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CHAPTER 5. INDICATOR #4. WORK ORDERS

5-1 GENERAL. This indicator examines the adequacy of a PHA\'s

performance with regard to completing maintenance work items

as measured by its work order system. The indicator

evaluates how the PHA controls its active work orders as

well as the timeliness of completion. Any work order active

within the PHMAP assessment year is included regardless of

when it was received or completed. However, only the

calendar days within the current assessment year are

included in the calculation. The example, below, shows all

work orders a PHA shall calculate the number of days for in

its assessment year:

Calculation of Days in Assessment Year for

Active Work Orders

WOs Days

Work orders received in a PHA\'s 1996 FY

and not completed by a PHA\'s 1996 FYE

but are completed by a PHA\'s 1997 FYE 12 38

Work orders received in a PHA\'s 1997 FY

and are completed by a PHA\'s 1997 FYE 457 1534

Work orders received in a PHA\'s 1997 FY

and not completed by a PHA\'s 1997 FYE 8 8

Total number of active work orders and

days to be included in a PHA\'s assess-

ment year: 477 1580

A. Adequacy of a PHA\'s work order system. The adequacy of

a PHA\'s work order system shall be part of the onsite

confirmatory review in terms of:

1\. How a PHA accounts for and controls its work

orders; and

2\. A PHA\'s timeliness in preparing and issuing work

orders.

3\. What is adequate for one PHA may not be adequate

for another PHA. Therefore, work order systems

necessarily differ among PHAS, especially PHAs of

a different size.

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4\. For example, a large PHA (1250+ units) or medium

size PHA (500-1249 units) may have an automated

system that identifies and tracks all facets of

the work order process, including the quality of

the workmanship of repairs made, i.e., the results

of quality control inspections.

a\. The automated system would include

information regarding a quality control

sampling of work orders completed, performed

by supervisory personnel, to determine all

stages of work order accountability, i.e.,

was all information required on the work

order addressed, were the documented repairs

actually made and the quality of the

workmanship, were all items on the work order

form completed, including parts used, the

cost of repairs and parts, were damages

caused by the resident and if so, was the

resident charged for the repairs, are all

required signatures present, etc.

b\. The automated system would also include

information regarding a quality control

sampling of the timeliness of the preparation

and issuance of a work order to ensure the

timely completion of needed repairs, i.e.,

was the work order entered into the automated

system the same day it was received, was the

work order transmitted to the maintenance

staff within 24 hours, was the length of time

to complete the work order reasonable, was

the work order closed out in the automated

system the same day it was completed, etc.

5\. In a second example, a small PHA (100-499 units)

and very small PHA (1-99 units) may have a manual

work order system that includes a formal work

order log that identifies emergency and

non-emergency work orders.

a\. The system may consist of individual

resident/unit files, where all information

regarding work orders and repairs are

contained; or

b\. The system may consist of an index card

tracking system kept in a centrally located

place where all information regarding work

orders and repairs are contained.

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6\. In order to verify the information in either the

automated or manual system, the reviewer should

select a sampling of work orders, and reinspect

the units where the sampling of work orders were

completed, including units where quality control

inspections were conducted.

a\. The reviewer should select half the sampling

from the last week of the assessment year and

half from the week prior to the confirmatory

review. This method will provide a

comparison of the number of repairs required

subsequent to the work orders completed

during the assessment year. The focus should

be only on those items included in the

original work orders.

b\. If a PHA contracts out some repairs and does

other repairs in-house, sample both types of

work orders.

7\. HUD does not mandate the type of system to be used

to track work orders and repairs, but the on-site

confirmatory review should establish if a system

exists that records work order activity and repair

data, and allows for the retrieval of PHMAP

related information.

B. A work order is a directive to a PHA employee or

contractor to perform one or more tasks on a PHA

property. Work orders can be generated because of a

condition noted by a PHA staff member, a request by a

resident for service or a preventive maintenance work

order. Any kind of an order under which maintenance

work is done is considered a work order, i.e., an oral

directive, a letter from the local code enforcement

department, etc. HUD does not prescribe the form to be

used by a PHA to complete its maintenance work.

However, the PHA must utilize a system that accounts

for and controls its work orders and documents the

timeliness in preparing/issuing work orders. In order

to adequately do this, information on the work order

should include:

1\. Type of work order, i.e., emergency/non-emergency

and, if necessary, preventive maintenance,

cyclical, etc;

2\. Description of the type of work to be performed;

3\. Date and time of receipt of request;

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4\. Date and time of issuance to person/entity to

complete work;

5\. Date and time work is completed;

6\. Identification of the parts and the cost of the

parts used to complete the repair for purposes of

inventory control; and

7\. Determination of whether the repair should be

billed to the resident due to resident damage.

