7460.5

CHAPTER 8. PHA APPEAL PROCESS

8-1 OBJECTIVE. The objective of this Chapter is to provide instruction

regarding the PHA appeal process.

8-2 PHA RESPONSIBILITY.

A. A PHA has the statutory right to:

1\. Appeal troubled and mod-troubled designation to the Field

Office for Field Office recommendation and Regional Office

determination; (6)(j)(2)(A)(iii) of the Act and 24 CFR

901.130(a)

2\. Petition for the removal of troubled and mod-troubled

designation to the Field Office for Field Office

recommendation and Regional Office determination; and

(6)(j)(2)(A)(iii) of the Act and 24 CFR § 901.130(a)

and 901.142(a)

3\. Appeal any refusal to remove troubled or mod-troubled

designation to the Assistant Secretary. (6)(j)(2)(A)

\(iii\) of the Act and 24 CFR 901.130(d) and 901.142(b)

B. A PHA may appeal:

1\. Its management assessment rating on the basis of data

errors, or high ), unusual circumstances that occurred after

a PHA submitted its certification and request for

modifications and exclusions; or 24 CFR 901.130(a)

2\. The Regional Administrator\'s failure to consider physical

condition and neighborhood environment of its developments

in the designation of a PHA\'s status; or 24 CFR

901.130(a)

3\. The denial of exclusion or modification requests when their

denial affects a PHA\'s total weighted score. 24 CFR

901.130(a)

4\. A PHA may appeal its management assessment rating only for

the reasons stated in paragraphs 8-2B1, B2 and B3, above,

and only if the PHA can produce new documentation not

previously submitted at the time it submitted its

certification and request for modifications and exclusions.

24 CFR 901.130(a)(1)

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7460.5

Chapter 8, paragraph 8-2B (continued)

5\. The appeal shall be submitted to the Field Office in

accordance with paragraph 8-3A, below, and shall include

supporting documentary justification of the reasons for the

appeal (refer to Chapter 7, paragraph 7-5, of this Handbook,

for examples of supporting documentary justification). 24

CFR 901.130(a)(3)

6\. Appeals submitted without appropriate documentation will not

be considered and will be returned to the PHA. 24 CFR

901.130(a) (7)

7\. If a PHA is appealing on more than one basis (e.g., the

Regional Administrator\'s failure to consider physical

condition and neighborhood environment of its developments

in the designation of a PHA\'s status, its management

assessment rating on the basis of data errors and its

designation as standard) all appeals shall be submitted in

accordance with paragraph 8-3A, below.

C. A PHA may appeal a determination of intentional false

certification. 24 CFR 901.130(b)

1\. The appeal shall be submitted to the Field Office in

accordance with paragraph 8-3A, below, and shall include

supporting documentary justification of the reasons for the

appeal (refer to Chapter 7, paragraph 7-5, of this Handbook,

for examples of of supporting documentary justification).

24 CFR 901.130(a)(3)

2\. Appeals submitted without appropriate documentation will not

be considered and will be returned to the PHA. 24 CFR

901.130(a) (7)

3\. A PHA shall appeal the imposition of sanctions in accordance

with 24 CFR 24.

D. A PHA may appeal a rescission of high performer designation. 24

CFR 901.130(a)(6)

1\. The appeal shall be submitted to the Assistant Secretary and

shall include supporting documentary justification of the

reasons for the appeal (refer to Chapter 7, paragraph 7-5,

of this Handbook, for examples of supporting documentary

justification). 24 CFR 901.130 (a) (6)

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7460.5

Chapter 8, paragraph 8-2D (continued)

2\. Appeals submitted without appropriate documentation will not

be considered and will be returned to the PHA. 24 CFR

901.130(c) (1)

E. A PHA may appeal the denial of an initial appeal by the Regional

Administrator, which includes the denial of high performer

designation, the rescission of high performer designation, its

designation as standard, troubled or mod-troubled, and the denial

of an appeal of a determination of intentional false

certification. 24 CFR 901.130(c)

1\. In cases where an appeal is denied by the Regional

Administrator, the PHA may appeal to the Assistant

Secretary, with new supporting documentary justification not

previously submitted to the Field Office, of the PHA\'s

reason(s) for the appeal. 24 CFR 901.130(c)(1)

2\. Appeals submitted without appropriate documentation will not

be considered and will be returned to the PHA. 24 CFR

901.130 (c) (2)

F. A PHA must demonstrate that a successful appeal will have a

significant impact on its score (e.g., at least a 5% point

increase) or its performance standing (e.g., it will remove a PHA

from troubled or mod-troubled designation, or move a PHA into

high performer status). 24 CFR 901.130(a)(2)

1\. If a PHA appeals on the basis of incorrect data, the PHA

must document the corrections, demonstrate the impact of

these corrections on its score and supply reasons for the

error.

