When a unit becomes available for occupancy in a lower income building, the PHA must skip families on the waiting list if necessary to reach a higher income family to whom it will offer the unit. Skipping is required, as necessary, with respect to both site-based and community-wide waiting lists, and it must be uniformly applied. If the waiting list does not contain a family in the income category to whom the unit is to be offered, the PHA may offer a unit to a family in the other income category.
(2) Applicability of local preferences. In determining which higher income or lower income families to admit to a lower income or a higher income building, the PHA must use its waiting list. The PHA may use local admission preferences, except if using them would result either in offering a unit in a higher income building to a higher income family or in offering a unit in a lower income building to a lower income family. However, if a PHA has a preference for homeless persons, for families paying more than 50 percent of their income in rent, or for families who are victims of domestic violence, it may use such a preference when determining which family to admit to any building, and may admit a family with such a preference instead of a family that otherwise would be offered the unit. PHA local admission preference policies must affirmatively further fair housing.
(3) Definition of “building”. For purposes of applying this deconcentration policy, a “building” is one or more contiguous structures containing at least 8 public housing dwelling units.
(4) Scattered site and small developments. If a development contains no structures that qualify as a building, the deconcentration requirement is applied to the entire development as if the development were a building.
(5) Mixed-finance developments and units newly added to a PHA's public housing stock. For mixed-finance developments, including HOPE VI projects that are mixed finance developments, and for units newly added to a PHA's public housing stock, the requirement to deconcentrate is applicable as follows:
(i) For the initial lease-up of vacant public housing units in mixed finance developments or for units newly added to a PHA's public housing stock (subject to the possible right of return by prior residents), the average income for the public housing units in each building shall not exceed the PHA's average income for general occupancy public housing developments;
(ii) After the initial lease-up of vacant units in mixed finance developments and units newly added to a PHA's public housing stock, the leasing of public housing units is covered by the deconcentration requirements of paragraph (a)(1) through (4) of this section unless the building which contains these units is classified (based on the incomes of families residing in public housing units) as a lower income building.
(6) Right of return. If a PHA has provided that a family that resided in public housing on the site of a mixed-finance or other development has a right to admission to a public housing unit in that development after revitalization, this deconcentration policy does not preclude fulfilling that commitment.
(7) Family's discretion to refuse a unit. A family has the sole discretion whether to accept an offer of a unit made under this deconcentration policy. The PHA may not take any adverse action toward any eligible family for choosing not to accept an offer of a unit under this deconcentration policy. The PHA may uniformly limit the number of offers received by applicants.
(8) Relationship to income targeting requirement. Nothing in this deconcentration policy relieves a PHA of the obligation to meet the requirement to admit annually at least 40 percent families whose incomes are below 30 percent of area median income as provided by section 16(a)(2) of the 1937 Act, 42 U.S.C. 1437n(a)(2).
(b) Fair housing requirements. All admission and occupancy policies for public housing and Section 8 tenant-based housing programs must comply with Fair Housing Act requirements and regulations for affirmatively further fair housing. The PHA may not require any specific income or racial quotas for any development or developments.
(1) Nondiscrimination. A PHA must carry out its Plan in conformity with the nondiscrimination requirements in Federal civil rights laws, including title VI of the Civil Rights Act of 1964 and the Fair Housing Act. A PHA cannot assign persons to a particular section of a community or to a development or building based on race, color, religion, sex, disability, familial status or national origin for purposes of segregating populations (§ 1.4(b)(1)(ii) of this title).
(2) Affirmatively Furthering Fair Housing. PHA policies that govern eligibility, selection and admissions under its Plan should be designed to reduce racial and national origin concentrations. Any affirmative actions or incentives a PHA plans to take must be stated in the admission policy.
(i) HUD regulations provide that PHAs should take affirmative action to overcome the effects of conditions which resulted in limiting participation of persons because of their race, national origin or other prohibited basis (§ 1.4(b)(1)(iii) and (6)(ii) of this title).
(ii) Such affirmative action may include but is not limited to, appropriate affirmative marketing efforts; additional applicant consultation and information; and provision of additional supportive services and amenities to a development.
(3) Validity of certification. (i) HUD will take action to challenge the PHA's certification under § 903.7(o) where it appears that a PHA Plan or its implementation:
(A) Does not reduce racial and national origin concentration in developments or buildings and is perpetuating segregated housing; or
(B) Is creating new segregation in housing.
