SEMAP - Nan McKay and Associates

Download Report

Transcript SEMAP - Nan McKay and Associates

Managing SEMAP

Gail Gillispie

December 2008 1

 

Establish desired outcomes What will be quality controlled?



What outcomes are acceptable?



Goals must be: Attainable

 

Measurable Clearly defined December 2008 2



Educate all staff on how their daily work impacts the PHA SEMAP score

   

Hold a series of workshops to discuss and train: SEMAP indictors SEMAP requirements Related policies Application of requirements December 2008 3



Workshop discussion example:



Determination of adjusted income requires staff to follow verification requirements



Discuss



Regulatory requirement



PHA verification policies



How staff applies these policies daily



How staff documents verification attempts December 2008 4



Hold the workshops ongoing – and don’t be afraid to repeat a topic



Provides emphasis, additional clarity, and clears misunderstandings December 2008 5



Assign SEMAP QC role to one or more key staff

  

Large PHA: QC department conducts SEMAP and non-SEMAP QC activities Ongoing file reviews Ongoing financial reviews Ongoing HQS reviews December 2008 6

 

Midsize PHA: QC supervisor – but fewer support staff



Rely more on supervisor review efforts Small PHA:

 

Assign to staff supervisors – but avoid assigning indicators for which the supervisor is responsible Work with neighboring PHAs to QC each other December 2008 7

 

Establish a review schedule for each indicator: What are the program requirements?

What will be reviewed?

   

How will it be reviewed?

How often reviewed?

Who will review?

How will results be communicated to staff and management? December 2008 8



Example:



SEMAP indicator: Lease-up



What are program requirements?



The percent of units leased or the percent of allocated budget authority expended during the PHA fiscal year was 98% or more December 2008 9



Example:



SEMAP indicator: Lease-up



What will be reviewed?



Internal financial records will be reviewed to determine year-to-date lease up (units and budget authority)



VMS and software lease-up data will be compared December 2008 10



Example:



SEMAP indicator: Lease-up



How will it be reviewed?



What internal tracking document will be used to capture:



Unit months leased, year-to-date?



Expended budget authority, year-to date?

December 2008 11



Example:



SEMAP indicator: Lease-up



How often reviewed?



By the 15th of each month: year to date status is to be reviewed through previous month



Who will review?



Name specific staff December 2008 12



Example:



SEMAP indicator: Lease-up



How will results be communicated to staff and management?



Options:



Paper/electronic reports December 2008 13



Communicating results:



Make sure all Key Performance Indicators (KPIs) are addressed



Make sure all KPIs are reported on timely, as scheduled December 2008 14

 

Establish a record keeping system Where will records be maintained? How will records be maintained? December 2008 15



One approach:



Make up 15 (plus bonus if applicable) file folders



1 general file folder



Random methodology



1 file folder for each indicator



Remember, you want PROOF December 2008 16

   

Description of indicator and performance standard Place data from audit for each indicator reviewed Any other “proof” of certification score Use auditor minimum file sample and increase sample if needed December 2008 17



Conduct preliminary and ongoing audits PHA supervisory audits December 2008 18

 

Periodic samples of files



Drawn in unbiased manner (leave clear audit trail)



Reviewed by supervisor or other qualified person other than the one who did the work Objective: determine compliance with indicator December 2008 19

© Copyright 2008 Nan McKay & Associates Supervisory Audit Indicators Selection from Waiting List Reasonable Rent Determination of Adjusted Income HQS Quality Control Inspections HQS Enforcement 15 20 20 5 10 December 2008 20

 

Determines file sample size Different for each indicator



e.g., # number of admissions vs. number of families assisted December 2008 21

 

50 or less 51-600



601-2000



Over 2000



5 + 1 for each 50 (or part of 50) over 50



16 + 1 for each 100 (or part) over 600



30 + 1 for each 200 (or part) over 2000 December 2008 22

    

Determine the universe Determine number of files to be selected for review Determine “nth” file this represents Include all staff in sample FY is period for analysis December 2008 23

 

Waiting List Selection:



Based on # of new admissions per FY Example: PHA has admitted 260 families



minimum # of files to audit?



