Appendix 4.xls

XLS spreadsheet 160 KB Posted Apr 14, 2023

Attached to: Tenant File Review IFB
Solicitation number: 23-551HDA-ASSET-B-36140
Issued by: Illinois

About this file

Written by GovTribe AI · Jul 31, 2024

This document is a Tenant File Review Questionnaire from the Illinois Housing Development Authority (IHDA) regarding an affordable multifamily rental housing development. The questionnaire covers various aspects of the tenant file review process, including vacancy and turnover, tenant satisfaction and training, resident file maintenance, household information, household composition, verification, leases and leasing practices, State Referral Network (SRN) participation, certification activities, 5th year reviews, billing activities, and move-out/applicant rejection review. The review is intended to assess compliance with IHDA and HUD requirements for the development.

The related state and local contract opportunity is an Invitation for Bid (IFB) issued by IHDA to seek a vendor to perform the tenant file reviews for occupied units in affordable multifamily rental housing developments in IHDA's portfolio. The IFB specifies that all submissions must be made electronically, and no paper responses will be accepted. The contract term and any renewal options are not provided in the information given.

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Tenant File Review IFB Final.docx	DOCX document	Apr 14, 2023
Appendix 1~8.xlsx	XLSX spreadsheet	Apr 14, 2023
Appendix 2.xlsx	XLSX spreadsheet	Apr 14, 2023
Vendor Q and A~4.pdf	PDF	Apr 14, 2023
ipg-active-registered-vendor-disclosure-formerly-forms-b-v.23.1.docx	DOCX document	Apr 14, 2023
Pre-Bid Conference TEAMS Information~10.docx	DOCX document	Apr 14, 2023
attachment-notice-of-electronic-submission-only-v-22-1~2.pdf	PDF	Apr 14, 2023
Appendix 3.docx	DOCX document	Apr 14, 2023
Utilization Plan Version 21.0 4.12.2021~5.pdf	PDF	Apr 14, 2023
B36140 notice-of-award-form-v.23.1_2.pdf	PDF	Apr 14, 2023
vendor-disclosure-formerly-forms-a-v.23.3.docx	DOCX document	Apr 14, 2023
BEP ADDENDUM B-36140.xlsx	XLSX spreadsheet	Apr 14, 2023

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Summary

Illinois Housing Development Authority

Tenant File Review

111 E. Wacker Dr., Suite 1000

Summary Sheet

Chicago, Illinois 60601

(312) 836-5200

(For SRN Tenant File Review only)

Revised 3/15/2023

For each item reviewed, mark a block in column A (acceptable), M (management to correct within 30 days), I (items requiring immediate action), or N/A (not applicable). After discussing items with owner or management agent, enter the estimated completion date in the TCD (Target Completion Date) column.

Development Name & Address

Owner's Name

Since: (Mo/Yr)

Resident Manager's Name

Since: (Mo/Yr)

Agent's Name

Since: (Mo/Yr)

No. of Units:

Occupancy

Type of Program

IHDA No.

Loan Position(s)

Total

Program

Initial Review

Tenant Type

Vacant

Was the development prepared for the Tenant File Review?

Purpose of Report:

Tri-Annual Review

Family

5th Year File Review

Elderly

SRN

Yes

Mixed

Review Date:

SRO

Was this a Virtual or on-site Tenant File Review?

A. General Information

SRN Agreement Dates:

Virtual

On-Site

B. File Review

N/A

TCD

1. Vacancy and Turnover

2. Tenant Satisfaction and Training

3. Resident File

4. Household Information

5. Household Composition

6. Verification

7. Lease/Leasing Practices

8. State Referral Network Participation

9. Certification Activities

10. 5th Year Review

11. Billing Activities

12. Move-out/Applicant Rejection Review

I. File Review Rating (Applicable for Development's with IHDA Loans Only)

Above Average

Satisfactory

Below Average

Unsatisfactory

Not Rated

II. Rating for Overall Tenant File Review Only (mark applicable box):

Compliant

Non-Compliant

Not Rated

Signatures:

Inspection prepared by:

Inspection approved by:

Title

Date

Title

Date

Program Coordinator / Program Administration Officer / Compliance Officer

Director/Asst. Director/Manager, AMS

Item

For each 'M' and 'I' item checked, describe findings and give recommendation for correction.

No.

Development's Description and Comments to Findings/Tenant File Review:

Non-IHDA Subsidies

Unit Composition

Number and Type of Bldg

Comments

FINDINGS

d. Does the development maintain a waiting list of prospective tenants? Is the

list updated annually as required? How many are now on list?

Please include addresses for all buildings - use summary page 2 if necessary.

