Proposed Administrative Plan Changes for Housing Choice Voucher Administrative Plan Copyrighted
May 7, 2018
City of Dubuque Consent Items # 9.
ITEM TITLE: Proposed Administrative Plan Changes for Housing Choice
Voucher(HCV)Administrative Plan
SUMMARY: City Manager recommending approval of a resolution
approving amendments to the Housing Choice Voucher
Administrative Plan.
RESOLUTION Approving the Amendments to the Housing
Choice Voucher Administrative Plan
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description Type
Proposed Changes to Housing Choice Voucher City Manager Memo
Administrati� Plan-NNM Memo
Staff Memo Staff Memo
Resolution Resolutions
Supporting Documentation Supporting Documentation
Supporting Documentation Supporting Documentation
THE CITY OF Dubuque
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Masterpiece on the Mississippi Z°°'�w'2
7A13 2017
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Proposed Administrative Plan Changes for Housing Choice Voucher
(HCV) Administrative Plan for City Council Approval
DATE: May 2, 2018
Housing and Community Development Department Director Alvin Nash recommends
City Council approval of a resolution approving changes to the Housing Choice Voucher
Administrative Plan.
Federal regulations require Housing Authorities to prepare and maintain an
Administrative Plan.
Changes to the administrative plan require review by the Resident Advisory Board, the
Housing Commission, the City Council and Housing and Urban Development (HUD).
The Voluntary Compliance Agreement requires changes to the administrative plan be
reviewed by HUD for approval, submitted to the Resident Advisory Board, followed by
the City's Housing Commission for public comment and approval, and to the City
Council for final approval. After City Council approval, the City will fully adopt and
implement the amended Administrative Plan.
The Resident Advisory Board reviewed the changes for Chapter 4 and 16 on March 21 ,
2018. No questions, comments or concerns were expressed regarding these changes.
The Housing Commission reviewed and approved the proposed amendments to
Chapter 4 and 16 at a public meeting on March 27, 2018.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
�� �� ���
Mic ael C. Van Milligen �� �
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Cori Burbach, Assistant City Manager
Alvin Nash, Housing and Community Development Department Director
2
THE CTTY OF Dubuque
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ui���eNe�ary
DUB E '�I}I��'
Masterpiece on the Mississippi �°' Z°'Z
2013 2017
TO: Michael C. Van Milligen, City Manager
FROM: Alvin Nash, Director Housing and Community Development
SUBJECT: Proposed Administrative Plan Changes for Housing Choice Voucher
(HC� Administrative Plan for City Council Approval
DATE: April 17, 2018
Introduction
The purpose of the memorandum is to request the City Council's approval of the
attached resolution approving changes to the Housing Choice Voucher Administrative
Plan.
Background
Federal regulations require Housing Authorities to prepare and maintain an
Administrative Plan. The authority for Public Housing Authority policies is derived from
federal statutes, federal regulations, guidance issued by HUD, state law, and local
policy.
Changes to the administrative plan require review by the Resident Advisory Board, the
Housing Commission, the City Council and HUD. The Voluntary Compliance
Agreement requires changes to the administrative plan be reviewed by HUD for
approval, submitted to the Resident Advisory Board, followed by the City's Housing
Commission for public comment and approval, and to the City Council for final approval.
After City Council approval, the City will fully adopt and implement the amended
Administrative Plan.
Discussion
The proposed amendment to the Administrative Plan makes changes to Chapter 4 and
16 of the plan. The Chapters with red-line changes are included in Exhibit A& B.
Exhibit A: Chapter 4 Applications, Waiting List and Tenant Selection; Page 4-3
and 4-4 proposes changing the number of current waiting list applications from
350 to 200 before the opening of another Housing Choice Voucher waiting list.
The Changes to Chapter 16 address HUD guidance to Public Housing Agencies on the
requirements of the Violence Against Women Reauthorization Act (VAWA) of 2013:
Implementation in HUD Housing Programs, Final Rule, published in the Federal
Register on November 16, 2016.
Exhibit B: Chapter 16 Program Administration. Page 16-19 proposes removing
a copy charge for documents related to an informal hearing and allowing a family
to request an interpreter at no charge for an informal hearing.
Page 16-29: Adjusts language to define Section 8 Management Assessment
Program (SEMAP) Indicator 13: Lease up.
Pages 16-38 through 16-41 : Adjust language for notification of rights and
documentation under VAWA
Pages 16-43 through 16-51 : Revises requirements for notice of VAWA rights and
includes form HUD-5380 Notice of Occupancy Rights under the Violence Against
Women Act
Pages 16-52 through 16-57: Revises requirements for documenting the
occurrence of domestic violence, dating violence, sexual assault, or stalking and
includes form HUD-5382 Certification of Domestic Violence, Dating Violence,
Sexual Assault, or Stalking and Alternate Documentation
Pages 16-58 through 16-67: Establishes the requirement to establish an
emergency transfer plan and emergency transfer request for victims of domestic
violence, dating violence, sexual assault, or stalking
Commission Action
The Resident Advisory Board reviewed the changes for Chapter 4 and 16 on March
21 ,2018. No questions, comments or concerns were expressed regarding these
changes.
The Housing Commission reviewed and approved the proposed amendments to
Chapter 4 and 16 at a public meeting on March 27, 2018.
Action Step
The action requested of the City Council is to approve the Mayor's execution of the
attached resolution, approving the amendments to the Section 8 Administrative Plan.
Prepared by Teresa Bassler, Assisted Housing Supervisor
2
RESOLUTION NO. 118-18
APPROVING AMENDMENTS TO THE HOUSING CHOICE VOUCHER
ADMINISTRATIVE PLAN
Whereas, the City of Dubuque is designated as a Public Housing Authority; and
Whereas, the City of Dubuque maintains a comprehensive Public Housing Agency
Plan; and
Whereas, the City of Dubuque desires to amend said Public Housing Agency Plan;
and
Whereas, said amendments are approved by HUD, Resident Advisory Board and the
Housing Commission, the amendments must be approved by resolution of the City
Council for adoption and implementation; and
Whereas, the Housing Commission held a public meeting on March 27, 2018; and
Whereas, the Housing Commission voted to approve said amendments to Chapter 4
and 16 and recommended approval by the City Council.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA:
Section 1. That the Housing Choice Voucher Administrative Plan is hereby amended
to adopt the changes to the Plan to address the number of waiting list applications on the
current Housing Choice Voucher waiting list before opening of another HCV waiting list,
attached hereto as Exhibit A and Chapter 4.
Section 2. That the Housing Choice Voucher Administrative Pian is hereby amended
to adopt the changes to the Pian to address HUD guidance on the requirements of the
Violence Against Women Reauthorization Act of 2.013, attached hereto as Exhibit B and
Chapter 16.
Passed, approved and adopted this 7th day of May 2018.
Attest:
Kevin S. irn Neill, City Clerk
Roy D Buol, Mayor
Chap�r4
APPLICATIONS, WAITING LIST AND TENANT SELECTION
INTRODUCTION
When a family wishes to receive assistance under the HCV program,the family must submit an
application that provides the PHA with the information needed to determine the family's
eligibility. HUD requires the PHA to place all families that apply for assistance on a waiting list.
When HCV assistance becomes available, the PHA must select families from the waiting list in
accordance with HUD requirements and PHA policies as stated in the administrative plan and the
annual plan.
The PHA is required to adopt clear policies and procedures for accepting applications, placing
families on the waiting list, and selecting families from the waiting list, and must follow these
policies and procedures consistently. The actual order in which families are selected from the
waiting list can be affected if a family has certain characteristics designated by HUD or the PHA
that justify their selection. Examples of this are the selection of families for income targeting and
the selection of families that qualify far targeted funding.
HUD regulations require that all families have an equal opportunity to apply for and receive
housing assistance, and that the PHA affirmatively further fair housing goals in the
administration ofthe program [24 CFR 982.53, HCV GB p. 4-1]. Adherence to the selection
policies described in this chapter ensures that the PHA will be in compliance with all relevant
fair housing requirements, as described in Chapter 2.
This chapter describes HUD and PHA policies for taking applications, managing the waiting list
and selecting families for HCV assistance. The policies outlined in this chapter are organized
into three sections, as follows:
Part L The Application Process. This part provides an overview of the application
process, and discusses how applicants can obtain and submit applications. It also
specifies how the PHA will handle the applications it receives.
Part IL Mana�in�the Waitin�List. This part presents the policies that govern how the
PHA's waiting list is structured, when it is opened and closed, and how the public is
notified of the opportunity to apply for assistance. It also discusses the process the PHA
will use to keep the waiting list current.
Part IIL Selection for HCV Assistance. This part describes the policies that guide the
PHA in selecting families for HCV assistance as such assistance becomes available. It
also specifies how in-person interviews will be used to ensure that the PHA has the
information needed to make a final eligibility determination.
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PART L• THE APPLICATION PROCESS
4-LA. OVERVIEW
This part describes the PHA policies for making applications available, accepting applications
making preliminary determinations of eligibility, and the placement of applicants on the waiting
list. This part also describes the PHA's obligation to ensure the accessibility of the application
process to elderly persons, people with disabilities, and people with limited English proficiency
(LEP).
4-LB. APPLYING FOR ASSISTANCE [HCV GB, pp. 4-11 —4-16, Notice PIH 2O09-36]
Any family that wishes to receive HCV assistance must apply for admission to the program.
HUD permits the PHA to determine the format and content of HCV applications, as well how
such applications will be made available to interested families and how applications will be
accepted by the PHA. The PHA must include Form HUD-92006, Supplement to Application for
Federally Assisted Housing, as part of the PHA's application.
PHA Policy
Historical Information
On March 31, 2014 the City of Dubuque, Iowa and the U.S. Department of Housing and
Urban Development(HUD) entered into a Voluntary Compliance Agreement outlining
remedies to address the findings of noncompliance identified in HUD's letter to the City
dated June 17, 2013. In its letter of findings to the City, HUD found that the City's
process of purging applicants from the waiting list resulted in disparaging impact and
kept people out of the program, specifically African-Americans. The City contends there
was no such intent with this process; however, did agree to notify all applicants on the
waiting list in November and December 2009 to invite all applicants to apply. On April
9, 2015 HUD granted permission to close the HCV waiting list effective April 30, 2015.
As of April 1, 2015, the HCV waiting list consisted of 1500 applicants. As of April
2016,the HCV waiting list consisted of 466 applicants. In Apri12016, 1021 applicants
from the November and December 2009 "purge group"were notified and invited to apply
for the HCV waiting list. Upon exhaustion of the current HCV waiting list, the
applicants invited to apply will be placed on a special HCV waiting list to be processed
prior to opening the HCV waiting list for applications as described in this chapter
utilizing the marketing and outreach plan identified in the Administrative Plan.
Proaram Snecific Waitin�List
The City of Dubuque shall maintain waiting lists for the Moderate Rehabilitation
Program;the Project Based Voucher Program and the Housing Choice Voucher Program.
Pre-Annlication
Moderate Rehabilitation Program Waiting List: The Moderate Rehabilitation Program
shall be a separate waiting list. The Moderate Rehabilitation program provides project-
based rental assistance to very low income families. The City of Dubuque currently has
two properties with Moderate Rehabilitation contracts. Eligible families are placed on
the Moderate Rehabilitation waiting list upon request by the family. When vacancies
occur in Mod Rehab projects,the City refers income eligible families for participation in
the Mod Rehab program from its waiting list to the owner. Owners select a family for
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Page 4-2
occupancy of a particular unit after screening the family. Once the owner selects a family
and notifies the City, the City shall determine final eligibility based upon the same
criteria for eligibility as the Housing Choice Voucher program.
Proiect-Based Voucher Proeram Waitine List: The Project-Based Voucher Program
Waiting List shall be a separate waiting list. The City of Dubuque currently has one
project-based voucher contract in a selected affordable assisted living residential facility.
All families selected for occupancy must qualify according to the very low income
guidelines. The project-based voucher units are designated for occupancy by elderly or
disabled families requiring assisted living services. Prior to and as a condition of
occupancy, the Owner or its designated service provider shall evaluate the proposed
applicanYs status to determine the qualification for residency of the assisted living
facility. When vacancies occur in the project-based voucher program, the City refers
income eligible families for participation in the project-based voucher program from its
waiting list to the owner. The owner selects a family for occupancy of a particular unit
after screening the family. Once the owner selects a family and notifies the City, the City
shall determine final eligibility based upon the same criteria for eligibility as the Housing
Choice Voucher program.
Housing Choice Voucher Program Waiting List(s):
The City of Dubuque shall open another Housing Choice Voucher waiting list once the
most current HCV waiting list consists of 200 applications. The current waiting list will
be completely exhausted prior to selecting applicants from the new waiting list. The new
HCV waiting list will remain open to accept applications for seven (7) calendar days with
the end date of the application period falling on a business day. Interested
individuals/families will be required to complete a written pre-application form for
admission and placement on the waiting list. Applications submitted online shall be
considered written applications. The City of Dubuque will use the pre-application form
to collect only the information necessary to make a preliminary determination of
eligibility.
A lottery system will be used to determine which applicants are placed on the new
waiting list once the waiting list is closed. Using the lottery system, one thousand (1,000)
applicants will be selected to be placed on the waiting list. Only the head of household
should apply. Duplicate applications will not be allowed. Each household has an equal
chance of being selected. All applications not selected during the Lottery Selection
process to be placed on the waiting list will be tracked on a bi-annual report per
guidelines for reporting in the Voluntary Compliance Agreement with HUD. Applicants
that are not selected to be placed on the waiting list will need to re-apply to the waiting
list the neat time new applications are accepted and the waiting list is open.
It is the City of Dubuque's intent to utilize each HCV waiting list established through the
lottery system as described above by opening and closing the waiting list as needed.
Each time the currently used HCV waiting list is reduced to 200 applications, the waiting
list will be opened again for the seven ('� calendar day period and once closed, one
thousand (1,000) applications will be selected to be placed on the new HCV waiting list
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using the lottery system. The remaining 200 applicants on the current HCV waiting list
will remain active throughout the final determination of eligibility process.
The family will be required to provide all of the information necessary to establish final
family eligibility and level of assistance when the family is selected from the waiting list.
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When the waiting list is open, individuals/families may obtain pre-application forms from
the PHA's office during normal business hours or may complete online applications at
the City of Dubuque website at www.cityofdubuque.org/hcv. Applicants may also
request—by telephone, mail or e-mail—an application be sent to them via first class mail
or FAX or e-mail.
Applications must be received during the time the waiting list is open to the general
public. For applications received by mail, the received date shall be determined by the
date the application has been post marked. For applications received by Fax or e-mail,
the received date shall be determined by the date the FAX or the e-mail is received by the
City of Dubuque. The City of Dubuque shall open the waiting list for seven (7) calendar
days with the last day of acceptance on a business day to allow applicants the opportunity
to contact the City of Dubuque Housing Authority staff if the applicant has questions.
If the pre-application is incomplete, the PHA will notify the family of the additional
information required. HA staff will make reasonable efforts to contact the applicant and
inform him/her of the additional information required and provide the applicant 7
calendar days to correct the deficiency. Reasonable efforts shall be in the form of one
letter or, if no address is provided, one telephone call or e-maiL If the HA staff is unable
to contact the applicant,the application will be removed from the lottery selection
process or if the applicant is contacted and fails to respond within the time period
specified or any eatensions of time,the applicant will be removed from the lottery
selection process. A record of those efforts shall be maintained with the application.
Final Application
On an ongoing basis, the PHA will randomly select a number of households from the
waiting list based upon the number of Vouchers that may be issued by utilizing leasing
data and turnover rates and selecting the applicants through a lottery system randomly
pulled from the current HCV waiting list. The applicants selected from the waiting list
using the lottery system will be mailed a full application packet to determine final
eligibility.
Completed applications must be received by the PHA by mail, FAX, e-mail or submitted
in person during normal business hours within 15 business days of the date on the PHA
letter requesting the updated application. For applications received by mail, the received
date shall be determined by the date the application has been post marked. For
applications received by Fax or e-mail,the received date shall be determined by the date
the FAX or the e-mail is received by the City of Dubuque. Applications must be
complete in order to be accepted by the PHA for processing. An application shall only be
considered complete if accompanied by proof of identity; copy of SSN; citizenship,
eligible immigration status or non-contending declaration; and all mandatory release
forms along with a completed application. The final "Application"form must be
completely filled out and must not contain any blanks or unanswered questions.
All applications must be accompanied by proof of identity from a third party for all
household members. Acceptable forms shall include birth certificates; current driver's
license; identification card issued by a federal, state, or local agency; identification card
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issued by a medical insurance company or provider(including Medicare and Medicaid);
or Court records. All applications must be accompanied by copies of social security
cards of all household members.
If the applicant is unable to provide documentation/verification of the SSN but is
otherwise determined eligible, the applicant may retain the applicanYs place on the
waiting list for the program but cannot become a participant until the applicant provides
the required verification. The applicant will be provided 30 days to obtain the required
verification while retaining the applicanYs place on the waiting list.
