U. S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT CAPITAL FUND GREEN PHYSICAL NEEDS ASSESSMENT (GPNA) JANUARY 10, 2013
AGENDA • • • Overview, Strategic Planning, GPNA, Energy Audit, and Rollout Ø 90 Minutes Break Ø 5 Minutes Questions and Answers Ø 25 Minutes Basic Demonstration GPNA Software Ø 30 Minutes Break Ø 5 Minutes Questions and Answers Ø 25 Minutes 2
CAPITAL FUND - GPNA Overview 3
CAPITAL FUND - GPNA Introduction Implementation of the GPNA is an import new activity for PHAs. ØIt is not simply a form to be submitted. It is designed to provide PHAs with data to make informed strategic decisions about their Public Housing portfolio and operations. It will require a significant investment of time and resources by PHAs and HUD. ØImplementation will be a marathon not a race. ØPlan accordingly. PHAs will be working primarily with their local Field Offices to implement the new GPNA requirements. 4
CAPITAL FUND - GPNA OVERVIEW • U. S. Housing Act of 1937 – Public Housing Enabling Legislation Ø Provide decent, safe, and sanitary housing for low- income families. Ø Significant production 1940– 1975. Ø Today there are over 1. 1 million public housing units around the country. 5
CAPITAL FUND - GPNA OVERVIEW • 1937– 1968 PHAs charged “low rents” to live in public housing Ø Low rents enough for basic operations. Ø No Federal subsidies. 6
CAPITAL FUND - GPNA OVERVIEW • 1968 Congress passes the Brooke Amendment o Limits PHA rent to not more than 30% (originally 25%) of a low-income family’s income. o Effectively limits PHA ability to maintain the physical condition of public housing. 7
CAPITAL FUND – GPNA OVERVIEW • 1968 Congress begins to appropriate operating subsidies and modernization funding Modernization Funding § Modernization programs have evolved over time: Ø 1968. Comprehensive Improvement Assistance Program (CIAP) for all PHAs. Ø 1990. Comprehensive Grant Program (CGP) for PHAs with 500 and more units initially, later 250 and more units. Ø 1998. Capital Fund for all PHAs. § Included in new “PHA Plan” required by the Quality Housing Work Responsibility Act (QHWRA). 8
CAPITAL FUND – GPNA OVERVIEW Capital Needs Studies • HUD contracts with Abt Associates to determine national backlog and annual accrual. • Two contracts: 1998 and 2010. Ø Ø § 1998: q Backlog – $20 billion; Annual Accrual – $2 billion. 2010: q Backlog – $26 billion; Annual Accrual – $3 billion. Public housing has lost more than 10, 000 units per year in each year of the last decade. 9
CAPITAL FUND – GPNA OVERVIEW Capital Needs Studies • Capital Needs studies indicate that PHAs need to change the way they manage their public housing portfolio over time: Ø Need longer term strategic planning. Ø Need to look at additional funding sources to fund modernization and development requirements. Ø Successful long term management of housing requires time. Ø PHAs need to start now. 10
CAPITAL FUND - GPNA Strategic Planning 11
CAPITAL FUND – GPNA STRATEGIC PLANNING Given capital needs studies and related data: • • Long and short term strategic planning is necessary. Remember-Each annual Capital Fund ACC amendment is for a 20 year period. PHA Plan: • PHAs required to do strategic planning through the PHA Plan, which includes an analysis of how they plan to use their Capital Funds over the next 5 years. 12
CAPITAL FUND – GPNA STRATEGIC PLANNING PHAs must answer some basic questions in strategic planning: • How much do we need to maintain our inventory now and over the long term? • What are we going to do with our inventory? Ø Repair, modernize, demolish, disposition, replace; sale as homeownership some or all of the above? • Where are we going to get the money? 13
CAPITAL FUND – GPNA STRATEGIC PLANNING In order to answer the questions and conduct the required planning, as a starting point: • PHAs must have a physical needs assessment (PNA). As a part a condition for receiving funding under ARRA, PHAs agreed to conduct PNAs. 14
CAPITAL FUND - GPNA New HUD Requirements 15
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Rule Changes HUD published two proposed amendments to the Capital Fund regulation at 24 CFR 905 in 2010 and 2011: § All PHAs to conduct a PNA as part of the Capital Fund requirements. Ø Referred to as the GPNA. § Moves the existing energy audit requirement from 24 CFR 965 to the Capital Fund Rule at 24 CFR 905. 16
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • All PHAs, regardless of size, must prepare and submit to HUD a PNA. • GPNA will include PHA level summary information, as well as detailed data on each public housing project/AMP. • GPNA will reflect life cycle costs over a 20 -year period. 17
