HomeMy WebLinkAbout1999-08-17; Housing & Redevelopment Commission; 310; Revised Secion 8 Tenant-Based Rental AssistanceCITY OF CARLSBAD -
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DEPT. H/RED
AND REDEVELOPMENT COMMISSION - AG
TITLE- AUTHORIZATION TO SUBMIT A REVISED
SECTION 8 TENANT-BASED RENTAL ASSISTANCE
ADMINISTRATIVE PLAN TO THE U.S. DEPARTMENT
OF HUD. CITY MGR. :
RECOMMENDED ACTION:
ADOPT Housing and Redevelopment Commission Resolution No. 31.3 , APPROVING submittal
of the revised Section 8 Tenant-Based Rental Assistance Administrative Plan to the U.S. Department of
Housing and Urban Development.
ITEM EXPLANATION:
The Housing and Redevelopment Commission (“Housing Agency”) administers the Section 8 Tenant-Based
Rental Assistance Program for the City of Carlsbad. The US Department of Housing and Urban
Development (HUD) requires the Housing Agency to submit an Administrative Plan that establishes program
policies which are consistent with HUD requirements and local objectives. HUD further requires that the
Administrative Plan be revised to comply with changes in the federal regulations. Any revisions of the
Administrative Plan must be adopted by the Board of Commissioners of the Housing Agency and a copy
must be provided to HUD.
On October 21, 1998, President Clinton signed into law the HUD fiscal year (FY) 1999 Appropriations Act,
which includes the Quality Housing and Work Responsibility Act of 1998 (QHWRA). The FY 1999 HUD
Appropriations Act and the QHWRA enact measures that revise various aspects of the operations of the
Section 8 Tenant-Based Rental Assistance Programs. On February 18, 1999, a notice was published in the
Federal Register to provide initial guidance on the QHWRA. The purpose of the notice was to advise
Housing Agencies of certain assisted housing provisions that are effective immediately, and to provide
guidance on what action needs to be taken and which actions require policy determinations.
The required new provisions that have been addressed in the City’s revised Administrative Plan are:
1.
2.
3.
4.
5.
Determination of program ineligibility for individuals convicted of manufacturing or producing
methamphetamine (common/y refened to as “speed”) for certain housing assistance. Establishment of certain exceptions to the minimum rent requirement for hardship circumstances.
Treatment of income changes resulting from reduced welfare (CALWorks) benefits because of fraud
or failure to comply with work requirements.
New income targeting requirements which state that not less than 75% of new admissions to the
program must have incomes at or below 30% of the area median income.
Permanent repeal of federal preferences and authorization for local preferences.
In addition to the statutory requirements, as noted above, which must be included in all Administrative Plans,
there are discretionary policies that may be included within the Plan. Discretionary policies that were revised or more clearly defined in the City’s Plan are as follows:
Admissions Policy
Local Preferences Policy
Residency Preference
Over Fair Market Rent Tenancy Option (OFTO) Policy
Accommodations for Persons with Disabilities
Income Reporting Responsibilities
Interim Recertification Policy
Minimum Rent Requirement
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PAGE 2 OF AGENDA BILL NO. 310
The attached Housing Commission Staff Report provides information on these discretionary policies
established for the City’s Section 8 Tenant-Based Rental Assistance Program and set forth in the revised
Administrative Plan.
HOUSING COMMISSION RECOMMENDATION
The Housing Commission reviewed the revised Administrative Plan at their May 13, 1999 meeting and
adopted Resolution No. 99-002 recommending that the Housing and Redevelopment Commission approve
submittal of the revised Section 8 Tenant-Based Rental Assistance Administrative Plan to the U.S.
Department of Housing and Urban Development.
FISCAL IMPACT
The Administrative Plan will govern the expenditures of $3 million received by the City annually from the
Federal Government for rental assistance and administration of the program.
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Housing and Redevelopment Commission Resolution No. 3 13 to’ approve submission of the
revised Section 8 Tenant-Based Rental Assistance Administrative’Plan to the U.S. Department of
Housing and Urban Development
Housing Commission Staff Report dated May 13, 1999 and Draft Meeting Minutes
Administrative Plan for Section 8 Tenant-Based Rental Assistance Program, Revised March 1999
(on file in City Clerk’s ofhe)
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HOUSING AND REDEVELOPMENT COMMlSStON RESOLUTION NO. 313
A RESOLUTION OF THE HOUSING AND REDEVELOPMENT
COMMISSION OF THE CITY OF CARLSBAD, CALIFORNIA,
APPROVlNG SUBMITTAL OF THE REVISED SECTION 8
TENANT-BASED RENTAL ASSISTANCE ADMINISTRATIVE
PLAN TO THE U.S. DEPARTMENT OF HOUSING AND URBAN
DEVELOPMENT.
WHEREAS, the Housing and Redevelopment Commission (“Housing Agency”)
administers the Section 8 Tenant-Based Rental Assistance Program; and
WHEREAS, the U.S. Department of Housing and Urban Development (HUD)
requires a Housing Agency to develop an Administrative Plan that establishes program
policies for implementation that are consistent with HUD requirements and local
objectives; and
WHEREAS, the U.S. Department of Housing and Urban Development (HUD)
further requires that the Administrative Plan be revised to comply with changes in the
federal regulations; and
WHEREAS, federal regulations provide that the Administrative Plan and any
revisions of the plan must be adopted by the Board of Commissioners of the Housing
Authority and submitted to the U.S. Department of Housing and Urban Development.
NOW, THEREFORE, BE IT HEREBY RESOLVED by the Housing and
Redevelopment Commission of the City of Carlsbad, California, as follows:
I. The above recitations are true and correct.
2. That based on the information provided within the Housing and Redevelopment
Commission Agenda Bill, the Housing and Redevelopment Commission hereby
APPROVES submittal of the Revised Section 8 Tenant-Based Rental Assistance
Administrative Plan to the U.S. Department of Housing and Urban Development.
1 3. The Housing and Redevelopment Commission hereby authorizes the Housing and
2 Redevelopment Director to execute documents required for the submittal of said
3 Administrative Plan.
4 PASSED, APPROVED AND ADOPTED, at a regular meeting of the Housing and
5 Redevelopment Commission of the City of Cansbad, California, held on the 17ti of
6 August, 1999, by the following vote, to wit:
7 AYES: Board Members Lewis, Nygaard, Finnila, Hall & Kulchin
8 NOES: None
9 II ABSENT: None
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ABSTAIN: None
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7- EXHIBIT 2 I
City of CARk.bAd Housiruq d REdwE[opmvr DEPARTMENT
A REPORT To TIE Housing Conmissio
STnff: RobERTA “Bobbi” Nuw I Hous& PRWRAM MANAGER 1
ITEM NO. 1
DATE: MAY 13,1999
SUBJECT: REVISED SECTION 8 TENANT-BASED RENTAL ASSISTANCE
ADMINISTRATIVE PLAN
I. RECOMMENDATION
That the Housing Commission ADOPT Resolution No. 99-002, RECOMMENDING that
the Housing and Redevelopment Commission APPROVE submittal of the revised
Section 8 Tenant-Based Rental Assistance Administrative Plan to the U.S. Department of
Housing and Urban Development.
II. BACKGROUND
The Housing and Redevelopment Department (“Housing Agency”) administers the
Section 8 Tenant-Based Rental Assistance Program for the City of Carlsbad. The
Department of Housing and Urban Development (HUD) requires the Housing Agency
(HA) to submit an Administrative Plan that establishes program policies which are
consistent with HUD requirements and local objectives. HUD further requires that the
Administrative Plan be revised to comply with changes in the federal regulations. Any
revisions of the Administrative Plan must be adopted by the Board of Commissioners of
the Housing Agency and a copy must be provided to HUD.
In accordance with the Conforming Rule, the administrative plan must cover HA policies
on the following subjects:
1. Process used by the HA to select applicants from the waiting list, including applicants
with federal and other preferences, and procedures for closing and reopening the HA
waiting list;
2. Issuance or denial of vouchers or certificates, including HA policy governing the
voucher or certificate term and any extensions or suspensions of the term;
3. Any special rules for use of available funds when HUD provides funding to the HA for
a special purpose, including funding for specified families or a specified category of
families;
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ADMINISTRATIVE PLAJV FOR SECTION 8 TENANT-BASED RENTAL ASSISTANCE PROCRAMS MJ&4&u$ 1999
4. Occupancy policies, including:
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a. Definition of what group of persons may qualify as a “family”;
b. Definition of when a family is considered to be “continuously assisted”;
Program for encouraging participation by property owners of suitable units located
outside areas of low income or minority concentration;
Assistance to a family that claims that illegal discrimination has prevented the
family from leasing a suitable unit;
Statement of the HA policy on providing information about a family to prospective
owners;
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Disapproval of owners;
Subsidy standards;
Family absence from the dwelling unit;
Process to determine who remains in the program if a family breaks up;
Informal review procedures for applicants;
Informal hearing procedures for participants;
Process for establishing and revising voucher payment standards, including
affordability adjustments;
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Special policies concerning special housing types in the program; and
Policies concerning payment by a family to the HA of amounts the family owes the
HA.
Ill. DISCUSSION
On October 21, 1998, President Clinton signed into law the HUD fiscal year (FY) 1999
Appropriations Act, which includes the Quality Housing and Work Responsibility Act of
1998 (QHWRA). The FY 1999 HUD Appropriations Act and the QHWPA enact measures
that transform the Section 8 Tenant-Based Rental Assistance Programs.
On February 18, 1999, a notice was published in the Federal Register to provide initial
guidance on the QHWPA. The purpose of the notice was to advise HAS of certain
assisted
In
ADMINISTRATIVE PLAN FOR 5 ION 8 TENANt-BASED RENTAL ASSISTANC dOGRAMS lw&;1999
housing provisions that are effective immediately and to provide guidance on what action
needs to be taken in the future and which actions require policy determinations.
The required new provisions that have been addressed in the City’s revised
Administrative Plan are:
1. Determination of program ineligibility for individuals convicted of manufacturing or
producing methamphetamine (commonly referred to as “speed”) for certain
housing assistance.
2. Establishment of certain exceptions to the minimum rent requirement for hardship
circumstances.
3. Treatment of income changes resulting from reduced welfare (CALWorks) benefits
because of fraud or failure to comply with work requirements.
4. New income targeting requirements which state that not less than 75% of new
admissions to the program must have incomes at or below 30% of the area
median income.
5. Permanent repeal of federal preferences and authorization for local preferences.
In addition to the statutory requirements which must be included in all Administrative
Plans, there are discretionary policies that may be included within the Plan as well.
Discretionary policies that were changed or more clearly defined in the City’s Plan are as
follows:
Admissions Policy
Local Preferences Policy
Residency Preference
Over Fair Market Rent Tenancy Option (OFTO) Policy
Accommodations for Persons with Disabilities
Income Reporting Responsibilities
Interim Recertification Policy
Minimum Rent Requirement
IV. RECOMMENDATION
Staff recommends that the Housing Commission adopt Resolution No. 99-002,
recommending that the Housing and Redevelopment Commission approve submittal of
the revised Section 8 Tenant-Based Rental Assistance Administrative Plan to the U.S.
Department of Housing and Urban Development.
EXHIBITS
1. Housing Commission Resolution No. 99-002
2. Administrative Plan for Section 8 Tenant-Based Rental Assistance Programs
(Revised March 1999)
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--L --.
HOUSING COMMISSION RESOLUTION NO. 99-002
A RESOLUTION OF THE HOUSING COMMISSION OF THE CITY
OF CARLSBAD, CALIFORNIA, RECOMMENDING APPROVAL OF
SUBMITTAL OF THE REVISED SECTION 8 TENANT-BASED
RENTAL ASSISTANCE ADMINISTRATIVE PLAN TO THE U.S.
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
WHEREAS, the Housing and Redevelopment Commission (“Housing Agency”)
administers the Section 8 Tenant-Based Rental Assistance Program; and
WHEREAS, the U.S. Department of Housing and Urban Development (HUD)
requires a Housing Agency to develop an Administrative Plan that establishes program
policies for implementation that are consistent with HUD requirements and local
objectives; and
WHEREAS, the U.S. Department of Housing and Urban Development (HUD)
further requires that the Administrative Plan be revised to comply with changes in
federal regulations; and
WHEREAS, federal regulations provide that the Administrative Plan and any
revisions of the plan must be adopted by the Board of Commissioners of the Housing
Agency and submitted to the U.S. Department of Housing and Urban Development.
NOW, THEREFORE, BE IT HEREBY RESOLVED by the Housing Commission
of the City of Carlsbad, California, as follows:
1. The above recitations are true and correct.
2. That based on the information provided within the Housing Commission Staff
Report and testimony presented during the public meeting of the Housing
Commission on April 22, 1999, and on May 13, 1999, the Housing Commission
ADOPTS Resolution No. 99402, recommending to the Housing and
Redevelopment Commission APPROVAL of submittal of the Revised Section 8
Tenant-Based Rental Assistance Administrative Plan to the U.S.
Department of Housing and Urban Development.
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3. The Housing Commission hereby recommends that the Housing and
I Redevelopment Director be authorized to execute all appropriate documents
required for the submittal of said Administrative Plan.
PASSED, APPROVED, AND ADOPTED, at a regular meeting of the Housing
Commission of the City of Carlsbad, California, held on the 13th day of May, 1999, by the
following vote, to wit:
AYES: Chairperson Latas, Commissioners: Soarpelli, Rose and McNeill.
NOES: None.
ABSENT: None.
ABSTAIN: None.
ROY LAT&CHAIRPERSON
CARLSBA’~ HOUSING COMMISSION
. . /&, ~m,&i-.)
DEBBIE FOUNTAIN
HOUSING AND REDEVELOPMENT DIRECTOR
HcREs0.No.99-002 PAGE2
HOUSING COMMISSION MINUTES
MAY 13,1999
Page 2
COMMENTS FROM THE AUDIENCE ON ITEMS NOT LISTED ON THE AGENDA:
There were no comments from the audience.
CONTINUED BUSINESS:
1. REVISED SECTION 8 TENANT-BASED RENTAL ASSISTANCE ADMINISTRATIVE PLAN -
RECOMMENDING APPROVAL OF SUBMITTAL OF THE REVISED SECTION 8 TENANT-
BASED RENTAL ASSISTANCE ADMINISTRATIVE PLAN TO THE U.S. DEPARTMENT OF
HOUSING AND URBAN DEVELOPMENT.
Bobbi Nunn stated that the Section 8 Tenant-based Rental Assistance Administrative Plan is required by
HUD and must be revised to comply with changes in Federal regulations. It must be adopted by the
Housing Authority Board of Commissioners and submitted to HUD, she said.
The purpose of the plan is that it establishes program policies; it allows the Housing Authority to establish
discretionary policies; it provides for consistent and effective administration of the program; it establishes
procedures and guidance for Housing Authority staff; and it ensures program integrity and minimizes
arbitrary practices.
Ms. Nunn explained the plan form, income-targeting requirements, the proposed discretionary policies, the
residency preference, and Interim Recertification policy as explained in the April 22, 1999 minutes.
Chairperson Latas asked if there were any questions of Staff. There were none.
ACTION:
VOTE:
AYES:
NOES:
ABSTAIN:
Motion by Commissioner Scarpelli, and duly seconded, that the Housing
Commission ADOPT Resolution No. 99-002, RECOMMENDING that the
Housing and Redevelopment Commission APPROVE submittal of the revised
Section 8 Tenant-Based Rental Assistance Administrative Plan to the U.S.
Department of Housing and Urban Development.
4-o-o
Latas, McNeill, Rose, Scarpelli
None
None
17 - RANCH0 CARRILLO FOR-SALE AFFORDABLE HOUSING
ATION OF APPROVAL TO THE CITY COUNCIL TO PROVIDE
ASSISTANCE FOR THE CONSTRUCTION OF NINETY TWO,
FOR-SALE, AFFORD THREE BEDROOM ATTACHED CONDOMINIUM
UNITS IN ORDER T
ORDINANCE FOR PHASE T CH0 CARRILLO MASTER PLAN.
Craig Ruiz reviewed the background of the request an e Ranch0 Carrillo Master Plan will
provide for a maximum build-out of 1,711 units, which
affordable units. Staff has brought before the Commissi s that include a
116~unit affordable apartment project currently under cons
December of this year. The other project is for 50 second dwelling units, 11 of
DRAFT
ADMINISTRATIVE PLAN
FOR
SECTION 8 TENANT-BASED RENTAL ASSISTANCE
UNDER THE
CERTIFICATE AND VOUCHER PROGRAMS
CITY OF CARLSBAD
HOUSING AND REDEVELOPMENT DEPARTMENT
2965 Roosevelt Street, Suite B
Carlsbad, CA 92008
Revised March 1999
Recommended Approval by the Housing Commission on May 13,1999
Approved by the Housing and Redevelopment Commission on
Submitted to HUD on
DRMT
Table of Contents
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Chapter 1
STATEMENT OF POLICIES AND OBJECTIVES
MISSION STATEMENT.. .................................................................................. 1-2
LOCAL OBJECTIVES ....................................................................................... 1-2
PURPOSE OF THE ADMINISTRATIVE PLAN ................................................. l-3
ADMINISTRATIVE FEE RESERVE .................................................................. l-3
RULES AND REGULATIONS.. ......................................................................... l-3
TERMINOLOGY ................................................................................................ l-4
FAIR HOUSING POLICY.. ................................................................................ l-4
ACCOMMODATIONS POLICY.. ....................................................................... l-5
TRANSLATION OF DOCUMENTS.. ................................................................. l-7
MANAGEMENT ASSESSMENT OBJECTIVES.. .............................................. l-7
RECORDS FOR MONITORING HA PERFORMANCE l-8 ....................................
PRIVACY RIGHTS ......................................................................................... I-IO
FAMILY OUTREACH ...................................................................................... I-l 0
OWNER OUTREACH ..................................................................................... I-12
Chapter 2
ELIGIBILITY FOR ADMISSION
FAMILY COMPOSITION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..I..... 2-2
INCOME LIMITATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-5
MANDATORY SOCIAL SECURITY NUMBERS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-6
CITIZENSHIP/ELIGIBLE IMMIGRATION STATUS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-6
OTHER CRITERIA FOR ADMISSIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-7
SUITABILITY OF FAMILY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-7
CHANGES IN ELIGIBILITY PRIOR TO EFFECTIVE DATE
OF THE CONTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-8
INELIGIBLE FAMILIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-8
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Chapter 3
APPLYING FOR ADMISSION
OVERVIEW OF THE APPLlCATlOli TAKING PROCESS.. ............................. 3-l
OPENING/CLOSING OF APPLICATION TAKING ........................................... 3-2
“INITIAL” APPLICATION PROCEDURES ........................................................ 3-4
APPLICANT STATUS WHILE ON WAITING LIST ........................................... 3-5
TIME OF SELECTION ...................................................................................... 3-6
COMPLETION OF A FULL APPLICATION ....................................................... 3-6
VERIFICATION.. ............................................................................................... 3-8
SELECTION OF CERTIFICATE OR VOUCHER.. ............................................ 3-8
SELECTION OF APPLICATION/PARTICIPANTS FOR OFT0 TENANCIES ..a 3-9
FINAL DETERMINATION AND NOTIFICATION OF ELIGIBILITY ................... 3-9
Chapter 4
ESTABLISHING PREFERENCES AND MAINTAINING THE WAITING LIST
WAITING LIST.. ................................................................................................ 4-l
WAITING LIST PREFERENCES ...................................................................... 4-3
FEDERALPREFERENCES .............................................................................. 4-3
INITIAL DETERMINATION OF LOCAL PREFERENCE QUALIFICATION ....... 4-4
RANKING LOCAL PREFERENCES.. ............................................................... 4-4
LOCAL PREFERENCES .................................................................................. 4-5
EXCEPTIONS FOR SPECIAL ADMISSIONS ................................................... 4-6
TARGETED FUNDING ..................................................................................... 4-6
PREFERENCE ELIGIBILITY ............................................................................ 4-7
ORDER OF SELECTION.. ................................................................................ 4-7
FINAL VERIFICATION OF PREFERENCES .................................................... 4-8
PREFERENCE DENIAL.. .................................................................................. 4-8
REMOVAL FROM WAITING LIST AND PURGING.. ........................................ 4-9
Chapter 5
SUBSIDY STANDARDS
DETERMINING FAMILY UNIT (CERTIFICATE/VOUCHER) SIZE.. ................. 5-I
EXCEPTIONS TO SUBSIDY STANDARDS ..................................................... 5-2
UNIT SIZE SELECTED.. ................................................................................... 5-4
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Chapter 6
FACTORS RELATED TO TOTAL TENANT PAYMENT DETERMINATION
INCOME AND ALLOWANCES ......................................................................... 6-l
DEFINITION OF TEMPORARILY OR PERMANENTLY ABSENT.. .................. 6-3
AVERAGING INCOME ..................................................................................... 6-7
MINIMUM INCOME.. ......................................................................................... 6-8
INCOME OF PERSON PERMANENTLY CONFINED TO NURSING HOME.. .6-8
REGULAR CONTRIBUTIONS AND GIFTS ...................................................... 6-8
ALIMONY AND CHILD SUPPORT.. ................................................................. 6-9
LUMP-SUM RECEIPTS.. .................................................................................. 6-9
CONTRIBUTIONS TO RETIREMENT FUNDS - ASSETS.. ............................ 6-10
ASSETS DISPOSED OF FOR LESS THAN FAIR MARKET VALUE.. ........... 6-l 1
CHILD CARE EXPENSES.. ............................................................................ 6-l 1
MEDICAL EXPENSES .................................................................................... 6-l 2
PRORATION OF ASSISTANCE FOR “MIXED” FAMILIES ............................ 6-l 2
REDUCTION IN BENEFITS.. .......................................................................... 6-12
UTILITY ALLOWANCE AND UTILITY REIMBURSEMENT PAYMENTS.. ..... 6-13
Chapter 7
VERIFICATION PROCEDURES
METHODS OF VERIFICATION AND TIME ALLOWED.. .................................. 7-l
RELEASE OF INFORMATION ......................................................................... 7-3
COMPUTER MATCHING ................................................................................ 7-4
ITEMS TO BE VERIFIED.. ................................................................................ 7-4
VERIFICATION OF INCOME ............................................................................ 7-5
INCOME FROM ASSETS.. ............................................................................... 7-9
VERIFICATION OF ASSETS.. ........................................................................ 7-l 0
VERIFICATION OF ALLOWABLE DEDUCTIONS FROM INCOME.. ............. 7-l 1
VERIFYING NON-FINANCIAL FACTORS.. .................................................... 7-13
VERIFICATION OF WAITING LIST PREFERENCES .................................... 7-19
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Chapter 8
CERTIFICATE/VOUCHER ISSUANCE AND BRIEFINGS
ISSUANCE OF CERTIFICATES/VOUCHERS .................................................. 8-l
BRIEFING TYPES AND REQUIRED ATTENDANCE ....................................... 8-2
ENCOURAGING PARTICIPATION IN AREAS WITHOUT LOW INCOME OR
MINORITY CONCENTRATION ........................................................................ 8-5
ASSISTANCE TO FAMILIES WHO CLAIM DISCRIMINATION.. ...................... 8-6
SECURITY DEPOSIT REQUIREMENTS ......................................................... 8-6
TERM OF CERTIFICATE/VOUCHER ............................................................... 8-6
INTERCHANGEABILITY BETWEEN CERTIFICATE AND VOUCHER.. ......... .8-7
CERTIFICATE/VOUCHER ISSUANCE DETERMINATION FOR SPLIT
HOUSEHOLDS.. ............................................................................................... 8-8
REMAINING MEMBER OF TENANT FAMILY - RETENTION OF
CERTIFICATE/VOUCHER ................................................................................ 8-9
Chapter 9
REQUEST FOR LEASE APPROVAL AND CONTRACT EXECUTION
REQUEST FOR LEASE APPROVAL ............................................................... 9-l
ELIGIBLE TYPES OF HOUSING ...................................................................... 9-2
LEASE REVIEW ............................................................................................... 9-3
SEPARATE AGREEMENTS.. ........................................................................... 9-3
INITIAL INSPECTIONS.. ................................................................................... 9-4
RENT LIMITATIONS.. ....................................................................................... 9-4
DISAPPROVAL OF PROPOSED RENT ........................................................... 9-4
INFORMATION TO OWNERS.. ........................................................................ 9-5
OWNER DISAPPROVAL .................................................................................. 9-5
CHANGE IN TOTAL TENANT PAYMENT (TTP) PRIOR TO HAP EFFECTIVE
DATE ................................................................................................................ 9-5
CONTRACT EXECUTION PROCESS.. ............................................................ 9-6
CHANGE IN OWNERSHIP.. ............................................................................. 9-6
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Chapter 10
HOUSING QUALITY STANDARDS AND INSPECTIONS
A. GUIDELINES/TYPES OF INSPECTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 O-l
B. INITIAL HQS INSPECTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 o-2
C. ANNUAL HQS INSPECTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 o-3
D. MOVE OUT/VACATE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IO-4
E. SPECIAL/COMPLAINT INSPECTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 O-4
F. QUALITY CONTROL INSPECTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 O-4
G. ACCEPTABILITY CRITERIA AND EXCEPTIONS TO HQS . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 o-4
H. EMERGENCY REPAIR ITEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IO-6
I. CONSEQUENCES IF OWNER IS RESPONSIBLE
(NON-EMERGENCY ITEMS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 O-7
J. DETERMINATION OF RESPONSIBILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . ..*........................ 1 O-8
K. CONSEQUENCES IF FAMILY IS RESPONSIBLE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IO-8
Chapter 11
OWNER RENTS, RENT REASONABLENESS, AND PAYMENT STANDARDS
A.
B.
C.
D.
E.
F.
G.
H.
I.
J.
A.
B.
C.
D.
E.
F.
G.
OWNER PAYMENT IN THE CERTIFICATE PROGRAM ............................... 1 l-l
OWNER PAYMENT IN THE OFT0 TENANCY PROGRAM.. ......................... 1 l-l
OWNER PAYMENT IN THE VOUCHER PROGRAM.. ................................... 1 l-2
MAKING PAYMENTS TO OWNERS.. ............................................................ 1 l-2
RENT REASONABLENESS DETERMINATIONS .......................................... 11-2
PAYMENT STANDARDS FOR THE VOUCHER PROGRAM.. ....................... 1 l-4
ADJUSTMENTS TO PAYMENT STANDARDS .............................................. 11-4
PAYMENT STANDARDS FOR OFT0 TENANCIES.. ..................................... 11-6
PAYMENT STANDARDS FOR A FAMILY.. .................................................... 1 l-7
RENT ADJUSTMENTS.. ................................................................................. 1 l-7
Chapter 12
RECERTIFICATIONS
ANNUAL ACTIVITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-1
ANNUAL RECERTIFICATION/REEXAMINATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-2
REPORTING INTERIM CHANGES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-4
NOTIFICATION OF RESULTS OF RECERTIFICATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-6
TIMELY REPORTING OF CHANGES IN INCOME (AND ASSETS) . . . . . . . . . . . . . . 12-6
REPORTING OF CHANGES IN FAMILY COMPOSITION . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-8
CONTINUANCE OF ASSISTANCE FOR “MIXED” FAMILIES . . . . . . . . . . . . . . . . . . . . . . . 12-9
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A.
B.
C.
D.
E.
F.
A.
B.
C.
D.
E.
A.
B.
C.
D.
E.
F.
G.
H.
A.
B.
C.
Chapter 13
MOVES WITH CONTINUED ASSISTANCE/PORTABILITY
ALLOWABLE MOVES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-I
RESTRICTIONS ON MOVES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1
PROCEDURE FOR MOVES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2
PORTABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-3
OUTGOING PORTABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-3
INCOMING PORTABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-5
Chapter 14
CONTRACT TERMINATIONS
CONTRACT TERMINATION.. ......................................................................... 14-1
TERMINATION BY THE FAMILY: MOVES.. ................................................... 14-1
TERMINATION OF TENANCY BY THE OWNER: EVICTIONS ..................... 14-2
TERMINATION OF THE CONTRACT BY HA.. ............................................... 14-3
TERMINATIONS DUE TO INELIGIBLE IMMIGRATION STATUS.. ................ 14-4
Chapter 15
DENIAL OR TERMINATION OF ASSISTANCE
GROUNDS FOR DENIAL/TERMINATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..*............. 15-l
“ONE-STRIKE” POLICY . . . . . . . . . . . . . . . S.-s .,,.,,.... n..ms.s . . ...,..... ns..m .,....,.. n-s- . . . . . . . . . . . . . sn.. 15-3
FAMILY OBLIGATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-7
PROCEDURES FOR NON-CITIZENS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-11
ZERO ($O)ASSISTANCE TENANTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-12
OPTION NOT TO TERMINATE FOR MISREPRESENTATION . . . . . . . . . . . . . . . . . . . 15-13
MISREPRESENTATION IN COLLUSION WITH OWNER . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-13
MISSED APPOINTMENTS AND DEADLINES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..*............. 15-13
Chapter 16
OWNER DISAPPROVAL AND RESTRICTION
DISAPPROVAL OF OWNER . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-1
OWNER RESTRICTIONS AND PENALTIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-2
CHANGE IN OWNERSHIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-3
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A.
B.
C.
D.
E.
A.
B.
C.
D.
E.
F.
A.
B.
C.
D.
E.
F.
Chapter 17
CLAIMS, MOVE-OUT AND CLOSE-OUT INSPECTIONS
(For HAP Contracts Effective Before October 2, 1995)
OWNER CLAIMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-I
UNPAID RENT . . . . . . . . . . ..1................................................................................... 17-l
VACANCY LOSS IN THE CERTIFICATE PROGRAM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-2
MOVE-OUT AND CLOSE-OUT INSPECTIONS ..a.......................................... 17-3
PROCESSING CLAIMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-4
Chapter 18
OWNER OR FAMILY DEBTS TO THE HA
REPAYMENT AGREEMENT FOR FAMILIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-1
DEBTS OWED FOR CLAIMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-2
DEBTS DUE TO MISREPRESENTATIONS/NON-REPORTING OF
INFORMATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-2
GUIDELINES FOR REPAYMENT AGREEMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-3
OWNER DEBTS TO THE HA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-4
WRITING OFF DEBTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-4
Chapter 19
COMPLAINTS AND APPEALS
COMPLAINTS TO THE HA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-1
PREFERENCE DENIALS . . ..*.......................................................................... 19-2
INFORMAL REVIEW PROCEDURES FOR APPLICANTS . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-2
INFORMAL HEARING PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-4
HEARING AND APPEAL PROVISIONS FOR “RESTRICTIONS ON
ASSISTANCE TO NON-CITIZENS” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-8
MITIGATING CIRCUMSTANCES FOR APPLICANTS/PARTICIPANTS
WITH DISABILITIES . . . . . . . . ..*.......................................................................... 19-10
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A.
B.
C.
D.
E.
F.
A.
B.
C.
A.
B.
C.
D.
E.
F.
G.
H.
I.
J.
Chapter 20
SPECIAL HOUSING TYPES
SINGLE ROOM OCCUPANCY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-2
CONGREGATE HOUSING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-3
GROUP HOMES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-4
SHARED HOUSING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-5
COOPERATIVE HOUSING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-7
MANUFACTURED HOMES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-8
GLOSSARY
ACRONYMS USED IN SUBSIDIZED HOUSING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . GL-1
GLOSSARY OF TERMS IN SUBSIDIZED HOUSING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . GL-3
GLOSSARY OF TERMS USED IN THE NONCITIZENS RULE . . . . . . . . . . . . . . . . . . . GL-17
PROGRAM INTEGRITY ADDENDUM
CRITERIA FOR INVESTIGATION OF SUSPECTED ABUSE AND FRAUD . . . PI-l
STEPS THE HA WILL TAKE TO PREVENT PROGRAM ABUSE
AND FRAUD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PI-2
STEPS THE HA WILL TAKE TO DETECT PROGRAM ABUSE
AND FRAUD . . . . . . . . . . . . . ..*.................................................................................... PI-3
THE HA’S HANDLING OF ALLEGATIONS OF POSSIBLE ABUSE
AND FRAUD . . . . . . . . . ..*........................................................................*............... PI-4
OVERPAYMENTS TO OWNERS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PI-4
HOW THE HA WILL INVESTIGATE ALLEGATIONS OF ABUSE
AND FRAUD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PI-5
PLACEMENT OF DOCUMENTS, EVIDENCE AND STATEMENTS
OBTAINED BY THE HA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PI-6
CONCLUSION OF THE HA’S INVESTIGATIVE REVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PI-6
EVALUATION OF THE FINDINGS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PI-6
ACTION PROCEDURES FOR VIOLATIONS WHICH HAVE
BEEN DOCUMENTED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PI-7
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Chapter 1
DRAFT
STATEMENT OF POLICIES AND OBJECTIVES
INTRODUCTION
The Section 8 Program was enacted as part of the Housing and Community
Development Act of 1974, which recodified the U.S. Housing Act of 1937. The Act has
been amended from time to time, and its requirements, as they apply to the Section 8
Certificate and Voucher Programs, are described in and implemented through this
Administrative Plan.
On October 21, 1998, President Clinton signed into law the Housing and Urban
Development’s (HUD) fiscal year (FY) 1999 Appropriations Act, which includes the
Quality Housing and Work Responsibility Act of 1998 (QHWRA). The FY 1999 HUD
Appropriations Act and the QHWRA together, enact measures that transform the
Section 8 tenant-based assistance programs.
The goal of the Carlsbad Housing and Redevelopment Department, herein referred to
as the Housing Agency (HA), is to provide rental assistance to United States citizens
and eligible lawful residents who are very low-income persons, families, elderly,
handicapped and disabled in order that they may obtain affordable, decent, safe and
sanitary rental housing in the HA’s jurisdiction. In furtherance of this goal, the HA is
committed to the policies and goals contained in the Housing Element of the General
Plan and the Consolidated Plan for Housing and Community Development Programs.
The City of Carlsbad is committed to a regional approach in meeting housing needs
and cooperates with the San Diego Association of Governments (SANDAG) and with
other cities in the region to encourage region-wide application of federal and state
housing funds and programs.
Administration of the Section 8 Program and the functions and responsibilities of the
Housing Agency (HA) staff shall be in compliance with the City of Carlsbad’s Personnel
Policy and the Department of Housing and Urban Development’s (HUD) Section 8
Regulations as well as all Federal, State and local Fair Housing Laws and Regulations.
Jurisdiction
The jurisdiction of the HA is the city of Carlsbad located in the county of San Diego,
California.
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A. MISSION STATEMENT
Helping People to Achieve Their Dreams
Proaram Activities:
L
!
Affordable Housinq
l Rental Assistance
l Homebuyers Assistance
l New Construction
l Rehabilitation
Enhancina Opportunities
l Career Development
l Plans
0 Innovation
l Goals
Promotina Business Development
. Jobs
l Sales Tax
l New Products
l State Funds
Creatina a Communitv Spirit
l Transportation
l Education
l Social Services
l Family Self-Sufficiency
Villaae Vision
0 Creativity
l Expansions
l Revitalization .
0 Beautification
lncreasina Revenues
l Federal Funds
l Property Tax
Excellent Service
B. LOCAL OBJECTIVES [24 CFR 982.11
The Section 8 Program is designed to achieve these major objectives:
1. To provide decent, safe, and sanitary housing for very low income families
while maintaining their rent payments at an affordable level.
2. To ensure that all units meet Housing Quality Standards and families pay
fair and reasonable rents.
3. To promote fair housing and the opportunity for very low-income families
of all ethnic backgrounds to experience freedom of housing choice.
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4. To promote a housing program which maintains quality service and
integrity while providing an incentive to private property owners to rent to
very low income families.
In addition, the HA has the following goals for the program:
1. To assist the local economy by increasing the occupancy rate and the
amount of money flowing into the community.
2. To encourage self sufficiency of participant families and assist in the
expansion of family opportunities which address educational, socio-
economic, recreational and other human services needs.
3. To create positive public awareness and expand the level of family, owner,
and community support in accomplishing the HA’s mission.
4. To attain and maintain a high level of standards and professionalism in our
day-to-day management of all program components.
5. To administer an efficient, high-performing agency through continuous
improvement of the HA’s support systems and commitment to our
employees and their development.
C. PURPOSE OF THE ADMINISTRATIVE PLAN [24 CFR 982.541
The purpose of the Administrative Plan “Plan” is to establish policies for carrying out the
programs in a manner consistent with HUD requirements and local objectives. The
Plan covers both admission and continued participation in the Certificate and Voucher
programs. Policies are the same for both programs unless otherwise noted.
The HA is responsible for complying with all changes in HUD regulations pertaining to
these programs. If such changes conflict with this Plan, HUD regulations will have
precedence. The original Plan and any changes must be approved by the Board of
Commissioners of the agency and a copy provided to HUD.
D. ADMINISTRATIVE FEE RESERVE [24 CFR 982.54(d)(22)]
All expenditures from the administrative fee reserve will be approved by the HA Board
of Commissioners or other authorized officials and made in accordance with the
approved budget.
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E. RULES AND REGULATIONS [24 CFR 982.521
This Plan is set forth to define the HA’s local policies for operation of the housing
programs in the context of Federal laws and Regulations. All issues related to Section
8 not addressed in this document are governed by such Federal regulations, HUD
Memos, Notices and guidelines, or other applicable law.
F. TERMINOLOGY
The Carlsbad Housing and Redevelopment Department is referred to as “HA” or
“Housing Agency” throughout this document.
“Family” is used interchangeably with “Applicant” or “Participant” and can refer to a
single person family.
“Tenant” is used to refer to participants in terms of their relation to landlords.
“Landlord” and “owner” are used interchangeably.
“Disability” is used where “handicap” was formerly used.
“Non-citizens Rule” refers to the regulation effective June 19, 1995 restricting
assistance to U.S. citizens and eligible immigrants.
The Section 8 Tenant-Based Rental Assistance programs are also known as the
Regular Tenancy Certificate, Over-FMR Tenancy (OFTO) and Voucher Programs.
“HQS” means the Housing Quality Standards required by regulations as enhanced by
the HA.
“Failure to Provide” refers to all requirements in the first Family Obligation. See
Chapter 15, “Denial or Termination of Assistance.”
See Glossary for other terminology.
G. FAIR HOUSING POLICY [24 CFR 982.54(d)(6)]
It is the policy of the Housing Authority to comply fully with all Federal, State, and local
nondiscrimination laws and with the rules and regulations governing Fair Housing and
Equal Opportunity in housing and employment.
The HA shall not deny any family or individual the opportunity to apply for or receive
assistance under the Section 8 Programs on the basis of race, color, sex, religion,
creed, national or ethnic origin, age, familial or marital status, handicap or disability, or
sexual orientation.
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To further its commitment to full compliance with applicable Civil Rights laws, the HA
will provide Federal/State/local information to Certificate and Voucher holders regarding
“discrimination” and any recourse available to them if they are victims of discrimination.
Information will be made available during the initial program briefing session; HUD-
1260-FHEO Fair Housing Handbook, Discrimination Complaint Forms and applicable
Fair Housing information will be made a part of the rental assistance briefing packet.
This information will also be provided at the move appointment, upon request
and is displayed in the HA’s lobby. The Fair Housing pamphlets are available in
English and Spanish. In addition, the City of Carlsbad contracts with the
Heartland Human Relations Association to counsel property owners and
tenants/homebuyers on Fair Housing Law.
Except as otherwise provided in 24 CFR 8.21(c)(l), 8.24(a), 8.25, and 8.31, no
individual with disabilities shall be denied the benefits of, be excluded from participation
in, or otherwise be subjected to discrimination because the HA’s facilities are
inaccessible to or unusable by persons with disabilities.
