
From the U.S. Code Online via GPO Access
[wais.access.gpo.gov]
[Laws in effect as of January 23, 2000]
[Document not affected by Public Laws enacted between
  January 23, 2000 and December 4, 2001]
[CITE: 42USC1437c-1]

 
                 TITLE 42--THE PUBLIC HEALTH AND WELFARE
 
                      CHAPTER 8--LOW-INCOME HOUSING
 
            SUBCHAPTER I--GENERAL PROGRAM OF ASSISTED HOUSING
 
Sec. 1437c-1. Public housing agency plans


(a) 5-year plan

                           (1) In general

        Subject to paragraph (2), not less than once every 5 fiscal 
    years, each public housing agency shall submit to the Secretary a 
    plan that includes, with respect to the 5 fiscal years immediately 
    following the date on which the plan is submitted--
            (A) a statement of the mission of the public housing agency 
        for serving the needs of low-income and very low-income families 
        in the jurisdiction of the public housing agency during such 
        fiscal years; and
            (B) a statement of the goals and objectives of the public 
        housing agency that will enable the public housing agency to 
        serve the needs identified pursuant to subparagraph (A) during 
        those fiscal years.

                          (2) Initial plan

        The initial 5-year plan submitted by a public housing agency 
    under this subsection shall be submitted for the 5-year period 
    beginning on October 1, 1999, or the first fiscal year thereafter 
    for which the public housing agency initially receives assistance 
    under this chapter.

(b) Annual plan

                           (1) In general

        Effective beginning upon October 1, 1999, each public housing 
    agency shall submit to the Secretary an annual public housing agency 
    plan under this subsection for each fiscal year for which the public 
    housing agency receives assistance under section 1437f(o) or 1437g 
    of this title.

                             (2) Updates

        For each fiscal year after the initial submission of an annual 
    plan under this subsection by a public housing agency, the public 
    housing agency may comply with requirements for submission of a plan 
    under this subsection by submitting an update of the plan for the 
    fiscal year.

(c) Procedures

                           (1) In general

        The Secretary shall establish requirements and procedures for 
    submission and review of plans, including requirements for timing 
    and form of submission, and for the contents of such plans.

                            (2) Contents

        The procedures established under paragraph (1) shall provide 
    that a public housing agency shall--
            (A) in developing the plan consult with the resident 
        advisory board established under subsection (e) of this section; 
        and
            (B) ensure that the plan under this section is consistent 
        with the applicable comprehensive housing affordability strategy 
        (or any consolidated plan incorporating such strategy) for the 
        jurisdiction in which the public housing agency is located, in 
        accordance with title I of the Cranston-Gonzalez National 
        Affordable Housing Act [42 U.S.C. 12701 et seq.], and contains a 
        certification by the appropriate State or local official that 
        the plan meets the requirements of this paragraph and a 
        description of the manner in which the applicable contents of 
        the public housing agency plan are consistent with the 
        comprehensive housing affordability strategy.

(d) Contents

    An annual public housing agency plan under subsection (b) of this 
section for a public housing agency shall contain the following 
information relating to the upcoming fiscal year for which the 
assistance under this chapter is to be made available:

                              (1) Needs

        A statement of the housing needs of low-income and very low-
    income families residing in the jurisdiction served by the public 
    housing agency, and of other low-income and very low-income families 
    on the waiting list of the agency (including housing needs of 
    elderly families and disabled families), and the means by which the 
    public housing agency intends, to the maximum extent practicable, to 
    address those needs.

                       (2) Financial resources

        A statement of financial resources available to the agency and 
    the planned uses of those resources.

         (3) Eligibility, selection, and admissions policies

        A statement of the policies governing eligibility, selection, 
    admissions (including any preferences), assignment, and occupancy of 
    families with respect to public housing dwelling units and housing 
    assistance under section 1437f(o) of this title, including--
            (A) the procedures for maintaining waiting lists for 
        admissions to public housing projects of the agency, which may 
        include a system of site-based waiting lists under section 
        1437d(r) of this title; and
            (B) the admissions policy under section 1437n(a)(3)(B) of 
        this title for deconcentration of lower-income families.

                       (4) Rent determination

        A statement of the policies of the public housing agency 
    governing rents charged for public housing dwelling units and rental 
    contributions of families assisted under section 1437f(o) of this 
    title.

                    (5) Operation and management

        A statement of the rules, standards, and policies of the public 
    housing agency governing maintenance and management of housing 
    owned, assisted, or operated by the public housing agency (which 
    shall include measures necessary for the prevention or eradication 
    of pest infestation, including by cockroaches), and management of 
    the public housing agency and programs of the public housing agency.