List all program types - i.e. HOME, Sect.8/236 and/or Tax Credits (IHDA programs only - use abbreviations).

List all loan numbers by lien position (i.e. 17-2037-01) and IHDA TC number.

Review Management Agreement, Regulatory Agreement or Audit.

Use Program Units under the 1st loan position.

Use DMS to identify loans and positions Was the information submitted on time and was all requested information submitted.

Paula Lewis:

Possibly change in mgmt agency name Paula Lewis:

Owner's name may have changed Paula Lewis:

Resident Mgr's name may have a changed

Questionnaire

Tenant File Review

Questionnaire

SRN Development

Part A: File Review

Summary of Tenant File Review

Number of SRN Program Units

Number of Files Reviewed

Number of Move-out Files Reviewed

Name

Unit

Name

Unit

Name

Unit

1. Vacancy and Turnover

5th Yr

N/A

YES

FNDGS

Remarks

a. Number of SRN vacancies in the development.

b. Has the site provided an explanation regarding their current vacancies?

c. Number of SRN units ready for occupancy as of the date of Review.

d. How many referrals were requested in a 12 month period? (month of review)

e. How many resulted in a move-in?

f. Date of last Periodic Polling up-date.

g. Has the Consolidated Certificate of Compliance been submitted to IHDA?

h. Date of the last Lead Based Certification?

Vacancy and Turnover File Maintenance

N/A

2. Tenant Satisfaction and Training

5th Yr

N/A

YES

FNDGS

Remarks

a. Were there any SRN resident complaints/grievances from management within the last 12 months?

b. List of all job related seminars attended within the last 2 years by on-site employees (including a copy of the IHDA training, Fair Housing and any other applicable certificates)

Tenant Satisfaction and Training File Maintenance

N/A

3. Resident File

5th Yr

N/A

YES

FNDGS

Remarks

a. Is the owner/agent following HUD/IHDA's documentation retention requirements?

b. Are the files organized and properly maintained?

Resident File Maintenance

N/A

4. Household Information

5th Yr

N/A

YES

FNDGS

Remarks

a. Is the rental application complete, including the date and time received by the owner/agent and signed by all applicants 18 and older?

b. Is there a form HUD -92006, “Supplement to Application for Federally Assisted Housing” in the file? (Tenant completion is optional.) (For tenants who applied after 12/14/2009)

c. Are the household members identified correctly on the current TIC?

d. Were the unit sizes appropriate for the household composition at the time of the file review?

e. Was the household income eligible at move-in?

f. If a household was ineligible at move in, were exceptions granted?

g. Has a Consent Form been signed by all eligbile household members?

h. Is the Lead-Based Paint acknowledgement in the file (or other release of information signed by tenant and landlord)?

i. Does the current TIC contain the ethnicity and Racial Data Certification?

Household Information File Maintenance

N/A

5. Household Composition

5th Yr

N/A

YES

FNDGS

Remarks

a. Social security numbers for all family members (except those exempt by 24 CFR 5.216)?

b. Eligible immigrant status or citizenship, i.e. section 214 form signed by all family members?

c. Does the file contain a Criminal and Drug Screening report?

d. Does the file contain other screening documents as disclosed in Tenant Selection Plan? (Home visits, Landlord verifications, Sex offender etc.)

e. Birth Certificate for each household member in file?

f. U.S. Government issued identification card for Head of Household in file?

g. Criminal and drug screening or Other screening as disclosed in Tenant Selection Plan? (Home visits, Landlord verifications, Sex offender etc.)

Household Composition File Maintenance

N/A

6. Verification

5th Yr

N/A

YES

FNDGS

Remarks

a. Have all verification items been verified and properly documented?

b. Was a checklist completed certifying all income, assets, and family composition?

Verification File Maintenance

N/A

7. Leases / Leasing Practices

5th Yr

N/A

YES

FNDGS

Remarks

a. Is Correct Lease Used?

b. Other program lease or lease addendum used, as applicable? (such as the LIHTC Addendum if LIHTCs are present)

c. Are applicable attachments attached to the lease, e.g., house rules, pet policy, unit inspection report? (Smoke Detector Addendum, VAWA Lease Addendum: HUD 91067)

d. Were Security Deposits collected in the correct amount for the program type and documented in file?

e. Is the move-in inspection dated and signed by tenant and owner/agent?

f. Are Annual DSS inspections documented in the file signed by tenant and owner/agent?

Leases / Leasing Practices File Maintenance

N/A

8. State Referral Network Participation

5th Yr

N/A

YES

FNDGS

Remarks

a. Is development listed on IL Housing Search Website?

b. Copy of SRN Referral documentation for all move-ins (documentation from SRN Wait-list Manager)

c. Were SRN Waiver's issued for this development? If yes, list the unit #'s, size and date of the Waiver

d. Was the development's last log-in to website within the last 30 to 60 days?

e. Is the development listed on the Laggard Report?

f. Has the development responded to notification(s) for correcting the delinquency?

