1、364 24 CFR Ch. IX (4111 Edition) 941.614 may execute with the PHA a front-end ACC amendment and the special mixed-finance amendment to the ACC (and/or grant agreement) to provide ad-vances for the purposes, and in the amounts, approved by HUD. (b) Standard drawdown requirements. HUD will review the
2、evidentiary mate-rials and other documents submitted pursuant to 941.610, and, upon deter-mining that such documents are satis-factory, may approve a drawdown of development funds, consistent with the following requirements: (1) A PHA may only draw down pub-lic housing development funds in an ap-pro
3、ved ratio to other public and pri-vate funds, in accordance with a draw schedule prepared by the PHA and ap-proved by HUD. The PHA and its part-ner shall certify, in a form prescribed by HUD, prior to the initial drawdown of public housing development funds that the PHA will not draw down and the pa
4、rtner will not request more pub-lic housing grant funds than necessary to meet the PHAs pro rata share of the development costs. The PHA shall draw down public housing development funds only when payment is due and after in-spection and acceptance of work cov-ered by the draw. The PHA shall re-lease
5、 funds to its partner promptly, normally within two working days of receipt of the funds from HUD, and only in accordance with the ratio ap-proved by HUD. The PHAs partner shall take prompt action to distribute the funds, normally within two work-ing days of receipt of the funds from the PHA; (2) Ea
6、ch drawdown of public housing development funds constitutes a cer-tification by the PHA that: (i) All the representations and war-ranties of the PHA, as submitted in ac-cordance with this subpart, continue to be valid, true, and in full force and ef-fect; (ii) The PHA is in full compliance with all
7、of the PHAs obligations pur-suant to this part which, by their terms, are applicable at the time of the drawdown of the public housing devel-opment funds, and that to the best of the PHAs knowledge, it is not in de-fault under the ACC, as amended; (iii) All conditions precedent to the PHAs authority
8、 to draw down the pub-lic housing grant funds have been satis-fied; (iv) The public housing grant funds to be drawn down will be used for eligi-ble costs actually incurred or to be in-curred in accordance with the provi-sions of this subpart and the approved proposal; and (v) The ratio for the draw
9、down of funds is satisfied. (c) The standard drawdown require-ments set forth in paragraph (b) of this section (including the requirement that public housing development funds must be drawn down in an approved ratio to other public and private funds) do not apply to front-end assistance ap-proved by
10、 HUD pursuant to paragraph (a) of this section. 941.614 HUD monitoring and review. HUD shall monitor and review the implementation of the PHAs approved proposal in accordance with require-ments prescribed by HUD in a special mixed-finance amendment to the ACC (and/or grant agreement). 941.616 Sancti
11、ons. In the event the public housing units that are proposed to be developed under this subpart are not developed in accordance with the projected develop-ment schedule, the approved proposal, and all applicable Federal require-ments, or if the units are not operated in accordance with applicable re
12、quire-ments, HUD may impose sanctions on the PHA, and/or seek legal and equi-table relief, in accordance with re-quirements prescribed by HUD in the special mixed-finance amendment to the ACC (and/or grant agreement). PART 943PUBLIC HOUSING AGENCY CONSORTIA AND JOINT VENTURES Subpart AGeneral Sec. 9
13、43.100 What is the purpose of this part? Subpart BConsortia 943.115 What programs are covered under this subpart? 943.118 What is a consortium? 943.120 What programs of a PHA are in-cluded in a consortiums functions? VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm 00374 Fmt 8010 Sfmt 8010
14、 Y:SGML223080.XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-365 Asst. Secry., for Public and Indian Housing, HUD 943.120 943.122 How is a consortium organized? 943.124 What elements must a consortium agreem
15、ent contain? 943.126 What is the relationship between HUD and a consortium? 943.128 How does a consortium carry out planning and reporting functions? 943.130 What are the responsibilities of par-ticipating PHAs? Subpart CSubsidiaries, Affiliates, Joint Ventures in Public Housing 943.140 What program
16、s and activities are covered by this subpart? 943.142 In what types of operating organiza-tions may a PHA participate? 943.144 What financial impact do operations of a subsidiary, affiliate, or joint venture have on a PHA? 943.146 What impact does the use of a sub-sidiary, affiliate, or joint ventur
17、e have on financial accountability to HUD and the Federal government? 943.148 What procurement standards apply to PHAs selecting partners for a joint venture? 943.150 What procurement standards apply to a PHAs joint venture partner? 943.151 What procurement standards apply to a joint venture itself?