However, if a child under the age of 6 years was added to the applicant household within
the 6-month period priar to the household's date of voucher issuance, the applicant may
become a participant, so long as the documentation/verification is provided within 90
calendar days from the date of admission to the program. One additiona190-day
ea�tension period will be granted if the PHA determines that the applicant's failure to
comply was due to circumstances that could not reasonably have been foreseen and were
not due to the fault of the applicant.
If the applicant family fails to produce the required documentation/verification required
within the allotted time period as stated above, the PHA shall follow the policies as stated
in Chapter 3, Part IIL Denial of Assistance if the applicant has not become a participant
ofthe program or Chapter 12, 12-LD. Mandatory Termination of Assistance ifthe
applicant has been admitted to the program.
If the final application is incomplete, the PHA will notify the family of the additional
information required. HA staff will make reasonable efforts to contact the applicant and
inform him/her of the additional information required and provide the applicant 15
business days to correct the deficiency. Reasonable efforts shall be in the form of one
letter or, if no address is provided, one telephone call or e-maiL If the applicant fails to
respond within 15 business days, HA staff will make one additional effort by calling or
sending an e-mail. If the HA staff is unable to contact the applicant, the application will
be removed from the waiting list or if the applicant is contacted and fails to respond
within the time period specified or any eatensions of time, the applicant will be removed
from the waiting list. A record of those efforts shall be maintained with the application.
A record of all applications received (even incomplete applications) shall be maintained
by the PHA indicating all attempts to contact the applicant.
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4-LC. ACCESSIBILITY OF THE APPLICATION PROCESS
Elderly and Disabled Populations [24 CFR 8 and HCV GB, pp. 4-11 —4-13]
The PHA must take steps to ensure that the application process is accessible to those people who
might have difficulty complying with the normal, standard PHA application process. This could
include people with disabilities, certain elderly individuals, as well as persons with limited
English proficiency(LEP). The PHA must provide reasonable accommodation to the needs of
individuals with disabilities. The application-taking facility and the application process must be
fully accessible, or the PHA must provide an alternate approach that provides full access to the
application process. Chapter 2 provides a full discussion of the PHA's policies related to
providing reasonable accommodations for people with disabilities.
Limited English Proficiency
PHAs are required to take reasonable steps to ensure equal access to their programs and activities
by persons with limited English proficiency [24 CFR 1]. Chapter 2 provides a full discussion on
the PHA's policies related to ensuring access to people with limited English proficiency (LEP).
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4-LD. PLACEMENT ON THE WAITING LIST
The PHA must review each complete application received and make a preliminary assessment of
the family's eligibility. The PHA must accept applications from families for whom the list is
open unless there is good cause for not accepting the application (such as denial of assistance)
for the grounds stated in the regulations [24 CFR 982.206(b)(2)]. Where the family is determined
to be ineligible,the PHA must notify the family in writing [24 CFR 982.201(�]. Where the
family is not determined to be ineligible,the family will be placed on a waiting list of applicants.
No applicant has a right or entitlement to be listed on the waiting list, or to any particular
position on the waiting list [24 CFR 982.202(c)].
Ineligible for Placement on the Waiting List
PHA Policy
During the pre-application, if the PHA can determine from the information provided that a
family is ineligible,the family will be notified accordingto the procedures stated in Chapter
3, Part IIL Denial of Assistance. Where a family is deemed to be ineligible, the PHA will
send written notification of the ineligibility determination within 10 business days of its
decision to deny the application. The notice will specify the reasons for ineligibility, and
will inform the family of its right to request an informal review and explain the process for
doing so (see Chapter 1�. Any previous applicant/participant that had been determined to
be ineligible for an assisted housing benefit/subsidy that was notified in writing of the
reason for his/her ineligibility and of his/her right to request an Informal Hearing shall be
held accountable to the terms and time limits of the previous notice or hearing.
The PHA shall track all applicants denied admission to the program or placement on the
waiting list. A bi-annual report of all families denied admission or placement on the
waiting list, including data on race, national origin, address, age of applicants and
familial status and disability shall be maintained and sent to HUD. This report shall
include the specific activity or occurrence identified by the PHA in making the
determination to deny admission or placement on the waiting list, how the PHA learned
of the activity or occurrence, and what if any, alternate option or information was
provided to the family at the time of denial of admission or placement on the waiting list.
If the ineligibility is due to Criminal Background, the PHA will track all families denied
admission to the program and will submit a bi-annual report on these families, including
data on race, national origin, and address, age of applicants, and familial status and
disability to HUD according to the terms of the Voluntary Compliance Agreement
(VCA). The report shall include the specific activity or occurrence identified by the PHA
in making the determination to deny admission to the program, how the PHA learned of
the activity or occurrence, and a copy of the denial notice or other information provided
to the family at the time of denial.
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Eligible for Placement on the Waiting List
PHA Policy
Housing Choice Voucher Waiting List(s):
The PHA will send written notification of the preliminary eligibility determination within
15 business days of completing the lottery selection of those applicants selected to be
placed on the waiting list. Applicants will be selected to be placed on the waiting list
according to a computer generated Lottery/random selection process.
Placement on the waiting list does not indicate that the family is, in fact, eligible for
assistance. A final determination of eligibility will be made when the family is selected
from the waiting list.
Also see 4-LB. APPLYING FOR ASSISTANCE for placement on the Moderate
Rehabilitation or Project-Based Voucher Waiting Lists.
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PART IL• MANAGING THE WAITING LIST
4-ILA. OVERVIEW
The PHA must have policies regarding various aspects of organizing and managing the waiting
list of applicant families. This includes opening the list to new applicants, closing the list to new
applicants, notifying the public of waiting list openings and closings, updating waiting list
information, purging the list of families that are no longer interested in or eligible for assistance,
as well as conducting outreach to ensure a sufficient number of applicants.
In addition, HUD imposes requirements on how a PHA may structure its waiting list and how
families must be treated if they apply for assistance from a PHA that administers more than one
assisted housing program.
PHA Policv
The waiting list shall remain open for receipt of applications far time periods of seven (7)
calendar days with the end date of the application period falling on a business day
accordingto the policy as stated in Chapter 4, Section 4.LB. Applyingfor Assistance.
4-ILB. ORGANIZATION OF THE WAITING LIST [24 CFR 982.204 and 205]
The PHA's HCV waiting list must be organized in such a manner to allow the PHA to accurately
identify and select families for assistance in the proper order, according to the admissions
policies described in this plan.
The waiting list must contain the following information for each applicant listed:
• Applicant name;
• Family unit size;
• Date and time of application;
• Qualification for any local preference;
• Racial or ethnic designation of the head of household.
HUD requires the PHA to maintain a single waiting list for the HCV program unless it serves
more than one county or municipality. Such PHAs are permitted, but not required, to maintain a
separate waiting list for each county or municipality served.
PHA Policy
The PHA will maintain the waiting list{s)for the HCV program according to the policy
stated in Chapter 4, Section 4.LB. Applyingfor Assistance. The PHA will maintain a
separate waiting list for the Moderate Rehabilitation and Project Based Voucher
programs. Applicants will be asked to identify and indicate their interest in applying for
the Moderate Rehabilitation and Project Based Vouchers and will be maintained on all
lists according to their preference and qualifications.
HUD directs that a family that applies for assistance from the HCV program must be offered the
opporiunity to be placed on the waiting list for any public housing, project-based voucher or
moderate rehabilitation program the PHA operates if 1)the other programs' waiting lists are
open, and 2)the family is qualified far the other programs.
HUD permits, but does not require,that PHAs maintain a single merged waiting list far their
public housing, Section 8, and other subsidized housing programs.
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A family's decision to apply for, receive, or refuse other housing assistance must not affect the
family's placement on the HCV waiting list, or any preferences for which the family may
qualify.
PHA Policv
The PHA will not merge the HCV waiting list with the waiting list for any other program
the PHA operates.
4-ILC. OPENING AND CLOSING THE WAITING LIST [24 CFR 982.206]
Closing the Waiting List
A PHA is permitted to close the waiting list if it has an adequate pool of families to use its
available HCV assistance. Alternatively, the PHA may elect to continue to accept applications
only from certain categories of families that meet particular preferences or funding criteria.
HUD permits the PHA to close the waiting list if it has an adequate pool of families to use its
available funding, but does not define what constitutes an "adequate pool." The HCV Guidebook
suggests that application-taking should stop when the anticipated wait reaches between 12 and
24 months.
PHA Policy
The PHA will open and close the HCV waiting list periodically as defined in Chapter 4,
Section 4.LB. Applying for Assistance. Once the waiting list is closed according to the
procedure in the section noted above, the PHA shall utilize a lottery system to randomly
select 1,000 applicants to be placed on the waiting list. Where the PHA has particular
selection or funding criteria(Project Based Vouchers, Tenant Protection Vouchers or
Moderate Rehabilitation Programs)that require a specific category of family,the PHA
may elect to continue to accept applications from these applicants while closing the HCV
waiting list to others.
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Reopening the Waiting List
If the waiting list has been closed, it cannot be reopened until the PHA publishes a notice in local
newspapers of general circulation, minority media, and other suitable media outlets. The notice
must comply with HUD fair housing requirements and must specify who may apply, and where
and when applications will be received.
PHA Policy
The PHA will announce the reopening of the HCV waiting list at least 10 business days
prior to the date applications will first be accepted. The PHA will give public notice by
publishing the relevant information in suitable media outlets including, but not limited to:
City ofDubuque Website
Telegraph Herald
Also see Sedion 02 Fair Housing Outreach
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4-ILD. FAMILY OUTREACH [HCV GB, pp. 4-2 to 4-4]
The PHA must conduct outreach as necessary to ensure that the PHA has a sufficient number of
applicants on the waiting list to use the HCV resources it has been allotted.
Because HUD requires the PHA to admit a specified percentage of eatremely low income
families to the program (see Chapter 4, Part II�,the PHA may need to conduct special outreach
to ensure that an adequate number of such families apply for assistance [HCV GB, p. 4-20
to 4-21].
PHA outreach efforts must comply with fair housing requirements. This includes:
• Analyzing the housing market area and the populations currently being served to identify
underserved populations
• Ensuring that outreach efforts are targeted to media outlets that reach eligible populations
that are underrepresented in the program
• Avoiding outreach efforts that prefer or exclude people who are members of a protected class
PHA outreach efforts must be designed to inform qualified families about the availability of
assistance under the program. These efforts may include, as needed, any of the following
activities:
• Submitting press releases to local newspapers, including minority newspapers
• Developing informational materials and flyers to distribute to other agencies
• Providing application forms to other public and private agencies that serve the low income
population
• Developing partnerships with other organizations that serve similar populations, including
agencies that provide services for persons with disabilities
PHA Policy
The PHA will monitor the characteristics of the population being served and the
characteristics of the population as a whole in the PHA's jurisdiction. Targeted outreach
efforts will be undertaken if a comparison suggests that certain populations are being
underserved. Outreach activities will include surrounding housing authorities, local
chapters of the NAACP within 200 miles, outreach to agencies assisting persons with
disabilities and organizations for persons with limited English proficiency.
Also see Chapter 2 Adm Plan Fair Housing for additional outreach
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4-ILE. REPORTING CHANGES IN FAMILY CIRCUMSTANCES
PHA Policy
While the family is on the waiting list, the family must immediately inform the PHA of
changes in contact information, including current residence, mailing address, and phone
number. The changes must be submitted in writing, whenever possible.
4-ILF. UPDATING THE WAITING LIST [24 CFR 982.204]
HUD requires the PHA to establish policies to use when removing applicant names from the
waiting list.
Purging the Waiting List
The decision to withdraw an applicant family that includes a person with disabilities from the
waiting list is subject to reasonable accommodation. If the applicant did not respond to a PHA
request for information or updates, and the PHA determines that the family did not respond
because of the family member's disability,the PHA must reinstate the applicant family to their
former position on the waiting list [24 CFR 982.204(c)(2)].
PHA Policy
The waiting list will be updated annually to ensure that all applicants and applicant
information is current and timely. Each applicant on the waiting list will be notified of
the necessity to update their information and/or to notify the PHA of their continued
interest to remain on the waiting list. The waiting list purge shall take place no later than
June of each calendar year.
To update the waiting list,the PHA will send an update request via first class mail to each
family on the waiting list at the same time to determine whether the family continues to
be interested in, and to qualify for, the program. This update request will be sent to the
last address that the PHA has on record for the family. The update request will provide a
deadline by which the family must respond and will state that failure to respond will
result in the applicant's name being removed from the waiting list.
The family's response must be in writing whenever possible and may be delivered in
person, electronically, by mail, or by fax. Responses should be postmarked or received
by the PHA not later than 15 business days from the date of the PHA letter.
If the family fails to respond within 15 business days, the family will be removed from
the waiting list without further notice. However, if the notice is returned by the post
office with no forwarding address, the applicant will be contacted by telephone call, e-
mail or by applicanYs authorized additional contact person and provided an additional 15
business days to respond.
If the notice is returned by the post office with a forwarding address, the notice will be re-
sent to the address indicated. The family will have 15 business days to respond from the
date the letter was re-sent.
If a family is removed from the waiting list for failure to respond to the purge notice, the
PHA may reinstate the family if it is determined that the lack of response was due to
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PHA error, or to circumstances beyond the family's control that can be verified by the
applicant.
Removal from the Waiting List for Ineligibility
PHA Policv
If at any time an applicant family is on the waiting list, the PHA determines that the
family is not eligible for assistance (see Chapter 3), the family will be removed from the
waiting list.
If a family is removed from the waiting list because the PHA has determined the family is
not eligible for assistance, a notice will be sent to the family's address of record as
provided on the most recent application. If the letter is returned with a forwarding
address,the letter will be resent to the new address. If the letter is returned without a
forwarding address, the applicant will be contacted by telephone call, e-mail or by
applicanYs authorized additional contact person. The notice will state the reasons the
family was removed from the waiting list and will inform the family how to request an
informal review regarding the PHA's decision (see Chapter 16) [24 CFR 982.201(�].
Removal from Waiting List During Final Eligibility Application
PHA Policv
Once the applicant family reaches the top of the waiting list, a letter along with the Final
Application packet will be sent by first class mail to notify the applicant family and to
request updated information. If the applicant family fails to respond to the letter within
15 business days from the date of the letter, staff will make a reasonable effort by written
notice, telephone call, e-mail or by applicanYs authorized additional contact person to
request updated information. If the applicant fails to respond to the 2°d request within the
time frame specified by staff(normally 15 business days) or any ea�tension of time
granted by staff the applicant family will be removed from the waiting list without further
notice.
If the family responds with the updated information within the time lines set above, the
PHA will proceed with processing the application to determine final eligibility and
schedule the interview/briefing appointment. Also see 4IILD. NOTIFICATION OF
SELECTION.
PART IIL• SELECTION FOR HCV ASSISTANCE
4-IILA. OVERVIEW
As vouchers become available, families on the waiting list must be selected for assistance in
accordance with the policies described in this part.
The order in which families are selected from the waiting list depends on the selection method
chosen by the PHA and is impacted in part by any selection preferences for which the family
qualifies. The availability of targeted funding also may affect the order in which families are
selected from the waiting list.
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The PHA must maintain a clear record of all information required to verify that the family is
selected from the waiting list according to the PHA's selection policies [24 CFR 982.204(b) and
982.207(e)].
4-IILB. SELECTION AND HCV FUNDING SOURCES
Special Admissions [24 CFR 982.203]
HUD may award funding for specifically-named families living in specified types of units (e.g.,
a family that is displaced by demolition of public housing; a non-purchasing family residing in a
HOPE 1 or 2 projects). In these cases, the PHA may admit such families whether or not they are
on the waiting list, and, if they are on the waiting list, without considering the family's position
on the waiting list. These families are considered non-waiting list selections. The PHA must
maintain records showing that such families were admitted with special program funding.
Targeted Funding [24 CFR 982.204(e)]
HUD may award a PHA funding for a specified category of families on the waiting list. The
PHA must use this funding only to assist the families within the specified category. In order to
assist families within a targeted funding category, the PHA may skip families that do not qualify
within the targeted funding category. Within this category offamilies,the order in which such
families are assisted is determined according to the policies provided in Section 4IILC.
PHA Policv
The PHA administers the following types of targeted funding:
2008 and 2009 Non-Elderly Disabled Participants
Vouchers covered by Project-Based HAP Contract
Tenant Protection
Moderate Rehabilitation Program
Regular HCV Funding
Regular HCV funding may be used to assist any eligible family on the waiting list. Families are
selected from the waiting list according to the policies provided in Section 4IILC.
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4-IILC. SELECTION METHOD
PHAs must describe the method for selecting applicant families from the waiting list, including
the system of admission preferences that the PHA will use [24 CFR 982.202(d)].