C. HUD recognizes that there are several maintenance tasks

for which PHAs generally do not complete work orders.

These tasks include cyclical work, work deferred for

modernization and work necessary to return vacant units

to occupancy. These tasks will be more fully

described, below.

1\. A PHA\'s work order log must, at a minimum,

identify the work order as either an emergency or

non-emergency.

2\. If a work order is generated for all types of

non-emergency work, the PHA\'s work order system

must be further refined so that work orders for

the types of tasks that should not be included for

this indicator can be identified and exempted.

3\. A good work order log is essential to support a

PHA\'s PHMAP certification.

5-2 WORK ORDERS THAT MUST BE TRACKED. Work orders counted in

the assessment year fall in one of the three categories, as

follows:

A. Work orders received in a prior assessment year and

completed in the current assessment year;

B. Work orders received and completed within the current

assessment year; and

C. Work orders received but not completed before the end

of the current assessment year.

D. By including all active time, even if the work order

has not been completed, PHAs will not be penalized for

time from a prior assessment year or rewarded by being

able to exclude open non-emergency work orders that

have not been completed.

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E. The work order universe can be identified for the

assessment year by completing the following exercise:

Average Work Order Completion Time Calculation

Calculation Items Totals

1\. Number of work orders carried forward from

prior FY:

2\. Number of work orders received/completed in

FY being assessed:

3\. Number of work orders received but not completed

in FY being assessed:

4\. Total active work orders (add Lines 1, 2 and

3):

5\. Number of days to complete work orders carried

forward from prior FY:

6\. Number of days to complete work orders received

and completed in FY being assessed:

7\. Number of active days for work orders remaining

open in FY being assessed:

8\. Total completion days (add Lines 5, 6, and 7):

9\. Average completion time (divide Line 8 by Line 4):

5-3 COMPONENT #1, EMERGENCY WORK ORDERS. Indicator #4,

component #1, measures the percentage of emergency work

orders completed-or abated within 24 hours. The calculation

is completed simply by dividing the total number of

emergency work orders completed or abated within 24 hours

during the PHMAP assessment year by the total number of

emergency work orders generated during that PHMAP assessment

year.

A. An emergency work order is issued to correct a

condition that poses an immediate threat to life,

health, safety or property, or related to fire safety.

1\. Examples include, but are not limited to, an

unhealthy or undrinkable water supply, gas leak,

broken/blocked sanitary sewer line, failed heating

system, hazardous electrical system, uninhabitable

unit as a result of a fire, and situations causing

an exposure to asbestos, lead based paint, or

other toxic materials.

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2\. Depending on specific circumstances and the degree

of the problem, a leaking roof, broken window, or

broken stairs/hand rails/stair threads might also

be classified as an emergency.

B. In most cases, the task directed by the emergency work

order can be completed or the hazard can be abated

within a short period of time. sometimes it will be

necessary to obtain additional material or equipment to

complete the work. In these situations, PHAs can

temporarily abate the problem so that it no longer

poses an immediate threat.

1\. For example, a broken window or leaking roof can

be patched or boarded to abate the problem

temporarily. A non-emergency work order would

then be generated to correct a condition which is

no longer considered a threat to health and

safety.

2\. If the emergency work cannot be completed, the

situation can be abated by transferring the

resident away from the emergency situation.

C. Calculation of emergency work orders.

1\. The PHMAP software makes all calculations relating

to this component. Even though the calculation is

automated, the reviewer should still have a

thorough understanding of how these calculations

are made and of the exemptions that may be taken

by the PHA. Changes resulting from an on-site

confirmatory review must be made by the local

State/Area Office after the conclusion of the

on-site confirmatory review by inserting the

revised data into the PHMAP module, in the

appropriate iteration, for automated calculation

and re-scoring.

2\. The calculation of the percentage of emergency

work orders completed or abated within 24 hours is

as follows:

Calculation of the Percentage of Emergency Work Orders

Completed or Abated Within 24 Hours

99 emergency WOs completed/abated within 24 hours = 99%

100 total number of emergency WOs received

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3\. In this example, the PHA would score a grade of A

for this component since it completed or abated at

least 99% of emergency work orders within the

assessed year.

5-4 COMPONENT #2. NON-EMERGENCY WORK ORDERS. Indicator 14,

component #2, non-emergency work orders, measures the

average number of days for a PHA to complete non-emergency

work orders. The first interim PHMAP regulation required

that the performance for indicator 16, outstanding work

orders, be measured with regard to the number of

nonemergency work orders that were outstanding at the end of

the PHA\'s fiscal year. This has been changed by the new

PHMAP interim regulation. This component now measures the

average number of days to complete work orders that were

active during the assessment year.