                       (6) Grievance procedure

        A statement of the grievance procedures of the public housing 
    agency.

                      (7) Capital improvements

        With respect to public housing projects owned, assisted, or 
    operated by the public housing agency, a plan describing the capital 
    improvements necessary to ensure long-term physical and social 
    viability of the projects.

                   (8) Demolition and disposition

        With respect to public housing projects owned by the public 
    housing agency--
            (A) a description of any housing for which the PHA will 
        apply for demolition or disposition under section 1437p of this 
        title; and
            (B) a timetable for the demolition or disposition.

    (9) Designation of housing for elderly and disabled families

        With respect to public housing projects owned, assisted, or 
    operated by the public housing agency, a description of any projects 
    (or portions thereof) that the public housing agency has designated 
    or will apply for designation for occupancy by elderly and disabled 
    families in accordance with section 1437e of this title.

                  (10) Conversion of public housing

        With respect to public housing owned by a public housing 
    agency--
            (A) a description of any building or buildings that the 
        public housing agency is required to convert to tenant-based 
        assistance under section 1437z-5 of this title or that the 
        public housing agency plans to voluntarily convert under section 
        1437t of this title;
            (B) an analysis of the projects or buildings required to be 
        converted under section 1437z-5 of this title; and
            (C) a statement of the amount of assistance received under 
        this chapter to be used for rental assistance or other housing 
        assistance in connection with such conversion.

                         (11) Homeownership

        A description of any homeownership programs of the agency under 
    section 1437f(y) of this title or for which the public housing 
    agency has applied or will apply for approval under section 1437z-4 
    of this title.

             (12) Community service and self-sufficiency

        A description of--
            (A) any programs relating to services and amenities provided 
        or offered to assisted families;
            (B) any policies or programs of the public housing agency 
        for the enhancement of the economic and social self-sufficiency 
        of assisted families;
            (C) how the public housing agency will comply with the 
        requirements of subsections (c) and (d) of section 1437j of this 
        title (relating to community service and treatment of income 
        changes resulting from welfare program requirements).

                  (13) Safety and crime prevention

        A plan established by the public housing agency, which shall be 
    subject to the following requirements:

        (A) Safety measures

            The plan shall provide, on a project-by-project or 
        jurisdiction-wide basis, for measures to ensure the safety of 
        public housing residents.

        (B) Establishment

            The plan shall be established in consultation with the 
        police officer or officers in command for the appropriate 
        precinct or police department.

        (C) Content

            The plan shall describe the need for measures to ensure the 
        safety of public housing residents and for crime prevention 
        measures, describe any such activities conducted or to be 
        conducted by the agency, and provide for coordination between 
        the agency and the appropriate police precincts for carrying out 
        such measures and activities.

        (D) Secretarial action

            If the Secretary determines, at any time, that the security 
        needs of a project are not being adequately addressed by the 
        plan, or that the local police precinct is not complying with 
        the plan, the Secretary may mediate between the public housing 
        agency and the local precinct to resolve any issues of conflict.

                              (14) Pets

        The requirements of the agency, pursuant to section 1437z-3 of 
    this title, relating to pet ownership in public housing.

                   (15) Civil rights certification

        A certification by the public housing agency that the public 
    housing agency will carry out the public housing agency plan in 
    conformity with title VI of the Civil Rights Act of 1964 [42 U.S.C. 
    2000d et seq.], the Fair Housing Act [42 U.S.C. 3601 et seq.], 
    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. 
    12131 et seq.], and will affirmatively further fair housing.

                          (16) Annual audit

        The results of the most recent fiscal year audit of the public 
    housing agency under section 1437c(h)(2) of this title.

                        (17) Asset management

        A statement of how the agency will carry out its asset 
    management functions with respect to the public housing inventory of 
    the agency, including how the agency will plan for the long-term 
    operating, capital investment, rehabilitation, modernization, 
    disposition, and other needs for such inventory.

                             (18) Other

        Any other information required by law to be included in a public 
    housing agency plan.

(e) Resident advisory board

                           (1) In general

        Except as provided in paragraph (3), each public housing agency 
    shall establish 1 or more resident advisory boards in accordance 
    with this subsection, the membership of which shall adequately 
    reflect and represent the residents assisted by the public housing 
    agency.

                            (2) Functions

        Each resident advisory board established under this subsection 
    by a public housing agency shall assist and make recommendations 
    regarding the development of the public housing agency plan for the 
    agency. The agency shall consider the recommendations of the 
    resident advisory boards in preparing the final public housing 
    agency plan, and shall include, in the public housing agency plan 
    submitted to the Secretary under this section, a copy of the 
    recommendations and a description of the manner in which the 
    recommendations were addressed.

