texas nahro 31 st annual conference and tradeshow (reac: upcs inspection protocol)

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Texas NAHRO31st Annual Conference

and Tradeshow(REAC: UPCS Inspection Protocol)

April 24 - 25, 2007

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Training Agenda

TUESDAY, APRIL 24TH:

8:30 am – Welcome / Go over this thing

8:45 am – Protocol

10:00 am – BREAK (30 Minutes)

10:30 am – Protocol (Oh no, not more of it!)

12:00 pm – LUNCH

1:30 pm – “Inspection Day” Video

2:00 pm – Deficiencies, Definitions and the Software, oh my!

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Training Agenda (Continued)

TUESDAY, APRIL 24TH:

3:00 pm – BREAK (30 Minutes)

3:30 pm – Deficiencies, Definitions …

5:00 pm – End for the Day

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WEDNESDAY, APRIL 25TH:

8:30 am – Deficiencies, Definitions …

9:30 am – HQS vs. UPCS, Scoring, Appeals, etc.

10:00 am – BREAK (30 Minutes)

10:30 am – HQS vs. UPCS, Scoring, Appeals, etc. (Continued)

12:00 pm – End of Session

Training Agenda (Continued)

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Ground Rules

RULE NUMBER 1:

“Don’t shoot the messenger!” (Me.)

RULE NUMBER 2:

Ask questions! Remember, there are no dumb questions, just dumb answers. (Which I’ll try my best not to give.)

When in doubt, refer to RULE NUMBER 1 above.

RULE NUMBER 3:

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Reminder!

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- How do I properly prepare for a REAC inspection?

Questions to be Answered

- Where should I focus my resources?

- What is my role during the inspection?

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Questions to be Answered (Continued)

- How will certain things, like smoke detectors, be checked? (Will the inspector use canned smoke or just push the button?)

- What kind of questions should I ask the inspector before he leaves my site so that I can better understand what went wrong?

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- How do I educate my residents during their annual inspections in order to prevent findings during the REAC inspection?

- Is there a checklist of standards I can use before the inspection to help me make sure everything is up to par?

- How do I appeal a finding, and what kinds of documentation do I need to back up my appeal?

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PROTOCOL

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The Real Estate Assessment Center's (REAC) mission is to …

… provide and promote the effective use of accurate, timely and reliable information assessing the condition of HUD's portfolio;

… to provide information to help ensure that HUD subsidized housing remains decent, safe and sanitary;

… and to restore the public trust by identifying fraud, abuse and the wasting of HUD resources.

Our Mission

PIH/REAC’s Mission

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The Uniform Physical Condition Standards (UPCS) are the foundation of HUD/PIH-REAC’s Physical Inspection Program.

– Creates the structure of the physical inspection.

• (Identifies five inspectable areas and health and safety hazards.)

– Establishes standardized definitions for inspectable items, the basis for electronic inspections via UPCS software.

• (Inspection data is validated, producing a score which indicates the physical condition of a property.)

– Provides a uniform, objective protocol for training

inspectors performing inspections of all property types.

UPCS

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PROPERTYPROPERTYPROPERTYPROPERTY

SiteSite

Inspectable Areas

Inspectable Area

PHYSICAL INSPECTION STRUCTURE

BuildingBuildingExteriorExterior

BuildingBuildingSystemsSystems UnitsUnitsCommonCommon

AreasAreas

BuildingBuilding

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SITEFencing and GatesGroundsMailboxes/Project SignsMarket AppealParking Lots/ Driveways/RoadsEtc.

SITEFencing and GatesGroundsMailboxes/Project SignsMarket AppealParking Lots/ Driveways/RoadsEtc.

BUILDINGEXTERIORDoorsFire EscapesFoundationsLightingRoofsWallsEtc.

BUILDINGEXTERIORDoorsFire EscapesFoundationsLightingRoofsWallsEtc.

BUILDINGSYSTEMSDomestic WaterElectrical SystemElevatorsEmergency PowerFire ProtectionHVACEtc.

BUILDINGSYSTEMSDomestic WaterElectrical SystemElevatorsEmergency PowerFire ProtectionHVACEtc.

COMMON AREASBasement/ Garage/CarportCommunity RoomDay CareHalls/Corridors/ StairsEtc.

COMMON AREASBasement/ Garage/CarportCommunity RoomDay CareHalls/Corridors/ StairsEtc.

UNITBathroomCall-for-AidCeilingDoorsElectrical SystemFloorsHot Water HeaterKitchenEtc.

UNITBathroomCall-for-AidCeilingDoorsElectrical SystemFloorsHot Water HeaterKitchenEtc.

INSPECTABLE ITEMS

HEALTH & SAFETYHEALTH & SAFETY

Air QualityAir Quality ElevatorElevator Emergency/Fire Exits Emergency/Fire Exits Flammable MaterialsFlammable Materials Electrical HazardsElectrical Hazards Etc Etc.

HEALTH & SAFETYHEALTH & SAFETY

Air QualityAir Quality ElevatorElevator Emergency/Fire Exits Emergency/Fire Exits Flammable MaterialsFlammable Materials Electrical HazardsElectrical Hazards Etc Etc.