Posters and housing information are displayed in locations throughout the HA’s office in
such a manner as to be easily readable from a wheelchair.
The HA’s office located at 2965 Roosevelt Street Suite B, Carlsbad is accessible to
persons with disabilities. Accessibility for the hearing-impaired is provided by the State
of California Communications System, TDD telephone number (760) 434-8113, and the
fax machine which can be reached at (760) 720-2037.
H. ACCOMMODATIONS POLICY [24 CFR 700.245(c)(3)]
This policy is applicable to all situations described in this Plan; when an
applicant/participant initiates contact with the HA, when the HA initiates contact with a
family including when a family applies, when the HA initiates contact with a family and
when the HA schedules or reschedules any appointments.
It is the policy of this HA to be service-directed in the administration of our
housing programs, and to exercise and demonstrate a high level of
professionalism while providing housing services to families.
Persons with Disabilities [24 CFR 982.153(b)(6)]
The HA’s policies and practices will be designed to provide assurances that all persons
with disabilities will be provided reasonable accommodation so that they may fully
access and utilize the housing program and related services. Reasonable
accommodation will be made for persons with a disability who require an advocate or
accessible offices. A designee will be allowed to provide some information, but only
with the permission of the person with the disability. Upon request, a list of accessible
rental units for persons with a disability will be provided.
l-5
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Federal Americans with Disabilities Act of 1990
1.
2.
3.
4.
5.
With respect to an individual, the term “disability” means:
A physical or mental impairment that substantially limits one or more of
the major life activities of an individual;
A record of such impairment; or
Being regarded as having such an impairment
Those “regarded as having such an impairment” may include those with
conditions such as obesity or cosmetic disfigurement, and individuals perceived
to be at high risk of incurring a work-related injury.
Individuals with contagious diseases who do not pose a direct threat to others
are covered by the Act. AIDS victims and those who test positive for the HIV
virus are considered to have a disability.
An individual who has an infectious or communicable disease that is transmitted
to others through the handling of food, the risk of which cannot be eliminated by
reasonable accommodation, may be refused an assignment or a continued
assignment to a job involving food handling. The Secretary of Health and
Human Services annually will publish a list of those diseases that are transmitted
through food handling.
Rehabilitated alcohol and drug users are considered to be persons with
disabilities for purposes of the Act. However, current alcohol and drug users can
be held to the same qualification standards for job performance as other
employees.
Undue Hardshir,
Requests for reasonable accommodation from persons with disabilities will be granted
upon verification that they meet the need presented by the disability and they do not
create an “undue financial and administrative burden” for the HA, meaning an action
requiring “significant difficulty or expense”. This standard is not specifically defined in
the Act.
In determining whether accommodation would create an undue hardship, the following
guidelines will apply:
The nature and cost of the accommodation needed;
The overall financial resources of the facility or facilities involved in the provision of the
reasonable accommodation; and
The number of persons employed at such facility, the number of families likely to need
such accommodation, the effect on expenses and resources, or the likely impact on the
operation of the facility as a result of the accommodation.
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Verification of a Reauest for Accommodation
All requests for accommodation or modification will be verified with a reliable
knowledgeable, professional.
The Housing Authority utilizes organizations, which provide assistance for
hearing- and sight-impaired persons when needed.
A list of known accessible units will be provided.
The HA will refer families who have persons with disabilities to agencies in the
community that offer services to persons with disabilities.
I. TRANSLATION OF DOCUMENTS
The Housing Authority has Spanish-speaking bilingual staff to assist non-English
speaking families and translate documents.
In determining whether it is feasible to provide translation of documents written in
English into other languages, the HA will consider the following factors:
Number of applicants and participants in the jurisdiction who do not speak
English and speak the other language.
Estimated cost to HA per client of translation of English written documents
into the other language.
The availability of local organizations to provide translation services to non
English speaking families.
Availability of bi-lingual staff to provide translation for non-English
speaking families.
J. MANAGEMENT ASSESSMENT OBJECTIVES
The HA operates its housing assistance program with efficiency and can demonstrate
to HUD auditors that the HA is using its resources in a manner that reflects its
commitment to quality and service. The HA policies and practices are consistent with
the goals and objectives of the following HUD SEMAP indicators:
1. Selection from the Waiting List
2. Reasonable Rent
3. Determination of Adjusted Income
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4. Utility Allowance Schedule
5. HQS Quality Control Inspections
6. HQS Enforcement
7. Expanding Housing Opportunities
8. FMRIexception rent & Payment Standards
9. Annual Re-examinations
10. Correct Tenant Rent Calculations
11. Pre-Contract HQS Inspections
12. Annual HQS Inspections
13. Lease-up
14a. Family Self-Sufficiency Enrollment
14b. Percent of FSS Participants with Escrow Account Balances
15. Bonus Indicator (Deconcentration)
K. RECORDS FOR MONITORING HA PERFORMANCE
In order to demonstrate compliance with HUD and other pertinent regulations, the HA
will maintain records, reports and other documentation for a time that is in accordance
with HUD requirements and in a manner that will allow an auditor, housing professional
or other interested party to follow, monitor and/or assess the HA’s operational
procedures objectively and with accuracy.
Records and reports will be maintained for the purpose of:
Demonstrating that at least 98% of families were selected from the waiting
list in accordance with the Administrative Plan policies and met the correct
selection criteria.
Determining that at least 98% of randomly selected tenant files indicate
that the HA approved reasonable rents to owner at the time of initial lease-
up and before any increase in rent.
Monitoring HA practices for obtaining income information, proper
calculation of allowances and deductions, and utility allowances used to
determine adjusted income for families.
Demonstrating that the HA has analyzed utility rates locally to determine if
there has been a change of 10% or more since the last time the utility
schedule was revised.
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Determining that during the fiscal year the HA performs supervisory HQS
quality control inspections for at least 5% of all units under contract.
Determining that a review of selected files indicate that for at least 98% of
failed inspections, the HA ensures timely correction of HQS deficiencies or
abates HAPS or takes vigorous action to enforce family obligations.
Demonstrating that the HA provides families and owners information which
actively promotes the deconcentration of assisted families in low-income
neighborhoods.
Demonstrating that at least 90% of units newly leased have an initial gross
rent which does not exceed the FMR or approved exception rent, aside
from OFT0 tenancies, and Voucher payment standards are not less than
90% of the current FMRlexception rent limit unless otherwise approved by
HUD.
Demonstrating that 96400% of reexams are processed on time.
Demonstrating that less than 2% of all tenant files have rent calculation
discrepancies.
Demonstrating that 100% of newly leased units passed HQS inspections
before HAP contract date.
Demonstrating that the HA performs annual HQS inspections on time for
100% of all units under contract.
Demonstrating that the HA leases 90 - 100% of budgeted units during the
fiscal year.
Determining that the HA has filled 80 -100% of its FSS slots
Demonstrating that at least 30% of the HA’s FSS participants have escrow
account balances.
In addition to the SEMAP factors above to ensure quality control, the Housing
Program Manager or their designee reviews:
100% of applicants pulled from the waiting list;
100% of new applicant files prior to briefing;
100% of inspection booklets;
100% of new contracts; and
100% of claims processed.
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L. PRIVACY RIGHTS [24 CFR 982.5511
Applicants and participants, including all adults in their households, are required to sign
the HUD 9886 Authorization for Release of Information. This document incorporates
the Federal Privacy Act Statement and describes the conditions under which HUD/HA
will release family information.
The HA’s policy regarding release of information is in accordance with State and local
laws which may restrict the release of family information.
Any and all information which would lead one to determine the nature and/or severity of
a person’s disability is “confidential”. The personal information must not be released
except on an “as needed” basis in cases where an accommodation is under
consideration. All requests for access and granting of accommodations based on this
information must be approved by the Housing Program Manager.
The HA’s practices and procedures are designed to safeguard the privacy of
applicants and program participants. All applicant and participant files will be
stored in a location which is only accessible by authorized staff.
HA staff will not discuss family information contained in files unless there is a
business reason to do so. Inappropriate discussion of family information, or
improper disclosure of family information by staff will result in disciplinary
action.
M. FAMILY OUTREACH [24 CFR 982.153(b)(l)]
The HA will publicize and disseminate information to make known the availability of
housing assistance and related services for very low income families on a regular basis.
The outreach program will inform all segments of Carlsbad’s population, who may be
eligible to apply, of the availability of the Section 8 program. If applicant groups are not
reflective of the eligible population, additional outreach aimed at targeted groups will be
increased. The HA will publicize the availability of rental assistance for very low-income
families in newspapers of general circulation, minority media, and by other suitable
means. Notices will also be provided in Spanish.
Also, the HA will distribute fact sheets to the broadcasting media, and initiate personal
contacts with members of the news media and community service personnel. In
addition, the HA will utilize public service announcements. The following is a list of
media to be used:
1. Daily Publications:
l The San Diego Union-Tribune
l North County Times
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2. Alternate Publications:
l Carlsbad Community Services & Recreation Guide
l Senior World
l Hispanos Unidos
l Carlsbad Coastline Review
l The Reader
l The Sun
3. Television Stations:
l XETVChannel6
l KGTV-Channel 10
l KFMB-Channel8
l KNSD-Channel39
l KPBS-Channel 15
l KDCI-Daniels Cable Vision (Local cable)
Liaisons have been established with a variety of city and county agencies, private social
service agencies, non-profit agencies and special interest groups. The HA will
communicate the status of rental assistance availability to the service providers in the
community, advising them of eligibility factors and guidelines in order that they can
make appropriate referrals. Fliers explaining the Section 8 program have been
prepared for both applicants and rental property owners/managers. Fliers are also
distributed to local social service agencies, City of Carlsbad departments, non-profit
groups and community organizations. Community contacts include but are not limited
to the following:
Access Center
Aid to Veteran’s of America
Association for Retarded Citizens
Brother Benno’s
Camp Pendleton Housing Referral
Carlsbad Libraries
Carlsbad Recreation Department
Carlsbad Senior Center
Carlsbad Unified School District
Casa de Amparo
Center for Employment Training
Centro de lnformacion
Community Interface
Community Resource Center
Community Service Center for the Disabled County of San Diego Social Services
Department of Rehabilitation
Department of Health and Human Services
Employment Development Department
Legal Aid Society
Lifeline Community Services
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MAAC
Mira Costa College
Mission Square Adult Learning
North County Community Services
North San Diego County Association of Realtors
Palomar College
Regional Occupation Program
Salvation Army
SANDAPP
SER - Jobs for Progress
Social Security Administration
Veteran’s Administration
Western Institute for Mental Health
Women’s Resource Center
N. OWNER OUTREACH [24 CFR 98254(d)(5), 982.153(b)(l)]
The HA encourages owners of decent, safe and sanitary housing units to lease to
Section 8 families. The HA maintains an ongoing list of available rental units and
interested owners/property managers. The list is available in the lobby and is updated
weekly. When listings from owners/property managers are received, they will be
compiled by the HA staff by bedroom size.
The Housing Authority will maintain lists of available housing submitted by owners in all
neighborhoods within the Housing Authority’s jurisdiction to ensure greater mobility and
housing choice to very low income households. The lists of owners and units will be
provided at the front desk, mailed or faxed upon request and provided at briefings. In
addition, the HA will provide copies of excerpts from the Classified section of the
Sunday paper of rental units within the city of Carlsbad.
The staff of the HA initiates personal contact with private property owners and
managers by conducting formal and informal discussions and meetings.
Owner information packets describing the benefits of the rental assistance
programs are available to all interested persons.
The HA has active participation in a community based organization(s) comprised
of private property and apartment owners and managers.
The Housing Authority will actively recruit suburban property owners and grant
exception rents for accessible properties if the HA has jurisdiction in that area.
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The HA encourages program participation by owners of units located outside
areas of poverty or minority concentration. The HA periodically evaluates the
demographic distribution of assisted families to identify areas within the
jurisdiction where owner outreach should be targeted. The purpose of these
activities is to provide more choice and better housing opportunities to families.
Participants are informed of the full range of areas where they may lease units
inside the HA’s jurisdiction and given a list of landlords or other parties who are
willing to lease units or help families who desire to live outside areas of poverty or
minority concentration
The HA works with a nonprofit agency through the Community Opportunities
Program (COP) who identifies families in the program and counsels the families
on their prospective move and services available in the areas in which the family
is interested.
The HA conducts periodic meetings with participating owners to improve owner
relations and to recruit new owners.
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DRAFT
Chapter 2
ELIGIBILITY FOR ADMISSION
[24 CFR Part 5, Subparts B, D & E; Part 982, Subpart E]
This Chapter defines both HUD’s and the HA’s criteria for admission and denial of
admission to the program. The policy of this HA is to strive for objectivity and
consistency in applying these criteria to evaluate the eligibility of families who apply.
The HA staff will review all information provided by the family carefully and without
regard to factors other than those defined in this Chapter. Families will be provided the
opportunity to explain their circumstances, to furnish additional information, if needed,
and to receive an explanation of the basis for any decision made by the HA pertaining
to their eligibility.
Eliaibilitv Factors
To be eligible for participation, an applicant must meet HUD’s criteria, as well as any
permissible additional criteria established by the HA.
The HUD eligibility criteria are:
An applicant must be a “family”;
An applicant must be within the appropriate Income Limits;
An applicant must furnish Social Security Numbers for all family members age
six and older; and
An applicant must furnish declaration of Citizenship or Eligible Immigrant Status
and verification where required.
For the HA’s additional criteria for eligibility, see Section E, “Other Criteria for
Admission.”
The Family’s initial eligibility for placement on the waiting list will be made in accordance
with the eligibility factors.
Evidence of Citizenship/Eligible Immigrant Status will not be verified until the
family is selected from the waiting list for final eligibility processing for issuance
of a Certificate or Voucher, unless the HA determines that such eligibility is in
question, whether or not the family is at or near the top of the waiting list.
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A. FAMILY COMPOSITION [24 CFR 5.403,982.201]
The applicant must qualify as a Family. A Family may be a single person or a group of
persons. A group of persons may be:
Two or more persons who intend to share residency whose income and
resources are available to meet the family’s needs and who have a history
as a family unit or show evidence of a stable family relationship.
Two or more elderly or disabled persons living together, or one or more elderly,
near elderly or disabled persons living with one or more live-in aides is a family.
A child who is temporarily away from home because of placement in foster care
is considered a member of the family. This provision only pertains to the foster
child’s temporary absence from the home, and is not intended to artificially
enlarge the space available for other family members.
A single person may be:
An elderly person
A displaced person
A person with a disability
Any “other single” person
Head of Household
The head of household is the adult member of the household who is designated by the
family as head, is wholly or partly responsible for paying the rent, and has the legal
capacity to enter into a lease under State/local law. Emancipated minors who qualify
under State law will be recognized as head of household.
Spouse of Head
Spouse means the husband or wife of the head.
For proper application of the Non-citizens Rule, the definition of spouse is: the marriage
partner who, in order to dissolve the relationship, would have to be divorced. The term
“spouse” does not apply to boyfriends, girlfriends, significant others, or co-heads.
Co-Head
An individual in the household who is equally responsible for the lease with the Head of
Household. A family may have a spouse or co-head, but not both. A co-head never
qualifies as a dependent.
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Live-in Aides
A Family may include a live-in aide provided that such live-in aide:
Is determined by the HA to be essential to the care and well being of an elderly
person, a near-elderly person, or a person with disabilities,
Is not obligated for the support of the person(s), and
Would not be living in the unit except to provide care for the person(s).
A live-in aide is treated differently than family members:
Income of the live-in aide will not be counted for purposes of determining
eligibility or level of benefits.
Live-in aides are not subject to Non-Citizen Rule requirements.
Live-in aides may not be considered as a remaining member of the tenant family.
Relatives are not automatically excluded from being live-in aides, but they must meet all
of the elements in the live-in aide definition described above.
A Live in Aide may only reside in the unit with the approval of the HA. Written
verification will be required from a reliable, knowledgeable professional, such as a
doctor, social worker, or case worker. The verification provider must certify that a live-in
aide is needed for the care of the family member who is elderly, near-elderly (50-61) or
disabled.
At any time, the HA will refuse to approve a particular person as a live-in aide or
may withdraw such approval if:
The person commits fraud, bribery, or any other corrupt or criminal act in
connection with any federal housing program;
The person commits drug-related criminal activity or violent criminal
activity; or
The person currently owes rent or other amounts to the HA or to another
HA in connection with Section 8 or public housing assistance under the
1937 Act.
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Split Households Prior to Certificate/Voucher Issuance
When a family on the waiting list splits into two otherwise eligible families due to
divorce/legal separation or separation of the household, and the new families both
claim the same placement on the waiting list, and there is no court determination, the
HA will make the decision taking into consideration the following factors:
Which family member applied as head of household.
Which family unit retains the children or any disabled or elderly members.
Restrictions that were in place at the time the family applied.
Role of domestic violence in the split.
Recommendations of social service agencies or qualified professionals
such as children’s protective services.
Documentation of these factors is the responsibility of the applicant families. If
either or both of the families do not provide the documentation, they may be
denied placement on the waiting list for failure to supply information requested
by the HA.
In cases where domestic violence played a role, the standard used for verification
will be the same as that required for the “displaced due to domestic violence”
preference.
Multiple Families in the Same Household
When families apply which consist of two families living together, (such as a mother and
father, and a daughter with her own husband or children), if they apply as a family unit,
they will be treated as a family unit.
Joint Custodv of Children
Children who are subject to a joint custody agreement but live with one parent at
least 51% of the time will be considered members of the household. “51% of the
time” is defined as 183 days of the year, which do not have to run consecutively.
When both parents are on the Waiting List and both are trying to claim the child,
the parent whose address is listed in the school records will be allowed to claim
the school-age child as a dependent. If the child is not of school-age, the parent
who has physical custody of the child at least 51% of the time will be able to
claim the child as a member of the household.
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B. INCOME LIMITATIONS [24 CFR 982.201, 982.3531
In order to be eligible for assistance, an applicant must be either:
A very low-income family; or
A low-income family in any of the following categories:
A low-income family that is continuously assisted under the 1937 Housing
Act. An applicant is continuously assisted if the family has received
assistance under any 1937 Housing Act program within 120 days of
certificate/voucher issuance. Programs include public housing, all Section
8 programs, all Section 23 programs.
A low-income family physically displaced by rental rehabilitation activity
under 24 CFR part 511.
A low-income non-purchasing family residing in a HOPE 1 or HOPE 2
project.
A low-income non-purchasing family residing in a project subject to a
home-ownership program under 24 CFR 248.173.
A low-income family displaced as a result of the prepayment of a
mortgage or voluntary termination of a mortgage insurance contract under
24 CFR 248.165.
A low-income family residing in a HUD-owned multifamily rental housing
project when the project is sold, foreclosed or demolished by HUD.
(Certificate program only.)
To determine if the family is income-eligible, the HA compares the Annual Income of the
family to the applicable income limit for the family’s size.
Families whose Annual Income exceeds the income limit will be denied admission and
offered an informal review.
Sinale iurisdiction HAS: The applicable income limit to be used at initial issuance of a
certificate or voucher is the income limit of the HA.
For admission to the program (initial lease-up), the family must be within the very
low income limit of the jurisdiction where they want to live.
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Portability: For initial lease-up, families who exercise portability must be within the very
low income limit for the jurisdiction of the receiving HA in which they want to live.
Participant families who exercise portability, and request or require a change in their
form of assistance, must be within the low income limit of the receiving HA if they are to
receive the alternate form of assistance.
C. MANDATORY SOCIAL SECURITY NUMBERS [24 CFR 5.216,5.218]
Families are required to provide verification of Social Security Numbers for all family
members age 6 and older prior to admission, if they have been issued a number by the
Social Security Administration. This requirement also applies to persons joining the
family after admission to the program.
Failure to furnish verification of social security numbers is grounds for denial or
termination of assistance.
D. CITIZENSHIP/ELIGIBLE IMMIGRATION STATUS [24 CFR Part 5, Subpart E]
In order to receive assistance, a family member must be a U.S. citizen or eligible
immigrant. Individuals who are neither may elect not to contend their status. Eligible
immigrants are persons who are in one of the immigrant categories as specified by
HUD.
For the Citizenship/Eligible Immigration requirement, the status of each member of the
family is considered individually before the family’s status is defined.
Mixed Families. A family is eligible for assistance as long as at least one member is a
citizen or eligible immigrant. Families that include eligible and ineligible individuals are
called “mixed.” Such applicant families will be given notice that their assistance will be
pro-rated and that they may request a hearing if they contest this determination.
All members ineliaible. Applicant families that include no eligible members are ineligible
for assistance. Such families will be denied admission and offered an opportunity for a
hearing.
Non-citizen students. Defined by HUD in the non-citizen regulations. Not eligible for
assistance.
Appeals. For this eligibility requirement only, the applicant is entitled to a hearing
exactly like those provided for participants.
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E. OTHER CRITERIA FOR ADMISSIONS [24 CFR 982.552(b)]
The HA will permanently deny admission to the program if an applicant, or applicant’s
family member, has been convicted of manufacturing or producing methamphetamine
(speed).
The HA will apply the following criteria, in addition to the HUD eligibility criteria,
as grounds for denial of admission to the program.
The family must have not violated any family obligation during a previous
participation in the Section 8 program for two years prior to final eligibility
determination.
The HA may make an exception, if the family member who violated the
family obligation is not a current member of the household on the
application.
When the HA denies assistance to a person with a disability due to a
violation of family obligation, and the violation was a result of the
disability, the applicant may request a review of the decision to deny
assistance.
The family must pay any outstanding debt owed the HA or another HA as a
result of prior participation in any federal housing program before this HA
will allow participation in its Section 8 program.
The family must be in good standing regarding any current payment
agreement made with another HA for a previous debt incurred, before this
HA will allow participation in its Section 8 program.
No family member may have been evicted from public housing for any
reason during the last two years prior to final eligibility determination.
The HA may check criminal history for all adults in the household to
determine whether any member of the family has violated any of the
prohibited behaviors as referenced in Chapter 15, Section B., “One Strike.”
F. SUITABILITY OF FAMILY [24 CFR 982.202(b)(l)]
The HA will take into consideration any of the criteria for admission in Chapter 15, but
may not otherwise screen for factors which relate to the suitability of the applicant family
as tenants. It is the responsibility of the owner to screen the applicants as to their
suitability for tenancy.
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The HA will advise families how to file a complaint if they have been discriminated
against by an owner. The HA will advise the family to make a Fair Housing complaint.
The HA could also report the owner to HUD (Fair Housing/Equal Opportunity) or the
local Fair Housing Organization.
G. CHANGES IN ELIGIBILITY PRIQR TO EFFECTIVE DATE OF THE
CONTRACT
Changes that occur during the period between issuance of a certificate or voucher and
lease up may affect the family’s eligibility or Total Tenant Payment. For example, if a
family goes over the income limit prior to lease up, the applicant will no longer be
eligible for the program. They will be notified in writing of their ineligible status and their
right to an informal review.
H. lNELl,GlBLE FAMILIES
Families who are determined to be ineligible will be notified in writing of the reason for
denial and given an opportunity to request an informal review, or an informal hearing if
they were denied due to noncitizen status. See Chapter 19, “Complaints and Appeals”
for additional information about reviews and hearings.
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Chapter 3 DRAFT
APPLYING FOR ADMISSION
[24 CFR 982.2041
INTRODUCTION
The policy of the HA is to ensure that all families who express an interest in housing
assistance are given an equal opportunity to apply, and are treated in a fair and
consistent manner. This Chapter describes the policies and procedures for completing
an initial application for assistance, placement and denial of placement on the waiting
list, and limitations on who may apply. The primary purpose of the intake function is to
gather information about the family, but the HA will also utilize this process to provide
information to the family so that an accurate and timely decision of eligibility can be
made. Applicants will be placed on the waiting list in accordance with this Plan.
A. OVERVIEW OF THE APPLICATION TAKING PROCESS
The purpose of application taking is to permit the HA to gather information and
determine placement on the waiting list. The application will contain questions
designed to obtain pertinent program information.
Families who wish to apply for HA’s rental assistance program must call the waiting
list voice mail number, (760) 434-2934. The voice mail system explains how to
request a preliminary application “pre-application”, how to report updates to the
pre-application and documents the date and time of the request. The recording
will request name, mailing address and phone number. The message is in
English and Spanish. A preapplication form will be mailed and upon receipt of
the completed form, the applicant will be notified in writing of their status on the
waiting list. Applications will be made available in an accessible format upon request
from a person with a disability.
When the waiting list is open, any family asking to be placed on the waiting list
for Section 8 rental assistance will be given the opportunity to complete a pre-
application.
The application process will involve two phases. The first is the “initial” application for
assistance (referred to as a pre-application). This first phase results in the family’s
placement on the waiting list.
The second phase is the “final determination of eligibility” (referred to as the full
application). The full application takes place when the family reaches the top of the
waiting list. At this time the HA ensures that verification of all HUD and HA eligibility
factors is current in order to determine the family’s eligibility for the issuance of a
certificate or voucher.
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B. OPENING/CLOSING OF APPLICATION TAKING [24 CFR 982.206,
982.54(d)( I)]
The HA currently has an open waiting list. However, if the waiting list is closed the HA
will utilize the following procedures for opening the waiting list:
The HA will advertise through public notice in the following newspapers, minority
publications and media entities, location(s), and program(s) for which applications are
being accepted:
1. Daily Publications:
l The San Diego Union-Tribune
l North County Times
2. Alternate Publications:
l Carlsbad Community Services & Recreation Guide
l Senior World
l Hispanos Unidos
l Carlsbad Coastline Review
l The Reader
l The Sun
3. Television Stations:
l XETV-Channel6
l KGTV-Channel 10
l KFMB-Channel8
l KNSD-Channel39
l KPBS-Channel 15
l KDCI-Daniels Cable Vision (Local cable)
Community contacts include but are not limited to the following:
Access Center
Aid to Veteran’s of America
Association for Retarded Citizens
Brother Benno’s
Camp Pendleton Housing Referral
Carlsbad Libraries
Carlsbad Recreation Department
Carlsbad Senior Center
Carlsbad Unified School District
Casa de Amparo
Center for Employment Training
Centro de I nformacion
Community Interface
Community Resource Center
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Community Service Center for the Disabled County of San Diego Social Services
Department of Rehabilitation
Department of Health and Human Services
Employment Development Department
Legal Aid Society
Lifeline Community Services
MAAC
Mira Costa College
Mission Square Adult Learning
North County Community Services
North San Diego County Association of Realtors
Palomar College
Regional Occupation Program
Salvation Army
SANDAPP
SER - Jobs for Progress
Social Security Administration
Veteran’s Administration
Western Institute for Mental Health
Women’s Resource Center
The notice will contain:
- The dates, times, and the locations where families may apply.
- The programs for which applications will be taken.
- A brief description of the program.
- A statement that public housing residents must submit a separate application if
they want to apply for section 8.
- Limitations, if any, on who may apply.
The notices will be made in an accessible format if requested. They will provide
potential applicants with information that includes the HA address and telephone
number, how to submit an application, information on eligibility requirements, and the
availability of local preferences.
Upon request from a person with a disability, additional time will be given as an
accommodation for submission of an application after the closing deadline. This
accommodation is to allow persons with disabilities the opportunity to submit an
application in cases when a social service organization provides inaccurate or untimely
information about the closing date.
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Closinq the Waitina List
The HA may stop applications if there are enough applicants to fill anticipated openings
for the next 24 months. The waiting list may not be closed if it would have a
discriminatory effect inconsistent with applicable civil rights laws.
The HA will announce the closing of the waiting list by public notice.
The open period shall be long enough to achieve a waiting list adequate to cover
projected turnover and new allocations over the next 24 months. The HA will give at
least 60 days’ notice prior to closing the list. When the period for accepting applications
is over, the HA will add the new applicants to the list by:
Separating the new applicants into groups based on preferences and ranking
applicants within each group by date and time of application.
Limits on Who Mav AD@V
When the waiting list is open:
Any family asking to be placed on the waiting list for Section 8 rental assistance
will be given the opportunity to complete an application.
If there are sufficient applications from elderly families, disabled families,
and displaced families consisting of up to two persons, applications will
not be accepted from “Other Singles”. “Other Singles” is defined as
someone who is not elderly, disabled, displaced or pregnant.
When the application is requested on the waiting list voice mail system, it establishes
the family’s date and time of application for placement order on the waiting list.
C. “INITIAL” APPLICATION PROCEDURES [24 CFR 982.204(b)]
The HA will utilize a preliminary-application form (pre-application). The information is to
be filled out by the applicant whenever possible. To provide specific accommodation
for persons with disabilities, the information may be completed by a staff person over
the telephone or in the office. The pre-application is available in both English and
Spanish. Translations can be provided for non-English, Spanish-speaking
applicants by a bi-lingual staff person. The purpose of the pre-application is to
permit the HA to preliminarily assess family eligibility or ineligibility and to determine
placement on the waiting list. The pre-application contains questions designed to
obtain the following information:
- Names of adult members and age of all members
- Sex and relationship of all members
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- Street Address and phone numbers
- Mailing Address (If PO Box or no other permanent address)
- Amount(s) and source(s) of income received by household members
- Information regarding disabilities to determine qualifications for allowances and
deductions
- Information related to qualification for preferences
- Social Security Numbers
- Race/ethnicity
- Citizenship/eligible immigration status
- Arrests/Convictions for Drug Related or Violent Criminal Activity
- Need for Specific Accommodation to fully utilize program and services
- Questions regarding previous participation in HUD programs
Duplicate applications, including applications from a segment of an applicant
household, will not be accepted.
Ineligible families will not be placed on the waiting list.
Pre-applications will not require an interview. The information on the application will
not be verified until the applicant has been selected for final eligibility determination.
Final eligibility will be determined when the full application process is completed and all
information is verified.
D. APPLICANT STATUS WHILE ON WAITING LIST [CFR 982.2041
Applicants are required to inform the HA, in writing, of changes in address.
Applicants are also required to respond to requests from the HA to update
information on their pre-application and to determine their interest in assistance.
If after a review of the pre-application the family is determined to be preliminarily
eligible, they will be notified in writing or in an accessible format upon request, as a
reasonable accommodation.
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This written notification of preliminary eligibility will be:
mailed to the applicant by first class mail; or
distributed to the applicant in the manner requested as a specific
accommodation.
If the family is determined to be ineligible based on the information provided in the pre-
application, the HA will notify the family in writing (in an accessible format upon request
as a reasonable accommodation), state the reason(s), and inform them of their right to
an informal review. Persons with disabilities may request to have an advocate attend
the informal review as an accommodation. See Chapter 19, “Complaints and Appeals.”
E. TIME OF SELECTION [24 CFR 982.204, 5.4101
When funding is available, families will be selected from the waiting list in their
preference-determined sequence, regardless of family size.
When there is insufficient funding available for the family at the top of the list, the HA
will not admit any other applicant until funding is available for the first applicant.
Applicants will not be passed over on the waiting list.
Based on the HA’s turnover and the availability of funding, groups of families will
be selected from the waiting list to form a final eligibility “pool.” Selection from
the pool will be based on waiting list sequence and completion of verification.
F. COMPLETION OF A FULL APPLICATION
All preferences claimed on the pre-application or while the family is on the waiting list
will be verified:
After the family is selected from the waiting list, and prior to completing the
full application
The qualification for preference must exist at the time the preference is claimed and at
the time of verification, because claim of a preference determines placement on the
waiting list.
When the HA is ready to select applicants, applicants will be required to:
Complete an application prior to the intake interview.
The application must be complete in order to be accepted, unless
assistance is needed, or a request for accommodation is made by a person
with a disability. The applicant will sign and certify that all information is
true and complete.
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The application will be reviewed by staff to initially determine if the
applicant is income eligible and meets the criteria for the local preferences
that determined their position on the waiting list.
If determined eligible based on information provided on the application, an
intake interview will be scheduled with an HA representative. At the intake
interview, the applicant will be required to furnish all information as
requested. The HA interviewer will document the information from the
completed application form.
The full application will be communicated as requested as an accommodation to a
person with a disability.
Reauirement to Attend Intake Interview
The HA utilizes the intake interview to discuss the family’s circumstances in greater
detail, to clarify information which has been provided by the family, and to ensure that
the information is complete. The interview is also used as a vehicle to meet the
informational needs of the family by providing information about the application and
verification process, as well as to advise the family of other HA services or programs
which may be available.
The head of household and all adult family members are required to attend the
interview and sign the housing application.
If the head of household cannot attend the interview, the spouse may attend to
complete the application and certify for the family. The head of household,
however, will be required to attend an interview to review the information and to
certify by signature that all of the information is complete and accurate.
Exceptions may be made for students attending school out of state or for
members (except the head of household) for whom attendance would be a
hardship. The HA will offer a “home” intake interview to accommodate a person
with disabilities.
If an applicant fails to appear for a pre-scheduled appointment, the HA will
automatically schedule a second appointment. If the applicant misses three
scheduled appointments, the HA will deny the application.
Reasonable accommodation will be made for persons with a disability who requires an
advocate or accessible offices. A designee will be allowed to provide some information,
but only with permission of the person with a disability.
If an application is denied due to failure to attend the intake interview, the applicant will
be notified in writing and offered an opportunity to request an informal review. (See
Chapter 19, “Complaints and Appeals.“)
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All adult members must sign the HUD Form 9886, Release of Information, the
application form, Family Obligations for Section 8 Applicants/Participants form,
the declarations and consents related to citizenship/immigration status and any other
documents required by the HA. Applicants will be required to sign specific verification
forms for information which is not covered by the HUD form 9886. Failure to do so will
be cause for denial of the application for failure to provide necessary certifications and
release as required by the HA.
If the HA determines at or after the interview that additional information or document(s)
are needed, the HA will request the document(s) or information verbally and in
writing. The family will be given a minimum of 14 days to supply the information.
If the information is not supplied by the established deadline date, the HA will provide
the family a notification of denial for assistance. (See Chapter 19, “Complaints and
Appeals.“)
G. VERIFICATION [24 CFR 982.201 (e)]
Information provided by the applicant will be verified, using the verification procedures
in Chapter seven. Family composition, income, allowances and deductions, assets,
full-time student status, eligibility and rent calculation factors, and other pertinent
information will be verified. Verifications may not be more than 60 days old at the time
of issuance of the Certificate or Voucher.
H. SELECTION OF CERTIFICATE OR VOUCHER [24 CFR 982.205(c)(2)]
The HA orally provides an explanation of the differences between the Regular
Certificate program, the Over Fair Market Rent Tenancy Option (OFTO) and the
Voucher programs. The criteria for granting OFT0 tenancies and the availability of
such tenancies are also explained. The applicant is then asked to specify which type
of assistance they would prefer, a certificate or a voucher, and also to indicate whether
they would accept an alternate form of assistance.
The family must decide on which form of assistance (Certificate or Voucher) they prefer.
If the form of assistance preferred is available, it will be offered to the applicant.
If there is no response to the request for a decision, or funding for the form of
assistance preferred is not available, and the family has indicated they would accept
the other form of assistance, the HA will offer whatever form of assistance is available.
The applicant may refuse the first form of assistance offered and retain their place on
the waiting list until the other form of assistance is available. If the applicant then
refuses the other form of assistance, they will be rejected and their name removed from
the waiting list. See Chapter 19, “Complaints and Appeals.”
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I. SELECTION OF APPLICANTS/PARTICIPANTS FOR OFT0 TENANCIES
[24 CFR 982.5061
The HA will grant up to 10 percent of the incremental certificates (39 units) as
OFT0 tenancies. OFT0 tenancies will be granted only to families where the HA
has determined that the family’s share of rent will be affordable. In order to make
the determination, the family must self-certify that they have reviewed their rent
burden and other financial obligations and have determined that their rent burden
will be affordable. Family’s will be selected on a first-request, first-served basis.
OFT0 will be offered when needed by a family as a reasonable accommodation
so that the program is readily accessible to and usable by persons with
disabilities.
Family Affordability Criteria for OFT0 Tenancv f24 CFR 982506(b)(2)]
The HA will approve an initial OFT0 tenancy only after the family self-certifies
that the family’s share of rent is reasonable and affordable for that family. In
making this determination , the HA will instruct the family to take into account
other household expenses such as child care, unreimbursed medical, food,
transportation, clothing, and other appropriate expenses.
J. FINAL DETERMINATION AND NOTIFICATION OF ELIGIBILITY
[24 CFR 982.2011
After the verification process is completed, the HA will make a final determination of
eligibility. This decision is based upon information provided by the family, the
verification completed by the HA, and the current eligibility criteria in effect. If the family
is determined to be eligible, the HA will mail a notification of eligibility. A briefing will be
scheduled for the issuance of a certificate or voucher and the family’s orientation to the
housing program.
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DRAFT
Chapter 4
ESTABLISHING PREFERENCES AND MAINTAINING THE WAITING LIST
[24 CFR Part 5, Subpart D; 982.54(d)(l); 982.204, 982.205, 982.2061
It is the HA’s objective to ensure that families are placed in the proper order on the
waiting list and selected from the waiting list for admissions in accordance with the
policies in this Plan.
This chapter explains the local preferences which the HA has adopted to meet
local housing needs, defines the eligibility criteria for the preferences and
explains the HA’s system of applying them.
By maintaining an accurate waiting list, the HA will be able to perform the activities
which ensure that an adequate pool of qualified applicants will be available so that
program funds are used in a timely manner.
A. WAITING LIST [24 CFR 982.2041
Except for Special Admissions, applicants will be selected from the HA waiting list in
accordance with policies and preferences defined in this Plan.
The HA will maintain information that permits proper selection from the waiting list.
The waiting list contains the following information for each applicant listed:
- Applicant Name
- Family Unit Size (number of bedrooms family qualifies for under HA subsidy
standards)
- Date and time of application
- Qualification for any local preference
- Racial or ethnic designation of the head of household
- Singles preference status
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The waiting list will be maintained in accordance with the following guidelines:
1. The pre-application will be a permanent file.
2.
3.
All applicants in the pool will be maintained in the order of
preference. Applications equal in preference will be maintained by date
and time.
All applicants must meet “Very Low Income” eligibility requirements
as established by HUD. Any exceptions to these requirements, other
than those outlined in Chapter 2, “Eligibility for Admission,” must
have been approved previously by the HUD Field Office.
Waitina List Collaboration Between Housina Authorities
The HA will adopt a collaborative policy between Housing Authorities with
regards to applicants on waiting lists who move between housing jurisdictions.
The HA, upon request from an applicant, will forward or accept waiting list
applications for applicants who move to another agency’s jurisdiction or move
within this HA’s jurisdiction. Upon acceptance of such application, the HA will
integrate the application into the current waiting list preserving the original date
and time of the initial application.
Suecial Admissions [24 CFR 982.54(d)(e), 982.2031
Special purpose funding or grants for specified families or for a specified category of
families may be received, from time to time, by the HA. Such housing assistance
funding shall be for the individuals and families indicated in the federal, State or local
ordinances, rules and regulations. A specific waiting list may be necessary for each
special category of eligible families. Separate notices, special program rules and
information will be made available to the public and to the targeted individuals and
families.
Applicants who are admitted under Special Admissions, rather than from the waiting list,
are identified by codes in the automated system and may be maintained on
separate lists.
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B. WAITING LIST PREFERENCES [24 CFR 982.2071
An applicant will not be granted any Local preference if any member of the family
has been evicted from housing assisted under a 1937 Housing Act program
during the past three years because of drug-related criminal activity.
The HA will grant an exception to such a family if:
The responsible member has successfully completed a rehabilitation
program.
The evicted person clearly did not participate in or know about the drug
related activity.
If an applicant makes a false statement in order to qualify for a Local preference,
the HA will deny admission to the program for the family.