(ii) If HUD challenges the validity of a PHA's certification, the PHA must establish that it is providing a full range of housing opportunities to applicants and tenants or that it is implementing actions described in paragraph (b)(2)(ii) of this section.
(c) Relationship between poverty deconcentration and fair housing. The requirements for poverty deconcentration, in paragraph (a) of this section, and for fair housing, in paragraph (b) of this section, arise under separate statutory authorities and are independent.
Subpart B—PHA Plans
(a) This subpart specifies the requirements for PHA plans, required by Start Printed Page 20690section 5A of the United States Housing Act of 1937 (42 U.S.C. 1437c-1).
(b) The purpose of the plans is to provide a framework for:
(1) Local accountability; and
(2) An easily identifiable source by which public housing residents, participants in the tenant-based assistance program, and other members of the public may locate basic PHA policies, rules and requirements concerning the PHA's operations, programs and services.
(a) Types of plans. There are two public housing agency plans. They are:
(1) The 5-Year Plan (the 5-Year Plan) that a public housing agency (PHA) must submit to HUD once every five PHA fiscal years. The 5-Year Plan covers the five PHA fiscal years immediately following the date on which the 5-Year Plan is due to HUD; and
(2) The Annual Plan (Annual Plan) that the PHA must submit to HUD for each fiscal year immediately following the date on which the Annual Plan is due to HUD and for which the PHA receives:
(i) Section 8 tenant-based assistance (under section 8(o) of the U.S. Housing Act of 1937, 42 U.S.C. 1437f(o)) (tenant-based assistance); or
(ii) Amounts from the public housing operating fund or capital fund (under section 9 of the U.S. Housing Act of 1937 (42 U.S.C. 1437g) (public housing)).
(b) Format. HUD may prescribe the format of submission (including electronic format submission) of the plans. HUD also may prescribe the format of attachments to the plans and documents related to the plan that the PHA does not submit but may be required to make available locally. PHAs will receive appropriate notice of any prescribed format.
(c) Applicability. The requirements of this subpart only apply to a PHA that receives the type of assistance described in paragraph (a) of this section.
(d) Authority for waivers. In addition to the waiver authority provided in § 5.110 of this title, the Secretary may, subject to statutory limitations, waive any provision of this title on a program-wide basis, and delegate this authority in accordance with section 106 of the Department of Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3535(q)) where the Secretary determines that such waiver is necessary for the effective implementation of this part.
(e) 1937 Act. References to the “1937 Act” in this part refer to the U.S. Housing Act of 1937 (42 U.S.C. 1437 et seq.)
(a) 5-Year Plan. (1) The first PHA fiscal year that is covered by the requirements of this part as amended on [date of publication of final rule in the Federal Register], is the PHA fiscal year that begins October, 2000. This 5-Year Plan submitted by a PHA must be submitted for the 5-year period beginning October 1, 2000.
(2) For all PHAs, the first 5-Year Plans are due 75 days before the commencement of their fiscal year.
(3) For all PHAs, after submission of their first 5-Year Plan, all subsequent 5-Year Plans must be submitted once every 5 PHA fiscal years, no later than 75 days before the commencement of the PHA's fiscal year.
(4) PHAs may choose to update their 5-Year Plans every year as good management practice and must update their 5-Year Plans that were submitted for PHA fiscal years beginning before October 1, 2000, to comply with the requirements of this part as amended on [date of publication of final rule in the Federal Register], at the time they submit their next Annual Plan. PHAs must explain any substantial deviation from their 5-Year Plans in their Annual Plans. (Substantial deviation is determined by the PHA in accordance with criteria provided by the PHA in its Annual Plan in accordance with § 903.7(r).)
(b) The Annual Plan. (1) The first PHA fiscal year that is covered by the requirements of this part as amended on [date of publication of final rule in the Federal Register], is the PHA fiscal year that begins October 1, 2000.
(2) For all PHAs, the first Annual Plans are due 75 days before the commencement of their fiscal year.
(3) For all PHAs, after submission of the first Annual Plan, all subsequent Annual Plans will be due no later than 75 days before the commencement of their fiscal year.
(a) A PHA must include in its 5-Year Plan a statement of:
(1) The PHA's mission for serving the needs of low-income, very low-income and extremely low-income families in the PHA's jurisdiction; and
(2) The PHA's goals and objectives that enable the PHA to serve the needs of the families identified in the PHA's Annual Plan. For HUD, the PHA and the public to better measure the success of the PHA in meeting its goals and objectives, the PHA must adopt quantifiable goals and objectives for serving those needs wherever possible.