PHYSICAL INSPECTION STRUCTURE

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InspectableItem

Inspectable Area

ObservedDeficiency (OD)

No Observed Deficiency (NOD)

Not Applicable(NA)

Level 1

Level 2

Level 3

- or -

- or -

Deficiency DefinitionsDeficiency Definitions

UPCS SOFTWARE CONFIGURATION

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PASSPhysical Assessment Subsystem

- Scoring- Checklist- Inspection Review- Time Stamp Analysis- Reporting

TheThe

INTERNETINTERNET

DataCollectionDevice

Inspector gathers data using UPCS

Software on a DCD

PASS SUBSYSTEM COMPONENTS

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Physical Physical AssessmentAssessment

ScoreScore

Physical Physical AssessmentAssessment

ScoreScore

Predetermined Predetermined weightsweights

and factorsand factors

Building ProfileBuilding ProfileInformationInformation

ObservedObserved DeficienciesDeficiencies

SCORING

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– Standard set of rules and procedures followed on all inspections as established in the UPCS.

– Includes three phases:• Pre-Inspection• Inspection• Post Inspection

– Each phase is completed in the above order

PHYSICAL INSPECTION PROTOCOL

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– Perform objective, factual physical assessments.

– Conduct inspections according to the HUD/PIH-REAC Physical Inspection Protocol.

– Ensure success by complying with the UPCS.

INSPECTOR’S ROLE

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– Maintain professional conduct and demeanor at all times during the inspection and interaction with the inspection participants.

– Display the HUD-issued photo id during the inspection.

– Dress appropriately.– Be courteous and professional.– Be aware of cultural differences.– Defer resident questions concerning

maintenance to the property representative.– Do not make promises about inspection results.

CODE OF CONDUCT

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– Conflicts of interest – be aware!– Do not offer an opinion as to the quality of the site,

building or unit.– Do not bring a firearm or other weapons onto a property.– Do not invade a resident’s privacy by attempting to open

a closed door within a unit (bedroom, bathroom, etc.)

without the permission of the resident or the property representative.

CODE OF CONDUCT (Continued)

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– Do not disclose any information to a third party about the inspection results. Defer to the property owner/representative.

– Do not utilize local HUD offices, MF or PHA offices to conduct personal business (phone calls, inspection uploads, etc.)

CODE OF CONDUCT (Continued)

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HUD Physical Inspections are:– Objective– Consistent– Comprehensive– Evaluations of HUD-supported properties– A step to help HUD prioritize and direct its

resources– A method to ensure that we all work

together to provide housing that is decent, safe, sanitary and in good repair

SUMMARY

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Inspection Day

Inspection Day

Receive inspection assignment


1Download propertyprofile

Download propertyprofile

2Confirm

inspection Confirm

inspection

3Update

inspection schedule

Update inspection schedule

4Travel topropertyTravel toproperty

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Meet with property representative


6 7Verify/update property profile info.

a. property, b. participant, c. certificate, d. area measures

7Verify/update property profile info.

a. property, b. participant, c. certificate, d. area measures

8Visually verify/update

buildinginformation

8Visually verify/update

buildinginformation

Generate sample

Generate sample

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a. Identify sample buildings b. Enter generated

sample units

a. Identify sample buildings b. Enter generated

sample units

10Inspect a. site,

b.-d. building(s), and e. units

Inspect a. site,

b.-d. building(s), and e. units

11Confirm/verify

inspection data

Confirm/verifyinspection

data

12Complete

Notification of Exigent and Fire

Safety HazardsObserved form

(if needed)and

provide a copyto property

representative

CompleteNotification

of Exigent and FireSafety HazardsObserved form

(if needed)and

provide a copyto property

representative

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Uploadcompletedinspection

Uploadcompletedinspection

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PRE-INSPECTION



1Download propertyprofile

Download propertyprofile

2Confirm

inspection Confirm

inspection

3Update

inspection schedule

Update inspection schedule

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– HUD awards RAP inspections to winning bidder.

– Contractor/servicing mortgagee assigns inspection and notifies an inspector.

– Property profile information is available for downloading from the REAC Web site.

STEP 1: Receive Inspection AssignmentP

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– Inspector downloads Property Profile from the REAC Web site directly to the UPCS software on their DCD.

– Downloaded information automatically populates appropriate fields in the UPCS software.

– Property Profile contains the following information, and MUST BE VERIFIED while on site!

• Inspection number.• Property information: name, street address (no P.O. Box), and

telephone number of the property, and number of buildings and units.

• Participant information: participant’s name, role, and organization name, address, telephone number.

• Building information: building name,

street address (no P.O. Box), type,

construction year, number of units.

STEP 2: Download Property Profile

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– Inspector contacts the authorized property representative (owner, management company or PHA) to:• Explain the purpose of the inspection

– To objectively assess the physical condition of the property, not to create a laundry list of maintenance items

• Negotiate mutually agreeable time for physical assessment

– Inspector should notify the TAC if the property owner refuses to permit an inspection.

– All inspections must occur in presence of the property representative.