TvDes of Aoplicants With Preference Over “Other Sinales” [24 CFR 5.405(b)]
Per HUD requirements, elderly, disabled and displaced families with up to two members
will be given a preference over all “Other Single” applicants regardless of local
preference status.
“Other Singles” denotes a one-person household in which the individual member is not
elderly, disabled, pregnant or displaced by government action. Such applicants will be
placed on the waiting list in proper order for selection.
C. FEDERAL PREFERENCES [24 CFR 5.4101
Note: The use of Federal preferences has been eliminated by the Housing Quality and Work
Responsibility Act of 1998.
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D. INITIAL DETERMINATION OF LOCAL PREFERENCE QUALIFICATION
[24 CFR 5.4151
At the time of application, an applicant’s entitlement to a Local Preference may be
made on the following basis.
An applicant’s certification that they qualify for a preference will be accepted
without verification. When the family is selected from the waiting list for the final
determination of eligibility, the preference will be verified.
If the preference verification indicates that an applicant does not qualify for the
preference, the applicant will be returned to the waiting list without the Local Preference
and given an opportunity for an Informal Review.
If, at the time the family applied, the preference claim was the only reason for
placement of the family on the list and the family cannot verify their eligibility for
the preference as of the date of application, the family will be removed from the
list.
E. RANKING LOCAL PREFERENCES [24 CFR 5.410,5.415]
The HA will rank preferences to prioritize applicants with local preferences.
These categories will receive a ranking preference:
Residency Preference: Applicants who either live or work in Carlsbad. To qualify
for residency preference, the applicant must have lived in Carlsbad for a
minimum of 90 days prior to being pulled from the waiting list. Applicants who
work in Carlsbad, must have worked in Carlsbad for a minimum of 90 days and
work a minimum average of 20 hours per week. The minimum hours worked may
be waived to accommodate a person with disabilities. Applicants who are
determined eliaible for Residencv Preference will always have preference over
those who are NOT eliaible for Residencv Preference. reaardless of anv other
Local Preferences an applicant mav be eliaible.
Median Income at or below 30% of the Median Income Preference: Applicants
whose income is at or below 30% of the median income will have preference over
applicants whose income is above 30% of the median income.
Veteran Preference: A head of household or spouse who has been discharged
from military service under honorable or general (except dishonorable)
conditions, or a spouse of a deceased veteran will have preference over non-
veterans.
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Disability Preference: This preference is extended to disabled persons or families
with a disabled member as defined in this Plan. Proof of disability will be
required at time of selection.
Elderly Preference: A head of household or spouse who is at least 62 years old.
Family Preference: Two or more persons who intend to share residency whose
income and resources are available to meet the family’s needs and who have a
history as a family unit or show evidence of a stable family relationship. Or a
single person who is pregnant.
F. LOCAL PREFERENCES [24 CFR 5.4101
The HA uses the following Local Preference system:
Date and Time
Residency Preference: Applicants who either live or work in Carlsbad. To qualify
for residency preference, the applicant must have lived in Carlsbad for a
minimum of 90 days prior to being pulled from the waiting list. Applicants who
work in Carlsbad, must have worked in Carlsbad for a minimum of 90 days and
work a minimum average of 20 hours per week. The minimum hours worked may
be waived to accommodate a person with disabilities. Applicants who are
determined eliaible for Residencv Preference will alwavs have preference over
those who are NOT eliaible for Residencv Preference, reaardless of anv other
Local Preferences an applicant may be eliaible.
Median Income at or below 30% of the Median Income Preference: Applicants
whose income is at or below 30% of the median income will have preference over
applicants whose income is above 30% of the median income.
Veteran Preference: A head of household or spouse who has been discharged
from military service under honorable or general (except dishonorable)
conditions, or a spouse of a deceased veteran will have preference over non-
veterans.
Disability Preference: This preference is extended to disabled persons or families
with a disabled member as defined in this Plan. Proof of disability will be
required at time of selection.
Elderly Preference: A head of household or spouse who is at least 62 years old.
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Family Preference: Two or more persons who intend to share residency whose
income and resources are available to meet the family’s needs and who have a
history as a family unit or show evidence of a stable family relationship. Or a
single person who is pregnant.
G. EXCEPTIONS FOR SPECIAL ADMISSIONS [24 CFR 982.203,982.54(d)(3)]
If HUD awards an HA program funding that is targeted for specifically named families,
the HA will admit these families under a Special Admission procedure.
Special admissions families will be admitted outside of the regular waiting list process.
They do not have to qualify for any preferences, nor are they required to be on the
program waiting list. The HA maintains separate records of these admissions.
The following are examples of types of program funding that may be designated by
HUD for families living in a specified unit:
1. A family displaced because of demolition or disposition of a public or Indian
housing project;
2. A family residing in a multifamily rental housing project when HUD sells,
forecloses or demolishes the project;
3. For housing covered by the Low Income Housing Preservation and Resident
Home-ownership Act of 1990;
4. A family residing in a project covered by a project-based Section 8 HAP contract
at or near the end of the HAP contract term; and
5. A non-purchasing family residing in a HOPE 1 or HOPE 2 project.
H. TARGETED FUNDING [24 CFR 982.2031
When HUD awards special funding for certain family types, families who qualify are
placed on the regular waiting list. When a specific type of funding becomes available,
the waiting list is searched for the first available family meeting the targeted funding
criteria.
Applicants who are admitted under targeted funding which are not identified as a
Special Admission are identified by codes in the automated system and may be
maintained on separate waiting lists.
Currently, the HA does not have “Targeted” Programs.
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I. PREFERENCE ELIGIBILITY [24 CFR 5.4101
Chanae in Circumstances
Changes in an applicant’s circumstances while on the waiting list may affect the family’s
entitlement to a preference. Applicants are required to notify the HA in writing when
their circumstances change.
When an applicant claims an additional preference, s/he will be placed on the
waiting list in the appropriate order determined by the newly-claimed preference.
The exception to this is if at the time the family applied, the waiting list was only
open to families who claimed that preference. In such case, the applicant must
verify that they were eligible for the first preference before they are returned to
the waiting list with the new preference.
J. ORDER OF SELECTION [24 CFR 5.415, 982.207(e)]
In accordance with the Quality Housing and Work Responsibility Act of 1998, the HA
will reserve a minimum of seventy-five percent of its Section 8 new admissions for
families whose income does not exceed 30 percent of the area median income. In
addition to HUD required income targeting, the HA will use the following system for
selecting eligible applicants from the waiting list:
The order of selection is based on the HA’s system for weighing preferences and
is based on the date and time of application.
Local Preferences
Local preferences will be used to select families from the waiting list. The HA
has selected the following system to apply local preferences:
Applicants who qualify for Residency preference will always be assisted
prior to applicants who do not qualify for Residency preference. Of the
applicants that qualify for Residency preference;
0 Applicants whose income is at or below 30% of the median income
will have preference over applicants whose income is above 30% of
the median income; and
l Applicants with Veterans preference will be assisted over non-
veterans.
All other local preferences (Disability, Elderly, and Family) will be weighed
equally.
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Amona Applicants with Eaual Preference Status
Among applicants with equal preference status, the waiting list will be organized by
date and time.
K. FINAL VERIFICATION OF PREFERENCES [24 CFR 5.4151
Preference information on applications will be updated as applicants are selected from
the waiting list. At that time, the HA will:
Mail an application packet for completion. Upon receipt of the application
form, staff will review the information to make a preliminary determination
that the applicant qualifies for the local preferences originally claimed. At
the time of the intake interview, the necessary verifications of preference
will be obtained by third party verification.
L. PREFERENCE DENIAL [24 CFR 5.4151
If the HA denies a preference, the HA will notify the applicant in writing of the reasons
why the preference was denied and offer the applicant an opportunity for an informal
review with the Housing Program Manager. If the preference denial is upheld as a
result of the informal review, or the applicant does not request an informal review, the
applicant will be placed on the waiting list without benefit of the preference. Applicants
may exercise other rights if they believe they have been discriminated against.
If the applicant falsifies documents or makes false statements in order to qualify
for any preference, they will be removed from the Waiting List.
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M. REMOVAL FROM WAITING LIST AND PURGING [24 CFR 982.204(c)]
The Waiting List will be purged approximately every two years by a mailing to
selected applicants to ensure that the waiting list is current and accurate. The
mailing will ask for confirmation of continued interest.
Any mailings to the applicant which require a response will state that failure to
respond within 15 days will result in the applicant’s name being dropped from the
waiting list.
An extension of 30 days to respond will be granted, if requested and needed as a
reasonable accommodation for a person with a disability.
If the applicant did not respond to the HA request for information or updates because of
a family member’s disability, the HA will reinstate the applicant in the family’s former
position on the waiting list.
If a letter is returned by the Post Office without a forwarding address, the
applicant will be removed without further notice, and the envelope and letter will
be maintained in the file.
If a letter is returned with a forwarding address, it will be re-mailed to the address
indicated.
If an applicant is removed from the waiting list for failure to respond, they will not
be entitled to reinstatement unless the Housing Program Manager determines
there were circumstances beyond the person’s control.
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DRAF?
Chapter 5
SUBSIDY STANDARDS
[24 CFR 982.54(d)(9)]
INTRODUCTION
HUD guidelines require that HA’s establish subsidy standards for the determination of
Regular Certificate Tenancy, OFT0 Tenancy, and Voucher bedroom size, and that
such standards provide for a minimum commitment of subsidy while avoiding
overcrowding. The standards used for the Regular Certificate Tenancy, OFT0
Tenancy, or Voucher size must also be within the minimum unit size requirements of
HUD’s Housing Quality Standards. This Chapter explains the subsidy standards which
will be used to determine the certificate/voucher size for various sized families when
they are selected from the waiting list, as well as the HA’s procedures when a family’s
size changes, or a family selects a unit size that is different from the Certificate or
Voucher.
A. DETERMINING FAMILY UNIT (CERTIFICATENOUCHER) SIZE
[24 CFR 982.4021
The HA does not determine who shares a bedroom/sleeping room, but there must be at
least one person per bedroom on the Certificate or Voucher. The HA’s subsidy
standards for determining certificate/voucher size shall be applied in a manner
consistent with Fair Housing guidelines.
All standards in this section relate to the number of bedrooms on the Certificate or
Voucher, not the family’s actual living arrangements.
The unit size on the Certificate or Voucher remains the same as long as the family
composition remains the same, regardless of the actual unit size rented.
One bedroom will be assigned for the head of household spouse or co-head, if
applicable. Another bedroom will be issued for each two members in the
household regardless of sex, age, or relationship. Exceptions will be made for
verifiable medical reasons and/or in the case of a requirement for a live-in aide.
Live-in aides will generally be provided a separate bedroom. No additional
bedrooms are provided for the live-in aide’s family.
Foster children will be included in determining unit size only if they are
anticipated to be in the unit for more than twelve (12) months.
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Space will be provided for a family member, who will be absent most of the time,
such as a spouse who is away in the military or an adult child who is attending
college full time.
Single person families shall be allocated a one bedroom.
GUIDELINES FOR DETERMINING CERTIFICATE/VOUCHER SIZE
Certificate/Voucher SizePersons in Household Persons in Household
lMinimum #) JMaximum #)
0 Bedroom 1 2
1 Bedroom 1 4
2 Bedrooms 2 6
3 Bedrooms 4 8
4 Bedrooms 6 10
B. EXCEPTIONS TO SUBSIDY STANDARDS (24 CFR 982.403(a) & (b)
The HA shall grant exceptions from the subsidy standards if the family requests and the
HA determines the exceptions are verifiable and justified by the relationship, age, sex,
health or disability of family members, or other individual circumstances.
The HA will grant an exception upon request as an accommodation for persons with
disabilities. Circumstances may dictate a larger size than the subsidy standards permit
when persons cannot share a bedroom because of a need, such as a:
- Verified medical or health reason; or
- Elderly persons or persons with disabilities who may require a live-in
aide.
Reauest for Exceptions to Subsidy Standards
The family may request a larger sized certificate or voucher than indicated by the
HA’s subsidy standards. Such request must be made in writing. The request
must explain the need or justification for a larger bedroom. Documentation
verifying the need or justification will be required.
The HA will not issue a larger certificate or voucher due to additions of family
members other than by birth, adoption, marriage, or court-awarded custody.
Requests based on health related reasons must be verified by a doctor or
professional.
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HA Error
If the HA errs in the bedroom size designation, the family will be issued a Certificate or
Voucher of the appropriate size so that the family is not penalized.
Chanaes for ADDlicants
The certificate/voucher size is determined prior to the briefing by comparing the family
composition to the HA subsidy standards. If an applicant requires a change in the
certificate/voucher size, the above referenced guidelines will apply.
Chanaes for Particioants
The members of the family residing in the unit must be approved by the HA. The family
must obtain approval of any additional family member(s) before the new member
occupies the unit except for additions by birth, marriage, adoption, or court-awarded
custody, in which case the family must inform the HA within 15 days. The above
referenced guidelines will apply.
Underhoused and Overhoused Families
If a unit does not meet HQS space standards due to an increase in family size, (unit too
small), the HA will issue a new certificate or voucher and assist the family in locating a
suitable unit.
Certificate Families Only:
- If a certificate family is occupying a unit which has more bedrooms than
allocated under the HA’s subsidy standards, and the gross rent exceeds the
FMWException rent for the family size under the HA’s subsidy standards, the
HA will issue the family a new certificate and assist the family in finding a
suitable unit.
- Certificate families who are under-occupying a unit as defined above will be
given a minimum of sixty days before assistance is terminated.
- The HA will also notify the family of the circumstances under which an
exception will be granted, such as:
If a family with a disability is underhoused in an accessible unit.
If a family requires the additional bedroom because of a health
problem which has been verified by the HA.
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Transfer Waitina List
When a change in family composition requires the issuance of another size Certificate
or Voucher, and funds are not available for the type of assistance the family has, the
family will be transferred to the other form of assistance. If funds are not available for
either program, the family will be placed on a Transfer List.
Families will be selected from the Transfer List before families are selected from the
applicant waiting list. This assures that families who are already on the program are in
the appropriate sized units.
Families will be selected from this list when there is available funding, in the following
sequence:
1. A participant family (whose family composition has been approved by the
HA) who requires a change in Certificate or Voucher size because they are
living in a unit which is overcrowded according to Housing Quality
Standards.
2. A participant family (whose family composition has been approved by the
HA) who requires a change in Certificate or Voucher size under the
Subsidy Standards, but not under Housing Quality Standards.
3. All others who require a transfer as determined by the HA.
C. UNIT SIZE SELECTED
The family may select a different size dwelling than that listed on the Certificate or
Voucher. There are three criteria to consider:
1. Subsidv Limitation: For the Regular Certificate, OFT0 Tenancy, and Voucher
programs, the HA will apply the FMR or Payment Standard for the smaller of (1)
the bedroom size shown on the CertificateAIoucher or (2) the size of the actual
unit selected by the family.
2. Utility Allowance: The utility allowance used to calculate the gross rent is based
on the actual size of the unit the family selects, regardless of the size authorized
on the family’s Certificate or Voucher.
3. Housina Qualitv Standards: The standards allow two persons per living/sleeping
room and permit maximum occupancy levels (assuming a living room is used as
a living/sleeping area) as shown in the table below. The levels may be exceeded
if a suitable room, in addition to bedrooms and living room, is used for sleeping.
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HQS GUIDELINES FOR UNIT SIZE SELECTED
0 Bedroom
1 Bedroom
2 Bedrooms
3 Bedrooms
4 Bedrooms
5 Bedrooms
6 Bedrooms
Maximum #
in Household
2
4
6
8
10
12
14
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-
Chapter 6
DRAFT
FACTORS RELATED TO TOTAL TENANT PAYMENT DETERMINATION
[24 CFR Part 5, Subparts E and F; 982.153, 982.317, 982.5511
INTRODUCTION
The HA will use the methods as set forth in this Plan to verify and determine that family
income at admission and reexamination is correct. The accurate calculation of Annual
Income and Adjusted Income will ensure that families are not paying more or less
money for rent than their obligation under the Regulations.
This Chapter defines the allowable expenses and deductions to be subtracted from
Annual Income and how the presence or absence of household members may affect
the Total Tenant Payment (TTP). Income and TTP are calculated in accordance with
24 CFR Part 5, Subparts E and F, and further instructions set forth in HUD Notices and
Memoranda. The formula for the calculation of TTP is specific and not subject to
interpretation. The HA’s policies in this Chapter address those areas which allow the
HA discretion to define terms and to develop standards in order to assure consistent
application of the various factors that relate to the determination of TTP.
A. INCOME AND ALLOWANCES [24 CFR 5.6091
Income: Includes all monetary amounts which are received on behalf of the family. For
purposes of calculating the Total Tenant Payment, HUD defines what is to be
calculated and what is to be excluded in the federal regulations. In accordance with
this definition, all income which is not specifically excluded in the regulations is counted.
Annual Income is defined as the gross amount of income anticipated to be received by
the family during the 12 months after certification or recertification. Gross income is the
amount of income prior to any HUD allowable expenses or deductions, and does not
include income which has been excluded by HUD. Annual income is used to determine
whether or not applicants are within the applicable income limits.
Adiusted Income is defined as the Annual income minus any HUD allowable expenses
and deductions.
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HUD has five allowable deductions from Annual Income:
1. Dependent Allowance: $480 each for family members (other than the head or
spouse) who are minors, and for family members who are 18 and older who are
full-time students or who are disabled.
2. Elderly/Disabled Allowance: $400 per family for families whose head or spouse
is 62 or over or disabled.
3. Allowable Medical Expenses: Deducted for all family members of an eligible
elderly/disabled family.
4. Child Care Expenses: Deducted for the care of children under 13 when child
care is necessary to allow an adult member to work, attend school, or actively
seek employment.
5. Allowable Disability Assistance Expenses: Deducted for attendant care or
auxiliary apparatus for persons with disabilities if needed to enable the individual
or an adult family member to work.
“Minimum Rent” and Minimum Familv Contribution
“Minimum rent” in the Regular Certificate and OFT0 Tenancy program is $50.
Minimum rent includes the combined amount (TTP) a family pays towards rent and/or
utilities.
Minimum family contribution in the voucher program is $50.
Exceptions to “Minimum Rent”
The HA, upon request from the participant, may provide an exception to the minimum
rent requirement for hardship circumstances. Exceptions for financial hardship may be
granted for the following situations:
1. the family has lost eligibility for or is awaiting an eligibility determination for a
Federal, State, or local assistance program;
2. the family would be evicted as a result of the imposition of the minimum rent
requirement;
3. the income of the family has decreased because of changed circumstance,
including loss of employment;
4. a death in the family has occurred; and
5. other circumstances determined by the HA or HUD.
The exception will be granted during the time that the hardship exists. If it is
determined that a hardship no longer exists, the HA will impose the minimum rent.
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B. DEFINITION OF TEMPORARILY OR PERMANENTLY ABSENT
[24 CFR 982.54(d)(lO), 982.317, 982.5511
The HA must compute all applicable income of every family member who is on the
lease, including those who are temporarily absent. In addition, the HA must count the
income of the spouse or the head of the household if that person is temporarily absent,
even if that person is not on the lease.
Temporarily absent is defined as away from the unit for more than 60 (sixty) days.
Income of persons permanently absent will not be counted. If the spouse is temporarily
absent and in the military, all military pay and allowances (except hazardous duty pay
when exposed to hostile fire and any other exceptions to military pay HUD may define)
is counted as income. It is the responsibility of the head of household to report changes
in family composition. The HA will evaluate absences from the unit using this policy.
Absence of Anv Member
Any member of the household will be considered permanently absent if s/he is away
from the unit for six consecutive months except as otherwise provided in this Chapter.
Absence due to Medical Reasons
If any family member leaves the household to enter a facility such as hospital, nursing
home, or rehabilitation center, the HA will seek advice from a reliable qualified source
as to the likelihood and timing of their return. If the verification indicates that the family
member will be permanently confined to a nursing home, the family member will be
considered permanently absent. If the verification indicates that the family member will
return in less than 90 consecutive days, the family member will not be considered
permanently absent.
If the person who is determined to be permanently absent is the sole member of the
household, assistance will be terminated in accordance with the HA’s “Absence of
Entire Family” policy.
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Absence Due to Full-time Student Status
Full time students who attend school away from the home will be treated in the following
manner:
A student (other than head of household or spouse) who attends school away
from home but lives with the family during school recesses may, at the family’s
choice, be considered either temporarily or permanently absent. If the family
decides that the member is permanently absent, income of that member will not
be included in total household income, the member will not be included on the
lease, and the member will not be included for determination of
Certificate/Voucher size. However if the member is considered temporarily
absent, the member’s income and assets will be considered in determining total
household income and the member will be included when determining the
subsidy standard for the household.
Absence due to Incarceration
If the sole member is incarcerated for more than 90 consecutive days, s/he will be
considered permanently absent. Any member of the household, other than the sole
member, will be considered permanently absent if s/he is incarcerated for six
consecutive months.
The HA will determine if the reason for incarceration is for drug-related or violent
criminal activity.
Absence of Children due to Placement in Foster Care
If the family includes a child or children temporarily absent from the home due to
placement in foster care, the HA will determine from the appropriate agency when the
child/children will be returned to the home.
If the time period is to be greater than six of months from the date of removal of the
childken, the CertificateNoucher size will be reduced. If all children are removed from
the home permanently, the certificate or voucher size will be reduced in accordance with
the HA’s subsidy standards.
Absence of Entire Family
These policy guidelines address situations when the family is absent from the unit, but
has not moved out of the unit. In cases where the family has moved out of the unit, the
HA will terminate assistance in accordance with appropriate termination procedures
contained in this Plan.
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Families are required both to notify the HA before they move out of a unit and to give the
HA information about any family absence from the unit.
Families must notify the HA if they are going to be absent from the unit for more
than 30 (thirty) consecutive days.
If the entire family is absent from the assisted unit for more than 90 (ninety) consecutive
days, the unit will be considered to be vacated and the assistance will be terminated.
If it is determined that the family is absent from the unit, the HA will not continue
assistance payments.-
HUD regulations require the HA to terminate assistance if the entire family is absent
from the unit for a period of more than 180 consecutive calendar days. “Absence”
means that no family member is residing in the unit.
In order to determine if the family is absent from the unit, the HA may:
Write letters to the family at the unit;
Telephone the family at the unit;
Interview neighbors;
Verify if utilities are in service; or
Check with the post office.
A person with a disability may request an extension of time as an
accommodation, provided that the extension does not go beyond the HUD-
allowed 180 consecutive calendar days limit.
If the absence which resulted in termination of assistance was due to a person’s
disability, and the HA can verify that the person was unable to notify the HA in
accordance with the family’s responsibilities, and if funding is available, the HA
may reinstate the family as an accommodation if requested by the family.
Caretaker for Children
If neither parent remains in the household and the appropriate agency has
determined that another adult is to be brought into the assisted unit to care for
the children for an indefinite period, the HA will treat that adult as a visitor for the
first six months.
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If by the end of that period, court-awarded custody or legal guardianship has been
awarded to the caretaker, the Certificate or Voucher will be transferred to the
caretaker.
If the appropriate agency cannot confirm the guardianship status of the caretaker, the
HA will review the status at 90 day intervals. If custody or legal guardianship has not
been awarded by the court, but the action is in process, the HA will secure verification
from social services staff or the attorney as to the status.
The caretaker will be allowed to remain in the unit, as a visitor, until a
determination of custody is made.
When the HA approves a person to reside in the unit as caretaker for the children, the
income should be counted pending a final disposition. The HA will work with the
appropriate service agencies and the landlord to provide a smooth transition in these
cases.
If a member of the household is subject to a court order that restricts him/her from the
home for more than six months, the person will be considered permanently absent.
Visitors
Any adult not included on the HUD 50058 who has been in the unit more than 60 (sixty)
consecutive days without HA approval, or a total of 180 days in a 12-month period, will
be considered to be living in the unit as an unauthorized household member.
Absence of evidence of any other address will be considered verification that the
visitor is a member of the household.
Statements from the landlord will be considered in making the determination.
Use of the unit address as the visitor’s current residence for any purpose that is
not explicitly temporary shall be construed as permanent residence.
The burden of proof that the individual is a visitor rests on the family. In the
absence of such proof, the individual will be considered an unauthorized member
of the household and the HA will terminate assistance since prior approval was
not requested for the addition.
Minors and college students who were part of the family but who now live away from
home during the school year and are no longer on the lease may visit for up to 120 days
per year without being considered a member of the household.
In a joint custody arrangement, if the minor is in the household less than 180 days per
year, the minor will be considered to be an eligible visitor and not a family member.
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Reportina Additions to Owner and HA
Reporting changes in household composition to the HA is both a HUD and an HA
requirement. The family obligations require the family to request HA approval to add
any other family member as an occupant of the unit and to inform the HA of the birth,
adoption or court-awarded custody of a child. The family must request prior approval of
additional household members in writing.
If the family does not obtain prior written approval from the HA, any person the
family has permitted to move in will be considered an unauthorized household
member.
In the event that a visitor continues to reside in the unit after the maximum
allowable time, the family must report it to the HA in writing within 15 (fifteen)
days of the maximum allowable time.
Families are required to report any additions to the household in writing to the HA
within 15 (fifteen) days of the move-in date. An interim reexamination will be
conducted for any additions to the household. In addition, the lease may require the
family to obtain prior written approval from the owner when there are changes in family
composition other than birth, adoption or court awarded custody.
ReDortina Absences to the HA
Reporting changes in household composition is both a HUD and an HA requirement. If
a family member leaves the household, the family must report this change to the HA, in
writing, within 15 (fifteen) days of the change and certify as to whether the member is
temporarily absent or permanently absent. The HA will conduct an interim evaluation for
changes which affect the Total Tenant Payment in accordance with the interim policy.
C. AVERAGING INCOME
When Annual Income cannot be anticipated for a full twelve months, the HA may:
Average known sources of income that vary to compute an annual income, or
Annualize current income and conduct an interim reexamination if income
changes.
If there are bonuses or overtime which the employer cannot anticipate for the next
twelve months, bonuses and overtime received the previous year will be used. If by
averaging, an estimate can be made for those families whose income fluctuates from
month to month, this estimate will be used so as to reduce the number of interim
adjustments. The method used depends on the regularity, source and type of income.
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D. MINIMUM INCOME
There is no minimum income requirement. Families who report zero income are
required to complete a written certification every 90 days.
E. INCOME OF PERSON PERMANENTLY CONFINED TO NURSING HOME [24
CFR 982.54(d)( IO)]
If a family member is permanently confined to a hospital or nursing home and there is a
family member left in the household, the HA will calculate the income by using the
following methodology and use the income figure which would result in a lower payment
by the family:
1. (a) Exclude the income of the person permanently confined to the
nursing home and give the family no deductions for medical
expenses of the confined family member.
(b) Include the income of the person permanently confined to the
nursing home and give the family the medical deductions allowable
on behalf of the person in the nursing home.
(c) Exclude the income and deductions of the member if his/her income
goes directly to the facility.
F. REGULAR CONTRIBUTIONS AND GIFTS [24 CFR 5.6091
Regular contributions and gifts received from persons outside the household are
counted as income for calculation of the Total Tenant Payment.
Any contribution or gift received every month or more frequently will be considered a
“regular” contribution or gift, unless the amount is less than $100 per year. This
includes rent and utility payments made on behalf of the family and other cash or non-
cash contributions provided on a regular basis. It does not include casual contributions
or sporadic gifts. (See Chapter 7, “Verification Procedures,” for further definition.)
If the family’s expenses exceed its known income, the HA will question the family
about contributions and gifts.
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G. ALIMONY AND CHILD SUPPORT [24 CFR 5.6091
Regular alimony and child support payments are counted as income for calculation of
Total Tenant Payment.
If the amount of child support or alimony received is less than the amount
awarded by the court, the HA will use the amount awarded by the court unless the
family can verify that they are not receiving the full amount and verification is
provided.
The HA will accept as verification that the family is receiving an amount less that the
award if:
The HA receives verification from the agency responsible for enforcement
or collection.
The family furnishes documentation of child support or alimony collection
action filed through a child support enforcement/collection agency, or has
filed an enforcement or collection action through an attorney. It is the
family’s responsibility to supply a certified copy of the divorce decree.
The family provides copies of checks received.
H. LUMP-SUM RECEIPTS [24 CFR 5.6091
Lump-sum additions to Family assets, such as inheritances, insurance payments
(including payments under health and accident insurance and worker’s compensation),
capital gains, and settlement for personal or property losses, are not included in income
but may be included in assets. Lump-sum payments caused by delays in processing
periodic payments such as unemployment or welfare assistance are counted as income.
Lump sum payments from Social Security or SSI are excluded from income, but any
amount remaining will be considered an asset. Deferred periodic payments which have
accumulated due to a dispute will be treated the same as periodic payments which are
deferred due to delays in processing.
In order to determine amount of retroactive tenant rent that the family owes as a result of
the lump sum receipt:
The HA uses a calculation method which calculates retroactively or prospectively
depending on the circumstances.
The HA will calculate prospectively if the family reported the payment within 15
(fifteen) and retroactively to date of receipt if the receipt was not reported within
that time frame.
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Prospective Calculation Methodoloay
If the payment is reported on a timely basis, the calculation will be done
prospectively and will result in an interim adjustment calculated as follows:
The entire lump-sum payment will be added to the annual income at the
time of the interim.
The lump sum will be added in the same way for any interims which occur
prior to the next annual recertification.
Retroactive Calculation Methodoloay
1. The HA will go back to the date the lump-sum payment was received, or to
the date of admission, whichever is closer.
2. The HA will determine the amount of income for each certification period,
including the lump sum, and recalculate the tenant rent for each
certification period to determine the amount due the HA.
At the HA’s option, the HA may enter into a Repayment Agreement with the family.
The amount owed by the family is a collectible debt even if the family becomes
unassisted.
Attornev Fees
The family’s attorney fees may be deducted from lump-sum payments when
computing annual income if the attorney’s efforts have recovered a lump-sum
compensation, and the recovery paid to the family does not include an additional
amount in full satisfaction of the attorney fees.
I. CONTRIBUTIONS TO RETIREMENT FUNDS -ASSETS [24 CFR 5.603(d)]
Contributions to company retirement/pension funds are handled as follows:
1. While an individual is employed, count as assets only amounts the family can
withdraw without retiring or terminating employment.
2. After retirement or termination of employment, count any amount the employee
elects to receive as a lump sum.
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J. ASSETS DISPOSED OF FOR LESS THAN FAIR MARKET VALUE
[24 CFR 5.603(d)(3)]
The HA must count assets disposed of for less than fair market value during the two
years preceding certification or reexamination. The HA will count the difference
between the market value and the actual payment received in calculating total assets.
Assets disposed of as a result of foreclosure or bankruptcy are not considered to be
assets disposed of for less than fair market value. Assets disposed of as a result of a
divorce or separation are not considered to be assets disposed of for less than fair
market value.
K. CHILD CARE EXPENSES [24 CFR 5.6031
Child care expenses for children under 13 may be deducted from annual income if they
enable an adult to work or attend school full time, or to actively seek employment.
In the case of a child attending private school, only after-hours care can be
counted as child care expenses.
Child care expenses cannot be allowed as a deduction if there is an adult
household member capable of caring for the child who can provide the child care.
Examples of those adult members who would be considered unable to care for the
child include:
The abuser in a documented child abuse situation, or
A person with disabilities or older person unable to take care of a small
child, as verified by a reliable knowledgeable source.
Allowability of deductions for child care expenses is based on the following guidelines:
Child care to work: The maximum child care expense allowed must be less than the
amount earned by the person enabled to work. The “person enabled to work” will be
the adult member of the household who earns the least amount of income from
working.
Child care for school: The number of hours claimed for child care may not exceed
the number of hours the family member is attending school, including reasonable
travel time to and from school.
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L. MEDICAL EXPENSES [24 CFR 5.609(a)(2), 5.6031 When it is unclear in the
HUD rules as to whether or not to allow an item as a medical expense, IRS
Publication 502 will be used as a guide.Nonprescription medicines will be
counted toward medical expenses for families who qualify if the family furnishes
legible receipts.
Accupressure, acupuncture and related herbal medicines, and chiropractic
services will be considered allowable medical expenses.
M. PRORATION OF ASSISTANCE FOR “MIXED” FAMILIES [24 CFR 5.5201
ApDlicabilitv
Proration of assistance must be offered to any “mixed” applicant or participant family. A
“mixed” family is one that includes at least one U.S. citizen or eligible immigrant and any
number of ineligible members.
“Mixed“ families that were participants on June 19, 1995, and that do not qualify for
continued assistance must be offered prorated assistance. (See Chapter 12,
“Recertifications.“) Applicant mixed families are entitled to prorated assistance.
Families that become mixed after June 19, 1995, by addition of an ineligible member are
entitled to prorated assistance.
Prorated Assistance Calculation
Prorated assistance is calculated by determining the amount of assistance payable if all
family members were eligible and multiplying by the percent of the family members who
actually are eligible. Total Tenant Payment is the gross rent minus the prorated
assistance.
N. REDUCTION IN BENEFITS
If the family’s benefits, such as social security, SSI or TANF (CALWorks), are reduced
through no fault of the family, the HA will use the net amount of the benefit.
If the family’s benefits were reduced due to family error, omission, or
misrepresentations, the HA will use the gross amount of the benefit that the family
is entitled.
If the family’s CALWorks benefits were reduced due to non-compliance with an
economic self-sufficiency program, work activities requirement, or fraud, the HA
will use the gross amount of the benefit that the family would otherwise be eligible
to receive.
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0. UTILITY ALLOWANCE AND UTILITY REIMBURSEMENT PAYMENTS
[24 CFR 982.153, 982.5171
The same Utility Allowance Schedule is used for Regular Certificate Tenancies, OFT0
Tenancies, and Vouchers. The HA will maintain an up-to-date utility allowance
schedule.
The utility allowance is intended to cover the cost of utilities not included in the rent. The
allowance is based on the typical cost of utilities and services paid by energy-
conservative households that occupy housing of similar size and type in the same
locality. Allowances are not based on an individual family’s actual energy consumption.
An allowance for tenant-paid air conditioning will be provided in those cases where the
majority of housing units in the market have central air conditioning or are wired for
tenant installed air conditioners. A tenant-paid air conditioning allowance will not be
provided throughout our jurisdiction.
The HA will review the utility allowance schedule annually. If the review finds a utility
rate has changed by 10 percent or more since the last revision of the utility allowance
schedule, the schedule will be revised to reflect the new rate. Revised utility allowances
will be applied in a participant family’s rent calculation at their next reexamination.
The approved utility allowance schedule is given to families along with their Certificate or
Voucher. The utility allowance is based on the actual unit size selected.
Where families provide their own range and refrigerator, the HA will establish an
allowance adequate for the family to purchase or rent a range or refrigerator, even if the
family already owns either appliance. Allowances for ranges and refrigerators will be
based on the lesser of the cost of leasing or purchasing the appropriate appliance over
a 36 (thirty-six) month period.
Where the Utility Allowance exceeds the family’s Total Tenant Payment, the HA will
provide a Utility Reimbursement Payment for the family each month. The check will be
made out directly to the tenant.
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DRAFT
Chapter 7
VERIFICATION PROCEDURES
[24 CFR Part 5, Subparts B, D, E and F; 982.1081
INTRODUCTION
HUD regulations require that the factors of eligibility and Total Tenant Payment be
verified by the HA. HA staff will obtain written verification from independent sources
whenever possible and will document tenant files whenever third party verifications are
not possible. Applicants and program participants must provide true and complete
information to the HA whenever information is requested. The HA’s verification
requirements are designed to maintain program integrity. This Chapter explains the
HA’s procedures and standards for verification of preferences, income, assets,
allowable deductions, family status, and changes in family composition. The HA will
obtain proper authorization from the family before requesting information from
independent sources.
A. METHODS OF VERIFICATION AND TIME ALLOWED [24 CFR 982.5161
The HA will verify information through the four methods of verification acceptable to
HUD in the following order:
1. Third-Party Written
2. Third-Party Oral
3. Review of Documents
4. Certification/Self-Declaration
The HA will allow two weeks for return of third-party verifications and two weeks to
obtain other types of verifications before going to the next method. The HA will
document the file as to why third party written verification was not used.
For applicants, verifications may not be more than 60 days old at the time of
CertificateNoucher issuance. For participants, they are valid for 120 days from
date of receipt.
Third-Partv Written Verification
Third-party verification is used to verify information directly with the source. Third-party
written verification forms will be sent and returned via first class mail. The family will be
required to sign an authorization for the information source to release the specified
information.
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Verifications received electronically directly from the source are considered third party
written verifications.
The HA will accept verifications in the form of computerized printouts delivered
by the family from the following agencies:
Social Security Administration
Veterans Administration
Department of Health and Human Services
Employment and Development Department
City or County Courts
Financial Institutions
Educational Institutions
The HA may send requests for third party written verifications to the source
regardless of whether the family provides a computerized printout.
Third-Pat-b/ Oral Verification
Oral third-party verification will be used when written third-party verification is
delayed or not possible. When third-party oral verification is used, staff will be
required to complete a Certification of Document Viewed or Person Contacted
form, noting with whom they spoke, the date of the conversation, and the facts
provided. If oral third party verification is not available, the HA will compare the
information to any documents provided by the Family. If provided by telephone,
the HA must originate the call.
Review of Documents
In the event that third-party written or oral verification is unavailable, or the information
has not been verified by the third party within three weeks, the HA will notate the file
accordingly and utilize documents provided by the family as the primary source if the
documents provide complete information.
All such documents, excluding government checks, will be photocopied and
retained in the applicant file. In cases where documents are viewed which cannot
be photocopied, staff viewing the document(s) will complete a Certification of
Document Viewed or Person Contacted form or document.
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The HA will accept the following documents from the family provided that the
document is such that tampering would be easily noted:
Printed wage stubs
Computer print-outs from the employer
Signed letters (provided that the information is confirmed by phone)
Other documents noted in this Chapter as acceptable verification
The HA will accept faxed documents.
The HA will accept photo copies.
If third-party verification is received after documents have been accepted as provisional
verification, and there is a discrepancy, the HA will utilize the third party verification.
The HA will not delay the processing of an application beyond 21 days because a
third party information provider does not return the verification in a timely
manner.
Self-Certification/Self-Declaration
When verification cannot be made by third-party verification or review of documents,
families will be required to submit a self-certification.
Self-certification means a notarized statement or certification statement under
penalty of perjury.
B. RELEASE OF INFORMATION C24 CFR 5.2301
The family will be required to sign specific authorization forms when information is
needed that is not covered by the HUD form 9886, Authorization for Release of
Information/Privacy Act Notice.
Each member requested to consent to the release of specific information will be
provided with a copy of the appropriate forms for their review and signature.
Family refusal to cooperate with the HUD prescribed verification system will result in
denial of admission or termination of assistance because it is a family obligation to
supply any information and to sign consent forms requested by the HA or HUD.
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C. COMPUTER MATCHING
Where allowed by HUD and/or other State or local agencies, computer matching
will be done.
The HA will utilize the HUD established Internet format, Tenant Rental Assistance
Characteristics System (TRACS) for obtaining Social Security benefits,
Supplemental Security Income, benefit history and tenant income discrepancy
reports from the Social Security Administration.
D. ITEMS TO BE VERIFIED [24 CFR 982.5161
All income not specifically excluded by the regulations.
Full-time student status including High School students who are 18 or over.
Current assets including assets disposed of for less than fair market value in preceding
two years.
Child care expense where it allows an adult family member to be employed or to further
his/her education.
Total medical expenses of all family member in households whose head or spouse is
elderly or disabled.
Disability assistance expenses to include only those costs associated with attendant
care or auxiliary apparatus for a disabled member of the family, which allow an adult
family member to be employed.
