Understanding What HUD Expects: How to Prepare for a HUD … · 2019. 8. 30. · Gain a better understanding of the Service Coordinator program history and SC Budget. Understanding

Understanding What HUD Expects:How to Prepare for a HUD Desk Audit

and Annual QA Review

Madelyne Pfeiffer, MSW, CFREPresident | CEO

COPYRIGHT DISCLOSUREThe material used in this presentation is communicated to you by,or on behalf of the MJ HOUSING & SERVICES in accordance withCopyright Laws. Any further reproduction or communication ofthis material is prohibited without consent from the source andmay be subject of copyright protection under the Law.

DO NOT REMOVE THIS NOTICE

THE Q/A BINDER WAS DEVELOPED IN 2012 BY MADELYNE PFEIFER, CEO OF MJ HOUSING & SERVICES AND PRESENTED AT THE AASC ANNUAL CONFERENCE

THE FOLLOWING YEAR.ALL COMPANIES MUST REQUEST PERMISSION TO USE QA BINDER OR QA

VIRTUAL BINDER TITLE AND MUST BE TRADEMARKED AS DEVELPED BY MJ HOUSING & SERVICES.

MJ Housing Team is a proud partner of

American Association of Service Coordinators

and Pangea Foundation

LEARNING OBJECTIVES Gain a better understanding of the Service Coordinator program history

and SC Budget.

Understanding Quality Assurance and how it relates to the HUD Desk Audit.

Prepare attendees for the periodic HUD Desk Audit Review

Learn how to organize and create an all-in-one binder that will contain everything needed to be in compliance with the SC Program

MJ HOUSING & SERVICES | WWW.MJHOUSINGANDSERVICES.COM | 760.696.0749

History of Service Coordination1985

- Demonstration program made possible with a grant from the Robert Wood Johnson Foundation1990

- Some U.S. Department of Housing and Urban Development (HUD) offices being allowing service coordination to be paid through a property’s operating budget

- Congress authorizes limited authority for service coordinators in Section 202 projects through the Cranston-Gonzalez National Affordable Housing Act

- HUD begins to promote service coordination across Assisted Housing Inventory1991

- HUD issues limited authority for service coordinators in Section 202 and Section 236 projects- HUD gains statutory authority to provide service coordinators in Section 202 projects

1992- Congress broadens service coordinator authorization to all multifamily assisted and public housing projects

through the Housing and Community Development Act of 1992 1995- First public housing service coordinator grants are funded and awarded

1993- Congress appropriates funds, allowing HUD to extend subsidy awards to Section 8, 221(d)(3) below-market

interest rate (BMIR) and 236 projects

http://portal.hud.gov/hudportal/HUD

http://portal.hud.gov/hudportal/HUD?src=/program_offices/housing/mfh/progdesc/eld202

http://portal.hud.gov/hudportal/HUD?src=/program_offices/public_indian_housing/programs/ph

http://portal.hud.gov/hudportal/HUD?src=/programdescription/cert8


- HUD awards service coordinator grants for public housing1996

- First National Service Coordinator Conference held, co-sponsored by Association of Ohio Philanthropic Homes for the Aging and National Church Residences

1997- HUD issues Management Agent Handbook guidance on service coordinator program in multifamily housing.

2000- Approximately 1,500 HUD service coordinator grants in public and subsidized housing, with an additional 2,500

service coordinators, funded in HUD developments though operating budgets or third parties2014

- HUD introduces Proposed Rule on Supportive Housing and Services for the Elderly and Persons with Disabilities and accepts public comments through Federal Register


- HUD releases Notice of Funding Availability for Supportive Services Demonstration Grant for Elderly Households in HUD-Assisted Multifamily Housing

2018- Grant Changes

2019- The American Association of Service Coordinators celebrates the 20th Anniversary

12/1/2019 12/31/2019

QUALITY ASSURANCE

Quality Assurance prepares a Service Coordinator for a HUD Desk Audit.

A Quality Assurance Review mimics what a HUD desk audit actually entails.

What is Quality Assurance? Quality Assurance is an integral part of the Service Coordinator Program and provides step-by-step, explicit

preparation for a HUD desk audit.

Management/Ownership must assure that the service coordinator function is effectively implemented. Therefore, quality assurance is an allowable administrative expense. A project may propose a cost of any percentage up to 10% of the service coordinator salary to provide limited monitoring oversight of the service coordinator by a qualified third party. The project must provide a written justification along with the budget.

The primary function is to ensure compliance with HUD requirements for the RSC position, with oversight of the position’s mandatory reports and documentation.

The Quality Assurance Supervision (QA) focuses on OBJECTIVITY and NEUATRALITY. An RSC Supervisor can not alsodo the QA as this can create a bias, leadingsubjectivity.


ADDDITIONAL BENEFITS TO HAVING A QUALITY ASSURANCEPROVIDER:1) QA Provider can implement a Memorandum of Understanding between SCs and Property Management in order to

insure a clear understanding of roles and responsibilities and how to work effectively together.Housing Facility Date

IntroductionFor the elderly, "aging-in-place” has become a term used to describe the increasing age of residents in federally-assisted, public housing and other affordable housing communities. Longtime residents have aged in their residences with the risk of becoming more frail.

For families,“self sufficiency” has becomea term used to describe the family’s non-relianceon subsidiesand/or other publicsupportsto maintaina job, housingor other basicneeds of daily life. Forlow income families trying to rise out of poverty,there may be barriers that hinder these efforts.