PHA Policv
The PHA will select any family that has been terminated from its HCV program due to
insufficient program funding or to any family that had been issued a voucher and the
voucher was suspended or withdrawn or the briefing appointment that had been scheduled
was canceled due to insufficient funding priar to selecting others from the waiting list-
whether the waiting list is opened or closed. Assistance shall be offered in the order listed
in the previous sentence- terminated families, vouchers issued and withdrawn, applicants
scheduled for briefing appointment without regard to the waiting list position.
All other applicant households will be selected for the HCV program by a computer
generated Lottery system randomly selected to ensure everyone receives the same, equal
chance of receiving a Voucher. Failure to respond within 15 business days to the PHA
request to update the application during the final application process to determine final
eligibility or incomplete applications returned will result in a denial or delay in the final
processing/voucher issuance according to the policy previously stated in Section 4.LB.
Applying for Assistance in this chapter.
HUD requires that at least 75% of households admitted into the program during the year
must be eatremely low income. Eatremely low-income is defined as a very low-income
family whose annual income does not exceed the higher of:
(1) The poverty guidelines established by the Department of Health and Human
Services applicable to the family of the size involved (except in the case of
families living in Puerto Rico or any other territory or possession of the United
States); or
(2) Thirty (30) percent of the median income far the area, as determined by HUD,
with adjustments for smaller and largerfamilies,exceptthat HUD may establish
income ceilings higher or lower than 30 percent of the area median income for
the area if HUD finds that such variations are necessary because of unusually
high or low family incomes.
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The PHA reserves the right to skip over or re-select applicants through the Lottery system,
if the PHA determines that it is necessary to reach the HUD requirement that at least 75%
of households admitted into the program during the year must be eatremely low income.
Ifthe available Voucher is designated as a special purpose Voucher allocated for disabled
families such as NED(Non-Elderly Disabled),applicants qualifyingforthe special purpose
Voucher will be selected by a computer generated Lottery system. Other applicants that
do not qualify for the special purpose Voucher will not be selected to receive the Voucher.
Special purpose Vouchers identified as Tenant Protection shall be according to the HUD
contract (Example: Opt-Out or Mod Rehab participants converting to the Voucher
program.)
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Local Preferences [24 CFR 982.207; HCV p. 4-16]
PHAs are permitted to establish local preferences, and to give priority to serving families that
meet those criteria. HUD specifically authorizes and places restrictions on certain types of local
preferences. HUD also permits the PHA to establish otherlocal preferences, atits discretion.
Any local preferences established must be consistent with the PHA plan and the consolidated
plan, and must be based on local housing needs and priorities that can be documented by
generally accepted data sources.
PHA Policv
No local preference points are established.
When a local preference change is being sought, the PHA must seek approval from HUD
and provide evidence supporting the need for the change from generally accepted data
sources, i.e. census data, indicating a change in local demographics or the identification
of need not previously met, thus necessitating additional assistance for an expanding or
newly identified demographic.
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Income Targeting Requirement [24 CFR 982.201(b)(2)]
HUD requires that eatremely low-income (EL�families make up at least 75% of the families
admitted to the HCV program during the PHA's fiscal year. ELI families are those with annual
incomes that do not exceed the higher of the Federal poverty level or 30% of the area median
income. To ensure this requirement is met, a PHA may skip non-ELI families on the waiting list
in order to select an ELI family.
Low income families admitted to the program that are "continuously assisted"under the 1937
Housing Act [24 CFR 982.4(b)], as well as low-income or moderate-income families admitted to
the program that are displaced as a result of the prepayment of the mortgage or voluntary
termination of an insurance contract on eligible low-income housing, are not counted for income
targeting purposes [24 CFR 982.201(b)(2)(v)].
PHA Policv
The PHA will monitor progress in meeting the income targeting requirement throughout
the fiscal year. Eatremely low-income families will be selected ahead of other eligible
families on an as-needed basis to ensure the income targeting requirement is met.
Order of Selection
The PHA system of preferences may select families based on local preferences according to the
date and time of application or by a random selection process (lottery) [24 CFR 982.207(c)]. If a
PHA does not have enough funding to assist the family at the top of the waiting list, it is not
permitted to skip down the waiting list to a family that it can afford to subsidize when there are
not sufficient funds to subsidize the family at the top of the waiting list [24 CFR 982.204(d)
and (e)].
PHA Policy
If the available Voucher is designated as a special purpose Voucher allocated for disabled
families such as NED (Non-Elderly Disabled), applicants qualifying for the special
purpose Voucher will be selected by a computer generated Lottery system. Other
applicants that do not qualify for the special purpose Voucher will not be selected to
receive the Voucher. Special purpose Vouchers identified as Tenant Protection shall be
according to the HUD contract(Example: Opt-Out or Mod Rehab participants
converting to the Voucher program.)
Documentation will be maintained by the PHA as to whether families on the list qualify
for and are interested in special purpose vouchers. If a higher placed family on the
waiting list is not qualified far the special purpose voucher,there will be a notation
maintained so that the PHA does not have to ask higher placed families each time
targeted selections are made.
All other HCV applicant families will be selected on a random, computer generated Lottery
system and according to the family's response to the Final application process once selected. .
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4-IILD. NOTIFICATION OF SELECTION
When a family has been selected from the waiting list,the PHA must notify the family.
�za cFx 9sz.ssa�a��
Pxa Poliov
Once the applicant family reaches the top of the waiting list, a letter along with the Final
Application packet will be sent by first class mail to notify the applicant family and
request updated information. If the applicant family fails to respond to the request far the
Final Application, the process in Section 4.LB. Applyingfor Assistance, Section "Final
Application" shall be followed
Once the applicant family responds to the request with updated information and is
determined eligible, the PHA will proceed with processing the application.
The PHA will notify the family by first class mail to inform the family of the following:
Date,time, and location of the scheduled application interview/briefing, including
any procedures for rescheduling the interview/briefing
Who is required to attend the interview/briefing
All documents that must be provided at the interview/briefing, including
information about what constitutes acceptable documentation
If the notice is returned by the post office with no forwarding address, the applicant will
be contacted by telephone call, e-mail or by applicant's authorized additional contact
person and provided another scheduled interview/briefing
If the notice is returned by the post office with a forwarding address, the notice will be re-
sent to the address indicated. The family will be provided another scheduled
interview/briefing.
If a notification letter is returned to the PHA with no forwarding address, and the PHA is
unable to contact the applicant utilizing the above methods, the family will be removed
from the waiting list. A notice of denial will be sent to the family's address of record, as
well as to any known alternate address, to deny assistance for failure to provide
information necessary in the administration ofthe program. See 4ILF. Removal from
the Waiting List.
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4-IILE. THE APPLICATION INTERVIEW
HUD recommends that the PHA obtain the information and documentation needed to make an
eligibility determination though a face-to-face interview with a PHA representative [HCV GB,
pg. 4-16]. Being invited to attend an interview does not constitute admission to the program.
Assistance cannot be provided to the family until all SSN documentation requirements are met.
However, if the PHA determines that an applicant family is otherwise eligible to participate in
the program,the family may retain its place on the waiting list for a period of time determined by
the PHA [Notice PIH 2O12-10].
Reasonable accommodation must be made for persons with disabilities who are unable to aYtend
an interview due to their disability.
PHA Policy
Families selected from the waiting list are required to participate in an eligibility
interview. The eligibility interview may be conducted at the time of the briefing
appointment or conducted by maiUperson prior to the briefing appointment.
The head of household and the spouse/co-head along with all adult household members
will be requested to attend the interview together. Verification of information pertaining
to adult members of the household not present at the interview will not begin until signed
release forms are returned to the PHA.
The head of household or spouse/co-head and all household members must provide
acceptable documentation of legal identity. (Chapter 7 provides a discussion of proper
documentation of legal identity.) If the family representative does not provide the
required documentation at the time of the interview, he or she will be required to provide
it within 10 business days or according to Section 4.LB. Applying for Assistance in this
chapter).
Pending disclosure and documentation of social security numbers,the PHA will allow the
family to retain its place on the waiting list for 30 calendar days. If not all household
members have disclosed their SSNs at the neat time the PHA is issuing vouchers,the
PHA will issue a voucher to the neat eligible applicant family on the waiting list.
The family must provide the information necessary to establish the family's eligibility
and determine the appropriate level of assistance, as well as completing required forms,
providing required signatures, and submitting required documentation. If any materials
are missing, the PHA will provide the family with a written list of items that must be
submitted.
Any required documents or information that the family is unable to provide at the
interview must be provided within 10 business days of the interview (Chapter 7 provides
details about longer submission deadlines for particular items, including documentation
of eligible noncitizen status and Section 4.LB. ofthis chapter provides details about SSN
verification/documentation). If the family is unable to obtain the information or materials
within the required time frame, the family may request an ea�tension. If the required
documents and information are not provided within the required time frame (plus any
ea�tensions), the family will be sent a notice of denial for failure to provide information
necessary in the administration of the program.
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An advocate, interpreter, or other assistant may assist the family with the application and
the interview process.
Interviews will be conducted in English. For limited English proficient(LEP) applicants,
the PHA will provide translation services in accordance with the PHA's LEP plan.
If the family is unable to attend a scheduled interview, the family should contact the PHA
in advance of the interview to schedule a new appointment. In all circumstances, if a
family does not attend a scheduled interview or arrives more than 15 minutes late for the
appointment,the PHA will send another notification letter with a new interview
appointment time. Applicants who fail to attend two scheduled interviews in a timely
manner without PHA approval will be denied assistance based on the family's failure to
supply information needed to determine eligibility and will be removed from the waiting
list. Record Keeping for Denial of Application/Determination of
Ineligibility/Applications shall be kept according to policies contained in Chapter 3.4-
IILF. COMPLETING THE APPLICATION PROCESS
The PHA must verify all information provided by the family (see Chapter 7). Based on verified
information, the PHA must make a final determination of eligibility (see Chapter 3) and must
confirm that the family qualified for any special admission,targeted funding admission, or
selection preference that affected the order in which the family was selected from the waiting
list.
PHA Policy
If the PHA determines that the family is ineligible, the PHA will send written notification
ofthe ineligibility determination within 10 business days ofthe determination. The notice
will specify the reasons for ineligibility, and will inform the family of its right to request
an informal review (Chapter 16).
If a family fails to qualify for any criteria that affected the order in which it was selected
from the waiting list(e.g. targeted funding, eatremely low-income), the family will be
returned to the waiting list. The PHA will notify the family in writing that it has been
returned to the waiting list, and will specify the reasons for it.
If the PHA determines that the family is eligible to receive assistance,the PHA will invite
the family to attend a briefing in accordance with the policies in Chapter 5 and Section
4.IILE ofthis chapter.
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Chapter 16
PROGRAM ADMINISTRATION
INTRODUCTION
This chapter discusses administrative policies and practices that are relevant to the activities
covered in this plan. The policies are discussed in seven parts as described below:
Part L Administrative Fee Reserve. This part describes the PHA's policies with regard to
oversight of expenditures from its administrative fee reserve.
Part IL Settin�Proeram Standards and Schedules. This part describes what payment
standards are, and how they are updated, as well as how utility allowances are established
and revised.
Part IIL Informal Reviews and Hearings. This part outlines the requirements and
procedures for informal reviews and hearings, and for informal hearings regarding
citizenship status.
Part IV: Owner or Familv Debts to the PHA. This part describes policies for recovery of
monies that the PHA has overpaid on behalf of families, or to owners, and describes the
circumstances under which the PHA will offer repayment agreements to owners and
families. Also discussed are the consequences for failure to make payments in accordance
with a repayment agreement.
Part V: Section 8 Management Assessment Program (SEMAP). This part describes what
the SEMAP scores represent, how they are established, and how those scores affect a
PHA.
Part VL Record-Keenine. All aspects of the program involve certain types of record-
keeping. This part outlines the privacy rights of applicants and participants and record
retention policies the PHA will follow.
Part VIL Renortine and Record Keenine for Children with Environmental Intervention
Blood Lead Level. This part describes the PHA's responsibilities for reporting, data
collection, and record keeping relative to children with environmental intervention blood
lead levels that are less than six years of age, and are receiving HCV assistance.
Part VIIL Determination of Insufficient Fundine. This part describes the PHA's policies
for determining if there is sufficient funding to issue vouchers, to approve moves to
higher cost units or areas, and to continue assistance for all participant families.
Part IX: Violence against Women Act(VAWA): Notification, Documentation,
Confidentialitv. This part contains key terms used in VAWA and describes requirements
related to notifying families and owners about their rights and responsibilities under
VAWA; requesting documentation from victims of domestic violence, dating violence,
and stalking; and maintaining the confidentiality of information obtained from victims.
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PART L• ADMINISTRATIVE FEE RESERVE [24 CFR 982.155]
The PHA will maintain administrative fee reserves, or unrestricted net assets (LJNA)for the
program to pay program administrative expenses in excess of administrative fees paid by HUD
for a PHA fiscal year. HUD appropriations acts beginning with FFY 2004 have specified that
administrative fee funding may be used only for activities related to the provision of HCV
assistance, including related development activities. Notice PIH 2O12-9 cites two examples of
related development activities: unit modification for accessibility purposes and development of
project-based voucher units. The notice makes clear that other activities may also qualify as
related development activities. Administrative fees that remain in the UNA account from funding
provided priar to 2004 may be used for"other housing purposes permitted by state and local
law," in accordance with 24 CFR 982.155(b)(1).
If a PHA has not adequately administered its HCV program, HUD may prohibit use of funds in
the UNA Account and may direct the PHA to use funds in that account to improve
administration of the program, for HCV HAP expenses, ar to reimburse ineligible expenses in
accordance with the regulation at 24 CFR 982.155(b)(3).
HUD requires the PHA Board of Commissioners or other authorized officials to establish the
maximum amount that may be charged against the UNA account without specific approval.
PHA Policv
Expenditures from the UNA account will be made in accordance with all applicable
federal requirements. Expenditures shall be based upon the City of Dubuque annual
budget adopted by the City Council.
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PART IL• SETTING PROGRAM STANDARDS AND SCHEDULES
16-ILA. OVERVIEW
Although many ofthe program's requirements are established centrally by HUD,the HCV
program's regulations recognize that some flexibility is required to allow the PHA to adapt the
program to local conditions. This part discusses how the PHA establishes and updates certain
schedules and standards that are used to administer the program locally. Details about how these
schedules are applied to individual families are provided in other chapters. The schedules and
standards discussed here include:
• Payment Standards, which dictate the maximum subsidy a family can receive (application of
the payment standards is discussed in Chapter 6); and
• UrilityAllowances, which specify how a family's payment should be adjusted to account for
tenant-paid utilities (application of utility allowances is discussed in Chapter 6).
PHA Policy
Copies of the payment standard and utility allowance schedules are available for review
in the PHA's offices during normal business hours and on the City website.
Families, owners, and members of the public may submit written comments on the
schedules discussed in this part, at any time, for consideration during the neat revision
cycle.
The PHA will maintain documentation to support its annual review of payment standards
and utility allowance schedules. This documentation will be retained for at least 3 years.
A PHA-established utility allowance schedule is used in determining family share and
PHA subsidy. The PHA must use the appropriate utility allowance. The utility allowance
for a family shall be the lower of(1)the utility allowance amount for the family unit size;
or(2)the utility allowance amount for the unit size of the unit rented by the family.
However, upon the request of a family that includes a person with disabilities, the PHA
must approve a utility allowance higher than the applicant amount if such a higher utility
allowance is needed as a reasonable accommodation. See Chapter 5 for information on
the PHA's subsidy standards and Chapter 6 Applying Utility Allowances.
Establishing and updating the PHA passbook rate, which is used to calculate imputed income
from assets, is covered in Chapter 6 (see Section 6-LG.).
16-ILB. PAYMENT STANDARDS [24 CFR 982.503; HCV GB, Chapter 7]
The payment standard sets the maximum subsidy payment a family can receive from the PHA
each month [24 CFR 982.505(a)]. Payment standards are based on fair market rents (FMRs)
published annually by HUD. FMRs are set at a percentile within the rent distribution of standard
quality rental housing units in each FMR area. For most jurisdictions FMRs are set at the 40th
percentile of rents in the market area
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The PHA must establish a payment standard schedule that establishes payment standard amounts
for each FMR area within the PHA's jurisdiction, and for each unit size within each of the FMR
areas. For each unit size, the PHA may establish a single payment standard amount far the whole
FMR area, or may set different payment standards for different parts of the FMR area. Unless
HUD grants an exception,the PHA is required to establish a payment standard within a"basic
range" established by HUD—between 90 and 110 percent of the published FMR for each unit
size.
Updating Payment Standards
When HUD updates its FMRs, the PHA must update its payment standards if the standards are
no longer within the basic range [24 CFR 982.503(b)]. HUD may require the PHA to make
further adjustments if it determines that rent burdens for assisted families in the PHA's
jurisdiction are unacceptably high 24 CFR 982.503(g)].