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STEP 3: Confirm Inspection [Arrange Date and Time]

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Inspector sends an Inspection Notification Letter

– Informs property representative to:

• Notify all residents of upcoming inspection• Have available for the inspector on day of inspection ...

– Copy of document notifying residents– Total number of buildings and units– Address or unique building identifier for each building– Applicable certificates (e.g., elevators, boilers, etc.)– Occupancy rate

– Rent roll– Site map or plot of property (if available)– Area measures for parking lots/driveways/roads and

walkways/steps

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STEP 3: Confirm Inspection [Arrange Date and Time] (Continued)

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– Inspections are to be performed during normal business hours, which vary from agency to agency.

– The inspector is responsible for updating the REAC Inspection Schedule for any and all changes and also for notifying any affected parties.

– PIH-REAC Quality Assurance (QA) inspections are based on the REAC Inspection Schedule

• Servicing mortgagee provides REAC with individual inspector schedules• PIH-REAC must be aware of all schedule changes

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STEP 4: Update Inspection Schedule

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INSPECTION

Verify/update property profile info. a. property, b. participant,

c. certificate, d. area measures

Verify/update property profile info. a. property, b. participant,

c. certificate, d. area measures

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Travel topropertyTravel toproperty

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6

Visually verify/updatebuilding

information

Visually verify/updatebuilding

information

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Generate sample

Generate sample

9a. Identify sample buildings

b. Enter generated sample units

a. Identify sample buildingsb. Enter generated

sample units

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Inspect a. site,b.-d. building(s),

and e. units

Inspect a. site,b.-d. building(s),

and e. units

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data


data

12Complete Notification of Exigent and Fire

Safety Hazards Observed form (if needed)and provide a copy to property representative

Complete Notification of Exigent and FireSafety Hazards Observed form (if needed)

and provide a copy to property representative

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Inspector must follow REAC rules for travel:– Inspector must be physically present and on time to

conduct the inspection.– If the inspection cannot be performed or completed on

the scheduled day, the inspector must call the TAC immediately.

– If the weather prevents the inspector from

arriving at the property, they must request

approval from the TAC to declare the

inspection “unsuccessful”.

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STEP 5: Travel to Property

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– Property representative may postpone an inspection due to inclement weather.

• Inspector must report immediately to REAC’s Physical Inspections Technical Assistance Center (TAC).

• Inspector receives log number from the TAC to upload with the inspection confirming cancellation.

– Inspectors should not inspect a property if a “Severe Weather Advisory” in in effect.

• Includes, but is not limited to, hurricanes, tornadoes, thunderstorms, hail or any other adverse weather condition that would likely endanger the safety of the participants (includes any snowstorm for which such an advisory has been issued).

INCLEMENT WEATHER POLICY

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– In the absence of a severe weather advisory, inspectors should attempt to inspect all properties regardless of snow.

• Any inspectable item not visible due to snow is recorded as NOD (No Observed Deficiency).

• Provide comment indicating items were hidden by snow.

SNOW POLICY

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– Inspector identifies himself as an inspector of

HUD properties, not an employee of HUD.– Inspector verifies that residents were given

written notification of inspection.• Inspector must notify the TAC, if residents were NOT notified

and TAC will advise if inspector is to continue.

– Inspector discusses inspection purpose with

property representative.• To objectively record the physical condition of the

property, NOT to instruct property representative

on maintenance and repair.

– Inspector explains sampling process• Generates random sample of units to inspect.• Reduces length of inspection.

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STEP 6: Meet with Property Representative

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– Inspector explains how Life-Threatening Health and Safety Hazards will be handled.

– Inspector ...• Displays the HUD-issued photo id at all times.• Verifies rent roll (or other all-inclusive documents) to confirm

proper building/unit count.• Verifies, if applicable, list of units relative to 504/FHA/ADA.• Verifies occupancy rate and records as percentage in DCD (for

MF properties only).• Obtains area measures.

– Inspector is always accompanied by the property representative while on the property.

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STEP 6: Meet with Property Representative (Continued)

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• The Property Profile …– Includes information on the property, participant,

certificates and area measures.– Must be updated before the inspection begins.– Is used to generate statistically accurate building and

unit inspection samples.• Incorrect sampling will invalidate the inspection which may

require a re-inspection (at no additional cost to the Government)

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STEP 7: Verify/Update Property Profile Information

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– Inspector verifies/updates property information prior to conducting the inspection, including:

• Property name, address and telephone number.• Scattered site information.• Total number of buildings and units.

– A building is defined as any structure that has a contiguous roofline, a permanent foundation, is enclosed on all sides, and at least one utility servicing it, such as electric, gas, water or sewer.

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STEP 7a: Verify/Update Property Information

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– Inspector verifies/updates participant information.• Participant name.• Participant role (e.g., site manager, owner, etc.)• Participant organization name.• Participant address and telephone number.• Participant e-mail address.

– Participants may be individuals or organizations.• There should be at least 3 participants listed.• For PHA: must include Executive Director.• For MF: must include Owner and the Management Agent.

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STEP 7b: Verify/Update Participant Information

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– Inspectors should verify the existence of applicable certificates.