18、 AUTHORITY: 42 U.S.C. 1437k and 3535(d). SOURCE: 65 FR 71207, Nov. 29, 2000, unless otherwise noted. Subpart AGeneral 943.100 What is the purpose of this part? This part authorizes public housing agencies (PHAs) to form consortia, joint ventures, affiliates, subsidiaries, partnerships, and other bus
19、iness ar-rangements under section 13 of the United States Housing Act of 1937 (42 U.S.C. 1437k). Under this authority, PHAs participating in a consortium enter into a consortium agreement, submit joint PHA Plans to HUD, and may combine all or part of their fund-ing and program administration. This p
20、art does not preclude a PHA from en-tering cooperative arrangements to op-erate its programs under other author-ity, as long as they are consistent with other program regulations and require-ments. Subpart BConsortia 943.115 What programs are covered under this subpart? (a) Except as provided in par
21、agraph (b) of this section, this subpart applies to the following: (1) PHA administration of public housing or Section 8 programs under an Annual Contributions Contract (ACC) with HUD; and (2) PHA administration of grants to the PHA in connection with its public housing or Section 8 programs. (b) Th
22、is subpart does not apply to the following: (1) PHA administration of Section 8 projects assigned to a PHA for contract administration pursuant to an ACC en-tered under the Request for Proposals (RFP) published May 19, 1999 (64 FR 27358); (2) Section 8 contract administration of a restructured subsi
23、dized multi-family project by a Participating Ad-ministrative Entity in accordance with part 401 of this title; or (3) A PHA in its capacity as owner of a Section 8 project. 943.118 What is a consortium? A consortium consists of two or more PHAs that join together to perform planning, reporting, and
24、 other adminis-trative or management functions for participating PHAs, as specified in a consortium agreement. A consortium also submits a joint PHA Plan. The lead agency collects the assistance funds from HUD that would be paid to the participating PHAs for the ele-ments of their operations that ar
25、e ad-ministered by the consortium and allo-cates them according to the consor-tium agreement. The participating PHAs must adopt the same fiscal year so that the applicable periods for sub-mission and review of the joint PHA Plan are the same. Notwithstanding any other regulation, PHAs proposing to f
26、orm consortia may request and HUD may approve changes in PHA fis-cal years to make this possible. 943.120 What programs of a PHA are included in a consortiums func-tions? (a) A PHA may enter a consortium under this subpart for administration VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm
27、 00375 Fmt 8010 Sfmt 8010 Y:SGML223080.XXX 223080erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-366 24 CFR Ch. IX (4111 Edition) 943.122 of any of the following program cat-egories: (1) The PHAs public housing pro-gra
28、m (which may include either the op-erating fund or the capital fund, or both); (2) The PHAs Section 8 voucher and certificate program (including the project-based certificate and voucher programs and special housing types); (3) The PHAs Section 8 Moderate Re-habilitation program, including Single Ro
29、om Occupancy program; (4) All other project-based Section 8 programs administered by the PHA under an ACC with HUD; and (5) Any grant programs of the PHA in connection with its Section 8 or public housing programs, such as the Drug Elimination program or the Resident Opportunities and Self-Sufficien
30、cy pro-gram, to the extent not inconsistent with the terms of the governing docu-ments for the grant programs funding source. (b) If a PHA elects to enter a consor-tium with respect to a category speci-fied in paragraph (a) of this section, the consortium must cover the PHAs whole program under the
31、ACC with HUD for that category, including all dwelling units and all funding for that program under the ACC with HUD. 943.122 How is a consortium orga-nized? (a) PHAs that elect to form a consor-tium enter into a consortium agree-ment among the participating PHAs, specifying a lead agency (see 943.1
32、24), and submit a joint PHA Plan (943.118). HUD enters into any necessary pay-ment agreements with the lead agency and the other participating PHAs (see 943.126) to provide that HUD funding to the participating PHAs for program categories covered by the consortium will be paid to the lead agency. (b
33、) The lead agency must not be a PHA that is designated as a troubled PHA by HUD, that has been deter-mined by HUD to fail the civil rights compliance threshold for new funding, or that has had a PHAS designation withheld for civil rights or other rea-sons. The lead agency is designated to receive HU