Disability for determination of preferences, allowances or deductions.
U.S. citizenship/eligible immigrant status
Social Security Numbers for all family members over 6 years of age or older who have
been issued a social security number.
“Preference” status
Familial/Marital status when needed for head or spouse definition.
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E. VERIFICATION OF INCOME [24 CFR 982.5161
This section defines the methods the HA will use to verify various types of income.
Emplovment Income
Verification forms request the employer to specify the:
Dates of employment
Amount and frequency of pay
Date of the last pay increase
Likelihood of change of employment status and effective date of any known
salary increase during the next 12 months
Year to date earnings
Estimated income from overtime, tips, bonus pay expected during next 12
months
Acceptable methods of verification include, in this order:
1. Employment verification form completed by the employer.
2. Check stubs or earning statements, which indicate the employee’s gross pay,
frequency of pay or year to date earnings.
3. W-2 forms plus income tax return forms.
4. Self-certifications or income tax returns signed by the family may be used for
verifying self-employment income, or income from tips and other gratuities.
Applicants and program participants may be requested to sign an authorization
for release of information from the Internal Revenue Service for further
verification of income.
In cases where there are questions about the validity of information provided by
the family, the HA will require the most recent federal income tax statements.
Where doubt regarding income exists, a referral to IRS for confirmation will be
made on a case-by-case basis.
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Social Securitv. Pensions, Supplementarv Securitv Income (SSIL Disability
Income
Acceptable methods of verification include:
1. Benefit verification form completed by agency providing the benefits.
2. Award or benefit notification letters prepared and signed by the providing
agency.
3. Computer report electronically obtained or in hard copy.
Unemplovment Compensation
Acceptable methods of verification include:
1. Verification form completed by the unemployment compensation agency.
2. Computer printouts from unemployment office stating payment dates and
amounts.
3. Payment stubs.
Welfare Pavments or General Assistance
Acceptable methods of verification include, in this order:
1. HA verification form completed by payment provider.
2. Written statement from payment provider indicating the amount of
grant/payment, start date of payments, and anticipated changes in payment in
the next 12 months.
3. Computer-generated Notice of Action.
4. Alimonv or Child Support Pavments
Acceptable methods of verification include:
1. Copy of a separation or settlement agreement or a divorce decree stating amount
and type of support and payment schedules.
2. A notarized letter from the person paying the support.
3. Copy of latest check and/or payment stubs from Court Trustee. HA must
record the date, amount, and number of the check.
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If payments are irregular, the family must provide either:
A statement from the agency responsible for enforcing payments to show
that the family has filed for enforcement.
A notarized affidavit from the family indicating the amount(s) received.
A welfare notice of action showing amounts received by the welfare agency
for child support.
A written statement from an attorney or the court certifying that a
collection or enforcement action has been filed.
Net Income from a Business
In order to verify the net income from a business, the HA will view IRS and financial
documents from prior years and use this information to anticipate the income for the
next 12 months.
Acceptable methods of verification include:
1. IRS Form 1040, including:
Schedule C (Small Business)
Schedule E (Rental Property Income)
Schedule F (Farm Income)
If accelerated depreciation was used on the tax return or financial
statement, an accountant’s calculation of depreciation expense, computed
using straight-line depreciation rules.
2. Audited or unaudited financial statement(s) of the business.
3. Documents such as manifests, appointment books, cash books, bank
statements, and receipts will be used as a guide for the prior six months (or
lesser period if not in business for six months) to project income for the next
12 months. The family will be advised to maintain these documents in the
future if they are not available.
4. If none of the above are available, the family may provide a self-certification as
to net income realized from the business during previous years or anticipated
net income for the coming year.
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Child Care Business
If an applicant/participant is operating a licensed day care business, income will be
verified as with any other business.
If the applicant/participant is operating a “cash” operation (which may or may not
be licensed), the HA will require that the applicant/participant provide a log with
the information about customers and amount being paid.
If the family has filed a tax return, the family will be required to provide it.
Recurrina Gifts
The family must furnish a self-certification which contains the following information:
The person who provides the gifts
The value of the gifts
The regularity (dates) of the gifts
The purpose of the gifts
Zero Income Status
Families claiming to have no income will be required to execute verification
forms to determine that forms of income such as unemployment benefits, TANF,
SSI, etc. are not being received by the household.
The HA will request information from the State Employment Development
Department.
The HA may run a credit report if information is received that indicates the family
has an unreported income source.
The HA will require the family to document how they are meeting their basic
needs.
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Full-time Student Status
Only the first $480 of the earned income of full time students, other than head, co-head,
or spouse, will be counted towards family income.
Financial aid, scholarships and grants received by full time students is not counted
towards family income.
Verification of full time student status includes:
1. Written verification from the registrar’s office or other school official.
2. School records indicating enrollment for sufficient number of credits to be
considered a full-time student by the educational institution.
F. INCOME FROM ASSETS C24 CFR 982.5161
Acceptable methods of verification include:
Savinas Account Interest Income and Dividends
Will be verified by:
1. Account statements, passbooks, certificates of deposit, or HA verification forms
completed by the financial institution.
2. Broker’s statements showing value of stocks or bonds and the earnings credited
the family. Earnings can be obtained from current newspaper quotations or oral
broker’s verification.
3. IRS Form 1099 from the financial institution, provided that the HA must adjust
the information to project earnings expected for the next 12 months.
Interest Income from Mortaaaes or Similar Arranaements
1. A letter from an accountant, attorney, real estate broker, the buyer, or a financial
institution stating interest due for next 12 months. (A copy of the check paid by
the buyer to the family is not sufficient unless a breakdown of interest and
principal is shown.)
2. Amortization schedule showing interest for the 12 months following the effective
date of the certification or recertification.
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Net Rental Income from Property Owned by Family
1.
2.
3.
IRS Form 1040 with Schedule E (Rental Income).
Copies of latest rent receipts, leases, or other documentation of rent amounts.
Documentation of allowable operating expenses of the property: tax statements,
insurance invoices, bills for reasonable maintenance and utilities, and bank
statements or amortization schedules showing monthly interest expense.
4. If none of the above are available, the family may provide the lessee’s
written statement verifying rent payments to the family and family’s self-
certification as to net income realized.
G. VERIFICATION OF ASSETS
Familv Assets
The HA will require the necessary information to determine the current cash value, (the
net amount the family would receive if the asset is converted to cash).
1.
2.
Verification forms, letters, or documents from a financial institution or broker.
Passbooks, checking account statements, certificates of deposit, bonds, or
financial statements completed by a financial institution or broker.
3. Quotes from a stock broker or realty agent as to net amount family would receive
if they liquidated securities or real estate.
4. Real estate tax statements if the approximate current market value can be
deduced from assessment.
5.
6.
Financial statements for business assets.
Copies of closing documents showing the selling price and the distribution of the
sales proceeds.
7. Appraisals of personal property held as an investment.
8. Family’s self-certification describing assets or cash held at the family’s
home or in safe deposit boxes.
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-
Assets DisDosed of for Less than Fair Market Value (FMVI Durina Two Years
Precedina Effective Date of Certification or Recertification
1. For all Certifications and Recertifications, the HA will obtain the Family’s
certification as to whether any member has disposed of assets for less than fair
market value during the two years preceding the effective date of the certification
or recertification.
2. If the family certifies that they have disposed of assets for less than fair market
value, certification is required that shows: (a) all assets disposed of for less
than FMV, (b) the date they were disposed of, (c) the amount the family
received, and (d) the market value of the assets at the time of disposition. Third
party verification will be obtained wherever possible.
H. VERIFICATION OF ALLOWABLE DEDUCTIONS FROM INCOME
[24 CFR 982.5161
Child Care ExDenses
1. Written verification from the person who receives the payments is required. If
the child care provider is an individual, s/he must provide a statement of the
amount they are charging the family for their services.
2. Verifications must specify the child care provider’s name, address, telephone
number, the names of the children cared for, the number of hours the child care
occurs, the rate of pay, and the typical yearly amount paid, including school and
vacation periods.
3. Family’s certification as to whether any of those payments have been or will be
paid or reimbursed by outside sources.
Medical Expenses
Families who claim medical expenses will be required to submit a certification as to
whether or not any expense payments have been, or will be, reimbursed by an outside
source. All expense claims will be verified by one or more of the methods listed below:
1. Written verification by a doctor, hospital or clinic personnel, dentist, pharmacist,
of (a) the anticipated medical costs to be incurred by the family and regular
payments due on medical bills; and (b) extent to which those expenses will be
reimbursed by insurance or a government agency.
2. Written confirmation by the insurance company or employer of health insurance
premiums to be paid by the family.
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3. Written confirmation from the Social Security Administration of Medicare
premiums to be paid by the family over the next 12 months. A computer printout
will be accepted.
4. For attendant care:
a. A reliable, knowledgeable professional’s certification that the assistance of
an attendant is necessary as a medical expense and a projection of the
number of hours the care is needed for calculation purposes.
b. Attendant’s written confirmation of hours of care provided and amount and
frequency of payments received from the family or agency (or copies of
canceled checks the family used to make those payments) or stubs from
the agency providing the services.
5. Receipts, canceled checks, or pay stubs that verify medical costs and insurance
expenses likely to be incurred in the next 12 months.
6. Copies of payment agreements or most recent invoice that verify payments
made on outstanding medical bills that will continue over all or part of the next 12
months.
7. Receipts or other record of medical expenses incurred during the past 12 months
that can be used to anticipate future medical expenses. HA may use this
approach for “general medical expenses” such as non-prescription drugs and
regular visits to doctors or dentists, but not for one time, nonrecurring expenses
from the previous year.
8. The HA will use mileage at the IRS rate, or cab, bus fare, or other public
transportation cost for verification of the cost of transportation directly related to
medical treatment.
Assistance to Persons with Disabilities [24 CFR 5.611 (c)]
1. In All Cases:
(a) Written certification from a reliable, knowledgeable professional that the
person with disabilities requires the services of an attendant and/or the
use of auxiliary apparatus to permit him/her to be employed or to function
sufficiently independently to enable another family member to be
employed.
(b) Family’s certification as to whether they receive reimbursement for any of
the expenses of disability assistance and the amount of any
reimbursement received.
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2. Attendant Care:
(a) Attendant’s written certification of amount received from the family,
frequency of receipt, and hours of care provided.
(b) Certification of family and attendant and/or copies of canceled checks
family used to make payments.
3. Auxiliary Apparatus:
(a) Receipts for purchases or proof of monthly payments and maintenance
expenses for auxiliary apparatus.
(W In the case where the person with disabilities is employed, a statement
from the employer that the auxiliary apparatus is necessary for
employment.
I. VERIFYING NON-FINANCIAL FACTORS [24 CFR 982.153(b)(l5)]
Verification of Leaal ldentitv
In order to prevent program abuse, the HA will require applicants to furnish
verification of legal identity for all family members.
The documents listed below will be considered acceptable verification of legal
identity for adults. If a document submitted by a family is illegible or otherwise
questionable, more than one of these documents may be required.
Certificate of Birth, naturalization papers
Church issued baptismal certificate
Current, valid Driver’s license
U.S. military discharge (DD 214)
U.S. military Identification Card
U.S. passport
Voter’s registration
Company/agency Identification Card
Department of Motor Vehicles Identification Card
Veterans Administration Identification Card
Health and Human Services Identification Card
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Documents considered acceptable for the verification of legal identity for minors may be
one or more of the following:
Certificate of Birth
Adoption papers
Custody agreement
Health and Human Services Identification Card
School records
If none of these documents can be provided, a third party who knows the person
may, at the HA’s discretion, provide a notarized statement verifying the persons
identity.
Verification of Marital Status
Verification of divorce status will be a certified copy of the divorce decree, signed by a
Court Officer.
Verification of a separation may be a copy of court-ordered maintenance or other
records.
Verification of marriage status is a marriage certificate.
Familial Relationshius
Certification will normally be considered sufficient verification of family
relationships. In cases where reasonable doubt exists, the family may be asked
to provide verification.
The following verification will be required, if applicable:
Verification of guardianship is:
Court-ordered assignment
Affidavit of parent
Verification from social services agency
School records
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Verification of Permanent Absence of Familv Member
If an adult member who was formerly a member of the household is reported
permanently absent by the family, the HA will consider any of the following as
verification:
1.
2.
3.
4.
5.
6.
7.
Husband or wife institutes divorce action.
Husband or wife institutes legal separation.
Order of protection/restraining order obtained by one family member against
another.
Proof of another home address, such as utility bills, change of address filed with
the Post Office, canceled checks for rent, drivers license, or lease or rental
agreement.
Statements from other agencies such as social services or a written statement
from the landlord or manager that the adult family member is no longer living at
that location.
If the adult family member is incarcerated, a document from the Court or prison
should be obtained stating how long they will be incarcerated.
If no other proof can be provided, the HA may accept a self-certification
from the head of household or the spouse/co-head, if the head of
household is the absent member.
Verification of Change in Familv Composition
The HA may verify changes in family composition (either reported or unreported)
through letters, telephone calls, utility records, owners, credit data, school or
DMV records, and other sources.
Verification of Disabilitv
Verification of disability must be receipt of SSI or SSA disability payments under
Section 223 of the Social Security Act or 102(7) of the Developmental Disabilities
Assistance and Bill of Rights Act (42 U.S.C. 6001(7) or verified by appropriate
diagnostician such as physician, psychiatrist, psychologist, therapist, rehab specialist,
or licensed social worker, using the HUD language as the verification format.
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Verification of CitizenshiD/Eliaible lmmiclrant Status
To be eligible for assistance, individuals must be U.S. citizens or eligible immigrants.
Individuals who are neither may elect not to contend their status. Eligible immigrants
must fall into one of the categories specified by the regulations and must have their
status verified by Immigration and Naturalization Service (INS). Each family member
must declare their status once. Assistance cannot be delayed, denied, or terminated
while verification of status is pending except that assistance to applicants may be
delayed while the HA hearing is pending.
(a)
(b)
@>
Cd)
(e>
Citizens or Nationals of the United States are required to sign a
declaration under penalty of perjury. The HA will not require citizens to
provide documentation of citizenship.
Eliaible lmmiarants who were Participants and 62 or over on June 19,
1995, are required to sign a declaration of eligible immigration status and
provide proof of age.
Non-citizens with eliaible immiaration status must sign a declaration of
status and verification consent form and provide their original immigration
documents which are copied front and back and returned to the family.
The HA verifies the status through the INS SAVE system. If this primary
verification fails to verify status, the HA must request within ten days that
the INS conduct a manual search.
lneliaible familv members who do not claim to be citizens or eligible
immigrants must be listed on a statement of ineligible family members
signed by the head of household or spouse.
Non-citizen students on student visas are ineligible members even though
they are in the country lawfully. They must provide their student visa but
their status will not be verified and they do not sign a declaration but are
listed on the statement of ineligible members.
Failure to Provide. If an applicant or participant family member fails to sign required
declarations and consent forms or provide documents, as required, they must be listed
as an ineligible member. If the entire family fails to provide and sign as required, the
family may be denied or terminated for failure to provide required information.
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Time of Verification
For applicants, verification of U.S. citizenship/eligible immigrant status occurs at
the same time as verification of other factors of eligibility for final eligibility
determination.
For family members added after other members have been verified, the
verification occurs at the first recertification after the new member moves in.
Once verification has been completed for any covered program, it need not be
repeated except that, in the case of port-in families, if the initial HA does not
supply the documents, the HA must conduct the determination.
Extensions of Time to Provide Documents
The HA will grant an extension of 30 days for families to submit evidence of eligible
immigrant status.
Acceptable Documents of Eliaible lmmiaration
The regulations stipulate that only the following documents are acceptable unless
changes are published in the Federal Register.
Resident Alien Card (l-551)
Alien Registration Receipt Card (l-l 51)
Arrival-Departure Record (l-94)
Temporary Resident Card (l-688)
Employment Authorization Card (I-6888)
Receipt issued by the INS for issuance of replacement of any of the above
documents that shows individual’s entitlement has been verified
A birth certificate is not acceptable verification of status. All documents in connection
with U.S. citizenship/eligible immigrant status must be kept five years.
If the HA determines that a family member has knowingly permitted another individual
who is not eligible for assistance to reside permanently in the family’s unit, the family’s
assistance will be terminated for 24 months, unless the ineligible individual has already
been considered in prorating the family’s assistance.
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Verification of Social Securitv Numbers [24 CFR 5.2161
Social security numbers must be provided as a condition of eligibility for all family
members age six and over if they have been issued a number. Verification of Social
Security numbers will be done through a Social Security Card issued by the Social
Security Administration. If a family member cannot produce a Social Security Card,
only the documents listed below showing his or her Social Security Number may be
used for verification. The family is also required to certify in writing that the
document(s) submitted in lieu of the Social Security Card information provided is/are
complete and accurate:
Identification card issued by a Federal, State or local agency
Identification card issued by a medical insurance company or provider
(including Medicare and Medicaid)
IRS Form 1099
Benefit award letters from government agencies
Retirement benefit letter
Verification of benefits or Social Security Number from Social Security
Administration
New family members ages six and older will be required to produce their Social Security
Card or provide the substitute documentation described above together with their
certification that the substitute information provided is complete and accurate. This
information is to be provided at the time the change in family composition is reported to
the HA.
If an applicant or participant is able to disclose the Social Security Number but cannot
meet the documentation requirements, the applicant or participant must sign a
certification to that effect provided by the HA. The applicant/participant or family
member will have an additional 30 days to provide proof of the Social Security Number.
If they fail to provide this documentation, the family’s assistance will be terminated.
In the case of an individual at least 62 years of age, the HA may grant an extension for
an additional 60 days to a total of 120 days. If, at the end of this time, the elderly
individual has not provided documentation, the family’s assistance will be terminated.
If the family member states they have not been issued a number, the family member
will be required to sign a certification to this effect.
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Medical Need for Laraer Unit
A written certification that a larger unit is necessary must be obtained from a reliable,
knowledgeable professional.
J. VERIFICATION OF WAITING LIST PREFERENCES [24 CFR 5.41 O-5.4301
Sinale Person Displaced bv Government Action
Person who claims they are being or have been displaced due to a government action:
written verification by the displacing unit or agency of government, or by a service
agency such as the Red Cross.
Person who claims they have been or are about to be displaced to avoid reprisals for
providing information to assist police in a criminal investigation.
Certification of threat assessment by a law enforcement agency
Oral or written recommendation from law enforcement agency or HUD.
Person who claims to be displaced by hate crimes.
Written statement from law enforcement agency, HUD, Fair Housing or
other agency responsible for non-discrimination advocacy.
Displacement by HUD disposition of a project: Written verification from HUD.
Additional Local Preferences (formerly used as Ranking Preferences for Federal
preference holders)
Residency Preference: Applicants who either live or work in Carlsbad. To qualify
for residency preference, the applicant must have lived in Carlsbad for a
minimum of 90 days prior to being pulled from the waiting list. Applicants who
work in Carlsbad, must have worked in Carlsbad for a minimum of 90 days and
work a minimum average of 20 hours per week. The minimum hours worked may
be waived to accommodate a person with disabilities
In order to verify that an applicant qualifies for Residency Preference, the
HA will require documentation that the applicant meets the eligibility
criteria. Such documentation may include: rent receipts, leases, utility
bills, employer or agency records, school records, drivers licenses, voters
registration records, bank records, notarized statement from household
with whom the family is residing.
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Median Income at or below 30% of the Median Income Preference: Applicants
whose income is at or below 30% of the median income will have preference over
applicants whose income is above 30% of the median income.
In order to verify that an applicant qualifies for Income at or below 30% of
the area median income, the HA will require disclosure and documentation
of all includable income sources and assets for the applicant family.
Veteran Preference: A head of household or spouse who has been discharged
from military service under honorable or general (except dishonorable)
conditions, or a spouse of a deceased veteran will have preference over non-
veterans.
The HA will require U.S. government documents which indicate that the
applicant qualifies under the above definition.
Disability Preference: This preference is available for families with a member who
has a disability as defined in this Plan.
The HA will require appropriate documentation from a
knowledgeable professional. The HA will not inquire as to the nature
of the disability except as to verify necessity for accessible unit.
Award letter or other proof of eligibility for Social Security Disability
or Supplemental Security Income will be acceptable.
Elderly Preference: A head of household or spouse who is at least 62 years old.
The HA will require documents which indicate that the applicant
qualifies under the above definition.
Family Preference: Two or more persons who intend to share residency whose
income and resources are available to meet the family’s needs and who have a
history as a family unit or show evidence of a stable family relationship. Or a
single person who is pregnant.
The HA will require documents which indicate that the applicant
qualifies under the above definition.
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DRAFT
Chapter 8
CERTIFICATE/VOUCHER ISSUANCE AND BRIEFINGS
[24 CFR 982.301, 982.3021
The HA’s goals and objectives are designed to assure that families selected to
participate are equipped with the tools necessary to locate an acceptable housing unit.
Families are provided sufficient knowledge and information regarding the program and
how to achieve maximum benefit while complying with program requirements. When
eligibility has been determined, the HA will conduct a mandatory briefing to ensure that
families know how the program works. The briefing will provide a broad description of
owner and family responsibilities, HA procedures, and how to lease a unit. The family
will also receive a briefing packet which provides more detailed information about the
program including the benefits of moving outside areas of poverty and minority
concentration. This Chapter describes how briefings will be conducted, the information
that will be provided to families, and the policies for how changes in the family
composition will be handled.
A. ISSUANCE OF CERTIFICATESNOUCHERS [24 CFR 982.204(d), 982.54(d)(2)]
When funding is available, the HA will issue Certificates and Vouchers to applicants
whose eligibility has been determined. The issuance of Certificates and Vouchers must
be within the dollar limitations set by the Consolidated Annual Contributions Contract
(CACC) budget.
The number of Certificates and Vouchers issued must ensure that the HA stays as
close as possible to 100 percent lease-up. The HA performs a monthly calculation
electronically and manually to determine whether applications can be processed, the
number of Certificates and Vouchers that can be issued, and to what extent the HA can
over-issue (issue more Certificates or Vouchers than the budget allows).
The HA may over-issue Certificates or Vouchers only to the extent necessary to meet
leasing goals. All Certificates and Vouchers which are over-issued must be honored. If
the HA finds it is over-leased, it must adjust future issuance of Certificates or Vouchers
in order not to exceed the Annual Budget Authority (ABA) budget limitations over the
fiscal year.
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B. BRIEFING TYPES AND REQUIRED ATTENDANCE [24 CFR 982.3011
Initial ADDkant Briefinq
A full HUD-required briefing will be conducted for applicant families who are determined
to be eligible for assistance. The briefings will be conducted in groups and individual
meetings depending on numbers briefed and special accommodations. Families
who attend group briefings and still have the need for individual assistance will be
referred to a Housing Representative.
Briefings will be conducted in English and Spanish.
The purpose of the briefing is to explain the documents in the CertificateNoucher
holder’s packet to families so that they are fully informed about the program. This will
enable them to utilize the program to their advantage, and it will prepare them to
discuss it with potential owners and property managers.
The HA will not issue a Certificate or Voucher to a family unless the household
representative has attended a briefing and signed the Certificate or Voucher.
Applicants who provide prior notice of inability to attend a briefing will automatically be
scheduled for the next briefing. Applicants who fail to attend three scheduled briefings,
without prior notification and approval of the HA, may be denied admission based on
failure to supply information needed for certification. The HA will conduct individual
briefings for families with disabilities or other special needs at their home, upon request
by the family, if required for reasonable accommodation.
Briefina Packet [24 CFR 982.301 (b)]
The documents and information provided in the briefing packets for both the Certificate
and Voucher programs will comply with all HUD requirements. The HA also includes
other information and materials which are not required by HUD.
The family is provided with the following information and materials:
1. The term of the certificate or voucher, and the HA policy for requesting
extensions to the term of the certificate or voucher or suspensions of the
certificate/voucher.
2. A description of the method used to calculate the housing assistance payment,
information on utility allowances, Fair Market Rents for the Regular Certificate
program and Payment Standards and how they differ for the OFT0 Tenancy and
Voucher program.
3. How the maximum allowable rent is determined including the rent
reasonableness standard.
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4. Guidance and materials to assist the family in selecting a unit, such as proximity
to employment, public transportation, schools, shopping, and the accessibility of
services. Guidance will also be provided to assist the family to evaluate the
prospective unit, such as the condition of a unit, whether the rent is reasonable,
cost of tenant-paid utilities, and energy efficiency of the unit.
5. The boundaries of the geographical area in which the family may lease a unit
including an explanation of portability.
6. The HA model lease and HUD lease addendum which incorporates the
Request for Lease Approval form, and a description of the procedure for
requesting approval for a unit.
7. The HA policy on providing information about families to prospective owners.
8. The Subsidy Standards including when and how exceptions are made and how
the certificate or voucher size relates to the unit size selected.
9. Information on how to select a unit, the HUD brochure “A Good Place to Live”
on how to select a unit that complies with HQS and an HA checklist on
“How to inspect a unit.”
10. The HUD brochure on lead-based paint and information about where blood
level testing is available.
11. Information on federal, State and local equal opportunity laws and a copy of the
housing discrimination complaint form. The HA will also include the pamphlet
“Fair Housing: It’s Your Right” and other information about fair housing
laws and guidelines and the phone numbers of the local fair housing agency
and the HUD enforcement office.
12. A list of landlords or other parties willing to lease to assisted families or help in
the search and known units available for the size certificate or voucher
issued. The list includes owners or other parties who are willing to lease units or
help families find units outside areas of poverty or minority concentration.
13. If the family includes a person with disabilities, information that the HA will
provide assistance in locating accessible units and a list of available
accessible units known to the HA.
14. The Family Obligations under the program.
15. The grounds on which the HA may terminate assistance for a participant family
because of family action or failure to act.
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16. HA informal hearing procedures including when the HA is required to offer a
participant family the opportunity for an informal hearing, and how to request the
hearing.
17. Information packet including an explanation of how portability works,
including a list of neighboring housing agencies with the name, address
and telephone number of a portability contact person at each for use by
families who move under portability.
18. Information regarding the HA’s Community Outreach Program (COP) which
assists families who are interested in, or experiencing difficulty in
obtaining available housing units in areas outside of minority concentrated
locations.
19.
20.
21.
A list of properties or property management organizations that own or
operate housing units outside areas of poverty or minority concentration.
A sample Housing Assistance Payments (HAP) Contract.
Procedures for notifying the HA and/or HUD of program abuses such as
side payments, extra charges, violations of tenant rights, and owner failure
to repair.
22. The family’s rights as a tenant and a program participant.
23. Requirements for reporting changes between certifications.
24. Information on security deposits and legal referral services.
Other Information to be Provided at the Briefina [24 CFR 982.301(a)]
The person conducting the briefing will also describe how the program works and the
relationship between the family and the owner, the family and the HA, and the HA and
the owner.
The briefing presentation emphasizes:
Family and owner responsibilities
Where a family may lease a unit inside and outside its jurisdiction
How portability works for families eligible to exercise portability
Advantages to moving to an area with low concentration of very low-income
families if family is living in a high poverty census tract in the HA’s jurisdiction.
Exercising choice in residency
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Choosing a unit carefully and only after due consideration.
The Family Self Sufficiency program and its advantages.
If the family includes a person with disabilities, the HA will ensure compliance with CFR
8.6 to ensure effective communication.
Move Briefmq
A move briefing will be held for participants who will be reissued Certificates or
Vouchers to move and have given notice of intent to vacate to their owner. This
briefing includes incoming and outgoing portable families.
C. ENCOURAGING PARTICIPATION IN AREAS WITHOUT LOW INCOME OR
MINORITY CONCENTRATION
At the briefing, families are encouraged to search for housing in non-impacted areas
and the HA will provide assistance to families who wish to do so.
The HA has areas of poverty. and minority concentration clearly delineated in
order to provide families with information and encouragement in seeking housing
opportunities outside highly concentrated areas.
The HA will investigate and analyze when Certificate and Voucher holders are
experiencing difficulties locating or obtaining housing units outside areas of
concentration.
The assistance provided to such families includes:
Direct contact with landlords.
Counseling with the family.
Providing information about services in various non-impacted areas.
Meeting with neighborhood groups to promote understanding.
Formal or informal discussions with landlord groups
Formal or informal discussions with social service agencies
Meeting with rental referral companies or agencies
Meeting with fair housing groups or agencies
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The HA will give participants a copy of HUD form 903 to file a complaint, the forms are
available in English and Spanish. In addition, the HA contracts with Heartland
Human Relations Association (HHRA). HHRA is available to assist tenants on
Fair Housing Law and to determine if illegal discrimination has occurred. The HA
has fliers available in English and Spanish describing Fair Housing Choice and
the services that HHRA will provide.
E. SECURITY DEPOSIT REQUIREMENTS [24 CFR 982.3131
Leases Effective Prior to October 2.1995
The amount of Security Deposit which could have been collected by owners under
contracts effective prior to October 2, 1995 is:
Under the Certificate Program, the owner could have collected a Security
Deposit in an amount not to exceed Total Tenant Payment or $50., whichever is
greater, for non-lease-in-place families.
For the Voucher Program, the owner, at his/her discretion, could have collected
a Security Deposit in an amount not to exceed:
The greater of 30% of adjusted monthly income or one month’s rent.
Leases Effective on or after October 2.1995
Security deposits charged by owners may not exceed those charged to
unassisted tenants (nor the maximum prescribed by State or local law.)
For lease-in-place families, responsibility for first and last month’s rent is not considered
a security deposit issue. In these cases, the owner should settle the issue with the
tenant prior to the beginning of assistance.
F. TERM OF CERTIFICATE/VOUCHER [24 CFR 982.303,982.54(d)(l I)]
During the briefing session, each household will be issued a Certificate or Voucher
which represents a contractual agreement between the HA and the Family specifying
the rights and responsibilities of each party. It does not constitute admission to the
program which occurs when the lease and contract become effective.
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Expirations
The Certificate or Voucher is valid for a period of 120 days calendar days from the date
of issuance. The family must submit an approvavable Lease Addendum and/or Lease
within the 120 day.
If the Certificate or Voucher has expired the family will be denied assistance. The
family will not be entitled to a review or hearing. If the family is currently assisted, they
may remain as a participant in their unit if there is an assisted lease addendum and
executed HAP Contract in effect.
Suspensions
When a Lease Addendum is received, the HA will deduct the number of days required
to process the request from the HA allowed 120 day term of the certificate/voucher.
Extensions in Excess of 120 davs
Will be requested from the HUD field office if the family needs and requests an
extension as a reasonable accommodation to make the program accessible to
and usable by a family member with a disability
Assistance to Certificate/Voucher Holders
Families who require additional assistance during their search may call the HA Office to
request assistance. Certificate and Voucher holders will be notified at their briefing
session that the HA periodically updates the listing of available units and how the
updated list may be obtained.
The HA will assist families with negotiations with owners and provide other assistance
related to the families’ search for housing.
G. INTERCHANGEABILITY BETWEEN CERTIFICATE AND VOUCHER
[24 CFR 982.205 (c)(2)]
The Family may request a change in the form of assistance from Certificate to
Voucher, or from Voucher to Certificate, either during the initial search period
and/or while occupying a unit under Lease and Contract.
If the Family asks to change the form of assistance, the HA will determine if the
requested form of assistance is available and will notify the Family within 15
days. If the HA denies the family’s request, an informal hearing will not be
offered.
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A transfer list for interchangeability requests will be maintained as needed when
funding is not available.
In the case of a family not yet under contract, the HA will issue the new form of
assistance for the time remaining on the current Certificate or Voucher.
The family will be permitted to change the form of assistance in place.
The Family will be required to attend a briefing for the new form of assistance
and, if changing in place, a new lease and contract will be executed.
H. CERTIFICATE/VOUCHER ISSUANCE DETERMINATION FOR SPLIT
HOUSEHOLDS [24 CFR 982.3151
In those instances when a family assisted under the Section 8 program becomes
divided into two otherwise eligible families due to divorce, legal separation, or the
division of the family, and the new families cannot agree as to which new family unit
should continue to receive the assistance, and there is no determination by a court, the
HA shall consider the following factors to determine which of the families will continue to
be assisted:
1. Which of the two new family units has custody of dependent children.
2. Which family members were listed on the initial application.
3. The composition of the new family units, and which unit contains elderly or
disabled members.
4. Whether domestic violence was involved in the breakup.
5. Which family members remain in the unit.
6. Recommendations of social service professionals.
Documentation of these factors will be the responsibility of the requesting parties.
If documentation is not provided, the HA will terminate assistance on the basis of failure
to provide information necessary for a recertification.
Where the breakup of the family also results in a reduction of the size of the Certificate,
the family will be required to move to a smaller unit if the current landlord is unwilling to
accept the rent level of the smaller sized certificate.
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I. REMAINING MEMBER OF TENANT FAMILY - RETENTION OF
CERTIFICATE/VOUCHER [24 CFR 982.3151
To be considered the remaining member of the tenant family, the person must have
been previously approved by the HA to be living in the unit. A live-in aide, by definition,
is not a member of the family and will not be considered a remaining member of the
Family.
In order for a minor child to continue to receive assistance as a remaining family
member:
1. The court has to have awarded emancipated minor status to the minor, or
2. The HA has to have verified that social services and/or the Juvenile Court has
arranged for another adult to be brought into the assisted unit to care for the
child(ren) for an indefinite period.
A reduction in family size may require a reduction in the certificate or voucher size.
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DRAFT
Chapter 9
REQUEST FOR LEASE APPROVAL AND CONTRACT EXECUTION
INTRODUCTION [24 CFR 982.305(a)]
The HA’s program operations are designed to utilize available resources in a manner
that is efficient and provides eligible families timely assistance based on the number of
units that have been budgeted. The HA’s objectives include maximizing HUD funds by
providing assistance to as many eligible families and for as many eligible units as the
budget will allow.
After families are issued a certificate or voucher, they may search for a unit anywhere
within the jurisdiction of the HA, or outside of the HA’s jurisdiction if they qualify for
portability. The family must find an eligible unit under the program rules, with an
owner/landlord who is willing to enter into a Housing Assistance Payments (HAP)
Contract with the HA. This Chapter defines the types of eligible housing, the HA’s
policies which pertain to initial inspections, lease requirements, owner disapproval, and
the processing of Lease Addendums.
A. REQUEST FOR LEASE APPROVAL [24 CFR 982.305(b)]
The Lease Addendum and a copy of the proposed Lease must be submitted by the
family during the term of the certificate or voucher.
The Lease Addendum must be signed by both the owner and Certificate/Voucher
holder.
The HA will not permit the family to submit more than one Lease Addendum at a
time.
The HA will review the proposed lease and the Lease Addendum documents to
determine whether or not they are approvable. For the Certificate Program, the HA will
determine whether the gross rent is within the applicable FMlWexception rent limit. If
the gross rent exceeds the FMR/exception rent limit, the HA will determine whether
OFT0 availability exists. If it does exist, the HA will complete the affordability
documentation with the family to determine whether their family share would be
affordable.
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The Request will be approved if:
1. The unit is an eligible type of housing
2. The unit meets HUD’s Housing Quality Standards (and any additional criteria as
identified in this Plan)
3. The rent is reasonable and approvable (See Section G).
4. The Security Deposit is approvable in accordance with any limitations in this
Plan.
5. The proposed lease complies with HUD and HA requirements (See Section C).
6. The owner is approvable, and there are no conflicts of interest (See Section I).
Disatxxoval of Lease Addendum
If the HA determines that the Request cannot be approved for any reason, the landlord
and the family will be notified in writing. The HA will instruct the owner and family of the
steps that are necessary to approve the Request.
The owner will be given 30 calendar days to submit an approvable Request from the
date of disapproval.
When, for any reason, an Request is not approved, the HA will furnish another Lease
Addendum form to the family along with the notice of disapproval so that the family can
continue to search for eligible housing.
B. ELIGIBLE TYPES OF HOUSING [24 CFR 982.353,982.54(d)(15)]
The HA will approve any of the following types of housing in the Certificate and Voucher
programs:
All structure types can be utilized.
Manufactured homes where the tenant leases the mobile home and the pad.
Manufactured homes where the tenant owns the mobile home and leases
the pad.
Units owned (but not subsidized) by the HA (following HUD-prescribed
requirements).
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A family can own a rental unit but cannot reside in it while being assisted, except in the
case when the tenant owns the mobile home and leases the pad.
The HA may not permit a Certificate or Voucher holder to lease a unit which is receiving
Project-Based Section 8 assistance or any duplicative rental subsidies.
C. LEASE REVIEW [24 CFR 982.3081
The HA will review the lease, particularly noting the approvability of optional charges
and compliance with regulations and State law. Responsibility for utilities, appliances
and optional services must correspond to those provided on the Lease Addendum.
Owners may either submit their own lease or permit the HA to furnish the lease. In
cases where the owner’s lease is used, the HUD Lease Addendum must be attached
and executed.
D. SEPARATE AGREEMENTS
Separate agreements are not necessarily illegal side agreements. Families and owners
will be advised of the prohibition of illegal side payments for additional rent, or for items
normally included in the rent of unassisted families, or for items not shown on the
approved lease.
The family is not liable under the lease for unpaid charges for items covered by
separate agreements and nonpayment of these agreements cannot be cause for
eviction.
Owners and families may execute separate agreements for services, appliances (other
than range and refrigerator) and other items that are not included in the lease if the
agreement is in writing and approved by the HA.
Any appliances, services or other items which are routinely provided to unassisted
families as part of the lease (such as air conditioning, dishwasher or garage) or are
permanently installed in the unit, cannot be put under separate agreement and must be
included in the lease. For there to be a separate agreement, the family must have the
option of not utilizing the service, appliance or other item.
If the family and owner have come to a written agreement on the amount of allowable
charges for a specific item, so long as those charges are reasonable and not a
substitute for higher rent, they will be allowed.
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All agreements for special items or services must be attached to the lease approved by
the HA. If agreements are entered into at a later date, they must be approved by the
HA and attached to the lease.
E. INITIAL INSPECTIONS [24 CFR 982.305(a) & (b)]
See Chapter IO, “Housing Quality Standards and Inspections.”
F. RENT LIMITATIONS [24 CFR 982.5031
In the Regular Certificate program, the gross rent may not exceed the FMR/exception
rent. The HA will approve an exception rent up to 120 percent of the FMR for a
particular family if necessary as a reasonable accommodation so that the unit is
useable by and accessible to a family member with a disability.
For the Certificate and Voucher programs, the HA will make a determination as to the
reasonableness of the proposed rent in relation to comparable units available for lease
on the private unassisted market, and the rent charged by the owner for a comparable
unassisted unit in the building or premises.
G. DISAPPROVAL OF PROPOSED RENT [24 CFR 982.5021
In any of the programs, if the proposed Gross Rent is not reasonable, at the family’s
request, the HA will negotiate with the owner to reduce the rent to a reasonable rent.
In a Regular Certificate Tenancy, if the proposed Gross Rent exceeds the
FMR/exception rent, the HA will take action in the following sequence in assisting the
family’s efforts to lease the unit:
1. At the family’s request, the HA will negotiate with the owner to reduce the rent or
include some or all of the utilities in the rent to owner.
2. If the owner is not willing to adjust the rent and the HA has determined the rent
to be reasonable, the HA will determine whether the rent is within 120 percent of
the FMR. If so the HA will determine whether approval of an exception rent is
necessary as a reasonable accommodation to make the program useable by and
accessible to a family member with a disability.
3. If a reasonable accommodation is not needed, and OFT0 availability exists, and
the family agrees and qualifies for OFT0 based on their family share, the family
will be provided with an OFT0 tenancy so they may lease the unit.
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4. If availability exists and the family and the owner agree, the family may change
their form of assistance from a certificate to a voucher.