• Check expiration date to ensure it is current.• Record results in UPCS software.

– Inspectors should verify the existence of a Lead-Based Paint Disclosure Form and a Lead-Based Paint Inspection Report for buildings constructed built prior to 1978.

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STEP 7c: Verify Certificates

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– Inspectors should try to obtain Area Measures.• Refers to proportionality.

– Proportionality is used to determine the percentage (square footage) of the defective area.

– Proportionality only applies to:» Parking lots, driveways and roads.» Walkways and steps.

– The rating level of the defect is based on the percentage of the defect.

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STEP 7d: Obtain Area Measures

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– Inspectors must validate building information• Building name and address• Building type• Building construction year (original year built – not

rehabilitation date)• Total number of units

– Failure to validate building information may result in an inaccurate count of buildings and units

• Building and unit counts are used to generate the inspection sample

– Inspectors must also determine if a building is uninspectable

• Important to record uninspectable buildings before generating the sample

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STEP 8: Visually Verify/Update Building Information

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– Common Building – A detached non-residential structure.

– Duplex – A detached residential structure consisting of two units.

– Low-Rise/Garden Apartments – A multi-unit residential structure consisting of two and one-half or less floors with a common hall entrance.

– Mid/High-Rise Apartments – A multi-unit residential structure consisting of three or more floors with or without elevators.

– Row/Town House – A single unit residential structure that is connected to a similar structure by a common sidewall with individual exterior unit entrance.

– Single Family House – A detached residential structure consisting of one unit.

BUILDING TYPE DEFINITIONS

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– For nursing homes, group homes, and assisted living facilities, any room with a bed, or beds, is considered a “client room”.

• Client rooms are to be inspected and listed as dwelling units.

– Inspectors should change the number of units in the DCD to reflect client rooms.

• All other areas of the facilities, including kitchens, dining areas, community areas, etc., are to be inspected as common areas.

CLIENT ROOM POLICY

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– Inspector generates sample using the sampling function of UPCS software

• Mathematical and statistical equations• Statistically valid random sample• Displayed as sequence of unit numbers

– Designed to produce a sample that accurately reflects what would have been recorded if all buildings/units were inspected

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STEP 9: Generate Sample

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– Variations to protocol produce inaccurate samples and may invalidate inspections

– Inspector must follow protocol steps

• Verify/update all property information before generating sample

• Generate only one sample for each inspection in UPCS softwareIN

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ESTEP 9: Generate Sample (Continued)

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Verify all property and building information prior to generating the sample.

Use the all-inclusive list of units to determine sample units.

Select units in the order they are displayed.

Select alternate units in the order they are displayed.

Do

Don’t

SAMPLING “DO’s” AND “DON’Ts”

Allow property owners to alter sample units.

Provide property owners with a list of samples prior to inspection.

Deviate from inspection protocol.

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– UPCS software displays “Yes” in the “In Sample” field for each building included in the sample.

– UPCS software displays sequence of unit numbers in the “Sample Units” text field.

• Each number represents a unit in the selected building.• The order of the numbers represents the relative position of

each unit on a complete list of units.– For example: The number 4 represents the fourth unit on

the list.

– Inspector adds sample units by using an ALL-INCLUSIVE list of units.

• The list may be the rent roll if it includes vacant as well as occupied units.

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STEP 10a-b: Identify Sample Buildings and Enter Generated Sample Units

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– Direct specific resident complaints to the property representative.

– Remind residents of the purpose of the inspection.

• To record the physical condition of the unit, not evaluate

housekeeping

– Observe and inspect all five inspectable areas:• Site

• Building Exterior

• Building Systems

• Common Areas

• Units

INSPECTION GUIDELINES

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– Call out all observed deficiencies and the severity level to the property representative as you perform the inspection.

– Be alert to any Health & Safety hazards that may exist in an inspectable item.

– Record items inside the development/property.• Any physical structures under the control of the housing

provider (e.g., city streets and sidewalks) must be inspected.

INSPECTION GUIDELINES (Continued)

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– Inspectors must rate and record observed Health and Safety deficiencies

– Health and Safety items include:• Air Quality• Electrical Hazards• Elevator• Emergency/Fire Exits

– Certain Level 3 deficiencies automatically generate Health and Safety hazards

• Flammable Materials• Garbage and Debris• Hazards• Infestation

HEALTH AND SAFETY HAZARDS

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– Be observant of the life-threatening health and safety hazards listed on the Notification of Exigent and Fire Safety Hazards Observed form:

A. Propane, natural, or methane gas

B. Exposed wires or open electrical panels

C. Water leaks on or near electrical equipment

D. Blocked or unusable emergency or fire exits

E. Blocked fire escapes or ladders

F. Missing or misaligned chimney for gas-fired water heater/HVAC

G. Window security bars preventing exit

H. Expired fire extinguishers

I. Inoperative/missing smoke detectors

LIFE-THREATENING HEALTHAND SAFETY HAZARDS

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– All observed life-threatening health and safety hazards ...

• MUST be recorded in the DCD.• MUST be recorded on the Notification of

Exigent and Fire Safety Hazards Observed form.• Include hazards found in buildings not in the sample.

