+-----------+--------------------------------+-----+------------------+
| **Guide   |                                |     |                  |
| for       |                                |     |                  |
| Review of |                                |     |                  |
| HOPWA     |                                |     |                  |
| Facil     |                                |     |                  |
| ity-based |                                |     |                  |
| P         |                                |     |                  |
| rojects** |                                |     |                  |
+-----------+--------------------------------+-----+------------------+
| **Name    |                                |     |                  |
| of**      |                                |     |                  |
|           |                                |     |                  |
| **Program |                                |     |                  |
| Parti     |                                |     |                  |
| cipant:** |                                |     |                  |
|           |                                |     |                  |
|           |                                |     |                  |
+-----------+--------------------------------+-----+------------------+
| **Staff   |                                |     |                  |
| Con       |                                |     |                  |
| sulted:** |                                |     |                  |
|           |                                |     |                  |
|           |                                |     |                  |
+-----------+--------------------------------+-----+------------------+
| **Program |                                |     |                  |
| Year      |                                |     |                  |
| Under     |                                |     |                  |
| Review:** |                                |     |                  |
|           |                                |     |                  |
+-----------+--------------------------------+-----+------------------+
| **Name(s) |                                | **D |                  |
| of        |                                | ate |                  |
| Revie     |                                | :** |                  |
| wer(s):** |                                |     |                  |
+-----------+--------------------------------+-----+------------------+

**NOTE:** All questions that address requirements contain the citation
for the source of the requirement (statute, regulation, NOFA, or grant
agreement). If the requirement is not met, HUD must make a finding of
noncompliance. All other questions (questions that do not contain the
citation for the requirement) do not address requirements, but are
included to assist the reviewer in understanding the participant\'s
program more fully and/or to identify issues that, if not properly
addressed, could result in deficient performance. Negative conclusions
to these questions may result in a \"concern\" being raised, but not a
**\"finding.**\"

**[Instructions]{.underline}:** This Exhibit is designed to evaluate
compliance with HOPWA requirements governing building acquisition or
rehabilitation of structures. The guidance on sampling in Section 11-5
of the introduction to this Chapter is to be used in selecting files,
along with staff interviews, to answer the Exhibit questions.

**[Questions]{.underline}:**

1\.

+----------------------------------------------------------+-----------+
| a\. For a competitive program participant, are the       |           |
| housing facility activities provided in a manner         |           |
| consistent with the housing needs described in the       |           |
| applicable HUD-approved NOFA or Renewal Notice           |           |
| requirements for a competitive grant award's fiscal      |           |
| year?                                                    |           |
|                                                          |           |
| \[24 CFR 574.240}                                        |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

+----------------------------------------------------------+-----------+
| b\. For a formula program participant, are the housing   |           |
| facility activities provided in a manner consistent with |           |
| the housing needs described in the applicable            |           |
| HUD-approved Consolidated Plan requirements for the      |           |
| formula grant award's fiscal year?                       |           |
|                                                          |           |
| \[24 CFR 91.220, 24 CFR 91.320, and 24 CFR 574.130\]     |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

  -----------------------------------------------------------------------
  c\. If the answer to either "a" or "b" above is "no," what is the basis
  used for funding approved activities?

  **Describe Basis for Conclusion:**

       
  -----------------------------------------------------------------------

2\.

+------------------------------------------------------------+---------+
| Does the program participant demonstrate that HOPWA        |         |
| activities are consistent with the applicable Consolidated |         |
| Plan of the jurisdiction (i.e., the site of the building)? |         |
|                                                            |         |
| \[24 CFR 574.120 and 24 CFR 574.420\]                      |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

3\.

+----------------------------------------------------------+-----------+
| If HOPWA funds are used for new construction, are the    |           |
| activities eligible, involving either single room        |           |
| occupancy dwellings (SROs) or multiunit community        |           |
| residences?                                              |           |
|                                                          |           |
| \[24 CFR 574.300(b)(4)\]                                 |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

4\.