If the rent can be approved by taking the above steps, the HA will continue processing
the Request and Lease. If the revised rent involves a change in the provision of
utilities, a new Lease Addendum must be submitted by the owner.
If the owner does not agree on the Rent to Owner after the HA has tried and failed to
negotiate a revised rent, the HA will inform the family and owner that the lease is
disapproved.
H. INFORMATION TO OWNERS [24 CFR 982.307(b), 98254(d)(7)]
In accordance with HUD requirements, the HA will furnish prospective owners who
request the family’s address information in writing from the HA with the family’s
current address as shown in the HA’s records and, if known to the HA, the name and
address of the landlord at the family’s current and prior address.
The HA will make an exception to this requirement if the family’s whereabouts
must be protected due to domestic abuse or witness protection.
The HA will inform owners that it is the responsibility of the landlord to determine the
suitability of prospective tenants. Owners will be encouraged to screen applicants for
rent payment history, eviction history, damage to units, and other factors related to the
family’s suitability as a tenant.
A statement of the HA’s policy on release of information to prospective owners will be
included in the briefing packet which is provided to the family. The HA’s policy on
providing information to owners will apply uniformly to all families and owners.
I. OWNER DISAPPROVAL [24 CFR 982.3061
See Chapter 16, “Owner Disapproval and Restriction.”
J. CHANGE IN TOTAL TENANT PAYMENT (TTP) PRIOR TO HAP EFFECTIVE
DATE
When the family reports changes in factors that will affect the Total Tenant Payment
(TTP) prior to the effective date of the HAP contract at admission, the information will
be verified and the TTP will be recalculated. If the family does not report any change,
the HA need not obtain new verifications before signing the HAP Contract, even if
verifications are more than 60 days old.
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K. CONTRACT EXECUTION PROCESS [24 CFR 982.305(c)]
The HA prepares the Housing Assistance Payments (HAP) Contract for execution. The
family and the owner will execute the Lease Addendum, and the owner and the HA will
execute the HAP Contract. Copies of the documents will be furnished to the parties
who signed the respective documents. The HA will retain a copy of all signed
documents.
The HA makes every effort to execute the HAP Contract before the commencement of
the lease term. The HAP Contract may not be executed more than 60 days after
commencement of the lease term and no payments will be made until the contract is
executed.
The following HA representative(s) is/are authorized to execute a contract on behalf of
the HA:
Housing and Redevelopment Director
Housing Program Manager
Housing Specialist II
Housing Specialist
If families lease properties owned by relatives, the owner’s current address will
be compared to the subsidized unit’s address.
Owners must provide an Employer Identification Number or Social Security Number.
Owners must also submit proof of ownership of the property, such as a Grant
Deed or Tax Bill, and a copy of the Management Agreement if the property is
managed by a management agent.
The owner must provide a home telephone number and business number if
applicable.
Unless their lease was effective prior to June 17, 1998, a family may not lease
properties owned by a parent, child, grandparent, grandchild, sister or brother of any
family member. The HA will waive this restriction as a reasonable accommodation for a
family member who is a person with a disability.
L. CHANGE IN OWNERSHIP
See Chapter 16, “Owner Disapproval and Restriction.”
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Chapter 10 DRAFT
HOUSING QUALITY STANDARDS AND INSPECTIONS
[24 CFR 982.4011
INTRODUCTION
Housing Quality Standards (HQS) are the HUD minimum quality standards for tenant-
based programs. HQS standards are required both at initial occupancy and during the
term of the lease. HQS standards apply to the building and premises, as well as the
unit. Newly leased units must pass the HQS inspection before the beginning date of
the assisted lease and HAP contract.
The HA will inspect each unit under contract at least annually. The HA will also have an
inspection supervisor perform quality control inspections on at least 5 percent of all
units under contract annually to maintain the HA’s required standards and to assure
consistency in the HA’s program. This Chapter describes the HA’s procedures for
performing HQS and other types of inspections, and HA standards for the timeliness of
repairs. It also explains the responsibilities of the owner and family, and the
consequences of non-compliance with HQS requirements for both families and owners.
The use of the term “HQS” in this Administrative Plan refers to the combination of both
HUD and HA requirements. (See additions to HQS).
A. GUIDELINES/TYPES OF INSPECTIONS [24 CFR 982.401 (a), 982.4051
All units must meet the minimum standards set forth in the City of Carlsbad’s
Building/Housing Code. In cases of inconsistency between the Code and these
HQS, the stricter of the two shall prevail.
Efforts will be made at all times to encourage owners to provide housing above HQS
minimum standards.
All utilities must be in service prior to the effective date of the HAP contract. If
the utilities are not in service at the time of inspection, the Inspector will notify
the tenant or owner (whomever is responsible for the utilities according to the
Lease Addendum) to have the utilities turned on. The Inspector will schedule a
reinspection of the unit once the utilities are on.
If the tenant is responsible for supplying the stove and/or the refrigerator, the HA
will require the tenant to have the stove and/or refrigerator placed in the unit prior
to the inspection.
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There are five types of inspections the HA will perform:
1. Initial/Move-in: Conducted upon receipt of the Lease Addendum.
2. Annual: Must be conducted within twelve months of the anniversary date of the
last full inspection.
3. Move-Out/Vacate: At the owner’s request and if the unit is under the old
HAP contract which allows for a damage claim. Or in the event the unit
was damaged beyond normal wear and tear and the HA is initiating
termination of rental assistance benefits.
4. Special/Complaint: At request of owner, family or an agency or third-party.
5. Quality Control
B. INITIAL HQS INSPECTION [24 CFR 982.401 (a)]
The Initial Inspection will be conducted to:
Determine if the unit and property meet the HQS defined in this Plan.
Document the current condition of the unit as to assist in future evaluations
whether the condition of the unit exceeds normal wear and tear.
Document the information to be used for determination of rent-reasonableness.
If the unit fails the initial Housing Quality Standards inspection, the family and owner
will be advised to notify the HA once repairs are completed.
On an initial inspection, the owner will be given up to 30 days to correct the items noted
as Fail, at the Inspector’s discretion, depending on the amount and complexity of work
to be done.
The owner will be allowed up to two reinspections for repair work to be completed.
If the time period given by the Inspector to correct the repairs has elapsed, or the
maximum number of failed reinspections has occurred, the family must select another
unit.
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C. ANNUAL HQS INSPECTIONS [24 CFR 982.405(a)]
The HA conducts an inspection in accordance with Housing Quality Standards at least
annually, approximately 90 days prior to the anniversary month of the contract.
Special inspections may be scheduled between anniversary dates.
HQS deficiencies which cause a unit to fail must be corrected by the landlord unless it
is a fail for which the tenant is responsible.
The family must allow the HA to inspect the unit at reasonable times with reasonable
notice. [24 CFR 982.51 (d)]
Inspections will be conducted on business days only.
Reasonable hours to conduct an inspection are between 8:00 a.m. and 5:00 p.m.
The HA will notify the family in writing or by phone at least 10 days prior to the
inspection.
Inspection: The family and owner are notified of the date and time of the inspection
appointment by mail. If the family is unable to be present, they must reschedule the
appointment so that the inspection is completed within 15 days.
If the family misses three appointments, the HA will consider the family to have
violated a Family Obligation and their assistance will be terminated in
accordance with the termination procedures in the Plan.
ReinsPection: The family and owner are mailed a notice of the reinspection
appointment by mail. If the family is not at home for the reinspection
appointment, a card will be left at the unit and another appointment is
automatically scheduled.
Time Standards for Repairs
1. Emergency items which endanger the family’s health or safety must be corrected
by the owner within 24 hours of notification.
2. For non-emergency items, repairs must be made within 30 days.
3. For major repairs, the Housing Program Manager may approve an extension
beyond 30 days.
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Rent Increases
The HA will conduct an inspection using the Housing Quality Standards and other
standards approved in this Administrative Plan at least annually, prior to the
anniversary month of the contract. Contract rent increases in the Certificate program
may not be given until the unit passes the HQS. Rent increase requests in the Voucher
and OFT0 programs will not be approved if the unit is in a failed condition.
D. MOVE OUTNACATE
A move out inspection will be performed only at the landlord’s request if claim is
to be submitted for contracts effective before 10/2/95. Or in the event the unit was
damaged beyond normal wear and tear and the HA is initiating termination of
rental assistance benefits.
E. SPECIAL/COMPLAINT INSPECTIONS [24 CFR 982.405(c)]
If at any time the family or owner notifies the HA that the unit does not meet Housing
Quality Standards, the HA will conduct an inspection.
The HA may also conduct a special inspection based on information from third
parties such as neighbors or public officials.
The HA will inspect only the items which were reported, but if the Inspector notices
additional deficiencies that would cause the unit to fail HQS, the responsible party will
be required to make the necessary repairs.
If the anniversary date is within 120 days of a special inspection, the special
inspection will be categorized as annual and all annual procedures will be
followed.
F. QUALITY CONTROL INSPECTIONS [24 CFR 982.405(b)]
Quality Control inspections will be performed by the Housing Program Manager on at
least 5 percent of the units. The purpose of Quality Control inspections is to ascertain
that the inspector is conducting accurate and complete inspections, and to ensure that
there is consistency among inspectors in application of the HQS.
G. ACCEPTABILITY CRITERIA AND EXCEPTIONS TO HQS [24 CFR 982.401 WI
The HA adheres to the acceptability criteria in the program regulations and HUD
Inspection Booklet and local codes.
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Walls:
In areas where plaster or drywall is sagging, severely cracked or otherwise
damaged, it must be repaired or replaced.
Any exterior or interior surfaces with peeling or chipping paint must be scraped
and painted with two coats of unleaded paint or other suitable material.
Windows:
All window sashes must be in good condition, solid and intact, and fit properly in
the window frame. Damaged or deteriorated sashes must be replaced.
Windows must be weatherstripped as needed to ensure a watertight seal.
Window screens must be in good condition. At the minimum there must be one
screen per room for adequate ventilation.
Any room for sleeping must have a window
Doors:
All exterior doors must be weather-tight to avoid any air or water infiltration, be
lockable, have no holes, have all trim intact, and have a threshold.
All interior doors must have no holes, have all trim intact, and be openable
without the use of a key. In the case of French doors, that type of lock will be
approved as long as there is adequate egress from each room.
Floors:
All wood floors must be sanded to a smooth surface and sealed. Any loose or
warped boards must be resecured and made level. If they cannot be leveled, they
must be replaced.
All floors must be in a finished state (no plywood).
Security:
If window security bars or security screens are present on emergency exit
window, they must be equipped with a quick release system. The owner is
responsible for ensuring that the family is instructed on the use of the quick
release system.
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Modifications:
Modifications or adaptations to a unit due to a disability must meet all applicable
HQS and building codes.
Extension for repair items not required by HQS will be granted for
modifications/adaptations to the unit if agreed to by the tenant and landlord. HA
will allow execution of the HAP contract if unit meets all requirements and the
modifications do not affect the livability of the unit.
H. EMERGENCY REPAIR ITEMS [24 CFR 982.401 (a)]
The following items are considered of an emergency nature and must be corrected by
the owner or tenant (whoever is responsible) within 24 hours of notice by the Inspector:
Lack of security for the unit
Waterlogged ceiling in imminent danger of falling
Major plumbing leaks or flooding
Natural gas leak or fumes
Electrical problem which could result in shock or fire
Utilities not in service
No running hot water
Broken glass where someone could be injured
Obstacle which prevents tenant’s entrance or exit
Lack of functioning toilet
The HA may give a short extension not more than 48 additional hours whenever
the responsible party cannot be notified or it is impossible to effect the repair
within the 24-hour period.
In those cases where there is leaking gas or potential of fire or other threat to
public safety, and the responsible party cannot be notified or it is impossible to
make the repair, proper authorities will be notified by the HA.
If the emergency repair item(s) are not corrected in the time period required by the HA,
and the owner is responsible, the housing assistance payment will be abated and the
HAP contract will be terminated.
If the emergency repair item(s) are not corrected in the time period required by the HA,
and it is an HQS breach which is a family obligation, the HA will terminate the
assistance to the family.
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I. CONSEQUENCES IF OWNER IS RESPONSIBLE (NON-EMERGENCY ITEMS)
[24 CFR 982.405, 982.4531
When it has been determined that a unit on the program fails to meet Housing Quality
Standards, and the owner is responsible for completing the necessary repair(s) in the
time period specified by the HA, the assistance payment to the owner will be abated
and the HA will initiate termination of the HAP Contract.
Abatement
A Notice of Abatement will be sent to the owner, and the abatement will be effective 30
days from the day after the date of the failed inspection.
The HA will inspect abated units within two days of the owner’s notification that the
work has been completed.
If the owner makes repairs during the abatement period, payment will resume on the
day the unit passes inspection.
The family and owner will be notified of the reinspection date.
No retroactive payments will be made to the owner for the period of time the rent was
abated and the unit did not comply with HQS. The notice of abatement states that
the tenant is not responsible for the HA’s portion of rent that is abated.
Grantina an Extenstion
The HA will grant an extension in lieu of abatement in the following cases:
The owner has a good history of HQS compliance.
The failed items are minor in nature.
There is an unavoidable delay in completing repairs due to difficulties in
obtaining parts or contracting for services.
The owner makes a good faith effort to make the repairs.
The repairs are expensive (such as exterior painting or roof repair) and the
owner needs time to obtain the funds.
The repairs must be delayed due to climate conditions.
The extension will be made for a period of time not to exceed 60 days. At the HA’s
discretion, if the work is not completed, the HA will begin the termination of the
HAP Contract.
Termination of Contract
If the owner is responsible for repairs, and fails to correct all the deficiencies cited prior
to the end of the abatement period, the owner will be sent a HAP Contract Proposed
Termination Notice. Prior to the effective date of the termination, the abatement will
remain in effect.
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If repairs are completed before the effective termination date, the termination may be
rescinded by the HA, if the tenant chooses to remain in the unit. Only two Housing
Quality Standards inspections will be conducted after the termination notice is issued.
J. DETERMINATION OF RESPONSIBILITY [24 CFR 982.404,982.54(d)(l4)]
Certain HQS deficiencies are considered the responsibility of the family:
Tenant-paid utilities not in service
Failure to provide or maintain family-supplied appliances
Damage to the unit or premises caused by a household member or guest
beyond normal wear and tear
The owner is responsible for all other HQS violations.
The owner is responsible for vermin infestation even if caused by the family’s living
habits. However, if such infestation is serious and repeated, it may be considered a
lease violation and the owner may evict for serious or repeated violation of the lease.
The HA may terminate the family’s assistance on that basis.
If the family is responsible but the owner carries out the repairs, the owner will be
encouraged to bill the family for the cost of the repairs and the family’s file will be
noted.
K. CONSEQUENCES IF FAMILY IS RESPONSIBLE [24 CFR 982.404(b)]
If emergency or non-emergency violations of HQS are determined to be the
responsibility of the family, the HA will require the family make any repair(s) or
corrections within 30 days. If the repair(s) or correction(s) are not made in this time
period, the HA will terminate assistance to the family. Extensions in these cases must
be approved by the Housing Program Manager. The owner’s rent will not be abated
for items which are the family’s responsibility.
If the tenant is responsible and corrections are not made, the HAP Contract will
terminate when assistance is terminated.
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DRAFT
Chapter 11
OWNER RENTS, RENT REASONABLENESS, AND PAYMENT STANDARDS
[24 CFR 982.501, 982.503, 982.5041
It is the HA’s responsibility to ensure that the rents charged by owners are reasonable
based upon objective comparables in the rental market. The HA will not approve the
lease or execute a payments contract until it has determined that the unit meets the
minimum HQS and that the rent is reasonable. The HA will determine rent
reasonableness at initial lease-up, before any increases in rent to owner and at other
times as described in this section. The HA will provide the owner with information
concerning rent adjustments in the Certificate and Voucher programs.
The HA will also ensure that initial gross rents do not exceed the FMR/exception rent
limit under the Certificate program, other than for OFT0 Tenancies.
This Chapter explains the HA’s procedures for determination of rent-reasonableness,
payments to owners, adjustments to the Payment Standards, and rent adjustments.
A. OWNER PAYMENT IN THE REGULAR CERTIFICATE PROGRAM
[24 CFR 982.5071
The payment to the landlord, called the Housing Assistance Payment, is the Rent to
owner approved by the HA less the Tenant Rent determined by the HA.
B. OWNER PAYMENT IN THE OFT0 TENANCY PROGRAM [24 CFR 982.505(c)]
The maximum subsidy for each family is determined by the Payment Standard for the
Certificate size issued to the family. The subsidy equals the lesser of:
1.
2.
The applicable Payment Standard minus the “TTP” (the greater of 30% annual
monthly adjusted income or 10% gross monthly income); or
The monthly Gross Rent minus the HA minimum rent.
The Certificate size issued to the family is based on the HA’s Subsidy Standards. The
Payment Standard for the family is based on the lesser of the Payment Standard for the
Certificate size issued or the Payment Standard for the unit selected.
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C. OWNER PAYMENT IN THE VOUCHER PROGRAM [24 CFR 982505(b)]
The maximum subsidy for each family is determined by the Payment Standard for the
Voucher size issued to the family, less 30% of the family’s Monthly Adjusted Income.
The actual subsidy level could be less if the family is required to pay the Minimum Total
Tenant Payment (10% of the family’s Monthly Income).
The Voucher size issued to the family is based on the HA’s Subsidy Standards. The
payment standard for the family is based on the lesser of the Payment Standard for the
Voucher size issued and the Payment Standard for the unit selected.
The Housing Assistance Payment to the owner is the lesser of the subsidy described
above or the rent charged by the owner.
D. MAKING PAYMENTS TO OWNERS [24 CFR 982.4511
Once the HAP Contract is executed, the HA begins processing payments to the
landlord. The effective date and the amount of the HA payment is communicated to
the owner and tenant in writing. A HAP Register will be used as a basis for
monitoring the accuracy and timeliness of payments. Changes are made
automatically to the HAP Register for the following month. Checks are disbursed by
finance department to the owner each month.
Checks may not be picked up by owner at the HA.
Checks will only be disbursed on weekly basis. Exceptions may be made with
the approval of the Housing Program Manager and finance department in cases
of hardship.
Checks that are not received will not be replaced until a written request has been
received from the payee and a stop payment has been put on the check.
E. RENT REASONABLENESS DETERMINATIONS [24 CFR 982.5031
The HA will not approve a lease until the HA determines that the initial rent to owner is
a reasonable rent. The HA must redetermine the reasonable rent before any increase
in the rent to owner, and if there is a five percent decrease in the published FMR in
effect 60 days before the contract anniversary (for the unit size rented by the family) as
compared with the FMR in effect one year before the contract anniversary.
The HA also will redetermine rent reasonableness when owners request special rent to
owner adjustments for the Certificate program, and when an owner requests an
increase in the rent to owner for a Voucher or OFT0 unit.
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The HA must redetermine rent reasonableness if directed by HUD and based on a
need identified by the HA’s auditing system, the HA may elect to redetermine rent
reasonableness at any other time. At all times during the assisted tenancy, the rent to
owner may not exceed the reasonable rent as most recently determined or
redetermined by the HA.
For the Certificate and Voucher Programs, the HA will determine and document on a
case-by-case basis that the approved rent is reasonable in comparison to rent for other
comparable unassisted units in the market.
The owner will be advised that by accepting each monthly housing assistance payment
s/he will be certifying that the rent to owner is not more than rent charged by the owner
for comparable unassisted units in the premises.
If requested, the owner must give the HA information on rents charged by the owner for
other units in the premises or elsewhere. The HA will only request information on
the owner’s units elsewhere if the HA has cause to demonstrate that the owner
has a tendency to charge higher rents to Program participants or if needed for
rent reasonableness cornparables.
The data for other unassisted units will be gathered from newspapers, Realtors,
professional associations, inquiries of owners, market surveys, and other
available sources.
The market areas for rent reasonableness are census tracts and neighborhoods
within the HA’s jurisdiction. Subject units within a defined housing market area will be
compared to similar units within the same area.
The following items will be used for rent reasonableness documentation:
Size (number of Bedrooms/square footage)
Location
Quality
Amenities (bathrooms, dishwasher, air conditioning, etc.)
Housing Services
Age of unit
Unit Type
Utilities
Maintenance
The HA utilizes a rent reasonableness system which includes and defines the
HUD factors listed above. Information is gathered on rental units in the Carlsbad
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market area, and each unit is documented, using the HA’s rent reasonableness
system.
The HA uses an “appraisal” method and tests the subject unit against selected
units in the same area with similar characteristics. Adjustments are made for
favorable and unfavorable differences between the subject unit and the
cornparables. Amenities, services, and facilities are documented.
The HA maintains an automated database which includes data on unassisted units for
use by staff in making rent reasonableness determinations. The data is updated on an
ongoing basis and purged when it is more than six months old.
F. PAYMENT STANDARDS FOR THE VOUCHER PROGRAM
[24 CFR 982.505(b)(l)]
The Payment Standard is used to calculate the housing assistance payment for a
family. The Payment Standard is set by the HA between 90 percent and 100 percent of
the FMRlexception rent. The HA reviews the appropriateness of the Payment Standard
annually when the FMR is published. In determining whether a change is needed, the
HA will ensure that the Payment Standard is within the range of 90 percent to 100
percent of the new FMR.
G. ADJUSTMENTS TO PAYMENT STANDARDS [24 CFR 982.505(b)(3)]
Payment Standards may be adjusted to increase Housing Assistance Payments in
order to keep families’ rents affordable. The HA will not raise the Payment Standards
so high that the number of families that can be assisted under available funding is
substantially reduced. Nor will the HA raise Standards if the need is solely to make
“high end” units available to Voucher holders.
The HA will review the Payment Standard annually to determine whether an adjustment
should be made for some or all unit sizes. The Payment Standard will be reviewed
according to HUD’s requirements and this policy and if an increase is warranted, the
payment standard will be adjusted within 90% of the current Fair Market Rent.
In a volatile market, it will be at the HA’s discretion whether to make the change
immediately or wait until the time of the annual review of the HA’s Payment
Standard.
The HA may use some or all of the measures below in making its determination
whether an adjustment should be made to the Payment Standards.
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Assisted Families’ Rent Burdens
The HA will review reports showing the percent of income used for rent by Voucher
families to determine the extent to which the rent burden is more than 45% of income.
Availability of Suitable Vacant Units Below the Payment Standard
The HA will review its rent reasonableness database and vacancy rate data to
determine whether there is an ample supply of vacant units below the Payment
Standard in areas without minority concentration and/or poverty-impacted areas.
Qualitv of Units Selected
The HA will review the quality of units selected by participant families before
determining any change to the Payment Standard to ensure that Payment Standard
increases are only made when needed to reach the mid-range of the market.
HA Decision Point
The HA will review the quality and size of units where the Rents to Owner are above the
Payment Standard by more than 25%. If more than 50% of families have selected
above-average units or have selected larger units than the Voucher size, the HA may
elect not to increase the Payment Standard nor continue the analysis.
If the analysis continues, the HA will divide those rents between contracts within the first
year and after the first year. If the Rents to Owner are more than 25% above the
average, in any bedroom size, the HA will continue the analysis. If not, the HA may
elect not to increase the Payment Standard for certain bedroom sizes.
Rent to Owner Increases
The HA may review a sample of the units to determine how often owners are increasing
rents after the first year of the lease and the average percent of increase by bedroom
size. The sample will be divided into units with and without the highest cost utility
included.
A comparison will then be made to the applicable annual adjustment factor to determine
whether owner increases are excessive in relation to the published annual adjustment
factor.
Time to Locate Housing
The HA may consider the average time period for families to lease up under the
Voucher program as compared to the Certificate program. If the average for Voucher
holders exceeds that for Certificate holders, the Payment Standard may be adjusted.
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Rent Reasonableness Data Base/Averaae Rents to Owners
The HA will compare the Payment Standards to average rents in its Rent
Reasonableness Data Base and to the average rent to owners by unit size. The
Payment Standards should be equal to these amounts.
Lowerina of the Pavment Standard
Lowering of the FMR may require an adjustment of the Payment Standard.
Additionally, statistical analysis may reveal that the Payment Standard should be
lowered. In any case, the Payment Standard will not be set below 90 percent of the
FMR without authorization from HUD.
Financial Feasibilitv
Before increasing the Payment Standard, the HA may review the budget and the
project reserve, to determine the impact projected subsidy increases would have on
funding available for the program and number of families served.
For this purpose, the HA will compare the number of families who could be served
under a higher Payment Standard with the number assisted under current Payment
Standards.
File Documentation
A file will be retained by the HA for at least three years to document the analysis and
findings to justify whether or not the Payment Standard was changed.
H. PAYMENT STANDARDS FOR OFT0 TENANCIES [24 CFR 982.505(c)]
The Payment Standard is used to calculate the housing assistance payment for a
family. The OFT0 Payment Standard is the FMR/exception rent. Whenever the FMR
changes or an exception rent is approved, that becomes the HA’s new Payment
Standard.
The above paragraph applies except that if an exception rent has been approved for an
area, that exception rent continues to be the Payment Standard until either (1) the FMR
exceeds the exception rent, or (2) a reduced FMR is published.
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I. PAYMENT STANDARDS FOR A FAMILY [24 CFR 982.505(d)]
Reaular Reexamination
If the payment standard decreases during the HAP Contract term, the Payment
Standard for the family is the higher of (1) the Payment Standard at the beginning of the
lease minus any amount by which the initial rent to owner has decreased, or (2) the
Payment Standard at the current or most recent annual exam. If a change in family
size or composition occurs affecting the certificate size, the ability to use the initial
Payment Standard is lost.
Interim Examination
If after the beginning of the term of the lease the family has a change in income, family
size or composition that would require or allow for an interim adjustment based on the
HA’s interim policy, the HA will not apply any new or change in payment standard until
the date of the next regular reexamination.
Moves
If the family moves into a different unit prior to their next recertification and the HA has
had a change in the payment standard the new payment standard will be used. The
applicable payment standard will be that which is the lower of either the certificate size
issued or the unit size selected at the time of the move.
J. RENT ADJUSTMENTS [24 CFR 982.5091
Reaular Certificate Proaram
The HA will notify owners of their right to request a rent adjustment 90 to 120 days in
advance of the anniversary date. The approval or disapproval decision regarding the
adjustment will be based on HUD-required calculations and a rent reasonableness
determination. The adjustment may be an increase or a decrease. The maximum
increase will be based on the annual adjustment factor in effect 60 days before the
contract anniversary date multiplied by the pre-adjusted rent to owner. A decrease may
occur either as the result of an AAF less than 1.0, or the HA’s rent reasonableness
determination.
Owners must request the rent increase in writing. Any increase will be effective the
later of (1) the anniversary date of the Contract, or (2) at least 60 days after the owner’s
request is received.
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The change in rent does not affect the automatic renewal of the lease and does not
require a new lease or contract or even an executed amendment. A notice of rent
change will be sent to the owner and the family.
Special Adjustments [24 CFR 982.5101
An owner may request a special adjustment based on substantial and general
increases in real property taxes, special government assessments, or costs of utilities.
The rent requested must be found to be reasonable and must be approved by HUD.
DisaDprovaf of Reauests for Adiustment
If the HA rejects the owner’s request for rent adjustment as exceeding rent
reasonableness and the owner rejects the HA’s determination, the owner may offer the
tenant a new lease (after receiving the HA’s approval) with a sixty-day notice to the
tenant. If the tenant accepts the offer of a new lease, a Lease Addendum must be
submitted and the requested rent subjected to rent reasonableness and, for the
certificate program, the FMR limitations. If the tenant refuses or the owner does not
offer a new lease, the owner may institute court action to terminate tenancy for a
business or economic reason in accordance with the lease. The HA will issue a new
Certificate or Voucher to the family.
After the tenant has begun searching for a new housing unit and/or after court action
has been initiated, the owner may decide to accept the current lease. If the owner and
tenant agree, the lease can continue.
If a new lease is executed, a new Contract must also be executed.
Voucher and OFT0 Program Rent Adiustments [24 CFR 982.505(b)(3)]
Owners may not request rent adjustments in the Voucher and OFT0 Tenancy
programs to be effective prior to the expiration of the first year of the lease. Rent
adjustments are effective:
With a sixty-day notice to the family and a copy to the HA, provided
language is included in the lease. The HA will advise the owner as to
whether the rent is reasonable and shall approve or disapprove the rent
increase.
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DRAFT
Chapter 12
RECERTIFICATIONS
[24 CFR 982.5161
INTRODUCTION
In accordance with HUD requirements, the HA will reexamine the income and
household composition of all families at least annually. Families will be provided
accurate annual and interim rent adjustments. Recertifications and interim
examinations will be processed in a manner that ensures families are given reasonable
notice of rent increases. All annual activities will be coordinated in accordance with
HUD regulation. It is a HUD requirement that families report all changes in household
composition. This Chapter defines the HA’s policy for conducting annual recertifications
and coordinating annual activities. It also explains the interim reporting requirements
for families, and the standards for timely reporting.
A. ANNUAL ACTIVITIES [24 CFR 982.516,982.405]
There are three activities the HA must conduct on an annual basis. These activities
will be coordinated whenever possible:
1. Recertification of Income and Family Composition
2. HQS Inspection
3. Contract Rent Adjustment (following HUD requirements [Certificate only])
The HA produces a monthly listing of units under contract to ensure that timely reviews
of contract rent, housing quality, and factors related to Total Tenant Payment can be
made. Requests for rent adjustments and other monetary changes will be transmitted
to the finance department.
Reexamination of the family’s income and composition must be conducted at least
annually.
Annual inspections: See Chapter 10, “Housing Quality Standards and Inspections.”
Rent Adjustments: See Chapter 11, “Owner Rents, Rent Reasonableness and Payment
Standards.”
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B. ANNUAL RECERTIFICATION/REEXAMlNATlON [24 CFR 982.5161
Families are required to be recertified at least annually. At the first interim or annual
certification on or after June 19, 1995, family members must report and verify their U.S.
citizenship/eligible immigrant status.
When families move to another dwelling unit:
An annual recertification will be scheduled and the anniversary date will be
changed.
Income limits are not used as a test for continued eligibility at recertification unless the
family is moving under portability and changing their form of assistance.
Reexamination Notice to the Familv
The HA will maintain a reexamination tracking system and the household will be notified
by mail of the date and time for their interview at least 90 to 120 days in advance of the
anniversary date. If requested as an accommodation by a person with a disability, the
HA will provide the notice in an accessible format. The HA will also mail the notice to a
third party, if requested as reasonable accommodation for a person with disabilities.
These accommodations will be granted upon verification that they meet the need
presented by the disability.
Procedure
The HA’s procedure for conducting annual recertifications will be:
Schedule the date and time of appointments and mail a notification to the
family and owner.
Comoletion of Annual Recertification
The HA will have all recertifications for families completed before the anniversary date.
This includes notifying the family of any changes in rent at least 30 days before the
scheduled date of the change in family rent.
Persons with Disabilities
Persons with disabilities who are unable to come to the HA’s office will be granted an
accommodation by conducting the interview at the person’s home, upon verification
that the accommodation requested meets the need presented by the disability.
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Collection of Information
The HA will require the family to complete a Personal Declaration Form prior to
the recertification interview appointment.
The HA representative will interview and review the information with the family.
Requirements to Attend
The following family members will be required to attend the recertification interview:
All adult household members
If the head of household is unable to attend the interview:
The spouse or co-head may recertify for the family, provided that the head
comes in within 15 days to verify the information submitted.
Failure to Respond to Notification to Recertifv
The written notification must state which family members are required to attend the
interview. The family may call to request another appointment date up to the day of the
interview.
If the family does not appear for the recertification interview, and has not rescheduled
or made prior arrangements with the HA, the HA will reschedule a second
appointment.
If the family fails to appear for the second appointment, and has not rescheduled or
made prior arrangements, the HA will:
Schedule a third and final appointment.
Exceptions to these policies may be made by the Housing Program
Manager if the family is able to document an emergency situation that
prevented them from canceling or attending the appointment or if
requested as a reasonable accommodation for a person with a disability.
Documents Reauired From the Family
In the notification letter to the family, the HA will include instructions for the family to
bring the following:
Documentation of all assets
Documentation of any deductions/allowances
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Documentation of all income and sources
Personal Declaration Form completed by head of household
Family Obligations for Section 8 Applicants/Participants form signed
Verification of Information
The HA will follow the verification procedures and guidelines described in this Plan.
Verifications for reexaminations must be less than 120 days old.
Tenant Rent Increase
If tenant rent increases, a thirty day notice is mailed to the family prior to the
anniversary date.
If less than thirty days are remaining before the anniversary date, the tenant rent
increase will be effective on the first of the month following the thirty day notice.
If there has been a misrepresentation or a material omission by the family, or if the
family causes a delay in the reexamination processing, there will be a retroactive
increase in rent to the anniversary date.
Tenant Rent Decreases
If tenant rent decreases, it will be effective on the anniversary date.
If the family causes a delay so that the processing of the reexamination is not complete
by the anniversary date, rent change will be effective on the first day of the month
following completion of the reexamination processing by the HA.
C. REPORTING INTERIM CHANGES [24 CFR 982.5161
Program participants must report all changes in household composition to the HA
between annual reexaminations. This includes additions due to birth, adoption and
court-awarded custody. The family must obtain HA approval prior to all other additions
to the household.
If any new family member is added, family income must include any income of the new
family member. The HA will conduct a reexamination to determine such additional
income and will make the appropriate adjustments in the housing assistance payment
and family unit size.
The U.S. citizenship/eligible immigrant status of additional family members must be
declared and verified as required at the first interim or regular recertification after
moving into the unit.
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Interim Reexamination Policv
The HA may conduct interim reexaminations when families have an increase in income.
Decreases in Income
Participants mav report a decrease in income and other changes which would reduce
the amount of tenant rent, such as an increase in allowances or deductions. The HA
must calculate the change if a decrease in income is reported.
Increases in Income
Families will be required to report any changes in income and asset sources
within 15 days of the change.
HA Errors
If the HA makes a calculation error at admission to the program or at an annual
reexamination, an interim reexamination will be conducted, if necessary, to correct the
error, but the family will not be charged retroactively. Families will be given decreases,
when applicable, retroactive to when the decrease for the change would have been
effective if calculated correctly.
Other Interim Reportina Issues
An interim reexamination does not affect the date of the annual recertification.
Interim re+xaminations are required under the following circumstances:
l Family Composition Changes -- Increase or decrease in family composition.
l Decrease in income -- Required only at the reauest of the household or if there
is a specific directive by HUD.
l Increase in Earned income -- Required only at the reauest of the participant.
For example, a participant of the Family Self-Sufficiency program may request
an interim re-exam as it may increase the contribution to their escrow
account. If a participant reports an increase in earnings but does not request
an interim re-exam, the increase will not be considered until the next annual
re-examination a if the participant is entering into a new lease and contract.
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Zero Tenant Rent Portion -- Required if the participant’s rent portion is
calculated at zero includable income and a member of the household begins
to receive anv form of income that is includable for rent calculation purposes.
For example, the household is receiving only financial aid and they begin to
receive earnings or some other type of income that is included for
determination of “Total Tenant Payment.”
Additions of Unearned Income -- Any unearned income that is added to the
household (i.e., UIB, SSI, SSA, SSDI, VA benefits, Cal Works, child support,
spousal support, etc.).
No Longer Higible for Full-Time Student Status -- If an adult member’s income
is excluded as a result of claiming full-time student status and they no longer
qualify as a full-time student, an interim is required to include the household
member’s earnings. (Note: The provision to report that a person is no longer
a full-time student will be added to the Family Obligations form.)
D. NOTIFICATION OF RESULTS OF RECERTIFICATIONS [HUD Notice PIH 98-61
The HUD form 50058 will be completed and transmitted as required by HUD.
The Notice of Rent Change is mailed to the owner and the tenant. Signatures are not
required by the HA. If the family disagrees with the rent adjustment, they may request
an informal hearing.
E. TIMELY REPORTING OF CHANGES IN INCOME (AND ASSETS)
[24 CFR 982.516(c)]
Standard for Timelv Reportina of Chanaes
The HA requires that families report interim changes to the HA within 15 days of when
the change occurs. Any information, document or signature needed from the family
which is needed to verify the change must be provided must be provided within 15 days
of the change.
If the change is not reported within the required time period, or if the family fails to
provide documentation or signatures, it will be considered untimely reporting.
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Procedures when the Chanae is Reported in a Timelv Manner
The HA will notify the family and the owner of any change in the Housing Assistance
Payment to be effective according to the following guidelines:
Increases in the Tenant Rent are effective on the first of the month following at
least thirty days’ notice.
Decreases in the Tenant Rent are effective the first of the month following that in
which the change is reported. However, no rent reductions will be processed
until all the facts have been verified, even if a retroactive adjustment
results.
The change may be implemented based on valid documentation provided by the
family, pending third-party written verification.
Procedures when the Chanae is Not Reported bv the Tenant in a Timelv Manner
If the family does not report the change as described under Timely Reporting, the family
will have caused an unreasonable delay in the interim reexamination processing and
the following guidelines will apply:
Increase in Tenant Rent will be effective retroactive to the date it would have
been effective had it been reported on a timely basis. The family will be liable for
any overpaid housing assistance and may be required to sign a Repayment
Agreement.
Decrease in Tenant Rent will be effective on the first of the month following the
month that the change was reported.
Procedures when the Chanae is Not Processed bv the HA in a Timelv Manner
“Processed in a timely manner” means that the change goes into effect on the date it
should when the family reports the change in a timely manner. If the change cannot be
made effective on that date, the change is not processed by the HA in a timely manner.
In this case, an increase will be effective after the required thirty days’ notice prior to the
first of the month after completion of processing by the HA.
If the change resulted in a decrease, the overpayment by the family will be calculated
retroactively to the date it should have been effective, and the family will be credited for
the amount.
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F. REPORTING OF CHANGES IN FAMILY COMPOSITION [24 CFR 982.516(c)]
All changes in family composition must be reported within 15 days of the occurrence.
Increases in Familv Size
Increases other than by birth, adoption or court-awarded custody must have the prior
approval of the owner and the HA.
If the addition would result in overcrowding according to HQS maximum occupancy
standards:
The HA will not approve the addition other than birth, adoption, court-
awarded custody, or marriage.
The HA will issue a larger Certificate or Voucher.
The HA will issue a larger Certificate or Voucher (if needed under the
Subsidy Standards) for additions to the family in the following cases:
Addition by marriage/or marital-type relation.
Addition of a minor who is a member of the nuclear family who had been
living elsewhere and was initially a part of the assisted household.
Addition of an HA-approved live-in aide.
Addition due to birth, adoption or court-awarded custody.
If a change due to birth, adoption, court-awarded custody, or need for a live-in aide
requires a larger size unit due to overcrowding, the change in Certificate/Voucher shall
be made effective immediately. The HA may determine whether to issue a Certificate
or Voucher in this instance based on funding availability. If there is no funding
availability in either program, the family will be placed on the Transfer list.
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G. CONTINUANCE OF ASSISTANCE FOR “MIXED” FAMILIES
[24 CFR 5.5181
Under the Noncitizens Rule, “Mixed” families are families that include at least one
citizen or eligible immigrant and any number of ineligible members.
“Mixed” families who were participants as of June 19, 1995, shall continue receiving full
assistance if they meet all of the following criteria:
1. The HA implemented the Non-Citizen Rule prior to November 29, 1996
AND
2. The head of household or spouse is a U.S. citizen or has eligible
immigrant status; AND
3. All members of the family other than the head, the spouse, parents of the
head or the spouse, and children of the head or spouse are citizens or
eligible immigrants. The family may change the head of household to
qualify under this provision.
If the HA implemented the Non-Citizen Rule on or after November 29, 1996, mixed
families may receive prorated assistance only.