PHA Policy
The PHA will review the appropriateness of the payment standards on an annual basis
when the new FMR is published, and at other times as determined necessary. In addition
to ensuring the payment standards are always within the "basic range"the PHA will
consider the following factors when determining whether an adjustment should be made
to the payment standard schedule:
Funding Availability: The PHA will review the budget to determine the impact
projected subsidy adjustments will have on funding available for the program and
the number of families served. The PHA will compare the number of families
who could be served under revised payment standard amounts with the number
assisted under current payment standard amounts.
Payment Standards
HUD allows Housing Agencies the authority to set the Voucher Payment
Standards for units at levels between 90 percent and 110 per cent of the published
Fair Market Rents far the appropriate unit sizes. Each year HUD publishes Fair
Market Rents far the Dubuque Metropolitan Area. Each year the PHA will
review the Fair Market Rent data to ensure the Voucher Payment Standard is
within the range allowed by HUD. Unless the Voucher Payment Standards fall
below 90% or over 110% of the Fair Market Rents,the payment standards will be
changed effective January 1 of the following year in an attempt to keep the
standards at 90%to 110% of the Fair Market Rents. The standards will be
determined using the most recent leasing data and success rates of participants
issued Vouchers indicating a reasonable length of time (within 60 days)to locate
a suitable unit while taking into account the Housing Assistance Payments Budget
Authority allocated to the PHA. The PHA will monitor rent burdens of families
assisted in the PHA's voucher program. If 40 percent or more of such families
occupying units of any particular unit size are paying more than 30 percent of
adjusted income as the family's share,the PHA will review the payment standard
amount for that unit size and may modify the payment standard amounts.
If one or more of the PHA's current payment standard amounts falls below 90%
or over 110% of the FMR published, the PHAs payment standards will be
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changed as ofthe published FMR effective date instead of January lsr. Ifthe
PHA has already processed reexaminations,the PHA will make retroactive
adjustments to any such reexaminations.
Changes in Rent to Owner: The PHA may review a sample of the units to
determine how often owners are increasing or decreasing rents and the average
percent of increases/decreases by bedroom size.
Lease-up Time and Success Rate: The PHA will consider the percentage of
families that are unable to locate suitable housing before the voucher expires and
whether families are leaving the jurisdiction to find affordable housing.
Exception Payment Standards [982.503(c)]
The PHA must request HUD approval to establish payment standards that are higher than the
basic range. At HUD's sole discretion, HUD may approve a payment standard amount that is
higher than the basic range for a designated part of the FMR area. HUD may approve an
exception payment standard amount(in accordance with program requirements)for all units, or
for all units of a given size, leased by program families in the exception area. Any PHA with
jurisdiction in the exception area may use the HUD-approved exception payment standard
amount. The total population of all HUD-approved exception areas in an FMR area may not
include more than 50 percent of the population of the FMR area
PHA Policy
As part of the PHA's strategy to deconcentrate neighborhoods in poverty, HUD has
approved an exception rents in Census Tracts 8.01, 8.02, 12.01, 12.02 and 12.03. The
Voucher Payment Standards within the above census tracts will be set at the 110% of the
50�'percentile published Rents and will be adjusted on January 1 of each year to maintain
the exception payment standards of the most recent FMR data published.
Unit-by-Unit Exceptions [24 CFR 982.503(c)(2)(ii), 24 CFR 982.505(d), Notice PIH 2O10-26]
Unit-by-unit exceptions to the PHA's payment standards generally are not permitted. However,
an exception may be made as a reasonable accommodation for a family that includes a person
with disabilities. (See Chapter 2 for a discussion of reasonable accommodations.) This type of
exception does not affect the PHA's payment standard schedule.
When needed as a reasonable accommodation,the PHA may make an exception to the payment
standard without HUD approval if the exception amount does not exceed 110 percent of the
applicable FMR for the unit size [HCV GB 7-9]. The PHA may request HUD approval for an
exception to the payment standard for a particular family if the required amount falls between
110 and 120 percent of the FMR.
PHA Policv
A family that requires a reasonable accommodation may request a higher payment
standard at the time the Request for Tenancy Approval (RFTA) is submitted. The family
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must document the need for the exception. In order to approve an exception, or request an
exception from HUD, the PHA must determine that:
There is a shortage of affordable units that would be appropriate for the family;
The family's TTP would otherwise exceed 40 percent of adjusted monthly
income; and
The rent for the unit is reasonable.
"Success Rate" Payment Standard Amounts [24 CFR 982.503(e)]
If a substantial percentage of families have difficulty finding a suitable unit, the PHA may
request a"success rate payment standard"that applies to the entire jurisdiction. If approved by
HUD, a success rate payment standard allows the PHA to set its payment standards at 90-110
percent of a higher FMR (the 50�', rather than the 40�' percentile FMR). To support the request,
the PHA must demonstrate that during the most recent 6-month period for which information is
available:
• Fewer than 75 percent of families who were issued vouchers became participants;
• The PHA had established payment standards for all unit sizes, and for the entire jurisdiction,
at 110 percent of the published FMR; and
• The PHA had a policy of allowing voucher holders who made sustained efforts to locate
units at least 90 days to search for a unit.
Although HUD approves the success rate payment standard for all unit sizes in the FMR area,
the PHA may choose to adjust the payment standard for only some unit sizes in all, or a
designated part, of the PHA's jurisdiction within the FMR area
Decreases in the Payment Standard below the Basic Range [24 CFR 982.503(d)]
The PHA must request HUD approval to establish a payment standard amount that is lower than
the basic range. At HUD's sole discretion, HUD may approve establishment of a payment
standard lower than the basic range. HUD will not approve a lower payment standard if the
family share for more than 40 percent of program participants exceeds 30 percent of adjusted
monthly income.
16-ILC. UTILITY ALLOWANCES [24 CFR 982.517]
A PHA-established utility allowance schedule is used in determining family share and PHA
subsidy. The PHA must maintain a utility allowance schedule for (1) all tenant-paid utilities, (2)
the cost of tenant-supplied refrigerators and ranges, and (3) other tenant-paid housing services
such as trash collection.
The utility allowance schedule must be determined based on the typical cost of utilities and
services paid by energy-conservative households that occupy housing of similar size and type in
the same locality. In developing the schedule, the PHA must use normal patterns of consumption
for the community as a whole, and current utility rates.
The utility allowance must include the utilities and services that are necessary in the locality to
provide housing that complies with housing quality standards. Costs for telephone, cable/satellite
television, and internet services are not included in the utility allowance schedule.
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In the utility allowance schedule, the PHA must classify utilities and other housing services
according to the following general categories: space heating; air conditioning; cooking; water
heating; water; sewer;trash collection; other electric; cost of tenant-supplied refrigerator; cost of
tenant-supplied range; and other specified housing services.
The cost of each utility and housing service must be stated separately by unit size and type.
Chapter 18 of the HCV Guidebook provides detailed guidance to the PHA about establishing
utility allowance schedules.
Air Conditioning
An allowance for air-conditioning must be provided when the maj ority of housing units in the
market have central air-conditioning or are wired far tenant-installed air conditioners.
PHA Policy
The majority of housing units in the PHA's jurisdiction and units leased in the HCV
program does not include central air-conditioning and is not wired for tenant-installed air
conditioners. Therefore,the PHA has not included an allowance for air-conditioning in its
utility allowance schedule.
Reasonable Accommodation
HCV program regulations require a PHA to approve a utility allowance amount higher than
shown on the PHA's schedule if a higher allowance is needed as a reasonable accommodation
for a family member with a disability. For example, if a family member with a disability requires
such an accommodation, the PHA will approve an allowance for air-conditioning, even if the
PHA has determined that an allowance for air-conditioning generally is not needed (See Chapter
2 for policies regarding the request and approval of reasonable accommodations).
Utility Allowance Revisions
The PHA must review its schedule of utility allowances each year, and must revise the schedule
if there has been a change of 10 percent or more in any utility rate since the last time the
allowance for that utility was revised.
The PHA must maintain information supporting its annual review of utility allowance and any
revisions made in its utility allowance schedule.
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PART IIL• INFORMAL REVIEWS AND HEARINGS
16-IILA. OVERVIEW
Both applicants and participants have the right to disagree with, and appeal, certain decisions of
the PHA that may adversely affect them. PHA decisions that may be appealed by applicants and
participants are discussed in this section.
The process for applicant appeals of PHA decisions is called the "informal review." For
participants (or applicants denied admission because of citizenship issues),the appeal process is
called an "informal hearing."PHAs are required to include informal review procedures for
applicants and informal hearing procedures for participants in their administrative plans [24 CFR
982.54(d)(12) and (13)].
16-IILB. INFORMAL REVIEWS
Informal reviews are provided for program applicants. An applicant is someone who has applied
for admission to the program, but is not yet a participant in the program. Informal reviews are
intended to provide a"minimum hearing requiremenY' [24 CFR 982.554], and need not be as
elaborate as the informal hearing requirements [Federal Register 60, no. 127 (3 July 1995):
34690].
Decisions Subject to Informal Review
The PHA must give an applicant the opportunity for an informal review of a decision denying
assistance [24 CFR 982.554(a)]. Denial of assistance may include any or all ofthe following [24
cFx 9sa.ssa(a)(a)l:
• Denying listing on the PHA waiting list
• Denying or withdrawing a voucher
• Refusing to enter into a HAP contract or approve a lease
• Refusing to process or provide assistance under portability procedures
Informal reviews are not required for the following reasons [24 CFR 982.554(c)]:
• Discretionary administrative determinations by the PHA
• General policy issues or class grievances
• A determination of the family unit size under the PHA subsidy standards
• A PHA determination not to approve an ea�tension or suspension of a voucher term
• A PHA determination not to grant approval of the tenancy
• A PHA determination that the unit is not in compliance with the HQS
• A PHA determination that the unit is not in accordance with the HQS due to family size
or composition
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PHA Policv
The PHA will only offer an informal review to applicants for whom assistance is being
denied. Denial of assistance includes: denying listing on the PHA waiting list; denying or
withdrawing a voucher; refusing to enter into a HAP contract or approve a lease; refusing
to process or provide assistance under portability procedures.
Notice to the Applicant [24 CFR 982.554(a)]
The PHA must give an applicant prompt notice of a decision denying assistance. The notice must
contain a brief statement of the reasons for the PHA decision, and must also state that the
applicant may request an informal review of the decision. The notice must describe how to
obtain the informal review.
PHA Policv
Any previous participant or applicant that had been determined to be ineligible for
Assisted Housing that was notified in writing of the reason for his/her ineligibility and of
his/her right to request an Informal Review/Hearing shall be held accountable to the
terms and time limits of the previous notice or decision letter.
Scheduling an Informal Review
PHA Policv
A request for an informal review must be made in writing and delivered to the PHA
either in person or by first class mail, by the close of the business day, no later than 10
business days from the date of the PHA's denial of assistance. Exceptions for requesting
an informal review in writing may be granted for limited English proficiency, disabled
individuals or for reasonable accommodations.
The PHA must schedule and send written notice of the informal review within 10
business days of the family's request.
The family may request to reschedule a review for good cause, or if it is needed as a
reasonable accommodation for a person with disabilities. Good cause is defined as an
unavoidable conflict which seriously affects the health, safety or welfare of the family.
Requests to reschedule a review must be made orally or in writing prior to the review
date. At its discretion, the PHA may request documentation of the "good cause"prior to
rescheduling the review.
Upon notification in advance with at least 24 hours' notice on any party's unavailability
to attend a scheduled review, the review will be rescheduled one time only without
justification of the need to reschedule. After the review has been rescheduled, a request
to reschedule a second time by the same party will only be considered for eatreme
situations. Eatreme situations may include but are not limited to hospitalization of self or
household member, death in the family, weather related restriction. Any notice of the
inability of the applicant to attend the review must be provided within 24 hours of the
review along with third party verification of the situation. The review officer will have
the sole discretion to decide if the request is legitimate and with good cause.
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Informal Review Procedures [24 CFR 982.554(b)]
The informal review must be conducted by a person other than the one who made or approved
the decision under review, or a subordinate of this person.
The applicant must be provided an opportunity to present written or oral objections to the
decision ofthe PHA.
Informal Review Decision [24 CFR 982.554(b)]
The PHA must notify the applicant of the PHA's final decision, including a brief statement of the
reasons for the final decision.
PHA Policy
In rendering a decision, the PHA will evaluate the following matters:
Whether or not the grounds for denial were stated factually in the notice to
the family.
The validity of the grounds for denial of assistance. If the grounds for denial are
not specified in the regulations, then the decision to deny assistance will be
overturned.
The validity of the evidence. The PHA will evaluate whether the facts presented
prove the grounds for denial of assistance. If the facts prove that there are grounds
for denial, and the denial is required by HUD, the PHA will uphold the decision
to deny assistance.
If the facts prove the grounds for denial, and the denial is discretionary,the PHA
will consider the recommendation of the person conducting the informal review in
making the final decision whether to deny assistance.
The PHA will notify the applicant of the final decision, including a statement explaining
the reason(s)for the decision. The notice will be mailed within 10 business days of the
informal review, to the applicant and his or her representative, if any, along with proof
of mailing.
If the decision to deny is overiurned as a result of the informal review, processing for
admission will resume.
If the family fails to appear for their informal review,the denial of admission will stand
and the family will be so notified.
16-IILC INFORMAL HEARINGS FOR PARTICIPANTS [24 CFR 982.555]
PHAs must offer an informal hearing for certain PHA determinations relating to the individual
circumstances of a participant family. A participant is defined as a family that has been admitted
to the PHA's HCV program and is currently assisted in the program. The purpose of the informal
hearing is to consider whether the PHA's decisions related to the family's circumstances are in
accordance with the law, HUD regulations and PHA policies.
The PHA is not permitted to terminate a family's assistance until the time allowed for the family
to request an informal hearing has elapsed, and any requested hearing has been completed.
Termination of assistance for a participant may include any or all of the following:
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• Refusing to enter into a HAP contract or approve a lease
• Terminating housing assistance payments under an outstanding HAP contract
• Refusing to process or provide assistance under portability procedures
Decisions Subject to Informal Hearing
Circumstances for which the PHA must give a participant family an opportunity for an informal
hearing are as follows:
• A determination of the family's annual or adjusted income, and the use of such income to
compute the housing assistance payment
• A determination of the appropriate utility allowance (if any)far tenant-paid utilities from the
PHA utility allowance schedule
• A determination of the family unit size under the PHA's subsidy standards
• A determination to terminate assistance for a participant family because of the family's
actions or failure to act
• A determination to terminate assistance because the participant has been absent from the
assisted unit for longer than the maximum period permitted under PHA policy and HUD
rules
• A determination to terminate a family's Family Self Sufficiency contract, withhold
supportive services, or propose forfeiture of the family's escrow account [24 CFR
984.303(i)]
Circumstances for which an informal hearing is not required are as follows:
• Discretionary administrative determinations by the PHA
• General policy issues or class grievances
• Establishment of the PHA schedule of utility allowances for families in the program
• A PHA determination not to approve an ea�tension or suspension of a voucher term
• A PHA determination not to approve a unit or tenancy
• A PHA determination that a unit selected by the applicant is not in compliance with the HQS
• A PHA determination that the unit is not in accordance with HQS because of family size
• A determination by the PHA to exercise or not to exercise any right or remedy against an
owner under a HAP contract
PHA Policv
The PHA will only offer participants the opportunity for an informal hearing when
required to by the regulations.
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Informal Hearing Procedures
Notice to the Family [24 CFR 982.555(c)]
When the PHA makes a decision that is subject to informal hearing procedures, the PHA must
inform the family of its right to an informal hearing at the same time that it informs the family of
the decision.
For decisions related to the family's annual or adjusted income,the determination of the
appropriate utility allowance, and the determination of the family unit size,the PHA must notify
the family that they may ask for an explanation of the basis of the determination, and that if they
do not agree with the decision, they may request an informal hearing on the decision.
For decisions related to the termination of the family's assistance, ar the denial of a family's
request for an exception to the PHA's subsidy standards,the notice must contain a brief
statement of the reasons far the decision, a statement that if the family does not agree with the
decision, the family may request an informal hearing on the decision, and a statement of the
deadline for the family to request an informal hearing.
PHA Policv
In cases where the PHA makes a decision for which an informal hearing must be offered,
the notice to the family will include all of the following:
The proposed action or decision of the PHA.
A brief statement of the reasons for the decision, including the regulatory
reference.
The date the proposed action will take place.
A statement of the family's right to an explanation of the basis for the PHA's
decision.
A statement that if the family does not agree with the decision the family may
request an informal hearing of the decision.
A deadline for the family to request the informal hearing.
To whom the hearing request should be addressed.
A copy of the PHA's hearing procedures or written explanation of hearing
procedures. Without this information,the family will be unable to properly
prepare for the hearing. Providing this information as a matter of policy provides
assurance that the PHA has done all it can to inform the family of their rights and
responsibilities in the hearing process.