(b) After submitting its first 5-Year Plan, a PHA in its succeeding 5-Year Plans, must address:
(1) The PHA's mission, goals and objectives for the next 5 years; and
(2) The progress the PHA has made in meeting the goals and objectives described in the PHA's previous 5-Year Plan.
With the exception of the first Annual Plan submitted by a PHA, the Annual Plan must include the information provided in this section. HUD will advise PHAs by separate notice, sufficiently in advance of the first Annual Plan due date, of the information, described in this section that must be part of the first Annual Plan submission, and any additional instructions or directions that may be necessary to prepare and submit the first Annual Plan. The information described in this section applies to both public housing and tenant-based assistance, except where specifically stated otherwise. The information that the PHA must submit for HUD approval under the Annual Plan includes the discretionary policies of the various plan components or elements (for example, rent policies) and not the statutory or regulatory requirements that govern these plan components and that provide no discretion on the part of the PHA in implementation of the requirements. The PHA's Annual Plan must be consistent with the goals and objectives of the PHA's 5-Year Plan.
(a) A statement of housing needs. (1) This statement must address the housing needs of the low-income and very low-income families who reside in the jurisdiction served by the PHA, and other families who are on the public housing and Section 8 tenant-based assistance waiting lists, including:
(i) Families with incomes below 30 percent of area median (extremely low-income families);
(ii) Elderly families and families with disabilities;
(iii) Households of various races and ethnic groups residing in the jurisdiction or on the waiting list.
(2) A PHA must make reasonable efforts to identify the housing needs of each of the groups listed in paragraph (a)(1) of this section based on information provided by the applicable Consolidated Plan, information provided by HUD, and other generally available data. Start Printed Page 20691
(i) The identification of housing needs must address issues of affordability, supply, quality, accessibility, size of units and location.
(ii) The statement of housing needs also must describe the ways in which the PHA intends, to the maximum extent practicable, to address those needs, and the PHA's reasons for choosing its strategy.
(b) A statement of the PHA's deconcentration and other policies that govern eligibility, selection, and admissions. This statement must describe the PHA's policies that govern resident or tenant eligibility, selection and admission. This statement also must describe any PHA admission preferences, and any occupancy policies that pertain to public housing units and housing units assisted under section 8(o) of the 1937 Act, as well as any unit assignment policies for public housing. This statement must include the following information:
(1) Deconcentration Policy. The PHA's deconcentration policy applicable to public housing, as described in § 903.2(a).
(2) Waiting List Procedures. The PHA's procedures for maintaining waiting lists for admission to the PHA's public housing developments. The statement must address any site-based waiting lists, as authorized by section 6(s) of the 1937 Act (42 U.S.C. 1437d(s)), for public housing. Section 6(s) of the 1937 Act permits PHAs to establish a system of site-based waiting lists for public housing that is consistent with all applicable civil rights and fair housing laws and regulations. Notwithstanding any other regulations, a PHA may adopt site-based waiting lists where:
(i) The PHA regularly submits required occupancy data to HUD's Multifamily Tenant Characteristics Systems (MTCS) in an accurate, complete and timely manner;
(ii) The system of site-based waiting lists provides for full disclosure to each applicant of any option available to the applicant in the selection of the development in which to reside, including basic information about available sites (location, occupancy, number and size of accessible units, amenities such as day care, security, transportation and training programs) and an estimate of the period of time the applicant would likely have to wait to be admitted to units of different sizes and types (e.g., regular or accessible) at each site;
(iii) Adoption of site-based waiting lists would not violate any court order or settlement agreement, or be inconsistent with a pending complaint brought by HUD;
(iv) The PHA includes reasonable measures to assure that adoption of site-based waiting lists is consistent with affirmatively furthering fair housing, such as reasonable marketing activities to attract applicants regardless of race or ethnicity;
(v) The PHA provides for review of its site-based waiting list policy to determine if the policy is consistent with civil rights laws and certifications through the following steps:
(A) As part of the submission of the Annual Plan, the PHA shall assess changes in racial, ethnic or disability-related tenant composition at each PHA site that may have occurred during the implementation of the site-based waiting list, based upon MTCS occupancy data that has been confirmed to be complete and accurate by an independent audit (which may be the annual independent audit) or is otherwise satisfactory to HUD;
(B) At least every three years the PHA uses independent testers or other means satisfactory to HUD, to assure that the site-based waiting list is not being implemented in a discriminatory manner, and that no patterns or practices of discrimination exist, and providing the results to HUD;
(C) Taking any steps necessary to remedy the problems surfaced during the review; and (D) Taking the steps necessary to affirmatively further fair housing.
