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1 Texas NAHRO 31 st Annual Conference and Tradeshow (REAC: UPCS Inspection Protocol) April 24 - 25, 2007.

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Presentation on theme: "1 Texas NAHRO 31 st Annual Conference and Tradeshow (REAC: UPCS Inspection Protocol) April 24 - 25, 2007."— Presentation transcript:

1 1 Texas NAHRO 31 st Annual Conference and Tradeshow (REAC: UPCS Inspection Protocol) April , 2007

2 2 Training Agenda TUESDAY, APRIL 24 TH : 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!

3 3 Training Agenda (Continued) TUESDAY, APRIL 24 TH : 3:00 pm – BREAK (30 Minutes) 3:30 pm – Deficiencies, Definitions … 5:00 pm – End for the Day

4 4 WEDNESDAY, APRIL 25 TH : 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)

5 5 Ground Rules RULE NUMBER 1: Dont shoot the messenger! (Me.) RULE NUMBER 2: Ask questions! Remember, there are no dumb questions, just dumb answers. (Which Ill try my best not to give.) When in doubt, refer to RULE NUMBER 1 above. RULE NUMBER 3:

6 6 Reminder! =

7 7 - 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?

8 8 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?

9 9 Questions to be Answered (Continued) - 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?

10 10 PROTOCOL

11 11 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/REACs Mission

12 12 The Uniform Physical Condition Standards (UPCS) are the foundation of HUD/PIH-REACs 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

13 13 PROPERTYPROPERTY Site Inspectable Areas Inspectable Area PHYSICAL INSPECTION STRUCTURE BuildingExteriorBuildingSystemsUnitsCommonAreas Building

14 14 SITE Fencing and Gates Grounds Mailboxes/Project Signs Market Appeal Parking Lots/ Driveways/Roads Etc. SITE Fencing and Gates Grounds Mailboxes/Project Signs Market Appeal Parking Lots/ Driveways/Roads Etc. BUILDING EXTERIOR Doors Fire Escapes Foundations Lighting Roofs Walls Etc. BUILDING EXTERIOR Doors Fire Escapes Foundations Lighting Roofs Walls Etc. BUILDING SYSTEMS Domestic Water Electrical System Elevators Emergency Power Fire Protection HVAC Etc. BUILDING SYSTEMS Domestic Water Electrical System Elevators Emergency Power Fire Protection HVAC Etc. COMMON AREAS Basement/ Garage/Carport Community Room Day Care Halls/Corridors/ Stairs Etc. COMMON AREAS Basement/ Garage/Carport Community Room Day Care Halls/Corridors/ Stairs Etc. UNIT Bathroom Call-for-Aid Ceiling Doors Electrical System Floors Hot Water Heater Kitchen Etc. UNIT Bathroom Call-for-Aid Ceiling Doors Electrical System Floors Hot Water Heater Kitchen Etc. INSPECTABLE ITEMS HEALTH & SAFETY Air QualityElevator Emergency/Fire Exits Flammable MaterialsElectrical Hazards Etc Air QualityElevator Emergency/Fire Exits Flammable MaterialsElectrical Hazards Etc. HEALTH & SAFETY Air QualityElevator Emergency/Fire Exits Flammable MaterialsElectrical Hazards Etc Air QualityElevator Emergency/Fire Exits Flammable MaterialsElectrical Hazards Etc. PHYSICAL INSPECTION STRUCTURE

15 15 Inspectable Item Inspectable Area Observed Deficiency (OD) No Observed Deficiency (NOD) Not Applicable (NA) Level 1 Level 2 Level 3 - or - Deficiency Definitions UPCS SOFTWARE CONFIGURATION

16 16 PASS Physical Assessment Subsystem - Scoring - Checklist - Inspection Review - Time Stamp Analysis - Reporting TheINTERNET Data Collection Device Inspector gathers data using UPCS Software on a DCD PASS SUBSYSTEM COMPONENTS

17 17 PhysicalAssessmentScorePhysicalAssessmentScore Predeterminedweights and factors and factors Building Profile Information Observed Deficiencies Deficiencies SCORING

18 18 –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

19 19 –Perform objective, factual physical assessments. –Conduct inspections according to the HUD/PIH-REAC Physical Inspection Protocol. –Ensure success by complying with the UPCS. INSPECTORS ROLE