  ------------------------------------------------------------- ---------
  a\. Does the program participant support operating costs for  
  clients in community residences?                              

  **Describe Basis for Conclusion:**                            

                                                                
  ------------------------------------------------------------- ---------

+----------------------------------------------------------+-----------+
| b\. If the answer to "a" above is "yes," are the         |           |
| agreements and certifications for the assisted community |           |
| residences signed, consistent with the requirements at   |           |
| 24 CFR 574.340 and available for review?                 |           |
|                                                          |           |
| \[24 CFR 574.340\]                                       |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

5\.

  ------------------------------------------------------------- ---------
  a\. Does the program participant support any eligible         
  activities through project sponsors defined as faith-based    
  organizations?                                                

  **Describe Basis for Conclusion:**                            

                                                                
  ------------------------------------------------------------- ---------

+----------------------------------------------------------+-----------+
| b\. If the answer to "a" above is "yes," are the         |           |
| HOPWA-supported activities clearly separated from, and   |           |
| free of religious influences of, the faith-based         |           |
| organizations?                                           |           |
|                                                          |           |
| \[24 CFR 574.300(c)\]                                    |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

6\.

+------------------------------------------------------------+---------+
| Does the program participant have a system in place for    |         |
| tracking the "Minimum Use Periods" for development         |         |
| activities related to: acquisition, conversion, lease, and |         |
| repair of facilities to provide housing and services?      |         |
|                                                            |         |
| \[24 CFR 574.310(c)\]                                      |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

7\.

+------------------------------------------------------------+---------+
| In reviewing compliance with the use periods for           |         |
| facilities, does an examination of related agreements,     |         |
| such as restrictive covenants, verify that the structures  |         |
| are to provide housing or assistance for the stipulated    |         |
| number of years (10 years for projects involving new       |         |
| construction, substantial rehabilitation, acquisition; and |         |
| 3 years for projects involving non-substantial             |         |
| rehabilitation)?                                           |         |
|                                                            |         |
| \[24 CFR 574.310(c)\]                                      |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

8\.

+----------------------------------------------------------+-----------+
| a\. If the project included rehabilitation, repair or    |           |
| conversion, was the work performed in a satisfactory and |           |
| cost-effective manner, following development standards,  |           |
| including environmental clearances and lead-based paint  |           |
| requirements?                                            |           |
|                                                          |           |
| \[24 CFR 574.510, 24 CFR 574.605 and 24 CFR 574.635\]    |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

+------------------------------------------------------------+---------+
| b\. Were projects accepted for occupancy in a timely       |         |
| manner during the monitoring review period and based on    |         |
| approved development plans, such that greater than 5% of   |         |
| the units remain vacant?                                   |         |
|                                                            |         |
| \[24 CFR 574.605\]                                         |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

9\.

+----------------------------------------------------------+---+---------+
| **\[OS\]** a. After making visual inspections of         |   |         |
| residential housing facilities, are the habitability     |   |         |
| standards for the projects being met?                    |   |         |
|                                                          |   |         |
| \[24 CFR 574.310(b)\]                                    |   |         |
+----------------------------------------------------------+---+---------+
| **Describe Basis for Conclusion:**                       |   |         |
+----------------------------------------------------------+---+---------+
|                                                          |   |         |
+----------------------------------------------------------+---+---------+
| b\. Does the program have verification of compliance     |   |         |
| with the Lead-Based Paint Poisoning Prevention Act for   |   |         |
| rental assistance where housing was constructed prior to |   |         |
| 1978 and where children under age 6 are living and/or    |   |         |
| expected to reside?                                      |   |         |
|                                                          |   |         |
| \[24 CFR 574.635 and 24 CFR 35\]                         |   |         |
+----------------------------------------------------------+---+---------+
| **Describe Basis for Conclusion:**                       |   |         |
+----------------------------------------------------------+---+---------+
|                                                          |   |         |
+----------------------------------------------------------+---+---------+

10\.