2\. If a PHA appeals on the basis of incorrect calculations, the

PHA must clearly document the calculation errors,

demonstrate the impact of these corrections on its score and

provide corrected calculations.

3\. If a PHA appeals on the basis of highly unusual

circumstances that were discovered after a PHA submitted its

certification and request for exclusions and modifications,

the PHA must demonstrate the impact of these unusual

circumstances on its score, state why the unusual

circumstances could not be discovered sooner and submit a

request for exclusions or modifications, with supporting

justifying documentation.

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7460.5

Chapter 8, paragraph 8-2F (continued)

4\. An appeal on the basis of the Regional Administrator\'s

failure to consider physical condition and/or neighborhood

environment of a PHA\'s developments must demonstrate the

presence of these factors and their direct and substantial

impact on the management of the affected PHA.

G. Whenever possible, a PHA should consider transmitting appeals via

priority mail to expedite the process and to ensure receipt of

the appeal.

8-3 FIELD OFFICE RESPONSIBILITY.

A. The date and place by which any appeal must be submitted shall be

specified in the notification letter from the Field Office

notifying the PHA of any determination made or action taken. 24

CFR 901.130(e)

1\. The date specified shall be the 15th calendar day after the

letter is mailed, not counting the day the letter is mailed.

24 CFR 901.130 (e)

2\. If the 15th calendar day falls on a weekend or holiday, the

date specified will be the next day that is not on a weekend

or a holiday. 24 CFR 901.130(e)

3\. Any appeal not received by the specified time and place will

not be considered. 24 CFR 901.130(e)

B. The Field Office shall make recommendations on petitions to

remove troubled or mod-troubled designation to the Regional

Administrator. 24 CFR 901.120(d)

C. The Field Office shall review the issues presented in an appeal

and forward its recommendation for their resolution to the

Regional Administrator. 24 CFR 901.120(d) and

901.130(a)(4)

D. The Field Office shall forward its recommendation to the Regional

Administrator and the Regional Administrator shall make

determinations of all initial appeals within 30 calendar days.

24 CFR 901.130(f)

E. The Field Office shall notify the local appointing officials of a

PHA\'s Board of Commissioners and State officials of a PHA\'s

status after an appeal

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7460.5

Chapter 8, paragraph 8-3E (continued)

decision has been made by the Regional Office, and after the PHA

and Field Office have been notified of the Regional Office\'s

appeal decision.

1\. The local community, residents, and the local and State

officials should know whether or not a PHA is performing in

a capacity to preserve and protect its public housing

developments and operate them in accordance with Federal law

and regulations.

2\. Elected officials, in particular, as representatives of the

public, should be aware of the status of PHAs within their

jurisdictions.

3\. Notifications of these parties shall not occur until after

any appeals have been determined.

F. The Field Office shall maintain PHMAP files, including appeals

and designations based on physical condition and/or neighborhood

environment of a PHA\'s developments, as open records, available

for public inspection for three years in accordance with any

procedures established by the Field Office to minimize disruption

of normal office operations. 24 CFR 901.120(f) and 901.155

1\. The Field Office\'s recommendation shall be part of the open

record of the appeal. 24 CFR 901-155

2\. The Regional Administrator\'s decision shall be part of the

open record of the appeal. 24 CFR 901.155

8-4 REGIONAL OFFICE RESPONSIBILITY.

A. The Regional Administrator shall make determinations of all

initial appeals, including those based on a failure to consider

physical condition and/or neighborhood environment of a PHA\'s

developments in the designation of a PHA\'s status. 24 CFR

901.130(a)(5)

B. The Regional Administrator shall transmit the determination of a

PHA\'s appeal to the PHA within 30 calendar days after the PHA\'s

appeal is mailed, not counting the day the PHA\'s appeal is

mailed, in a notification letter that shall also include the date

and place for submitting any further appeal. If the 30th

calendar day falls on a weekend or holiday, the date for the

Regional Administrator to determine the PHA\'s appeal will be the

next day that is not on a weekend or a holiday. If an appeal is

denied by the

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7460.5

Chapter 8, paragraph 8-4B (continued)

Regional Administrator, the reason for the denial shall be

stated in the letter to the PHA. 24 CFR 901.130(f)

C. Due to the limited time frame of the appeals process, whenever

possible, the Regional Office should consider transmitting

determinations of appeals via priority mail to expedite the

process and to ensure receipt of the appeal decision.