20 20 –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

21 21 –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 residents 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)

22 22 –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)

23 23 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

24 24 Inspection Day Inspection Day Receive inspection assignment Receive inspection assignment 1 Download property profile Download property profile 2 Confirm inspection Confirm inspection 3 Update inspection schedule Update inspection schedule 4 Travel to property Travel to property 5 Meet with property representative Meet with property representative 6 7 Verify/update property profile info. a. property, b. participant, c. certificate, d. area measures 7 Verify/update property profile info. a. property, b. participant, c. certificate, d. area measures 8 Visually verify/update building information 8 Visually verify/update building information Generate sample Generate sample 9 a. Identify sample buildings b. Enter generated sample units a. Identify sample buildings b. Enter generated sample units 10 Inspect a. site, b.-d. building(s), and e. units Inspect a. site, b.-d. building(s), and e. units 11 Confirm/verify inspection data Confirm/verify inspection data 12 Complete Notification of Exigent and Fire Safety Hazards Observed form (if needed) and provide a copy to property representative Complete Notification of Exigent and Fire Safety Hazards Observed form (if needed) and provide a copy to property representative 13 Upload completed inspection Upload completed inspection 14 PHYSICAL INSPECTION PROTOCOL

25 25 PRE-INSPECTION Receive inspection assignment Receive inspection assignment 1 Download property profile Download property profile 2 Confirm inspection Confirm inspection 3 Update inspection schedule Update inspection schedule 4 PHYSICAL INSPECTION PROTOCOL

26 26 –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 Assignment PRE-INSPECTION PHASE

27 27 PRE-INSPECTION PHASE –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: participants 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

28 28 –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. PRE-INSPECTION PHASE STEP 3: Confirm Inspection [Arrange Date and Time]

29 29 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 PRE-INSPECTION PHASE STEP 3: Confirm Inspection [Arrange Date and Time] (Continued)

30 30 –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 PRE-INSPECTION PHASE STEP 4: Update Inspection Schedule

31 31 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 7 Travel to property Travel to property 5 Meet with property representative Meet with property representative 6 Visually verify/update building information Visually verify/update building information 8 Generate sample Generate sample 9 a. Identify sample buildings b. Enter generated sample units a. Identify sample buildings b. Enter generated sample units 10 Inspect a. site, b.-d. building(s), and e. units Inspect a. site, b.-d. building(s), and e. units 11 Confirm/verify inspection data Confirm/verify inspection data 12 Complete Notification of Exigent and Fire Safety Hazards Observed form (if needed) and provide a copy to property representative Complete Notification of Exigent and Fire Safety Hazards Observed form (if needed) and provide a copy to property representative 13 PHYSICAL INSPECTION PROTOCOL

32 32 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. INSPECTION PHASE STEP 5: Travel to Property

33 33 –Property representative may postpone an inspection due to inclement weather. Inspector must report immediately to REACs 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

34 34 –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

35 35 –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. INSPECTION PHASE STEP 6: Meet with Property Representative

36 36 –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. INSPECTION PHASE STEP 6: Meet with Property Representative (Continued)

37 37 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) INSPECTION PHASE STEP 7: Verify/Update Property Profile Information

38 38 –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. INSPECTION PHASE STEP 7a: Verify/Update Property Information

39 39 –Inspector verifies/updates participant information. Participant name. Participant role (e.g., site manager, owner, etc.) Participant organization name. Participant address and telephone number. Participant 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. INSPECTION PHASE STEP 7b: Verify/Update Participant Information

40 40 –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 INSPECTION PHASE STEP 7c: Verify Certificates

41 41 –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. INSPECTION PHASE STEP 7d: Obtain Area Measures

42 42 –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 INSPECTION PHASE STEP 8: Visually Verify/Update Building Information

43 43 –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

44 44 –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

45 45 –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 INSPECTION PHASE STEP 9: Generate Sample

46 46 –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 software INSPECTION PHASE STEP 9: Generate Sample (Continued)

47 47 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 Dont SAMPLING DOs AND DONTs Allow property owners to alter sample units. Provide property owners with a list of samples prior to inspection. Deviate from inspection protocol.

