hud tenant files

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TENANT FILES. Permanent RecordContains all information related to tenancy from application intake through date of move-out Maintain during tenancy 3 yearsNot a

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1. HUDTENANT FILES Sponsored by AHMA NW, CMS & ORCA INFORMATION Presented by KDC Solutions LLC Karen Crosta

2. TENANT FILES Permanent Record Contains all information related to tenancy from application intake through date of move-out + Maintain during tenancy + 3 years Not a “working file” Security Locked file cabinet Limited access Proper disposal Organized and Properly Maintained Reviewed at HUD/CA MOR

3. MANAGEMENT REVIEW for MULTIFAMILY HOUSING PROJECTS Form HUD9834

4. MOR Tenant Files and Records Are the tenant files organized and properly maintained? Do the files contain all documentation as required in Handbook 4350.3, Rev. 1? Application/Tenant Selection Were the applications in the file signed and dated by the applicant? Was screening conducted in accordance with the Tenant Selection Plan?

5. MOR Lease Were the correct model leases used? Were the leases signed and dated by all required parties? Were the applicable attachments attached to the lease? Were security deposits collected in the correct amount for the program? Were pet deposits within acceptable range and payment installments allowed?

6. MOR Certifications/Recertifications Were recertification notices issued in accordance with HUD requirements? Were all necessary verifications completed and properly documented? Were income and deductions calculated correctly prior to data entry? Did income information on the tenant certifications agree with verified file information? Were notices provided to tenants when their portion of rent increased in accordance with HUD tenant notification requirements?

7. MOR (General) Is the lead-based paint acknowledgement in the file? Does the file contain the ethnicity and racial Data Certification as provided to the owner/agent? Have the HUD-9887/9887-A Consent forms been signed by head, spouse, co-head regardless of age and family members at least 18 years of age? Was the HUD-9887 Fact Sheet provided to tenant? Does the file contain the Resident Rights and Responsibilities acknowledgement?

8. MOR (General) Have the following items been verified and documented? Social Security Numbers for all family members at least 6 years of age and older or certification if no SSN Eligible immigrant status or citizenship Criminal and drug screening; sex offender registration Other screening as disclosed in Tenant Selection Plan Disability Student Status Age Did household certify whether or not they had disposed of assets during the past two years?

9. Common MOR FindingsTenant Files Information in file and name on the HUD 50059 don’t match Middle initial Foreign names Security Deposit amount on 50059 does not match file documents (usually the lease)

10. Common MOR FindingsTenant Files Citizenship documentation incomplete or missing Citizenship Declaration Owner’s Notice No. 1 Owner’s Summary of Family Members Family Members Summary Incorrect corrections to prior MOR findings Processing an Interim Recertification rather than a “Correction to a Prior 50059”

11. Common MOR FindingsTenant Files Using old forms that have since been revised for new move-ins House Rules/Pet Rules Lease Addenda Race/Ethnic data forms Etc. Not obtaining signatures/dates on new/current/revised forms House Rules/Pet Rules Lease Addenda

12. Common MOR FindingsVERIFICATIONS Income/Assets/Deduction calculations don’t match amount reported on HUD-50059 Missing documentation of WHY third party verification not available or used Verification forms missing a space for the Agency/Organization supplying the information

13. Common MOR FindingsLEASES Incorrect Initial term Using Incorrect Lease Incorrect Lease renewal terms Lease blanks not filled in

14. SOLUTIONS?

15. 6-PART TENANT FILE & CHECKLIST Section 1 – Application & Tenant Eligibility Documents Section 2 – Lease, House Rules, & Other Property Policies Section 3 – Move-In Certification & Related Documents Section 4 – Tenant Correspondence Section 5 – Move-In/Move-Out Unit Inspection/Checklist Section 6 - Recertifications

16. SECTION 1 Application and Eligibility Documents

17. Move-In Worksheet/Checklist Provides History of application process Checklist of all items to complete, to obtain signatures and to provide to tenant Monitoring system for obtaining required verifications

18. Section 1, cont…Tenant to receive copy of all Forms & Procedures Resident Personal Information Sheet/Emergency Contact All adults in household Should update annually Verification of Eligibility* Elderly Disabled Copy of Picture ID/Age ID* All adults Enlarge copy Birth Certificates All household members Use to document age, citizenship, and/or custody

19. Section 1, cont… Social Security Number Verification* ALL household members (effective 9/30/09) Front & back (enlarged) HUD Citizenship Package* All household members Owner Notice No. 1 Applicant Declarations Owners Summary of Family Family Summary Sheet Verification Consent Final Decision letter COPIES of Non-citizen documents (if applicable)