State Referral Network File Maintenance

N/A

9. Certification Activities

5th Yr

N/A

YES

FNDGS

Remarks

a. Is the original TIC and current 3 years in the file?

b. Were recertification notices sent 90 days prior to the recertification date?

c. Were recertification's completed on time?

d. Is the TIC signed and dated by the appropriate parties?

e. Were 30-day notice of increase provided to the tenants?

f. Are all reported income and deductions verified and calculated?

Certification Activities File Maintenance

N/A

10. 5th Year Review

5th Yr

N/A

YES

FNDGS

Remarks

a. Is the original 50059/TIC in the file?

b. Is the TIC signed and dated by the appropriate parties?

c. Are all reported income and deductions verified and calculated?

d. Do current rents exceed maximum rents minus utility allowances?

e. Were the applicable Income Limits used?

5th Year Review File Maintenance

N/A

11. Billing Activities

5th Yr

N/A

YES

FNDGS

Remarks

a. Do the current rents exceed maximum rents minus utility allowances?

b. Were the applicable Income Limits used per Family size?

c. Were the applicable Max Rents used per unit size?

d. Does the Contract Rent on the TIC match the initial Lease Agreement? (Initial Only)

Billing File Maintenance

N/A

12. Move-out / Applicant Rejection Review

5th Yr

N/A

YES

FNDGS

Remarks

a. Was there a move-out notice from the tenant?

b. Does the reported tenant move-out date match the date the tenant vacated unit?

c Was there a move-out inspection with signatures and dates by the tenant and owner/agent?

d. Was the security deposit refunded to the tenant within 30-days or in accordance with state/local laws whichever is shorter?

e. Did the Owner/Agent send notification to IHDA/Waitlist Manager when an SRN unit became vacant?

f. Was the reason the appliant was denied admittance inaccordance with the TSP?

g. Did the Applicant Rejection Letter include the required criteria?

h. If appealed, were criterias met?

i. Was there a Reasonable Accommodation offered and approved?

