Inspiring a Compliance Culture: Read the Compliance Department’s Winter 2024 Newsletter
Property Management Offices: Recordkeeping Rundown
Introduction
NYCHA Property Management Offices are responsible for maintaining many different documents related to their development and tenants. Maintaining these records is not just a requirement; it is a commitment to upholding high standards of property management and evidence of NYCHA’s mission to provide safe and affordable housing to its residents.
While NYCHA has many recordkeeping requirements (see Standard Procedure 094:23:1, Records Management), this newsletter focuses on three specific areas of documentation for the following reasons:
- Real Estate Assessment Center (REAC) Binders. With the roll out of the new National Standards for the Physical Inspection of Real Estate (NSPIRE) inspections, maintaining the REAC Inspection Binder is crucial preparation for U.S. Department of Housing and Urban Development (HUD) NSPIRE REAC inspections.
- Lead Disclosure Documentation. HUD, the Compliance Department, and the Environmental Health and Safety Department periodically find properties that are not in compliance with the Lead Disclosure Rule – HUD’s 1996 Lead Disclosure Rule and the S. Environmental Protection Agency’s (EPA) Disclosure of Known Lead-Based Paint and/or Lead-Based Paint Hazards in Housing Regulation.
- Tenant Folders. The Compliance Department found, during PACT transitions, that some properties were not culling their Tenant Folders.
REAC Inspection Binders include important documentation that demonstrates how NYCHA developments comply with federal, State, and City requirements and regulations.
Property managers are responsible for maintaining up-to-date versions of all required documents in the REAC Inspection Binder so the REAC inspector can review them at the start of the inspection. Soon, HUD will require these documents to be uploaded into the new NSPIRE system before the inspection. Under NSPIRE, documentation will become fully electronic; however, since HUD’s new NSPIRE system functionality is not available yet, developments need to ensure hard copies of all necessary information are filed, up to date, and ready for inspection in the REAC Inspection Binder.
The REAC Inspection Binder MUST contain the following:
- Fire Safety Logs. The logs are updated monthly to indicate that fire safety equipment is in good working order, properly installed, and free from obstruction.
- Emergency Lighting Inspection Logs
- Fire Extinguisher Inspection Logs
- Fire Alarm Inspection Logs
- Sprinkler Inspection Logs
- Standpipe Inspection Logs
- Certificates. These are filed in the REAC Inspection Binder, and staff ensure they are not expired and are kept up to date. This includes the following:
- Boiler Inspection Certificates
- Elevator Inspection Certificates
- Sprinkler System Inspection Certificates
- Fire Alarm Inspection Certificates
- Final Certificates of Occupancy for each building in the development
- Lead-Based Paint Disclosure Information. This includes the following:
- The Development Lead-Based Paint Disclosure Summary (Form 060.275D), and
- One sample Unit Disclosure Summary Form – Lead-Based Paint (Form 060.275A) with the tenant’s details redacted.
- The REAC Inspection Binder also includes the vendor lead-based paint inspection reports.
- Information on Ongoing Capital Work. If capital work is being performed at the development, relevant contract information must also be filed, such as the scope of work, contractor’s name, and contract award.
- Water Safety Information (NEW). Information about water supply provider and water safety alerts, if applicable.
- Resident Association Information (NEW). Contact information for the Resident Association.
Lead Disclosure Rule Documentation Binders allow NYCHA to comply with HUD’s Lead Disclosure Rule and the EPA’s Disclosure of Known Lead-Based Paoint and/or Lead-Based Paint Hazards in Housing Regulation.
Property Management staff must keep a separate Lead Disclosure Rule Documentation Binder. Neighborhood administrators review the binders quarterly to ensure they are up to date.
The documents for the Lead Disclosure Rule Documentation Binders include each of the following:
- Development Lead-Based Paint Disclosure Summary (Form 060.275D for your development)
- Executive Summary Reports (no Form #, these are unique to each development)
- The most recent Biennial Risk Assessment (no Form #, these are unique to each development)
- A list of units that have individual Unit Disclosure Forms (this is a list of units that is unique to each development)
Developments can find their Lead Disclosure, Executive Summary, most recent Biennial Risk Assessment Report, and list of units that have individual Unit Disclosure Forms in the Lead Documentation for Developments folder. For assistance locating a development, Property Management can call the Lead Hazard Control Department at 718-707-5864.
Property managers and assistant property managers must review the binder(s) for accuracy and confirm the binder is in the correct format.