A. Non-emergency work orders are issued to correct

conditions that do not pose an immediate threat to

life, health, safety or property, or are not related to

fire safety.

B. There are several types of non-emergency work orders

completed by a PHA. Some types should not be included

in the calculation for this component. For this

reason, it is necessary for PHAs to understand and

properly categorize their work orders so that this

PHMAP indicator is reported accurately.

1\. Types of non-emergency work orders which must be

counted.

a\. Response generated work order. These work

orders are issued because a PHA employee

noted a problem or responded to a resident\'s

request for service. Many of these work

orders result from the annual local code/HQS

equivalent inspection. Examples of this type

of work order include, but are not limited

to, repairing/replacing missing screens,

repairing/replacing appliances, recaulking

around bathtubs, changing washers on leaking

faucets, etc.

b\. Preventive maintenance work order. These

work orders are those issued for scheduled

maintenance procedures that are

systematically performed at regular intervals

to prevent premature deterioration of

buildings and systems. They can be generated

as a result of preventive maintenance

inspections, but can also be

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issued as a part of the preventive

maintenance plan. Examples of this type of

work order include, but are not limited to,

changing washers in faucets, servicing the

furnace, etc. PHAs/HUD should make sure they

are not classifying cyclical work orders as

preventive maintenance work orders.

2\. Exempted non-emergency work orders. Most PHAs do

not issue work orders for the types of

nonemergency work listed below. If they do

generate a work order, the PHA\'s work order log

must indicate the type of non-emergency work order

so that these work orders can be readily

identified and exempted from the PHMAP calculation

for component #2.

a\. Cyclical work order. These work orders are

issued for the performance of routine

maintenance items that are done in the same

way at regular intervals. Most of this type

of work is completed in the PHA\'s common

areas. Examples of this type of work order

include, but are not limited to, mopping

hallways, picking up litter; cleaning the

trash compactor, mowing grass, etc. These

are the normal day-to-day activities that

PHAs perform in order to maintain the

operation and appearance of the PHA.

b\. Deferred for modernization work order.

Maintenance work being completed under a

modernization program is not included. This

encompasses any work that is combined with

similar work and scheduled to be completed

within the current or following year if there

are less than three months remaining before

the PHA\'s FYE when the work order was

generated under the PHA\'s modernization

program or other capital improvement program.

This work is included in the modernization

budget or program budget rather than the

PHA\'s operating budget.

c\. Make ready work orders. These work orders

are issued to make a vacant unit ready for

re-occupancy. Examples of this type of work

include, but are not limited to, painting,

cleaning appliances, replacing floor tiles,

patching walls, etc.

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C. Calculation of the average number of days to complete

active non-emergency work orders.

1\. The PHMAP software makes all calculations relating

to this component. Even though the calculation is

automated, the reviewer should still have a

thorough understanding of how these calculations

are made and of the exemptions that may be taken

by the PHA. Changes resulting from an on-site

confirmatory review must be made by the local

State/Area Office after the conclusion of the

on-site confirmatory review by inserting the

revised data into the PHMAP module, in the

appropriate iteration, for automated calculation

and re-scoring.

2\. The average of the number of days to complete

active non-emergency work orders is calculated by

dividing the days the non-emergency work orders

were active by the number of nonemergency work

orders active during the PHMAP assessment year.

Average Number of Days to Complete Active N/E Work Orders

823 days non-emergency work orders were active = 20.07 days

41 active non-emergency work orders

5-5 REDUCTION IN THE PERIOD OF TIME REQUIRED TO COMPLETE

NONEMERGENCY WORK ORDERS DURING THE PRECEDING THREE YEARS.

A. PHAs have the option of reporting on the progress they

have made within the previous three years to reduce the

period of time required to complete nonemergency work

orders.

1\. PHAs do this by comparing the period of time it

took to complete non-emergency work orders in the

current PHMAP assessment year to the period of

time it took to complete non-emergency work orders

in the first year of the three year period, which

includes the assessment year.

2\. For example, if the current assessment year is FY

1997, the first year of the three year period is

FY 1995. The period of time it took to complete

non-emergency work orders in the current

assessment year is subtracted from the period of

time-it took to complete non-emergency work orders

in the assessment period two years earlier.

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Generally, PHAs that have reduced the period of

time it took to complete non-emergency work orders

by at least 5 days within the three year period

will benefit from this calculation.