+----------------------------------------------------------+-----------+
| If individual housing units are being leased with HOPWA  |           |
| funds, are resident rent payments determined and         |           |
| collected monthly or used in determining the lease       |           |
| payment from HOPWA funds? (For projects using leasing    |           |
| funds for housing facilities, request records showing    |           |
| the amount of monthly/yearly rent, documentation showing |           |
| comparable rents in the area, and applicable resident    |           |
| rent payments for the households assisted.)              |           |
|                                                          |           |
| \[24 CFR 574.310(d) and 24 CFR 574.320\]                 |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

11

+------------------------------------------------------------+---------+
| Do the HOPWA-assisted projects have adequate residential   |         |
| supervision to ensure that housing and service standards   |         |
| are met and the organizations involved demonstrate the     |         |
| capacity to administer the activities?                     |         |
|                                                            |         |
| \[24 CFR 574.310, 24 CFR 574.340 and 24 CFR 574.410\]      |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

12\.

+------------------------------------------------------------+---------+
| Is there evidence to support that the program participant  |         |
| has established written procedures regarding               |         |
| confidentiality and physical security for client records   |         |
| and the address/location of any leased project?            |         |
|                                                            |         |
| \[24 CFR 574.440\]                                         |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

13\.

+------------------------------------------------------------+---------+
| Does the program participant have a written policy for     |         |
| terminations of occupancy, which demonstrates that the     |         |
| minimum due process requirements for termination are       |         |
| followed?                                                  |         |
|                                                            |         |
| \[24 CFR 574.310 (e)\]                                     |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

14\.

+----------------------------------------------------------+-----------+
| Except for short-term facilities, are projects charging  |           |
| participant rents as the only participant fee?           |           |
|                                                          |           |
| \[24 CFR 574.310(d), 24 CFR 574.320 and 24 CFR 574.430\] |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

15\.

+----------------------------------------------------------+-----------+
| Except for short-term facilities, are resident rent      |           |
| payments charged by projects accurately calculated with  |           |
| adequate documentation and updated annually in client    |           |
| files?                                                   |           |
|                                                          |           |
| \[24 CFR 574.310(d) and 24 CFR 574.320\]                 |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

16\.

+------------------------------------------------------------+---------+
| Do clients' files contain "CONFIDENTIAL" medical           |         |
| documentation that confirms their HIV/AIDS status?         |         |
|                                                            |         |
| \[24 CFR 574.3, "Eligible Person," and 24 CFR 574.440,     |         |
| "Confidentiality"\]                                        |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

17\.

+----------------------------------------------------------+-----------+
| a\. Are there verifications of household family income   |           |
| and/or employment in client files?                       |           |
|                                                          |           |
| \[24 CFR 574.3, "Eligible Person and Family," and 24 CFR |           |
| 574.310(d)\]                                             |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

+------------------------------------------------------------+---------+
| b\. If the answer to "a" above is "no,' is there a         |         |
| self-declaration of "no income or employment" by the       |         |
| client and the resident family?                            |         |
|                                                            |         |
| \[24 CFR 574.3, "Eligible Person and Family," and 24 CFR   |         |
| 574.310(d)\]                                               |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

18\.

+----------------------------------------------------------+-----------+
| Is there documentation that lists the number of persons  |           |
| living in the households or families?                    |           |
|                                                          |           |
| \[24 CFR 574.3, "Eligible Person and Family"\]           |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

19\.

  ------------------------------------------------------------- ---------
  a\. Are health services provided at facilities assisted with  
  HOPWA funds?                                                  

  **Describe Basis for Conclusion:**                            

                                                                
  ------------------------------------------------------------- ---------

+----------------------------------------------------------+-----------+
| b\. If the answer to "a" above is "yes," does a review   |           |
| of selected client files document that the program       |           |
| participant and/or sponsor have a verifiable means of    |           |
| assuring that any such payments are:                     |           |
|                                                          |           |
| -   of last resort for any item or service not otherwise |           |
|     reasonably expected to be made from another source;  |           |
|                                                          |           |
| -   approved project activities, and                     |           |
|                                                          |           |
| -   comply with the grant agreement provision on the     |           |
|     restricted use of HOPWA funds on health care costs?  |           |
|                                                          |           |
|     \[24 CFR 574.310(a) and 24 CFR 574.500(b)\]          |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

20\.

