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I. INTRODUCTION ................................................................................................................. 1 A. BACKGROUND ................................................................................................................... 1 B. TENANT DATA SYSTEM (TDS)..........................................................................................2 C. ANNUAL REVIEW PACKET ................................................................................................ 2 1. Instructions for Completing the Occupant's Affidavit of Income (Annual Review Cover Letter) .............................................................................................................................. 2 2. Occupant's Affidavit of Income ......................................................................................... 3 a. Section AA: Consent Form ............................................................................................... 7 3. Income: Summary of Earnings Statement, NYCHA form 040.013 ................................... 8 4. Third Party Verification-Consent to Release Information, NYCHA form 040.608 ............. 8 D. ADDITIONAL INFORMATION ............................................................................................. 8 E. ANNUAL REVIEW QUARTERS AND IMPORTANT DATES ............................................... 9 F. FAILURE TO SUBMIT INFORMATION ............................................................................... 9 G. INCOME REALISM..............................................................................................................9 1. Criteria..............................................................................................................................9 2. Income and Subsistence Examination ............................................................................. 9 3. Projecting Income........................................................................................................... 10 4. Discovery of Concealed Income.....................................................................................10

II. INCOME SOURCES..........................................................................................................11 A. EMPLOYMENT..................................................................................................................11 B. SELF-EMPLOYMENT/OWN BUSINESS...........................................................................11 1. Introduction .................................................................................................................... 11 2. Definitions ...................................................................................................................... 12 3. Own Business Forms ..................................................................................................... 13 4. Method of Projection ...................................................................................................... 13 5. Non-Compliance ............................................................................................................ 16 C. ASSETS.............................................................................................................................16 1. Definitions ...................................................................................................................... 16 2. Identifying Assets ........................................................................................................... 17 3. Assets Not Included in Family Asset/Income Projection.................................................18 4. Assets Included in Family Asset/Income Projection ....................................................... 18 5. Asset Verification ........................................................................................................... 21 6. Assets $5,000 or Greater - Imputed Income .................................................................. 22 7. Special Asset Issues ...................................................................................................... 24 D. SOCIAL SECURITY .......................................................................................................... 27 1. Old Age Survivor's Insurance ......................................................................................... 27 2. Social Security Disability/Old Age Survivor's Disability Insurance..................................27

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E. SUPPLEMENTAL SECURITY INCOME (SSI)...................................................................27 F. VETERAN'S DISABILITY BENEFITS (VA) ........................................................................ 28 G. STATE UNEMPLOYMENT INSURANCE BENEFITS (UIB) .............................................. 28 H. NON-GOVERNMENTAL UNEMPLOYMENT INSURANCE BENEFITS ............................ 28 I. WORKERS' COMPENSATION..........................................................................................29 J. NEW YORK STATE DISABILITY ...................................................................................... 29 K. PENSION AND ANNUITY ................................................................................................. 29 L. ALIMONY AND CHILD SUPPORT .................................................................................... 29 M. LOTTERY WINNINGS ....................................................................................................... 30 N. TIPS AND GRATUITIES .................................................................................................... 30 O. CONTRIBUTIONS ............................................................................................................. 30 P. EARNINGS/ARMED SERVICES PERSONNEL ................................................................ 30