(3) Other admissions policies. The PHA's admission policies that include any other PHA policies that govern eligibility, selection and admissions for the public housing (see part 960 of this title) and tenant-based assistance programs (see part 982, subpart E of this title). (The information requested on site-based waiting lists and deconcentration is applicable only to public housing.)
(c) A statement of financial resources. This statement must address the financial resources that are available to the PHA for the support of Federal public housing and tenant-based assistance programs administered by the PHA during the plan year. The statement must include a listing, by general categories, of the PHA's anticipated resources, such as PHA operating, capital and other anticipated Federal resources available to the PHA, as well as tenant rents and other income available to support public housing or tenant-based assistance. The statement also should include the non-Federal sources of funds supporting each Federal program, and state the planned uses for the resources.
(d) A statement of the PHA's rent determination policies. This statement must describe the PHA's basic discretionary policies that govern rents charged for public housing units, applicable flat rents, and the rental contributions of families receiving tenant-based assistance. For tenant-based assistance, this statement also shall cover any discretionary minimum tenant rents and payment standard policies.
(e) A statement of the PHA's operation and management. (1) This statement must list the PHA's rules, standards, and policies that govern maintenance and management of housing owned, assisted, or operated by the PHA.
(2) The policies listed in this statement must include a description of any measures necessary for the prevention or eradication of pest infestation. Pest infestation includes cockroach infestation.
(3) This statement must include a description of PHA management organization, and a listing of the programs administered by the PHA.
(4) The information requested on a PHA's rules, standards and policies regarding management and maintenance of housing applies only to public housing. The information requested on PHA program management and listing of administered programs applies to public housing and tenant-based assistance.
(f) A statement of the PHA grievance procedures. This statement describes the grievance and informal hearing and review procedures that the PHA makes available to its residents and applicants. These procedures include public housing grievance procedures and tenant-based assistance informal review procedures for applicants and hearing procedures for participants.
(g) A statement of capital improvements needed. With respect to public housing only, this statement describes the capital improvements necessary to ensure long-term physical and social viability of the PHA's public housing developments, including the capital improvements to be undertaken in the year in question and their estimated costs, and any other information required for participation in the Capital Fund. PHAs also are required to include 5-Year Plans covering large capital items.
(h) A statement of any demolition and/or disposition. (1) Plan for Demolition/Disposition. With respect to public housing only, a description of any public housing development, or portion of a public housing development, owned by the PHA for Start Printed Page 20692which the PHA has applied or will apply for demolition and/or disposition approval under section 18 of the 1937 Act (42 U.S.C. 1437p), and the timetable for demolition and/or disposition. The application and approval process for demolition and/or disposition is a separate process. Approval of the PHA Plan does not constitute approval of these activities.
(2) Interim Plan for Demolition/Disposition. (i) Before submission of the first Annual Plan, a PHA may submit an interim PHA Annual Plan solely for demolition/disposition. The interim plan must provide:
(A) The required description of the action to be taken;
(B) A certification of consistency with the Consolidated Plan;
(C) A description of how the plan is consistent with the Consolidated Plan;
(D) A relocation plan that includes the availability of units in the area and adequate funding; and
(E) Confirmation that a public hearing was held on the proposed action and that the resident advisory board was consulted.
(ii) Interim plans for demolition/disposition are subject to PHA Plan procedural requirements in this part (see §§ 903.13, 903.15, 903.17, 903.19, 903.21, 903.23, 903.25), with the following exception. If a resident advisory board has not yet been formed, the PHA may seek a waiver of the requirement to consult with the resident advisory board on the grounds that organizations that adequately represent residents for this purpose were consulted.
(iii) The actual application for demolition or disposition may be submitted at the same time as submission of the interim plan or at a later date.
(i) A statement of the public housing developments designated as housing for elderly families or families with disabilities or elderly families and families with disabilities.