48 48 –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. INSPECTION PHASE STEP 10a-b: Identify Sample Buildings and Enter Generated Sample Units

49 49 –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

50 50 –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)

51 51 –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

52 52 –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 HEALTH AND SAFETY HAZARDS

53 53 –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 HEALTH AND SAFETY HAZARDS (Continued)

54 54 –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. INSPECTION PHASE STEP 11a: Inspect Site

55 55 –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. INSPECTION PHASE STEP 11b-d: Inspect Building: Exterior, Systems and Common Areas

56 56 –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. INSPECTION PHASE STEP 11b-d: Inspect Building: Exterior, Systems and Common Areas (Continued)

57 57 –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. INSPECTION PHASE STEP 11e: Inspect Units

58 58 –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. INSPECTION PHASE STEP 11e: Inspect Units (Continued)

59 59 –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.

60 60 –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

61 61 –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. INSPECTION PHASE STEP 12: Confirm/Verify Inspection Data

62 62 –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. INSPECTION PHASE STEP 13: Complete Notification of Exigent and Fire Safety Hazards Observed Form

63 63 –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-THREATENING DEFICIENCIES –For Multifamily Housing properties, life-threatening deficiencies must be mitigated immediately and reported to the HUD field office within 3 business days.

64 64 Upload Completed Inspection Data Upload Completed Inspection Data 14 PHYSICAL INSPECTION PROTOCOL POST INSPECTION

65 65 –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. POST INSPECTION PHASE STEP 14: Upload Completed Inspection Data

66 66 –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

67 67 –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

68 68 –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

69 69 DEFICIENCIES, DEFINITIONS AND THE SOFTWARE, OH MY!

70 70 DCD 2.3 INSPECTABLE DEFECTS * Time to check out some pictures! *

71 71 HQS VS. UPCS, SCORING, APPEALS, ETC.

72 72 The Process OLD: (HQS) Regulatory requirement that housing providers must inspect their units/properties to a HUD defined standard. HUD Headquarters PIH-REAC Quality Assurance Field Office Quality Assurance Housing Agency Inspects to Standard Housing Agency Inspects to Standard Field Office NEW: (UPCS) - Paper based - Pass/Fail - Subjective - Inconsistent - Electronic - Point Deductions - Objective - More Consistent

73 73 Decent, safe, sanitary and in good repair. MEASUREMENT Housing Quality Standards (HQS) Future Uniform Physical Condition Standards (UPCS) Elements The Standard

74 74 Insulation Curtains and Shades Water Saver Devices HQS vs. UPCS

75 75 Dwelling Units Holes/Missing Tiles/Panels LEVEL 3 Building Dwelling Units Living Room Ceiling

76 76

77 77

78

79 79 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

80 80 Item: Ceiling Condition HQS Guidance (paper) UPCS Guidance (electronic) *Covered under either: Bulging/Buckling, Peeling/Needs Paint or Water Stains/Water Damage/Mold/Mildew.

81 81 Building Systems LEVEL 3 Building Systems Domestic Water Misaligned Chimney/Ventilation System

82 82 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

83 83 Item: Hot Water Heater HQS Guidance (paper) UPCS Guidance (electronic) *Covered under: Missing Pressure Relief Valve.

84 84 Dwelling Units LEVEL 3 Building Dwelling Units Smoke Detector Missing/Inoperable

85 85 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

86 86 Item: Smoke Detectors HQS Guidance (paper) UPCS Guidance (electronic)

87 87 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;

88 88 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.

89 89 - 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? A: Pray. A: You have resources?!? A: Refer to the first question above.

90 90 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

91 91 The inspector records the existence and the severity of deficiencies according to preset criteria Scoring is Based on Objective Data

92 92 Relative importance (weights) were assigned to each physical area, item, and deficiency in the inspection protocol HUD applies the weights to the inspection data to compute the score The score is based on a 100 point scale The Scoring Approach

93 93 The weights were assigned as part of a consensus process: - Industry stakeholder input Public Housing Authorities Multifamily Housing (Owners / Agents) Trade groups PHA industry groups - HUD information - Trade professionals experience Scoring Protocol

