© copyright 2008 nan mckay & associates december 20081 managing semap gail gillispie ©...
TRANSCRIPT
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December 2008December 2008 11
© Copyright 2008 Nan McKay & Associates
Managing SEMAPManaging SEMAP
Gail Gail GillispieGillispie
© Copyright 2008 Nan McKay & Associates
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© Copyright 2008 Nan McKay & Associates
Steps to Success
1. Establish desired outcomes What will be quality controlled? What outcomes are acceptable?
Goals must be: Attainable Measurable Clearly defined
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© Copyright 2008 Nan McKay & Associates
Steps to Success
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
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Educate
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
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Educate
Hold the workshops ongoing – and don’t be afraid to repeat a topic Provides emphasis, additional clarity, and
clears misunderstandings
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Steps to Success
3. 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
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December 2008December 2008 77
© Copyright 2008 Nan McKay & Associates
Assigning SEMAP QC Role
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
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Steps to Success
4. 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?
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Establish an Indicator Review Schedule
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
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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
Establish an Indicator Review Schedule
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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?
Establish an Indicator Review Schedule
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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
Establish an Indicator Review Schedule
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Example: SEMAP indicator: Lease-up
How will results be communicated to staff and management?
Options:Paper/electronic reports
Establish an Indicator Review Schedule
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December 2008December 2008 1414
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Communicating results: Make sure all Key Performance Indicators
(KPIs) are addressedMake sure all KPIs are reported on timely,
as scheduled
Establish an Indicator Review Schedule
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December 2008December 2008 1515
© Copyright 2008 Nan McKay & Associates
Steps to Success
5. Establish a record keeping system Where will records be maintained? How will records be maintained?
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Establish Record Keeping System
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
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Internal Audit Files
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
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Steps to Success
6. Conduct preliminary and ongoing audits PHA supervisory audits
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Supervisory QC Reviews
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
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Supervisory Audit Indicators
Selection from Waiting List 15Reasonable Rent 20Determination of Adjusted Income 20HQS Quality Control Inspections 5HQS Enforcement 10
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Size of Universe
Determines file sample size Different for each indicator
e.g., # number of admissions vs. number of families assisted
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December 2008December 2008 2222
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Audit Sample Selection
50 or less 51-600
601-2000
Over 2000
5 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
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December 2008December 2008 2323
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File Sampling
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
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December 2008December 2008 2424
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Minimum Files Example
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%
10
98.8 (10) files
51-600 = 5 + 1 for each 50 (or part of 50) over 50
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Random Sampling Example
Universe requirement 260 files File sample 10 files Files to be pulled Every 26th
file
If all staff are not represented, select closest file below 26th file
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HUD SEMAP Indicators
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© Copyright 2008 Nan McKay & Associates 1. Selection from Waiting List
(15/0 points) 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
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1. Selection from Waiting List (Supervisory Audit)
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
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1. Selection from Waiting List
PHA follows policies in selecting families from waiting list
Families met selection criteria that determined their place on waiting list and order of selection
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Most Likely Error Points
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)
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Policies for Audit File
Document policy charges during PHA FY Example: October FY PHA
10/1/XX 10/1/XX-2/28/XX 3/1/XX 3/1/XX-6/30/XX 7/1/XX 7/1/XX-9/30/XX
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2. Reasonable Rent(20/15/0 points)
Universe Number of families assisted for PHA FY
Sample drawn from Number of families assisted for PHA FY
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2. Reasonable Rent (Supervisory Audit)
The PHA must have a reasonable written method to determine Rent to owner is reasonable based on current
rents charged for comparable unassisted units
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2. Reasonable Rent
The method may take into consideration Location Size Type Quality Age
Amenities Housing services Maintenance Utilities
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2. Reasonable Rent
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
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© Copyright 2008 Nan McKay & Associates 3. Determination of Adjusted Income (20/15/0
points) Universe
Number of families assisted for PHA FY Sample drawn from
Number of families assisted for PHA FY
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© Copyright 2008 Nan McKay & Associates 3. Determination of Adjusted Income
(Supervisory Audit) 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
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Most Likely Error Points
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
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Recommended Levels of Verification
Highest – Up-front income verification (UIV)
High – Written 3rd party Medium – Third party oral Medium-low – Document review Low – Tenant declaration
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Use of UIV for Verification
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
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NEW! HUD Guidance on EIV 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
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(5/0 points) 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
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5. HQS Quality Control Inspections (5/0 points)
Universe Units under HAPC during last completed FY
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5. HQS Quality Control Inspections (Supervisory
Audit) PHA performs QC inspection of units
under contract Sampling drawn from:
Recently completed inspections Cross section of neighborhoods Work of cross section of inspectors
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6. HQS Enforcement(10/0 points)
Universe Number of failed HQS inspections in last FY
Sample drawn from Number of failed HQS inspections in last FY
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HQS Enforcement (Supervisory Audit)
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
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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 policyC. 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
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Expanding Housing Opportunities
D. Information packet has 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
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Expanding Housing Opportunities
F. PHAs have analyzed: 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
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8. Payment Standards(5/0 points)
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
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8. Payment Standards
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
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8. Payment Standards
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
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HUD IndicatorsVerified by PIC
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PIC Reporting
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!!
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PIC Factors
Factors affected by the 95% reporting rate: Annual reexaminations 10 pts Correct tenant rent calculations 5 pts Pre-contract HQS inspections 5 pts Family self-sufficiency 10 pts Annual HQS inspections 10 pts
Zero pts for each if 95% not achieved
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9. Annual Reexaminations(10/5/0 points)
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)
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10. Correct Tenant Rent Calculations (5/0 points)
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
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11. Pre-Contract HQS Inspections (5/0 points)
Newly leased units must pass HQS inspection before HAP contract effective date
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12.Annual HQS Inspections(10/5/0)
The PHA inspects each unit under contract at least annually
At least annually means within 12 months from date inspector conducted full HQS inspection
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12. Annual HQS Inspections
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
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Annual HQS Inspection Only
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
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13. Lease-Up(20/15/0 points)
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
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14. FSS(10/8/5/3/0)
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
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14a. FSS EnrollmentPHA Certifies:
A. # of mandatory slots or # slots with HUD-approved exception
B. # of FSS families currently enrolled
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14a. FSS EnrollmentPHA 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)
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Rating FSS Enrollment
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
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14b. % of FSS Participantswith Escrow Balances
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___
$
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14 b. % of FSS Participantswith Escrow Balances
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
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Rating FSS Escrow Account Balances
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
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Deconcentration BONUS
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
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Deconcentration BONUS
Criterion 2 and 32. % 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
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Deconcentration Bonus
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
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Success Rate of Voucher Holders
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
>>>>>>>>>
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Success Rate of Voucher Holders
Measures whether voucher holders were successful in leasing units
HUD verification method: PIC 5 Points
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Additional Information
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
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So what’s a PHA to do???
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Review Steps to Success
1. Establish desired outcomes2. Educate all staff on how their daily work
impacts the PHA SEMAP score3. Assign SEMAP QC role to one or more key
staff 4. Establish an indicator review schedule5. Establish record keeping system6. Conduct preliminary and ongoing audits
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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)
UPCOMING LUNCH ‘N’ LEARNS