**Capital Fund Data Certification**

**Step by Step Instruction Guide**

**January 22, 2009 version**

**Table of Contents**

# 

[Basic Navigation: 2](#basic-navigation)

[General Information -- Capital Fund Data Certification pages:
5](#general-information-capital-fund-data-certification-pages)

[Step 1: Is the List of developments Complete and Accurate?
6](#step-1-is-the-list-of-developments-complete-and-accurate)

[Step 2: Is the Data for each Development Accurate?
9](#step-2-is-the-data-for-each-development-accurate)

[Step 3: Correcting Inaccurate Data:
17](#step-3-correcting-inaccurate-data)

[Step 4: Validating 1999 Information:
22](#step-4-validating-1999-information)

[Step 5A: Certifying the Accuracy of a Development's Data:
23](#step-5a-certifying-the-accuracy-of-a-developments-data)

[Step 5B: Rejecting Certification of a Development's Data:
26](#step-5b-rejecting-certification-of-a-developments-data)

[Changing Certification Status of a Development:
30](#changing-certification-status-of-a-development)

[Step 6: Submitting the PHA's certification:
31](#step-6-submitting-the-phas-certification)

[Assigning Capital Fund Data Certification Roles to PHA Staff
32](#assigning-capital-fund-data-certification-roles-to-pha-staff)

[Common and Potential Errors 33](#common-and-potential-errors)

# [Basic Navigation:]{.underline}

In order to access the Capital Fund Data Certification pages in the
Public and Indian Housing Information Center Inventory Management System
(PIC/IMS) system, follow the usual procedure to log into the PIC/IMS
system.[^1] On the main menu page for PIC/IMS, select the "Development"
link under "Housing Inventory" (see screen shot below).

![](media/image1.png){width="6.090277777777778in"
height="6.746527777777778in"}

Once you have navigated to the Development sub-module within the Housing
Inventory module you will see the following page displayed. Click on the
CAPFUND B&U Certification tab on the right hand side at the top of the
page (see screen shot below).

![](media/image2.png){width="6.495833333333334in"
height="8.119444444444444in"}

Once you have clicked on the tab, the system will display the Capital
Fund Building and Unit Data Certification tab page (see screen shot
below):

![](media/image3.png){width="6.495833333333334in"
height="8.119444444444444in"}

# [General Information -- Capital Fund Data Certification pages:]{.underline}

The data certification process proceeds as follows:

1.  PHA reviews the data for inaccuracies.

2.  PHA corrects any data inaccuracies which it is able to correct.

3.  PHA certifies all of the developments that have accurate data.

4.  If the data is inaccurate and the PHA cannot correct the data, PHA
    provides a Help Ticket number which reports the data inaccuracy for
    correction by HUD and marks the developments in which it cannot
    correct inaccurate PIC/IMS data as "rejected." [Note: The help
    ticket must include all of the information and justification needed
    to correct the data inaccuracies.]{.underline} Failure to include
    all of the required information may jeopardize the funding for the
    development in question.

5.  Once the Data Certification tab page accurately displays all of the
    PHA's developments and they have been either marked "certified" or
    "rejected," the PHA submits the certification.

**Please note that the Capital Fund Data Certification pages (the
Capital Fund Building and Unit Data Certification tab page and the
hyperlinked Development Details page) in PIC/IMS display the state of a
PHA's inventory [as of]{.underline} the "reporting date" established by
the Office of Public and Indian Housing (PIH). PIH normally sets the
"reporting date" at September 30 of the previous Federal Fiscal Year
(e.g. 9/30/2008).**

The Data Certification pages display data that is stored elsewhere in
PIC/IMS, usually under either the "Development" and "Inventory Removals"
sub modules of the "Housing Inventory" module. PHAs cannot correct
erroneous information on the Capital Fund Data Certification pages
themselves. PHAs must navigate to the location where PIC/IMS stores the
source information that the Data Certification pages display in order to
make corrections to erroneous data. Note also, that HUD Field Office
staff may have to review and approve changes for them to take effect.
[Also note that once data is changed or corrected in PIC/IMS outside of
the Data Certification pages, there will be a one day lag from the time
the correction is finalized before the Capital Fund Data Certification
pages are updated and display the corrected data.]{.underline}