(1) With respect to public housing only, this statement identifies any public housing developments owned, assisted, or operated by the PHA, or any portion of these developments, that:
(i) The PHA has designated for occupancy by:
(A) Only elderly families;
(B) Only families with disabilities; or
(C) Elderly families and families with disabilities; and
(ii) The PHA will apply for designation for occupancy by:
(A) Only elderly families;
(B) Only families with disabilities; or
(C) Elderly families and families with disabilities as provided by section 7 of the 1937 Act (42 U.S.C. 1437e).
(2) The designated housing application and approval process is a separate process. Approval of the PHA Plan does not constitute approval of these activities.
(j) A statement of the conversion of public housing to tenant-based assistance.
(1) This statement describes:
(i) Any building or buildings that the PHA is required to convert to tenant-based assistance under section 33 of the 1937 Act (42 U.S.C. 1437z-5);
(ii) The status of any building or buildings that the PHA may be required to convert to tenant-based assistance under section 202 of the Fiscal Year 1996 HUD Appropriations Act (42 U.S.C. 14371 note); or
(iii) The PHA's plans to voluntarily convert under section 22 of the 1937 Act (42 U.S.C. 1437t).
(2) The statement also must include an analysis of the developments or buildings required to be converted under section 33.
(3) For both voluntary and required conversions, the statement must include the amount of assistance received commencing in Federal Fiscal Year 1999 to be used for rental assistance or other housing assistance in connection with such conversion.
(4) The application and approval processes for required or voluntary conversions are separate approval processes. Approval of the PHA Plan does not constitute approval of these activities.
(5) The information required under this paragraph (j) of this section is applicable to public housing and only that tenant-based assistance which is to be included in the conversion plan.
(k) A statement of homeownership programs administered by the PHA.
(1) This statement describes:
(i) Any homeownership programs administered by the PHA under section 8(y) of the 1937 Act (42 U.S.C. 1437f(y));
(ii) Any homeownership programs administered by the PHA under an approved section 5(h) homeownership program (42 U.S.C. 1437c(h));
(iii) An approved HOPE I program (42 U.S.C. 1437aaa); or
(iv) Any homeownership programs for which the PHA has applied to administer or will apply to administer under section 5(h), the HOPE I program, or section 32 of the 1937 Act (42 U.S.C. 1437z-4).
(2) The application and approval process for homeownership under the programs described in paragraph (k) of this section, with the exception of the section 8(y) homeownership program, are separate processes. Approval of the PHA Plan does not constitute approval of these activities.
(l) A statement of the PHA's community service and self-sufficiency programs. (1) This statement describes:
(i) Any PHA programs relating to services and amenities coordinated, promoted or provided by the PHA for assisted families, including programs provided or offered as a result of the PHA's partnership with other entities;
(ii) Any PHA programs coordinated, promoted or provided by the PHA for the enhancement of the economic and social self-sufficiency of assisted families, including programs provided or offered as a result of the PHA's partnerships with other entities, and activities under section 3 of the Housing and Community Development Act of 1968 and under requirements for the Family Self-Sufficiency Program and others. The description of programs offered shall include the program's size (including required and actual size of the Family Self-Sufficiency program) and means of allocating assistance to households.
(iii) How the PHA will comply with the requirements of section 12 (c) and (d) of the 1937 Act (42 U.S.C. 1437j (c) and (d)). These statutory provisions relate to community service by public housing residents and treatment of income changes in public housing and tenant-based assistance recipients resulting from welfare program requirements. PHAs must address any cooperation agreements, as described in section 12(d)(7) of the 1937 Act (42 U.S.C. 1437j(d)(7)), that the PHA has entered into or plans to enter into.
(2) The information required by paragraph (l) of this section is applicable to both public housing and tenant-based assistance, except that the information regarding the PHA's compliance with the community service requirement applies only to public housing.
(m) A statement of the PHA's safety and crime prevention measures.
(1) With respect to public housing only, this statement describes the PHA's plan for safety and crime prevention to ensure the safety of the public housing residents that it serves. The plan for safety and crime prevention must be established in consultation with the police officer or officers in command of the appropriate precinct or police departments. The plan also must provide, on a development-by-development or jurisdiction wide-basis, the measures necessary to ensure the safety of public housing residents.
(2) The statement regarding the PHA's safety and crime prevention plan must include the following information: Start Printed Page 20693
(i) A description of the need for measures to ensure the safety of public housing residents;
(ii) A description of any crime prevention activities conducted or to be conducted by the PHA; and
(iii) A description of the coordination between the PHA and the appropriate police precincts for carrying out crime prevention measures and activities.