                             (3) Waiver

        The Secretary may waive the requirements of this subsection with 
    respect to the establishment of resident advisory boards for a 
    public housing agency if the agency demonstrates to the satisfaction 
    of the Secretary that there exist resident councils or other 
    resident organizations of the public housing agency that--
            (A) adequately represent the interests of the residents of 
        the public housing agency; and
            (B) have the ability to perform the functions described in 
        paragraph (2).

(f) \1\ Notice and hearing
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    \1\ Subsection designation editorially supplied.
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                           (1) In general

        In developing a public housing agency plan under this section, 
    the board of directors or similar governing body of a public housing 
    agency shall conduct a public hearing to discuss the public housing 
    agency plan and to invite public comment regarding that plan. The 
    hearing shall be conducted at a location that is convenient to 
    residents.

             (2) Availability of information and notice

        Not later than 45 days before the date of a hearing conducted 
    under paragraph (1), the public housing agency shall--
            (A) make the proposed public housing agency plan and all 
        information relevant to the hearing and proposed plan available 
        for inspection by the public at the principal office of the 
        public housing agency during normal business hours; and
            (B) publish a notice informing the public that--
                (i) that the information is available as required under 
            subparagraph (A); and
                (ii) that a public hearing under paragraph (1) will be 
            conducted.

                        (3) Adoption of plan

        A public housing agency may adopt a public housing agency plan 
    and submit the plan to the Secretary in accordance with this section 
    only after--
            (A) conducting a public hearing under paragraph (1);
            (B) considering all public comments received; and
            (C) making any appropriate changes in the public housing 
        agency plan, in consultation with the resident advisory board.

             (4) Advisory board consultation enforcement

        Pursuant to a written request made by the resident advisory 
    board for a public housing agency that documents a failure on the 
    part of the agency to provide adequate notice and opportunity for 
    comment under this subsection and a finding by the Secretary of good 
    cause within the time period provided for in subsection (i)(4) of 
    this section, the Secretary may require the public housing agency to 
    adequately remedy such failure before final approval of the public 
    housing agency plan under this section.

(g) Amendments and modifications to plans

                           (1) In general

        Except as provided in paragraph (2), nothing in this section 
    shall preclude a public housing agency, after submitting a plan to 
    the Secretary in accordance with this section, from amending or 
    modifying any policy, rule, regulation, or plan of the public 
    housing agency, except that a significant amendment or modification 
    may not--
            (A) be adopted, other than at a duly called meeting of board 
        of directors (or similar governing body) of the public housing 
        agency that is open to the public; and
            (B) be implemented, until notification of the amendment or 
        modification is provided to the Secretary and approved in 
        accordance with subsection (i) of this section.

                     (2) Consistency and notice

        Each significant amendment or modification to a public housing 
    agency plan submitted to the Secretary under this section shall--
            (A) meet the requirements under subsection (c)(2) of this 
        section (relating to consultation with resident advisory board 
        and consistency with comprehensive housing affordability 
        strategies); and
            (B) be subject to the notice and public hearing requirements 
        of subsection (f) of this section.

(h) Submission of plans

                       (1) Initial submission

        Each public housing agency shall submit the initial plan 
    required by this section, and any amendment or modification to the 
    initial plan, to the Secretary at such time and in such form as the 
    Secretary shall require.

                        (2) Annual submission

        Not later than 75 days before the start of the fiscal year of 
    the public housing agency, after submission of the initial plan 
    required by this section in accordance with subparagraph (A), each 
    public housing agency shall annually submit to the Secretary a plan 
    update, including any amendments or modifications to the public 
    housing agency plan.

(i) Review and determination of compliance

                             (1) Review

        Subject to paragraph (2), after submission of the public housing 
    agency plan or any amendment or modification to the plan to the 
    Secretary, to the extent that the Secretary considers such action to 
    be necessary to make determinations under this paragraph, the 
    Secretary shall review the public housing agency plan (including any 
    amendments or modifications thereto) and determine whether the 
    contents of the plan--
            (A) set forth the information required by this section and 
        this chapter to be contained in a public housing agency plan;
            (B) are consistent with information and data available to 
        the Secretary, including the approved comprehensive housing 
        affordability strategy under title I of the Cranston-Gonzalez 
        National Affordable Housing Act [42 U.S.C. 12701 et seq.] for 
        the jurisdiction in which the public housing agency is located; 
        and
            (C) are not prohibited by or inconsistent with any provision 
        of this subchapter or other applicable law.