– Inspector notifies property representative of all hazards immediately.

LIFE-THREATENING HEALTHAND SAFETY HAZARDS (Continued)

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– Site is defined as the area surrounding the building(s) of a property

• Example: Fencing and Gates, Grounds, Mailboxes/Project Signs.

– Only one site per property.

– Site may be inspected at any time during the inspection.

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STEP 11a: Inspect Site

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– It is encouraged to complete all inspectable areas of a building, before inspecting another building.

– The inspector must record the physical condition of three areas for each sample building:

• Building Exteriors - outside building surfaces (e.g., fire escapes, lighting)

• Building Systems - civil systems that support the building (e.g., domestic water, HVAC)• Common Areas - areas within each building that are usable by more than one resident or by the property administration.

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STEP 11b-d: Inspect Building: Exterior, Systems and Common Areas

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– Inspector physically verifies that all buildings declared uninspectable meet REAC standards for that classification.

– If a sample building is discovered to be uninspectable during the inspection:

• Inspector indicates uninspectable reason in the UPCS software.• Inspector selects the next available alternate building.

– Alternate building may be inspected at any time during the inspection.

– Alternate buildings must be selected in the order they are displayed in the UPCS software.

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STEP 11b-d: Inspect Building: Exterior, Systems and Common Areas (Continued)

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– Per Code of Conduct, with respect to resident privacy, an inspector should not open closed doors within a unit. After property personnel provides access, inspector may open/close to test functionality of the door(s).

– If a sample unit is declared uninspectable during the inspection:

• Inspector indicates uninspectable reason using the UPCS software.

• Inspector selects the next available alternate unit– Alternate units must be selected in the order they are

displayed in the UPCS software.

– Alternate unit may be inspected at any time during the inspection.

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STEP 11e: Inspect Units

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– Alternate units are inspected when a sample unit is considered uninspectable.

– UPCS software automatically generates alternate units.

– Selection Guidelines for Alternate Units: • Alternate units must be selected in the order they are

displayed.– Example: If the alternates for a sample are 5 and 3,

5 must be used as an alternate before 3.• If no alternate units exist in the sample building then

select an alternate unit of the same building type.• If no alternate units exist for same building type then

select an alternate unit in the next building type group.• If no other alternate units remain then call TAC for

assistance.

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STEP 11e: Inspect Units (Continued)

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– Multifamily housing properties:

• Vacant units are included in the random sample.

• Only inspect vacant units at properties with 15% or more total vacant units (85% or less occupancy rate).

• At properties with less than a 15% vacancy rate, inspectors should not inspect vacant units, but replace them with alternates from the sample.

VACANT UNITS POLICY

– Public housing properties:

• Vacant units are included in the random sample.

• Vacant units should not be inspected.

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– Client rooms in nursing homes, group homes and assisted living facilities are inspected as dwelling units but do not always have assigned numbers.

• To inspect these rooms, start room count at the lowest level, move to the right, and then up through the building to select rooms as they are listed in the sample.

– Mixed-use facilities contain both client rooms and residential (apartment-style) dwelling units - the total number of units used to generate the sample will include both.

INSPECTING CLIENT ROOMS

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– Inspector uses “Check/Prepare/Import” function of UPCS software to automatically review inspection completion.

• UPCS software verifies thoroughness and identifies any missing items.

• Use function before leaving site.

– Only completed inspections are accepted by the DCD for uploading to REAC.

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STEP 12: Confirm/Verify Inspection Data

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– Life-threatening hazards are documented on the Notification of Exigent and Fire Safety Hazards Observed form.

– Property representative signs the form.• If representative refuses to sign, note the refusal on the form.

– A copy of the form, signed by the inspector, must be left with property representative.

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STEP 13: Complete Notification of Exigent and Fire Safety Hazards Observed Form

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– For Public Housing properties, life-threatening deficiencies must be corrected and/or abated within 24 hours and reported to the HUD field office within 3 business days.

CORRECTING LIFE-THREATENINGDEFICIENCIES

– For Multifamily Housing properties, life-threatening deficiencies must be mitigated immediately and reported to the HUD field office within 3 business days.

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UploadCompletedInspection

Data

UploadCompletedInspection

Data

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POST INSPECTION

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– Receipt # received by inspector when upload is complete.

– Completed inspections must be uploaded to the REAC Web site within 24 hours.

– Technical problems with uploading should be referred to the TAC immediately.

– Inspections should be deleted from the DCD only after the inspections are accepted by REAC.

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STEP 14: Upload Completed Inspection Data

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– Occur when inspectors do not follow the standard inspection procedures as defined by the Physical Inspection Protocol.

– Negatively affect the accuracy and validity of physical assessments.