(3) If the PHA expects to receive drug elimination program grant funds, the PHA must submit, in addition to the information required by paragraph (m)(1) of this section, the plan required by HUD's Public Housing Drug Elimination Program regulations (see part 761 of this title).
(4) If HUD determines at any time that the security needs of a public housing development are not being adequately addressed by the PHA's plan, or that the local police precinct is not assisting the PHA with compliance with its crime prevention measures as described in the Annual Plan, HUD may mediate between the PHA and the local precinct to resolve any issues of conflict.
(n) A statement of the PHA's policies and rules regarding ownership of pets in public housing. This statement describes the PHA's policies and requirements pertaining to the ownership of pets in public housing. The policies must be in accordance with section 31 of the 1937 Act (42 U.S.C. 1437a-3).
(o) Civil rights certification. (1) The PHA must certify that it will carry out its plan in conformity with title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-2000d-4), the Fair Housing Act (42 U.S.C. 3601-19), section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), and title II of the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.). The PHA also must certify that it will affirmatively further fair housing.
(2) The certification is applicable to both the 5-Year Plan and the Annual Plan.
(3) A PHA shall be considered in compliance with the certification requirement to affirmatively further fair housing if the PHA fulfills the requirements of § 903.2(b) and:
(i) Examines its programs or proposed programs;
(ii) Identifies any impediments to fair housing choice within those programs;
(iii) Addresses those impediments in a reasonable fashion in view of the resources available;
(iv) Works with local jurisdictions to implement any of the jurisdiction's initiatives to affirmatively further fair housing that require the PHA's involvement; and
(v) Maintains records reflecting these analyses and actions.
(p) Recent results of PHA's fiscal year audit. This statement provides the results of the most recent fiscal year audit of the PHA conducted under section 5(h)(2) of the 1937 Act (42 U.S.C. 1437c(h)).
(q) A statement of asset management. To the extent not covered by other components of the PHA Annual Plan, this statement describes how the PHA will carry out its asset management functions with respect to the PHA's public housing inventory, including how the PHA will plan for long-term operating, capital investment, rehabilitation, modernization, disposition, and other needs for such inventory.
(r) Additional information to be provided. (1) For all Annual Plans following submission of the first Annual Plan, a PHA must include a brief statement of the PHA's progress in meeting the mission and goals described in the 5-Year Plan;
(2) A PHA must identify the basic criteria the PHA will use for determining:
(i) A substantial deviation from its 5-Year Plan; and
(ii) A significant amendment or modification to its 5-Year Plan and Annual Plan.
(3) A PHA must include such other information as HUD may request of PHAs, either on an individual or across-the-board basis. HUD will advise the PHA or PHAs of this additional information through advance notice.
HUD may request that a PHA that is at risk of being designated as troubled or is designated as troubled in accordance with section 6(j)(2) of the 1937 Act (42 U.S.C. 1437d(j)(2)), the Public Housing Management Assessment Program (part 901 of this title) or the Public Housing Assessment System (part 902 of this chapter) include its operating budget. The PHA also must include or reference any applicable memorandum of agreement with HUD or any plan to improve performance, and such other material as HUD may prescribe.
(a) Yes, the following PHAs may submit a streamlined Annual Plan, as described in paragraph (b) of this section:
(1) PHAs that are determined to be high performing PHAs as of the last annual or interim assessment of the PHA before the submission of the 5-Year or Annual Plan;
(2) PHAs with less than 250 public housing units (small PHAs) and that have not been designated as troubled in accordance with section 6(j)(2) of the 1937 Act; and
(3) PHAs that only administer tenant-based assistance and do not own or operate public housing.
(b) All streamlined plans must provide information on how the public may reasonably obtain additional information on the PHA policies contained in the standard Annual Plan, but excluded from their streamlined submissions.
(c) A streamlined plan must include the information provided in this paragraph (c). The Secretary may reduce the information requirements of streamlined Plans further, with adequate notice.
(1) For high performing PHAs, the streamlined Annual Plan must include the information required by § 903.7 (a), (b), (c), (d), (g), (h), (m), (n), (o), (p) and (r). The information required by § 903.7(m) must be included only to the extent this information is required for PHA's participation in the public housing drug elimination program and the PHA anticipates participating in this program in the upcoming year.