Users have to be assigned the appropriate access rights to access the
Capital Fund Data Certification pages. If pages do not properly display
(similar to the screen shots presented in this step by step guide) or
you are not given the ability to enter data, it may be that your
security administrator has not assigned you the proper roles to access
the system. See the *Assigning Capital Fund Data Certification Roles*
section below for information on assigning roles for the Capital Fund
Data Certification pages.

# [Step 1: Is the List of developments Complete and Accurate?]{.underline}

Toward the bottom of Capital Fund Building and Unit Data Certification
tab page, the system will list all of the developments in the PHA's
inventory that will be included in the Capital Fund formula. Depending
on the number of developments in a PHAs inventory, the list of
developments may not fit on a single screen, in which case scroll down
to the bottom of the screen to see more developments[^2] (see screen
shot below).

![](media/image3.png){width="6.495833333333334in"
height="7.239583333333333in"}

The first thing that a PHA should check is whether the list of
developments is complete and accurate. If a PHA has added a new
development that has reached Date of Full Availability (DOFA) prior to
the "reporting date," and the development is not displayed in the list,
navigate to the Development Profile page for the missing development and
validate that the *DOFA Date Actual* data element has the correct DOFA
date listed. If it does not, work with your local PIH Field Office staff
to correct or approve the DOFA date (DOFA dates are not effective until
approved by appropriate Field Office staff). If a development reaches
DOFA after the reporting date, it will not be displayed in the list of
developments (if it does, then the DOFA date is wrong because the system
will filter out DOFA dates after the reporting date). If the list
includes a development that reached DOFA after the reporting date,
follow the same course of action to correct the DOFA date. The PIC/IMS
system lists DOFA dates in the Development sub module under the Housing
Inventory module on the "Development" tab.

PHAs should also double check that the PIC system has properly
calculated changes in DOFA dates whenever a PHA reassigns buildings from
one development to another.[^3] The PIC/IMS system recalculates a
development's DOFA date whenever it reassigns a building from one
development to another based on a PHA's request. In such instances the
PIC/IMS system generates a weighted average DOFA date based on the DOFA
dates associated with each building assigned to the development. This
guide provides an example of a weighted average DOFA date calculation on
the next page.

Example of a weighted average DOFA calculation

1.  Assume a PHA has developments A, B and C (developments NY005074,
    NY005103 and NY005189 in table below) that are being merged into a
    new development D (development NY005011630P in the table below).
    Also assume all of the buildings within A, B and C have always been
    assigned to A, B and C respectively since they first became public
    housing.

2.  The system has assigned a DOFA date to each of the buildings within
    each development based on when the development was first available
    for occupancy as public housing.

3.  Establish a base date in the past (Jan 1, 1900 usually works) to
    calculate the number of days between the base date and each DOFA
    date for each building within each development.

4.  For each building, multiply the number of units in that building
    with the difference in days calculated in Step 3 above.

5.  Add the results of calculations from Step 4. (This will give you
    total "unit-days").

6.  Sum the total number of units that are being merged into the new
    development D.

7.  Divide the result of Step 5 (total unit-days) with result of Step 5
    (total units). The resultant number of days needs to be added to Jan
    1, 1900 to get the new weighted average DOFA date for new
    development D.

