HUD PIH Notice § 2012-34

                        U.S. Department of Housing and Urban Development
                               Office of Public and Indian Housing
______________________________________________________________________________

Special Attention of:                       Notice PIH-2012-34 (HA)
Public Housing Agency Directors
Section 8 and Public Housing Administrators Issued: August 13, 2012
HUD Directors of Public Housing
PIH Program Center Coordinators             Expires: Effective until amended, superseded, or
Public Housing Division Directors           rescinded

                                      Cross References:
                                      24 C.F.R. Part 982, Subpart E
                                      24 C.F.R. § 8.28(a)(1)
                                      24 C.F.R. § 960.206
                                      24 C.F.R. § 903.7(b)(2)
                                      24 C.F.R. § 983.251
______________________________________________________________________________

SUBJECT: Waiting List Administration

1. Purpose. This notice provides guidance on the administration of a Public Housing
   Agency’s (PHA) Housing Choice Voucher (HCV) and Public Housing (PH) waiting lists,
   on the topics of opening the waiting list, applicant selection, placing applicants on the
   waiting list, and outreach. This notice does not provide guidance on all aspects of waiting
   list administration nor does it comprehensively address all waiting list requirements, such
   as fair housing requirements. For additional details, PHAs should review HCV regulations
   at 24 C.F.R. Part 982 Subpart E and PH regulations at 24 C.F.R. § 960.206, as well as the
   HCV and PH occupancy guidebooks found on HUD’s website.

2.    Background. PHAs are responsible for establishing an application and selection process
     that treats applicants equitably and provides an effective method for determining program
     eligibility. While program regulations give PHAs flexibility in certain aspects of the
     application and selection process, the processes must conform to established rules and
     regulations, including fair housing civil rights laws and regulations, and must result in
     consistent, non-discriminatory determinations on applicant eligibility, placement of
     applicants on the waiting list, and selection of applicants from the waiting list.

     Establishing a well-managed application and selection process that promotes the equitable
     and consistent treatment of families is an important PHA responsibility. A well-managed
     waiting list helps ensure equitable and consistent treatment of applicants, that needy families
     receive assistance as quickly as possible, and can provide PHAs with data about their
     community’s needs and the operational needs of their programs. Such data can be used by
     the PHA to:
          Make determinations on the need for specific waiting list preferences;
         Plan for any adjustments in the PHA’s outreach efforts;
         Determine whether the PHA will be able to satisfy program requirements, such as
          income-targeting requirements; and
         Determine needed improvements in property management and maintenance of its PH
          program and whether leasing objectives of its HCV program will be met.

3. Applicability. This notice applies to all PHAs administering the HCV and PH programs.

4. Effective Date. This notice is effective upon publication and is effective until amended,
   superseded, or rescinded.

5. Waiting List Administration.

    a) Opening the Waiting List. A PHA has flexibility to determine whether to keep the
    waiting list open indefinitely or whether to open the waiting list periodically for defined
    application periods. PHAs should only make this determination after careful analysis and
    consideration of all circumstances, including whether the length of the waiting list makes the
    wait for housing unreasonably long or whether there is a sufficient number of eligible
    applicants to ensure that new and turnover vouchers under the PHA’s HCV program are
    issued as quickly as possible.

    Any public notice announcing a waiting list opening and application procedure should be
    simple, direct, and clear but with sufficient detail to inform applicants of the time and place
    to apply, any limitations on who may apply, and any other information the applicant may
    need to successfully submit the application. The notification process must also comply
    with HUD fair housing requirements, such as adopting suitable means to assure that the
    notice reaches eligible individuals with disabilities and those with limited-English
    proficiency.1 HCV program regulations require the public notice to appear in a local
    newspaper of general circulation, minority media, and other suitable means. These
    practices are strongly encouraged in the PH program.

    PHAs should also keep in mind safety concerns when reopening waiting lists in areas of high
    demand. PHAs can use various strategies to avoid application intake procedures that may
    cause a safety concern for the public and PHA staff. Offering only one central location to
    submit applications under such circumstances is not advisable. Having multiple application
    intake sites and submission mechanisms, assigning applicants random placement on the
    waiting list, or having an open application period during which PHAs receive applications by
    mail are alternatives that can help the PHA safely manage the application intake process.

    Additionally, the Department cautions against opening the waiting list and accepting
    applications for limited periods, such as a single day. This approach may contribute to

1
 For additional details please see 24 C.F.R. § 8.6 and the Final Guidance to Federal Financial Assistance
Recipients: Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient
Persons, published on the Federal Register January 22, 2007 (72 FR 2732).
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disorderly and unsafe application intake processes. Opening waiting lists for longer periods
and making applications available ahead of time will create safer and more effective
application intake processes.


b) Placing Applicants on the Waiting List. PHAs may consider the use of a lottery or
other random choice technique to select which applicants will be placed on the waiting list. In
making this determination, PHAs should consider whether this is a reasonable approach in
their jurisdiction. For example, this approach would be reasonable for PHAs located in areas
where the volume of applications is high enough that placing each eligible applicant on the
waiting list would result in an unrealistic waiting period for housing. If a PHA uses this
approach, the PHA must describe it in their PHA plan or administrative plan and any public
notice of a waiting list opening must clearly state that this system will be used to place
applicants on the waiting list.