Historically, resident managers, who were hired to address the business and maintenance aspects of their housing community, found themselves dealing more and more with complex social and personal resident problems. While resident managers have often been involved extensively in coordinating services for residents, they often lack the time and availableresources needed toperform this service, or may not have the educational backgroundsometimes required for complexresident issues.

It is the mission and policy of this housing organization to assist its residents in maintaining or achieving a self-reliant lifestyle. Further, the U.S. Department of Housing and Urban Development(HUD) has responded to this needproviding for servicecoordinatorsin selected HUD programs. Additionally, state/local housing finance entities may provide tax incentives to affordable housing developers that include a service coordinator program as part of their housingdevelopment.

Service coordinators are persons with the background and training to assist in the identification of resident needs and the accessing of community services and support systems to address theseneeds.

QUALITY ASSURANCE

QUALITY ASSURANCEPurpose of the Memorandum of Understanding(MOU) The property manager and service coordinator are both professionals whose special positions enhance the lives of residents

and add to the welfare of the housing community as a whole. The property manager is responsible for the healthy operation and maintenance of the entire housing community as well as the safety and security of the residents. The service coordinator expedites service management within the housing community. Each should consider the other as part of the facility team, with the understanding that each has separate identifiable roles.

Each has specific responsibilities which are outlined in the following "Memorandum of Understanding" (MOU). This agreement outlines most of the responsibilities of each participant as it pertains to the service coordinator position at this facility. However, the management company and/or owner of the property may use this document in accordance with company policies as long as they do not counteract HUD’s administrative policies.

As with other contracts or agreements affecting the community, the property manager has broad oversight of implementing them and this includes the service coordinator program "Memorandum of Understanding". The property manager may not be responsible for the direct supervision of the service coordinator, still they are responsible to see that the content of this agreement is being responsibly managed and enforced.

The management team (including all appropriate staff) will participate in an orientation of the service coordinator program before implementing this "Memorandum of Understanding".

QUALITY ASSURANCEThe Service Coordinatorwill:

Provide hours of service to the housing facility Participate in orientation of the service coordinator program When possible and appropriate, will participate in training Follow and abide by housing authority/organization/facility rules Become familiar with housing industry regulations surrounding tenancy, Fair Housing, and 504 regulations (reasonable accommodation) Inform management of any resident incident or issue which adversely impacts management or the safety and security of other residents or the building Maintain an office in the facility Communicate with manager(s) about changes in residents' condition that does not compromise resident privacy Ensure confidentiality of resident files including the acquisition of a 'release of information' form from residents Meet at least weekly with the manager to review work activities and # of residents being served Complete and distribute appropriate reports in a timely fashion and document appropriate information in resident files Inform management of resident problems that interfere with the safety or security of the building Report any suspected cases of abuse, neglect or exploitation of a resident to appropriate agency Advise residents and families of community resources, services and service options but not compel residents to accept their services or the services of outside

providers Link residents, as requested, to appropriate community services Monitor the effectiveness of services and inform management of any concerns. Report problems of service providers to the appropriate agency Advise management of the potential changes in a resident's condition which may interfere with their residency (decisions involving Long Term Care) or lease

violations Inform all residents of the availability and purpose of the service coordinator position Provide information for reporting to HUD as appropriate

QUALITY ASSURANCEManagement will:

Whenever possible, participate in the evaluation process of the service coordinator Meet or communicate regularly (at least once weekly) and on an as needed basis with the service coordinator regarding

service management and their awareness of changes in a resident’s condition Ensure that the service coordinator does not provide direct services to residents and sees to it that the service coordinator is not

involved in the planning or preparation of social or recreational activities of the overall housing community Allow the service coordinator access to manager’s resident files on an as needed basis with a release of information from the resident

unless specifically prohibited by Federal law or regulation (e.g., EIVS information) Inform the service coordinator of changes in a resident's condition that may impact the resident's ability to meet lease obligations Introduce the service coordinator to residents, families, and known service providers Ensure that the service coordinator will not act on behalf of or in place of the manager Advise the service coordinator that they are not to act as a Notary Public nor as a witness to a Health Care Proxy, or Power of

Attorney Advise the Service Coordinator that they are not to accept valuable gifts from residents or service providers Provide (as appropriate)

necessary training of the service coordinator Participate in setting goals and objectives in relation to facility needs affecting the residents Supervises the M.O.U. with communication to the Quality Assurance Administrator as to its' effectiveness and/or suggestions for

modification

The Quality Assurance Administratorwill:

Implement the M.O.U. after consultation with the housing management, the property manager and the service coordinator Initiate the reporting and policy procedures of the position and see to the adherence of such procedures including HUD requirements byall participants Assist in the development of the service coordinator program at each housing community Be available for conferencing in unresolved issues facing the service coordinator and management Select resident files to review to ensure that the service coordination and follow up monitoring provided is appropriate and in accordance with federal regulations and recommended standards

ofpractice Provide guidance on problem-solving methods and service coordination practices Recommend and monitor educationalopportunities regarding service coordination Provide necessary training and orientation of service coordinator and manager, as appropriate, and ensure the service coordinator follows training guidelines, whererequired

===================================================================

Prior to signing the 'Memorandum of Understanding,' it is recommended that all parties review the job description of the ServiceCoordinator as a further clarification of this document.

All parties will meet at least to discuss results achieved and directions for future efforts.

This Memorandum of Understanding is made as of , by and between the followingparties: _______________________________________

Housing Management Service Coordinator

QUALITY ASSURANCE

QUALITY ASSURANCE2) Provide training and mediation with Property Management and Service Coordinator on how to work cohesively as a Team.