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DRAFT
Chapter 13
MOVES WITH CONTINUED ASSISTANCE/PORTABILITY
[24 CFR 982.3141
INTRODUCTION
HUD regulations permit families to move with continued assistance to another unit
within the HA’s jurisdiction, or to a unit outside of the HA’s jurisdiction under Portability
procedures. The regulations also allow the HA the discretion to develop policies which
define any limitations or restrictions on moves. This Chapter defines the procedures for
moves, both within and outside of, the HA’s jurisdiction, and the policies for restriction
and limitations on moves.
A. ALLOWABLE MOVES
A family may move to a new unit if:
1.
2.
3.
B.
The assisted lease for the old unit has terminated because the HA has
terminated the HAP contract for owner breach, or the lease was terminated by
mutual agreement of the owner and the family.
The owner has given the family a notice to vacate, or has commenced an action
to evict the tenant, or has obtained a court judgment or other process allowing
the owner to evict the family (unless assistance to the family will be terminated).
The family has given proper notice of lease termination (if the family has a right
to terminate the lease on notice to owner) for owner breach or otherwise.
RESTRICTIONS ON MOVES [24 CFR 982.314,982.552]
Families will be permitted to move within the HA’s jurisdiction during the initial
year of assistance provided that the owner is willing to release the tenant from
the initial lease requirement.
The HA will deny permission to move if there is insufficient funding for continued
assistance.
The HA may deny permission to move to if the family has violated a Family
Obligation.
The HA will deny permission to move to if the family owes any HA money.
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The Housing Program Manager may make exceptions to these restrictions if there
is an emergency reason for the move over which the participant has no control.
C. PROCEDURE FOR MOVES [24 CFR 982.3141
Issuance of Certificate/Voucher
Subject to the restrictions on moves, if the family has not been recertified within the last
120 days, the HA will conduct a recertification and issue the certificate or voucher as
soon as the family requests to move. If the family does not locate a new unit, they
may remain in the current unit so long as the owner permits.
The annual recertification date will be changed to coincide with the new lease-up
date.
Notice Reauirements
Briefing sessions emphasize the family’s responsibility to give the owner and the
HA proper written notice of any intent to move.
The family must give the owner the required number of days written notice of intent to
vacate specified in the lease and must give a copy to the HA simultaneously.
For units under a Certificate HAP Contract effective before October 2, 1995, if the
family vacates the unit without proper notice in writing to the owner, the family will be
responsible for any vacancy loss paid by the HA.
Time of Contract Chanae
A move within the same building or project, or between buildings owned by the same
owner, will be processed like any other move.
In a move, assistance stops at the old unit at the end of the month in which the tenant
ceased to occupy, unless proper notice was given to end a lease mid-month.
Assistance will start on the new unit on the effective date of the lease and contract.
Assistance payments may overlap for the month in which the family moves.
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D. PORTABILITY [24 CFR 982.3531
Portability applies to families moving out of or into the HA’s jurisdiction within the United
States and its territories. Under portability, families are eligible to receive assistance to
lease a unit outside of the initial HA’s jurisdiction. The unit may be located:
1. In the same state as the initial HA;
2. In the same metropolitan statistical area (MSA) as the initial HA, but in a different
state;
3. In an MSA adjacent to the MSA of the initial HA, but in a different state.
4. In the jurisdiction of an HA anywhere within the United States that administers a
tenant-based program.
E. OUTGOING PORTABILITY [24 CFR 982.353,982.355]
When a family requests to move to outside of the HA’s jurisdiction, the request must
specify the area to which the family wants to move.
If the family is moving to a unit located in the same state as the initial HA, in the same
MSA, but in a different state, or in an adjacent MSA in a different state, and there is not
an HA in the area where the unit is located, the initial HA will be responsible for the
administration of the family’s assistance.
The HA may choose a management company, another HA or a private contractor
to administer the assistance.
Restrictions on Portability
Families will not be permitted to exercise portability during the initial 12 month period
after admission to the program,:
1. If neither the head or spouse had a domicile (legal residence) in the HA’s jurisdiction
at the date of their initial application for assistance unless the receiving and initial
HA agree to allow the move.
2. If the family is in violation of a family obligation.
3. If the family owes money to the HA.
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Outaoina Portabilitv Procedures
The HA will provide pre-portability counseling for those families who express an interest
in portability. If the family is utilizing portability for their initial lease-up, the HA will
determine:
If the family is within the very low income limit of the receiving HA; or
If the family is a participant and will be changing its form of assistance, the HA
will determine if the family is within the low income limit of the receiving HA, and
advise the family accordingly.
The HA will advise the family how to contact and request assistance from the receiving
HA.
The HA will notify the receiving HA that the family will be moving into its jurisdiction.
The HA will provide the following documents and information to the Receiving HA:
1. Information on the HUD portability form, including a copy of the family’s
Certificate or Voucher with issue and expiration dates and formal recognition of
the family’s ability to move under portability.
2. The most recent HUD 50058 form and verifications.
Pavment to the Receivina HA
The HA will requisition funds from HUD based on the anticipated lease-ups of portable
Certificates or Vouchers in other HA’s jurisdictions. Payments for families in other
jurisdictions will be made to other HAS when billed or in accordance with other HUD
approved procedures for payment.
When billed, the HA will reimburse the Receiving HA for 100% of the Housing
Assistance Payment, 100% of the Special Claims paid on HAP Contracts effective prior
to October 2, 1995, and 80% of the Administrative Fee (at the initial HA’s rate).
Claims
The HA will be responsible for collecting amounts owed by the family for claims paid
and for monitoring the repayment. The HA will notify the Receiving HA if the family is in
arrears or if the family has refused to sign a Repayment Agreement, and the Receiving
HA will be asked to terminate assistance to the family as allowed by this Plan.
Receiving HA’s will be required to submit hearing determinations to the HA within 14
days.
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F. INCOMING PORTABILITY [24 CFR 982.354,982.355]
Absorption or Administration
The HA will accept a family with a valid CertificateNoucher from another jurisdiction
and administer or absorb the Certificate/Voucher. If administering, the family will be
issued a “Portability” Certificate or Voucher by the HA with the same start date. The HA
may grant extensions in accordance with this Plan.
The HA will absorb incoming Certificates and Vouchers in cases where the Initial
HA absorbs an equal number of the HA’s outgoing Certificates/Vouchers.
The HA may absorb Certificates/ Vouchers if such absorption does not exceed 10
percent of households assisted. When the HA does not absorb the incoming Voucher
or Certificate, it will administer the Initial HA’s Voucher or Certificate and the HA’s
policies will prevail.
For initial lease-up, the family must be within the HA’s Very-Low Income limits. For
participants, the HA may issue either a Certificate or Voucher but if the form of
assistance changes, the family must be within the HA’s Low Income limits. If the family
is ineligible under the HA’s low income limit because the form of assistance offered
causes the family to change programs, the HA must absorb the family without a change
in the form of assistance, or administer the family without a change in the form or
assistance, or administer the family’s current form of assistance.
The HA will issue a “Portability Certificate” or “Portability Voucher” according to its own
Subsidy Standards. If the Family has a change in family composition which would
change the Certificate or Voucher size, the HA will change to the proper size based on
its own Subsidy Standards.
The HA will decide whether to extend the “Portability CertificateNoucher” and for what
period of time. However, if the Family decides not to lease-up in the HA’s jurisdiction,
the Family must request an extension from the Initial HA.
For Old Rule contracts, the HA’s unpaid rent, damage and vacancy loss claim policies
prevail.
Income and TTP of lncomina Portables
As receiving HA, the HA will conduct a recertification interview but only verify the
information provided if the documents are missing or are over 120 days old,
whichever is applicable, or there has been a change in the family’s
circumstances.
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If the family’s income exceeds the income limit of the HA, the family will not be denied
assistance unless the family is an applicant and over the Very-Low Income Limit. If the
family’s income is such that a $0 subsidy amount is determined prior to lease-up in the
HA’s jurisdiction, the HA will refuse to enter into a contract on behalf of the family at $0
assistance.
Reauests for Lease Atqxoval
A briefing will be mandatory for all portability families.
When the Family submits a Request, it will be processed using the HA’s policies. If the
Family does not submit a Request or does not execute a lease, the Initial HA will be
notified within 14 days by the HA.
If the Family leases up successfully, the HA will notify the Initial HA within 30 days, and
the billing process will commence.
If the HA denies assistance to the family, the HA will notify the Initial HA within 14 days
and the family will be offered a review or hearing.
The HA will notify the Family of its responsibility to contact the Initial HA if the Family
wishes to move outside the HA’s jurisdiction under continued portability.
Terminations
The HA will notify the Initial HA in writing of any termination of assistance within 14
days of the termination. If an Informal Hearing is required and requested by the
Family, the hearing will be conducted by the HA, using the regular hearing procedures
included in this Plan. A copy of the hearing decision will be furnished to the Initial HA.
The Initial HA will be responsible for collecting amounts owed by the Family for claims
paid and for monitoring repayment. If the Initial HA notifies the HA that the Family is in
arrears or the Family has refused to sign a Repayment Agreement, the HA will
terminate assistance to the family.
Reauired Documents As Receiving HA, the HA will require the documents listed on
the HUD Portability Billing Form from the Initial HA.
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Billina Procedures
As Receiving HA, the HA will bill the Initial HA monthly for Housing Assistance
Payments. The billing cycle for other amounts, including Administrative Fees and
Special Claims will be monthly unless requested otherwise by the Initial HA.
The HA will bill 100% of the Housing Assistance Payment, 100% of Special Claims and
80% of the Administrative Fee (at the Initial HA’s rate) for each “Portability”
Certificate/Voucher leased as of the first day of the month.
The HA will notify the Initial HA of changes in subsidy amounts and will expect the Initial
HA to notify the HA of changes in the Administrative Fee amount to be billed.
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DRAFT
Chapter 14
CONTRACT TERMINATIONS
INTRODUCTION
The Housing Assistance Payments (HAP) Contract is the contract between the owner
and the HA which defines the responsibilities of both parties. This Chapter describes
the circumstances under which the contract can be terminated by the HA and the
owner, and the policies and procedures for such terminations.
A. CONTRACT TERMINATION [24 CFR 982.31 I]
The term of the HAP Contract is the same as the term of the lease. The Contract
between the owner and the HA may be terminated by the HA, or by the owner or tenant
terminating the lease.
No future subsidy payments on behalf of the family will be made by the HA to the owner
after the month in which the Contract is terminated. The owner must reimburse the HA
for any subsidies paid by the HA for any period after the contract termination date.
If the family continues to occupy the unit after the Section 8 contract is terminated, the
family is responsible for the total amount of rent due to the owner. The owner will have
no right to claim compensation from the HA for vacancy loss under the provisions of
Certificate HAP Contracts effective before October 2, 1995.
After a contract termination, if the family meets the criteria for a move with continued
assistance, the family may lease-up in another unit. The contract for the new unit may
begin during the month in which the family moved from the old unit.
B. TERMINATION BY THE FAMILY: MOVES [24 CFR 982.314(c)(2)]
The lease stipulates that the family cannot move from the unit until after the first year of
the lease. The notice period to the owner is determined by the lease, but may not
exceed 60 days.
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C. TERMINATION OF TENANCY BY THE OWNER: EVICTIONS
[24 CFR 982.310,982.455]
If the owner wishes to terminate the lease, the owner is required to evict, using the
notice procedures in the HUD regulations and State/local law. The owner must provide
the HA with a copy of the eviction notice.
The owner must provide the tenant a written notice specifying the grounds for
termination of tenancy, at or before the commencement of the eviction action. The
notice may be included in, or may be combined with, any owner eviction notice to the
tenant.
The owner eviction notice means a notice to vacate, or a complaint, or other initial
pleading used under State or local law to commence an eviction action.
During the term of the lease the owner may only evict for:
1.
2.
3.
Serious or repeated violations of the lease;
Violations of federal, state or local law related to occupancy of the unit;
Criminal activity by the tenant, any member of the household, a guest or another
person under the tenant’s control that threatens the health, safety or right to
peaceful enjoyment of the premises by the other residents, or persons residing in
the immediate vicinity of the premises.
4.
5.
Any drug-related criminal activity on or near the premises.
Tenant history of disturbance of neighbors, destruction of property, or behavior
resulting in damage to the premises.
6. Other good cause, after the first year of the lease, includes:
- Business or economic reason for regaining possession;
- Owner’s desire to repossess unit for personal use; or
- Tenant’s refusal to accept offer of a new lease.
7. If the lease is for successive definite terms, after the initial term, the owner can
terminate tenancy at the end of the initial term or any successive term without
cause.
The eviction notice must specify the cause for the eviction.
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Housing assistance payments are paid to the owner under the terms of the HAP
Contract. If the owner has begun eviction and the family continues to reside in the unit,
the HA must continue to make housing assistance payments to the owner until the
owner has obtained a court judgment or other process allowing the owner to evict the
tenant.
The HA will continue housing assistance payments until the family moves or is
evicted from the unit.
If the action is finalized in court, the owner must provide the HA with the
documentation, including notice of the lock-out date.
The HA must continue making housing assistance payments to the owner in
accordance with the Contract as long as the tenant continues to occupy the unit and the
Contract is not violated. By endorsing the monthly check from the HA, the owner
certifies that the tenant is still in the unit, the rent is reasonable and s/he is in
compliance with the contract.
If an eviction is not due to a serious or repeated violation of the lease, and if the HA has
no other grounds for termination of assistance, the HA may issue a new certificate or
voucher so that the family can move with continued assistance.
D. TERMINATION OF THE CONTRACT BY HA
[24 CFR 982.404(a), 982.453, 982.454,982.552(a)(3)]
The term of the HAP Contract terminates when the lease terminates, when the HA
terminates program assistance for the family, and when the owner has breached the
HAP Contract.
(See Chapter lG/Disapproval of Owner)
The HA may also terminate the contract if:
- The HA terminates assistance to the family.
- The family is required to move from a unit which is under-occupied (Certificate
Program) or overcrowded (Certificate and Voucher Programs).
- Funding is no longer available under the ACC.
The contract will terminate automatically if 180 days have passed since the last housing
assistance payment to the owner.
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Notice of Termination
The HA will provide the owner and family with at least thirty days written notice of
termination of the contract.
E. TERMINATIONS DUE TO INELIGIBLE IMMIGRATION STATUS
[24 CFR 5.5141
Families who were participants on June 19, 1995, but are ineligible for continued
assistance due to the ineligible immigration status of all members of the family, or
because a “mixed” family chooses not to accept pro-ration of assistance, are eligible for
temporary deferral of termination of assistance, if necessary, to permit the family
additional time for transition to affordable housing.
Deferrals may be granted for intervals not to exceed six months, up to an aggregate
maximum of:
3 years for deferrals granted prior to November 29, 1996, or
18 months for deferrals granted after November 29,1996.
The family will be notified in writing at least 60 days in advance of the expiration of the
deferral period that termination of assistance will not be deferred because:
a) granting another deferral will result in an aggregate deferral period of longer
than the statutory maximum (three years for deferrals granted before
November 29, 1996; 18 months for deferrals granted after November 29,
1996), or
b) a determination has been made that other affordable housing is available.
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Chapter 15
DENIAL OR TERMINATION OF ASSISTANCE
INTRODUCTION
The HA may deny or terminate assistance for a family because of the family’s action or
failure to act. The HA will provide families with a written description of the Family
Obligations under the program, the grounds under which the HA can deny or terminate
assistance, and the HA’s informal hearing procedures. This Chapter describes when
the HA is required to deny or terminate assistance, and the HA’s policies for the denial
of a new commitment of assistance and the grounds for termination of assistance under
an outstanding HAP contract.
A. GROUNDS FOR DENIAL/TERMINATION [24 CFR 982.552,982.553]
If denial or termination is based upon behavior resulting from a disability, the HA will
delay the denial or termination in order to determine if there is an accommodation which
would negate the behavior resulting from the disability.
Form of Denial/Termination
Denial of assistance for an applicant may include any or all of the following:
Denial for placement on the HA waiting list
Denying or withdrawing a certificate or voucher
Refusing to enter into a HAP contract or approve a lease
Refusing to process or provide assistance under portability procedures
Termination of assistance for a participant may include any or all of the following:
Refusing to enter into a HAP contract or approve a lease
Terminating housing assistance payments under an outstanding HAP contract
Refusing to process or provide assistance under portability procedures
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Mandatory Denial and Termination [24 CFR 982.552(b) (1 O)(d)]
The HA must deny assistance to applicants, and terminate assistance for participants:
The HA will permanently deny an applicant admission to the program or
immediately and permanently terminate rental assistance benefits to a
participant, if an applicant or participant , or family member, has been convicted
of manufacturing or producing methamphetamine (speed).
If any member of the family fails to sign and submit HUD or HA required consent
forms for obtaining information.
If no member of the family is a U.S. citizen or eligible immigrant. (See Section D)
If the family is under contract and 180 days (or 12 months, depending on the
HAP contract used) have elapsed since the HA’s last housing assistance
payment was made. (See Chapter 14, Section D)
Grounds for Denial or Termination of Assistance [24 CFR 982.552 (b)]
The HA will deny program assistance for an applicant, or terminate program assistance
for a participant, for any of the following reasons:
The family violates any family obligation under the program as listed in 24
CFR 982.551.
If any member of the family commits drug-related criminal activity, or
violent criminal activity. (See Section B. “One Strike” Policy)
If any member of the family commits fraud, bribery or any other corrupt or
criminal act in connection with any federal housing program.
The family currently owes rent or other amounts to the HA or to another HA
in connection with Section 8 or public housing assistance under the 1937
Act.
The family has not reimbursed any HA for amounts paid to an owner under
a HAP contract for rent, damages to the unit, or other amounts owed by the
family under the lease.
The family breaches an agreement with an HA to pay amounts owed to an
HA, or amounts paid to an owner by an HA.
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The family has engaged in or threatened abusive or violent behavior
toward HA personnel.
“Abusive or violent behavior towards HA personnel” includes verbal
as well as physical abuse or violence. Use of expletives that are
generally considered insulting, racial epithets, or other language,
written or oral, that is customarily used to insult or intimidate, may
be cause for termination or denial.
“Threatening” refers to oral or written threats or physical gestures
that communicate an intent to abuse or commit violence.
Actual physical abuse or violence will always be cause for termination
Any member of the family whose drug or alcohol abuse interferes with the
health, safety or peaceful enjoyment of other residents.
Crime by Family Member (See Section B. “One Strike” Policy)
Refer to Chapter 2, Section E, “Other Criteria for Admission” for further information.
Familv Self Sufficiency (FSS)
Failure to fulfil1 the obligations and conditions of the FSS contract is grounds for
termination of assistance.
The HA will not terminate assistance to FSS families who fail to comply with the
FSS Contract of Participation without good cause.
B. “ONE STRIKE” POLICY
Purpose
All federally assisted housing is intended to provide a place to live and raise families,
not a place to commit crime, to use or sell drugs or terrorize neighbors. It is the
intention of the City of Carlsbad to fully endorse and implement a policy which is
designed to:
Help create and maintain a safe and drug-free community
Keep our program participants free from threats to their personal and family
safety
Help maintain an environment where children can live safely, learn and
grow up to be productive citizens
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Assist families in their vocational and educational goals in the pursuit of
self-sufficiency
Administration
All screening and eviction procedures shall be administered fairly and in such a way as
not to violate rights to privacy or discriminate on the basis of race, color, nationality,
religion, familial status, disability, sexual orientation or other legally protected groups.
To the maximum extent possible, the HA will involve other community and
governmental entities in the promotion and enforcement of this policy.
This policy will be posted on the HA’s bulletin board and copies made readily
available to applicants and participants upon request.
Screenino of ApDlicants
In an effort to prevent future drug related and other criminal activity, as well as other
patterns of behavior that pose a threat to the health, safety or right to peaceful
enjoyment of the premises by other residents, and as required by the Notice 96-27, the
HA will endeavor to screen applicants as thoroughly and fairly as possible.
Such screening will apply to any member of the household who is 18 years of age or
older or who is an emancipated minor.
HUD Definitions
Drug-related criminal activity is the illegal manufacture, sale, distribution, use or
possession with intent to manufacture, sell, distribute or use a controlled substance.
Drug-related criminal activity means on or off the premises, not jusf on or near the
premises.
Violent criminal activity includes any criminal activity that has as one of its elements the
use, attempted use, or threatened use of physical force against a person or property,
and the activity is being engaged in by any family member.
Standard for Violation
The HA will consider the use of a controlled substance or alcohol to be a pattern
if there is more than one incident during the previous 12 months.
“Engaged in or engaging in” violent criminal activity means any act within the past year
by applicants or participants, household members, or guests which involved criminal
activity that has as one of its elements the use, attempted use, or threatened use of
physical force against the person of another, which resulted in the arrest and/or
conviction of the applicant or participant, household members, or guests.
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The activity is being engaged in by any Family member.
The existence of the above-referenced behavior by any household member or
guest, regardless of the applicant or participant’s knowledge of the behavior shall
be grounds for denial or termination of assistance.
Drua Related and Violent Criminal Activitv
lneliaibilitv if Evicted for Drua-Related Activitv: Persons evicted from public housing,
Indian Housing, Section 23 or any Section 8 program because of drug-related criminal
activity are ineligible for admission to the Section 8 program for a three-year period
beginning on the date of such eviction.
Applicants will be denied assistance if they have been:
arrested, convicted or evicted from a unit assisted under the
Housing Act of 1937 due to violent criminal activity within the last
two years prior to the date of the certification interview.
If the family violates the lease for drug-related or violent criminal activity,
the HA will terminate assistance.
In appropriate cases, the HA may permit the family to continue receiving
assistance provided that family members determined to have engaged in
the proscribed activities will not reside in the unit. If the violating member
is a minor, the HA may consider individual circumstances with the advice
of Juvenile Court officials.
The HA may waive the requirement regarding drug-related criminal activity
if:
The person demonstrates successful completion of a credible
rehabilitation program approved by the HA, or
The circumstances leading to the eviction no longer exist.
Termination of Assistance for Participants
If the family violates the lease for drug-related or violent criminal activity, the HA
will terminate assistance.
In appropriate cases, the HA may permit the family to continue receiving
assistance provided that family members determined to have engaged in the
proscribed activities will not reside in the unit. If the violating member is a minor,
the HA may consider individual circumstances with the advice of Juvenile Court
officials.
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Notice of Termination of Assistance
In any case where the HA decides to terminate assistance to the family, the HA must
give the family written notice which states:
The reason(s) for the proposed termination,
The effective date of the proposed termination,
The family’s right, if they disagree, to request an Informal Hearing to be held
before termination of assistance.
The date by which a request for an informal hearing must be received by the HA.
The HA will simultaneously provide written notice of the contract termination to the
owner so that it will coincide with the Termination of Assistance. The Notice to the
owner will not include any details regarding the reason for termination of assistance.
Reauired Evidence
Preponderance of evidence is defined as evidence which is of greater weight or more
convincing than the evidence which is offered in opposition to it; that is, evidence which
as a whole shows that the fact sought to be proved is more probable than not. The
intent is not to prove criminal liability, but to establish that the act(s) occurred.
Preponderance of evidence may not be determined by the number of witnesses, but by
the greater weight of all evidence.
Credible evidence may be obtained from police and/or court records. Testimony from
neighbors, when combined with other factual evidence can be considered credible
evidence. Other credible evidence includes documentation of drug raids or arrest
warrants.
The HA will pursue fact-finding efforts as needed to obtain credible evidence.
Confidentiality of Criminal Records
The HA will ensure that any criminal record received is maintained confidentially, not
misused or improperly disseminated, and destroyed once the purpose for which it was
requested is accomplished.
All criminal reports, while needed, will be in a file with access limited to
individuals responsible for screening and determining eligibility for initial and
continued assistance and to the upper level Section 8 management.
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If the family is determined eligible for initial or continued assistance, the criminal
report shall be shredded as soon as the information is no longer needed for
eligibility or continued assistance determination.
If the family’s assistance is denied or terminated, the criminal record information
shall be shredded immediately upon completion of the review or hearing
procedures and a final decision has been made.
The HA will document in the family’s file the circumstances of the criminal report
and the date the report was destroyed.
C.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
FAMILY OBLIGATIONS [24 CFR 982.5511
The family must supply any information that the HA or HUD determines is
necessary in the administration of the program, including submission of required
evidence of citizenship or eligible immigration status (as provided by 24 CFR part
812). “Information” includes any requested certification, release or other
documentation.
The family must supply any information requested by the HA or HUD for use in a
regularly scheduled reexamination or interim reexamination of family income and
composition in accordance with HUD requirements.
The family must disclose and verify Social Security Numbers (as provided by 24
CFR part 750) and must sign and submit consent forms for obtaining information
in accordance with 24 CFR part 760 and 24 CFR part 813.
All information supplied by the family must be true and complete.
The family is responsible for an HQS breach caused by the family as described
in 982.404(b).
The family must allow the HA to inspect the unit at reasonable times and after
reasonable notice.
The family may not commit any serious or repeated violations of the lease.
The family must notify the owner and, at the same time, notify the HA before the
family moves out of the unit or terminates the lease upon notice to the owner.
The family must promptly give the HA a copy of any owner eviction notice.
The family must use the assisted unit for residence by the family. The unit must
be the family’s only residence.
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11. The composition of the assisted family residing in the unit must be approved by
the HA. The family must promptly inform the HA of the birth, adoption or court-
awarded custody of a child. The family must request HA approval to add any
other family member as an occupant of the unit.
12. The family must promptly notify the HA if any family member no longer resides in
the unit.
13. If the HA has given approval, a foster child or a live-in aide may reside in the
unit. If the family does not request approval or HA approval is denied, the family
may not allow a foster child or live-in aide to reside with the assisted family.
14. Members of the household may engage in legal profit-making activities in the
unit, but only if such activities are incidental to primary use of the unit as a
residence by members of the family.
15. The family must not sublease or let the unit.
16. The family must not assign the lease or transfer the unit.
17. The family must supply any information or certification requested by the HA to
verify that the family is living in the unit, or relating to family absence from the
unit, including any HA-requested information or certification on the purposes of
family absences. The family must cooperate with the HA for this purpose. The
family must promptly notify the HA of absence from the unit.
18. The family must not own or have any interest in the unit.
19. The members of the family must not commit fraud, bribery or any other corrupt or
criminal act in connection with the programs.
20. The members of the family may not engage in drug-related criminal activity or
violent criminal activity. (See HA one strike policy).
21. An assisted family, or members of the family, may not receive Section 8 tenant-
based assistance while receiving another housing subsidy, for the same unit or
for a different unit, under any duplicative (as determined by HUD or in
accordance with HUD requirements) federal, State or local housing assistance
program.
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Housina Authoritv Discretion
In deciding whether to deny or terminate assistance because of action or failure to act
by members of the family, the HA has discretion to consider all of the circumstances in
each case, including the seriousness of the case. The HA will use its discretion in
reviewing the extent of participation or culpability of individual family members and the
length of time since the violation occurred. The HA may also review the family’s more
recent history and record of compliance, and the effects that denial or termination of
assistance may have on other family members who were not involved in the action or
failure to act.
The HA may impose, as a condition of continued assistance for other family
members, a requirement that family members who participated in, or were
culpable for the action or failure to act, will not reside in the unit. The HA may
permit the other members of a family to continue in the program.
Enforcina Familv Obliaations
Exolanations and Terms
The term “Promptly” when used with the Family Obligations always means “within 15
days. “Denial or termination of assistance is always optional except where this Plan or
the regulations state otherwise.
HQS Breach
The Housing Program Manager and/or Inspector will determine if an HQS breach as
identified in 24 CFR 982.404 (b) is the responsibility of the family. Families may be
given extensions to cure HQS breaches by the Housing Program Manager.
Lease Violations
The following criteria will be used to decide if a serious or repeated violation of the
lease will result in termination of assistance:
If the owner terminates tenancy through court action for serious or
repeated violation of the lease.
If the owner notifies the family of termination of tenancy assistance for
serious or repeated lease violations, and the family moves from the unit
prior to the completion of court action, and
If there are police reports, neighborhood complaints or other third party
information, that has been verified by the HA.
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Notification of Eviction
If the family requests assistance to move and they did not notify the HA of an eviction
within 15 day of receiving the Notice of Lease Termination, the move will be denied.
Proposed Additions to the Familv
The HA will deny a family’s request to add additional family members who are:
Persons who have previously violated a family obligation listed in 24CFR
982.51 of the HUD regulations.
Persons who have been part of a family whose assistance has been
terminated under the Certificate or Voucher program.
Persons who commit drug-related criminal activity or violent criminal
activity.
Persons who commit fraud, bribery or any other corrupt or criminal act in
connection with any federal housing program.
Persons who currently owe rent or other amounts to the HA or to another
HA in connection with Section 8 or public housing assistance under the
1937 Act.
Persons who have engaged in or threatened abusive or violent behavior
toward HA personnel.
Familv Member Moves Out
Families are required to notify the HA if any family member leaves the assisted
household. When the family notifies the HA, they must furnish the following
information:
The date the family member moved out.
The new address, if known, of the family member.
A statement as to whether the family member is temporarily or permanently
absent.
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Limitation on Profit-makina Activity in Unit
If the business activity area results in the inability of the family to use any of the
critical living areas, such as a bedroom utilized for a business which is not
available for sleeping, it will be considered a violation.
If the HA determines that the use of the unit as a business is not incidental to its use as
a dwelling unit, it will be considered a program violation.
If the HA determines the business is not legal, it will be considered a program violation.
Interest in Unit
The owner may not reside in the assisted unit regardless of whether (s)he is a member
of the assisted family, unless the family owns the mobile home and rents the pad under
the Program.
Fraud
In each case, the HA will consider which family members were involved, the
circumstances, and any hardship that might be caused to innocent members.
In the event of false citizenship claims: (Refer to Section D.)
D. PROCEDURES FOR NON-CITIZENS [24 CFR 5.514, 5.516, 5.5181
Denial or Termination due to lneliaible lmmiarant Status
Applicant or participant families in which all members are neither U.S. citizens nor
eligible immigrants are not eligible for assistance and must have their assistance
terminated. The HA must offer the family an opportunity for a hearing. (See Chapter 2,
Section D.)
Assistance may not be terminated while verification of the participant family’s eligible
immigration status is pending.
False or Incomplete Information
When the HA has clear, concrete, or substantial documentation (such as a
permanent resident card or information from another agency) that contradicts the
declaration of citizenship made by an applicant or participant, an investigation
will be conducted and the individual given an opportunity to present relevant
information.
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If the individual is unable to verify their citizenship, the HA may give him/her an
opportunity to provide a new declaration as an eligible immigrant or to elect not
to contend their status. The HA will then verify eligible status, deny, terminate, or
prorate as applicable.
The HA may deny or terminate assistance based on the submission of false
information or misrepresentation.
Procedure for Denial or Termination
If the family (or any member) claimed eligible immigrant status and the INS primary and
secondary verifications failed to document the status, the family may make an appeal to
the INS and request a hearing with the HA either after the INS appeal or in lieu of the
INS appeal.
After the HA has made a determination of ineligibility, the family will be notified of the
determination and the reasons and informed of the option for prorated assistance (if
applicable).
E. ZERO ($0) ASSISTANCE TENANTS
HAP Contracts Prior to October 2.1995
For contracts which were effective prior to October 2, 1995, the HA is liable for unpaid
rent and damages if the family vacates during the allowable 12 months after the last
HAP payment. The HA must perform all of the functions normally required, such as
reexaminations and inspections.
The participant will be notified of the right to remain on the program at $0 assistance for
12 months. If the family is still in the unit after 12 months, the assistance will be
terminated.
In order for a family to move to another unit during the 12 month, the rent for the new
unit would have to be high enough to necessitate a housing assistance payment.
HAP Contracts On or After October 2, 1995[24 CFR 982.455 (a)]
For contracts effective on or after October 2, 1995, the HA has no liability for unpaid
rent or damages, and the family may remain in the unit at $0 assistance for up to 180
days after the last HAP payment. If the family is still in the unit after 180 days, the
assistance will be terminated. If, within the 180 day time frame, an owner rent increase
or a decrease in the Total Tenant Payment causes the family to be eligible for a
housing assistance payment, the HA will resume assistance payments for the family.
In order for a family to move to another unit during the 180 days, the rent for the new
unit would have to be high enough to necessitate a housing assistance payment.
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F. OPTION NOT TO TERMINATE FOR MISREPRESENTATION
[24 CFR 982.551, 982.552(c)]
If the family has misrepresented any facts that caused the HA to overpay assistance,
the HA may choose not to terminate and may offer to continue assistance provided that
the family executes a Repayment Agreement and makes payments in accordance with
the agreement or reimburses the HA in full.
G. MISREPRESENTATION IN COLLUSION WITH OWNER
[24 CFR 982.551, 982.552 (c)]
If the family intentionally, willingly, and knowingly commits fraud or is involved in any
other illegal scheme with the owner, the HA will deny or terminate assistance.
H. MISSED APPOINTMENTS AND DEADLINES [24 CFR 982.551,982.552 (c)]
It is a Family Obligation to supply information, documentation, and certification as
needed for the HA to fulfil1 its responsibilities. The HA schedules appointments and
sets deadlines in order to obtain the required information. The Obligations also require
that the family allow the HA to inspect the unit, and appointments are made for this
purpose.
An applicant or participant who fails to keep an appointment, or to supply information
required by a deadline without notifying the HA, may be sent a Notice of Denial or
Termination of Assistance for failure to provide required information, or for failure to
allow the HA to inspect the unit.
The family will be given information about the requirement to keep appointments and
the number of times appointments will be rescheduled, as specified in this Plan.
Appointments will be scheduled and time requirements will be imposed for the following
events and circumstances:
Eligibility for Admissions
Verification Procedures
Certificate/Voucher Issuance and Briefings
Housing Quality Standards and Inspections
Recertifications
Appeals
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Acceptable reasons for missing appointments or failing to provide information by
deadlines are:
Medical emergency
Family emergency
Procedure when ADDointments are Missed or Information not Provided
For most purposes in this Plan, the family will be given three opportunities before being
issued a notice of termination or denial for breach of a family obligation.
After issuance of the termination notice, if the family offers to correct the breach within
the time allowed to request a hearing:
The termination will be rescinded after the family cures the breach.
The notice will be rescinded if the family offers to cure and the family does
not have a history of non-compliance.
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DRAFT
Chapter 16
OWNER DISAPPROVAL AND RESTRICTION
INTRODUCTION
It is the policy of the HA to recruit owners to participate in the Certificate and Voucher
program. The HA will provide owners with prompt and professional service in order to
maintain an adequate supply of available housing throughout the jurisdiction of the HA.
The regulations define when the HA must disallow an owner participation in the
program, and they provide the HA discretion to disapprove or otherwise restrict the
participation of owners in certain categories. This Chapter describes the criteria for
owner disapproval, and the various penalties for owner violations.
A. DISAPPROVAL OF OWNER [24 CFR 982.306,982.54(d)(8)]
The owner does not have a right to participate in the program. For purposes of this
section, “owner” includes a principal or other interested party.
The HA will disapprove the owner for the following reasons:
HUD or other agency directly related has informed the HA that the owner has
been disbarred, suspended, or subject to a limited denial of participation under
24 CFR part 24.
HUD has informed the HA that the federal government has instituted an
administrative or judicial action against the owner for violation of the Fair
Housing Act or other federal equal opportunity requirements and such action is
pending.
HUD has informed the HA that a court or administrative agency has determined
that the has owner violated the Fair Housing Act or other federal equal
opportunity requirements.
Unless their lease was effective prior to June 17, 1998, the owner may not be a
parent, child, grandparent, grandchild, sister or brother of any family member.
The HA will waive this restriction as a reasonable accommodation for a family
member who is a person with a disability.
In cases where the owner and tenant bear the same last name, the HA may,
at its discretion, require the family and or owner to certify whether they
are related to each other in any way.
The owner has violated obligations under a housing assistance payments
contract under Section 8 of the 1937 Act (42 U.S.C. 14379.
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16-1
The owner has violated any obligation under the HAP contract for the
dwelling unit, including the owner’s obligations to maintain the unit to
HQS, including any standards the HA has adopted in this policy.
The owner has committed fraud, bribery or any other corrupt act in
connection with any federal housing program.
The owner has engaged in drug trafficking.
The owner has a history or practice of non-compliance with the HQS for
units leased under the tenant-based programs or with applicable housing
standards for units leased with project-based Section 8 assistance or
leased under any other federal housing program.
The owner has a history or practice of renting units that fail to meet State
or local housing codes.
The owner has not paid State or local real estate taxes, fines or
assessments.
The owner has failed to comply with regulations, the mortgage or note, or
the regulatory agreement for projects with mortgages insured by HUD or
loans made by HUD.
B. OWNER RESTRICTIONS AND PENALTIES [24 CFR 982.302(a)(8), 982.4531
If an owner has committed fraud or abuse or is guilty of frequent or serious contract
violations, the HA will restrict the owner from future participation in the program for a
period of time commensurate with the seriousness of the offense. The HA may also
terminate some or all contracts with the owner.
Before imposing any penalty against an owner the HA will review all relevant factors
pertaining to the case, and will consider such factors as the owner’s record of
compliance and the number of violations.
See Program Integrity Addendum for guidance as to how owner fraud will be handled.
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C. CHANGE IN OWNERSHIP
A change in ownership does not require execution of a new contract unless it is
requested by the new owner.
The HA may approve the assignment of the HAP contract at the old owner’s
request. The HA may approve the assignment, since they are a party to the
contract. The HA may deny approval of assignment of the contract, for any of the
reasons listed in Section A. of this chapter.
The HA will process a change of ownership only upon the written request of the
new owner and only if accompanied by a copy of the escrow statement or other
document showing the transfer of title and the Employee Identification Number or
Social Security number of the new owner.
The HA must receive a written request by the old owner in order to change the
HAP payee and/or the address to which payment is to be sent.
If the new owner does not want an assignment of the contract, the HA will
terminate the HAP contract with the old owner, since they are no longer the
owner. The new owner may offer the family a new assisted lease. The family
may elect to enter into the new lease or move to another unit.
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DRAFT
Chapter 17
CLAIMS, MOVE-OUT AND CLOSE-OUT INSPECTIONS
(For HAP Contracts Effective Before October 2, 1995)
INTRODUCTION
This Chapter describes the HA’s policies, procedures and standards for servicing HAP
Contracts which were effective before October 2, 1995. Certificate and Voucher
contracts in this category have provisions for the HA’s liability to owners when families
move out. Vouchers and Certificates have a provision for damages, and Certificates, in
addition, have a provision for vacancy loss.
A. OWNER CLAIMS
Under HAP Contracts effective prior to October 2, 1995, owners may make “special
claims” for damages, unpaid rent, and vacancy loss (vacancy loss cannot be claimed in
the Voucher Program) after the tenant has vacated the unit.
Owner claims for payment for unpaid rent, damages, or vacancy loss will be reviewed
for accuracy and completeness and compared with records in the file. The HA
establishes standards by which to evaluate claims, but the burden of proof rests with
the owner.
If vacancy loss is claimed, the HA will ascertain whether or not the family gave proper
notice of its intent to move. The file will also be reviewed to verify owner compliance at
the time the contract was terminated.
The HA will pay properly filed claims to the owner as a function of the contract, but the
tenant is ultimately responsible to reimburse the HA for claims paid to the owner.
B. UNPAID RENT
Unpaid rent only applies to the tenant’s portion of rent while the tenant is in residence
under the assisted lease. It does not include the tenant’s obligation for rent beyond the
termination date of the HAP Contract.
Separate agreements are not considered a tenant obligation under the lease and the
HA will not reimburse the owner for any claims under these agreements.