Individual Lead Disclosure Rule Forms – The table below sets out when to use individual forms and where to file them to comply with the Lead Disclosure Rule. These forms are separate from the documents filed in the Lead Disclosure Binders (except for Form 060.275D), but they may need to be generated and filed in the Tenant Folder.
Any questions regarding Lead Documentation should be directed to the Lead Hazard Control Department at LHCD@nycha.nyc.gov.
|
Form Name and Number |
Location of Form |
Time of Distribution |
Resident Signature Required? |
Document Retention?
|
|
Disclosure of Information on Lead-Based Paint and/or Lead-Based Paint Hazards (060.275)
|
FRL and Self-Service Portal (if applicable) |
Rental |
Yes |
One copy in the property manager’s or assistant property manager’s office; and one in each resident’s folder |
|
Lead-Based Paint Unit Disclosure Summary (060.275A) |
Siebel and Self-Service Portal (if applicable) |
Rental & Recertification |
No |
One copy retained in the property manager’s or assistant property manager’s office; and one in each resident’s folder |
|
Lead-Based Paint Development Disclosure Summary (060.275D)
|
Siebel and Self-Service Portal (if applicable) |
Rental & Recertification |
No |
One copy retained in the property manager’s or assistant property manager’s office |
|
Lease/Commencement of Occupancy Notice for Prevention of Lead-Based Paint Hazards-Inquiry Regarding Child (060.299a)
|
FRL and Self-Service Portal |
Rental |
Yes |
One copy retained in the property manager’s or assistant property manager’s office; and one in each resident’s folder |
|
EPA Lead-Free Paint Booklet (060.284) |
FRL and Self-Service Portal |
Rental & Recertification |
No |
No |
|
Fix Lead Paint Hazards: What Owners Must Do and Every Tenant Should Know (060.849) |
FRL and Self-Service Portal |
Rental & Recertification |
No |
No |
|
Notice of Evaluation (060.851) |
FRL and Self-Service Portal |
Rental & 15 days after receiving an evaluation report |
No |
In the resident’s folder |
|
Notice of Hazard Reduction Activity (060.852) |
FRL and Self-Service Portal |
Rental & 15 days after receiving clearance results |
No |
In the resident’s folder |
Tenant Folders include important documents and records about the tenancy of the household.
Property Management must make sure the folders are reviewed as part of the annual income recertification process, and must also review and cull records during annual reviews according to the records retention schedule. When you cull, note the following:
- Many documents must be kept on file for the life of the Tenant Folder, but
- Other common documents, such as the Lease Addendum, Rent Notice, and Income Review documents, should be destroyed after seven years.
For more information, see the retention schedules outlined in Standard Procedure 094:23:1, Records Management, Appendix C. When documents reach their retention limit and should be destroyed, property managers and assistant property managers are required to complete the Certificate of Records Destruction (eForm 009.004); see Compliance Advisory Alert #40 Storage and Destruction of Records.
The folder is organized into four sections with specific listed documents on the left side of the folder (sections I and II) and the right side of the folder (sections III and IV). The table below lists some of the Tenant Folder documents. For a complete list of all documents filed in the Folder, see Standard Procedure 094:23:1, Records Management, Appendix C. This includes Disclosure of Information on Lead-Based Paint and/or Lead-Based Paint Hazards (Form 060.275).
|
Left Side of Tenant Folder (Form 040.621A) |
Right Side of Tenant Folder (Form 040.621B) |
|
Section I (under the divider) contains the Foundation Documents, which are used to start and end a tenancy or may modify a tenancy: |
Section III (under the Divider) contains documents used in legal proceedings by or against residents: |
|
The Tenant Data-Summary must be on top of this section; other documents include the lease and application for apartment |
Documents include Notice of Petition – Holdover, Court Case Worksheet, Termination of Tenancy First Call-In Letter |
|
Section II (on top of the divider) contains the Interview Record and Related Documents that show and verify events and communications relating to the tenancy: |
Section IV (on top of the divider) contains the Income Review Documents: |
|
Examples of documents include Notification of Available Apartment and Refusal of Apartment |
Documents relating to the reporting of income and assets, calculation of rent, and the Annual Review |
Conclusion
The Compliance Department will continue working with our colleagues to ensure that NYCHA is a safe and healthy place for our residents, staff, and vendors. If you have any concerns or complaints, or if you see anyone engaging in a deceptive practice, you can make a confidential and anonymous report by calling the Customer Contact Center at (718) 707-7771 (select menu option 7) or by visiting the Compliance Department section of NYCHA’s website. Complaints can also be reported to any other federal, state, or local government agency. Remember, the Compliance Department is here to help.
90 Church Street
New York, NY 10007