# of files which must meet criteria to receive 15 points? Note: 98% 98.8 (10) files 51-600 = 5 + 1 for each 50 (or part of 50) over 50 December 2008 24

  

Universe requirement File sample Files to be pulled 260 files 10 files Every 26th file



If all staff are not represented, select closest file below 26th file December 2008 25

 

Universe



Number of families admitted to program during audit period Two separate samples drawn from:



Applicant names that reached the top of the waiting list during the audit period



Families admitted to the program during the audit period December 2008 27

 

PHAs must have written selection policies in administrative plan At least 98% of families must be selected from the waiting list in accordance with the PHA’s policies

Page 2-1

December 2008 28

 

PHA follows policies in selecting families from waiting list Families met selection criteria that determined their place on waiting list and order of selection December 2008 29

   

Get up to date on preferences in 982.207

Income targeting 982.201(b)(2) Special admissions 982.203

Special program (targeted) admissions 982.204(e) December 2008 30



Document policy charges during PHA FY



Example: October FY PHA



10/1/XX



3/1/XX



7/1/XX 10/1/XX-2/28/XX 3/1/XX-6/30/XX 7/1/XX-9/30/XX December 2008 31

 

Universe



Number of families assisted for PHA FY Sample drawn from



Number of families assisted for PHA FY December 2008 32



The PHA must have a reasonable written method to determine



Rent to owner is reasonable based on current rents charged for comparable unassisted units

Page 2-16

December 2008 33



The method may take into consideration



Location



Amenities



Size



Housing services



Type



Maintenance



Quality



Utilities



Age December 2008 34

 

PHA must follow its written method Document determination that the rent to owner is reasonable at required times



Initial leasing of a unit



Any increase in rent to owner



5% decrease in the FMR in effect 60 days before HAPC anniversary date December 2008 35

 

Universe



Number of families assisted for PHA FY Sample drawn from



Number of families assisted for PHA FY

Page 2-44

December 2008 36



At admission and reexamination, the PHA must properly:



Obtain third-party verification of income or document why impossible to obtain



Use the verified information



Properly attribute allowances for expenses



Use the appropriate utility allowances

Page 2-44

December 2008 37

     

Market/cash value of assets Asset income Training program income EID for persons with disabilities Disability assistance & medical expenses Conflict between utilities in lease and worksheet December 2008 38

    

Highest – Up-front income verification (UIV) High – Written 3rd party Medium – Third party oral Medium-low – Document review Low – Tenant declaration December 2008 39

 

UIV is third-party verification



Most preferred form



Meets regulatory requirements UIV is intended to streamline the verification process



Eliminates the need for written third-party verification in many cases December 2008 40



HUD webcasts 1/16/08 and 8/26/08 contained revised guidance on use of EIV



Previous guidance is obsolete and has been removed from EIV website



Both webcasts available at http://www.hud.gov/webcasts/archives/iv.cfm



Training materials available at http://www.hud.gov/offices/pih/programs/ph/ rhiip/training.cfm

December 2008 41



PHA has reviewed utility rate data within prior 12 months



PHA has adjusted schedule if 10%+ change in rate since last utility allowance schedule revision

Page 2-54

December 2008 42



Universe



Units under HAPC during last completed FY

Page 2-61

December 2008 43

 

PHA performs QC inspection of units under contract Sampling drawn from:



Recently completed inspections



Cross section of neighborhoods



Work of cross section of inspectors

Page 2-61

December 2008 44

 

Universe



Number of failed HQS inspections in last FY Sample drawn from



Number of failed HQS inspections in last FY

Page 2-68

December 2008 45

 

All life threatening fails corrected within 24 hours, and 98% of other fails corrected within 30 days or PHA approved extension or PHA took action



Owner fails: abated HAP



Family fails: enforced family obligations December 2008 46

© Copyright 2008 Nan McKay & Associates 7. Expanding Housing Opportunities (5/0 points) A. Written policy to encourage owner participation outside areas of poverty or minority concentration B. Documentation shows PHA followed policy C. PHA has created a briefing packet (e.g. maps, job opportunities, schools and other services in the areas) to encourage voucher holders to seek these opportunities December 2008 47



List of owners willing to lease



Other organizations (housing counseling, advocacy groups, service providers) which assist families in finding units E. Information packet explains portability and provides list of contacts at neighboring PHAs December 2008 48



Difficulties of voucher holders finding units in these areas



If so, has analyzed



Whether to seek approval of exception payment standards



Sought approval for exception payment standards if needed December 2008 49



The PHA must adopt payment standards



By unit size



For each FMR area in the PHA jurisdiction



Between 90-110% of the HUD-published FMR



If applicable, for each PHA-designated part of an FMR area

Page 2-85

December 2008 50



If any PS schedule contains a PS that is out of range from the appropriate FMR



Field office will assign 0 points for the indicator December 2008 51



Example:



FMR for 2 bedroom unit $756



$756 x 1.10 = $831.60 (round down)



$756 x .90 = $680.40 (round up)



To be within range PS can be between:



$681 - $831 December 2008 52

Page 2-91

December 2008 HUD Indicators Verified by PIC 53



If a PHA has not reported at least 95% of its program participants to PIC



Any indicator for which HUD verifies performance using PIC data will be rated zero!!