                  (2) Elements exempted from review

        The Secretary may, by regulation, provide that one or more 
    elements of a public housing agency plan shall be reviewed only if 
    the element is challenged, except that the Secretary shall review 
    the information submitted in each plan pursuant to paragraphs 
    (3)(B), (8), and (15) of subsection (d) of this section.

                           (3) Disapproval

        The Secretary may disapprove a public housing agency plan (or 
    any amendment or modification thereto) only if Secretary determines 
    that the contents of the plan (or amendment or modification) do not 
    comply with the requirements under subparagraph (A) through (C) of 
    paragraph (1).

                   (4) Determination of compliance

        (A) In general

            Except as provided in subsection (j)(2) of this section, not 
        later than 75 days after the date on which a public housing 
        agency plan is submitted in accordance with this section, the 
        Secretary shall make the determination under paragraph (1) and 
        provide written notice to the public housing agency if the plan 
        has been disapproved. If the Secretary disapproves the plan, the 
        notice shall state with specificity the reasons for the 
        disapproval.

        (B) Failure to provide notice of disapproval

            In the case of a plan disapproved, if the Secretary does not 
        provide notice of disapproval under subparagraph (A) before the 
        expiration of the period described in subparagraph (A), the 
        Secretary shall be considered, for purposes of this chapter, to 
        have made a determination that the plan complies with the 
        requirements under this section and the agency shall be 
        considered to have been notified of compliance upon the 
        expiration of such period. The preceding sentence shall not 
        preclude judicial review regarding such compliance pursuant to 
        chapter 7 of title 5 or an action regarding such compliance 
        under section 1983 of this title.

                       (5) Public availability

        A public housing agency shall make the approved plan of the 
    agency available to the general public.

(j) Troubled and at-risk PHAs

                           (1) In general

        The Secretary may require, for each public housing agency that 
    is at risk of being designated as troubled under section 1437d(j)(2) 
    of this title or is designated as troubled under section 1437d(j)(2) 
    of this title, that the public housing agency plan for such agency 
    include such additional information as the Secretary determines to 
    be appropriate, in accordance with such standards as the Secretary 
    may establish or in accordance with such determinations as the 
    Secretary may make on an agency-by-agency basis.

                        (2) Troubled agencies

        The Secretary shall provide explicit written approval or 
    disapproval, in a timely manner, for a public housing agency plan 
    submitted by any public housing agency designated by the Secretary 
    as a troubled public housing agency under section 1437d(j)(2) of 
    this title.

(k) Streamlined plan

    In carrying out this section, the Secretary may establish a 
streamlined public housing agency plan for--
        (A) public housing agencies that are determined by the Secretary 
    to be high performing public housing agencies;
        (B) public housing agencies with less than 250 public housing 
    units that have not been designated as troubled under section 
    1437d(j)(2) of this title; and
        (C) public housing agencies that only administer tenant-based 
    assistance and that do not own or operate public housing.

(l) Compliance with plan

                           (1) In general

        In providing assistance under this subchapter, a public housing 
    agency shall comply with the rules, standards, and policies 
    established in the public housing agency plan of the public housing 
    agency approved under this section.

                  (2) Investigation and enforcement

        In carrying out this subchapter, the Secretary shall--
            (A) provide an appropriate response to any complaint 
        concerning noncompliance by a public housing agency with the 
        applicable public housing agency plan; and
            (B) if the Secretary determines, based on a finding of the 
        Secretary or other information available to the Secretary, that 
        a public housing agency is not complying with the applicable 
        public housing agency plan, take such actions as the Secretary 
        determines to be appropriate to ensure such compliance.

(Sept. 1, 1937, ch. 896, title I, Sec. 5A, as added Pub. L. 105-276, 
title V, Sec. 511(a), Oct. 21, 1998, 112 Stat. 2531.)