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Scheduling an Informal Hearing [24 CFR 982.555(d)]
When an informal hearing is required, the PHA must proceed with the hearing in a reasonably
expeditious manner upon the request of the family.
PHA Policy
A request for an informal hearing must be made in writing and delivered to the PHA
either in person or by first class mail, by the close of the business day, no later than 10
business days from the date of the PHA's decision or notice to terminate assistance.
The PHA must schedule and send written notice of the informal hearing to the family
within 10 business days of the family's request.
The family may request to reschedule a hearing for good cause, or if it is needed as a
reasonable accommodation for a person with disabilities. Good cause is defined as an
unavoidable conflict which seriously affects the health, safety or welfare of the family.
Requests to reschedule a hearing must be made orally or in writing priar to the hearing
date. At its discretion, the PHA may request documentation of the "good cause"prior to
rescheduling the hearing.
Upon notification in advance with at least 24 hours' notice on any party's unavailability
to attend a scheduled hearing, the hearing will be rescheduled one time only without
justification of the need to reschedule. After the hearing has been rescheduled a request
to reschedule a second time by the same party will only be considered for eatreme
situations. Eatreme situations may include but are not limited to hospitalization of self or
household member, death in the family, weather related restriction. Any notice of the
inability of the participant to attend the hearing must be provided within 24 hours of the
hearing along with third party verification of the situation. The hearing officer will have
the sole discretion to decide if the request is legitimate and with good cause.
If the family does not appear at the scheduled time, and was unable to reschedule the
hearing in advance due to the nature of the conflict, the family must contact the PHA
within 24 hours of the scheduled hearing date, excluding weekends and holidays. The
PHA will reschedule the hearing only if the family can show good cause for the failure to
appear, or if it is needed as a reasonable accommodation for a person with disabilities.
Pre-Hearing Right to Discovery [24 CFR 982.555(e)]
Participants and the PHA are permitted pre-hearing discovery rights. The family must be given
the opporiunity to examine before the hearing any PHA documents that are directly relevant to
the hearing. The family must be allowed to copy any such documents at their own expense. If the
PHA does not make the document available for examination on request of the family,the PHA
may not rely on the document at the hearing.
The PHA hearing procedures may provide that the PHA must be given the opportunity to
examine at the PHA offices before the hearing, any family documents that are directly relevant to
the hearing. The PHA must be allowed to copy any such document at the PHA's expense. If the
family does not make the document available for examination on request of the PHA, the family
may not rely on the document at the hearing.
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For the purpose of informal hearings, documents include records and regulations.
PHA Policy
The family will be allowed to copy any documents related to the hearing. The family
must request discovery of PHA documents no later than 12:00 p.m. on the business day
prior to the scheduled hearing date
The PHA must be given an opportunity to examine at the PHA offices before the hearing
any family documents that are directly relevant to the hearing. Whenever a participant
requests an informal hearing, the PHA will automatically mail a letter to the participant
requesting a copy of all documents that the participant intends to present or utilize at the
hearing. The participant must make the documents available no later than 12:00 pm on
the business day priar to the scheduled hearing date.
Participant's Right to Bring Counsel [24 CFR 982.555(e)(3)]
At its own expense,the family may be represented by a lawyer or other representative at the
informal hearing.
Informal Hearing Officer [24 CFR 982.555(e)(4)]
Informal hearings will be conducted by a person or persons approved by the PHA, other than the
person who made or approved the decision or a subordinate of the person who made or approved
the decision.
PHA Policv
The PHA has designated the following to serve as hearing officers:
Director of the PHA or his/her designated individual including the Assisted Housing
Supervisor
Attendance at the Informal Hearing
PHA Policv
Hearings may be attended by a hearing officer and the following applicable persons:
A PHA representative(s) and any witnesses for the PHA
The participant and any witnesses for the participant
The participanYs counsel or other representative
Any other person approved by the PHA as a reasonable accommodation for a
person with a disability
Any person aYtending the hearing as an interpreter due to a disability or Limited
English Proficiency
Conduct at Hearings
The person who conducts the hearing may regulate the conduct of the hearing in accordance with
the PHA's hearing procedures [24 CFR 982.555(4)(ii)].
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PHA Policv
The hearing officer is responsible to manage the order of business and to ensure that
hearings are conducted in a professional and businesslike manner. Attendees are expected
to comply with all hearing procedures established by the hearing officer and guidelines
for conduct. Any person demonstrating disruptive, abusive or otherwise inappropriate
behavior will be excused from the hearing at the discretion of the hearing officer.
Evidence [24 CFR 982.555(e)(�]
The PHA and the family must be given the opporiunity to present evidence and question any
witnesses. In general, all evidence is admissible at an informal hearing. Evidence may be
considered without regard to admissibility under the rules of evidence applicable to judicial
proceedings.
PHA Policy
Any evidence to be considered by the hearing officer must be presented at the time of the
hearing. There are four categories of evidence.
Oral evidence: the testimony of witnesses
Documentary evidence: a writing which is relevant to the case, for example, a
letter written to the PHA. Writings include all forms of recorded communication
or representation, including letters, words, pictures, sounds, videotapes or
symbols or combinations thereof.
Demonstrative evidence: Evidence created specifically for the hearing and
presented as an illustrative aid to assist the hearing officer, such as a model, a
chart or other diagram.
Real evidence: A tangible item relating directly to the case.
Hearsay Evidence is evidence of a statement that was made other than by a witness while
testifying at the hearing and that is offered to prove the truth of the matter. Even though
evidence, including hearsay, is generally admissible, hearsay evidence alone cannot be
used as the sole basis for the hearing officer's decision.
If either the PHA ar the family fail to comply with the discovery requirements described
above, the hearing officer will refuse to admit such evidence.
Other than the failure of a party to comply with discovery,the hearing officer has the
authority to overrule any objections to evidence.
Hearing Officer's Decision [24 CFR 982.555(e)(�]
The person who conducts the hearing must issue a written decision, stating briefly the reasons for
the decision. Factual determinations relating to the individual circumstances of the family must
be based on a preponderance of evidence presented at the hearing. A copy of the hearing
decision must be furnished promptly to the family.
PHA Policv
In rendering a decision, the hearing officer will consider the following matters:
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PHA Notice to the Family: The hearing officer will determine if the reasons for
the PHA's decision are factually stated in the Notice.
Discovery: The hearing officer will determine if the PHA and the family were
given the opportunity to examine any relevant documents in accordance with
PHA policy.
PHA Evidence to Support the PHA Decision: The evidence consists of the facts
presented. Evidence is not conclusion and it is not argument. The hearing officer
will evaluate the facts to determine if they support the PHA's conclusion.
Validity of Grounds for Termination of Assistance(when applicable): The
hearing officer will determine if the termination of assistance is for one of the
grounds specified in the HUD regulations and PHA policies. If the grounds for
termination are not specified in the regulations or in compliance with PHA
policies,then the decision of the PHA will be overturned.
The hearing officer will issue a written decision to the family and the PHA no later than
10 business days after the hearing. The report will contain the following information:
Hearing information:
Name of the participant;
Date,time and place of the hearing;
Name of the hearing officer;
Name of the PHA representative; and
Name of family representative (if any).
Background: A brief, impartial statement of the reason far the hearing.
Summary of the Evidence: The hearing officer will summarize the testimony of
each witness and identify any documents that a witness produced in support of
his/her testimony and that are admitted into evidence.
Findings of Fact: The hearing officer will include all findings of fact, based on a
preponderance of the evidence.Preponderance of the evidence is defined as
evidence which is of greater weight or more convincing than the evidence which
is offered in opposition to it that is, evidence which as a whole shows that the
fact sought to be proved is more probable than not. Preponderance of the evidence
may not be determined by the number of witnesses, but by the greater weight of
all evidence.
Conclusions: The hearing officer will render a conclusion derived from the facts
that were found to be true by a preponderance of the evidence. The conclusion
will result in a determination of whether these facts uphold the PHA's decision.
Order: The hearing report will include a statement of whether the PHA's
decision is upheld or overturned. If it is overturned,the hearing officer will
instruct the PHA to change the decision in accordance with the hearing officer's
determination. In the case of termination of assistance, the hearing officer will
instruct the PHA to restore the participanYs program status.
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Procedures for Rehearing or Further Hearing
PHA Policv
The hearing officer may ask the family for additional information and/or might adjourn
the hearing in order to reconvene at a later date, before reaching a decision. If the family
misses an appointment or deadline ordered by the hearing officer,the action of the PHA
will take effect and another hearing will not be granted.
PHA Notice of Final Decision [24 CFR 982.555(f)]
The PHA is not bound by the decision of the hearing officer for matters in which the PHA is not
required to provide an opportunity for a hearing, decisions that exceed the authority of the
hearing officer, decisions that conflict with or contradict HUD regulations, requirements, or are
otherwise contrary to federal, state, or local laws.
If the PHA determines it is not bound by the hearing officer's decision in accordance with HUD
regulations, the PHA must promptly notify the family of the determination and the reason for the
determination.
PHA Policv
The PHA will mail a"Notice of Final Decision" including the hearing officer's report to
the participant and their representative. This notice will be sent by first-class mail,
postage pre-paid. The participant will be mailed the original "Notice of Final Decision".
A copy of the "Notice of Final Decision"will be maintained in the PHA's file.
16-IILD. HEARING AND APPEAL PROVISIONS FOR NONCITIZENS [24 CFR 5.514]
Denial or termination of assistance based on immigration status is subject to special hearing and
notice rules. Applicants who are denied assistance due to immigration status are entitled to an
informal hearing, not an informal review.
Assistance to a family may not be delayed, denied, or terminated on the basis of immigration
status at any time prior to a decision under the United States Citizenship and Immigration
Services (LJSCIS) appeal process. Assistance to a family may not be terminated or denied while
the PHA hearing is pending, but assistance to an applicant may be delayed pending the
completion ofthe informal hearing.
A decision against a family member, issued in accordance with the USCIS appeal process ar the
PHA informal hearing process, does not preclude the family from exercising the right, that may
otherwise be available,to seek redress directly through judicial procedures.
Notice of Denial or Tei•mination of Assistance [24 CFR 5.514(d)]
The notice of denial ar termination of assistance for noncitizens must advise the family:
• That financial assistance will be denied or terminated, and provide a brief explanation of the
reasons for the proposed denial ar termination of assistance.
• The family may be eligible for proration of assistance.
• In the case of a participant,the criteria and procedures for obtaining relief under the
provisions for preservation of families [24 CFR 5.514 and 5.518].
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• That the family has a right to request an appeal to the USCIS of the results of secondary
verification of immigration status and to submit additional documentation or explanation in
support of the appeal.
• That the family has a right to request an informal hearing with the PHA either upon
completion ofthe USCIS appeal or in lieu ofthe USCIS appeal.
• For applicants, assistance may not be delayed until the conclusion of the USCIS appeal
process, but assistance may be delayed during the period of the informal hearing process.
USCIS Appeal Process [24 CFR 5.514(e)]
When the PHA receives notification that the USCIS secondary verification failed to confirm
eligible immigration status, the PHA must notify the family of the results of the USCIS
verification. The family will have 30 days from the date of the notification to request an appeal
of the USCIS results. The request for appeal must be made by the family in writing directly to
the USCIS. The family must provide the PHA with a copy of the written request for appeal and
the proof of mailing.
PHA Policy
The PHA will notify the family in writing of the results of the USCIS secondary
verification within 10 business days of receiving the results.
The family must provide the PHA with a copy of the written request for appeal and proof
of mailing within 10 business days of sending the request to the USCIS.
The family must forward to the designated USCIS office any additional documentation or
written explanation in support of the appeal. This material must include a copy of the USCIS
document verification request(used to process the secondary request) or such other form
specified by the USCIS, and a letter indicating that the family is requesting an appeal of the
USCIS immigration status verification results.
The USCIS will notify the family, with a copy to the PHA, of its decision. When the USCIS
notifies the PHA of the decision,the PHA must notify the family of its right to request an
informal hearing.
PHA Policv
The PHA will send written notice to the family of its right to request an informal hearing
within 10 business days of receiving notice of the USCIS decision regarding the family's
immigration status.
Informal Hearing Procedures for Applicants [24 CFR 5.514(�]
After notification of the USCIS decision on appeal, or in lieu of an appeal to the USCIS, the
family may request that the PHA provide a hearing. The request for a hearing must be made
either within 30 days of receipt of the PHA notice of denial, or within 30 days of receipt of the
USCIS appeal decision.
The informal hearing procedures for applicant families are described below.
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Informal Hearing Officer
The PHA must provide an informal hearing before an impartial individual, other than a person
who made or approved the decision under review, and other than a person who is a subordinate
of the person who made or approved the decision. See Section 16-IILC. for a listing of positions
that serve as informal hearing officers.
Evidence
The family must be provided the opportunity to examine and copy at the family's expense, at a
reasonable time in advance of the hearing, any documents in the possession of the PHA
pertaining to the family's eligibility status, or in the possession of the USCIS (as permitted by
USCIS requirements), including any records and regulations that may be relevant to the hearing.
PHA Policv
The family will be allowed to copy any documents related to the hearing. The family
must request discovery of PHA documents no later than
12:00 p.m. on the business day prior to the hearing.
The family must be provided the opporiunity to present evidence and arguments in support of
eligible status. Evidence may be considered without regard to admissibility under the rules of
evidence applicabletojudicial proceedings.
The family must also be provided the opportunity to refute evidence relied upon by the PHA, and
to confront and cross-examine all witnesses on whose testimony or information the PHA relies.
Representation andlnterpretiveServices
The family is entitled to be represented by an attorney or other designee, at the family's expense,
and to have such person make statements on the family's behalf.
The family is entitled to request an interpreter. Upon request, the PHA will provide competent
interpretation services, free of charge.
Recording of th e Hearing
The family is entitled to have the hearing recorded by audiotape. The PHA may, but is not
required to provide a transcript of the hearing.
PHA Policv
The PHA will not provide a transcript of an audio taped hearing.
Hearing Decision
The PHA must provide the family with a written final decision, based solely on the facts
presented at the hearing, within 14 calendar days of the date of the informal hearing. The
decision must state the basis for the decision.
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Informal Hearing Procedures for Participants [24 CFR 5.514(�]
After notification of the USCIS decision on appeal, or in lieu of an appeal to the USCIS, the
family may request that the PHA provide a hearing. The request for a hearing must be made
either within 30 days of receipt of the PHA notice of termination, or within 30 days of receipt of
the USCIS appeal decision.
For the informal hearing procedures that apply to participant families whose assistance is being
terminated based on immigration status, see Section 16-IILC.
Retention of Documents [24 CFR 5.514(h)]
The PHA must retain for a minimum of 5 years the following documents that may have been
submitted to the PHA by the family, or provided to the PHA as part of the USCIS appeal ar the
PHA informal hearing process:
• The application for assistance
• The form completed by the family for income reexamination
• Photocopies of any original documents, including original USCIS documents
• The signed verification consent form
• The USCIS verification results
• The request for a USCIS appeal
• The final USCIS determination
• The request for an informal hearing
• The final informal hearing decision
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PART IV: OWNER OR FAMILY DEBTS TO THE PHA
16-IV.A. OVERVIEW
PHAs are required to include in the administrative plan, policies concerning repayment by a
family of amounts owed to the PHA [24 CFR 982.54]. This part describes the PHA's policies for
recovery of monies owed to the PHA by families or owners. HUD does not require PHAs to
utilize repayment agreements [24 CFR 982.552(c)(1)(vii)]. When PHAs recover amounts that
are due as a result of fraud and abuse, they are generally entitled to retain the greater of 50
percent of what they recover or the cost to recover it [24 CFR 792.202].
PHA Policv
When an action or inaction of an owner or participant results in the overpayment of
housing assistance, the PHA holds the owner or participant liable to return any
overpayments to the PHA.
The PHA will enter into repayment agreements in accordance with the policies contained
in this part as a means to recover overpayments.
When an owner or participant refuses to repay monies owed to the PHA,the PHA will
utilize other available collection alternatives including, but not limited to, the following:
Collection agencies
Small claims court
Civil law suit
State income tax set-off program
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16-IV.B. REPAYMENT POLICY
Owner Debts to the PHA
PHA Policv
Any amount due to the PHA by an owner must be repaid by the owner within 30 days of
the PHA determination of the debt.
If the owner fails to repay the debt within the required time frame and is entitled to future
HAP payments,the PHA will reduce the future HAP payments by the amount owed until
the debt is paid in full.
If the owner is not entitled to future HAP payments the PHA may, in its sole discretion,
offer to enter into a repayment agreement on terms prescribed by the PHA.
If the owner refuses to repay the debt, does not enter into a repayment agreement, or
breaches a repayment agreement,the PHA will ban the owner from future participation in
the program and pursue other modes of collection.