– Types of variances: Subjectivity

Negligence

Gaming

VARIANCES

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– SUBJECTIVITY• When inspectors make personal judgments about

the condition of a property or allow their personal biases to affect how they inspect

– NEGLIGENCE• When inspectors purposely try to avoid following the

Physical Inspection Protocol in order to reduce the time or effort required to inspect a property

– GAMING• When inspectors perform illicit activities in an

attempt to cheat the system

TYPES OF VARIANCES

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– Inspection protocol is designed to:• Standardize the inspection process• Provide HUD with consistent, objective and factual inspection data

– Inspection protocol is divided into three main phases:

• Pre-Inspection• Inspection• Post Inspection

– Adherence to the protocol is critical for:• Accurate physical assessments• Maintenance of decent, safe, and sanitary

housing in good repair

SUMMARY

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DEFICIENCIES, DEFINITIONS ANDTHE SOFTWARE, OH MY!

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DCD 2.3 INSPECTABLE DEFECTS

* Time to check out some pictures! *

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HQS VS. UPCS, SCORING,APPEALS, ETC.

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The Process

OLD: (HQS)

Regulatory requirement that housing providers mustinspect their units/properties to a HUD defined standard.

HUDHeadquarters

PIH-REACQuality Assurance

Field OfficeQuality Assurance

Housing Agency Inspectsto Standard

Housing Agency Inspectsto Standard

Field Office

NEW: (UPCS)

- Paper based- Pass/Fail- Subjective- Inconsistent

- Electronic- Point Deductions- Objective- More Consistent

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“Decent, safe, sanitary and in good repair.”

MEASUREMENT

1978 - 1998Housing Quality Standards (HQS)

1998 - FutureUniform Physical Condition Standards (UPCS)

Elements

Elements

The Standard

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Bathroom - Tub / Shower Hot Water System, Boiler RoomBenches, Play Area & Equipment InsulationCabinets, Doors, Closets, Hardware Interior Air QualityCaulking and Weather-stripping Laundry RoomsCompactors and Incinerators Lawns and PlantingsCurtains and Shades Lead based Paint ObservedDoors, Carpets, Tiles PaintingDoors, Windows, Screens Plumbing Fixtures and SystemsDrives, Parking Lots, Paving & Curbs Porches, Balconies, Fire EscapesElectrical Fixtures and Systems Project Signs and OfficeElevators Refrigerators and RangesEnergy Efficiency Items Inspected: Roofs, Flashing, VentsExterior Lighting Smoke DetectorsExterior Painting Sprinkler and Drainage SystemExterminating Stairs, Walkways, Community SpacesFences, Walls, Guardrails Storage, Utility BuildingsFire Extinguishers Storm Doors and WindowsGarage and Carports Swimming PoolsGarbage Disposal and Exhaust Fans Underground Gas, Water, SewageGutters, Downspouts, Splash Blocks Walks, Steps, GuardrailsHealth Hazards I Code Violations Walls & FoundationsHeating and Air Conditioning Water Saver Devices

Insulation

Curtains and Shades

Water Saver Devices

HQS vs. UPCS

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Dwelling Units

Holes/Missing Tiles/Panels

LEVEL 3 Building

DwellingUnits

Living Room

Ceiling

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HQS:

- Uses “subjective” measurements such as “serious”, “large”, “significant” and “severe” without specifying a quantifiable amount. (Makes consistent ratings more difficult to obtain amongst different inspectors.)

- If just one item is marked “Fail”, then the entire unit fails the inspection.

UPCS:

- Uses “objective” measurements such as “larger than 8-1/2 x 11” or “more than 3 tiles”. (Makes consistent ratings more obtainable amongst different inspectors.)

-If an item receives a “Level 3” rating, then the score for that unit will be reduced from its potential maximum points.

Item: Ceiling Condition

Ceiling Condition Pass Fail Level 1 Level 2 Level 3Bulging/Buckling X X XHoles/Missing Tiles/Panels X X X X XPeeling/Needs Paint X X XWater Stains/Water Damage/Mold/Mildew X X X X

HQS UPCS

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Item: Ceiling Condition

HQS Guidance (paper) UPCS Guidance (electronic)

*Covered under either:“Bulging/Buckling”, “Peeling/Needs Paint” or “Water Stains/Water Damage/Mold/Mildew”.

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Building Systems

LEVEL 3 Building

BuildingSystems

DomesticWater

Misaligned Chimney/Ventilation System

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HQS:

- If just one item is marked “Fail”, then the entire unit fails the inspection.

UPCS:

- If an item receives a “Level 3” rating, then the score for that building will be reduced from its potential maximum points.

Item: Hot Water Heater

Hot Water Heater Pass Fail Level 1 Level 2 Level 3Misaligned Chimney/Ventilation System X XMissing Pressure Relief Valve X XRust/Corrosion on Heater Chimney X X

HQS UPCS

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Item: Hot Water Heater


*Covered under:“Missing Pressure Relief Valve”.

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Dwelling Units

LEVEL 3 Building

DwellingUnits

SmokeDetector

Missing/Inoperable

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HQS:

- If this item is marked “Fail”, then the entire unit fails the inspection.

UPCS:

- If this item receives a “Level 3” rating, an “Exigent Health & Safety” notation is made but no points are deducted from the overall score.