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • GPNA will be conducted without regard to the amount of funding available to perform work identified in the PNA. • The cost of the PNA is an eligible Capital Fund expense. • Will be completed in the form and manner prescribed by HUD. 18
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • GPNA will also account for costs associated with: Ø Complying with Section 504 of the Rehab Act. Ø Planned demolition. Ø Healthy Homes guidance regarding air quality and pest management. 19
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • GPNA will be submitted to HUD. o The first GPNA will be due not later than: Ø Ø o 120 days prior to the end of the PHA fiscal year. Beginning 120 days from the effective date of the final rule. May include data from PNA collected up to 2 years prior to the submission due date for the first GPNA if it meets new standards (e. g. , 20 -year assessment, integration with energy audit, etc. ; see notice PIH 2010 -46). 20
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • GPNA will be submitted to HUD. o Example on Timing: Ø Assume Final Rule Published: 3/2/2013. Ø Effective Date Final Rule: 4/1/2013. Ø First PNAs Due after: 7/30/2013. Ø Due date: 9/1/2013 (FYE 12/31 PHA). 21
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • PNA provider will be experienced in performing residential assessments and have knowledge of building systems, health and safety issues, structural issues, energy efficiency and green construction, and cost estimating, including: Ø Ø Ø • 5+ years of experience facility inspection/assessment. 5+ years of experience cost estimating. Knowledge of applicable building codes. Knowledge of energy efficiency/green practices. Working knowledge of computer technology and systems. Third Party is not required if staff members are qualified and if PNA is not used for a transaction that may require a third party objective assessment. 22
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • PHA must use the software provided by HUD, known as the GPNA. (GPNA produces the required format of submittal to HUD). • Must be performed in conjunction with energy audit and integrated in the GPNA. • Energy audits done within 3 years of the due date of the first GPNA will not have to be redone if they meet the new energy standards. • After the GPNA is completed by the PHA, data extract will be emailed to HUD. 23
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • After the first GPNA is completed, the PHA submits to HUD an annual update, until the next scheduled GPNA is due. Ø Annual updates will include only modernization work completed during the past year. • GPNA is not a commitment document. • GPNA will be used to prepare its PHA 5 -Year and Annual Plans, including Capital Fund portions. 24
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • PHAs will download PIC building and unit data characteristics into the GPNA. Ø PIC download data currently updated approximately every 2 -3 weeks. Ø Accurate PIC data is critical: o PHA GPNA upload to HUD will not be accepted unless the building and unit counts match PIC EXACTLY. 25
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • PHA can either purchase commercial cost indices of its choosing and input cost data into GPNA, or use supportable cost data, such as a custom cost database prepared for the PHA. Ø • Commercial cost indices (or PHA cost data) will be used by the PHA to build the “cost library” in the GPNA. This effort will be very staff intensive for the first GPNA. Ø Subsequent GPNAs will not require the same level of pre-assessment work. Ø Data can be carried over and then updated as appropriate. 26
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • Cost library will require data from individual projects/AMPS, such as: Ø Architectural “takeoffs” for individual building components such as amount of square or linear feet of a component. Ø The Effective Useful Life (EUL) of each individual building component. Ø The Remaining Useful Life (RUL) of each individual building component. 27
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • GPNA may be performed by either PHA staff or contractors, as the PHA determines appropriate, as long as they meet the HUD qualifications. • PHA shall make the results of the PNA available to the residents and Resident Advisory Board at time of submission to HUD. 28
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS GPNA • A PHA shall be subject to sanctions if it: Ø Ø • Does not submit the GPNA in accordance with the HUD timeframes. Does not make corrections required by HUD. Sanctions are the same as those currently available to HUD, e. g. , corrective action order, etc. 29