Family Debts to the PHA
PHA Policv
Any amount owed to the PHA by an HCV family must be repaid by the family. If the
family is unable to repay the debt within 30 days, the PHA will offer to enter into a
repayment agreement in accordance with the policies below.
• If the family refuses to repay the debt, does not enter into a repayment agreement, or
breaches a repayment agreement,the PHA will terminate assistance in accordance
with the policies in Chapter 12 and pursue other modes of collection. This policy
ensues that the PHA's limited resources are being utilized by families who are willing
to comply with the family obligations under the program. This policy is also
consistent and mandatory under Notice PIH 2O10-19 for families who have
underreported or failed to report income.
Repayment Agreement [24 CFR 792.103]
The term repayment agreement refers to a formal written document signed by a tenant or owner
and provided to the PHA in which a tenant or owner acknowledges a debt in a specific amount
and agrees to repay the amount due at specific time periods.
General Repayment Agreement Guidelines for Families
Down Payment Requirement
PHA Policy
Before executing a repayment agreement with a family, the PHA will generally require a
down payment of a minimum of$25. If the family can provide evidence satisfactory to
the PHA that a down payment of$25 would impose an undue hardship, the PHA may, in
its sole discretion, require a lesser amount or waive the requirement.
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Payment Thresholds
Notice PIH 2O10-19 recommends that the total amount that a family must pay each month the
family's monthly share of rent plus the monthly debt repayment amount should not exceed 40
percent of the family's monthly adjusted income. However, a family may already be paying 40
per cent or more of its monthly adjusted income in rent. Moreover, Notice PIH 2O10-19
acknowledges that PHAs have the discretion to establish "thresholds and policies"for repayment
agreements with families [24 CFR 982.552(c)(1)(vii)].
PHA Policv
The PHA has established the following thresholds for repayment of debts:
Amounts between $3,000 and the federal or state threshold for criminal
prosecution must be repaid within 48 months.
Amounts below $3,000 require a minimum payment of$25 per month unless the
family can provide evidence of an undue hardship as stated below. Prior to
signing a repayment agreement, the family must meet with a Family Self-
Sufficiency Coordinator to review budgeting skills and to ensure payment will be
made each month and shall be encouraged to join FSS program.
If a family can provide evidence satisfactory to the PHA that the threshold applicable to
the family's debt would impose an undue hardship,the PHA may, in its sole discretion,
determine that a lower monthly payment amount is reasonable. In making its
determination, the PHA will consider all relevant information, including the following:
The amount owed by the family to the PHA
The reason for the debt, including whether the debt was the result of family
action/inaction or circumstances beyond the family's control
The family's current and potential income and expenses
The family's current family share, as calculated under 24 CFR 982.515
The family's history of ineeting its financial responsibilities
Execution of the Agreement
PHA Policv
Any repayment agreement between the PHA and a family must be signed and dated by
the PHA and by the head of household and all adult household members (if applicable).
Due Dates
PHA Policv
All payments are due by the close of business on the 15�' day of the month. If the 15�'
does not fall on a business day, the due date is the close of business on the first business
day after the 15�'.
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Late or Missed Payments
PHA Policv
If a payment is not received by the end of the business day on the date due, and prior
approval far the missed payment has not been given by the PHA, the PHA will send the
family a delinquency notice giving the family 10 business days to make the late payment.
If the payment is not received by the due date of the delinquency notice, it will be
considered a breach of the agreement and the PHA will terminate assistance in
accordance with the policies in Chapter 12.
If a family receives three delinquency notices for unexcused late payments in a 12-month
period, the repayment agreement will be considered in default, and the PHA will
terminate assistance in accordance with the policies in Chapter 12.
No Offer ofRepaymentAgreement
PHA Policy
The PHA generally will not enter into a repayment agreement with a family under any of
the following conditions:
The family is already under an existing repayment agreement with the PHA.
The PHA determines that the family's debt is a result of program abuse or fraud
(as defined in Chapter 14 ofthis plan).
The amount owed by the family exceeds the federal or state threshold for criminal
prosecution.
Repayment Agreements Involving Improper Payments
Notice PIH 2O10-19 requires certain provisions to be included in any repayment agreement
involving amounts owed by a family because it underreported or failed to report income:
• A reference to the items in the family briefing packet that state the family's obligation to
provide true and complete information at every reexamination and the grounds on which the
PHA may terminate assistance because of a family's action or failure to act
• A statement clarifying that each month the family not only must pay to the PHA the monthly
payment amount specified in the agreement but must also pay to the owner the family's
monthly share of the rent to owner
• A statement that the terms of the repayment agreement may be renegotiated if the family's
income decreases or increases
• A statement that late or missed payments constitute default of the repayment agreement and
may result in termination of assistance
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PART V: SECTION 8 MANAGEMENT ASSESSMENT PROGRAM (SEMAP)
16-V.A. OVERVIEW
The Section 8 Management Assessment Program (SEMAP) is a tool that allows HUD to measure
PHA performance in key areas to ensure program integrity and accountability. SEMAP scores
translate into a rating for each PHA as high performing, standard, or troubled. Scores on
individual SEMAP indicators, as well as overall SEMAP ratings, can affect the PHA in several
ways.
• High-performing PHAs can be given a competitive advantage under notices of funding
availability [24 CFR 985.103].
• PHAs with deficiencies on one or more indicators are required to correct the deficiencies and
report to HUD [24 CFR 985.106].
• PHAs with an overall rating of"troubled" are subject to additional HUD oversight, including
on-site reviews by HUD staff, a requirement to develop a corrective action plan, and
monitoringto ensure the successful implementation ofthe corrective action plan. In addition,
PHAs that are designated "troubled"may not use any part of the administrative fee reserve
for other housing purposes [24 CFR 985.107].
• HUD may determine that a PHA's failure to correct identified SEMAP deficiencies ar to
prepare and implement a corrective action plan required by HUD constitutes a default under
the ACC [24 CFR 985.109].
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16-V.B. SEMAP CERTIFICATION [24 CFR 985.101]
PHAs must submit the HiJD-required SEMAP certification form within 60 calendar days after
the end of its fiscal year. The certification must be approved by PHA board resolution and signed
by the PHA executive director. If the PHA is a unit of local government or a state, a resolution
approving the certification is not required, and the certification must be executed by the Section
8 program director.
PHAs with less than 250 voucher units are only required to be assessed every other PHA fiscal
year. HUD will assess such PHAs annually if the PHA elects to have its performance assessed on
an annual basis; or is designated as "troubled" [24 CFR 985.105].
Failure of a PHA to submit its SEMAP certification within the required time frame will result in
an overall performance rating of"troubled."
A PHA's SEMAP certification is subject to HUD verification by an on-site confirmatory review
at any time.
Upon receipt of the PHA's SEMAP certification, HUD will rate the PHA's performance under
each SEMAP indicator in accordance with program requirements.
HUD Verification Method
Several of the SEMAP indicators are scored based on a review of a quality control sample
selected for this purpose. The PHA ar the Independent Auditor must select an unbiased sample
that provides an adequate representation of the types of information to be assessed, in accordance
with SEMAP requirements [24 CFR 985.2].
If the HUD verification method for the indicator relies on data in the Form-50058 module
(formerly known as MTCS) in the PIH Information Center(PIC), and HUD determines that
those data are insufficient to verify the PHA's certification on the indicator due to the PHA's
failure to adequately report family data, HUD will assign a zero rating for the indicator [24 CFR
985.3].
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16-V.C. SEMAP INDICATORS [24 CFR 985.3 and form HUD-52648]
The table below lists each of the SEMAP indicators, contains a description of each indicator, and
explains the basis for points awarded under each indicator.
A PHA that expends less than $300,000 in Federal awards and whose Section 8 programs are not
audited by an independent auditor, is not be rated under SEMAP indicators 1-7.
SEMAP Indicators
Indicator 1: Selection from the waiting list
Maximum Score: 15
• This indicator shows whether the PHA has written policies in its administrative plan for
selecting applicants from the waiting list and whether the PHA follows these policies
when selecting applicants for admission from the waiting list.
• Points are based on the percent of families that are selected from the waiting list in
accordance with the PHA's written policies, according to the PHA's quality control
sample.
Indicator 2: Rent reasonableness
Maximum Score: 20
• This indicator shows whether the PHA has and implements a reasonable written method
to determine and document for each unit leased that the rent to owner is reasonable
based on current rents for comparable unassisted units
• Points are based on the percent of units for which the PHA follows its written method to
determine reasonable rent and has documented its determination that the rent to owner is
reasonable, accordin to the PHA's ualit control sam le.
Indicator 3: Determination of adjusted income
Maximum Score: 20
• This indicator measures whether the PHA verifies and correctly determines adjusted
income for each assisted family, and where applicable, uses the appropriate utility
allowances for the unit leased in determining the gross rent.
• Points are based on the percent of files that are calculated and verified correctly,
accordin to the PHA's ualit control sam le.
Indicator 4: Utility allowance schedule
Maximum Score: 5
• This indicator shows whether the PHA maintains an up-to-date utility allowance
schedule.
• Points are based on whether the PHA has reviewed the utility allowance schedule and
ad'usted it when re uired, accordin to the PHA's certification.
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Indicator 5: HQS quality control inspections
Maximum Score: 5
• This indicator shows whether a PHA supervisor reinspects a sample of units under
contract during the PHA fiscal year, which meets the minimum sample size
requirements for quality control of HQS inspections.
• Points are based on whether the required quality control reinspections were completed,
according to the PHA's certification.
Indicator 6: HQS enforcement
Maximum Score: 10
• This indicator shows whether, following each HQS inspection of a unit under contract
where the unit fails to meet HQS, any cited life-threatening deficiencies are corrected
within 24 hours from the inspection and all other deficiencies are corrected within no
more than 30 calendar days from the inspection or any PHA-approved ea�tension.
• Points are based on whether the PHA corrects all HQS deficiencies in accordance with
re uired time frames, accordin to the PHA's certification.
Indicator 7: Expanding housing opportunities
Maximum Points: 5
• Only applies to PHAs with jurisdiction in metropolitan FMR areas.
• This indicator shows whether the PHA has adopted and implemented a written policy to
encourage participation by owners of units located outside areas of poverty or minority
concentration; informs voucher holders of the full range of areas where they may lease
units both inside and outside the PHA's jurisdiction; and supplies a list of landlords or
other parties who are willing to lease units or help families find units, including units
outside areas of poverty or minority concentration.
• Points are based on whether the PHA has adopted and implemented written policies in
accordance with SEMAP requirements, according to the PHA's certification.
Indicator 8: FMR limit and payment standards
Maximum Points: 5 points
• This indicator shows whether the PHA has adopted a payment standard schedule that
establishes payment standard amounts by unit size for each FMR area in the PHA's
jurisdiction, that are within the basic range of 90 to 110 percent of the published FMR.
• Points are based on whether the PHA has appropriately adopted a payment standard
schedule s , accordin to the PHA's certification.
Indicator 9: Annual reexaminations
Maximum Points: 10
• This indicator shows whether the PHA completes a reexamination for each participating
family at least every 12 months.
• Points are based on the percent of reexaminations that are more than 2 months overdue,
accordingto datafrom PIC.
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Indicator 10: Correct tenant rent calculations
Maximum Points: 5
• This indicator shows whether the PHA correctly calculates the family's share of the rent
to owner.
• Points are based on the percent of correct calculations of family share of the rent,
accordin to datafrom PIC.
Indicator 11: Pre-contract HQS inspections
Maximum Points: 5
• This indicator shows whether newly leased units pass HQS inspection on or before the
effective date of the assisted lease and HAP contract.
• Points are based on the percent of newly leased units that passed HQS inspection priar to
the effective date of the lease and HAP contract, accordin to data from PIC.
Indicator 12: Annual HQS inspections
Maximum Points: 10
• This indicator shows whether the PHA inspects each unit under contract at least
annually.
• Points are based on the percent of annual HQS inspections of units under contract that
are more than 2 months overdue, according to data from PIC.
Indicator 13: Lease-up
Maximum Points: 20 points
• This indicator shows whether the PHA enters HAP contracts at least 98 percent of the
number of the PHA's baseline voucher units in the ACC for the calendar year ending on
or before the PHA's fiscal year, or whether the PHA has expended at least 98 percent of
its allocated budget authority for the same calendar year. The PHA can receive 15
points if 95 to 97 percent of vouchers are leased or budget authority is utilized.
• Points are based on utilization of vouchers and HAP expenditures as reported in the
voucher management system (VMS)for the most recently completed calendar year.
Indicator 14: Family self-sufficiency (FSS) enrollment and escrow account balances
Maximum Points: 10
• Only applies to PHAs with mandatory FSS programs.
• This indicator shows whether the PHA has enrolled families in the FSS program as
required, and measures the percent of current FSS participants that have had increases in
earned income which resulted in escrow account balances.
• Points are based on the percent of mandatory FSS slots that are filled and the percent of
families with escrow account balances, according to data from PIC.
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Success Rate of Voucher Holders
Maximum Points: 5
• Only applies to PHAs that have received approval to establish success rate payment
standard amounts, and isn't effective until the second full PHA fiscal year following the
date of HUD approval of success rate payment standard amounts.
• This indicator shows whether voucher holders were successful in leasing units with
voucher assistance.
• Points are based on the percent of families that were issued vouchers, and that became
participants in the voucher program.
Deconcentration Bonus Indicator
Maximum Points: 5
• Submission of data for this indicator is mandatory for a PHA using one or more payment
standard amount{s)that exceed(s) 100 percent of the published FMR set at the 50
percentile rent, starting with the second full PHA fiscal year following initial use of
payment standard amounts based on the FMRs set at the 50�'percentile.
• Additional points are available to PHAs that have jurisdiction in metropolitan FMR areas
and that choose to submit the required data.
• Points are based on whether the data that is submitted meets the requirements for bonus
oints.
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PART VL• RECORD KEEPING
16-VLA. OVERVIEW
The PHA must maintain complete and accurate accounts and other records for the program in
accordance with HUD requirements, in a manner that permits a speedy and effective audit. All
such records must be made available to HUD ar the Comptroller General of the United States
upon request.
In addition, the PHA must ensure that all applicant and participant files are maintained in a way
that protects an individual's privacy rights.
16-VLB. RECORD RETENTION [24 CFR 982.158]
Unless otherwise specified by HUD, during the term of each assisted lease, and for at least three
years thereafter, the PHA must keep:
• A copy of the executed lease;
• The HAP contract; and
• The application from the family.
In addition,the PHA must keep the following records for at least three years:
• Records that provide income, racial, ethnic, gender, and disability status data on program
applicants and participants;
• An application from each ineligible family and notice that the applicant is not eligible;
• HUD-required reports;
• Unit inspection reports;
• Lead-based paint records as required by 24 CFR 35, Subpart B.
• Accounts and other records supporting PHA budget and financial statements far the program;
• Records to document the basis for PHA determination that rent to owner is a reasonable rent
(initially and during the term of a HAP contract); and
• Other records specified by HUD.
If an informal hearing to establish a family's citizenship status is held, longer retention
requirements apply for some types of documents. For specific requirements, see Section 16-
IILD., Retention of Documents. Also see 16-V 1.0 for record retention in regards to Voluntary
Compliance Agreement.
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16-VLC. RECORDS MANAGEMENT
PHA Policy
Per HUD requirements within 180 days of the effective date of the Voluntary
Compliance Agreement(VCA) (March 31, 2014), the City shall develop and submitthe
following report to the Department for review and approval:
a. The Bi -Annual Waiting List Report(BWLR)that tracks the maintenance of
the Section 8 waiting list. The BWLR will include the following: 1) applicant'
s name, race, sex, ethnicity,familiaU elderly or disability status; 2) date of
application; 3) date applicant placed on waiting list; 4) applicant
preference(s); 5) date and time of offer; 6) date of lease; and 7) date applicant
removed from waiting list and justification.
b. The Bi-Annual Report shall also track all families denied admission to the
program, all applicants determined to be ineligible due to criminal
background, and all determinations to terminate participation in the Assisted
Housing Programs. The reports shall include race, national origin, address,
age of applicants,familial status and disability. The reports shall include the
specific activity or occurrence identified by the PHA in making the
determination to deny admission to the program or to terminate participation,
how the PHA learned of the activity or occurrence, and what if any, alternate
option or information was provided to the family at the time of denial or
termination. All determinations of ineligibility due to Criminal Background
shall include a copy of the denial ar termination notice along with the reports
or other information provided to the family at the time of denial or
termination.
a The City shall continue to submit a BWLR every six months for the duration
ofthe VCA. Submissions ofthe BWLR shall occur on the first day ofthe
month for each six month period, and will include the wait list information for
the immediately preceding six month period. The biannual reporting periods
are as follows: January 1 through June 30, due on July 15; July 1 through
December 31, due January 15.
d. The City shall maintain records for review by the Department for a minimum
offive (5) years afterthe close ofthe Agreement. Records subjectto review
include, but are not limited to: participant lists, wait lists, ineligible applicant
and applicant rejected lists, applications, and terminated participants/
applicant resolution lists. These lists and records shall be kept electronically
and in hard copy. While Dubuque may select the format of the list or record, it
must be uniform and consistent for review purposes. The City shall furnish
copies of any and all records upon request from the Department.
e. The City shall maintain records, including those required under HUD program
regulations, which disclose all individuals who apply and the manner in which
each application is treated, i.e., whether said individuals are accepted or
rejected and the basis for any rejection.