B. A PHA that elects to use this option must recompute the

period of time it took to complete non-emergency work

orders for the first year of the previous three year

period so that it is consistent with the way of

calculating work orders for the current PHMAP

assessment year. In other words, a PHA cannot compare

the percentage of work orders outstanding for the base

year to the period of time it took to complete

nonemergency work orders for the year currently being

assessed. An example of this calculation based on

information provided by a PHA is as follows:

Reduction in the Period of Time Required to Complete

Non-Emergency Work Orders During the Preceding Three Years

Fiscal Year Days to Complete WOs

FY 1995 59

FY 1997 - 41

Reduction 18

C. In this example, the PHA would receive a grade of C for

this component since it reduced the period of time it

took to complete non-emergency work orders by at least

15 days. This may be an advantage to the PHA. By

using the other criteria, the PHA would have otherwise

received a grade of D for this component.

5-6 ADDITIONAL ADJUSTMENTS.

A. A PHA with at least five percent of its units subject

to either or both of the conditions defined in

subparagraph B, below, shall, if it so chooses, be

issued an adjusted PHMAP score in addition to the

regular score for indicator #4. These additional points

compensate for differences in the difficulty of

managing developments impacted by the physical

condition of the units and/or the neighborhood

environment surrounding the properties. This

additional adjustment must be requested by the PHA on

form HUD-50072.

1\. A PHA that receives the maximum potential weighted

points for this indicator may not claim an

additional adjustment for this indicator.

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2\. Application of these additional adjustments may

not result in a score higher than the maximum

score authorized for this indicator.

3\. If only certain units or developments received

substantial rehabilitation, the additional

adjustment shall be prorated to exclude the units

or developments with substantial rehabilitation.

4\. The Date of Full Availability (DOFA) shall apply

to scattered site units, where the age of the

units and buildings vary, to determine whether the

units have received substantial rehabilitation

within the past ten years and are eligible for an

adjusted score for the physical condition factor.

DOFA also applies when scattered site units are

built under new construction.

5\. Units that fall into this category but have

already been exempted from consideration for any

other reasons shall not be counted again in this

calculation.

D. Definitions for physical condition and neighborhood

environment.

1\. Physical Condition. Units located in developments

that are over ten years old that require major

capital investment in order to meet local code or

minimum HQS standards, whichever is applicable,

can qualify for an additional adjustment. Units

located in developments that have been

comprehensively modernized within the past ten

years cannot be included in the total for this

adjustment.

2\. Neighborhood Environment. Units located in

developments where the immediate surrounding

neighborhood (majority of the census tracts or

census blocks on all sides of the development) has

at least 51 percent of the families with incomes

below the poverty rate, as documented by the

latest census data, qualify for an additional

adjustment.

3\. Additional points, or fraction thereof, may be

added to the score for this indicator. The score

shall be adjusted as shown below:

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Additional Adjustment

Extra

Percent of Total PHA Units Points

At least 5% but less than 10% of all PHA units .5

At least 10% but less than 20% of all PHA units .6

At least 20% but less than 30% of all PHA units .7

At least 30% but less than 40% of all PHA units .8

At least 40% but less than 50% of all PHA units .9

At least 50% of all PHA units 1.0

4\. PHAs shall maintain supporting documentation to

show how they arrived at the number and percentage

of units out of their total inventory that are

subject to the additional adjustment.

C. Calculation for physical condition and neighborhood

environment. The percent of units to which the

additional adjustment applies is computed as the total

number of units for which the physical condition and

neighborhood environment apply, with each unit counted

only once if both conditions apply.

1\. For example, a PHA that achieves less than a grade

A on indicators il, 14 and #5 would calculate the

adjustment for physical condition and neighborhood

environment for indicator 14 as follows:

PHAs that Achieve Less than a Grade A

on Indicators #1, #4 and #5

Number of units that qualify under both physical

condition and neighborhood environment: 10

Number of units that qualify under physical

condition only: + 5

Number of units that qualify under neighborhood

environment only: + 5

Total eligible units: 20

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2\. If this were a 100 unit PHA in the above example

that otherwise had not exempted these units for

any other reason, .7 percentage points would be

added to the score for this indicator.

3\. There is a connection between indicator #1,

vacancy rate and unit turnaround time, indicator

#4, work orders, and indicator #5, annual

inspection of units and systems. A PHA that

obtains a grade of A for indicator #4 and/or

indicator #5, MAY NOT claim an additional

adjustment for indicator #1 based on the physical

condition of its developments, but MAY claim an

additional adjustment for indicator #1 based on

neighborhood environment.

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