                       References in Text

    The Cranston-Gonzalez National Affordable Housing Act, referred to 
in subsecs. (c)(2)(B) and (i)(1)(B), is Pub. L. 101-625, Nov. 28, 1990, 
104 Stat. 4079. Title I of the Act is classified generally to subchapter 
I (Sec. 12701 et seq.) of chapter 130 of this title. For complete 
classification of this Act to the Code, see Short Title note set out 
under section 12701 of this title and Tables.
    The Civil Rights Act of 1964, referred to in subsec. (d)(15), is 
Pub. L. 88-352, July 2, 1964, 78 Stat. 241, as amended. Title VI of the 
Act is classified generally to subchapter V (Sec. 2000d et seq.) of 
chapter 21 of this title. For complete classification of this Act to the 
Code, see Short Title note set out under section 2000a of this title and 
Tables.
    The Fair Housing Act, referred to in subsec. (d)(15), is title VIII 
of Pub. L. 90-284, Apr. 11, 1968, 82 Stat. 81, as amended, which is 
classified principally to subchapter I (Sec. 3601 et seq.) of chapter 45 
of this title. For complete classification of this Act to the Code, see 
Short Title note set out under section 3601 of this title and Tables.
    The Americans with Disabilities Act of 1990, referred to in subsec. 
(d)(15), is Pub. L. 101-336, July 26, 1990, 104 Stat. 327, as amended. 
Title II of the Act is classified generally to subchapter II (Sec. 12131 
et seq.) of chapter 126 of this title. For complete classification of 
this Act to the Code, see Short Title note set out under section 12101 
of this title and Tables.


                             Effective Date

    Pub. L. 105-276, title V, Sec. 511(e), Oct. 21, 1998, 112 Stat. 
2539, provided that: ``This section [enacting this section, amending 
section 1437d of this title, and enacting provisions set out as notes 
under this section] shall take effect, and the amendments made by this 
section are made on, and shall apply beginning upon, the date of the 
enactment of this Act [Oct. 21, 1998].''


                               Regulations

    Pub. L. 105-276, title V, Sec. 511(b), Oct. 21, 1998, 112 Stat. 
2538, provided that:
    ``(1) Interim rule.--Not later than 120 days after the date of the 
enactment of this Act [Oct. 21, 1998], the Secretary shall issue an 
interim rule to require the submission of an interim public housing 
agency plan by each public housing agency, as required by section 5A of 
the United States Housing Act of 1937 [42 U.S.C. 1437c-1] (as added by 
subsection (a) of this section). The interim rule shall provide for a 
public comment period of not less than 60 days.
    ``(2) Final regulations.--Not later than 1 year after the date of 
the enactment of this Act [Oct. 21, 1998], the Secretary shall issue 
final regulations implementing section 5A of the United States Housing 
Act of 1937 [42 U.S.C. 1437c-1] (as added by subsection (a) of this 
section).
    ``(3) Factors for consideration.--Before the publication of the 
final regulations under paragraph (2), in addition to public comments 
invited in connection with the publication of the interim rule, the 
Secretary shall--
        ``(A) seek recommendations on the implementation of section 5A 
    of the United States Housing Act of 1937 [42 U.S.C. 1437c-1] (as 
    added by this [sic] subsection (a) of this section) from 
    organizations representing--
            ``(i) State or local public housing agencies;
            ``(ii) residents, including resident management 
        corporations; and
            ``(iii) other appropriate parties; and
        ``(B) convene not less than 2 public forums at which the persons 
    or organizations making recommendations under subparagraph (A) may 
    express views concerning the proposed disposition of the 
    recommendations.
The Secretary shall publish in the final rule a summary of the 
recommendations made and public comments received and the Department of 
Housing and Urban Development's response to such recommendations and 
comments.''


                        Audit and Review; Report

    Pub. L. 105-276, title V, Sec. 511(c), Oct. 21, 1998, 112 Stat. 
2538, provided that:
    ``(1) Audit and review.--Not later than 1 year after the effective 
date of final regulations issued under subsection (b)(2) [set out as a 
note above], in order to determine the degree of compliance, by public 
housing agencies, with public housing agency plans approved under 
section 5A of the United States Housing Act of 1937 [42 U.S.C. 1437c-1] 
(as added by subsection (a) of this section), the Comptroller General of 
the United States shall conduct--
        ``(A) a review of a representative sample of the public housing 
    agency plans approved under such section 5A before such date; and
        ``(B) an audit and review of the public housing agencies 
    submitting such plans.
    ``(2) Report.--Not later than 2 years after the date on which public 
housing agency plans are initially required to be submitted under 
section 5A of the United States Housing Act of 1937 [42 U.S.C. 1437c-1] 
(as added by subsection (a) of this section) the Comptroller General of 
the United States shall submit to the Congress a report, which shall 
include--
        ``(A) a description of the results of each audit and review 
    under paragraph (1); and
        ``(B) any recommendations for increasing compliance by public 
    housing agencies with their public housing agency plans approved 
    under section 5A of the United States Housing Act of 1937 (as added 
    by subsection (a) of this section).''

                  Section Referred to in Other Sections

    This section is referred to in sections 1437, 1437a, 1437d, 1437f, 
1437k, 1437n, 1437bbb-5, 11904 of this title.
