How to Conduct and Document Handbook-Required Meetings with Residents

HUD requires you to offer to meet with applicants and residents in specific circumstances. These meetings let applicants and residents dispute important decisions that you’ve made about their housing assistance. We’ll describe three situations you’ll most likely deal with in which you must offer to meet with applicants and residents. We’ll also tell you how to properly notify applicants and residents that they can request a meeting, what penalties you’ll face for not offering to meet, what you must do during and after the meetings, and what documents to keep about the meetings. In addition, we’ll give you Model Forms: Document Meetings with Applicants and Residents, that you can adapt and use to document these meetings.

1. Rejecting an Application

When offer required. If you reject an application to your site, you must offer to meet with the applicant [HUD Handbook 4350.3, par. 4-9(C)(2)(b)].

How to notify applicants. When you inform applicants, in writing, that you’ve rejected their applications, as required by HUD, tell them they have 14 days to request a meeting with you or to write back disputing the rejection [Handbook 4350.3, par. 4-9(C)(2)]. The handbook isn’t clear about whether the 14-day period starts when you send the rejection letter or when the applicant gets it. Ask your contract administrator, local HUD office, and attorney for their interpretation of when the 14-day period starts and include that advice in your written site policies. That will help your staff treat all applicants the same.

How to conduct meeting. A member of the owner/management company staff who wasn’t involved in the decision to reject the application must lead the meeting [Handbook 4350.3, par. 4-9(D)(1)]. This person will preferably be a supervisor and will know HUD rules and can evaluate the application anew.

> Who should attend. Have the person who rejected the application—usually the site manager—attend the meeting. That person can explain the decision to the applicant. Let the applicant bring someone—such as a family member, social worker, or attorney—to the meeting. That could help prevent a discrimination claim later.

> What to discuss. Start by explaining that the meeting is the applicant’s chance to say why the application should be accepted. Then the staff member who rejected the application should explain that decision.

The staff member should emphasize that the decision was based on HUD and site rules. For example, if the site rejected the application of a single adult applicant because he didn’t disclose or provide verification of his Social Security number, even though he was issued one, the staff member should explain that HUD rules allow sites to reject an application if an applicant doesn’t disclose his Social Security number and he has one [Handbook 4350.3, par. 4-9(B)]. To end the meeting, ask the applicant for any other information that should be considered.

> Document the meeting. At the end of the meeting, have the applicant and the meeting leader fill out a form documenting that the meeting took place and what was said. Ask the applicant to sign and date the completed form at the end of the meeting to show that he agrees it accurately reflects what was said at the meeting and to confirm that he had a full opportunity to discuss why the site should accept the application. The management representative should also sign and date the completed form. Then, file the completed form and your final decision in the applicant’s file.

What to do after meeting. Within five business days after the meeting, give the applicant a final written decision on whether the application is accepted or the prior rejection will stand [Handbook 4350.3, par. 4-9(D)(2)].

Documents to keep. If the applicant claims that you didn’t hold the meeting after he requested it or further challenges the rejection, you’ll want documentation that you held the meeting and what was said there. Use Model Form #1: Record of Meeting with Rejected Applicant to do this. It lets you record:

• Meeting date;
• Applicant name;
• Management representative conducting meeting;
• Management representatives (in addition to the one conducting the meeting) attending the meeting;
• Applicant representatives attending the meeting;
• Points made by applicant and/or his or her representative during the meeting;
• Points made by the management representative during the meeting; and
• Additional comments.

Penalty. The handbook doesn’t specify a penalty for not offering to meet with the applicant. But you risk losing points on a management and occupancy review (MOR) if your contract administrator or local HUD office finds rejection letters that don’t include the offer.

2. Seeking Resident’s Eviction

When offer required. You must offer to meet with a resident before you sue to evict for any reason [Handbook 4350.3, par. 8-13(B)(2)(c)(4)].

How to notify resident. In the written eviction notice that HUD requires, give the resident 10 days to discuss the eviction with you [Handbook 4350.3, par. 8-13(B)(2)(c)(4)].