1. Included in Annual Income ............................................................................................. 30 2. Excluded from Annual Income ....................................................................................... 30 Q. EARNINGS/LONGSHOREMEN ........................................................................................ 31 R. FULL PUBLIC ASSISTANCE ............................................................................................ 31 S. DUAL INCOME .................................................................................................................. 31 T. SUPPLEMENTARY PUBLIC ASSISTANCE......................................................................31 U. PUBLIC ASSISTANCE WITH SSI ..................................................................................... 32 V. FAMILY MEMBER WITH NO INCOME ............................................................................. 32 III. EXCLUSIONS TO INCOME .............................................................................................. 32 A. TEMPORARY or SPORADIC INCOME or MEDICAL REIMBURSEMENTS ..................... 32 B. DISABLED OR ELDERLY ASSISTANCE..........................................................................33 C. EDUCATIONAL ASSISTANCE..........................................................................................33 D. INCOME RECEIVED BY/FOR CHILDREN........................................................................34 E. TRAINING AND SERVICE ................................................................................................ 34 F. EARNED INCOME DISALLOWANCE (EID) ...................................................................... 35 1. Qualifying Family Income ............................................................................................... 35 2. Qualifying Family Members ............................................................................................ 35 3. Non-Qualifying Individuals/Programs ............................................................................. 36 4. `Qualifying Events' for Family Members ......................................................................... 37 5. Qualifying Exclusion Periods .......................................................................................... 41 6. Maximum Disallowance Period ...................................................................................... 43 7. Ineligibility Due to Decrease in Qualifying Family Income .............................................. 44 8. Misrepresentation...........................................................................................................45 9. EID Processing .............................................................................................................. 45 10. Private Agency (non-NYCHA) Economic Self-Sufficiency Training Program ................. 46

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11. Forms ............................................................................................................................. 47 G. MISCELLANEOUS ............................................................................................................ 47 H. FOOD STAMPS.................................................................................................................48 I. REPARATIONS TO NATIVE AMERICANS ....................................................................... 48 J. INCOME DERIVED SOLELY FROM EXCLUDABLE SOURCES ...................................... 48 IV. GROSS INCOME .............................................................................................................. 48 A. EARNED INCOME ............................................................................................................ 49

1. Fixed Employment.......................................................................................................... 49 2. Non-Fixed Employment..................................................................................................49 3. Overtime.........................................................................................................................51 4. Bonuses ......................................................................................................................... 52 5. Pay Differential ............................................................................................................... 52 6. Self-Employment/Own Business .................................................................................... 52 B. OTHER INCOME SOURCES ............................................................................................ 52 1. Unemployment Insurance .............................................................................................. 52 2. Social Security ............................................................................................................... 52 3. Supplemental Security Income (SSI).............................................................................. 53 4. New York State Disability ............................................................................................... 53 5. Veteran's Administration (VA) Benefits .......................................................................... 53 6. Workers' Compensation ................................................................................................. 53 7. Pensions ........................................................................................................................ 53 8. Asset Income ................................................................................................................. 53 C. PUBLIC ASSISTANCE ...................................................................................................... 53 1. Full Public Assistance (see Section II. R).......................................................................54 2. Dual Income (see Section II. S)......................................................................................54 3. Public Assistance with SSI (see Section II. U) ............................................................... 54 4. Supplementary Public Assistance (see Section II. T) ..................................................... 54 V. DEDUCTIONS TO DETERMINE RENT ............................................................................ 54 VI. THIRD PARTY VERIFICATION ......................................................................................... 55 A. ENTERPRISE INCOME VERIFICATION (EIV) SYSTEM USE ......................................... 55 1. EIV Reports Overview .................................................................................................... 56 2. EIV Report Details..........................................................................................................56 B. INCOME REVIEW CHECKLIST ........................................................................................ 66 C. AUTHORIZATIONS FOR RELEASE OF INFORMATION ................................................. 67 D. INCOME VERIFICATION PROCESS ................................................................................ 70 1. Up-Front Income Verification (UIV) Using EIV (Level 6-Mandatory)............................... 71 2. Up-Front Income Verification (UIV) using non-HUD Systems (Level 5) ......................... 76