  ------------------ ------------- ---------------- ------------ -------------- ---------- ----------------
  **New Development  **Old         **DOFA Date**    **DOFA Days  **Building**   **\#       **Unit-Days**
  Number**           Development                    from                        Units**    
                     Number**                       1/1/1900**                             

  NY005011630P       NY005074      12/31/1966       24470        163001[^4]     175        4,282,250

                                                                 163002         174        4,257,780

                                                                 163003         180        4,404,600

                     NY005103      8/31/1972        26540        196001         87         2,308,980

                                                                 196001         113        2,999,020

                     NY005189      4/30/1976        27878        256001         300        8,363,400

                                                                 **Total**      **1029**   **26,616,030**

                                   **Weighted       **DOFA Days                            
                                   Average DOFA**   from                                   
                                                    1/1/1900**                             

  NY005011630P[^5]   N/A           **10/27/1970**   25865.9184                             
  ------------------ ------------- ---------------- ------------ -------------- ---------- ----------------

# [Step 2: Is the Data for each Development Accurate?]{.underline}

Each development number listed on the Capital Fund Building and Unit
Data Certification tab page is a **hyperlink**. Click on the desired
development number link to bring up the Development Details page for
that development (see screen shot below).

![](media/image3.png){width="6.495833333333334in"
height="7.239583333333333in"}

Below is a screen shot of the Development Details page that will appear
after you click on the development number link (see screen shot below):

![](media/image4.png){width="6.495833333333334in"
height="7.879861111111111in"}

The Development Details page contains the essential data related to the
development that the Department uses to calculate the Capital Fund
formula:

[Standing units]{.underline} -- standing units are the number of ACC
units in the development as of the "reporting date" that have not been
removed from the inventory of the development. The standing unit count
excludes non-ACC units.

[Removed units]{.underline} -- removed units are units in the
development that have been removed from the inventory with an approved
action date/closing date for the removal that is on or before the
"reporting date."

[Non ACC Units]{.underline} -- non-ACC units are units that are not
included under the public housing annual contributions contract between
HUD and the PHA. Usually these units are market rate or non public
housing units in mixed finance developments. (Note that
demolished/disposed units are still ACC units even though they are no
longer in the inventory -- they retain the status that they had when
they were removed from the inventory.) **[Units that are marked as
non-ACC units, will not be included in the Capital Fund
formula.]{.underline}**

[Non-Dwelling Units]{.underline} -- non-dwelling units include dwelling
units that are marked as "exception" units. Non-dwelling units do not
include non-dwelling buildings in the development.

[Elderly Units]{.underline} -- the number of units designated with the
unit designation of elderly unit in the Development sub module.

[Family Units]{.underline} -- the number of units designated with the
unit designation of family unit in the Development sub module.

[Standing Unit Bedroom Count]{.underline} -- the total number of
bedrooms in the standing units.

[Removed Unit Bedroom Count]{.underline} -- the total number of bedrooms
that were in the removed units prior to their removal.

**[An error in any of the above data elements will affect the
calculation of the Capital Fund formula.]{.underline}**

Please note that PHAs must not only check that the number of units
removed is correct, but also that the [effective date for units removed
is accurate]{.underline}. The Capital Fund formula calculates
Replacement Housing Factor funding based on the removal dates.

There are three navigation links that take the user to different PIC/IMS
pages for the development. They display the source data used to display
the data on the Development Details page to facilitate further
investigation of the source data. The navigation links are located on
the dark blue navigation bar underneath the tabs at the top of the page
(see items circled in red in the screen shot below).

![](media/image5.png){width="6.495833333333334in"
height="8.119444444444444in"}

The "building list" link will take the user to a list of the buildings
within the development (similar to the list available by clicking on the
"Building" tab on the main navigation page of the Development sub
module - see screen shot below).

![](media/image6.png){width="6.495833333333334in"
height="8.119444444444444in"}

The "unit list" link will take the user to a list of the units within
the development (similar to the list available by clicking on the "Unit"
tab on the main navigation page of the Development sub module - see
screen shot below).

![](media/image7.png){width="6.495833333333334in"
height="8.119444444444444in"}

The "RMI Units" link will take the user to a list of approved
demolition/disposition applications for the development (similar to the
list available by clicking on the "Removed from Inventory" tab on the
main navigation page of the "Inventory Removals" sub module - see screen
shot below).

![](media/image8.png){width="6.495833333333334in"
height="8.119444444444444in"}

Notice that there is a + sign in the left hand box of the table.
Clicking on the + sign will provide more detail (see screen shot below).
In this instance you can see that units were removed on different dates.