December 2008 54

 

Factors affected by the 95% reporting rate:



Annual reexaminations



Correct tenant rent calculations



Pre-contract HQS inspections



Family self-sufficiency 10 pts 5 pts 5 pts 10 pts



Annual HQS inspections 10 pts Zero pts for each if 95% not achieved December 2008 55

 

PHA must complete a reexamination for each participating family at least every 12 months Remember PIC reporting

  

End participation (#6) Other change of unit (#7) vs. annual reexam (#2) Annual reexam searching (#9) 56



The PHA must correctly calculate family’s share of rent to owner



Inaccurate or missing data from indictor 3 (adjusted income) will affect the accuracy of this indicator

Page 2-100

December 2008 57



Newly leased units must pass HQS inspection before HAP contract effective date

Page 2-105

December 2008 58

 

The PHA inspects each unit under contract at least annually At least annually means within 12 months from date inspector conducted full HQS inspection

Page 2-111

December 2008 59

 

HUD-50058 form has an action code to allow reporting of the annual HQS inspection at the time it occurs PIC extract will list % of inspections more than 2 months overdue



The 2 month allowance is to accommodate a possible lag in electronic reporting December 2008 60

 

If a 50058 is submitted within 2 months from annual HQS effective date



Put HQS effective date on line 5i If more than 2 months, annual HQS must have its own 50058 December 2008 61



The PHA enters into HAP contracts for the number of units under ACC for at least one year



PHA has leased at least 98% or 95% of the units under ACC, or



PHA has used at least 98% or 95% of its allocated budget authority December 2008 62

 

Applies only to PHAs required to administer an FSS program PHA checks off on the certification form if the indicator does not apply to them



If checked, HUD field office will verify that the PHA is not required to administer an FSS program

Page 2-124

December 2008 63

© Copyright 2008 Nan McKay & Associates 14a. FSS Enrollment PHA Certifies: C. Portability: If you are the initial PHA, enter # families currently enrolled but who have moved under portability and whose S8 assistance is administered by another PHA D. % of FSS slots filled (b + c divided by a) December 2008 65

 

The HUD field office will verify the # of mandatory FSS slots (or with exception) reported on the PHA’s certification PIC supplies the number of FSS families currently enrolled December 2008 66



The PHA has made progress in supporting family self-sufficiency as measured by the % of currently enrolled FSS families with escrow account balances (need 30% for full points) Yes___ No___ $ December 2008 67



Portability: If you are the initial PHA



Enter the number of families with FSS escrow accounts currently enrolled in your FSS program, but who have moved under portability and whose Section 8 assistance is administered by another PHA December 2008 68



The percent of FSS families with escrow account balances comes directly from PIC # of FSS families with positive escrow balance or with a positive amount of escrow disbursed # of families in PIC w/progress reports = % with escrow accounts balance

Page 2-124

December 2008 69

  

Mandatory for PHA using PS amount(s) that exceed 100% of FMR set at 50th percentile Optional for all other PHAs Criterion 1



50% or more of all S8 families with children resided in low poverty census tracts last FY

Page 2-136

December 2008 70

 

Criterion 2 and 3 2. % of S8 families with children who have moved to low poverty census tracts last FY



At least 2% higher than % of All S8 families with children living in low poverty census tracts last FY 3. Same as (2), except over past two FY 5 points

Page 2-136

December 2008 71

 

Criterion 4



State and regional PHAs



Must complete data for each metro area or portion of a metro area where the PHA has assisted 20 or more S8 families with children last FY 5 Points December 2008 72

 

Applies only to PHAs with HUD approval to establish success rate PS amounts Initially effective for 2nd full PHA FY following date of HUD approval of success rate PS amounts >>>>>>>>>

Page 2-140

December 2008 73

  

Measures whether voucher holders were successful in leasing units HUD verification method: PIC 5 Points December 2008 74

 

A PHA may include with its SEMAP certification any information bearing on the accuracy or completeness of the information used by the PHA in completing its certification (comments) A PHA may also send paper documentation to the HUD field office

Page 2-141

December 2008 75

December 2008 76

    

UPCOMING LUNCH ‘N’ LEARNS January 16 – Earned Income Disallowance January 23 – Rent Reasonableness January 30 – Managing the Maintenance Function February 13 – EIV Security and Update March 6 - Income Exclusions (not including Earned Income Disallowance) December 2008 78

SEMAP - Nan McKay and Associates

Transcript SEMAP - Nan McKay and Associates

Managing SEMAP

Gail Gillispie

Directory