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C. VACANCY LOSS IN THE CERTIFICATE PROGRAM
Vacancy Loss is applicable to the Certificate Program onJ. Vacancy loss is paid if the
move was in violation of the notice requirements in the lease, or the result of an
eviction.
In order to claim vacancy loss, the unit must be available for lease and the landlord
must:
1. Notify the HA within two working days upon learning of the vacancy, or
prospective vacancy, and
2. Pursue all possible activities to fill the vacancy, including, but not limited
to:
a. Contacting applicants on the owner’s waiting list, if any;
b. Seeking eligible applicants by listing the unit with the HA,
C. Advertising the availability of the unit, and
d. Not rejecting potentially eligible applicants except for good cause.
In the event that a unit becomes vacant because of death, the HA will permit the
owner to keep the HAP for the month in which the tenant died.
If the tenant moves after the date given on their notice of intent to vacate, the
landlord may claim vacancy loss by providing acceptable documentation that
there was a bona fide prospective tenant to whom the unit could have been
rented.
The owner must be present during the move-out inspection and only damages
claimed by the owner are reimbursable.
All claims for damages must be supported by the actual bills for materials and
labor and a copy of the canceled checks or other receipts documenting payment.
Estimates are not acceptable.
Bills from individuals providing labor must include their name, address and
phone number. The actual cost of the owner’s employees’ labor, such as the
resident manager, to make repairs may be included.
Reasonableness of costs will be based on averages observed in the general
industry. Reimbursement for replacement of items such as carpets, drapes, or
appliances, are based on depreciation schedules used by this HA.
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The HA may require verification of purchase date, quality, and price of replaced
items in order to calculate depreciation.
Damages which were caused during tenancy, were repaired and billed, but
remain unpaid at move-out, can be considered “other items due under the lease”
and included in the claim.
Eligible items to be included on the damage claim must have been a tenant
responsibility under the lease or State law.
Claims for unpaid utility bills cannot be approved as part of a claim.
Claims for normal wear and tear, previously existing conditions, routine turnover
preparation, general cleaning and cyclical interior painting are not paid.
The HA will inspect the unit to verify that repairs were made.
D. MOVE-OUT AND CLOSE-OUT INSPECTIONS
Move-out inspections are performed after the tenant has vacated the unit. These
inspections are performed to assess the condition of the unit, not to evaluate the
HQS.
There will be no move-out inspections of units with contracts effective on or after
October 2, 1995.
The HA’s initial inspection of the unit will include a “conditions” report which will
be compared to the conditions found during the move-out inspection.
The owner must notify the HA of the move-out and request an inspection within
two working days of learning of the move-out in order to submit a claim for
damages.
The HA will not conduct a move-out inspection on tenant’s request if the owner
does not also request an inspection.
A damage claim will not be approved unless the move-out inspection is
requested and completed prior to any work being done.
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E. PROCESSING CLAIMS
Any amount owed by the tenant to the owner for unpaid rent or damages will first be
deducted from the maximum security deposit which the owner could have collected
under the program rules. If the maximum allowable security deposit is insufficient to
reimburse the owner for the unpaid tenant rent or other amounts which the family owes
under the lease, the owner may request reimbursement from the HA up to the limits for
each program.
If the owner claims vacancy loss, the security deposit that s/he collected or could have
collected will be deducted from the vacancy loss claim.
After a determination has been made, the HA will notify the family in writing of the
decision. If it has been determined that the family owes money, the HA will pursue
collection to repay either in a lump sum or through a repayment agreement. The notice
will warn the family that their assistance may be terminated and they may be denied
future participation in the program if they do not reimburse the HA as required.
Other Reauirements for Claims Processing
The HA will require proof that the owner has complied with State and local laws
applicable to security deposits before making payment on any claim.
Costs of filing eviction to remove the tenant or any other legal fees, may not be
reimbursed.
All unpaid rent, damage, and vacancy loss claim forms must be fully complete when
they are submitted, and they must be submitted within 30 days of the date the owner
learned of the move-out.
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DRAFT
Chapter 18
OWNER OR FAMILY DEBTS TO THE HA
INTRODUCTION
This Chapter describes the HA’s policies for the recovery of monies which have been
overpaid for families, and to owners. It describes the methods that will be utilized for
collection of monies and the guidelines for different types of debts. It is the HA’s policy
to meet the informational needs of owners and families, and to communicate the
program rules in order to avoid owner and family debts. Before a debt is assessed
against a family or owner, the file must contain documentation to support the HA’s claim
that the debt is owed. The file must further contain written documentation of the
method of calculation, in a clear format for review by the owner, the family or other
interested parties.
When families or owners owe money to the HA, the HA will make every effort to collect
it. The HA will use a variety of collection tools to recover debts including, but not limited
to:
Requests for lump sum payments
Repayment agreements
Abatements
Reductions in HAP to owner
Collection agencies
Credit bureaus
A. REPAYMENT AGREEM,ENT FOR FAMILIES [24 CFR 792.103, 982.552 (b)(6-
WI A Repayment Agreement as used in this Plan is a document entered into between the
HA and a person who owes a debt to the HA. It is similar to a promissory note, but
contains more details regarding the nature of the debt, the terms of payment, any
special provisions of the agreement, and the remedies available to the HA upon default
of the agreement.
The maximum length of time the HA will enter into a repayment agreement with a
family is twelve months. Longer periods of time may be approved by the Housing
Program Manager.
If the family already has a Repayment Agreement in place or if the HA determines
that the family committed program fraud. the HA will not enter into a repayment
agreement.
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B. DEBTS OWED FOR CLAIMS [24 CFR 792.103, 982.552 (b)(6-8)]
If a family owes money to the HA for claims paid to an owner:
The HA will pay the amount and enter into a Repayment Agreement with
the family.
Late Pavments
A payment will be considered to be in arrears if:
The payment is not received by the close of the business day ten days
after the due date.
If the family’s repayment agreement is in arrears, the HA may:
Require the family to pay the balance in full
Initiate termination of the housing assistance
The Housing Program Manager may grant an extension based on a request from
the family due to financial hardship.
If the family requests a move to another unit and has a repayment agreement in place
for the payment of an owner claim, and the repayment agreement is not in arrears:
The family will be required to pay the balance in full prior to the issuance of
a certificate or voucher.
If the family requests a move to another unit and is in arrears on a repayment
agreement for the payment of an owner claim:
The family will be required to pay the balance in full, or be terminated from
the program.
C. DEBTS DUE TO MISREPRESENTATIONS/NON-REPORTING OF
INFORMATION [24 CFR 982.1631
HUD’s definition of program fraud and abuse is a single act or pattern of actions that:
Constitutes false statement, omission, or concealment of a substantive fact,
made with intent to deceive or mislead, and that results in payment of Section 8
program funds in violation of Section 8 program requirements.
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Familv Error/Late Reporting
Families who owe money to the HA due to the family’s failure to report increases
in income will be required to repay in accordance with the guidelines in the
Repayment Agreement Section of this Chapter.
Program Fraud
Families who owe money to the HA due to program fraud will be required to repay
in accordance with the guidelines in the Repayment Agreement Section of this
Chapter.
If a family owes an amount which equals or exceeds $10,000 as a result of program
fraud, the case will be referred to the Inspector General. Where appropriate, the HA will
refer the case for criminal prosecution.
Pavment Procedures for Program Fraud
Families who commit program fraud or untimely reporting of increases in income
will be subject to the following procedures:
The maximum time period for a Repayment Agreement will be twelve
months.
The amount of the monthly payment will be determined in accordance with
the family’s current income.
D. GUIDELINES FOR REPAYMENT AGREEMENTS [24 CFR 982,552(b)(8)]
Repayment Agreements will be executed between the HA and the head of
household and spouse/co-head.
A Repayment Agreement will be considered to be in default when it is in arrears
for 30 days.
Monthly payments may be decreased in cases of family hardship and if requested
with reasonable notice from the family, verification of the hardship, and the
approval of the Housing Program Manager.
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No move will be approved until the debt is paid in full unless the move is the
result of the following causes, and the Repayment Agreement is current:
Family size exceeds the HQS maximum occupancy standards
The HAP Contract is terminated due to owner non-compliance or opt-out
A natural disaster
Additional Monies Owed: If the family already has a Repayment Agreement in place
and incurs an additional debt to the HA:
The HA will not enter into more than one Payment Agreement with the
family. The existing repayment agreement will need to be paid in full.
E. OWNER DEBTS TO THE RA [24 CFR 982.453(b)]
If the HA determines that the owner has retained Housing Assistance or Claim
Payments the owner is not entitled to, the HA may reclaim the amounts from future
Housing Assistance or Claim Payments owed the owner for any units under contract.
If future Housing Assistance or Claim Payments are insufficient to reclaim the amounts
owed, the HA may:
Require the owner to pay the amount in full within 30 days.
Enter into a Repayment Agreement with the owner for the amount owed.
Pursue collections through the local court system.
Restrict the owner from future participation.
F. WRITING OFF DEBTS
Debts will be written off if:
The debtor’s whereabouts are unknown and the debt is more than two
years old.
A determination is made that the debtor is judgment proof.
The debtor is deceased and there are not any remaining members who are
adults (18 years or older).
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Chapter 19
COMPLAINTS AND APPEALS
INTRODUCTION
The informal hearing requirements defined in HUD regulation are applicable to
participating families who disagree with an action, decision, or inaction of the HA. This
Chapter describes the policies, procedures and standards to be used when families
disagree with an HA decision. The procedures and requirements are explained for
preference denial meetings, informal reviews and hearings. It is the policy of the HA to
ensure that all families have the benefit of all protections due to them under the law.
A. COMPLAINTS TO THE HA
The HA will respond promptly to complaints from families, owners, employees, and
members of the public. All complaints will be documented. The HA may require that
complaints other than HQS violations be put in writing. HQS complaints may be
reported by telephone.
Categories of Complaints
1.
2.
3.
4.
Complaints from families: If a family disagrees with an action or inaction of the
HA or owner.
Complaints from families will be referred to their Housing Representative
or the Housing Program Manager.
Complaints from owners: If an owner disagrees with an action or inaction of the
HA or a family.
Complaints from owners will be referred to the Housing Program Manager.
Complaints from staff: If a staff person reports an owner or family either violating
or not complying with program rules.
Complaints from staff will be referred to the participant’s Housing
Representative or the Housing Program Manager.
Complaints from the general public: Complaints or referrals from persons in the
community in regard to the HA, a family or an owner.
Complaints from the general public will be referred to the Housing Program
Manager.
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.-
The HA hearing procedures will be provided to families in the briefing packet.
B. PREFERENCE DENIALS [24 CFR 5.4151
When the HA denies a preference to an applicant, the family will be notified in writing of
the specific reason for the denial and offered the opportunity for a meeting with HA staff
to discuss the reasons for the denial and to dispute the HA’s decision.
The person who conducts the meeting must be:
Any employee of the HA except the person who made or approved the
decision or a subordinate of those persons.
C. INFORMAL REVIEW PROCEDURES FOR APPLICANTS
[24 CFR 982.54(d)(12), 982.5541
Reviews are provided for applicants who are denied assistance before the effective
date of the HAP Contract. The exception is that when an applicant is denied assistance
for citizen or eligible immigrant status, the applicant is entitled to an informal hearing.
When the HA determines that an applicant is ineligible for the program, the family must
be notified of their ineligibility in writing. The notice must contain:
The reason(s) they are ineligible,
The procedure for requesting a review if the applicant does not agree with the
decision; and
The time limit for requesting a review.
The HA must provide applicants with the opportunity for an Informal Review of
decisions denying:
Qualification for preference
Listing on the HA’s waiting list
Issuance of a Certificate or Voucher
Participation in the program
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Informal Reviews are not required for established policies and procedures and HA
determinations such as:
1. Discretionary administrative determinations by the HA
2. General policy issues or class grievances
3. A determination of the family unit size under the HA subsidy standards
4. Refusal to extend or suspend a Certificate or Voucher
5. Disapproval of lease
6. Determination that unit is not in compliance with HQS
7. Determination that unit is not in accordance with HQS due to family size or
composition
Procedure for Review
A request for an Informal Review must be received in writing by the close of the
business day, no later than 15 days from the date of the HA’s notification of denial of
assistance. The informal review will be scheduled within 15 days from the date the
request is received.
The Informal Review may not be conducted by the person who made or approved the
decision under review, nor a subordinate of such person.
The Review may be conducted by:
A staff person who is at the Housing Program Manager level or above
An individual from outside the HA
The applicant will be given the option of presenting oral or written objections to the
decision. Both the HA and the family may present evidence and witnesses. The family
may use an attorney or other representative to assist them at their own expense.
The review may be conducted by mail and/or telephone if acceptable to both
parties.
A Notice of the Review findings will be provided in writing to the applicant within 14
days after the review. It shall include the decision of the review officer, and an
explanation of the reasons for the decision.
All requests for a review, supporting documentation, and a copy of the final decision will
be retained in the family’s file.
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D. INFORMAL HEARING PROCEDURES [24 CFR 982555(a-f), 982.54(d)(13)]
When the HA makes a decision regarding the eligibility and/or the amount of
assistance, applicants and participants must be notified in writing. The HA will give the
family prompt notice of such determinations which will include:
The proposed action or decision of the HA;
The date the proposed action or decision will take place;
The family’s right to an explanation of the basis for the HA’s decision;
The procedures for requesting a hearing if the family disputes the action or
decision;
The time limit for requesting the hearing.
The HA must provide participants with the opportunity for an Informal Hearing for
decisions related to any of the following HA determinations:
1. Determination of the family’s annual or adjusted income and the computation of
the housing assistance payment
2. Appropriate utility allowance used from schedule
3. Family unit size determination under HA subsidy standards
4. Determination that Certificate program family is underoccupied in their current
unit and a request for exception is denied
5. Determination to terminate assistance for any reason.
6. Determination to terminate a family’s FSS Contract, withhold supportive services,
or propose forfeiture of the family’s escrow account.
The HA must always provide the opportunity for an informal hearing before termination
of assistance.
Informal Hearings are not required for established policies and procedures and HA
determinations such as:
1. Discretionary administrative determinations by the HA
2. General policy issues or class grievances
3. Establishment of the HA schedule of utility allowances for families in the program
4. An HA determination not to approve an extension or suspension of a certificate
or voucher term
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5. An HA determination not to approve a unit or lease
6. An HA determination that an assisted unit is not in compliance with HQS (HA
must provide hearing for family breach of HQS because that is a family obligation
determination)
7. An HA determination that the unit is not in accordance with HQS because of the
family size
8. An HA determination to exercise or not exercise any right or remedy against the
owner under a HAP contract
Notification of Hearinq
It is the HA’s objective to resolve disputes at the lowest level possible, and to make
every effort to avoid the most severe remedies. However, if this is not possible, the HA
will ensure that applicants and participants will receive all of the protections and rights
afforded by the law and the regulations.
When the HA receives a request for an informal hearing, a hearing shall be scheduled
within 15 days. The notification of hearing will contain:
1. The date and time of the hearing
2. The location where the hearing will be held
3. The family’s right to bring evidence, witnesses, legal or other representation at
the family’s expense
4. The right to view any documents or evidence in the possession of the HA upon
which the HA based the proposed action and, at the family’s expense, to obtain a
copy of such documents prior to the hearing.
5. A notice to the family that the HA will request a copy of any documents or
evidence the family will use at the hearing. Requests for such documents or
evidence must be received no later than two days before the hearing date.
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The HA’s Hearing Procedures
After a hearing date is agreed to, the family may request to reschedule only upon
showing “good cause,” which is defined as an unavoidable conflict which affects
the health, safety or welfare of the family.
If a family does not appear at a scheduled hearing and has not rescheduled the
hearing in advance, the family must contact the HA within 24 hours, excluding
weekends and holidays. The HA will reschedule the hearing only if the family can
show good cause for the failure to appear.
Families have the right to:
Present written or oral objections to the HA’s determination.
Examine the documents in the file which are the basis for the HA’s action, and all
documents submitted to the Hearing Officer;
Copy any relevant documents at the HA expense;
Present any information or witnesses pertinent to the issue of the hearing;
Request that HA staff be available or present at the hearing to answer questions
pertinent to the case; and
Be represented by legal counsel, advocate, or other designated representative at
their own expense.
If the family requests copies of documents relevant to the hearing, the HA will
make the copies for the family at no charge. In no case will the family be allowed
to remove the file from the HA’s office.
In addition to other rights contained in this Chapter, the HA has a right to:
Present evidence and any information pertinent to the issue of the hearing;
Be notified if the family intends to be represented by legal counsel, advocate, or
another party;
Examine and copy any documents to be used by the family prior to the hearing;
Have its attorney present; and
Have staff persons and other witnesses familiar with the case present.
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The Informal Hearing shall be conducted by the Hearing Officer appointed by the HA
who is neither the person who made or approved the decision, nor a subordinate of that
person. The HA appoints hearing officers who:
Are managers from other HAS
Are professional mediators or arbitrators
The hearing shall concern only the issues for which the family has received the
opportunity for hearing. Evidence presented at the hearing may be considered without
regard to admissibility under the rules of evidence applicable to judicial proceedings.
No documents may be presented which have not been provided to the other party
before the hearing if requested by the other party. “Documents” includes records and
regulations.
The Informal Hearing will be recorded. The family may request a copy of the
audio recording of the hearing.
The Hearing Officer may ask the family for additional information and/or might adjourn
the Hearing in order to reconvene at a later date, before reaching a decision.
If the family misses an appointment or deadline ordered by the Hearing Officer,
the action of the HA shall take effect and another hearing will not be granted.
The Hearing Officer will determine whether the action, inaction or decision of the HA is
legal in accordance with HUD regulations and this Administrative Plan based upon the
evidence and testimony provided at the hearing. Factual determinations relating to the
individual circumstances of the family will be based on a preponderance of the
evidence presented at the hearing.
A notice of the Hearing Findings shall be provided in writing to the HA and the family
within 14 days and shall include:
A clear summary of the decision and reasons for the decision;
If the decision involves money owed, the amount owed and documentation of
the calculation of monies owed;
The date the decision goes into effect.
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The HA is not bound by hearing decisions:
Which concern matters in which the HA is not required to provide an opportunity
for a hearing;
Which conflict with or contradict to HUD regulations or requirements;
Which conflict with or contradict Federal, State or local laws; or
Which exceed the authority of the person conducting the hearing.
The HA shall send a letter to the participant if it determines the HA is not bound by the
Hearing Officer’s determination within 14 days. The letter shall include the HA’s
reasons for the decision.
All requests for a hearing, supporting documentation, and a copy of the final decision
will be retained in the family’s file.
E. HEARING AND APPEAL PROVISIONS FOR “RESTRICTIONS ON
ASSISTANCE TO NON-CITIZENS” [24 CFR Part 5, Subpart E]
Assistance to the family may not be delayed, denied or terminated on the basis of
immigration status at any time prior to the receipt of the decision on the INS appeal.
Assistance to a family may not be terminated or denied while the HA hearing is pending
but assistance to an applicant may be delayed pending the HA hearing.
INS Determination of lneliaibilitv
If a family member claims to be an eligible immigrant and the INS SAVE system and
manual search do not verify the claim, the HA notifies the applicant or participant within
ten days of their right to appeal to the INS within thirty days or to request an informal
hearing with the HA either in lieu of or subsequent to the INS appeal.
If the family appeals to the INS, they must give the HA a copy of the appeal and proof
of mailing or the HA may proceed to deny or terminate. The time period to request an
appeal may be extended by the HA for good cause.
The request for an HA hearing must be made within fourteen days of receipt of the
notice offering the hearing or, if an appeal was made to the INS, within fourteen days of
receipt of that notice.
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After receipt of a request for an informal hearing, the hearing is conducted as described
in section D of this chapter for both applicants and participants. If the hearing officer
decides that the individual is not eligible, and there are no other eligible family members
the HA will:
Deny the applicant family
Defer termination if the family is a participant and qualifies for deferral
Terminate the participant if the family does not qualify for deferral
If there are eligible members in the family, the HA will offer to prorate assistance or give
the family the option to remove the ineligible members.
All other complaints related to eligible citizen/immigrant status:
‘If any family member fails to provide documentation or certification as required
by the regulation, that member is treated as ineligible. If all family members fail
to provide, the family will be denied or terminated for failure to provide.
Participants whose termination is carried out after temporary deferral may not
request a hearing since they had an opportunity for a hearing prior to the
termination.
Participants whose assistance is pro-rated (either based on their statement that
some members are ineligible or due to failure to verify eligible immigration status
for some members after exercising their appeal and hearing rights described
above) are entitled to a hearing based on the right to a hearing regarding
determinations of tenant rent and Total Tenant Payment.
Families denied or terminated for fraud in connection with the non-citizens rule
are entitled to a review or hearing in the same way as terminations for any other
type of fraud.
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F. MITIGATING CIRCUMSTANCES FOR APPLICANTS/PARTICIPANTS WITH
DISABILITIES [24 CFR 982.204, 982.552(c)]
When applicants are denied placement on the waiting list, or the HA is terminating
assistance, the family will be informed that presence of a disability may be considered
as a mitigating circumstance during the informal review process.
Examples of mitigating circumstances are:
a) A person with a cognitive disorder that may not have understood the
requirement to report increases in income;
b) A person that may not understand the need to make regular repayments on a
promissory note,
c) Minor criminal records for public drunkenness that may be due to medication;
or
d) Prior incarcerations for being disorderly that may be a result of an emotional
disorder.
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DRAFT
Chapter 20
SPECIAL HOUSING TYPES
[24 CFR 982.6011
INTRODUCTION
The HA will permit the use of special housing types in its program onlv if
the applicant/participant can demonstrate that it is needed as a reasonable
accommodation for a person with a disability. Acceptable demonstration
will include documentation from one or more knowledgeable professionals
who are familiar with the applicant/participant and or the type of special
housing requested as accommodation.
The HA will not permit the use of special housing types in its program
when not requested and needed as a reasonable accommodation for
persons with disabilities.
The HA will not set aside any program funding for special housing types, or for a
special housing type.
Verification of Need for Reasonable Accommodation
An example of acceptable documentation as verification of the need for
reasonable accommodation would be a letter to the HA describing how the
special housing type requested provides the accommodation that the
person is in need of. The request and documentation will be reviewed by
the Housing Program Manager and a written response stating approval or
disapproval will be sent to the applicant/participant within 14 days of
receipt of the request.
A copy of the HA’s response with supporting documentation will be
maintained in the applicant/participant’s file. The requested housing type
must be approvable by all other HUD standards and HQS requirements in
accordance with 24 CFR 982 Section M - Special Housing Types.
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A. SINGLE ROOM OCCUPANCY (SRO) [24 CFR 982.6021
There are no SROs in the HA’s jurisdiction.
If applicable, the HA will use a separate lease and housing assistance payment
contract for each assisted person residing in a SRO. [24 CFR 982.6031
SRO Rent and Housinq Assistance Payment [24 CFR 982.6041
Resular Certificate Proaram
The FMR/exception rent limit for SRO housing is 75 percent of the zero bedroom
FMR/exception rent limit. For a Regular Tenancy in the Certificate Program, the
initial gross rent may not exceed the FMR/exception rent limit for SRO housing.
Voucher Proof-am
The HA SRO payment standard will not exceed the FMRlexception rent limit for
SRO housing. While an assisted person resides in SRO housing, the SRO
payment standard must be used to calculate the housing assistance payment.
OFT0 Prosram
If an assisted person resides in an SRO with assistance under the OFT0
program, the payment standard for the person is the SRO FMRIexception rent
limit.
Utilitv Allowance
The utility allowance for an assisted person residing in SRO housing is 75
percent of the zero bedroom utility allowance.
Housina Quality Standards
The HA will ensure that all SRO units approved for the program are in
compliance with all of the Housing Quality Standards for !SROs as regulated in
24 CFR 982.605.
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B. CONGREGATE HOUSING [24 CFR 982.6061
An elderly person or a person with disabilities may reside in a congregate
housing unit.
The HA may approve a family member or live-in aide to reside with the elderly
person or person with disabilities.
The HA will approve a live-in aide if needed as a reasonable accommodation so
that the program is readily accessible to and usable by persons with disabilities.
Conaresate Housina Lease and HAP Contract [24 CFR 982.6071
For congregate housing there will be a separate lease and HAP contract for
each assisted family.
Unless there is a live-in aide, the FMR/exception rent limit for a family that
resides in a congregate housing unit is the zero-bedroom FMR/exception rent
limit.
However, if there are two or more rooms in the unit (not including kitchen or
sanitary facilities), the FMR/exception rent limit for a family that resides in a
congregate housing unit is the one bedroom FMR/exception rent limit.
If there is a live-in aide, the live-in aide will be counted in determining the family
unit size.
Housina Quality Standards
The HA will ensure that all congregate housing units approved for the program
are in compliance with all of the Housing Quality Standards for congregate
housing as regulated in 24 CFR 982.609.
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C. GROUP HOMES [24 CFR 982.6101
A group home must be licensed, certified, or otherwise approved in writing by the
State, or the State’s licensing department.[24 CFR 982.6121
An elderly person or a person with disabilities may reside in a State-approved
group home. If approved by the HA, a live-in aide may reside with a person with
disabilities.
The HA must approve a live-in aide if needed as a reasonable accommodation
so that the program is readily accessible to and usable by persons with
disabilities. Except for a live-in aide, all residents of a group home must be
elderly persons or persons with disabilities.
The HA will not approve assistance for a person to live in a group home if file
documentation indicates that the person is in need of continual medical or
nursing care.
No more than twelve persons may reside in a group home. This limit covers all
persons who reside in the unit, including assisted and unassisted residents and
any live-in aide.
Group Home Lease and HAP Contract [24 CFR 982.61 I]
There will be a separate HAP contract and lease for each assisted person living
in a group home. For a group home the term “pro-rata portion” means that which
is derived by dividing the number of persons in the assisted household by the
total number of residents (assisted and unassisted) residing in the group home.
The number of persons in the assisted household equals one assisted person
plus any HA-approved live-in Aide.
Group Home Rent and HAP Contract [24 CFR 982.6131
The rent to owner for an assisted person may not exceed the pro-rata portion of
the reasonable rent for the group home.
The reasonable rent for a group home is determined in accordance with
982.503. In determining reasonable rent the HA will consider whether sanitary
facilities, and facilities for food preparation and service, are common facilities or
private.
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Maximum Subsidv
Unless there is a live-in aide, the family unit size is zero bedroom. If there is a
live-in aide, the live-in aide will be counted in determining the family unit size.
In a Regular Tenancy for a person who resides in a group home, the initial gross
rent may not exceed either the FMR/exception rent limit for the family unit size or
the pro-rata portion of the FMR/exception rent limit for the group home size.
For a Voucher Tenancy, the payment standard for a person who resides in a
group home is the lower of the payment standard for the family unit size; or the
pro-rata portion of the payment standard for the group home size.
For the OFT0 Program, the payment standard for a person who resides in a
group home is the lower of the FMR/exception rent limit for the family unit size;
or the pro-rata portion of the FMR/exception rent limit for the group home size.
Utilitv Allowance
The utility allowance for each assisted person residing in a group home is the
pro-rata portion of the utility allowance for the group home unit size.
Housina Qualitv Standards
The HA will ensure that all group home units approved for the program are in
compliance with all of the Housing Quality Standards for group homes as
regulated in 24 CFR 982.614.
D. SHARED HOUSING [24 CFR 982.6151
Occupancy
An assisted family may reside in shared housing. In shared housing, an assisted
family may share a unit with another resident or residents of a unit. The unit may
be a house or an apartment.
The HA may approve a live-in aide to reside with a family in order to care for a
person with a disability. The HA must approve a live-in aide if needed as a
reasonable accommodation so that the program is readily accessible to and
usable by persons with disabilities.
Other persons who are assisted or not assisted under the tenant-based program
may reside in a shared housing unit. The owner of a shared housing unit may
reside in the unit.
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A resident owner may enter into a HAP contract with the HA. However, housing
assistance may not be paid on behalf of an owner. The HA will not approve
assistance for a person or family that is related by blood or marriage to a
resident owner.
There will be a separate housing assistance payment contract and lease for
each assisted family residing in a shared housing unit.
Rent and HAP Contract
For shared housing, the term “pro-rata portion” means the ratio derived by
dividing the number of bedrooms in the private space available for occupancy by
a family by the total number of bedrooms in the unit. For example, for a family
entitled to occupy three bedrooms in a five bedroom unit, the ratio would be 315.
The rent to owner for the family may not exceed the pro-rata portion of the
reasonable rent for the shared housing dwelling unit. The reasonable rent must
be in accordance with the guidelines set in Chapter Eleven, Section E.
Maximum Su bsidv
For the Regular Tenancy program the initial gross rent may not exceed either the
FMR/exception rent limit for the family unit size or the pro-rata portion of the
FMR/exception rent limit for the shared housing unit size.
For the Voucher Program or OFT0 Tenancy, the payment standard is the lower
of the payment standard for the family unit size or the pro-rata portion of the
payment standard for the shared housing unit size.
If the HA approves a live-in aide, the live-in aide will be counted in determining
the family unit size.
Utilitv Allowance
The utility allowance for an assisted family living in shared housing is the pro-rata
portion of the utility allowance for the shared housing unit.
Housina Quality Standards
The HA will ensure that all shared housing units approved for the program are in
compliance with all of the Housing Quality Standards for shared housing as
regulated in 24 CFR 982.618.
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E. COOPERATIVE HOUSING [24 CFR 982.6191
The HA will approve a family living in cooperative housing if it is determined that
assistance under the program will help maintain affordability of the cooperative
unit for low-income families. The HA will not approve assistance for a family in
cooperative housing until the HA has also determined that the cooperative has
adopted requirements to maintain continued affordability for low-income families
after transfer of a cooperative member’s interest in a cooperative unit (such as a
sale of the resident’s share in a cooperative corporation).
The reasonable rent in cooperative housing is determined in accordance with
Chapter Eleven, Section E. For cooperative housing, the rent to owner is the
monthly carrying charge under the occupancy agreement/lease between the
member and the cooperative.
The carrying charge consists of the amount assessed to the member by the
cooperative for occupancy of the housing. It includes the member’s share of the
cooperatives debt service, operating expenses, and necessary payments to
cooperative reserve funds. However, the carrying charge does not include
down-payments or other payments to purchase the cooperative unit, or to
amortize a loan to the family for this purpose. Gross rent is the carrying charge
plus any utility.
For a cooperative, rent adjustments are applied to the carrying charge as
determined in Chapter Eleven, Section H.
The lease and other appropriate documents will stipulate that the monthly
carrying charge is subject to Section 8 limitations on rent to owner. The housing
assistance payment will be determined in accordance with the guidelines in
Chapter Eleven.
The HA may approve a live-in aide to reside with the family to care for a person
with disabilities. The HA will approve a live-in aide if needed as a reasonable
accommodation so that the program is readily accessible to and usable by
persons with disabilities. If the HA approves a live-in aide, the live-in aide will be
counted when determining the family unit size.
Housina Qualitv Standards
The HA will ensure that all cooperative housing units approved for the program
are in compliance with all of the Housing Quality Standards outlined in Chapter
Ten and regulated by 24 CFR 982.401.
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F. MANUFACTURED HOMES [24 CFR 982.6201
The HA will permit a family to lease a manufactured home and space with
assistance under the program. The HA will provide assistance for a family that
owns the manufactured home and leases only the space.
The HA may approve a live-in aide to reside with a family to care for a person
with disabilities. The HA will approve a live-in aide if needed as a reasonable
accommodation so that the program is accessible to and usable by persons with
disabilities. If the HA approves a live-in aide, the live-in aide must be counted
when determining the family unit size.
Housina Qualitv Standards [24 CFR 982.6211
A manufactured home must meet all the HQS requirements outlined in Chapter
Ten and regulated by 24 CFR 982.401. In addition the manufactured home also
must meet the following requirements:
A manufactured home must be placed on the site in a stable manner, and must
be free from hazards such as sliding or wind damage.
A manufactured home must be securely anchored by a tie-down device that
distributes and transfers the loads imposed by the unit to appropriate ground
anchors to resist wind overturning and sliding.
Manufactured Home Space Rental [24 CFR 982.6221
Rent to owner for a manufactured home space will include payment for
maintenance services that the owner must provide to the tenant under the lease
for the space.
Rent to owner does not include the cost of utilities and trash collection for the
manufactured home. However, the owner may charge the family a separate fee
for the cost of utilities or trash collection provided by the owner.
Reasonable Rent
During the assisted tenancy, the rent to owner for the manufactured home space
may not exceed a reasonable rent as determined by the HA.
The HA will not approve a lease for a manufactured home space until the HA has
determined that the initial rent to owner for the space is a reasonable rent. At
least annually during the assisted tenancy, the HA will redetermine that the rent
is reasonable.
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The HA will determine whether the rent to owner for a manufactured home space
is a reasonable rent in comparison to rents for other comparable manufactured
home spaces. The HA will consider the size and location of the space and any
services and maintenance provided by the owner in accordance with the lease.
By accepting each monthly housing assistance payment from the HA, the owner
of the manufactured home space certifies that the rent to owner for the space is
not more than rent charged by the owner for unassisted rental of comparable
spaces in the same manufactured home park or elsewhere. If requested by the
HA, the owner must provide the HA information on rents for other manufactured
home space.
Housing Assistance Payments for Manufactured Home Space [24 CFR
982.6231
The FMR for a manufactured home space will be determined by HUD.
Exception rents do not apply.
HAP for the Reqular Tenancv Proaram
For the Regular Tenancy Program the initial rent to owner for leasing a
manufactured home space may not exceed the published FMR for a
manufactured home space.
During the term of tenancy for the Regular Tenancy Program the amount of the
monthly housing assistance payment equals the lesser of:
The manufactured home space cost minus the higher of: the Total Tenant
Payment; or the HA’s Minimum Rent; OR
The rent to owner for the manufactured home space.
“Manufactured home space cost” means the sum of: the amortization cost, the
utility allowance, and the rent to owner for the manufactured home space.
HAP for the Voucher or OFT0 Tenancv
For a Voucher or OFT0 tenancy, the payment standard is used to calculate the
monthly housing assistance payment for a family. The payment standard for a
family renting a manufactured home space is the published FMR for
manufactured home space rental. The payment standard will be determined by
the HA in accordance with this Plan.
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Subsidv Calculation for the Voucher Proaram
During the term of a Voucher tenancy, the amount of the monthly housing
assistance payment for a family will equal the lesser of:
An amount obtained by subtracting 30 percent of the family’s monthly adjusted
gross income from the sum of: the amortization cost, the utility allowance, and
the payment standard; OR
The monthly gross rent for the manufactured home space minus the minimum
rent. For the Voucher program the minimum rent is the higher of: 10 percent of
monthly gross income, or the HA’s minimum rent.
Subsidv Calculation for the OFT0 Proaram
During the term of an OFT0 tenancy, the amount of the monthly housing
assistance payment for a family equals the lesser of:
An amount obtained by subtracting the family’s Total Tenant Payment from the
sum of: the amortization cost, the utility allowance, and the payment standard;
OR
The monthly gross rent for the manufactured home space minus the HA’s
minimum rent.
Amortization Cost
The amortization cost may include debt service to amottize costs (other than
furniture costs) included in the purchase price of the manufactured home. The
debt service includes the payment for principal and interest on the loan. The
debt service amount will be reduced by 15 percent to exclude debt service to
amortize the cost of furniture, unless the HA determines that furniture was not
included in the purchase price.
Any debt service due to refinancing the manufactured home after purchase of
the home is not included in the amortization costs.
The HA will not approve as part of the monthly amortization payment, set-up
charges to be included in the debt service incurred by a family that relocates its
home.
The HA will not include as part of the monthly amortization payment, set-up
charges incurred before the family became an assisted family, if monthly
payments are still being made to amortize such charges.
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Utility Allowance Schedule for Manufactured Home Soace Rental [24 CFR
982.6241
The HA will establish utility allowances for manufactured home space rental. For
the first twelve months of the initial lease term only, the allowances will include a
reasonable amount for utility hook-up charges payable by the family, if the family
actually incurs the expenses because of a move.
Allowances for utility hook-up charges do not apply to a family that leases a
manufactured home space in place.
Utility allowances for manufactured home space will not be applied to cover the
costs of digging a well or installation of a septic system.
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DRAFT
GLOSSARY
A. ACRONYMS USED IN SUBSIDIZED HOUSING
AAF
ACC
BR
CDBG
CFR
CPI
CR
FDIC
FHA
FICA
FmHA
FMR
FY
FYE
GAO
GFC
GR
HA
HAP
HAP Plan
HCDA
Annual Adjustment Factor. A factor published by HUD in the Federal
Register which is used to compute annual rent adjustment.
Annual Contributions Contract
Bedroom
Community Development Block Grant
Code of Federal Regulations. Commonly referred to as “the regulations”.
The CFR is the compilation of Federal rules which are first published in the
Federal Register and define and implement a statute.
Consumer Price Index. CPI is published monthly by the Department of
Labor as an inflation indicator.
Contract Rent
Federal Deposit Insurance Corporation
Federal Housing Administration
Federal Insurance Contributions Act - Social Security taxes
Farmers Home Administration
Fair Market Rent
Fiscal Year
Fiscal Year End
Government Accounting Office
Gross Family Contribution. Note: Has been replaced by the term Total
Tenant Payment (TTP).
Gross Rent
Housing Agency
Housing Assistance Payment
Housing Assistance Plan
Housing and Community Development Act
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HQS
HUD
HURRA
IG
IGR
IPA
IRA
MSA
PMSA
PS
QC
RFLA
RFP
RRP
SRO
SSMA
TR
TTP
UA
URP
Housing Quality Standards
The Department of Housing and Urban Development or its designee.
Housing and Urban/Rural Recovery Act of 1983
Inspector General
Independent Group Residence
Independent Public Accountant
Individual Retirement Account
Metropolitan Statistical Area established by the U.S. Census Bureau
A Primary Metropolitan Statistical Area established by the U.S. Census
Bureau
Payment Standard
Quality Control
Request for Lease Approval
Request for Proposals
Rental Rehabilitation Program
Single Room Occupancy
Standard Statistical Metropolitan Area. Has been replaced by MSA,
Metropolitan Statistical Area.
Tenant Rent
Total Tenant Payment
Utility Allowance
Utility Reimbursement Payment
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B. GLOSSARY OF TERMS IN SUBSIDIZED HOUSING
ADMINISTRATIVE PLAN. The HUD required written policy of the HA governing its
administration of the Section 8 Certificate and Voucher program. The Administrative Plan
and any revisions must be approved by the HA’s board and a copy submitted to HUD.
ABSORPTION. In portability, the point at which a receiving HA stops billing the initial HA
for assistance on behalf of a portability family. The receiving HA uses funds available
under the receiving HA consolidated ACC.
ACC RESERVE ACCOUNT (FORMERLY “PROJECT RESERVE”). Account
established by HUD from amounts by which the maximum payment to the HA under the
consolidated ACC (during an HA fiscal year) exceeds the amount actually approved and
paid. This account is used as the source of additional payments for the program.
ADJUSTED INCOME. Annual income, less allowable HUD deductions.
ADMINISTRATIVE FEE. Fee paid by HUD to the HA for administration of the program.
ADMINISTRATIVE FEE RESERVE (Formerly “Operating reserve”). Account
established by HA from excess administrative fee income. The administrative fee reserve
must be used for housing purposes.
ADMISSION. The effective date of the first HAP contract for a family (first day of initial
lease term) in a tenant-based program. This is the point when the family becomes a
participant in the program.
ANNUAL CONTRIBUTIONS CONTRACT (ACC). A written contract between HUD and
an HA. Under the contract HUD agrees to provide funding for operation of the program,
and the HA agrees to comply with HUD requirements for the program.