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • The new energy audit requirements are more descriptive than before. • They will PHAs with more standardization and practical information to assist PHAs in: Ø Identifying cost effective energy conservation measures and Ø Reducing both capital and operating costs. 30
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • As before: Ø Ø • All PHAs, regardless of size, will do an energy audit for each public housing project/AMP. Energy audit will be performed not less than once every 5 years. These requirements will continue. 31
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • Energy audit will review projected costs, savings, and payback periods related to variety of energy conservation measures (ECMs). • ECM: Reduces utility and energy consumption. • Energy audit Ø May include “green measures” that do not save energy. Ø May provide information on environmental or potential health benefits of green measures (e. g. , air quality). 32
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • PHAs not required to implement specific ECMs, unless required by statute. • PHA shall integrate utility management with capital planning to maximize energy conservation. • Energy audit shall be done in conjunction with the GPNA. 33
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • Energy audit not required if: Ø Current energy audit is less than 3 years old and meets the standards of the new rule. Ø Demolition/disposition approved by HUD. • Timing (pending publication of the Final Rule). 34
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • Core ECM — proven track record at reducing energy and water consumption: Ø Building envelope (e. g. , insulation). Ø Heating, cooling, and other mechanical systems. Ø Water conservation. Ø Power, lighting systems, and controls (e. g. , CFL). Ø Appliances (e. g. , Energy Star). 35
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • Advanced ECMs — advanced, experimental, or difficult. Ø Fuel conversion. Ø Conservation technologies (energy management systems). Ø Energy-generating technologies and renewable energy systems (solar, geothermal). 36
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • Energy audit must, at minimum, address Core ECMs and: Ø A summary of findings. Ø Assessment of energy-related physical components within Core ECMs. Ø Assessment of operations and maintenance and resident education related to energy conservation and green. Ø Analysis of fuel, electric, and water bills and usage for PHA held accounts. Ø Identification of cost-effective ECMs. 37
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • Energy audit must, at minimum, address Core ECMs and: Ø Categorization of ECMs into payback periods of: q 5 years or less. q 5 to 10 years. q greater than 10 years. 38
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • Energy audit must, at minimum, address Core ECMs and: Ø Projected cost of the ECMs and the incremental cost of the ECMs. Ø Projected annual savings in water consumption. Ø Projected annual energy savings in both consumption and dollars for the recommended ECM. 39
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit § Expected Useful Life for recommended ECMs and green measures. Ø Life cycle costs or savings of ECMs, including disposal, maintenance, etc. Ø Identification of elements, not quantification. 40
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Energy Audit • Energy Audit must also address: Ø Related physical improvements. Ø Reliable data from previous audits that may carryover. Ø Differentiate ECMs between those considered routine operating and maintenance, and those that are capital in nature. 41
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Implementation and Rollout • Timing of completion and submission of initial GPNA and Energy Audits. Ø TBD – (pending publication of the Final Rule). Ø Anticipated that both will be published as a single Rule. 42
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Implementation and Rollout • HUD contracted with Econometrica, Inc. to support implementation: Ø Provide HUD (HQ and Field Offices), PHAs, and GPNA Providers with: o o Technical assistance in implementing the new GPNA and Energy Audit requirements (via the Field Offices). Training on the new GPNA and Energy Audit requirements. 43
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Implementation and Rollout Econometrica will provide training opportunities: § Webinars: Ø Ø Ø § PHAs and for provider/contractors. January 10, 2013 February 27, 2013 On-Site (Washington, DC) Training: Ø Ø For PHAs and for provider/contractors February 6, 2013 in Washington, DC 44