Move-out / Applicant Rejection Review File Maintenance

N/A

I. File Review Rating

Above Average

Satisfactory

Below Average

Unsatisfactory

Not Rated

Instructions

Summary
For each item reviewed, mark a block in column A (acceptable), M (management to correct within 30 days), I (items requiring immediate action), or N/A (not applicable). After discussing items with owner or management agent, enter the estimated completion date in the TCD (Target Completion Date) column.
Development name & address: include addresses for all buildings. Use summary page 2 if necessary for additional addresses.
If this is a scattered site, for example, use one address on the first page and list the remaining addresses on page 2.
Owner entity: review management agreement, regulatory agreement, or audit. Use legal entity name.
Type of program: list all program types - i.e. HOME, Section 8/236 and/or Tax Credits. IHDA programs only - do not use abbreviations.
IHDA number: list all loan numbers by lien position (i.e. 17-2037-01), and IHDA TC number.
Number of Program units: list for the highest IHDA position only
Date of last annual inspection: insert the date of the most recent on-site management review. This does NOT include the physical inspections. These inspections are addressed in part A.
Signatures
Review Prepared By: insert the digital signature of the Program Administration Team Member who completed the Review.
Name / Title: type the name of the Program Administration Team Member who completed the Review
Review Approved By: the approving Program Administration Manager or Assistant Director will insert their digital signature into the PDF version of the final report.
Name / Title: for reviews rated Satisfactory or better, type the name of the Rental Compliance Supervisor. For reviews rated Below Average and Unsatisfactory, type the name of the Assistant Director.
Development Description
Non-IHDA/HUD subsidies: identify program type, number of units and monitoring agency.
Indicate term of any subsidy contract, including expiration date. For those developments where IHDA is not the Contract Administrator, obtain HAP contract info and indicate ending date. Also, identify the contract term. If not indicated, review the notes in the audit for this information.
Additional IHDA program units: list programs not identified above. (i.e. HOME units / 8 one BR and 2 two BR)
Unit composition: indicate each unit size at the development and the number of each type of unit.
Please be thoughtful regarding the number format used, to avoid confusion. Examples of acceptable format are:
	three 1-bedroom units
	3 one-bedroom units
	three 1BR units
Number and type of building: the type should be descriptive of the building style, i.e. high rise, townhouse, walk up, single-family home.
"Elevator building" does not give an indication of whether the building is low-, mid-, or high rise, for example.
Amenities: do amenities match the project summary?
Work out & additional comments: refinance, loan modification, transfer of physical assets, Owner or Agent changes, market changes. Review current Loan Monitoring Agenda.
Have all findings from prior reviews been resolved: List any outstanding/unresolved findings from the prior review (limited to the prior year). If there are outstanding findings, include specific findings. Unresolved code violations, audits, TSP and AMP updates, budgets, or tenant file audits, will result in an automatic Below Average or Unsatisfactory based on the number of findings.
Comments to Findings/Management Review Questions:
For each 'C' item checked, describe findings and give recommendation for correction. The corrective action should specify how the agent needs to correct the finding and what documentation or certification must be submitted to IHDA in order to resolve the finding. Explain any "Below Average" or "Unsatisfactory" rating.
Questionnaire
PART A: File Review
1. Vacancy and Turnover
a.-h. Information is listed on the TABS document and provided by the development.
2. Tenant Satisfaction and Training
a. Review tabs for any Resident complaints/grievances from management agent and resolutions
b. Owner/agent should provide a copy of professional related training certificates and or certifications (i.e Fair Housing etc.)
4. Household Information
For all required documents refer to the "What Should be In The Tenant File Checklist" Located in T/Asset/Forms/SRN.
a.-b. Applications must be dated and time stamped upon receipt. Applications should ask for household composition, age, student status, sources of income and assets. In addition, assets disposed of for less than fair market value. Make sure the application is signed, dated by all applicants 18 and older.
c. All household members should be listed on the TIC and their repective relationship status.
d. The unit size that the household is living in should be correctly marcked on the TIC.
e.-f. Review the income standards and number of members in the household for the move-in year
g. A Consent Form should be signed by all eligble household members that are 18 years of age and older.
h. Check development portfolio for current compliance package to answer these questions.
i. TIC must contain ethnicity and racial data certification
5. Household Composition Verification
a-g. Third party verification check-list if available, all criterial indicated in the TSP (credit check, landlord verification, Sex Offender, Background Checks) etc.
7. Lease/Leasing Practices
a-c. Make sure applicable model lease (dates) is in file for the program and signed by all parties with addendums. (Smoke Detector Addendum, VAWA Lease Addendum: HUD 91067, and HUD Notice of Occupancy Rights Under VAWA: HUD 5380).
d. The Security Deposit collected should match the amount required by the program.
e.-f. Make sure that Inspections are signed by owner and agent
8. State Referral Network Participation
a. Verify if the development is listed on IL Housing Search website
b. Review SRN Referral activies for all move-ins, during the timeframe of this Review
c. Review SRN Waivers issued for information on unit #'s, size and date of the Waiver
d. Check IL Housing Seach for last date that the development logged into the webisite withith the last 30-60 days
e.-f. Check portfolio file for Laggard Report memos.
9. Certification Activities
a. Verify dates the TICs & leases were signed.
b. Were notice guidelines followed 90 days prior to recertification date.
e. Owner/agent is required to give 30 days notice for rent increases
f. Verify that income & assets, student status, etc. were verified prior to the effective date. Refer to 4350.3 Appendix 3 for items to be verified and acceptable verification methods.
10. 5th Year Review
a. Verify dates of the move-in TIC & leases were signed.
c. Verify that income & assets, student status, etc. were verified prior to the effective date. Refer to 4350.3 Appendix 3 for items to be verified and acceptable verification methods.
d. Include in remarks section if rents exceed maximum rent level, missing or incorrect information on TST-3 (TIC) forms.
e. Remark and make a finding if any income / limits / UAs are incorrect.
11. Billing Activities
a. Include in remarks section if rents exceed maximum rent level, missing or incorrect information on TST-3 (TIC) forms.
b. Remark and make a finding if any income / limits / UAs are incorrect.
c. Remark and make a finding if Max Rent for the certification year are incorrect.
d. At Initial Certification, does the Contract Rent match the Lease Agreement.
12. Move-out/Rejection Review
a. Check to see applicant gave written move-out notice to owner/agent.
b. Check to see if move-out notice date matches the date the tenant vacated the unit.
c. Verify that the Move-Out Inspection is signed and dated by the tenant and Management Agent.
d. Verify if the Security Deposit was refunded in the appropriate timeframe. If not, did Management provide a billing statement showing a list of charges.
e. Did owner/agent send notification to IHDA and SHC/Waitlist Manager?
g. Rejection letter must state the reason for the rejection, and advise applicants that the rejection may be appealed within 14 days.
h. Any appeal must be heard by someone other than the person who made the rejection decision.
i. Check for written requests for Reasonable Accommodation notice and response from owner/agent.

MBD00399698

File details come from the government source that posted it. Updated Jul 31, 2024.