Below is a 1-hour training we do with all of our new Service Coordinators and Property Managers/On-site teams

Training is based on: POLICY RECOMMENDATIONS FOR A SUCCESSFUL PROGRAM American Association of Service Coordinators, Janice Monks, LSW, RHP, President

Service Coordinator and PropertyManagers:

How to work as a cohesive team

© 2018 Madelyne Pfeiffer – All Rights Reserved.

3) Quality Assurance Provider can assist owners and management company find alternatives to fund or subsidize SC programs without grants through project funds, residual receipts, and Community Reinvestment Funds through local banks.

QUALITY ASSURANCEA SERVICE COORDINATOR PROGRAM WITHOUT QUALITY ASSURANCE CAN SUFFER ON ACCOUNT OF: No direct relationship with HUD representatives and don’t always get the up-to-

date HUD information. QA Providers must develop a strong communication and with each grant specialist from each region they serve.

Without a Quality Assurance Provider there can be a lack of oversight in meeting all HUD requirements including having trouble passing the on-site HUD desk audit. QA Providers are required to ensure all reporting is submitted: Standards of Success Reports, Annual Resident Interviews and Resident Satisfaction Surveys, Accounting Reports, LOCCS vouchers and back up receipts, HUD -50080, Annual QA Report ….And never knowing for sure if you are fulfilling the HUD compliance requirements.

WHAT IS A HUD DESK AUDIT?• A periodic HUD desk audit is when 1 or 2 HUD

Representatives will come and do a site visit and a desk review at a SC’s property to evaluate the SC, the resident satisfaction and accounting (reports and back up receipts).

• The audit is to determine whether the SC and Administration are in compliance with the requirements of the HUD Service Coordinator Program as stated in HUD Service Coordinators in Multifamily Housing Program Resource Guide.

WHAT DOES HUD TYPICALLY EXAMINE DURING AN AUDIT?

• HUD staff will give the SC and Property Manager/Administration approximately 2 weeks to prepare for theaudit.

• When HUD Reps visit, they will use an evaluation form to determine if the SC and Administration are providingeither Satisfactory or Unsatisfactory services. If the building does not pass, the SC and Administration willhave an opportunity to rectify the gaps in service and reporting.

• HUD will specifically review resident files - SC must have a Release of Info signed by residents allowing HUD toreview files.

• The AASC Online Confidentiality Form includes in its content HUD and QA Provider have access to resident filesso you do not have to have residents sign a Release of Info.– Releases will be reviewed in further detail later in the training

• HUD will come to the building and speak with the SC, Property Management Staff and Residents.

WHAT MONITORING FORM DOES HUD USE WHEN THEY VISIT?

HUD does not have an official monitoring form.

HUD Field staff use a sample provided by HUD Headquarters called the SC Review Form ordesign their own.

All Service Coordinator programs, regardless of their funding source, must follow the samestandards and requirements.

If you have quality assurance, the HUD SC Review Form could be similar to what yourannual Quality Assurance Reviews is based on.

U.S. Department of Housing and Urban DevelopmentService CoordinatorReview Form

Project Name and Grant or Project No: Project Address:

Loan Status:

Insured

HUD-Held

Non-Insured

Section 8Contract Administration

HUD

CA

PBCA

Subsidized - Yes No (If yes, indicateall that apply)

Section 8 Rent Supplement

RAP PAC PRAC

Other

Date of On-site Review: Date of Report:

Purpose of Report

A. Site Visit

B. Desk Review

Name of Service Coordinator:

Date Hired:(mm/dd/yyyy)

Project Status:Current Under Mortgage Delinquent Under MortgageCurrent under Workout/Modification: Delinquent under Workout/Modification: Foreclosure in Progress

Number of Units

Ye N Comments:

A. Qualifications and Training

Are Service Coordinator’s qualifications consistent withHBK 4381.5

Yes No Comments:

Are training requirements met?

First Year – 36 hours On going – 12 hours

Yes No Comments:

Is Service Coordinator training and certificationdocumentation included?

Yes No Comments:

Is the Service Coordinator job description & resumeon file?

Yes No Comments:

Is the Service Coordinator’s job description/dutiesconsistent with HBK 4381.5, Chapter8.4a.(3)?

Yes No Comments:

B. ProgramAdministration

Is the Service Coordinator office clearly identifiable, accessible, and private?

Yes No Comments:

Are the Service Coordinator’s office hours clearlyposted outside of office?

Yes No Comments:

Are the Service Coordinator’s files kept locked andconfidential?

Yes No Comments:

Is a directory of service agencies and contacts maintained that is available to all?

Yes No Comments:

Are copies of program(resources/agencies)information packaged provided to clients? (i.e.:pamphlets and brochures)

Yes No Comments:© 2018 Madelyne Pfeiffer – All Rights Reserved.


What is the functional statusofthe resident population?

Estimated number of frail elderly residents (deficient in 3 or more activities ofdaily living)

Estimated number of at-risk elderly residents (deficient in 1 or 2 activitiesof daily living)

Is the ServiceCoordinatorprogram fulltime or part-time?

Full-time Part-time Comments:

Are the ServiceCoordinator’shours appropriate for the number of “at-risk” and “frail” elderly and non-elderly residents with disabilities?

Yes No

File ReviewYes No Comments

1. Are tenant files organized andmaintained?

2. Are Intake/Assessment forms part of each case file?

3. Is a case management plan included in each casefile?(must include all referrals to communityagencies)4. Is there a signed Release of Information form ineachcasefile?5. Is the disposition or termination of eachcasedocumented?6. Is there a signed Confidentiality Agreement in eachactive file?7. Are the progress notes/status detailed for eachcasefile?


