SOP Form 1.5 FILE AUDIT - imsteam.net

1 Version 01062011 ON-SITE AUDIT CHECKLIST AND TENANT FILE REVIEW FORM Required Tenant File Documentation: Note that this is not sorted by IMS File Format, but in Order of Occurrence. I. Application/Household Information A. Pre-application/application B. Screening information: Credit, Criminal, References, Landlord Verification C. Verification/certification of social security numbers (family members over age 5). D. Citizenship declaration/immigration status (all family members), Birth Certificate, ID's, etc. E. Consent forms 1. HUD-9887, Notice and Consent to the Release of Information (family members age 18 and older). 2. HUD-9887-A, Applicant's/Tenant's Consent to the Release of Information (family members age 18 and older). F. Low Income Housing Tax Credit Addendum, Asset Divestiture/Under $5000 (if applicable). G. Eligibility verification documents ( , person with disabilities, elderly, live-in aide, assistive animal, INS Approval, etc.)

2 H. Acknowledgement of the head of household's receipt of lead based paint disclosure brochure, if applicable I. Acknowledgement of head of household's receipt of Resident Rights and Responsibilities brochure J. Race and ethnicity certification II. Lease A. Lease B. Lease amendments/addendums/agreements - where applicable C. Project rules and regulations D. Pet rules and pet deposit receipt, if applicable E. Security deposit receipt and copy of payment, if applicable F. Move-in/Move-out inspection report (to be completed jointly by the manager and tenant). G. Annual inspection reports H. Lead-based paint addendum, if applicable III. Certification/Recertification A. Initial, interim, annual recertifications, unit transfers, and gross rent change certs B. Recertification notices (initial and, if applicable, first, second, and third). C. Verifications for income, assets, and deductions D.

3 59 data requirements printout signed by owner/agent or manager who has authority to sign on behalf of the owner spouse, co-head, and all other family members age 18 or older (Filed in accordance to IMS Procedures). E. Disposal of assets verification (head of household, spouse, co-head). F. Verification correspondence both issued to, or received from, tenant(s) (verification clarification forms). IV. Other Files That Need to Be Maintained A. Move-out files The current tenant file will become the move-out file. In addition to the above items, the move-out files must contain: 1. Copy of the intent to vacate notice received from the tenant 2. Copy of the notification provided to HUD or the contract administrator 3. Move-out inspection report 4. Copy of the security deposit disposition notice provided to the tenant 5. Documents supporting retaining all or a portion of the security deposit, and security deposit disposition 6.

4 Special claims and supporting documentation B. Application/Denial Files 1. Application 2. Documentation to support the reason(s) for rejecting, such as screening information from previous landlords, personal references, credit reports, criminal activity, failure to declare citizenship or provide social security numbers, and refusal to sign consent forms. 3. Copy of the written notice of rejection sent to the applicant 4. Any information or letters regarding appeals by applicants 2004-2011 Independent Management Services/Independent Management Services Procedures Manual Release SOP_FORM / IMSPM Forms Release PAGE 1 OF 5. Version 01062011 ON-SITE AUDIT CHECKLIST AND TENANT FILE REVIEW FORM Date: Reviewed By: Type of Review: If the Tenant lived here for more than 12 months, then AUDIT the Move-in and Recert. Certificaiton/Recertificaiton Tenant Move-In Tenant Move-Out (see Page 3) Application Rejection (see Page 3).

5 If Certification/Recertification, indicate certification type: Initial Annual Interim Move-In Unit Transfer Recent Gross Rent 50059 in file? Yes No Property Name: Property No.: Elderly Family Disabled Type of Project: (check all that apply to this tenant file) Limits Section 8 Section 236 202 PRAC Income Rent Rental Supplement Tax Credit. If Tax Credit, what is the Set-Aside for this unit?_____. Family Name: Family Size: Unit Number: Move-In Date: Recert Date:(if applicable). Bedroom Size: 0 Bedrooms 1 Bedroom 2 Bedrooms 3 Bedrooms 4 Bedrooms 5 Bedrooms This Household is: (choose one) Over-Housed Under-Housed Housed in accordance with the Tenant Selection Criteria Page One of Tenant File Under IMS Form Yes No N/A Comments: 1) Copy of Check/Money Order at Move-In? 2) Rules and Regulations signed/dated by tenant/manager? By all members age 18 and older? 3) House Rules and Regulations Version 9/14/09 or greater?