(2) For small PHAs that are not designated as troubled or that are not at risk of being designated as troubled under section 6(j)(2) of the 1937 Act the streamlined Annual Plan must include the information required by § 903.7 (a), (b), (c), (d), (g), (h), (k), (m), (n), (o), (p) and (r). The information required by § 903.7(k) must be included only to the extent that the PHA participates in homeownership programs under section 8(y). The information required by § 903.7(m) must be included only to the extent this information is required for the PHA's participation in the public housing drug elimination program and the PHA anticipates participating in this program in the upcoming year.
(3) For PHAs that administer only tenant-based assistance, the streamlined Annual Plan must include the information required by § 903.7 (a), (b), (c), (d), (e), (f), (k), (l), (o), (p) and (r).
(a) A Resident Advisory Board refers to a board or boards, as provided in paragraph (b) of this section, whose membership consists of individuals who adequately reflect and represent the residents assisted by the PHA. Start Printed Page 20694
(1) The role of the Resident Advisory Board (or Resident Advisory Boards) is to assist and make recommendations regarding the development of the PHA plan, and any significant amendment or modification to the PHA plan.
(2) The PHA shall allocate reasonable resources to assure the effective functioning of Resident Advisory Boards. Reasonable resources for the Resident Advisory Boards must provide reasonable means for them to become informed on programs covered by the PHA Plan, to communicate in writing and by telephone with assisted families and hold meetings with those families, and to access information regarding covered programs on the internet, taking into account the size and resources of the PHA.
(b) Each PHA must establish one or more Resident Advisory Boards, as provided in paragraph (b) of this section.
(1) If a jurisdiction-wide resident council exists that complies with the tenant participation regulations in part 964 of this title, the PHA shall appoint the jurisdiction-wide resident council or the council's representatives as the Resident Advisory Board. If the PHA makes such appointment, the members of the jurisdiction-wide resident council or the council's representatives shall be added or another Resident Advisory Board formed to provide for reasonable representation of families receiving tenant-based assistance where such representation is required under paragraph (b)(2) of this section.
(2) If a jurisdiction-wide resident council does not exist but resident councils exist that comply with the tenant participation regulations, the PHA shall appoint such resident councils or their representatives to serve on one or more Resident Advisory Boards. If the PHA makes such appointment, the PHA may require that the resident councils choose a limited number of representatives.
(3) Where the PHA has a tenant-based assistance program of significant size (where tenant-based assistance is 20% or more of assisted households), the PHA shall assure that the Resident Advisory Board (or Boards) has reasonable representation of families receiving tenant-based assistance and that a reasonable process is undertaken to choose this representation.
(4) Where or to the extent that resident councils that comply with the tenant participation regulations do not exist, the PHA shall appoint Resident Advisory Boards or Board members as needed to adequately reflect and represent the interests of residents of such developments; provided that the PHA shall provide reasonable notice to such residents and urge that they form resident councils with the tenant participation regulations.
(c) The PHA must consider the recommendations of the Resident Advisory Board or Boards in preparing the final Annual Plan, and any significant amendment or modification to the Annual Plan, as provided in § 903.21 of this title.
(1) In submitting the final plan to HUD for approval, or any significant amendment or modification to the plan to HUD for approval, the PHA must include a copy of the recommendations made by the Resident Advisory Board or Boards and a description of the manner in which the PHA addressed these recommendations.
(2) Notwithstanding the 75-day limitation on HUD review, in response to a written request from a Resident Advisory Board claiming that the PHA failed to provide adequate notice and opportunity for comment, HUD may make a finding of good cause during the required time period and require the PHA to remedy the failure before final approval of the plan.
(a) The PHA must ensure that the Annual Plan is consistent with any applicable Consolidated Plan for the jurisdiction in which the PHA is located. The Consolidated Plan includes a certification that requires the preparation of an Analysis of Impediments to Fair Housing Choice.
(1) The PHA must submit a certification by the appropriate State or local officials that the Annual Plan is consistent with the Consolidated Plan and include a description of the manner in which the applicable plan contents are consistent with the Consolidated Plans.
(2) For State agencies that are PHAs, the applicable Consolidated Plan is the State Consolidated Plan.
(b) A PHA may request to change its fiscal year to better coordinate its planning with the planning done under the Consolidated Plan process, by the State or local officials, as applicable.
(a) The PHA's board of directors or similar governing body must conduct a public hearing to discuss the PHA plan (either the 5-Year Plan and/or Annual Plan, as applicable) and invite public comment on the plan(s). The hearing must be conducted at a location that is convenient to the residents served by the PHA.