![](media/image9.png){width="6.495833333333334in"
height="8.119444444444444in"}

# [Step 3: Correcting Inaccurate Data:]{.underline}

If the data displayed on the Development Details page for a development
is incorrect, a PHA must take steps to correct the inaccurate data prior
to certifying to the accuracy of the data for that development on the
Capital Fund Building and Unit Data Certification tab page. In this
situation a PHA would follow the normal procedures for changing the
source data in PIC/IMS. Some corrections will require coordination with
Field Office staff to ensure that any corrections that require Field
Office approval prior to taking effect are approved prior to certifying
to the accuracy of the data. Some corrections require Field Office staff
to make the corrections on a PHA's behalf (particularly corrections
relating to development level data such as DOFA dates). Any changes in
source data will be reflected in the PIC/IMS Data Certification pages
[the day after they are finalized]{.underline}. Once the data is
correct, a PHA can then mark the development as "certified" on the
Capital Fund Building and Unit Data Certification tab page (see Step 5A
Certifying the Accuracy of a Development's Data section below).

In rare instances, PHAs may encounter errors that cannot be corrected by
either the PHA or Field Office staff because of the way the PIC/IMS
system operates. In those instances, PHAs are to submit a request to the
Real Estate Assessment Center Technical Assistance Center (TAC) help
desk. In such instances PHA staff can either:

1.  send an email describing the issue (include staff member name, phone
    number, housing authority number and field office name where
    applicable) to <REAC_TAC@hud.gov> or

2.  telephone the TAC at 1-888-245-4860 between 7:00am and 8:30pm
    Eastern time on business days.

> The TAC will assign a ticket number to track the issue to resolution.
> (The ticket number will be a five digit number preceded by "IM.") If
> the issue is resolved sufficiently before the deadline for certifying,
> the PHA should take the necessary steps to correct the remaining
> inaccurate data and certify that the data for the development is
> accurate.

If the issue is not resolved prior to the deadline for certification or
there is insufficient time to make the correction after the issue is
resolved but before the certification deadline, the affected PHA is to
"reject" certification for the development (see Step 5B Rejecting
Certification of a Development's Data section below). In order to
"reject" a certification for a development, a PHA must provide certain
data on the Development Details page for the development.

As mentioned earlier, in this situation the TAC will assign a Help
Ticket number to the PHA. The PHA must enter the Help Ticket number into
the space provided on the Development Details web page. The PHA must
also provide a comment in the space provided that indicates what data
element(s) is/are wrong, what the correct data is and why it cannot
correct the data through the normal procedure (see screen shot below).

![](media/image10.png){width="6.495833333333334in"
height="8.119444444444444in"}

Once the PHA has entered the Help ticket number and comment, it must
click the "save" button in lower right hand corner of the page (see
screen shot below). (Note that a PHA can enter multiple PICHelp ticket
numbers if applicable as long as they are separated by commas.)

![](media/image10.png){width="6.495833333333334in"
height="8.119444444444444in"}

Notice that the page indicates that it has been saved (see screen shot
below):

![](media/image11.png){width="6.495833333333334in"
height="8.119444444444444in"}

The Capital Fund Building and Unit Data Certification tab page now
displays a PIC Help ticket number for the corresponding development (see
screen shot below):

![](media/image12.png){width="6.495833333333334in"
height="8.119444444444444in"}

# [Step 4: Validating 1999 Information:]{.underline}

In 2007 and 2008, the Department required PHAs to review 1999 data used
to calculate the Capital Fund formula. PHAs are no longer required to
review 1999 data (see screen shot below).[^6]

![](media/image13.png){width="6.388888888888889in"
height="7.3597222222222225in"}

# [Step 5A: Certifying the Accuracy of a Development's Data:]{.underline}

Once a PHA has established that the data for a development is accurate,
it will then navigate to the Capital Fund Building and Unit Data
Certification tab page and scroll to the point where the system displays
the development number for the validated development.