20. Section 1, cont Copy of Divorce/Separation Decree Pages re: Alimony/Child Support/Child Custody only Race/Ethnicity Certification* All HH members If applicant does not complete, notate form(s) & retain in file Student Status Questionnaire and related verifications* All adults Screening Applications, Releases & Reports*

21. Section 1, cont Rental Application Packet* Rental Application Cover Letter Application Status Notification Acceptance Notifications

22. Key Questions for Rental Applications

23. Have you or any Household Member: Ever been evicted or refused to pay rent? Ever been arrested, or charged for, or convicted of a crime? If yes to any of the above, give details. What is the nature of the offense? In what county(ies) and State(s)? When? Used any other names? If yes, list name(s) Registered or Unregistered Sex Offender? Currently using any illegal drugs?

24. SECTION 2 Lease, House Rules and Property Policies

25. Section 2 HUD OMB or HUD Approved Model Lease* Signed/dated by all adult HH members Signed/dated by owner representative (mgr.) Use correct Model Lease for program (Figure 6-2) Ensure all “blanks” are completed Ensure initial and renewal terms are correct for program (Figure 6-3) Ensure Security Deposit is correct for program (Figure 6-6) Same as on HUD 50059

26. Section 2 cont… Approved House Rules & Regulations* Signed/dated by all adults Violence Against Women Lease Addendum* Certifications Verifications (if applicable) Disclosure of Mold Information & Certification acknowledgement* One booklet per HH WA State requirement Lead-Based Paint Disclosure & Certification* Pre- 1978 One booklet per HH Other HUD approved Lease addenda or attachments*

27. Section 2 cont…. Approved Pet Rules/Agreement/Pet Registration* Elderly properties Recommend sign even if no pet Drug and Crime-Free Housing Policy (if applicable) Reasonable Accommodations/Modification Policy and Guidelines Include all documents related to applicant/tenant Requests/Responses Verifications (if applicable) Service animal rules (if applicable)

28. Section 2 cont…. Acknowledgement of receipt of:* Resident Rights and Responsibilities brochure Fraud: Is it Worth It? Flyer HUD Fact Sheet (for program) Signed & Dated Other approved policies* Rent Collection EIV Policy Interim Recertification Policies Unit Transfer Policy Parking Policies Etc.

29. Section 2 cont…. Certifications and Documents for Smoke Detector* Fire Policy Emergency Plan Grievance and Appeals Policy* Acknowledgement of receipt of Tenant Selection Plan Key Issue Form Hot Water Temperature Certification

30. SECTION 3 Move-In Rent Computation Documents

31. Section 3 Move-In Checklist* Move-In form HUD 50059* Signed & dated by all adults ON/BEFORE move-in date Related rent computation documents* Income/Asset Questionnaire Rent Computation Worksheet Verifications

32. SECTION 4 Tenant Correspondence

33. Section 4 Lease Violations Late Rent Notices Contract Renewal Notices* Lease/Rules & Regulations Modification Notices* Policy Change notices* Etc…

34. SECTION 5 Move-In/Move-Out Unit Inspection and Checklist

35. Section 5 Move-In Inspection form* Completed Signed/dated by tenant Signed/dated by owner agent (mgr) Copy of Security Deposit Receipt(s)* Copy of Pet Deposit Receipt(s)* Payment plans for Security/Pet Deposits Unit Inspection Notices/Checklists* Unit Entry notices Do not use for work orders or unit maintenance logs; use a separate “Unit Maintenance” file

36. SECTION 6 Annual and Interim Recertifications

37. Section 6 Place in order with most current on top Include events that require a HUD-50059-A Completed Recertification Checklist Place on top of the recertification packet Completed HUD-50059/50059-A* (computerized) May include hand-written HUD-50059/50059-A Signed/dated by owner/agent Signed/dated by tenant Verifications to support data on HUD-50059* Documentation of WHY 3rd party not available with evidence of efforts to obtain*

38. Section 6 cont… Computation/Data Entry Worksheet Third party Verifications of Income, Assets & Deductions, and other related verifications* Notification of Rent Change* HUD 9887/9887A Authorization to Release package* Include Fact Sheet or acknowledgement of receipt*

39. Section 6 cont…. Annual acknowledgement of receipt of: Resident Rights and Responsibilities brochure* Fraud. Is it Worth It? Flyer HUD program Fact Sheet* Signed by all adults Student Status questionnaire* Annually All adults Include any verifications Zero Income Statements/Questionnaires (if applicable)*