PHAs may also establish preferences and open the waiting list only to applicants who qualify
for the preference(s). The PHA must base its preference system on local housing needs and
priorities by using generally accepted data sources, such as a jurisdiction’s Consolidated Plan,
and preferences must be consistent with fair housing and civil rights laws. PHAs that use
preferences to determine which applicants will be placed on a waiting list must describe such
preferences in their PHA plan, their admission and occupancy policies, or their administrative
plan and any public notice of the waiting list opening must clearly state the use of this
procedure.

 c) Selecting Applicants from the Waiting List. HUD regulations at 24 C.F.R. § 982.207
and 24 C.F.R. § 960.206(e) list two possible methods of selecting applicants on the waiting
list with the same preference qualifications: date and time of application and a drawing or
other random choice technique. Even when either of these methods may be acceptable, the
PHA should carefully consider its particular circumstances in choosing one method over the
other. For example, use of a lottery or other random choice technique would be a better
choice for a PHA whose demand for housing assistance typically exceeds availability. Under
the random choice method, the order in which an applicant submits an application has no
bearing on how soon the applicant will receive assistance. This method may significantly
reduce or eliminate the possibility of a disorderly application process and make the process
more manageable for both the applicant and the PHA. It is advisable for a PHA using a
lottery, drawing, or other random choice technique to inform potential applicants that the
timing of application submission will have no effect on how soon they will receive assistance.

 PHAs should also consider offering several locations and methods by which applicants may
submit their applications, especially if the PHA chooses to place applicants on the waiting list
by date and time of application. For example, the PHA may offer applicants the opportunity
to submit applications by mail, fax, telephone, e-mail, or other electronic formats. Providing
such flexibility to applicants will help the PHA avoid an application process that may become
disorderly or even dangerous for both the applicant and the PHA.

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PHAs should also be aware of the implications each selection method may have. For
instance, ordering a waiting list by the date and time of application may result in an adverse
effect to applicants with disabilities, especially when the PHA opens its waiting list
periodically. Therefore, the PHA must be prepared to make necessary modifications in its
process to mitigate this effect, such as mailing applications to people with disabilities well in
advance of this “first-come, first-served” opening and allowing submission of applications by
mail or electronically. Further, when considering access to applicants with disabilities PHAs
should consider using a lottery or other random choice technique because these techniques
significantly minimize the need for special procedures or other administrative steps to
mitigate adverse effects that may be costly and time consuming even when not considered an
undue burden under Section 504 of the Rehabilitation Act of 1973.

d) Outreach. The PHA must inform individuals in their jurisdiction of the availability of
housing through various means of outreach. Outreach is also an opportunity to educate the
local community, including potential HCV landlords, about the PHA’s programs. A PHA’s
waiting list plays an important role in determining a PHA’s outreach needs: a waiting list that
is not representative of the various demographics in the community in need of housing may be
indicative of a need to adjust the PHA’s outreach efforts to effectively reach those groups.

PHAs should also consider whether a waiting list opening will be targeted to a specific group,
such as when a PHA:
     Has received funding targeted to a specific population (for example, Family
        Unification Program (FUP) vouchers and Category 2 Non-Elderly Disabled (NED)
        vouchers); or
     Is opening a waiting list for a Designated Housing project.
In such cases, the PHA may conduct outreach only to the special population group.         Please
note that targeting of a specific group must be consistent with the PHA’s preferences, and
site-specific waiting list requirements set out in its admissions and occupancy policies.
Before a specific group is targeted, the preference must be included in the PHA’s admissions
and occupancy policies or HCV administrative plan. In cases where the PHA has been
awarded funding by HUD for a specified category of families (e.g. NED or FUP vouchers),
the PHA does not have to establish a preference for the specified category.

PHAs’ operating programs that serve specific populations may also wish to conduct
educational outreach to landlords and service-provision organizations, especially if the
populations are hard-to-house populations. If a PHA partners with another organization to
serve a specific population, the partnering organization can play a vital role in assisting the
PHA in its outreach efforts, including any educational outreach.

To ensure a broad range of applicants, PHAs should consider issuing notifications of waiting
list openings to local welfare offices, homeless shelters, domestic violence shelters, and
minority organizations, among others. PHAs should also think creatively when developing
outreach efforts and consider using tools like social media sites, other websites, newsletters,
and on-site visits.

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    PHAs must also reach out to persons with disabilities, including disabled individuals in
    institutions transitioning to community-based settings and those with limited-English
    proficiency. When opening its HCV and/or PH waiting list, or in any other instance when the
    PHA engages in educational or other outreach about its programs, the PHA must ensure that
    the information, including information on the availability of accessible units, reaches the
    eligible individuals. PHAs may do this by targeting, for example, social service agencies,
    nursing homes, psychiatric hospitals, and other mental health facilities. PHAs may also
    contact state Money Follows the Person (MFP) agencies, Medicaid agencies, and other local
    partner agencies for a listing of institutions where the PHA can send outreach materials.

6. Contact Information. Inquiries about this Notice specific to the HCV program may be
   directed to Amaris Rodriguez, Housing Voucher Management and Operations Division, Office
   of Public Housing and Voucher Programs, at Amaris.Rodriguez@hud.gov. Inquiries specific
   to the PH program may be directed to Virginia Flores, Public Housing Management and
   Occupancy Division, Office of Public Housing and Voucher Programs, at
   Virginia.Flores@hud.gov.




                                                                 /s/
                                            Sandra B. Henriquez, Assistant Secretary for
                                            Public and Indian Housing




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