For Section 236, Section 221(d)(3) BMIR, Rent Supplement, Section 202/8, Section 202 PAC, Section 202 PRAC, Section 811 PRAC, Section 8 Loan Management Set-Aside, and Section 8 Property Disposition Set-Aside sites, the 10-day period begins on either the date you mailed the notice or the date you personally delivered the notice, whichever is later [Handbook 4350.3, par. 8-13(B)(3)(c)].

For all other Section 8 programs, the service of notice rules and when the notice is deemed effective depends on state and local laws.

How to conduct meeting. You should have someone who wasn’t involved in the eviction decision lead the meeting. That way, the person can look at the situation fresh. If possible, the leader should be a supervisor who’s knowledgeable about HUD rules and can judge whether there are adequate grounds to evict the resident.

> Who should attend. Have the person who decided to evict the resident—usually the site manager—attend the meeting. That person can rebut inaccurate claims the resident may make during the meeting. To avoid potential allegations of discrimination, it’s a good idea to let the resident bring someone, such as a family member, social worker, or attorney, to the meeting.

If you think the resident may fight the eviction, it may be a good idea to bring a witness to the meeting. A witness can take detailed notes of the meeting and confirm what was said.

> What to discuss. Start the meeting by citing the reason for the eviction and then letting the resident explain why the site shouldn’t evict him. Then have the staff member who decided to evict the resident explain why. The staff member should emphasize that the resident violated a lease provision. Show the resident a copy of the specific provision. Let the resident respond. After you’ve given the resident a full opportunity to explain why he shouldn’t be evicted and to discuss the eviction notice, end the meeting.

> Document the meeting. At the end of the meeting, have the resident and the meeting leader fill out a form documenting that the meeting took place and what was said. Ask the resident to sign and date the completed form to show that he agrees it accurately reflects what was said at the meeting and to confirm that he was given a full opportunity to discuss the eviction notice. The meeting leader should also sign and date the completed form. File the completed form and your final written decision in the resident’s file.

What to do after meeting. Though the handbook doesn’t specifically require it, you should send the resident a final written decision on whether the site will pursue the eviction. Your letter should be factual and straightforward. For example, you might tell the resident that after careful consideration of the information presented at the meeting, you’re not convinced that he didn’t violate the lease, and the site will pursue the eviction.

Documents to keep. In case the resident challenges the eviction or says you didn’t hold the meeting as requested, you’ll want documentation of the meeting and what was said there. Use Model Form #2: Record of Meeting with Resident about Eviction Notice, to do this. It lets you record:

• Date of eviction notice;
• Meeting date and location;
• Resident name;
• Meeting leader name;
• Management representative attending the meeting;
• Resident representatives attending the meeting;
• Points made by resident and/or his representative during the meeting;
• Points made by the management representative during the meeting; and
• Additional comments.

Penalty. A court could dismiss your eviction case if your eviction notice didn’t offer to hold this meeting. Further, if the resident tells HUD your eviction notice didn’t include the offer, HUD will probably require you to send a new eviction notice containing the offer, ultimately slowing down the eviction process. Also, if a contract administrator or local HUD office finds eviction notices without the offer, you risk losing points on your MOR.

3. Deciding No Extenuating Circumstances Justify Late Recertification

When offer required. If a resident doesn’t give you recertification information by his anniversary date, even though you sent recertification reminders in accordance with HUD rules, you’re supposed to terminate the assistance and increase the rent to market rent [Handbook 4350.3, par. 7-8(D)(3)(b)].

In a Section 202 PRAC or Section 811 PRAC project, however, the tenant will be evicted for failing to comply with the recertification requirements. And the tenant will pay the greater of operating rent or 30 percent of income until eviction procedures are completed.

If the resident gives you the information on or after his anniversary date, you’re required to ask if “extenuating circumstances” prevented him from providing the information before his anniversary date [HUD Handbook 4350.3, par 7-8(D)(4)].

