Standard Operating Procedures-(SOP)

for  

Audit Process for HCV- Kansas City

Amendment History 

Purpose

This SOP explains the audit process for Housing Choice Voucher (HCV) participants. The goal is to ensure compliance with program requirements while avoiding unnecessary audit failures. Provide purpose of SOP.

Scope

This procedure applies to all audits conducted for HCV voucher participants. 

1. Audit Steps

1.1Full Audit Scope

• Review all new admission documents
• Confirm that all initial paperwork and processes are complete.

1.2 Recent Transaction Review

• Use the effective date on the QC tool to identify the main transaction
• The main transaction should be either an Annual Recertification (AR) or a Move, whichever occurred most recently.
• If neither an AR nor a move has been processed within the past 12 months, the AR is considered overdue.
• An overdue AR results in an automatic audit failure.

1.3 Interim Audit Review

• Audit the first interim transaction processed after the most recent AR or Move
• If no Interim transactions exist, mark all interim-related transactions as N/A

1.4 Compliance Check: Annual/Move Within 12 months

If Neither and AR nor a Move has been processed within the past 12 months, the AR is considered overdue. 

This results in an automatic audit failure

2. Audit Form Guidance

2.1 When the Main Transaction is a Move

• Audit only the following sections:
• Section I- V2.0 HAKC: General Full File Review Questions
• Section II- V2.1 HAKC: Initial Application & Eligibility
• Section III- V2.2 HAKC: Initial Income Eligibility
• Section IV- V2.3 HAKC: Current Unit & Leasing

Skip and mark as N/A:

• Section V- V2.4 HAKC: Annual Recertification
• Section VI- V2.5 HAKC: Annual HQS Inspections

If interim transactions exist after Move, complete:

• Section VII- V2.6 HAKC: Interim Recertifications otherwise, mark all questions as N/A

2.2 When the Main Transaction is an Annual

Audit the following sections: 

• Section I- V2.0 HAKC: General Full File Review Questions
• Section II- V2.1 HAKC: Initial Application & Eligibility
• Section III- V2.2 HAKC: Initial Income Eligibility
• Section IV- V2.3 HAKC: Current Unit & Leasing
  • Skip questions 4.15, 4.18, 4.19,4.20,4.21,4.22,4.23, and 4.24 (These are addressed in the next section)

Continue with:

• Section V- V2.4 HAKC: Annual Recertification
• Section VI- V2.5 HAKC: Annual HQS Inspections
• Section VII- V2.6 HAKC: Interim Recertifications

3. Annual vs. Move Question Handling

• Always audit the most recent transaction and any subsequent transactions.
• Questions 4.15 and 4.18-4.21 are related to code 7’s or Moves.
• If no move occurred after the Annual, mark these questions as N/A.

4. Key Principles

• Focus only on the most recent transaction.
• Mark irrelevant or duplicate questions as N/A
• Avoid “over-failing “ by ensuring only applicable questions are answered.

Review and Approval

This SOP will be reviewed and updated as necessary.

P

 4