C. Quality Assurance

Does the grant/budget includeQuality Assurance?

Yes No Comments:

Who is the QA provider? Is QA provider a third party?

Yes NoIs there a QA contract?

Yes No

Is there a job description for the QA provider?

Yes No

Does the QA provider conduct thefollowing:Yes No Comments

1. Evaluation of resident satisfaction

2. First review completed 6 months after hireAdditional reviews completed every 12months

thereafter3. Interview of property manager

4. Review of tenant files

5. Interviews with residents

6. Provide written year-end report


D. Reports

Are the following completed?Yes No NA Comments

1. Grant Aw ard/Amendment (HUD-1044)2. First-Time Funding Request (HUD-91186)3. One-Year Budget (HUD-91186-A)4. LOCCS/VRS Payment Vouchers (HUD-50080-SCMF)5. Semi-Annual Performance Report (HUD-92456)6. Financial Status Report (SF-269A))7. Logic Model Report (HUD-96010)8. Year-End Quality Assurance ReportFor Owners using annual budget for SC position the date oflastannual budget submitted

Month Day Year

E. Resident Participation

Have the residents been interviewedabout the service coordinator’s role?

Yes No Comments:

Are the residents knowledgeableabout the servicecoordinator program?

Yes No Comments:

Is there positive feedback about theservice coordinator program?

Yes No Comments:

Do residents believe the servicecoordinator program is beneficial?

Yes No Comments:

List the strengths of the program accordingtoresidents.

List the weaknesses of the program according toresidents

WHAT IS A SERVICE COORDINATOR REVIEW CHECKLIST?

Based on the HUD SC Review form, a Service Coordinator Review Checklist hasbeen created and will be presented and reviewed step by step!

The Checklist has every item a HUD Rep will request and review during your deskaudit (except your hard copy files).

We will review the checklist one item at a time and then after reviewing eachsection of the SC Review Checklist, I will show you how to put a QA Binder/AASCVirtual Binder together.

In partnership with

SERVICE COORDINATOR REVIEW CHECKLIST – PAGE 1

Project name and address and grant number/project number:Person(s) Interviewed:

Purpose of Report Site Visit Date: Desk Review Date:

Name of Service Coordinator:

Date Hired:(mm/dd/yyyy): * Know your date of hire

Type of Housing and Service Coordinator FundingExample Section 8, PRAC

Service Coordinator programs, whether funded through a grant or other funding streams are all to be monitored by HUD field staff inaccordance with program requirements.

Number of Units:

SERVICE COORDINATOR REVIEW CHECKLISTPART A. QUALIFICATIONS AND TRAINING

1. Are the Service Coordinator’s qualifications consistent with program requirements?

Qualification of a service coordinator (HUD Handbook, Ch. 8): A Bachelor of Social Work or degree in Gerontology, Psychology or Counseling is preferable A college degree is fully acceptable. Individuals without a degree are acceptable with appropriate work experience.

Supervisory experience may be necessary in some team situations in which a professional supervises a number of nonprofessional or paraprofessional "aides".

Comparable Salary ReportSocial Worker Average Salary – Based on degree in B.S.W.

In 2019, A HUD Grant Specialist stated that a BSW is a comparable salary that is accepted by HUD

SERVICE COORDINATOR REVIEW CHECKLISTPART A. QUALIFICATIONS AND TRAINING (Continued)

2. Are training requirements being met?

First Year – 36 hours/year On going – 12 hours/year

SCs must meet a minimum of 36 training hours of classroom/seminar time before hiring or mustcomplete this minimum training requirement within 12 months of initial hiring.

After the first year of employment, SCs must attend 12 hours of relevant continuing education onan annual basis.


3. Is the Service Coordinator’s training and certification documented in accordance with program requirements?

SCs must document their completed training coursework and maintain theinformation in their program files. For each course, documentation should show thesubject matter, length of time, sponsoring organization, dates, and cost.

(Grant Agreement, Article V and HUD Service Coordinators in Multifamily HousingProgram Resource Guide.)


4. Is the Service Coordinator’s training and certification documented in accordance with program requirements?

A Training Verification log has been created that lists the Statutorily Required Training Areas for New Hires,Required Ongoing Training Areas, and Additionally Recommended Training Areas so you can easily match upyour trainings with the subject areas required. The log also helps you plan what trainings you need to fulfillbefore the end of the yearly cycle.

Everyone is now required to submit Standards for Success report if receiving HUD subsidy for property. The newreporting period is 10/1 – 9/30 yearly. Past Semi Annual Reports are still available in AASC online for purposes of HUD audits.


We recommend keeping current and previous year only in the QA Binder, purging previous copies or put them in a separate file if they want to save.

If you choose to use this form first talk to your QA Provider to ensure that this form fits with your company’s interpretation of the HUD trainingrequirements.

© 2018 Madelyne Pfeiffer – All Rights Reserved.

Statutory and Required Ongoing Training AreasIn the HUD Service Coordinators in Multifamily Housing Program Resource Guide it states:

New language - “Service Coordinators must meet the statutory requirements before requesting approvalfor additional training in other core subject areas.”

In the first year, The Statutorily Required Training Areas for New Hires should be attended first. Onceyou have fulfilled those specifics subjects you can then start fulfilling your Required Ongoing TrainingAreas.