ANNUAL INCOME. The anticipated total Annual Income of an eligible family from all
sources for the 12-month period following the date of determination of income, computed
in accordance with the regulations.
ANNUAL INCOME AFTER ALLOWANCES. The Annual Income (described above) less
the HUD-approved allowances.
APPLICANT. (or applicant family). A family that has applied for admission to a program,
but is not yet a participant in the program.
“AS-PAID” STATES. States where the welfare agency adjusts the shelter and utility
component of the welfare grant in accordance with actual housing costs.
ASSETS. (See Net Family Assets.)
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ASSISTED TENANT. A tenant who pays less than the market rent as defined in the
regulations. Includes tenants receiving rent supplement, Rental Assistance Payments, or
Section 8 assistance and all other 236 and 221 (d)(3) BMIR tenants, except those paying
the 236 market rent or 120% of the BMIR rent, respectively.
BUDGET AUTHORITY. An amount authorized and appropriated by the Congress for
payment to HAS under the program. For each funding increment in an HA program,
budget authority is the maximum amount that may be paid by HUD to the HA over the
ACC term of the funding increment.
CERTIFICATE. A Certificate issued by the PHA under the Section 8 Rental Assistance
Program, declaring a family to be eligible for participation in this program and stating the
terms and conditions for such participation.
CERTIFICATE OR VOUCHER HOLDER. A family holding a voucher or certificate with
unexpired search time.
CERTIFICATE PROGRAM. Rental certificate program.
CHILD CARE EXPENSES. Amounts paid by the family for the care of minors under 13
years of age where such care is necessary to enable a family member to be employed or
for a household member to further his/her education.
CO-HEAD. An individual in the household who is equally responsible for the lease with
the Head of Household. (A family never has a Co-head and a Spouse and; a Co-head is
never a Dependent).
CONGREGATE HOUSING. Housing for elderly persons or persons with disabilities that
meets the HQS for congregate housing.
COOPERATIVE. A dwelling unit owned and or shared by a group of individuals who
have individual sleeping quarters and share common facilities such as kitchen, living
room and some bathrooms.
CONSOLIDATED ANNUAL CONTRIBUTIONS CONTRACT. (Consolidated ACC). See
24 CFR 982.151.
CONTIGUOUS MSA. In portability, an MSA that shares a common boundary with the
MSA in which the jurisdiction of the initial HA is located.
CONTINUOUSLY ASSISTED. An applicant is continuously assisted under the 1937
Housing Act if the family is already receiving assistance under any 1937 Housing Act
program when the family is admitted to the certificate or voucher program.
CONTRACT. (See Housing Assistance Payments Contract.)
CONTRACT AUTHORITY. The maximum annual payment by HUD to an HA for a
funding increment.
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CONTRACT RENT. In the Section 8 Certificate Program, Contract Rent is the total rent
paid to the owner, including the tenant payment and the HAP payment from the PHA.
DEPENDENT. A member of the family household (excluding foster children) other than
the family head or spouse, who is under 18 years of age or is a Disabled Person or
Handicapped Person, or is a full-time student 18 years of age or over.
DISABILITY ASSISTANCE EXPENSE. Anticipated costs for care attendants and
auxiliary apparatus for disabled family members which enable a family member (including
the disabled family member) to work.
DISABLED PERSON. A person who is any of the following:
(1) A person who has a disability as defined in section 223 of the Social Security Act.
(42 U.S.C.423).
(2) A person who has a physical, mental, or emotional impairment that:
0) Is expected to be of long-continued and indefinite duration;
(ii) Substantially impedes his or her ability to live independently; and
(iii) Is of such a nature that ability to live independently could be improved by
more suitable housing conditions.
(3) A person who has a developmental disability as defined in section 102(7) of the
Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6001(7)).
DISABLED FAMILY. A family where the head or spouse meet any of the above criteria
for disabled person.
DISPLACED PERSON/FAMILY. A person or family displaced by governmental action,
or a person whose dwelling has been extensively damaged or destroyed as a result of a
disaster declared or otherwise formally recognized under federal disaster relief laws.
DOMICILE. The legal residence of the household head or spouse as determined in
accordance with State and local law.
DRUG-RELATED CRIMINAL ACTIVITY. The illegal manufacture, sale, distribution, use,
or the possession with intent to manufacture, sell distribute or use, of a controlled
substance (as defined in Section 102 of the Controlled Substance Act (21 U.S.C. 802).
DRUG TRAFFICKING. The illegal manufacture, sale, distribution, use, or possession
with intent to manufacture, sell, distribute or use, of a controlled substance (as defined in
section 102 of the Controlled Substances Act (21 U.S.C. 802)).
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ELDERLY HOUSEHOLD. A family whose head or spouse or whose sole member is at
least 62 years of age; may include two or more elderly persons living together or one or
more such persons living with another person who is determined to be essential to his/her
care and wellbeing.
ELDERLY PERSON. A person who is at least 62 years old.
ELIGIBILITY INCOME. May 10, 1984, regulations deleted Eligibility Income, per se,
because Annual Income is now for eligibility determination to compare to income limits.
ELIGIBLE FAMILY (Family). A family is defined by the HA in the Administrative Plan,
which is approved by HUD.
EXCEPTIONAL MEDICAL OR OTHER EXPENSES. Prior to the regulation change in
1982, this meant medical and/or unusual expenses as defined in Part 889 which
exceeded 25% of the Annual Income. It is no longer used.
EXCEPTION RENT. In the certificate program an initial rent (contract rent plus any utility
allowance) in excess of the published FMR. In the certificate program the exception rent
is approved by HUD, or the HA under prescribed conditions, and is used in determining
the initial contract rent. In the voucher program the HA may adopt a payment standard
up to the exception rent limit approved by HUD for the HA certificate program.
EXCESS MEDICAL EXPENSES. Any medical expenses incurred by elderly or disabled
families only in excess of 3% of Annual Income which are not reimbursable from any
other source.
FAIR MARKET RENT (FMR). The rent including the cost of utilities (except telephone)
that would be required to be paid in the housing market area to obtain privately owned
existing decent, safe and sanitary rental housing of modest (non-luxury) nature with
suitable amenities. Fair market rents for existing housing are established by HUD for
housing units of varying sizes (number of bedrooms) and are published in the Federal
Register.
FAMILY. “Family” includes but is not limited:
(4 An Elderly Family or Single Person as defined in 24 CFR 5403(b),
(b) The remaining member of a tenant family, and
(c) A Displaced Person
FAMILY SELF-SUFFICIENCY PROGRAM (FSS PROGRAM). The program established
by an HA to promote self-sufficiency of assisted families, including the provision of
supportive services.
FAMILY SHARE. The amount calculated by subtracting the housing assistance payment
from the gross rent.
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FAMILY UNIT SIZE. The size of the Certificate or Voucher issued to the family based on
the HA’s subsidy standards.
FEDERAL PREFERENCE. A preference under federal law for admission of applicant
families that are any of the following:
(1) Involuntarily displaced.
(2) Living in substandard housing (including families that are homeless or living in a
shelter for the homeless).
(3) Paying more than 50 percent of family income for rent.
FEDERAL PREFERENCE HOLDER. An applicant that qualifies for a federal preference.
FMRlEXCEPTlON RENT LIMIT. The section 8 existing housing fair market rent
published by HUD headquarters or any exception rent. In the certificate program the
initial contract rent for a dwelling unit plus any utility allowance may not exceed the
FMR/exception rent limit (for the dwelling unit or for the family unit size). In the voucher
program the HA may adopt a payment standard up to the FMRlexception rent limit.
FOSTER CHILD CARE PAYMENT. Payment to eligible households by state, local, or
private agencies appointed by the State, to administer payments for the care of foster
children.
FULL-TIME STUDENT. A person who is carrying a subject load that is considered full
time for day students under the standards and practices of the educational institution
attended. An educational institution includes a vocational school with a diploma or
certificate program, as well as an institution offering a college degree.
FUNDING INCREMENT. Each commitment of budget authority by HUD to an HA under
the consolidated annual contributions contract for the HA program.
GROSS FAMILY CONTRIBUTION. Changed to Total Tenant Payment.
GROSS RENT. The sum of the Contract Rent and the utility allowance. If there is no
utility allowance, Contract Rent equals Gross Rent.
GROUP HOME. A dwelling unit that is licensed by a State as a group home for the
exclusive residential use of two to twelve persons who are elderly or persons with
disabilities (including any live-in aide).
HAP CONTRACT. (See Housing Assistance Payments contract.)
HEAD OF HOUSEHOLD. The head of household is the person who assumes legal and
financial responsibility for the household and is listed on the application as head.
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HOUSING AGENCY. A state, country, municipality or other governmental entity or public
body authorized to administer the program. The term “HA” includes an Indian housing
authority (IHA). (“PHA” and “HA” mean the same thing.)
HOUSING AND COMMUNITY DEVELOPMENT ACT OF 1974. Act in which the U.S.
Housing Act of 1937 (sometimes referred to as the Act) was recodified, and which added
the Section 8 Programs.
HOUSING ASSISTANCE PAYMENT. The monthly assistance payment by an HA. The
total assistance payment consists of:
(1)
(2)
A payment to the owner for rent to owner under the family’s lease.
An additional payment to the family if the total assistance payment exceeds the
rent to owner. The additional payment is called a “utility reimbursement” payment.
HOUSING ASSISTANCE PAYMENTS CONTRACT. (HAP contract). A written contract
between an HA and an owner in the form prescribed by HUD headquarters, in which the
HA agrees to make housing assistance payments to the owner on behalf of an eligible
family.
HOUSING ASSISTANCE PLAN. (1) A Housing Assistance Plan submitted by a local
government participating in the Community Development Block Program as part of the
block grant application, in accordance with the requirements of 570.303(c) submitted by a
local government not participating in the Community Development Block Grant Program
and approved by HUD. (2) A Housing Assistance Plan meeting the requirements of
570.303(c) submitted by a local government not participating in the Community
Development Block Grant Program and approved by HUD.
HOUSING QUALITY STANDARDS (HQS). The HUD minimum quality standards for
housing assisted under the tenant-based programs.
HUD REQUIREMENTS. HUD requirements for the Section 8 programs. HUD
requirements are issued by HUD headquarters as regulations. Federal Register notices
or other binding program directives.
HURRA. The Housing and Urban/Rural Recovery Act of 1983 legislation that resulted in
most of the 1984 HUD Regulation changes to the definition of income, allowances, and
rent calculations.
IMPUTED ASSET. Asset disposed of for less than Fair Market Value during two years
preceding examination or reexamination.
IMPUTED INCOME. HUD passbook rate x total cash value of assets. Calculation used
when assets exceed $5,000.
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INITIAL HA. In portability, the term refers to both:
(1) An HA that originally selected a family that later decides to move out of the
jurisdiction of the selecting HA; and
(2) An HA that absorbed a family that later decides to move out of the jurisdiction of
the absorbing HA.
INITIAL PAYMENT STANDARD. The payment standard at the beginning of the HAP
contract term.
INITIAL RENT TO OWNER. The rent to owner at the beginning of the HAP contract
term.
INCOME. Income from all sources of each member of the household as determined in
accordance with criteria established by HUD.
INCOME FOR ELIGIBILITY. Annual Income.
INDIAN. Any person recognized as an Indian or Alaska Native by an Indian Tribe, the
federal government, or any State.
INDIAN HOUSING AUTHORITY (IHA). A housing agency established either:
(1) By exercise of the power of self-government of an Indian Tribe, independent of
State law, or
(2) By operation of State law providing specifically for housing authorities for Indians.
INTEREST REDUCTION SUBSIDIES. The monthly payments or discounts made by
HUD to reduce the debt service payments and, hence, rents required on Section 236 and
221 (d)(3) BMIR projects. Includes monthly interest reduction payments made to
mortgagees of Section 236 projects and front-end loan discounts paid on BMIR projects.
INVOLUNTARILY DISPLACED PERSON. Involuntarily Displaced Applicants are
applicants who meet the HUD definition for the federal preference.
JURISDICTION. The area in which the HA has authority under State and local law to
administer the program.
LANDLORD. This term means either the owner of the property or his/her representative
or the managing agent or his/her representative, as shall be designated by the owner.
LARGE VERY LOW INCOME FAMILY. Prior to the 1982 regulations, this meant a very
low income family which included six or more minors. This term is no longer used.
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LEASE.
(1) A written agreement between an owner and a tenant for the leasing of a dwelling
unit to the tenant. The lease establishes the conditions for occupancy of the
dwelling unit by a family with housing assistance payments under a HAP contract
between the owner and the HA
(2) In cooperative housing, a written agreement between a cooperative and a member
of the cooperative. The agreement establishes the conditions for occupancy of the
member’s family with housing assistance payments to the cooperative under a
HAP contract between the cooperative and the HA.
LEASE ADDENDUM. In the lease between the tenant and the owner, the lease
language required by HUD.
LIVE-IN AIDE. A person who resides with an elderly person or disabled person and who:
(1) Is determined to be essential to the care and well-being of the person.
(2) Is not obligated for the support of the person.
(3) Would not be living in the unit except to provide necessary supportive services.
LOCAL PREFERENCE. A preference used by the HA to select among applicant families
without regard to their federal preference status.
LOW-INCOME FAMILY. A family whose annual income does not exceed 80 percent of
the median income for the area, as determined by HUD, with adjustments for smaller and
larger families. For admission to the certificate program, HUD may establish income
limits higher or lower than 80 percent of the median income for the area on the basis of its
finding that such variations are necessary because of the prevailing levels of construction
costs or unusually high or low family incomes.
MANUFACTURED HOME. A manufactured structure that is built on a permanent
chassis, is designed for use as a principal place of residence, and meets the HQS. A
special housing type. See 24 CFR 982.620 and 982.621.
MANUFACTURED HOME SPACE. In manufactured home space rental: A space leased
by an owner to a family. A manufactured home owned and occupied by the family is
located on the space. See 24 CFR 982.622 to 982.624
MARKET RENT. The rent HUD authorizes the owner of FHA insured/subsidized multi-
family housing to collect from families ineligible for assistance. For unsubsidized units in
an FHA-insured multi-family project in which a portion of the total units receive project-
based rental assistance, under the Rental Supplement or Section 202Eection 8
Programs, the Market Rate Rent is that rent approved by HUD and is the Contract Rent
for a Section 8 Certificate holder. For BMIR units, Market Rent varies by whether the
project is a rental or cooperative.
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MEDICAL EXPENSES. Those total medical expenses, including medical insurance
premiums, that are anticipated during the period for which Annual Income is computed,
and that are not covered by insurance. A deduction for Elderly Households only. These
allowances are given when calculating adjusted income for medical expenses in excess
of 3% of Annual Income.
MINOR. A member of the family household (excluding foster children) other than the
family head or spouse who is under 18 years of age.
MIXED FAMILY. A family with citizens and eligible immigration status and without
citizens and eligible immigration status as defined in 24 CFR 5.504(b)(3).
MONTHLY ADJUSTED INCOME. l/12 of the Annual Income after Allowances or
Adjusted Income.
MONTHLY INCOME. 1112 of the Annual Income.
NATIONAL. A person who owes permanent allegiance to the United States, for example,
as a result of birth in a United States territory or possession.
NEGATIVE RENT. Now called Utility Reimbursement. A negative Tenant Rent results in
a Utility Reimbursement Payment (URP).
NET FAMILY ASSETS. Value of equity in savings, checking, IRA and Keogh accounts,
real property, stocks, bonds, and other forms of capital investment. The value of
necessary items of personal property such as furniture and automobiles is excluded from
the definition.
NET FAMILY CONTRIBUTION. Former name for Tenant Rent.
NON CITIZEN. A person who is neither a citizen nor a national of the United States.
OCCUPANCY STANDARDS. [Now referred to as Subsidy Standards] Standards
established by an HA to determine the appropriate number of bedrooms for families of
different sizes and compositions.
OVER-FMR TENANCY (OFTO). In the Certificate program: A tenancy for which the
initial gross rent exceeds the FMR/exception rent limit.
OWNER. Any persons or entity having the legal right to lease or sublease a unit to a
participant.
PARTICIPANT. A family that has been admitted to the HA’s certificate program or
voucher program. The family becomes a participant on the effective date of the first HAP
contract executed by the HA for the family (First day of initial lease term).
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PAYMENT STANDARD. In a voucher or over-FMR tenancy, the maximum subsidy
payment for a family (before deducting the family contribution). For a voucher tenancy,
the HA sets a payment standard in the range from 90 to 100 percent of the current
FMR/exception rent limit. For an over-FMR tenancy, the payment standard equals the
current FMR/exception rent limit.
PERSONS WITH DISABILITIES. Individuals with any condition or characteristic that
renders a person an individual with a handicap as defined in 24 CFR 8.2.
PORTABILITY. Renting a dwelling unit with Section 8 tenant-based assistance outside
the jurisdiction of the initial HA
PREMISES. The building or complex in which the dwelling unit is located, including
common areas and grounds.
PRIVATE SPACE. In shared housing: The portion of a contract unit that is for the
exclusive use of an assisted family.
PUBLIC ASSISTANCE. Welfare or other payments to families or individuals, based on
need, which are made under programs funded, separately or jointly, by Federal, state, or
local governments.
PUBLIC HOUSING AGENCY (PHA). A state, county, municipality, or other
governmental entity or public body authorized to administer the programs. The term
“PHA” includes an Indian housing authority (IHA). (“PHA” and “HA” mean the same
thing.) In this rule, a “PHA” is referred to as a “housing agency” (HA).
RANKING PREFERENCE. A preference used by the HA to select among applicant
families that qualify for federal preference.
REASONABLE RENT. A rent to owner that is not more than rent charged:
(1) For comparable units in the private unassisted market; and
(2) For comparable unassisted units in the premises.
RECEIVING HA. In portability: An HA that receives a family selected for participation in
the tenant-based program of another HA. The receiving HA issues a certificate or
voucher and provides program assistance to the family.
RECERTIFICATION. Sometimes called reexamination. The process of securing
documentation of total family income used to determine the rent the tenant will pay for the
next 12 months if there are no additional changes to be reported. There are annual and
interim recertifications.
REGULAR TENANCY. In the Certificate program: A tenancy other than an over-FMR
tenancy.
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REMAINING MEMBER OF TENANT FAMILY. Person left in assisted housing after other
family members have left and become unassisted.
RENT TO OWNER. The total monthly rent payable to the owner under the lease for the
unit. Rent to owner covers payment for any housing services, maintenance and utilities
that the owner is required to provide and pay for.
RESIDENT ASSISTANT. A person who lives in an Independent Group Residence and
provides on a daily basis some or all of the necessary services to elderly, handicapped,
and disabled individuals receiving Section 8 housing assistance and who is essential to
these individuals’ care or wellbeing. A Resident Assistant shall not be related by blood,
marriage or operation of law to individuals receiving Section 8 assistance nor contribute to
a portion of his/her income or resources towards the expenses of these individuals.
SECRETARY. The Secretary of Housing and Urban Development.
SECURITY DEPOSIT. A dollar amount which can be applied to unpaid rent, damages or
other amounts owed to the owner under the lease.
SINGLE PERSON. A person living alone or intending to live alone.
SPECIAL ADMISSION. Admission of an applicant that is not on the HA waiting list or
without considering the applicant’s waiting list position.
SPECIAL HOUSING TYPES. See Subpart M of 24 CFR 982, which states the special
regulatory requirements for SRO housing, congregate housing, group homes, shared
housing, cooperatives (including mutual housing), and manufactured homes (including
manufactured home space rental).
SPOUSE. The husband or wife of the head of the household.
SUBSIDIZED PROJECT. A multi-family housing project (with the exception of a project
owned by a cooperative housing mortgage corporation or association) which receives the
benefit of subsidy in the form of:
1. Below-market interest rates pursuant to Section 221(d)(3) and (5) or interest
reduction payments pursuant to Section 236 of the National Housing Act; or
2. Rent supplement payments under Section 101 of the Housing and Urban
Development Act of 1965; or
3. Direct loans pursuant to Section 202 of the Housing Act of 1959; or
4. Payments under the Section 23 Housing Assistance Payments Program pursuant
to Section 23 of the United States Housing Act of 1937 prior to amendment by the
Housing and Community Development Act of 1974;
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5. Payments under the Section 8 Housing Assistance Payments Program pursuant to
Section 8 of the United States Housing Act after amendment by the Housing and
Community Development Act unless the project is owned by a Public Housing
Agency;
6. A Public Housing Project.
SUBSIDY STANDARDS. Standards established by an HA to determine the appropriate
number of bedrooms and amount of subsidy for families of different sizes and
compositions.
SUBSTANDARD UNIT. Substandard housing is defined by HUD for use as a federal
preference.
SUSPENSION/TOLLING. Stopping the clock on the term of a family’s certificate or
voucher, for such period as determined by the HA, from the time when the family submits
a request for HA approval to lease a unit, until the time when the HA approves or denies
the request.
TENANT. The person or persons (other than a live-in-aide) who executes the lease as
lessee of the dwelling unit.
TENANT RENT. (Formerly called Net Family contribution.) The amount payable monthly
by the family as rent to the owner (including a PHA in other programs). Where all utilities
(except telephone) and other essential housing services are supplied by the owner,
Tenant Rent equals Total Tenant Payment. Where some of all utilities (except telephone)
and other essential housing services are not supplied by the owner and the cost thereof is
not included in the amount paid as rent to the owner, Tenant Rent equals Total Tenant
Payment less the Utility Allowance in the Certificate Program. In the Voucher Program,
Tenant Rent is Rent to Owner less HAP.
TOTAL TENANT PAYMENT (TTP). The total amount the HUD rent formula requires the
tenant to pay toward rent and utilities.
UNIT. Residential space for the private use of a family.
UNUSUAL EXPENSES. Prior to the change in the 1982 regulations, this was the term
applied to the amounts paid by the family for the care of minors under 13 years of age or
for the care of disabled or handicapped family household members, but only where such
care was necessary to enable a family member to be gainfully employed.
UTILITIES. Utilities means water, electricity, gas, other heating, refrigeration, cooking
fuels, trash collection and sewage services. Telephone service is not included as a utility.
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UTILITY ALLOWANCE. If the cost of utilities (except telephone) including range and
refrigerator, and other housing services for an assisted unit is not included in the Contract
Rent but is the responsibility of the family occupying the unit, an amount equal to the
estimate made or approved by a PHA or HUD of a reasonable consumption of such
utilities and other services for the unit by an energy conservative household of modest
circumstances consistent with the requirements of a safe, sanitary, and healthy living
environment.
UTILITY REIMBURSEMENT PAYMENT. The amount, if any, by which the Utility
Allowance for the unit, if applicable, exceeds the Total Tenant Payment for the family
occupying the unit.
VACANCY LOSS PAYMENTS. (For contracts effective prior to 10/2/95) When a family
vacates its unit in violation of its lease, the owner is eligible for 80% of the Contract Rent
for a vacancy period of up to one additional month, (beyond the month in which the
vacancy occurred) if s/he notifies the PHA as soon as s/he learns of the vacancy, makes
an effort to advertise the unit, and does not reject any eligible applicant except for good
cause.
VERY LARGE LOWER-INCOME FAMILY. Prior to the change in the 1982 regulations
this was described as a lower-income family which included eight or more minors. This
term is no longer used.
VERY LOW INCOME FAMILY. A Lower-Income Family whose Annual Income does not
exceed 50% of the median income for the area, as determined by HUD, with adjustments
for smaller and larger families. HUD may establish income limits higher or lower than
50% of the median income for the area on the basis of its finding that such variations are
necessary because of unusually high or low family incomes. This is the income limit for
the Certificate and Voucher Programs.
VETERAN. A person who has served in the active military or naval service of the United
States at any time and who shall have been discharged or released therefrom under
conditions other than dishonorable.
VIOLENT CRIMINAL ACTIVITY. Any illegal criminal activity that has as one of its
elements the use, attempted use, or threatened use of physical force against the person
or property of another.
VOUCHER PROGRAM. The rental voucher program.
WAITING LIST ADMISSION. An admission from the HA waiting list.
WAITING LIST. A list of families organized according to HUD regulations and HA policy
who are waiting for subsidy to become available.
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WELFARE ASSISTANCE. Welfare or other payments to families or individuals, based
on need, that are made under programs funded, separately or jointly, by Federal, state, or
local governments.
WELFARE RENT. This concept is used ONLY for Section 8 Certificate tenants who
receive welfare assistance on an “AS-PAID” basis. It is not used for the Housing Voucher
Program.
(1) If the agency does NOT apply a ratable reduction, this is the maximum a public
assistance agency COULD give a family for shelter and utilities, NOT the amount
the family is receiving at the time the certification or recertification is being
processed.
(2) If the agency applies a ratable reduction, welfare rent is a percentage of the
maximum the agency could allow.
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C. GLOSSARY OF TERMS USED IN THE NONCITIZENS RULE
CHILD. A member of the family other than the family head or spouse who is under 18
years of age.
CITIZEN. A citizen or national of the United States.
EVIDENCE. Evidence of citizenship or eligible immigration status means the
documents which must be submitted to evidence citizenship or eligible immigration
status.
HA. A housing authority- either a public housing agency or an Indian housing authority
or both.
HEAD OF HOUSEHOLD. The adult member of the family who is the head of the
household for purpose of determining income eligibility and rent.
HUD.. Department of Housing and Urban Development.
INS. The U.S. Immigration and Naturalization Service.
MIXED FAMILY. A family whose members include those with citizenship or eligible
immigration status and those without citizenship or eligible immigration status.
NATIONAL. A person who owes permanent allegiance to the United States, for
example, as a result of birth in a United States territory or possession.
NONCITIZEN. A person who is neither a citizen nor national of the United States.
PHA. A housing authority who operates Public Housing.
RESPONSIBLE ENTITY. The person or entity responsible for administering the
restrictions on providing assistance to noncitizens with ineligible immigration status (the
HA).
SECTION 214. Section 214 restricts HUD from making financial assistance available
for noncitizens unless they meet one of the categories of eligible immigration status
specified in Section 214.
SPOUSE. Spouse refers to the marriage partner, either a husband or wife, who is
someone you need to divorce in order to dissolve the relationship. It includes the
partner in a common-law marriage. It does not cover boyfriends, girlfriends, significant
others, or “co-heads.” “Co-head” is a term recognized by some HUD programs, but not
by public and Indian housing programs.
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DRAFT
PROGRAM INTEGRITY ADDENDUM
[24 CFR 792.101 to 792.204, 982.541
INTRODUCTION
The US Department of HUD conservatively estimates that 200 million dollars is paid
annually to program participants who falsify or omit material facts in order to gain more
rental assistance than they are entitled to under the law. HUD further estimates that
12% of all HUD-assisted families are either totally ineligible, or are receiving benefits
which exceed their legal entitlement.
The HA is committed to assuring that the proper level of benefits is paid to all
participating families, and that housing resources reach only income-eligible families so
that program integrity can be maintained.
The HA will take all steps necessary to prevent fraud, waste, and mismanagement so
that program resources are utilized judiciously.
This Chapter outlines the HA’s policies for the prevention, detection and investigation of
program abuse and fraud.
A. CRITERIA FOR INVESTIGATION OF SUSPECTED ABUSE AND FRAUD
Under no circumstances will the HA undertake an inquiry or an audit of a participating
family arbitrarily. The HA’s expectation is that participating families will comply with
HUD requirements, provisions of the certificate or voucher, and other program rules.
The HA staff will make every effort (formally and informally) to orient and educate all
families in order to avoid unintentional violations. However, the HA has a responsibility
to HUD, to the Community, and to eligible families in need of housing assistance, to
monitor participants and owners for compliance and, when indicators of possible abuse
come to the HA’ s attention, to investigate such claims.
The HA will initiate an investigation of a participating family only in the event of one or
more of the following circumstances:
1. Referrals, Complaints, or Tips. The HA will follow up on referrals from other
agencies, companies or persons which are received by mail, by telephone or in person,
which allege that a family is in non-compliance with, or otherwise violating the family
obligations or any other program rules. Such follow-up will be made providing that the
referral contains at least one item of information that is independently verifiable. A copy
of the allegation will be retained in the family’s file.
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2. Internal File Review. A follow-up will be made if HA staff discovers (as a
function of a certification or recertification, an interim redetermination, or a quality
control review), information or facts which conflict with previous file data, the HA’s
knowledge of the family, or is discrepant with statements made by the family.
3. Verification of Documentation. A follow-up will be made if the HA receives
independent verification or documentation which conflicts with representations in the
family’s file (such as public record information or credit bureau reports, reports from
other agencies).
B. STEPS THE HA WILL TAKE TO PREVENT PROGRAM ABUSE AND FRAUD
The HA management and staff will utilize various methods and practices (listed below)
to prevent program abuse, non-compliance, and willful violations of program rules by
applicants and participating families. This policy objective is to establish confidence
and trust in the management by emphasizing education as the primary means to obtain
compliance by families.
1. Things You Should Know. This program integrity bulletin (created by HUD’s
Inspector General) will be furnished and explained to all applicants to promote
understanding of program rules, and to clarify the HA’s expectations for
cooperation and compliance.
2. Program Orientation Session. Mandatory orientation sessions will be
conducted by the HA staff for all prospective program participants, either prior to
or upon issuance of a certificate or voucher. At the conclusion of all Program
Orientation Sessions, the family representative will be required to sign a
“Program Briefing Certificate” to confirm that all rules and pertinent regulations
were explained to them.
3. Participant Counseling. The HA will routinely provide participant counseling as
a part of every recertification interview in order to clarify any confusion pertaining
to program rules and requirements.
4. Review and explanation of Forms. Staff will explain all required forms and
review the contents of all (re)certification documents prior to signature.
5. Use of Instructive Signs and Warnings. Instructive signs will be conspicuously
posted in common areas and interview areas to reinforce compliance with
program rules and to warn about penalties for fraud and abuse.
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C. STEPS THE HA WILL TAKE TO DETECT PROGRAM ABUSE AND FRAUD
The HA Staff will maintain a high level of awareness to indicators of possible abuse and
fraud by assisted families.
1.
2.
3.
4.
5.
Quality Control File Reviews. Prior to initial certification, each participant file
will be reviewed. Such reviews shall include, but are not limited to:
Assurance that verification of all income and deductions is present.
Changes in reported Social Security Numbers or dates of birth.
Authenticity of file documents.
Discrepancies between reported income and expenditures.
Review of signatures for consistency with previously signed file
documents.
All forms are correctly dated and signed.
Observation. The HA Management and Occupancy Staff (to include inspection
personnel) will maintain high awareness of circumstances which may indicate
program abuse or fraud, such as unauthorized persons residing in the household
and unreported income.
Observations will be documented in the family’s file.
Public Record Bulletins may be reviewed by Management and Staff.
State Wage Data Record Keepers. Inquiries to State Wage and Employment
record keeping agencies as authorized under Public Law 100-628, the Stewart
B. McKinley Homeless Assistance Amendments Act of 1988, may be made
annually in order to detect unreported wages or unemployment compensation
benefits.
Credit Bureau Inquiries. Credit Bureau inquiries may be made (with proper
authorization by the participant) in the following circumstances:
At the time of final eligibility determination
When an allegation is received by the HA wherein unreported income
sources are disclosed.
When a participant’s expenditures exceed his/her reported income,
and no plausible explanatiori is given.
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D. THE HA’S HANDLING OF ALLEGATIONS OF POSSIBLE ABUSE AND
FRAUD
The HA staff will encourage all participating families to report suspected program
abuse. All such referrals, as well as referrals from community members and other
agencies, will be thoroughly documented and placed in the participant’s file. All
allegations, complaints and tips will be carefully evaluated in order to determine if they
warrant follow-up. The HA will not follow up on allegations which are vague or
otherwise non-specific. They will only review allegations which contain one or more
independently verifiable facts.
1. File Review. An internal file review will be conducted to determine:
If the subject of the allegation is a client of the HA and, if so, to determine
whether or not the information reported has been previously disclosed by
the family.
It will then be determined if the HA is the most appropriate authority to do a
follow-up (more so than police or social services). Any file documentation of past
behavior as well as corroborating complaints will be evaluated.
2. Conclusion of Preliminary Review. If at the conclusion of the preliminary file
review there is/are fact(s) contained in the allegation which conflict with file data,
and the fact(s) are independently verifiable, the HA will initiate an investigation to
determine if the allegation is true or false.
E. OVERPAYMENTS TO OWNERS
If the landlord has been overpaid as a result of fraud, misrepresentation or
violation of the Contract, the HA may terminate the Contract and arrange for
restitution to the HA and/or family as appropriate.
The HA will make every effort to recover any overpayments made as a result of
landlord fraud or abuse. Payments otherwise due to the owner may be debited in
order to repay the HA or the tenant, as applicable.
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F. HOW THE HA WILL INVESTIGATE ALLEGATIONS OF ABUSE AND FRAUD
If the HA determines that an allegation or referral warrants follow-up, either the staff
person who is responsible for the file, or a person designated by the Executive Director
to monitor the program compliance will conduct the investigation. The steps taken will
depend upon the nature of the allegation and may include, but are not limited to, the
items listed below. In all cases, the HA will secure the written authorization from the
program participant for the release of information.
Credit Bureau Inquiries. In cases involving previously unreported income
sources, a CBI inquiry may be made to determine if there is financial activity that
conflicts with the reported income of the family.
Verification of Credit. In cases where the financial activity conflicts with file data,
a Verification of Credit form may be mailed to the creditor in order to determine
the unreported income source.
Emplovers and Ex-Emplovers. Employers or exemployers may be contacted to
verify wages which may have been previously undisclosed or misreported.
Other Aaencies. Investigators, case workers or representatives of other benefit
agencies may be contacted.
Public Records. If relevant, the HA will review public records kept in any
jurisdictional courthouse. Examples of public records which may be checked
are: real estate, marriage, divorce, uniform commercial code financing
statements, voter registration, judgments, court or police records, state wage
records, utility records and postal records.
Interviews with Head of Household or Familv Members. The HA will discuss the
allegation (or details thereof) with the Head of Household or family member by
scheduling an office appointment for a conference. A high standard of courtesy
and professionalism will be maintained by the HA staff person who conducts
such interviews. Under no circumstances will inflammatory language,
accusation, or any unprofessional conduct or language be tolerated by the
management. If possible, an additional staff person will attend such interviews.
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G. PLACEMENT OF DOCUMENTS, EVIDENCE AND STATEMENTS OBTAINED
BY THE HA
Documents and other evidence obtained by the HA during the course of an
investigation will be considered “work product” and will either be kept in the participant’s
file, or in a separate “work file.” In either case, the participant’s file or work file shall be
kept in a secured file cabinet. Such cases under review will not be discussed among
HA Staff unless they are involved in the process, or have information which may assist
in the investigation.
H. CONCLUSION OF THE HA’S INVESTIGATIVE REVIEW
At the conclusion of the investigative review, the reviewer will report the findings to the
Executive Director or designee. It will then be determined whether a violation has
occurred, a violation has not occurred, or if the facts are inconclusive.
I. EVALUATION OF THE FINDINGS
If it is determined that a program violation has occurred, the HA will review the facts to
determine:
1. The type of violation (procedural, non-compliance, fraud).
2. Whether the violation was intentional or unintentional.
3. What amount of money (if any) is owed by the family.
4. If the family is eligible for continued occupancy.
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J. ACTION PROCEDURES FOR VIOLATIONS WHICH HAVE BEEN
DOCUMENTED
Once a program violation has been documented, the HA will propose the most
appropriate remedy based upon the type and severity of the violation.
1. Procedural Non-compliance. This category applies when the family “fails to”
observe a procedure or requirement of the HA , but does not misrepresent a
material fact, and there is no retroactive assistance payments owed by the
family.
Exambles of non-comoliance violations are:
Failure to appear at a pre-scheduled appointment.
Failure to return verification in time period specified by the HA.
(a) Warning Notice to the Family. In such cases a notice will be sent to the
family which contains the following:
A description of the non-compliance and the procedure, policy or
obligation which was violated.
The date by which the violation must be corrected, or the procedure
complied with.
The action which will be taken by the HA if the procedure or
obligation is not complied with by the date specified by the HA.
The consequences of repeated (similar) violations.
2. Procedural Non-compliance - Overpaid Assistance. When the family owes
money to the HA for failure to report changes in income or assets, the HA will
issue a Notification of Overpayment of Assistance. This Notice will contain the
following:
- A description of the violation and the date(s).
- Any amounts owed to the HA.
- A 14 day response period.
- The right to disagree and to request an informal hearing with instructions
for the request of such hearing.
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(a) Participant Fails to Comply with HA’s Notice. If the Participant fails to comply with
the HA’s notice, and a family obligation has been violated, the HA will initiate
termination of assistance.
0‘3 Participant Complies with HA’s Notice. When a family complies with the HA’s
notice, the staff person responsible will meet with him/her to discuss and explain the
Family Obligation or program rule which was violated. The staff person will complete a
Participant Conference Report, give one copy to the family and retain a copy in the
family’s file.
3. Intentional Misrepresentations. When a participant falsifies, misstates, omits or
otherwise misrepresents a material fact which results (or would have resulted) in
an overpayment of housing assistance by the HA, the HA will evaluate whether
or not:
- The participant had knowledge that his/her actions were wrong, and
- The participant willfully violated the family obligations or the law.
Knowledae that the action or inaction was wrong. This will be evaluated by
determining if the participant was made aware of program requirements and
prohibitions. The participant’s signature on various certification, briefing
certificate, Personal Declaration and Things You Should Know are adequate to
establish knowledge of wrong-doing.
The participant willfullv violated the law. Any of the following circumstances will
be considered adequate to demonstrate willful intent:
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An admission by the participant of the misrepresentation.
That the act was done repeatedly.
If a false name or Social Security Number was used.
If there were admissions to others of the illegal action or omission.
That the participant omitted material facts which were known to him/her
(e.g., employment of self or other household member).
That the participant falsified, forged or altered documents.
That the participant uttered and certified to statements at an interim
(re)determination which were later independently verified to be false.
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4. Dispositions of Cases Involving Misrepresentations. In all cases of
misrepresentations involving efforts to recover monies owed, the HA may
pursue, depending upon its evaluation of the criteria stated above, one or more
of the following actions:
(a) Criminal Prosecution: If the HA has established criminal intent, and the
case meets the criteria for prosecution, the HA will:
Refer the case to the local State or District Attorney, notify HUD’s
RIGI, and terminate rental assistance.
Refer the case to HUD’s RIGI, and terminate rental assistance.
(b) Administrative Remedies: The HA will:
Terminate assistance and execute an administrative repayment
agreement in accordance with the HA’s Repayment Policy.
Permit continued assistance at the correct level and execute an
administrative repayment agreement in accordance with the HA’s
repayment policy.
5. The Case Conference for Serious Violations and Misrepresentations. When
the HA has established that material misrepresentation(s) have occurred, a
Case Conference will be scheduled with the family representative and the
HA staff person who is most knowledgeable about the circumstances of
the case.
This conference may take place prior to any proposed action by the HA.
The purpose of such conference is to review the information and evidence
obtained by the HA with the participant, and to provide the participant an
opportunity to explain any document findings which conflict with
representations in the family’s file. Any documents or mitigating
circumstances presented by the family will be taken into consideration by
the HA . The family will be given 15 days to furnish any mitigating
evidence.
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A secondary purpose of the Participant Conference is to assist the HA in
determining the course of action most appropriate for the case. Prior to
the final determination of the proposed action, the HA will consider:
The duration of the violation and number of false statements.
The family’s ability to understand the rules.
The family’s willingness to cooperate, and to accept responsibility
for his/her actions.
The amount of money involved.
The family’s past history.
Whether or not criminal intent has been established.
The number of false statements.
6. Notification to Participant of Proposed Action. The HA will notify the family of
the proposed action no later than 14 days after the case conference by certified
mail.
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