34、D program payments on be-half of participating PHAs, to admin-ister HUD requirements for adminis-tration of the funds, and to apply the funds in accordance with the consor-tium agreement and HUD regulations and requirements. 943.124 What elements must a con-sortium agreement contain? (a) The consort
35、ium agreement among the participating PHAs governs the formation and operation of the consor-tium. The consortium agreement must be consistent with any payment agree-ments between the participating PHAs and HUD and must specify the fol-lowing: (1) The names of the participating PHAs and the program
36、categories each PHA is including under the consortium agreement; (2) The name of the lead agency; (3) The functions to be performed by the lead agency and the other partici-pating PHAs during the term of the consortium; (4) The allocation of funds among participating PHAs and responsibility for admi
37、nistration of funds paid to the consortium; and (5) The period of existence of the con-sortium and the terms under which a PHA may join or withdraw from the consortium before the end of that pe-riod. To provide for orderly transition, addition or withdrawal of a PHA and termination of the consortium
38、 must take effect on the anniversary of the consortiums fiscal year. (b) The agreement must acknowledge that the participating PHAs are sub-ject to the joint PHA Plan submitted by the lead agency. (c) The agreement must be signed by an authorized representative of each participating PHA. 943.126 Wha
39、t is the relationship be-tween HUD and a consortium? HUD has a direct relationship with the consortium through the PHA Plan process and through one or more pay-ment agreements, executed in a form prescribed by HUD, under which HUD and the participating PHAs agree that program funds will be paid to t
40、he lead agency on behalf of the participating PHAs. Such funds must be used in ac-cordance with the consortium agree-ment, the joint PHA Plan and HUD regulations and requirements. VerDate Mar2010 10:07 May 20, 2011 Jkt 223080 PO 00000 Frm 00376 Fmt 8010 Sfmt 8010 Y:SGML223080.XXX 223080erowe on DSK5
41、CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-367 Asst. Secry., for Public and Indian Housing, HUD 943.142 943.128 How does a consortium carry out planning and reporting func-tions? (a) During the term of the consor-tium agreemen
42、t, the consortium must submit joint five-year Plans and joint Annual Plans for all participating PHAs, in accordance with part 903 of this chapter. HUD may prescribe meth-ods of submission for consortia gen-erally and where the consortium does not cover all program categories. (b) The consortium mus
43、t maintain records and submit reports to HUD, in accordance with HUD regulations and requirements, for all of the partici-pating PHAs. All PHAs will be bound by Plans and reports submitted to HUD by the consortium for programs cov-ered by the consortium. (c) Each PHA must keep a copy of the consorti
44、um agreement on file for inspection. The consortium agreement must also be a supporting document to the joint PHA Plan. 943.130 What are the responsibilities of participating PHAs? (a) Responsibilities, generally. Despite participation in a consortium, each participating PHA remains responsible for
45、its own obligations under its ACC with HUD. This means that the PHA has an obligation to assure that all program funds, including funds paid to the lead agency for administration by the consortium, are used in accordance with HUD regulations and require-ments, and that the PHA program is administere
46、d in accordance with HUD regulations and requirements. Any breach of program requirements with respect to a program covered by the consortium agreement is a breach of the ACC with each of the participating PHAs, so each PHA is responsible for the performance of the consortium. (b) Applicability of i
47、ndependent audit and performance assessment system re-quirements to consortia. Where the lead agency will manage substantially all program and activities of the consor-tium, HUD interprets financial ac-countability to rest with the consor-tium and thus HUD will apply inde-pendent audit and performan
48、ce assess-ment requirements on a consortium- wide basis. Where the lead agency will not manage substantially all programs and activities of a consortium, the con-sortium shall indicate in its PHA Plan submission which PHAs have financial accountability for the programs. The determination of financia
49、l account-ability shall be made in accordance with generally accepted accounting principles, as determined in consulta-tion with an independent public ac-countant. In such situations, HUD will apply independent audit and perform-ance assessment requirements con-sistent with that determination. With respect to any consortium, however, HUD may determine (based on a re-quest from the consortium or other cir-cumstances) to apply independent aud