94 Site Building Exterior Common Areas Dwelling Units Fencing and Retaining Walls Grounds Lighting Mailboxes/Project Signs Market Appeal Parking Lots/Driveways/Roads Play Areas and Equipment Refuse Disposal Storm Drainage Walkways/Steps Doors Fire Escapes Foundations Lighting Roofs Walls Windows Domestic Water Electrical System Elevators Emergency Power Exhaust System Fire Protection HVAC Sanitary System Basement/Garage/Carport Office Closet/Utility/Mechanical Other Community Spaces Community Room Patio/Porch/Balcony Day Care Pools and Related Structures Halls/Corridors/Stairs Restrooms/Pool Structures Kitchen Storage Laundry Room Trash Collection Areas Lobby Bathroom Call-for-Aid Ceiling Doors Electrical System Floors Hot Water Heater HVAC System Kitchen Lighting Outlets/Switches Patio/Porch/Balcony Smoke Detector Stairs Walls Windows Building Systems Areas & Items 15% 20% 35%15%

95 95 Wgt15% 20%35%15%100% Property Physical Condition Inspection Areas Site Health & Safety Deductions Whole Point Deductions From Final Score Building Exterior Building Systems Dwelling Units Common Areas Building Scoring Dynamics

96 96 Wgt15% 20%35%15%100% Property Physical Condition Inspection Areas Site Health & Safety Deductions Whole Point Deductions From Final Score Building Exterior Building Systems Dwelling Units Common Areas Building Wgt15% 20%35%15%100% Wgt18% 23%41% 0%100% (For example, if there are no Common Areas on a property, the other inspection areas become more important) No Two Properties Are Alike

97 97 Scores calculated based on: Area Points x Item Weight x Criticality x Severity Ranges are: Area Points Site = 15Bldg Systems = 20Dwelling Units = 35 Bldg Ext = 15Common Areas = 15 Item Weight (Examples) Smoke Detector = 0Missing Toilet = 10 Damaged Ceiling = 4.5Misalinged 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

98 98 Scoring Methodology (Continued)

99 99 Scoring Methodology (Continued)

100 100 Dwelling Unit: Living Room, Ceiling - Holes/Missing... - Level 3 Scoring (Area Points x Item Weight x Criticality x Severity / # Units) 35 x x 3.0 x 1.0 = / 24 = 0.20 Point Deduction (Item Weight x Criticality x Severity) 4.5 x 3.0 x 1.0 = 13.5% *Assuming 250 Units (24 Sample Units)

101 101 Building Systems: Domestic Water, Misaligned Ventilation System - Level 3 Scoring *Assuming 5 Buildings * EH&S TICKET ITEM! * (Area Points Item Weight x Criticality x Severity / # Buildings) 20 x x 5.0 x 1.0 = 15.5 / 5 = 3.10 Point Deduction (Item Weight x Criticality x Severity) 15.5 x 5.0 x 1.0 = 77.5%

102 102 Dwelling Units: Smoke Detector, Missing/Inoperable - Level 3 Scoring (Item Weight x Criticality x Severity) 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 ITEM! *

103 103 Questions to be Answered A: Push the button. (No cigarettes please.) A: Dont 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?

104 104 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

105 105 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! *

106 106 Technical Reviews (Continued) Where to send your request: Attn: PASS Technical Reviews HUD/PIH/REAC th Street SW, Suite 100 Washington, DC What can happen: - Request Denied - New Inspection Scheduled - Correct the Inspection Report (Adjust score)

107 107 What qualifies for a Database Adjustment? - Local conditions and exceptions - Ownership issues - Adverse conditions beyond the owners 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

108 108 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)

109 109 Where to send your request: Attn: PASS Database Adjustments HUD/PIH/REAC th Street SW, Suite 100 Washington, DC What can happen: - Request Denied - New Inspection Scheduled - Correct the Inspection Report (Adjust score) Database Adjustments (Continued)

110 110 In The Works - RAPID 1.0 (a.k.a. DCD 3.0)

111 111 Download Inspection Prototype Look and Feel

112 112 Inspection Profile Prototype Look and Feel

113 113 Property Profile Prototype Look and Feel

114 114 Inspection Sample Prototype Look and Feel

115 115 Archive / Restore Inspections Prototype Look and Feel

116 116 Inspect Common Areas Prototype Look and Feel

117 117 Inspect Units Prototype Look and Feel

118 118 Questions to be Answered (Continued) - 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. Thats a good one! (Ever hear of War and Peace?) A: Its easier to just have them move out. A: The Top 20 list is a good place to start.

119 119 products/pass/pass_trng.cfm

120 For More Information

121 121 Any Questions? Phone: (202)


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