6 By all members age 18 and older? 4) Live-in Aid Addendum? (if applicable). 5) Lead Base Paint Disclosure? (if applicable). 6) Current Lease signed/dated by manager/tenant and is it IMS Lease with OMB Exp. 05/31/2011? By all members age 18 and older? Lease Effective Date: Lease Expiration Date: Security Deposit:_____. 7) Violence Against Women Act (VAWA)? By all members age 18 and older? 8) Michigan HUD Model Lease and Late Fee Addenda? By all members age 18 and older? 9) Original lease and subsequent leases or addendums signed by management, head, spouse, co-head, and all other members age 18 and older? 10) Are all Prior Recertification Reminder Notices present? 11) 120 Day First Reminder Notice? 12) Initial notice of a recertification? 13) Is Page One of Tenant File in order under IMS Form Page Two of Tenant File Under IMS Form Yes No N/A Comments: 14) * * Reserved Space * *.

7 15) HUD 9887/9887A Forms signed and dated by head, spouse, co-head regardless of age and family members at least 18 years of age? REV 02/2007? 16) Is EIV being produce and utilized prior to the recertification? N/A for Tax Credit Only 17) Has the EIV been attached in a separate manilla folder? N/A for Tax Credit Only 18) Completed current Income and Asset Checklist for each household member of age 18 and older? Signed and Dated? 19) Are all Verifications Current within 120 days of the effective date of the iTIC/HUD 50059? Explain: 20) Has the Property Manager Reviewed the HUD 50059/iTIC? Explain: 21) HUD 50059/iTIC signed and dated on or before the Effective Date by Tenant/Manager? By all members age 18 and older? 22) Part/Full Time Student Status IMS Approved? Explain: 23) If Annual Recert, is it for the correct month/year? Explain: 2004-2011 Independent Management Services/Independent Management Services Procedures Manual Release SOP_FORM / IMSPM Forms Release PAGE 2 OF 5.

8 Version 01062011 ON-SITE AUDIT CHECKLIST AND TENANT FILE REVIEW FORM Assets: Use Left Column Current Cert/Right Move-in 50059/iTIC Amount Verified 3rd Party Verified? C M C M. 24) Checking? (6 month average balance) Interest? YES NO N/A. Savings / Money Market? (Current Balance) Interest? YES NO N/A. Certificate of Deposit (CD) YES NO N/A. IRA / 401k / Retirement / Pension Account YES NO N/A. Real Estate (FMV less unpaid bal/costs to sell) YES NO N/A. Stocks/Bonds/Treasury Bills YES NO N/A. Life Insurance (Cash Surrender Value) YES NO N/A. Other and/or Asset Divestiture/Under 5000 YES NO N/A. TOTAL: IMPUTED TOTAL: Income Use Left Column Current Cert/Right Move-in 50059/iTIC Amount Verified 3rd Party Verified? C M C M. 25) Employment YES NO N/A. Social Security (award letter - Okay) YES NO N/A. SSI - (award letter - Okay) YES NO N/A. State SSI YES NO N/A. Pension YES NO N/A.

9 VA Benefits YES NO N/A. Annuity YES NO N/A. Unemployment YES NO N/A. Child Support and/or Alimony YES NO N/A. Recurring Gifts of Cash YES NO N/A. Income from Trust Fund not revocable by family member YES NO N/A. TANF YES NO N/A. Other? Zero Income Verified? YES NO N/A. TOTAL: Allowances Use Left Column Current Cert/Right Move-in 50059/iTIC Amount Verified 3rd Party Verified? C M C M. 26) Childcare Expenses (children under age 13) YES NO N/A. Dependent $480 (not Head/CoHead/Spouse/. Foster Child or Full Time Student) YES NO N/A. Medical/Disabled Assistance Expenses 50059/iTIC Amount Verified 3rd Party Verified? C M C M. 27) Proof of Elderly, Handicapped or Disabled YES NO N/A. $400 Elderly Allowance Household Deductions YES NO N/A. Medicare Premium / Health Insurance Premiums YES NO N/A. Perscriptions YES NO N/A. Doctor/Hospital expenses / Medical Transportation YES NO N/A.

10 Payments on Medical Bills YES NO N/A. Attendant/Assistive Animal Care YES NO N/A. Handicapped Assist. Expense (fam member H/D) YES NO N/A. Other YES NO N/A. TOTAL: 2004-2011 Independent Management Services/Independent Management Services Procedures Manual Release SOP_FORM / IMSPM Forms Release PAGE 3 OF 5. Version 01062011 ON-SITE AUDIT CHECKLIST AND TENANT FILE REVIEW FORM Page Two of Tenant File Under IMS Form Yes No N/A Comments: 28) Are the Asset calculations correct on the 50059/iTIC? 29) Are the Income calculations correct on the 50059/iTIC? 30) Are the Allowances/Expenses correct on the 50059/iTIC? 31) Social Security #'s verified for all household members? 32) Is the Move-In date correct on the 50059/iTIC? Does it match the lease? 33) Is the Proper Citizenship Code on the 50059 (not PV)? 34) Is the 50059/iTIC an original copy and is it legible? Explain: 35) Was the Certification completed on time?