If the resident says yes, he must offer proof of the circumstance so you can decide whether “extenuating circumstances”—which HUD defines as circumstances beyond the resident’s control, such as hospitalization, military duty, or an out-of-town family emergency—prevented him from getting you the information on time [HUD Handbook 4350.3, par. 7-8(D)(4)(a)]. You must notify the resident, in writing, of your decision about whether extenuating circumstances prevented him from getting the information to you earlier [HUD Handbook 4350.3, par. 7-8(D)(4)(d)]. If you decide there weren’t extenuating circumstances, you must offer to meet with the resident to discuss the decision within 10 days of notification [Handbook 4350.3, par. 7-8(D)(4)(e)].

How to notify resident. The handbook isn’t clear on how to notify residents of their right to meet with you. An easy way is to include the offer when you inform the resident that you decided extenuating circumstances didn’t prevent him from getting you his recertification information by the anniversary date [Handbook 4350.3, par. 7-8(D)(4)(d)].

How to conduct meeting. Here are HUD’s rules:

> Who should lead. The handbook requires someone who wasn’t part of the original decision on extenuating circumstances to lead the meeting [Handbook 4350.3, par. 7-8(D)(4)(e)].

> Who should attend. Have the person who made the decision about extenuating circumstances attend the meeting to explain. HUD rules say the resident may have someone else—for example, an attorney—help him at the meeting [Handbook 4350.3, par. 7-8(D)(4)(e)].

> What to discuss. Let the resident explain why extenuating circumstances prevented him from getting his recertification information to you by the anniversary date. Next, the staff member who made the decision should explain the reasoning.

Be generous in letting the resident offer information and present arguments. The handbook says the resident may present information for consideration and may respond to information presented by others at the meeting [Handbook 4350.3, par. 7-8(D)(4)(e)]. End the meeting after the resident has confirmed that he has discussed all his points.

> Document the meeting. At the end of the meeting, have the resident and the meeting leader fill out a form verifying that the meeting took place and what was said. Ask the resident to sign and date the completed form. His signature shows that he agrees it accurately reflects what was said at the meeting and confirms that he was given a full opportunity to discuss the extenuating circumstances and address why the site shouldn’t raise his rent. The meeting leader should also sign and date the completed form. Then file the completed form and your final written decision in the resident’s file.

What to do after meeting. Though it’s not required by the handbook, you should send the resident a final decision after the meeting. What you should do after that will depend on whether you decide to uphold your original decision regarding extenuating circumstances.

> Decide to uphold. If you stand by your decision, the resident will have to pay market rent as of his anniversary date. Then you need to decide if you can reinstate his assistance. If the resident’s late recertification information indicates that he’s still eligible for rental assistance, follow HUD’s rules for reinstating assistance [Handbook 4350.3, par. 7-8(D)(3)]. For details on how to do this, ask your contract administrator or local HUD office.

If all the units at your site are covered by a subsidy, such as Section 8, the new rent should normally be effective on the first of the month following the date on which the resident gave his recertification information [Handbook 4350.3, par. 7-8(D)(3)(d)]. If all your units aren’t covered by a subsidy, the resident will probably have to go on the waiting list.

> Decide to overturn. If you change your prior decision, calculate the resident’s rent based on the recertification information provided. The handbook says that rent and subsidy are then retroactive to the resident’s anniversary date [Handbook 4350.3, par. 7-8 (D)(5)]. This situation can get complicated, so get detailed advice from your contract administrator or local HUD office on steps you must take. Ask whether you need to give the resident 30 days’ notice of a rent change (if there is one) and if so, how to do so in this situation.

Documents to keep. If the resident challenges your decision or says you didn’t hold the meeting though he requested it, you’ll want documentation verifying that you held the meeting and what was said there. Use Model Form #3: Record of Meeting with Resident about Extenuating Circumstances, to do this. It lets you record:

• Meeting date and location;
• Resident name;
• Meeting leader name;
• Management representatives attending the meeting;
• Points made by resident and/or his representative during the meeting; and
• Points made by the management representative during the meeting.

Penalty for not offering meeting. The handbook doesn’t specify a penalty. But if later on you were to sue the resident for nonpayment of the market rent, not having offered a meeting could jeopardize your nonpayment case. The resident might even challenge the rent increase.