![](media/image14.png){width="6.495833333333334in"
height="8.119444444444444in"}

The user will then 1) click the check box for the development to the
right of the certification status column, and then 2) click the
"certify" button at the bottom right of the page (see screen shot
below).

![](media/image15.png){width="6.495833333333334in"
height="8.119444444444444in"}

The Capital Fund Building and Unit Data Certification tab page will then
mark the development as "certified" (see screen shot below).

![](media/image16.png){width="6.495833333333334in"
height="8.119444444444444in"}

# [Step 5B: Rejecting Certification of a Development's Data:]{.underline}

Once a PHA has established that the data for a development is not
accurate and that it cannot be made accurate because of a problem with
the PIC/IMS system, it will follow a procedure for marking the
development "rejected" that is similar to the procedure for marking a
development "certified." It will navigate to the Capital Fund Building
and Unit Data Certification tab page and scroll to the point where the
system displays the development number for the development that contains
data that cannot be made accurate due to a system problem (see screen
shot below).

![](media/image17.png){width="6.495833333333334in"
height="7.746527777777778in"}

Note that the system displays a PIC/IMS Ticket number on the Capital
Fund Building and Unit Data Certification tab page for any developments
where the user has entered and saved a ticket number and comment on the
Development Details page for the development.

The user will then 1) click the check box for the development to the
right of the certification status column, and then 2) click the "reject"
button at the bottom right of the page (see screen shot below).

![](media/image18.png){width="6.495833333333334in" height="8.0in"}

The Capital Fund Building and Unit Data Certification tab page will then
mark the development as "rejected" (see screen shot below).

![](media/image19.png){width="6.495833333333334in"
height="8.119444444444444in"}

# [Changing Certification Status of a Development:]{.underline}

Prior to submitting a Capital Fund data certification, a user can change
the status of a development from "certified" to "rejected" or vice versa
if he/she either set the wrong status or circumstances have changed and
the status is no longer valid. To change the status, the user should
follow the instructions for the status that should be applied to the
development (either "certified" or "rejected"). The new status will
override the old status. Note, if changing status from "rejected" to
"certified," the help ticket number and comment remain in the system;
however, the Department will disregard them because the development's
status will be "certified." A user can also reset the status to blank by
checking the box next to the development and then clicking the "Reset
Development Status" button next to the "certify" and "reject" buttons at
the bottom of the screen (see screen shot below).

![](media/image20.png){width="6.495833333333334in" height="7.0in"}

# [Step 6: Submitting the PHA's certification:]{.underline}

Once users have set the status of every development in the PHA's
inventory (either "certified" or "rejected") the PHA is ready to submit
the certification to the Department. It submits the certification by
clicking on the "submit" button in the lower right hand corner of the
Capital Fund Building and Unit Data Certification tab page (see screen
shot below). Once the "Submit" button has been clicked, the PHA can make
no more changes to the submission.

# 

# ![](media/image21.png){width="6.495833333333334in" height="7.8in"} 

# [Assigning Capital Fund Data Certification Roles to PHA Staff]{.underline}

If there is a problem accessing the Capital Fund Data Certification
pages, PHA staff responsible for carrying out the certification process
need to contact their PHA's PIC/IMS security administrator and request
the assignment of the proper roles. Security Administrators assign roles
in the Security tab of the Security Administration sub module of the
PIC/IMS Maintenance module. Security administrators need to assign the
"Edit Development" role to users that are entering data on the Capital
Fund Data Certification pages. Security administrators need to assign
the "Submit Development" role to users that are submitting the
certification data to HUD. Only Executive Directors are intended to
receive the "Submit Development" role.

Executive Directors can delegate the responsibility for submitting
Capital Fund Data Certifications to subordinate staff by assigning them
the "Submit Development" role. PHA PIC/IMS Security Administrators can
assign the Submit role to other users if the PHA Executive Director
delegates to a subordinate staff member (in writing) the responsibility
to submit Capital Fund data certifications on behalf of the PHA. The
Security Administrator selects the user, then clicks "Assign Role." The
Security Administrator selects the role name in the drop-down box, then
clicks "Save" to complete the assignment. (See screen shot below).