+------------------------------------------------------------+---------+
| Do the program participant and sponsor(s) have agreements  |         |
| for the provision of services at a community residence     |         |
| from qualified service providers, demonstrating adequacy   |         |
| of funding and capacity to provide services?               |         |
|                                                            |         |
| \[24 CFR 574.340\]                                         |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

21\.

+------------------------------------------------------------+---------+
| Does the program participant have procedures for ensuring  |         |
| that property and assets acquired with HOPWA funds for use |         |
| at HOPWA-assisted facilities are used for authorized       |         |
| purposes?                                                  |         |
|                                                            |         |
| \[24 CFR 574.500\]                                         |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

22\.

+----------------------------------------------------------+-----------+
| If HOPWA funds support short-term facilities, such as    |           |
| overnight shelters, do sponsors comply with the time     |           |
| limits (60 days in any 6-month period) and size limits   |           |
| (facility of 50 units or smaller)?                       |           |
|                                                          |           |
| \[24 CFR 574.330\]                                       |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

23\.

+----------------------------------------------------------+-----------+
| If HOPWA funds support short-term facilities, such as    |           |
| overnight shelters, do the sponsors comply with the      |           |
| requirements for case management services and an         |           |
| opportunity for placement in permanent housing?          |           |
|                                                          |           |
| \[24 CFR 574.330\]                                       |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

24\.

+------------------------------------------------------------+---------+
| Does the program participant provide annual performance    |         |
| reports to HUD that contain the number of households/units |         |
| of housing that were achieved during the participant's     |         |
| operating year in relation to the number of planned annual |         |
| housing outputs?                                           |         |
|                                                            |         |
| \[24 CFR 574.520\]                                         |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

25\.

+----------------------------------------------------------+-----------+
| If the program participant is a:                         |           |
+----------------------------------------------------------+-----------+
| a.  Formula recipient: Is the information in its         |           |
|     Consolidated Annual Performance and Evaluation       |           |
|     Report (CAPER) to HUD consistent with information in |           |
|     the Integrated Disbursement and Information System   |           |
|     (IDIS), with respect to accuracy and completeness?   |           |
|                                                          |           |
|     \[24 CFR 574.520\]                                   |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

+----------------------------------------------------------+-----------+
| b\. Competitive recipient: Is the information in its     |           |
| evaluation report, the APR, accurate and complete when   |           |
| compared to the recipient's support documentation        |           |
| regarding the actual housing and support services        |           |
| provided for the reporting period being reviewed?        |           |
|                                                          |           |
| \[24 CFR 574.520\]                                       |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

  ------------------------------------------------------------- ---------
  c\. Does the program participant submit annual performance    
  reports to HUD that report on actual housing outputs for      
  households receiving rental assistance?                       

  **Describe Basis for Conclusion:**                            

                                                                
  ------------------------------------------------------------- ---------

  ---------------------------------------------------------- ------------
  d\. For rental assistance and STRMU: Is the CAPER that is  
  submitted to HUD accurate, complete (includes HOPWA charts 
  for HUD-40110-D), and consistent with information reviewed 
  during the monitoring?                                     

  **Describe Basis for Conclusion:**                         

                                                             
  ---------------------------------------------------------- ------------

26\.

+------------------------------------------------------------+---------+
| Does the program participant provide annual performance    |         |
| reports to HUD which include the number of annual housing  |         |
| outcomes achieved during the participant's operating year  |         |
| (in terms of the housing status for beneficiaries who      |         |
| obtained stable living environments) in relation to the    |         |
| planned annual housing outcomes?                           |         |
|                                                            |         |
| \[24 CFR 91.520 and 24 CFR 574.520\]                       |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+