Item: Smoke Detectors

Smoke Detectors Pass Fail Level 1 Level 2 Level 3Missing/Inoperable X X

HQS UPCS

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Item: Smoke Detectors


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Top 20 Deficiencies

1. HVAC – the water heater Pressure Relief Valve discharge tube extends to within 18 inches of the floor;

2. Misaligned Chimney – the vent stack on gas operated water heaters or furnaces are properly aligned;

3. Missing HVAC Covers – there are covers on all baseboard heaters;

4. Access to the Electrical Panel – access to electrical panels is not blocked by furniture or other items;

5. Missing Covers – electrical panels have interior covers (aside from the panel lid box itself) to prevent exposure from the wire connections;

6. Open Breaker Ports – Open breaker ports are covered;

7. Doors Damaged Seals – the factory-installed seals on Exterior Doors, such as building or unit doors, are in place and undamaged;

8. Doors Damaged Hardware – Exterior door hardware locks or latches properly and Fire Doors function as designed;

9. Security Doors – security doors do not have dual-side key locks;

10. Kitchen – Damaged Stoves/Ovens – stove burners are working;

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Top 20 Deficiencies (Continued)

11. Plumbing – pipes and faucets are not leaking, and areas around any leaks are cleaned up and repaired;

12. Damaged Sinks/Showers – any hardware problems are repaired, diverters are working, drains have stoppers, Hot or Cold water handles are in place and working;

13. Clothes Dryers - are properly vented to the outside from units or laundry rooms;

14. Storm Water Sewers - are not clogged with trash or leaves;

15. Sanitary Sewer Damaged Covers –caps located in the grass on the exterior of the building that have been damaged by a lawn mower are cleaned out. Replace and mark the areas to prevent further damage;

16. Trash Chutes – hardware is in place and the chute door closes properly;

17. Trash Receptacles - are not overflowing and are adequate in size for the property;

18. Auxiliary Lighting – the back up lighting works even when the test light does not work;

19. Leaking Domestic Water – there are no leaks in the domestic water supply, including the hose bibs located on the exterior of the building;

20. Switchplate Covers – are not cracked or broken.

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- How do I properly prepare for a REAC inspection?


- Where should I focus my resources?

- What is my role during the inspection?

A: Pray.

A: You have resources?!?

A: Refer to the first question above.

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The Goal

Assign a score to the overall property

condition based on the data collected by the

inspector

–Measure physical condition

–Objective & consistent

–Accommodates all property types &

configurations

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The inspector records the existence and the severity

of deficiencies according to preset criteria

Scoring is Based on Objective Data

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• Relative importance (“weights”) were assignedto each physical area, item, and deficiency in the inspection protocol

• HUD applies the weightsto the inspection data to compute the score

• The score is based on a 100 point scale

The Scoring Approach

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The weights were assigned as part of aconsensus process:

- Industry stakeholder input• Public Housing Authorities• Multifamily Housing (Owners / Agents)• Trade groups• PHA industry groups

- HUD information

- Trade professionals’ experience

Scoring Protocol

Site Building Exterior

Common Areas

DwellingUnits

Fencing and Retaining WallsGroundsLightingMailboxes/Project SignsMarket AppealParking Lots/Driveways/RoadsPlay Areas and EquipmentRefuse DisposalStorm DrainageWalkways/Steps

DoorsFire EscapesFoundationsLightingRoofsWallsWindows

Domestic WaterElectrical SystemElevatorsEmergency PowerExhaust SystemFire ProtectionHVACSanitary System

Basement/Garage/CarportOfficeCloset/Utility/MechanicalOther Community SpacesCommunity RoomPatio/Porch/BalconyDay CarePools and Related StructuresHalls/Corridors/StairsRestrooms/Pool StructuresKitchenStorageLaundry RoomTrash Collection AreasLobby

BathroomCall-for-AidCeilingDoorsElectrical SystemFloorsHot Water HeaterHVAC SystemKitchenLightingOutlets/SwitchesPatio/Porch/BalconySmoke DetectorStairsWallsWindows

Building Systems

Areas&

Items

15% 15%20%

35%15%

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Wgt 15% 15% 20% 35% 15% 100%

Property Physical

Condition

Inspection Areas

Site Health & Safety

Deductions

Whole Point Deductions

From FinalScore

Building Exterior

Building Systems

DwellingUnits

Common Areas

Building

Scoring Dynamics

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Wgt 15% 15% 20% 35% 15% 100%

Property Physical

Condition

Inspection Areas

Site Health & Safety

Deductions

Whole Point Deductions

From FinalScore

Building Exterior

Building Systems

DwellingUnits

Common Areas

Building

Wgt 15% 15% 20% 35% 15% 100%

Wgt 18% 18% 23% 41% 0% 100%

(For example, if there are no Common Areas on a property, the other inspection areas become more important)

No Two PropertiesAre Alike

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Scores calculated based on:

Area Points x Item Weight x Criticality x SeverityRanges are:Area Points

Site = 15 Bldg Systems = 20 Dwelling Units = 35Bldg Ext = 15 Common Areas = 15

Item Weight (Examples)

Smoke Detector = 0 Missing Toilet = 10Damaged Ceiling = 4.5 Misalinged Chimney = 15.5

