The Trainer

March 20, 2011

MAINTAINING COMPLIANT HOUSEHOLD FILES

In this month's feature, we discussed what you need to know about maintaining compliant household files. We gave you a checklist of the documents and information that should be in your household files, such as signed applications, income verifications, signed leases, lease addenda, security deposit receipts, recertification forms, unit inspection forms, and household correspondence.

MAINTAINING COMPLIANT HOUSEHOLD FILES

In this month's feature, we discussed what you need to know about maintaining compliant household files. We gave you a checklist of the documents and information that should be in your household files, such as signed applications, income verifications, signed leases, lease addenda, security deposit receipts, recertification forms, unit inspection forms, and household correspondence.

You could be asked to provide access to your files if your site is part of an audit by HUD's Office of Inspector General. If the auditor finds significant problems, it's likely that the auditor will want to dig into files for previous years and/or more files from the same year.

Also, during your management and occupancy review (MOR), your contract administrator or local HUD official will examine the household files you maintain for your site. Disorganized or incomplete household files can affect your site's rating.

 

TRAINER'S QUIZ

INSTRUCTIONS: Each of the questions below has only one correct answer. On a separate sheet of paper, write down the number of each question, followed by the answer you have chosen—for example, (1) b, (2) a, and so on. The correct answers (with explanations) follow the quiz. Good luck!

QUESTION #1

The household file should include not only the completed application for the household, but also any pre-application you use, such as a briefer application form with minimum information if the household is placed on a waiting list. True or false?

  1. True.

  2. False.

QUESTION #2

HUD requires that you screen applicant household members for certain drug-related and criminal history, including:

  1. Traffic violations.

  2. School disciplinary actions.

  3. Sex offender history.

  4. All of the above.

QUESTION #3

Which statement is a best practice when it comes to verification of Social Security numbers?

  1. You should include documentation of only full-time employed residents.

  2. You should include documentation you used to verify the Social Security number of each household member over the age of 6.

  3. You should include documentation of only foreign-born citizens.

QUESTION #4

HUD requires you to provide residents with the HUD-9887 Fact Sheet that describes:

  1. Verification requirements and protections that are part of the verification process.

  2. What the site looks like.

  3. How to hire an attorney.

QUESTION #5

The most common errors in household files are:

  1. Misspellings of the household's last name.

  2. Missing signatures and dates.

  3. Smudges on the verification forms.

QUESTION #6

Your household files should never contain anything that includes a medical diagnosis. True or false?

  1. True.

  2. False.

QUESTION #7

You should not place in household files copies of a household member's:

  1. Pay stubs.

  2. Divorce papers.

  3. Savings bonds.

QUESTION #8

HUD does not require EIV reports to be placed in household files. True or false?

  1. True.

  2. False.

Click To Show/Hide The Quiz Answers

 

ANSWERS & EXPLANATIONS

 

QUESTION #1

Correct answer: a

It is also important that the application be “certified” with the applicant's signature to verify the accuracy and completeness of the information provided. If you sent the applicant household a letter to say that it was placed on the waiting list, be sure a copy of that letter is included in the file.

QUESTION #2

Correct answer: c

HUD wants you to screen for sex offender history. You also are permitted (but not required) to screen for credit and rental history. The household file should include proof that you conducted the required screenings and also proof of any optional screenings.

QUESTION #3

Correct answer: b

If an applicant household member was not issued a Social Security number, the file should include a signed statement to that effect. If you have questions about what documents can be used to verify Social Security numbers, check Appendix 3 of Handbook 4350.3.

QUESTION #4

Correct answer: a

You also are required to provide the Resident Rights and Responsibilities brochure at move-in and annually at each recertification. Include proof that your residents received these documents, such as a signed form acknowledging that they did.

QUESTION #5

Correct answer: b

Such oversights can be very costly in a review, dropping your overall MOR rating. It looks like management is deficient and does not have basic knowledge of compliance, according to experts.

QUESTION #6

Correct answer: a

You can have, for example, information that a disabled resident needs a certain type of unit due to a disability, but not specific information about the disability. If you use a standard template to verify the disability with the medical provider, then you won't acquire information you shouldn't have.

QUESTION #7

Correct answer: c

Savings bond serial information is confidential and should not be part of a household file.

QUESTION #8

Correct answer: b

With mandatory use of the EIV system came requirements for certain reports from EIV to be placed in household files. These include the existing tenant search that is run before move-in and the identity verification report, as well as the new hire and income verification reports that are run 90 days after move-in.

See The Lesson For This Quiz

Keep Household Files Complete and Current

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