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Implementation and Rollout Econometrica will provide and/or manage: • Technical Assistance (TA): Ø Web-based TA, including: q q Ongoing FAQs, regularly updated. Email-based Qs and As, including tracking of questions and responses. 45
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Implementation and Rollout Econometrica will provide and/or manage: • Technical Assistance (TA): Ø Quality Control (QC) reviews of completed GPNAs during implementation. q QC will include reviews of submitted PNAs and data analysis. Ø Issue resolution and tracking system to address items identified during QC. Includes coordination between HUD HQ, HUD Field Offices, PHAs, and PHA GPNA Providers. 46
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Role of PHA § Upon publication of the Final Rule, PHAs will begin to complete and submit data from GPNAs and Energy Audits to HUD. § PHAs may elect to contract this task to a third-party GPNA Provider. Ø Sample SOW is available for this purpose. Ø Not a required document, PHAs are invited to edit and revise the document to suit its needs and circumstances. 47
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Role of PHA • Prior to publication of the Final Rule, PHAs can begin preparing to complete the GPNA. • Starting to prepare for the GPNA TODAY is not too early. 48
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Role of PHA • The first step in preparing for the GPNA is to decide who will be involved in completing and submitting the GPNA to HUD: Ø Executive level. Ø Property management and maintenance. Ø PHA architect and/or engineer. Ø PHA information technology. Ø Finance, accounting, and procurement. 49
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Role of PHA • Other preparation will include: Ø Validate accuracy of PHA PIC data—critical. Ø Become familiar with the GPNA tool. Download the prototype first for practice. Ø Review GPNA Webinars on HUD’s Web site at http: //portal. hud. gov/hudportal/HUD? src=/program_offices/public_in dian_housing/programs/ph/capfund/physicalassessment. Ø Download GPNA User Guide from HUD’s Web site at http: //portal. hud. gov/hudportal/HUD? src=/program_offices/public_in dian_housing/programs/ph/capfund/gpnatool. Ø If the PHA plans to contract out completion of the GPNA, begin working on procurement solicitation (Request for Proposals). 50
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Role of PHA • Other preparation will include: Ø GPNA requires the assessment of a sampling of buildings and units. Sampling is substantially the same as currently required by the HUD Modernization Standards Handbook: § For dwelling spaces, survey a minimum of 10% of the number of units per project of similar condition. § § Not just a straight 10% sampling if more are required to obtain a diversity of unit characteristics. For non-dwelling spaces, survey up to 100% but at least 50% if conditions are known to vary; or if all spaces are known to be in the same condition, survey at least 20% of the total. 51
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Role of PHA • PHAs should examine the sampling requirements and determine the sampling sets for each of its projects/AMPS. • Data collection. PHAs will need to collect and consider various types of documentation in addition to the projectspecific architectural data noted above: Ø At least 1 year of energy bills for all PHA-held accounts (tenantheld accounts if available); 3 years is recommended. Ø Copies of any previous energy audits, PNAs, EPC documentation, 504 assessments, and other similar property assessments. 52
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Role of PHA • Data collection. PHAs will need to collect and consider various types of documentation: Ø Maintenance log or summary, preventative maintenance plan. Ø Building drawings if available. Ø Current bids for major work if available, and local cost records and database if developed. Determine if a standard or customized cost index will be used. Ø Capital Fund P&E reports for up to 5 years. Ø UPCS Annual inspection reports. 53
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Role of PHA • As you can see, preparation for completing and submitting the GPNA will require a substantial investment of staff and other resources. • In addition, completing the GPNA requires considerable lead time. • Now is not too early to start the process. • If done properly, the GPNA will give the PHA a valuable tool for assisting in its long-term planning for the future of its public housing inventory. 54