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3. Third Party Written Verification Level 4 ............................................................................ 82 4. Third Party Written Verification Level 3(Medium-Low)...................................................... 83 5. Third Party Oral Verification Level 2 ................................................................................. 86 6. Tenant Declaration/Certification Level 1............................................................................87 7. Failure to Complete Any Verification Level ....................................................................... 87 8. Additional Information Requests.......................................................................................88 E. CITIZENSHIP STATUS VERIFICATION PROCESS...........................................................88 F. IDENTITY VERIFICATION PROCESS ................................................................................. 88 1. Tenant Personal Identifiers/Key Fields...........................................................................89 2. Tenant Personal Identifiers/Key Fields Corrections ....................................................... 93 G. DEDUCTION VERIFICATION ............................................................................................. 93 1. Minors ............................................................................................................................ 94 2. Elderly Family.................................................................................................................94 3. Full ? Time Student ........................................................................................................ 95 4. Medical Expenses .......................................................................................................... 95 5. Handicap Assistance......................................................................................................95 6. Child Care/Dependent Care/Handicap Care Expenses..................................................95 7. Mailing ............................................................................................................................ 96 H. ASSET INCOME VERIFICATION ....................................................................................... 96 1. Verification of Asset Income ........................................................................................... 96 2. Verification of Disposed Asset Income ........................................................................... 97 I. THIRD PARTY VERIFICATION AND NEW TENANTS/TRANSFERS .................................. 97 1. Identification ................................................................................................................... 97 2. Enterprise Income Verification (EIV) at Rental ............................................................... 97 3. Third Party and Citizenship Verification at Rental ........................................................ 100 J. QUALITY CONTROL ......................................................................................................... 101 K. INCOME DISCREPANCIES .............................................................................................. 101 1. Discrepancies Less Than $200 per Month .................................................................. 102 2. Discrepancies Equal to or Greater Than $200 per Month ........................................... 102 3. Retroactive Charges and Credits ................................................................................. 104 L. FAILURE OF TENANT TO PROVIDE INFORMATION....................................................... 104 1. Left Side of Folder ........................................................................................................ 105 2. Right Side of Folder......................................................................................................105 VII. DETERMINING THE RENT ............................................................................................. 105 A. STATUTORY RENT ........................................................................................................ 106 B. MINIMUM RENT .............................................................................................................. 106 C. SCHEDULED HRA RENT (Welfare or Public Assistance Rent) ...................................... 106

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1. All developments except for Section 8 New Construction / Substantial Rehabilitation . 106 2. Section 8 New Construction / Substantial Rehabilitation..............................................106 D. MIXED CITIZENSHIP FAMILY ........................................................................................ 106 E. FLAT RENT - Public Housing .......................................................................................... 106 F. CONTRACT RENT - Section 8 ........................................................................................ 107 G. RESIDENT EMPLOYEES/SITE CARETAKERS/RESIDENT POLICE OFFICERS ......... 107 1. Rent Determination/Verification of Family Composition ............................................... 107 2. Termination of Resident Status .................................................................................... 107 H. SENIOR RESIDENT ADVISOR ....................................................................................... 108 VIII. ADDITIONAL CHARGES.................................................................................................108 IX. UTILITY ALLOWANCES..................................................................................................108 X. RETROACTIVE CHARGES AND CREDITS ................................................................... 108 A. RETROACTIVE CHARGES.............................................................................................108 1. Late submission ........................................................................................................... 108 2. Misrepresentation.........................................................................................................108 B. RETROACTIVE CREDITS...............................................................................................109 XI. RENT CHANGE NOTICES (RCN) & INCOME REVIEW TRANSCRIPTS.......................109 A. COMPLETION OF REVIEW AND FORMS PREPARATION ........................................... 109 B. MAILING OF RENT CHANGE NOTICES ........................................................................ 109 1. Rent Increase ............................................................................................................... 109 2. Rent Decrease ............................................................................................................. 109 C. DISTRIBUTION AND FILING .......................................................................................... 109 1. Rent Change Notice ..................................................................................................... 109 2. TRANSCRIPTS ............................................................................................................ 110 XII. FREDERICK E. SAMUEL APARTMENTS.......................................................................110 A. City-Funded Program....................................................................................................... 110 B. Section 8 Program ........................................................................................................... 110 XIII. SECTION 8 DEVELOPMENTS ....................................................................................... 111 XIV. INTERIM RENT CHANGES.............................................................................................111 A. INTERIM RENT REDUCTION ........................................................................................... 111 1. Public Assistance ......................................................................................................... 112 2. Permanent Loss of a Family Member with Income ...................................................... 112 3. Long-term Unemployment or Worker's Compensation.................................................112 4. Enlistment in the United States Armed Services .......................................................... 113 5. Rent Hardship .............................................................................................................. 113 6. Rent Reduction Examples ............................................................................................ 113 B. INTERIM RENT INCREASES .......................................................................................... 113

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