In the following years, the Required Ongoing Training Areas should be attended first. Once those arefulfilled, you can then start attending Additional Recommended Training Areas

CONTINUING EDUCATION REMEMBER - Continuing education is necessary in order to be an effective

professional. At a minimum, service coordinators must remain current on changing statutes at all levels and current practices in aging and/or disability issues.

C.E.U. stands for Continuing Education Unit. A C.E.U. is a unit of credit equal to 10 hours of participation in an accredited program designed for professionals with certificates or licenses to practice various professions.

CHECK with your company and HUD region to confirm the requirements for you!


4. Is the Service Coordinator job description and resume on file?

Get a job description from your organization. If one is not available, you can go to the AASC website and download the full job description.

5. Is the Service Coordinator’s job description consistent with duties being performed?

Taken from AASC JOB DESCRIPTION

Objectiveof the position:The Service Coordinator (SC) must work from an empowerment model. The goal of the program is self-actualization ofresidents. Residents should do as much as they are capable of doing themselves. The SC works in conjunction with theproperty manager.The SC and manager maintain a mutually respectful, collaborative relationship.


Functions:

Provides general service management which includes intake, education (services available and application procedures) and referral of residents to service providers in the general community. These social services may include meals-on-wheels, transportation, home health aides, homemakers, financial assistance, counseling, preventative health screening, and other needed services.

Develops a Resource Directory. This directory may include a listing of state and/or local service providers that residents can contact for assistance (e.g. services to families, children, individuals who are elderly, persons with disabilities, emergency assistance). In many cases, State and local governments can also provide a listing of the non-profit agencies with which they contract for services.

Sponsors educational events which may include subject relating to health care, agency support, life skills, referral sources, etc.

*Family Self Sufficiency Service Coordinators and HUD Supportive Services Demonstration Grant - Resident Wellness Director and Wellness Nurse

SERVICE COORDINATOR REVIEW CHECKLISTPART B. PROGRAM ADMINISTRATION

1. Is the Service Coordinator office clearly identifiable, accessible, and private?

The SC must have sufficient separate and private office space available to meet with residents without adversely affecting normal activities.

Remember – Your office should be in compliance with ADA, so make sure your residents with wheel chairs/walkers etc. can get into your office and meet with you.

2. Are the Service Coordinator’s office hours clearly posted?

Have a name plaque with your title and next to the name plaque have your hours posted and sign on the door that states if they are available or in a meeting (optional).

SERVICE COORDINATOR REVIEW CHECKLISTPART B. PROGRAM ADMINISTRATION (Continued)

3. Are the Service Coordinator’s files kept secure and confidential?

Confidential client files. The Service Coordinator should maintain detailed notes regarding any assistance and services provided to the residents. The Service Coordinator must keep the client files in a secured location and accessible ONLY to the Service Coordinator and to management to the extent necessary.

4. Are paper files kept in a locked cabinet?

The HUD Rep will check that your key works in your file cabinet to ensure the files aresecure.


5. Are electronic files secured with a password?

Ensure you can easily access your AASC-ONLINE System or other online case management system, always know your password and username.

6. Is a directory of service agencies and contacts maintained and available to all parties?

You must set up Service Agency Listing for Resident Self-Referral. This directory may include a listing of State and/or local service providers that residents can contact for assistance (e.g., services to families, children, individuals who are elderly, persons with disabilities, emergency assistance). In many cases State and local governments can also provide a listing of the non-profit agencies with which they contract for services.

SERVICE COORDINATOR REVIEW CHECKLISTPART B. PROGRAM ADMINISTRATION (Continued) My Coordinators may use local resource guides and are required to create their own tailored Resource Directory.

The SCs enter in all the local agencies they work with into their AASC Online program. They can then create a simple index of categories (ex. Transportation, Food, Legal Aid, etc.) and put it into an organized binder with tabs. In the notes section of the contacts, they add info on shortcuts, who to talk to, translation of contact if needed and any other info that will help the resident use the directory. Remember it should not be all your contacts, just those that relate to residentneeds!

They also print one for themselves that is helpful for their own use and when residents meet with the Coordinator face-to-face.

Remember - put the Resource Directory in the community room so that the residents can look up referrals on their own without the need of the SC. This will empower them to help themselves. Also, on the weekends, residents will have access to emergency services.

Located in Drehmoor Community Room


7. Are informational packages (i.e., pamphlets and brochures) available for tenants and interested parties?

SC should keep info packages in the office.

Brochures and pamphlets do not count as part of a resource directory.

Many of our SC’s have hanging brochure wall holder so residents can see the options of localservices and brochures are organized and easily accessible for the SC. Remember seniors dowell with visual aides.


8. What is the functional status of the resident population?

Estimated number of frail elderly residents (deficient in 3 or more activities of daily living)?

Estimated number of at-risk elderly residents (deficient in 1 or 2 activities of daily living)?

Estimated number of non-elderly with disabilities?

WHAT ARE BASIC ADULT ACTIVITIES OF DAILY LIVING (ADLS) VS. INSTRUMENTAL ADLS?

Basic ADLs• Basic ADLs (BADLs) consist of self-care tasks, including:

– Personal hygiene and grooming– Dressing and undressing – Self feeding– Functional transfers (getting into and out of bed or wheelchair, getting onto or off toilet, etc.) – Bowel and bladder management– Ambulation (walking with or without use of an assistive device (walker, cane, or crutches) or using a wheelchair

InstrumentalADLs Instrumental activities of daily living (IADLs) are not necessary for fundamental functioning, but they let an individual live

independently in a community:– Housework– Taking medications as prescribed Managing money– Shopping for groceries or clothing– Use of telephone or other form of communication Using technology (as applicable)– Transportation within the community


9. Is the Service Coordinator program full-time or part-time?

10. Are the Service Coordinator’s hours appropriate for the number of “at-risk” and “frail” elderly and persons with disabilities in residence?