D. The Regional Administrator shall determine the time frames for

Field Office recommendation and Regional Administrator

determination within the Regional Office\'s jurisdiction. 24

CFR 901.130(f)

8-5 HEADQUARTERS RESPONSIBILITY.

A. The Assistant Secretary shall decide a PHA\'s appeal of the

Regional Administrators denial of an initial appeal, including:

24 CFR 901.130 (c)(1)

1 An appeal of the refusal of a petition to remove troubled

and mod-troubled designation; 24 CFR 901.130(d)

2\. The denial of high performer designation; 24 CFR

901.130(c)

3\. The designation of standard, troubled and mod-troubled; 24

CFR 901.130(c)

4\. The rescission of high performer designation; 24 CFR

901.130(c)

5\. The denial of any appeal of a determination of false

certification; 24 CFR 901.130(c)

6\. The denial of any appeal of exclusion and modification

requests; and 24 CFR 901.130(c)

7\. An appeal based on a failure of the Regional Administrator

to consider physical condition and neighborhood environment

of a PHA\'s developments in the designation of a PHA\'s

status. 24 CFR 901.130 (c)

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7460.5

Chapter 8, paragraph 8-5, (continued)

B. The appeal to the Assistant Secretary shall be submitted with new

supporting documentation not previously submitted to the Field

Office, justifying the PHA\'s reason(s) for appeal. 24 CFR

901.130(c)(1)

C. The Assistant Secretary shall determine an appeal within 30

calendar days after the PHA\'s appeal is mailed, not counting the

day the PHA\'s appeal is mailed. If the 30th calendar day falls

on a weekend or holiday, the date for the Assistant Secretary to

respond to the PHA\'s appeal will be the next day that is not on

a weekend or a holiday. If an appeal is denied by the

Assistant Secretary, the reason for the denial shall be stated

in the letter to the PHA. 24 CFR 901.130(f)

8-6 APPEAL SUMMARY. The following schedule summarizes the roles of a
PHA,

Field Office, Regional Office and Headquarters in the appeal process.

ACTIVITY DUE DATE

PHA submits its PHMAP No later than 90 calendar days after PHA

certification FYB

In the initial year of the PHMAP

implementation and for the purposes of the

CGP, PHAs shall submit their certification

in accordance with Chapter 4, paragraph

4-2C, of this Handbook

PHA request for an No later than 90 calendar days after PHA

exclusion or FYB, at the time a PHA submits its PHMAP

modification of an certification

indicator or component

In the initial year of the PHMAP

implementation and for the purposes of

the CGP, PHAs shall submit their request

for an exclusion or modification in

accordance with Chapter 4, paragraphs

4-C1, C2 and C3, of this Handbook

Field Office (FO) No later than 90 calendar days after

performs the annual the due date for the PHA to submit its

PHMAP assessment (and certification and requests for

the on-site confirmatory exclusions and modifications

review and schedules

additional reviews in In the initial year of the PHMAP

identified problem areas, implementation and for the purposes of

the CGP, FOs shall perform the annual

PHMAP assessment in

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7460.5

Chapter 8, paragraph 8-6 (continued)

ACTIVITY DUE DATE

if any) and makes accordance with Chapter 4, paragraph 4-3B,

initial determinations; of this handbook

Regional Office (RO) may

review FO\'s initial

determination

FO transmits the initial Within 90 calendar days after the due date

notification letter to for PHAs to submit their certification and

the PHA request for exclusion and modifications

In the initial year of the PHMAP

implementation and for the purposes of the

CGP, FOs shall notify PHAs in accordance

with Chapter 4, paragraph 4-3B, of this

Handbook

PHA may appeal the FO/ Within 15 calendar days after the

RO annual PHMAP notification letter is mailed by the FO

assessment

FO will make Within 30 calendar days after the appeal

recommendations and RO is mailed by the PHA

will make a

determination on the

PHA\'s appeal

PHA may appeal the RO Within 15 calendar days after the

determination of appeal notification letter is mailed by the RO

to the Assistant

Secretary (A/S)

A/S will make a Within 30 calendar days of receipt of PHA

determination on appeal, appeal

if any

PHA petition to remove At any time

troubled or mod-troubled

designation to FO/RO

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