40. Section 6 cont…. Copy of 1st Reminder Notice with date issued* Copy of 2nd Reminder Notice with date issued* Copy of 3rd Reminder Notice/Termination of Assistance with date issued* Should be 1st class mail and hand-delivery to adult at unit (or posting) Original Initial Notice of next recertification* Tenant must sign/date Owner/agent must sign/date as witness Copy of signed notice to tenant Income/Asset Questionnaire All adults Each certification (Annual, Initial and Interim)

41. UPDATE HUD 4350.3, REV. 1, CHANGE 3

42. HUD 4350.3, Rev. 1, Change 3LIVE-IN AIDE For Elderly, Near-Elderly or Disabled persons MUST verify the need for a live-in aide** Necessary to provide the necessary supportive services essential to the care and well-being of the person(s) Obtain from person’s physician, psychiatrist or other medical practitioner or health-care provider Must approve as a Reasonable Accommodation Must meet screening criteria Drug abuse and other criminal activity Other owner criteria optional (NA: ability to pay rent on time)

43. HUD 4350.3, Rev. 1, Change 3SAVE Updated instructions for obtaining access to & use of SAVE system for verifying citizenship/ immigration status

44. HUD 4350.3, Rev. 1, Change 3STUDENT STATUS Student Status Clarified the rules regarding students in Section 8 vs. students in other programs Added a paragraph to clarify that financial assistance is a mandatory exclusion from income for non-Section 8 student households Added to Tenant Selection Plan requirement to address Student Eligibility

45. HUD 4350.3, Rev. 1, Change 3DEPLOYMENT OF MILITARY PERSONNEL TO ACTIVE DUTY Encourages leniency to support affected households, such as: Temporarily allow guardian to move into assisted unit on temporary basis; income of guardian excluded Temporarily allow tenant to care for dependent(s) of deployed military personnel (head/spouse) in assisted unit; income of child(ren) excluded Exclude from income hazard duty pay Take deployment into consideration if rent is late Allow assistance payments & lease to remain in effect beyond that required by the Soldiers’ and Sailors’ Civil Relief Act of 1940 (3 months) even though the adult members of the military family are temporarily absent from the unit.

46. HUD 4350.3, Rev. 1, Change 3INCOME The unearned income of Foster Children/ Adults is included in household income** Exclude from income pension funds paid directly to a former spouse pursuant to a court decree of divorce, annulment or legal separation Federal Government Uniformed Services* State* Local Government* Social Security* Private* Include as income pension funds received from a former spouse pursuant to a court decree of divorce, annulment or legal separation

47. HUD 4350.3, Rev. 1, Change 3INCIDENTAL BUSINESS IN UNIT Owners may establish rules re: tenants who conduct incidental business in their unit Computer work Limited babysitting Etc. Rules to cover Foot & vehicular traffic Noise associated with business Signage in unit windows Parking Hours of work if could disturb neighbors Other reasonable rules Incidental business is not a violation of Lease

48. HUD 4350.3, Rev. 1, Change 3RECERTIFICATIONS If HUD terminates assistance payments for failure to submit recertification within 15 months from previous year’s recert anniversary date Owner must repay assistance received for the 3 month period (13th, 14th & 15th months) Adjust voucher When new certification completed, follow the guidance in Par. 7-8 regarding effective dates of TTP and HAP If owner or 3rd party fault HAP on RAD TTP: Decrease = on RAD; Increase = after 30 day notice

49. HUD 4350.3, Rev. 1, Change 3HUD 50059-A Gross Rent Change, Unit Transfer & Termination of Assistance Owner signature required prior to TRACS submission Head of Household signature required whenever**: There is a change in Tenant Rent or Utility Reimbursement There is a Unit Transfer Required by State/local law NOTE: For Gross Rent Changes that affect Tenant Rent or Utility Reimbursement, signatures must be obtained within 60 days of implementation of the GRC. In all other cases, signatures must be obtained prior to TRACS submission** Effective 8/1/09

50. HUD 4350.3, Rev. 1, Change 3HUD-50059 & SUBSIDY DATA REPORTING Chapter 9 reissued in entirety to incorporate TRACS 202C requirements Added requirements for deposits to residual receipt account and returning subsidy to HUD for PRAC projects

51. HUD 4350.3, Rev. 1, Change 3NEW APPENDICES HUD 50059-A (Appx. 7 – 7C) Unit Transfer, Gross Rent Change, Termination of Assistance & Move-Out HUD 52670-A Part 3 (Appx. 10) Adjustments HUD 52670-A Part 4 (Appx. 10) Miscellaneous Accounting HUD 52670-A Part 5 (Appx. 10) Approved Special Claims

52. Thank You

53. www.hud.gov/subscribe/mailinglist.cfm

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