Presenter

Presentation Notes

Past requirement was 50 frail or at risk for full time. – New informal guidelines 100 units justifies full time SC

SERVICE COORDINATOR REVIEW CHECKLISTPART B. FILE REVIEW

1. Has tenant signed Release of Information form authorizing HUD and QA staff access to the case file?

HUD Requires SC to have in every file a Release of Information or Confidentiality form (AASC online version) stating that HUD and QA Provider can do a file review.

AASC online has Confidentiality Form stating that both can review files). Based on information I have received from a HUD Rep, it is expected to be updated annually.

If no signed consent, the reviewer cannot review the case file and SC would be likely to have trouble passingreview.

2. If no, proceed to Section D.

As mentioned, you MUST have a Release of Info specifying that HUD can review files. If you haven’t done so, it is very important that the SC start getting these signed as soon as possible.

SERVICE COORDINATOR REVIEW CHECKLISTPART B. FILE REVIEW (Continued)

3. Are intake/assessment forms included in each case file?

MJ SCs are paperless, so all documents are uploaded into AASC online. For those SCs who have a paper file, we put Intake, Assessment and ADL Assessment on the

left side and all the signed documents on the right side. We keep everything updated every year and pull out all old documents. Assessment and Case Management Plans/Service Management Plans and Signed documents

should be re-done EVERY year.LEFTSIDE RIGHTSIDE

Intake Assessment Plan (AASC)ADL Assessment (AASC Online)

Confidentiality AgreementCase Management/Service managementRelease of Information (Only used when necessary)

Left Side Resident ADL Individual

Assessment Resident Intake

Right Side Service

Management Plan

Release of Info Confidentiality

Agreement


RESIDENT FILES – Based on MJ Housing Requirements

All documents in files are updated 1x/year except the Release of Info which is updated every 6 months

Always offer to the resident a copy of the Confidentiality Agreement and Release of Info and keep the original in the file.

APS Reports are documented in a progress note and a copy is put in hanging folder next to file so it is not loose in the file.

Our SCs file non-participants in a separate section of the file cabinet because residents must be willing to participate in the annual updating of info and if they get audited with no updated signed documents, they most likely will not pass audit.


4. Is a case management plan (or service management plan) included in each case file? (must include all referrals to community agencies).

If you do not have a case management plan, talk to your QA Provider about creating one. My team uses the Service Management Plan from AASC online.

5. Is the disposition or termination of each case documented?

Print out deactivation form from AASC online or type a progress note stating the reason for leaving property.

We keep these deactive files on residents for 3 years after they move out or pass away and 7 years if evicted or case goes to legal. These files are kept in separate area of file cabinet with tabs for each year to ensure SC pulls them whenrequired.

Service Management Plan

Deactivation Form and Non-Participation Form


6. Is there a signed confidentiality Agreement in each active file?

Required to be updated every year. Important to discuss with resident the protection it provides but also when an SC must

report.

7. Are the progress notes/status detailed in each case file?

In California the HUD Rep allows us to print out the progress notes when they visit. Our SCs keep all progress notes online protected by username and password – more

protection for the residents

SERVICE COORDINATOR REVIEW CHECKLISTPART B. FILE REVIEW (Continued)Info on Progress Note Content

Resident need or request (problem statement). Action taken

Be Specific, i.e.. - If you are assisting with mail, what did you do translate a bill or document, read a personal letter? lf you sent documentation (what documents, by what method, and to whom calls made, messages, contact

name or office. REMEMBER - Use quotes as and keep objective with no personal opinion stated. Outcome, resolution or plan of action if there is no resolution at the time. Progress notes are the only secure place that we are allowed to document activity with a resident. It is critical to

be able to refer back to accurate information It may help know what steps need to occur, who was contacted,who hasn't responded, etc.

You do not have to have progress notes printed out. The HUD Rep will chose a couple of files and then ask you to print out the latest progress notes for those particular residents.

ACTION WORDS TO USE IN PROGRESSNOTES

Encouraged Enabled EngagedEstablishedbaselineEvaluated Examined Explored Extolled Feedback (sought /given) FocusedGave hints Gestured Identified Illustrated Informed Initiated Instructed Intervened Interviewed Labeled Mediated Modeled Negotiated Notified

Observed Offered Opposed Pinpointed Planned Played Practiced PraisedProblem-solved Produced Promoted Prompted Provided Qualified Quantified Questioned QuizzedReachedconsensus Reaffirmed Reassured Rebuffed Recommended ReferredReflectedReframed

Rehearsed Reinforced Rejected RelabeledRelaxationtechniques (offered / provided) RenewedReported Required Respected Rewarded Role-played ShapedStress inoculation (offered /provided) Struggled Suggested SupportedTaught Trained Urged Validated Valued Vented Verbalized Verified

Building communities through servicecoordination

In partnership with


QA Reviews are required to be submitted to HUD along with the annual SfS report and proof of training

ANNUAL QUALITY ASSURANCE REVIEW

SERVICE COORDINATOR REVIEW CHECKLISTPART C. QUALITY ASSURANCE

1. Who is the QA provider?

The grantee must ensure and provide documentation to HUD that confirms that the individualemployed to perform Quality Assurance is qualified to do so. The Grantee shall submit documentation(i.e., a resume) to HUD indicating the qualifications of the individual employed to perform QualityAssurance. The Grantee shall submit such documentation with their first semi- annual Federal financialand performance reports. The documentation shall also be maintained in the Grantee’s files, for futurereference.(Grant Agreement, Article I.K., NOFAs, and HUD Service Coordinators in Multifamily HousingProgram Resource Guide.)