£ The City shall maintain all participant files, including applications for
residency, rental agreements or leases, notices and letters to residents, and
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notices of termination, along with any and all material relating to the City's
implementation of the Title VI, Section109, and AFFH requirements of this
Agreement.
g. The City shall maintain any and all material relating to the racial composition
of its HCDD operated Programs, such as waiting lists, records of the racial,
national origin, elderly, disabled and familial status makeup of participants in
Housing Programs, and copies of denied applications.
h. The City shall maintain copies of all race-related complaints, claims,
grievances, investigative records, including grievance process materials.
i. The City shall maintain files containing documentation of its efforts to meet
the obligations ofthis Agreement.
PHAs must maintain applicant and participant files and information in accordance with the
regulatory requirements described below.
PHA Policy
All applicant and participant information will be kept in a secure location and access will
be limited to authorized PHA staff.
PHA staff will not discuss personal family information unless there is a business reason
to do so. Inappropriate discussion of family information or improper disclosure of family
information by staff will result in disciplinary action.
Privacy Act Requirements [24 CFR 5.212 and Form-9886]
The collection, maintenance, use, and dissemination of social security numbers (SSN), employer
identification numbers (EIN), any information derived from these numbers, and income
information of applicants and participants must be conducted, to the ea�tent applicable, in
compliance with the Privacy Act of 1974, and all other provisions of Federal, State, and local
law.
Applicants and participants, including all adults in the household, are required to sign a consent
form, HUD-9886, Authorization for Release of Information. This form incorporates the Federal
Privacy Act Statement and describes how the information collected using the form may be used,
and under what conditions HUD or the PHA may release the information collected.
Upfront Income Verification (UIV) Records
PHAs that access UIV datathrough HUD's Enterprise Income Verification (EIV) System are
required to adopt and follow specific security procedures to ensure that all EIV data is protected
in accordance with Federal laws, regardless ofthe media on which the data is recorded (e.g.
electronic, paper). These requirements are contained in the HUD issued document,Enterprise
Income T/erification (EIV) System, SecurityProcedures for Upfrontlncome T/erification data.
PHA Policv
Prior to utilizing HUD's EIV system,the PHA will adopt and implement EIV security
procedures required by HUD.
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Criminal Records
The PHA may only disclose the criminal conviction records which the PHA receives from a law
enforcement agency to officers or employees of the PHA, or to authorized representatives of the
PHA who have a job-related need to have access to the information [24 CFR 5.903(e)].
The PHA must establish and implement a system of records management that ensures that any
criminal record received by the PHA from a law enforcement agency is maintained
confidentially, not misused or improperly disseminated, and destroyed, once the purpose for
which the record was requested has been accomplished, including expiration of the period for
filing a challenge to the PHA action without institution of a challenge or final disposition of any
such litigation [24 CFR 5.903(g)].
The PHA must establish and implement a system of records management that ensures that any
sex offender registration information received by the PHA from a State or local agency is
maintained confidentially, not misused or improperly disseminated, and destroyed, once the
purpose for which the record was requested has been accomplished, including expiration of the
period for filing a challenge to the PHA action without institution of a challenge or final
disposition of any such litigation. However, a record of the screening, including the type of
screening and the date performed must be retained [Notice PIH 2O12-28]. This requirement does
not apply to information that is public information, or is obtained by a PHA other than under 24
CFR 5.905.
Medical/Disability Records
PHAs are not permitted to inquire about the nature or ea�tent of a person's disability. The PHA
may not inquire about a person's diagnosis or details of treatment for a disability or medical
condition. If the PHA receives a verification document that provides such information,the PHA
should not place this information in the tenant file. The PHA should destroy the document.
Documentation of Domestic Violence, Dating Violence, or Stalking
For requirements and PHA policies related to management of documentation obtained from
victims of domestic violence, dating violence, or stalking, see section 16-IX.E.
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PART VIL• REPORTING AND RECORD KEEPING FOR CHILDREN WITH
ENVIRONMENTAL INTERVENTION BLOOD LEAD LEVEL
16-VILA. OVERVIEW
The PHA has certain responsibilities relative to children with environmental intervention blood
lead levels that are receiving HCV assistance. The notification, verification, and hazard reduction
requirements are discussed in Chapter 8. This part deals with the reporting requirements, and
data collection and record keeping responsibilities that the PHA is subject to.
16-VILB. REPORTING REQUIREMENT [24 CFR 35.1225(e)]
The PHA must report the name and address of a child identified as having an environmental
intervention blood lead level to the public health department within 5 business days of being so
notified by any other medical health care professional.
PHA Policv
The PHA will provide the public health department written notice of the name and
address of any child identified as having an environmental intervention blood lead level.
16-VILC. DATA COLLECTION AND RECORD KEEPING [24 CFR 35.1225(�]
At least quarterly, the PHA must attempt to obtain from the public health department(s)with a
similar area of jurisdiction,the names and/or addresses of children less than 6 years old with an
identified environmental intervention blood lead level.
If the PHA obtains names and addresses of environmental intervention blood lead level children
from the public health department{s), the PHA must match this information with the names and
addresses of families receiving HCV assistance, unless the public health department performs
such a procedure. If a match occurs,the PHA must carry out the notification, verification, and
hazard reduction requirements discussed in Chapter 8, and the reporting requirement discussed
above.
At least quarterly, the PHA must also report an updated list of the addresses of units receiving
assistance under the HCV program to the same public health department{s), unless the public
health department(s) states that it does not wish to receive such a report.
PHA Policv
The City public health department{s)has stated they do not wish to receive a report of an
updated list of the addresses of units receiving assistance under the HCV program, on a
quarterly basis. Therefore, the PHA is not providing such a report.
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PART VIIL• DETERMINATION OF INSUFFICIENT FUNDING
16-VIILA. OVERVIEW
The HCV regulations allow PHAs to deny families permission to move and to terminate Housing
Assistance Payments (HAP) contracts if funding under the consolidated ACC is insufficient to
support continued assistance [24 CFR 982.354(e)(1) and 982.454]. If a PHA denies a family a
portability move based on insufficient funding, the PHA is required to notify the local HUD
office within 10 business days [24 CFR 982.354]. Insufficient funding may also impact the
PHA's ability to issue vouchers to families on the waiting list. This part discusses the
methodology the PHA will use to determine whether or not the PHA has sufficient funding to
issue vouchers, approve moves, and to continue subsidizing all families currently under a
HAP contract.
16-VIILB. METHODOLOGY
PHA Policv
The PHA will determine whether there is adequate funding to issue vouchers, approve
moves to higher cost units and areas, and continue subsidizing all current participants by
comparing the PHA's annual budget authority to the annual total HAP needs on a
monthly basis. The total HAP needs far the calendar year will be projected by
establishing the actual HAP costs year to date. To that figure,the PHA will add
anticipated HAP expenditures for the remainder of the calendar year. Projected HAP
expenditures will be calculated by multiplying the projected number of units leased per
remaining months by the most current month's average HAP. The projected number of
units leased per month will take into account the average monthly turnover of participant
families. If the total annual HAP needs equal or exceed the annual budget authority, or if
the PHA cannot support the cost of the proposed subsidy commitment(voucher issuance
or move)based on the funding analysis,the PHA will be considered to have insufficient
funding.
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PART IX: VIOLENCE AGAINST WOMEN ACT (VAWA): NOTIFICATION,
DOCUMENTATION, CONFIDENTIALITY
16-IX.A. OVERVIEW
The Violence against Women Act of 2005 (VAWA)provides special protections for victims of
domestic violence, dating violence, and stalking who are applying for or receiving assistance
under the housing choice voucher(HCV)program. If your state or local laws provide greater
protection for such victims, those laws apply in conjunction with VAWA.
In addition to definitions of key terms used in VAWA, this part contains general VAWA
requirements and PHA policies in three areas: notification, documentation, and confidentiality.
Specific VAWA requirements and PHA policies are located primarily in the following sections:
3-LC, "Family Breakup and Remaining Member of Tenant Family"; 3-IILG, "Prohibition against
Denial of Assistance to Victims of Domestic Violence, Dating Violence, and Stalking"; 10-LA,
"Allowable Moves"; 10-LB, "Restrictions on Moves"; 12-ILE, "Terminations Related to
Domestic Violence, Dating Violence, or Stalking"; and 12-ILF, "Termination Notice."
16-IX.B. DEFINITIONS [24 CFR 5.2003, 42 USC 13925]
As used in VAWA:
• The term bifurcate means, with respect to a public housing or Section 8 lease, to divide a
lease as a matter of law such that certain tenants can be evicted or removed while the
remaining family members' lease and occupancy rights are allowed to remain intact.
• The term dating violence means violence committed by a person who is or has been in a
social relationship of a romantic or intimate nature with the victim; and where the existence
of such a relationship shall be determined based on a consideration of the following factors:
- The length of the relationship
- The type of relationship
- The frequency of interaction between the persons involved in the relationship
• The term domestic violence includes felony or misdemeanor crimes of violence committed
by a current or former spouse or intimate partner of the victim, by a person with whom the
victim shares a child in common, by a person who is cohabitating with or has cohabitated
with the victim as a spouse or intimate partner, by a person similarly situated to a spouse of
the victim under the domestic or family violence laws of the jurisdiction receiving grant
monies, or by any other person against an adult or youth victim who is protected from that
person's acts under the domestic or family violence laws of the jurisdiction.
• The term affiliated individual means, with respect to a person:
- A spouse, parent, brother or sister, or child of that individual, or an individual to whom
that individual stands in the position or place of a parent; or
Any other individual,tenant, or lawful occupant living in the household of the victim of
domestic violence, dating violence, sexual assault, or stalking.
The term sezual assault means:
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- Any nonconsensual sexual act proscribed by federal, tribal, or state law, including when
the victim lacks the capacity to consent
• The term stalking means:
- To engage in a course of conduct directed at a specific person that would cause a
reasonable person to fear for his or her safety or the safety of others, or suffer substantial
emotional distress.
16-IX.C. NOTIFICATION [24 CFR 5.2005(a)]
Notification to Public
The PHA adopts the following policy to help ensure that all actual and potential beneficiaries of
its HCV program are aware oftheir rights under VAWA.
PHA Policv
The PHA will postthe following information regarding VAWA in its offices and on its
website. It will also make the information readily available to anyone who requests it.
A notice of occupancy rights under VAWA to housing choice voucher program
applicants and participants who are or have been victims of domestic violence,
dating violence, or stalking(Form HUD-5380, see Exhibit 16-1)
A copy of form HUD-5382, Certification of Domestic Violence, Dating Violence,
or Stalking and Alternate Documentation (see Exhibit 16-2)
A copy of the PHA's emergency transfer plan (Exhibit 16-3)
A copy of HUD's Emergency Transfer Request for Certain Victims of Domestic
Violence, Dating Violence, Sexual Assault, or Stalking, Form HUD-5383
(Exhibit 16-4)
The National Domestic Violence Hot Line: 1-800-799-SAFE (7233) or
1-800-787-3224 (TTY) (included in Exhibits 16-1 and 16-2)
Contact information for local victim advocacy groups or service providers
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Notification to Program Applicants and Participants [24 CFR 5.2005(a)(1)]
PHAs are required to inform program participants of their rights under VAWA, including their
right to confidentiality and the limits thereo£ Since VAWA provides protections for applicants
as well as participants, PHAs may elect to provide the same information to applicants.
PHA Policv
The PHA will provide all applicants with information about VAWA at the time they
request an application for housing assistance. The PHA will also include information
about VAWA in all notices of denial of assistance (see section 3-IILG).
The PHA will provide all participants with information about VAWA atthe time of
admission (see section 5-LB) and at annual reexamination. The PHA will also include
information about VAWA in notices oftermination of assistance, as provided in
section 12-ILF.
The VAWA information provided to applicants and participants will consist ofthe
notices in Exhibits 16-1 and 16-2.
Notification to Owners and Managers While PHAs are no longer required by regulation to
notify owners and managers participating in the HCV program of their rights and obligations
under VAWA,the PHA may still choose to inform them.
PHA Policy
The PHA will provide owners and managers with information about their rights and
obligations under VAWA when they begin their participation in the HCV program and
will have it posted on its website.
The VAWA information provided to owners will consist ofthe notice in Exhibit 16-5
and a copy of form HUD-5382, Certification of Domestic Violence, Dating Violence,
and Stalking and Alternate Documentation.
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16-IX.D. DOCUMENTATION [24 CFR 5.2007]
A PHA presented with a claim for initial or continued assistance based on status as a victim of
domestic violence, dating violence, stalking, or criminal activity related to any of these forms of
abuse may but is not required to request that the individual making the claim document the
abuse. Any request for documentation must be in writing, and the individual must be allowed at
least 14 business days after receipt of the request to submit the documentation. The PHA may
ea�tend this time period at its discretion. [24 CFR 5.2007(a)]
The individual may satisfy the PHA's request by providing any one of the following three forms
of documentation [24 CFR 5.2007(b)]:
(1) A completed and signed HUD-approved certification form (HUD-5382, Certification of
Domestic Violence, Dating Violence, or Stalking), which must include the name of the
perpetrator only if the name of the perpetrator is safe to provide and is known to the victim
(2) A federal, state, tribal, territorial, or local police report or court record, or an administrative
record
(3) Documentation signed by a person who has assisted the victim in addressing domestic
violence, dating violence, or stalking, ar the effects of such abuse. This person may be an
employee, agent, or volunteer of a victim service provider; an attorney; a mental health
professional; or a medical professional; or a knowledgeable professional. The person signing
the documentation must attest under penalty of perjury to the person's belief that the
incidents in question are bona fide incidents of abuse. The victim must also sign the
documentation.
The PHA may not require third-party documentation (forms 2 and 3) in addition to certification
(form 1), except as specified below under "Conflicting Documentation,"nor may it require
certification in addition to third-party documentation [VAWA final rule].
PHA Policy
Any request for documentation of domestic violence, dating violence, sexual assault or
stalking will be in writing, will specify a deadline of 14 business days following receipt
of the request, will describe the three forms of acceptable documentation, will provide
explicit instructions on where and to whom the documentation must be submitted, and
will state the consequences for failure to submit the documentation or request an
ea�tension in writing by the deadline.
The PHA may, in its discretion, eatend the deadline for 10 business days. Any eatension
granted by the PHA will be in writing.
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Contlicting Documentation [24 CFR 5.2007(e)]
In cases where the PHA receives conflicting certification documents from two or more members
of a household, each claiming to be a victim and naming one or more of the other petitioning
household members as the perpetrator, the PHA may determine which is the true victim by
requiring each to provide acceptable third-party documentation, as described above (forms 2 and
3)within 30 calendar days of the date of the request for third-party documentation. The PHA
must honor any court orders issued to protect the victim ar to address the distribution of
property.
PHA Policv
If presented with conflicting certification documents (two or more forms HUD-5382)
from members ofthe same household,the PHA will attemptto determine which is the
true victim by requiring each of them to provide third-party documentation in accordance
with 24 CFR 5.2007(e) and by following any HUD guidance on how such determinations
should be made. The family will have 30 calendar days from the date of request by the
PHA to provide this documentation.
Discretion to Require No Formal Documentation [24 CFR 5.2007(d)]
The PHA has the discretion to provide benefits to an individual based solely on the individual's
statement or other corroborating evidence i.e., without requiring formal documentation of
abuse in accordance with 24 CFR 5.2007(b).
PHA Policv
If the PHA accepts an individual's statement or other corroborating evidence of domestic
violence, dating violence, or stalking, the PHA will document acceptance of the
statement or evidence in the individual's file.
Failure to Provide Documentation [24 CFR 5.2007(c)]
In order to deny relief for protection under VAWA, a PHA must provide the individual
requesting relief with a written request for documentation of abuse. If the individual fails to
provide the documentation within 14 business days from the date of receipt, or such longer time
as the PHA may allow,the PHA may deny relieffor protection under VAWA.
16-IX.E. CONFIDENTIALITY [24 CFR 5.2007(b)(4)]
All information provided to the PHA regarding domestic violence, dating violence, or stalking,
including the fact that an individual is a victim of such violence or stalking, must be retained in
confidence. This means that the PHA(1)may not enter the information into any shared database,
(2)may not allow employees or others to access the information unless they are explicitly
authorized to do so and have a need to know the information for purposes of their work, and (3)
may not provide the information to any other entity or individual, except to the ea�tent that the
disclosure is (a)requested or consented to by the individual in writing, (b) required for use in an
eviction proceeding, or(c) otherwise required by applicable law.