![](media/image22.png){width="6.492361111111111in"
height="5.284722222222222in"}

# [Common and Potential Errors]{.underline}

**In reviewing their data, PHAs should consider the following:**

-   Has the Field Office approved all of the data that the PHA has
    submitted for approval in PIC? (Note that data entered in PIC but
    not yet approved will not be displayed on the Data Certification
    page or its subsidiary Development Details page.) In calculating the
    Capital Fund formula, the Department will only use finalized data;
    therefore, data that is submitted by a PHA but not finalized in the
    system because it is awaiting Field Office action will be
    disregarded in the calculation.

***Data Certification Page***

-   Does the Data Certification page list all of the developments that
    it should? PHAs should validate that new developments that achieved
    DOFA on or before the "reporting date" (e.g. 9/30/2008) are included
    in the list displayed on the Capital Fund Building and Unit Data
    Certification tab page. Likewise PHAs should validate that any
    developments that left the inventory (e.g., through demolition,
    disposition) in prior years (before 2006) but still had standing
    units in 1997 are also on the list[^7]. The Department will not
    factor developments omitted from the Data Certification page list in
    the Capital Fund formula calculation.

***Development Details Page***

-   Not only does the Development Details page display the proper number
    of units removed from the inventory (RMI) as of the "reporting
    date," but also, does PIC reflect accurately when the units were
    removed? If the RMI date is inaccurate, the Department will start
    Replacement Housing Factor grant funding either sooner or later than
    it should in calculating the formula.

-   Is the correct number of units displayed as non-ACC (non-Annual
    Contributions Contract) units? Units that are not subject to the
    Department's public housing ACC with the PHA should be listed as
    non-ACC units. (An example of this situation would be non-public
    housing units in a mixed finance development.) Units that are
    deprogrammed or are in the process of being removed from the
    inventory (e.g., through demolition or disposition) continue to be
    ACC units. The Department does not include non-ACC units in the
    Capital Fund formula calculation because they are ineligible to be
    included in the formula.

[^1]: From a computer with access to the Internet type the following
    address into an Internet Browser program (such as Internet Explorer)
    <http://hudatwork.hud.gov/po/reac/home/accessreac.cfm>. Click on the
    "*Log in"* link. Type in your User ID and Password. Click "OK" to
    log in to a secure website. Indicate that you agree to follow the
    rules for system access by clicking "accept" on the following page
    that displays. The next page will display a list of computer systems
    that support the Office of Public and Indian Housing, click on the
    PIH Information Center (PIC) link.

[^2]: Note: if a PHA has a large number of developments, it may have to
    navigate to multiple pages to see the complete list of developments.
    It can see other pages by clicking on the page number hyperlink in
    the lower right hand corner of the page.

[^3]: In April of 2008, the Department implemented a new development
    numbering system within the PIC/IMS system in order to mirror the
    same building to development assignments that PHAs had implemented
    for Asset Management Projects (AMPs). In certain circumstances PHAs
    can continue to request reassignment of buildings from one
    development to another subject to HUD approval.

[^4]: DOFA Days (24, 470) = Number of days between 12/31/1966 and
    01/01/1900

    Unit-Days (4,282,250) = Number of Units(175) X DOFA Days (24,470)

[^5]: DOFA Days (25865.9) = Total Number of Unit-Days (26,616,030)/
    Total Number of Units (1029)

    DOFA Date (10/26/1970) = 25865 days after 01/01/1900

[^6]: The 1999 data is historical and therefore does not change from
    year to year. At this point, the Department believes that it has
    made all of the corrections to the 1999 data that should be required
    based on the information PHAs provided during the 2007 and 2008
    certification processes and therefore is no longer requesting
    validation. PHAs can see how the Department handled requested
    changes to 1999 data by viewing the HQ comments section of the
    Developments Details web pages for the 2007 and 2008 certification.

[^7]: Units removed from the inventory in 1997 and prior years are not
    eligible for funding under the formula.