• Example: I have an MSW in Social Work and have worked in the field of housing and the senior anddisabled population for 15 years.

SERVICE COORDINATOR REVIEW CHECKLISTPART C. QUALITY ASSURANCE (Continued)

2. Is QA provider a third party? HUD prefers QA Providers not to be employed by ownership or the property management company but instead by a third party organization.

Regarding next 8 questions – If you do not know the answers, your Administrator or Property Manager should have this information.

3. If yes, is there a QA contract?4. Is there a job description for the QA provider?5. Does the QA provider:A. Conduct a QA review annually?

The QA provider must conduct one program evaluation review six months following the Program’s start date and then one review every 12months thereafter. The Grantee must provide copies of the program evaluation reports received from the QA provider to the local Field Office staff onor before October of each year.

SERVICE COORDINATOR REVIEW CHECKLISTPART C. QUALITY ASSURANCE (Continued)

B. Interview residents to evaluate resident satisfaction?

I interview the residents every other year but administer resident satisfaction survey every year.

C. Interview with the property manager to evaluate program

I discuss performance of SC with Manager every year. Effectiveness?

D.Review resident files for program compliance ?E. Prepare written annual/year-end report

We have the SC create a year end report every year which includes performance.

SERVICE COORDINATOR REVIEW CHECKLISTPART D. REPORTSAre the following completed accurately and submitted timely?

Make sure your Administrator, QA Provider or Supervisor has these reports prepared for the audit.

HUD 50080

Question 9 & 10 on the break down of frail, at risk and disabled residents.

Remember when organizing your wellness and educational programs that are required once amonth, you should have associations like the Alzheimer's Association or other organizations that youknow will not solicit services! These in-services are only for education purposes, signing up forservices can be done at a later time.

SERVICE COORDINATOR REVIEW CHECKLISTPART D. REPORTS (Continued)

3. Other Project Financial reports:

a. Annual Financial Statement (AFS) Profit and Loss Statement, Account 6900. Do SC expenses agree with itemized expenses on HUD-91186 or 91186-A?

b. When AFS not applicable, narrative report of funds used?c. HUD-9250 (s), Release Authorizations, for use of residual receipts?d. Annual narrative report of Excess Income used?

4. Annual Quality Assurance Report?

Have documents provided by your Administrator/Mgt/QA Provider

SERVICE COORDINATOR REVIEW CHECKLISTPART E. RESIDENT PARTICIPATION

1. Have the residents been interviewed about the service coordinator’s role?

If no, proceed to Section F.

2. Are the residents knowledgeable about the service coordinator program?

3. Is there positive feedback about the service coordinator program?

4. Do residents believe the service coordinator program is beneficial?

5. List the strengths of the program according to the residents.

6. List the weaknesses of the program according to the residents.

The next two slides are examples of questions HUD will ask and a resident satisfaction survey distributed by my SCs every December.

SAMPLE OF SERVICE COORDINATOR RESIDENT QUESTIONS HUD WILL ASKRESIDENTS

A. Introduction

1. Did management advise you that a SC is available toresidents?2. Do you know the function of a SC?3. Do you know the SC’s name?4. Do you know the days and hours he/she is available?

B. Direct ServicesProvided

1. Were you interviewed by the Service Coordinator upon his/her arrival and, if so, how?2. Did you complete a Consent Form?3. Do you feel a sense of confidentiality and privacy when with the Service Coordinator while in his/her office?4. What type of services does he/she provide?5. Were you provided with a contact name or telephone number of agencies or programs?6. Are you actively involved in any programs or activities?7. Would you like to be more active or have more interaction with friends or family?8. Have you any difficulties finding physicians or going to appointments?9. Are your physician and emergency contact phone number noted (VISIBLY) in case of emergency?10. Do you have any questions regarding the Service Coordinator and his/her function?11. Are there any issues or services you would like addressed or provided?

C. Case Resolution

1. What assistance did you obtain or solicit from the Service Coordinator?2. How was your situation resolved?3. Did you receive contact names or numbers for community agencies or programs?

RESIDENT SATISFACTION SURVEY (This Survey is distributed 1x year by my SCs)

This Survey is completely confidential. You can choose put your name on the bottomor leave it blank.

I know what a Resident Service Coordinator is & what they do:

Strongly Agree Agree Disagree Strongly Disagree

I feel that the Resident Service Coordinator position is necessary in my building.


In the last year, the number of activities I attended that the Resident Service Coordinator planned is:

0 1-2 3-4 5-6 7 or more

I see the Resident Service Coordinator regarding individual issues or problems this many times each year:

0 1-2 3-4 5-6 7 or more

I regularly benefit from the services provided by my Resident Service Coordinator.


SAMPLE OF RESIDENT SATISFACTION SURVEY (PG 1)

I could benefit from the following services: My Service Coordinator has helped me with following services in the last 12 months:

Transportation VisitingNurse PersonalCare Financial Assistance Help with Banking Making Appointments HomeMaking InsuranceAssistance

Transportation VisitingNurse PersonalCare Financial Assistance Help with Banking Making Appointments HomeMaking InsuranceAssistance

I would be very unhappy if we no longer had a Resident Service Coordinator in our building:


My Resident Service Coordinator is available whenever I need him or her.