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Working with your HUD Field Office • Upon publication of the Final Rule, PHAs will begin to complete and submit data from GPNAs and Energy Audits to HUD. • PHAs should look to their local HUD Field Offices as their first and primary point of contact on all matters involving completion and submission of the GPNA to HUD. • HUD Field Offices will be tracking the completion of the GPNA. Ø PHAs should expect to report to their local Field Office on their progress in completing and submitting the GPNA. 55
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Working with your HUD Field Office • PHAs will work with their local HUD Field Office to resolve any anomalies in PIC. Ø • Econometrica will track resolution of the anomalies. Email questions that originate from a PHA or PNA Provider will be referred to the appropriate Field Office for response. Ø The Field Office will communicate with the PHA on the response. 56
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Working with your HUD Field Office • As PHAs complete and upload GPNAs to HUD, Econometrica will Perform QC and analyze data. • PHAs will work with their local Field Office to resolve any data anomalies. 57
CAPITAL FUND – GPNA NEW HUD REQUIREMENTS Working with your HUD Field Office • At the conclusion of the first full round of submittals: Ø Econometrica will conduct onsite Quality Assurance (QA) at a statistically valid sample of PHAs around the country to perform an independent GPNA. Ø PHAs will work with their local HUD Field Offices and Econometrica in order to accomplish the QA GPNA. 58
CAPITAL FUND – GPNA QUESTIONS & ANSWERS Inquiring Minds Want to Know. Now it’s time for your Questions and Answers. Please email questions to PHAPNA@HUD. GOV. 59
CAPITAL FUND – GPNA SOFTWARE DEMO Would you like to see the new Capital Fund GPNA software? We will now explore the Critical Knowledge for successful GPNA Tool usage. 60
CAPITAL FUND – GPNA TOOL DEMO The GPNA Tool is located on HUD’s GPNA Resource webpage at: http: //portal. hud. gov/hudportal/HUD? src=/program_offic es/public_indian_housing/programs/ph/capfund/gpnatool This page also contains: • A link to download the prototype version and the actual “GPNA Tool” for you to start using; • The Installation Guide and a User Manual; • The email address for questions: PHAPNA@HUD. GOV; and • Frequently Asked Questions (coming late 2012). 61
CAPITAL FUND – IMPORTING AND EDITING PIC DATA Before importing, make sure that your PIC data is correct. If it is not correct, fix the PIC information online (in PIC) per the established PIC revision procedure. The PIC download is updated every 2 weeks, so wait until you are ready to start if there any recent changes. 62
CAPITAL FUND – IMPORTING AND EDITING PIC DATA Download your PIC file from the email and save it to your computer. Click the “Import PIC Data” button on the Control Panel and navigate to where you saved your data file, then select it and click the “Open” button. The download will contain all AMP building and unit data. YOUR FINAL REPORT WILL NOT UPLOAD UNLESS THE BUILDING AND UNIT COUNTS MATCH PIC EXACTLY. 63
CAPITAL FUND – GPNA TOOL DEMO At a minimum, you must have 4 pieces of information for each Line Item … 1. An EUL … “Estimated Useful Life” (in years) (Entered in Cost Library); 2. A cost per unit for replacement (and/or refurbishment) … for example … each, sq. foot, linear foot, etc. (Entered in Cost Library); 3. A RUL … “Remaining Useful Life” (Entered on the Inspection Form); and 4. A “Takeoff” amount – the quantity of each Line Item (Entered on the Inspection Form). 64
CAPITAL FUND – GPNA SAMPLING You are not required to actually inspect each building and unit (but they all must be in the GPNA Tool and be part of a Building Set and a Unit Set). You must inspect 10%, or more, of the units in each Unit Set. You must inspect 20%, or more, in each Building Set. There is nothing to stop you from inspecting everything, particularly if you are using the program to store other information beyond the minimum required data points. 65
CAPITAL FUND – GPNA QUESTIONS & ANSWERS Inquiring Minds Want to Know. Now it’s time for any Final Questions and Answers. Please email questions to PHAPNA@HUD. GOV. 66
CAPITAL FUND – GPNA: ADDITIONAL INFORMATION For more information and future updates, please visit the GPNA Resource webpage at: http: //portal. hud. gov/hudportal/HUD? src=/program _offices/public_indian_housing/programs/ph/capfun d/gpnatool Follow-up questions may be emailed to: PHAPNA@HUD. GOV 67
CAPITAL FUND – GPNA: EVALUATION Please complete the online evaluation of this program located at: https: //www. surveymonkey. com/s/HL 7 XY 3 N This evaluation will remain open for 7 days following the original broadcast of this presentation. Thank you for your valuable feedback. 68
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