Criticality(5) Critical = 5.0 (2) Contributes = 1.25(4) Very Important = 3.0 (1) Slight Contribution = 0.5(3) Important = 2.25

Severity(3) Most Severe = 1.0

(2) Severe = 0.50

(1) Least Severe = 0.25

Scoring Methodology

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Scoring Methodology (Continued)

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Scoring Methodology (Continued)

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Dwelling Unit: Living Room,Ceiling - Holes/Missing . . . - Level 3

Scoring

(Area Points x Item Weight x Criticality x Severity / # Units)

35 x 0.045 x 3.0 x 1.0 = 4.725 / 24 = 0.20 PointDeduction

(Item Weight x Criticality x Severity)

4.5 x 3.0 x 1.0 = 13.5%

*Assuming 250 Units (24 Sample Units)

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Building Systems: Domestic Water,Misaligned Ventilation System - Level 3

Scoring

*Assuming 5 Buildings

* EH&S TICKET IT

EM! *

(Area Points Item Weight x Criticality x Severity / # Buildings)

20 x 0.155 x 5.0 x 1.0 = 15.5 / 5 = 3.10 PointDeduction


15.5 x 5.0 x 1.0 = 77.5%

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Dwelling Units: Smoke Detector,Missing/Inoperable - Level 3

Scoring


0 x 5.0 x 1.0 = 0 no point deduction

(Area Points x Item Weight x Criticality x Severity / # Units)

35 x 0 x 5.0 x 1.0 = 0 / 10 = no point deduction

*Assuming 15 Units (10 Sample Units)

* EH&S TICKET IT

EM! *

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A: Push the button. (No cigarettes please.)

A: Don’t let them leave! (Lock them up.)

- How will certain things, like smoke detectors, be checked? (Will the inspector use canned smoke or just push the button?)

- What kind of questions should I ask the inspector before he leaves my site so that I can better understand what went wrong?

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Technical Reviews

What qualifies for a Technical Review?

- Building Data Errors

- Unit Count Errors

- Non-Existent Deficiency Errors

You can appeal a physical score if you believe the inspection was not conducted in accordance with the Public and Indian Housing Real Estate Assessment Center (PIH-REAC) Uniform Physical Condition Standards (UPCS) inspection protocol or feel that certain inspection data may have been recorded in error that, if corrected, will result in an improvement in the property's overall score

What does NOT qualify for a Technical Review?

- Disagreements over the severity of a defect

- Deficiencies that were repaired or corrected

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Technical Reviews (Continued)

Timeline for submittal:

- Public Housing = 15 days

- Multifamily Housing = 30 days

What to include:

- All property identification information

- All deficiency location information

How to document:

- Written Material

- Photographs

- Video

* OBJECTIVELY

VERIFIABLE

! *

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Technical Reviews (Continued)

Where to send your request:

Attn: PASS Technical ReviewsHUD/PIH/REAC550 12th Street SW, Suite 100Washington, DC 20410

What can happen:

- Request Denied

- New Inspection Scheduled

- Correct the Inspection Report (Adjust score)

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What qualifies for a Database Adjustment?

- Local conditions and exceptions

- Ownership issues

- Adverse conditions beyond the owner’s control

- Modernization work in progress

You can appeal a physical score if you believe the inspection was not conducted in accordance with … blah … blah … blah … (Same as the previous one.)

What does NOT qualify for a Database Adjustment?

- Deficiencies that were repaired or corrected

- Deficiencies caused by residents

- Items covered by the Technical Review process

Database Adjustments

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Timeline for submittal:

- Public Housing = 15 days

- Multifamily Housing = 45 days

What to include:

- All property identification information

- All deficiency location information

How to document:

- Written Material

- Photographs

- Video

* OBJECTIVELY

VERIFIABLE

! *

Database Adjustments (Continued)

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Where to send your request:

Attn: PASS Database AdjustmentsHUD/PIH/REAC550 12th Street SW, Suite 100Washington, DC 20410

What can happen:

- Request Denied

- New Inspection Scheduled

- Correct the Inspection Report (Adjust score)

Database Adjustments (Continued)

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“In The Works”

- RAPID 1.0 (a.k.a. DCD 3.0)

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Download Inspection

Prototype Look and Feel

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Inspection Profile


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Property Profile


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Inspection Sample


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Archive / Restore Inspections


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Inspect Common Areas


..... ...

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Inspect Units


..

..

.

..

.

.

.

.

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- How do I educate my residents during their annual inspections in order to prevent findings during the REAC inspection?

- Is there a checklist of standards I can use before the inspection to help me make sure everything is up to par?

- How do I appeal a finding, and what kinds of documentation do I need to back up my appeal?A: Ha, ha ha. That’s a good one! (Ever hear of “War and Peace”?)

A: It’s easier to just have them move out.

A: The “Top 20” list is a good place to start.

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http://www.hud.gov/offices/reac/products/pass/pass_trng.cfm

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www.hud.gov/reac

1-888-245-4860

[email protected]

For More Information

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Any Questions?

Email: [email protected]

Phone: (202) 475-8567

texas nahro 31 st annual conference and tradeshow (reac: upcs inspection protocol)

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