(b) Not later than 45 days before the public hearing is to take place, the PHA must:
(1) Make the proposed PHA plan(s), the required attachments and documents related to the plans, and all information relevant to the public hearing to be conducted, available for inspection by the public at the principal office of the PHA during normal business hours; and
(2) Publish a notice informing the public that the information is available for review and inspection, and that a public hearing will take place on the plan, and the date, time and location of the hearing.
(c) PHAs shall conduct reasonable outreach activities to encourage broad public participation in the PHA plans.
A PHA may adopt its 5-Year Plan or its Annual Plan and submit the plan to HUD for approval only after:
(a) The PHA has conducted the public hearing;
(b) The PHA has considered all public comments received on the plan;
(c) The PHA has made any changes to the plan, based on comments, after consultation with the Resident Advisory Board or other resident organization.
(a) A PHA, after submitting its 5-Year Plan or Annual Plan to HUD, may amend or modify any PHA policy, rule, regulation or other aspect of the plan. If the amendment or modification is a significant amendment or modification, as defined in § 903.7(r)(2), the PHA:
(1) May not adopt the amendment or modification until the PHA has duly called a meeting of its board of directors (or similar governing body) and the meeting, at which the amendment or modification is adopted, is open to the public; and
(2) May not implement the amendment or modification, until notification of the amendment or modification is provided to HUD and approved by HUD in accordance with HUD's plan review procedures, as provided in § 903.23.
(b) Each significant amendment or modification to a plan submitted to HUD is subject to the requirements of §§ 903.13, 903.15, and 903.17.
(a) Review of the plan. When the PHA submits its Annual Plan to HUD, including any significant amendment or Start Printed Page 20695modification to the plan, HUD reviews the plan to determine whether:
(1) The plan provides all the information that is required to be included in the plan;
(2) The plan is consistent with the information and data available to HUD;
(3) The plan is consistent with any applicable Consolidated Plan for the jurisdiction in which the PHA is located; and
(4) The plan is not prohibited or inconsistent with the 1937 Act or any other applicable Federal law.
(b) Disapproval of the plan. (1) HUD may disapprove a PHA plan, in its entirety or with respect to any part, or disapprove any significant amendment or modification to the plan, only if HUD determines that the plan, or one of its components or elements, or any significant amendment or modification to the plan:
(i) Does not provide all the information that is required to be included in the plan;
(ii) Is not consistent with the information and data available to HUD;
(iii) Is not consistent with any applicable Consolidated Plan for the jurisdiction in which the PHA is located; or
(iv) Is not consistent with applicable Federal laws and regulations.
(2) Not later than 75 days after the date on which the PHA submits its plan or significant amendment or modification to the plan, HUD will issue written notice to the PHA if the plan or a significant amendment or modification has been disapproved. The notice that HUD issues to the PHA must state with specificity the reasons for the disapproval. HUD may not state as a reason for disapproval the lack of time to review the plan.
(3) If HUD fails to issue the notice of disapproval on or before the 75th day after the date on which the PHA submits its plan or significant amendment or modification to the plan, HUD shall be considered to have determined that all elements or components of the plan required to be submitted and that were submitted, and to be reviewed by HUD were in compliance with applicable requirements and the plan has been approved.
(4) The provisions of paragraph (b)(3) of this section do not apply to troubled PHAs. The plan of a troubled PHA must be approved or disapproved by HUD through written notice.
(c) Designation of due date as submission date for first plan submissions. For purposes of the 75-day period described in paragraph (b) of this section, the first 5-year and Annual Plans submitted by a PHA will be considered to have been submitted no earlier than the due date as provided in § 903.5.
(d) Public availability of the approved plan. Once a PHA's plan has been approved, a PHA must make the approved plan and the required attachments and documents related to the plan, available for review and inspection, at the principal office of the PHA during normal business hours.
A PHA must comply with the rules, standards and policies established in the plans. To ensure that a PHA is in compliance with all policies, rules, and standards adopted in the plan approved by HUD, HUD shall, as it deems appropriate, respond to any complaint concerning PHA noncompliance with its plan. If HUD should determine that a PHA is not in compliance with its plan, HUD will take whatever action it deems necessary and appropriate.
Dated: March 28, 2000.
Assistant Secretary for Public and Indian Housing.
[FR Doc. 00-9334 Filed 4-14-00; 8:45 am]
BILLING CODE 4210-33-P