Strongly Agree Agree Disagree Strongly Disagree I

would rate my Resident Service Coordinator as:

Top Notch Very Effective Effective Minimally Effective

SAMPLE OF RESIDENT SATISFACTION SURVEY (PG 2)

*Can tailor to AASC online categories and/or specific services

Creating a QA Binder

Why You Should Have a QA Binder©

The goal of creating a QA Binder is to have documents and information requested by HUD readily available and organized.

The Binder must be: Organized Include an Index Include 15 tabs Updated 1x/year

First page of the binder is the Index – it corresponds in order with the questions on the SCReview Checklist. If you want to add or delete a tab you can tailor it to your needs.

Virtual Binder Launch• Excited to present the launch of the new MJ Housing & Services QA

Virtual Binder on July 2019• Created in partnership with Pangea Foundation• Available on AASC Online

• Why virtual?– After initial first year, all audits can be done online, saving an average of

$1,500 per SC each year in travel expenses– Do not have to travel or bring large binder to trainings or conferences to

be reviewed by provider– Dramatic decrease in liability

In partnership with

Former MJQA Binder Index

MJ QA Binder Index 20191. Training Report for New RSC (36 Hrs. HUD Statutorily Required Training) ** 2. Training Report for Ongoing RSC (12 Hrs. HUD Required Ongoing Training) **3. Training Attendance CEU's and/or Participation Verification **4. SC Job Description *5. Service Coordinator Resume *6. HUD Report SfS (proof) Receipt of Submission **7. QA Annual Review or blank if new SC (Required if QA Provision) *8. RSC Office Entry Hours Posted (Picture)*9. Resource Directory Index (Description: upload pictures of resource directory index) *10. Pamphlets & Brochure (Pictures of brochure display and SC brochure property/program) *11. ADL Report **12. QA Job Description * 13. Resident Survey Blank & Team Annual Excel Spreadsheet*14. Code of Ethics*15. HUD Service Coordinators in Multifamily Housing Program Resource Guide*

* = HUD Required* = MJ Requirement* = Available Report AASC OnlineSeparate Binder for Calendars/Program Flyers & Sign In Sheets *

The QA MJ/AASC Online Virtual Binder

Matches the AASC Online sequence layout

In partnership with

QA Binder Tabs

Refer to: Part A. Training and Qualifications 1st Tab-is your training verification form for New RSC (36 hours) 2nd Tab – your training verification log for ongoing RSC (12 hours) 3rd Tab-is where you will document training certificates (CEUS).

– Your AASC Conference and Chapter Symposium Certificates and any other certificates you receive.– Also your confirmations of trainings when you do not receive a certificate of completion. Proof of trainings

can be an invoice, agenda, email confirming the trainingattended. 4th Tab-is the SC job description. 5th Tab-is your resume.

Refer to: Part B. Program Administration 6th Tab – is your Receipt of Submission for the HUD SfS Report

QA Binder TabsRefer to: Part C. Quality Assurance 7th Tab-is the QA Annual Review or a blank on if a new SC 8th Tab – Picture of the RSC Office Entry Hours 9th Tab – Picture of Resource Directory Index 10th Tab – Picture of brochure display and SC brochure property/program 11th Tab – ADL Report – print out your annual ADL Report based on Age. This will give your QA Reviewer the information

on frail and at risk (Questions 9 and 10). Keep the previous year and last report submitted. 12th Tab- QA Job Description

Refer to: Part E. Resident Participation 13th Tab-is the Resident Survey (if your QA Provider administers one).

We provide the survey that the SCs put out to the residents every December. In order to ensure confidentiality, the SCs create a drop box with a slit on top that is taped around the sides and cannot been opened.

Management puts in mail to support confidentiality. 14th Tab-is a copy of the Code of Ethics

As a group, we review these often and it’s very important to have them readily available and use them as a reference 15th Tab-HUD Service Coordinators in Multifamily Housing Program Resource Guide

It is important to have this document easily accessible to review SC program requirements.

Additional BindersRecently one of my SC who had a HUD Desk review was asked by theHUD Reviewer for her calendars, flyers and sign in sheets. Calendars/Flyers and sign in sheets are evidence to HUD of your

monthly Wellness and Educational Programs.

Please start a separate binder for these documents. 1st tab - Monthly Calendars (only keep 1 year of calendars). 2nd tab –Program flyers 3rd tab - Sign in sheets

SERVICES PROVIDEDSenior wellness Aging ServicesService Coordination/Coordinated CareTelehealthEmergency Alert Model with integrated coordinated care Quality Assurance for HUD SC programGrant Administration Grant Writing and fundraisingTraining and EducationStrategic Partnership DevelopmentResident Services support and training for Property Managers within affordable housing and wellness sector

Madelyne Pfeiffer, MSW, CFREFounder & CEO1286 University Ave, Suite 530San Diego, CA 92103(760) 696-0749mpfeiffer@mjhousingandservices.comwww.mjhousingandservices.com

mailto:[email protected]

http://www.mjhousingandservices.com/

HUD Handbook 4910.1 Minimum Property Standards for Housing, 1994

Edition states:

COPYRIGHT DISCLOSUREThe material used in this presentation is communicated to you by,or on behalf of the MJ HOUSING & SERVICES in accordance withCopyright Laws. Any further reproduction or communication ofthis material is prohibited without consent from the source andmay be subject of copyright protection under the Law.

DO NOT REMOVE THIS NOTICE

Documents

Understanding What HUD Expects: How to Prepare for a HUD … · 2019. 8. 30. · Gain a better understanding of the Service Coordinator program history and SC Budget. Understanding