PHA Policv
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If disclosure is required for use in an eviction proceeding or is otherwise required by
applicable law, the PHA will inform the victim before disclosure occurs so that safety
risks can be identified and addressed.
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EXHIBIT 16-1: SAMPLE NOTICE OF OCCUPANCY RIGHTS UNDER THE
VIOLENCE AGAINST WOMEN ACT, FORM HUD-5380
CITY OF DUBUQUE
HOUSING & CD DEPARTMENT
Notice of Occupancy Rights under the Violence Against Women Acti
To all Tenants and Applicants
The Violence Against Women Act(VAWA)provides protections for victims of domestic
violence, dating violence, sexual assault, or stalking. VAWA protections are not only available
to women, but are available equally to all individuals regardless of sex, gender identity, or sexual
orientation.� The U.S. Department of Housing and Urban Development(HUD) is the Federal
agency that oversees that City of Dubuque Housing& CD Department is in compliance with
VAWA. This notice explains your rights under VAWA. A HUD-approved certification form is
attached to this notice. You can fill out this form to show that you are or have been a victim of
domestic violence, dating violence, sexual assault, or stalking, and that you wish to use your
rights under VAWA."
Protections for Applicants
If you otherwise qualify for assistance under City of Dubuque Housing & CD Department, you
cannot be denied admission or denied assistance because you are or have been a victim of
domestic violence, dating violence, sexual assault, or stalking.
Protections for Tenants
If you are receiving assistance under City of Dubuque Housing & CD Department, you may not
be denied assistance, terminated from participation, or be evicted from your rental housing
because you are or have been a victim of domestic violence, dating violence, sexual assault, or
stalking.
Also, if you or an affiliated individual of yours is or has been the victim of domestic violence,
dating violence, sexual assault, or stalking by a member of your household or any guest, you
may not be denied rental assistance or occupancy rights under City of Dubuque Housing& CD
'Despite the name of this law, VAWA protection is available regardless of sex,gender identity, or sexual
orientation.
Z Housing providers cannot discriminate on the basis of any protected characteristic, including race, color,national
origin,religioq sex, familial status, disability, or age. HUD-assisted and HUD-insured housing must be made
available to all otherwise eligible individuals regardless of actual or perceived sexual orientation,gender identity, or
marital status.
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Department solely on the basis of criminal activity directly relating to that domestic violence,
dating violence, sexual assault, or stalking.
Aff'iliated individual means your spouse, parent, brother, sister, or child, or a person to whom
you stand in the place of a parent or guardian (for example, the affiliated individual is in your
care, custody, or control); or any individual, tenant, or lawful occupant living in your household.
Removing the Abuser or Perpetrator from the Household
City of Dubuque Housing& CD Department may divide (bifurcate) your lease in order to evict
the individual ar terminate the assistance of the individual who has engaged in criminal activity
(the abuser or perpetrator) directly relating to domestic violence, dating violence, sexual assault,
or stalking.
If City of Dubuque Housing& CD Department chooses to remove the abuser or perpetrator, City
of Dubuque Housing& CD Department may not take away the rights of eligible tenants to the
unit or otherwise punish the remaining tenants. If the evicted abuser or perpetrator was the sole
tenant to have established eligibility for assistance under the program, City of Dubuque Housing
& CD Department must allow the tenant who is or has been a victim and other household
members to remain in the unit for a period of time, in order to establish eligibility under the
program or under another HUD housing program covered by VAWA, or, find alternative
housing.
In removing the abuser or perpetrator from the household, City of Dubuque Housing& CD
Department must follow Federal, State, and local eviction procedures. In order to divide a lease,
City of Dubuque Housing& CD Department may, but is not required to, ask you for
documentation or certification of the incidences of domestic violence, dating violence, sexual
assault, or stalking.
Moving to Another Unit
Upon your request, City of Dubuque Housing& CD Department may permit you to move to
another unit, subject to the availability of other units, and still keep your assistance. In order to
approve a request, City of Dubuque Housing& CD Department may ask you to provide
documentation that you are requesting to move because of an incidence of domestic violence,
dating violence, sexual assault, or stalking. If the request is a request for emergency transfer, the
housing provider may ask you to submit a written request or fill out a form where you certify that
you meet the criteria for an emergency transfer under VAWA. The criteria are:
(1) You are a victim of domestic violence, dating violence, sexual assault, or
stalking. If your housing provider does not already have documentation that you
are a victim of domestic violence, dating violence, sexual assault, or stalking,
your housing provider may ask you for such documentation, as described in the
documentation section below.
(2) You expressly request the emergency transfer. Your housing provider may
choose to require that you submit a form, or may accept another written or oral
request.
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(3) You reasonably believe you are threatened with imminent harm from
further violence if you remain in your current unit This means you have a
reason to fear that if you do not receive a transfer you would suffer violence in the
very near future.
OR
You are a victim of sexual assault and the assault occurred on the premises
during the 90-calendar-day period before you request a transfer. If you are a
victim of sexual assault, then in addition to qualifying for an emergency transfer
because you reasonably believe you are threatened with imminent harm from
further violence if you remain in your unit, you may qualify for an emergency
transfer if the sexual assault occurred on the premises of the property from which
you are seeking your transfer, and that assault happened within the 90-calendar-
day period before you expressly request the transfer.
City of Dubuque Housing & CD Department will keep confidential requests for emergency
transfers by victims of domestic violence, dating violence, sexual assault, or stalking, and the
location of any move by such victims and their families.
City of Dubuque Housing & CD Department's emergency transfer plan provides further
information on emergency transfers, and City of Dubuque Housing& CD Department must
make a copy of its emergency transfer plan available to you if you ask to see it.
Documenting You Are or Have Been a Victim of Domestic Violence, Dating Violence,
Sexual Assault or Stalking
City of Dubuque Housing& CD Department can, but is not required to, ask you to provide
documentation to "certify"that you are or have been a victim of domestic violence, dating
violence, sexual assault, or stalking. Such request from City of Dubuque Housing& CD
Department must be in writing, and must give you at least 14 business days (Saturdays, Sundays,
and Federal holidays do not count)from the day you receive the request to provide the
documentation. City of Dubuque Housing& CD Department may, but does not have to, ea�tend
the deadline for the submission of documentation upon your request.
You can provide one of the following to City of Dubuque Housing& CD Department as
documentation. It is your choice which of the following to submit if City of Dubuque Housing
& CD Department asks you to provide documentation that you are or have been a victim of
domestic violence, dating violence, sexual assault, or stalking.
• A complete HUD-approved certification form given to you by City of Dubuque Housing
& CD Department with this notice, that documents an incident of domestic violence,
dating violence, sexual assault, or stalking. The form will ask for your name,the date,
time, and location of the incident of domestic violence, dating violence, sexual assault, or
stalking, and a description of the incident. The certification form provides for including
the name of the abuser or perpetrator if the name of the abuser or perpetrator is known
and is safe to provide.
• A record of a Federal, State, tribal, territorial, or local law enforcement agency, court, or
administrative agency that documents the incident of domestic violence, dating violence,
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sexual assault, or stalking. Examples of such records include police reports, protective
orders, and restraining orders, among others.
• A statement, which you must sign, along with the signature of an employee, agent, or
volunteer of a victim service provider, an attorney, a medical professional or a mental
health professional (collectively, "professional")from whom you sought assistance in
addressing domestic violence, dating violence, sexual assault, or stalking, or the effects of
abuse, and with the professional selected by you attesting under penalty of perjury that he
or she believes that the incident or incidents of domestic violence, dating violence, sexual
assault, or stalking are grounds for protection.
• Any other statement or evidence that City of Dubuque Housing& CD Department has
agreed to accept.
If you fail or refuse to provide one of these documents within the 14 business days, City of
Dubuque Housing& CD Department does not have to provide you with the protections
contained in this notice.
If City of Dubuque Housing& CD Department receives conflicting evidence that an incident of
domestic violence, dating violence, sexual assault, or stalking has been committed (such as
certification forms from two or more members of a household each claiming to be a victim and
naming one or more of the other petitioning household members as the abuser or perpetrator),
City of Dubuque Housing& CD Department has the right to request that you provide third-party
documentation within thirty 30 calendar days in order to resolve the conflict. If you fail or refuse
to provide third-party documentation where there is conflicting evidence, City of Dubuque
Housing& CD Department does not have to provide you with the protections contained in this
notice.
Confidentiality
City of Dubuque Housing& CD Department must keep confidential any information you
provide related to the exercise of your rights under VAWA, including the fact that you are
exercising your rights under VAWA.
City of Dubuque Housing& CD Department must not allow any individual administering
assistance or other services on behalf of City of Dubuque Housing& CD Department(for
example, employees and contractors)to have access to confidential information unless for
reasons that specifically call for these individuals to have access to this information under
applicable Federal, State, or local law.
City of Dubuque Housing& CD Department must not enter your information into any shared
database or disclose your information to any other entity or individual. City of Dubuque
Housing & CD Department, however, may disclose the information provided if:
• You give written permission to City of Dubuque Housing & CD Department to release
the information on a time limited basis.
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• City of Dubuque Housing& CD Department needs to use the information in an eviction
or termination proceeding, such as to evict your abuser or perpetrator or terminate your
abuser or perpetrator from assistance under this program.
• A law requires City of Dubuque Housing & CD Department or your landlord to release
the information.
VAWA does not limit City of Dubuque Housing& CD Department's duty to honor court orders
about access to or control of the property. This includes orders issued to protect a victim and
orders dividing property among household members in cases where a family breaks up.
Reasons a Tenant Eligible for Occupancy Rights under VAWA May Be Evicted or
Assistance May Be Tei•minated
You can be evicted and your assistance can be terminated for serious or repeated lease violations
that are not related to domestic violence, dating violence, sexual assault, or stalking committed
against you. However, City of Dubuque Housing& CD Department cannot hold tenants who
have been victims of domestic violence, dating violence, sexual assault, or stalking to a more
demanding set of rules than it applies to tenants who have not been victims of domestic violence,
dating violence, sexual assault, or stalking.
The protections described in this notice might not apply, and you could be evicted and your
assistance terminated, if City of Dubuque Housing& CD Department can demonstrate that not
evicting you ar terminating your assistance would present a real physical danger that:
1) Would occur within an immediate time frame, and
2) Could result in death or serious bodily harm to other tenants or those who wark on the
property.
If City of Dubuque Housing& CD Department can demonstrate the above, they should only
terminate your assistance or evict you if there are no other actions that could be taken to reduce
or eliminate the threat.
Other Laws
VAWA does not replace any Federal, State, or local law that provides greater protection for
victims of domestic violence, dating violence, sexual assault, or stalking. You may be entitled to
additional housing protections for victims of domestic violence, dating violence, sexual assault,
or stalking under other Federal laws, as well as under State and local laws.
Non-Compliance with The Requirements of This Notice
You may report a covered housing provider's violations of these rights and seek additional
assistance, if needed, by contacting or filing a complaint with City of Dubuque Housing& CD
Department or Des Moines Field Office, 210 Walnut Street Room 937, Des Moines, IA 50309-
2155; Phone: (515) 284-4512.
For Additional Information
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You may view a copy of HUD's final VAWA rule at: https://www.gpo.gov/fdsys/pkg/FR-2016-
11-16/pdf/2016-25888.pdf.
Additionally, City of Dubuque Housing& CD Department must make a copy of HUD's VAWA
regulations available to you if you ask to see them.
For questions regarding VAWA, please contact City of Dubuque's Assisted Housing
Supervisor or Assisted Housing Coordinatar at(563) 589-4230.
For help regarding an abusive relationship, you may call the National Domestic Violence
Hotline at 1-800-799-7233 or, for persons with hearing impairments, 1-800-787-3224 (TTY).
Dubuque Community YMCA/YWCA Victim Services Shelter at 1-800-332-5899 or(563) 556-
1100.
Cedar Valley Friends ofthe Family, 1900 John F Kennedy Road, Dubuque, IA 52002; (563)
590-0537 or 1-800-410-7233.
New Beginnings, 35 N Booth Street, Dubuque, IA 52001; (563) 556-3371.
For tenants who are or have been victims of stalking seeking help, you may visit the National
Center for Victims of Crime's Stalking Resource Center at httns://www.victimsofcrime.ore/our-
nroarams/stalkin�-resource-center or call 1-855-484-2846.
Victims of stalking seeking help should contact their local police department.
For help regarding sexual assault, you may contact Riverview Center at 1-888-557-0310.
Attachment: Certification form HUD-5382
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EXHIBIT 16-2: CERTIFICATION OF DOMESTIC VIOLENCE, DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING AND ALTERNATE DOCUMENTATION,
FORM HUD-5382
CERTIFICATION OF U.S. Department of Housing OMB Approval No. 2577-0286
DOMESTIC VIOLENCE, and Urban Development Eap. 06/30/2017
DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING,
AND ALTERNATE DOCUMENTATION
Purpose of Form: The Violence Against Women Act("VAWA'�protects applicants,tenants, and
program participants in certain IILJD programs from being evicted, denied housing assistance, or
terminated from housing assistance based on acts of domestic violence, dating violence, sexual assault, or
stalking against them. Despite the name of this law,VAWA protection is available to victims of domestic
violence, dating violence, sexual assault, and stalking,regardless of sex, gender identity, or sexual
orientation.
Use of This Optional Form: If you are seeking VAWA protections from your housing provider,your
housing provider may give you a written request that asks you to submit documentation about the incident
or incidents of domestic violence, dating violence, sexual assault, or stalking.
In response to this request,you or someone on your behalf may complete this optional form and submit it
to your housing provider, or you may submit one of the following types of third-party documentation:
(1) A document signed by you and an employee, agent, or volunteer of a victim service provider, an
attorney, or medical professional, or a mental health professional(collectively, "professional'�from
whom you have sought assistance relating to domestic violence, dating violence, sexual assault, or
stalking, ar the effects of abuse. The document must specify, under penalty of perjury,that the
professional believes the incident or incidents of domestic violence, dating violence, sexual assault, or
stalking occurred and meet the definition of"domestic violence,""dating violence,""sexual assault,"or
"stalking"in IILJD's regulations at 24 CFR 5.2003.
(2) A record of a Federal, State, tribal,territorial or local law enforcement agency, court, or
administrative agency; or
(3) At the discretion of the housing provider, a statement or other evidence provided by the applicant or
tenant.
Submission of Dowmentation: The time period to submit documentation is 14 business days from the
date that you receive a written request from your housing provider asking that you provide documentation
of the occurrence of domestic violence, dating violence, sexual assault, or stalking. Your housing
provider may, but is not required to, extend the time period to submit the documentation, if you request an
extension of the time period. If the requested information is not received within 14 business days of when
you received the request for the documentation, or any extension of the date provided by your housing
provider,your housing provider does not need to grant you any of the VAWA protections. Distribution or
issuance of this form does not serve as a written request for certification.
Confidentiality: All information provided to your housing provider concerning the incident(s) of
domestic violence, dating violence, sexual assault, or stalking shall be kept confidential and such details
shall not be entered into any shared database. Employees of your housing provider are not to have access
to these details unless to grant or deny VAWA protections to you, and such employees may not disclose
this information to any other entity or individual, except to the extent that disclosure is: (i) consented to
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by you in writing in a time-limited release; (ii)required for use in an eviction proceeding or hearing
regarding terxnination of assistance; ar(iii) otherwise required by applicable law.
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TO BE COMPLETED BY OR ON BEHALF OF THE VICTIM OF DOMESTIC VIOLENCE
DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING
1. Date the written request is received by victim:
2. Name of victim:
3. Your name(if different from victim's):
4. Name(s) of other family member(s) listed on the lease:
5. Residence of victim:
6. Name of the acwsed perpetrator (if known and can be safely disclosed):
7. Relationship of the accused perpetrator to the victim:
8. Date(s) and times(s) of incident(s) (if known):
10. Location of incident(s):
In your own words,briefly describe the incident(s):
This is to certify that the information provided on this form is true and correct to the best of my
knowledge and recollection, and that the individual named above in Item 2 is or has been a victim of
domestic violence, dating violence, sexual assault, or stalking. I acknowledge that submission of false
information could jeopardize program eligibility and could be the basis for denial of admission,
termination of assistance, or eviction.
Signabxre Signed on(Date)
Public Reporting Burden: The public reporting burden far this collection of inforxnation is estimated to
average 1 hour per response. This includes the time for collecting,reviewing, and reporting the data. The
information provided is to be used by the housing provider to request certification that the applicant or
tenant is a victim of domestic violence, dating violence, sexual assault, or stalking. The information is
subject to the confidentiality requirements of VAWA. This agency may not collect this information, and
you are not required to complete this forxn,unless it displays a currently valid Office of Management and
Budget control number.
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EXHIBIT 16-3: EMERGENCY TRANSFER PLAN FOR VICTIMS OF DOMESTIC
VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALHING
ICITY OF DUBUQUE HOUSING & CD DEPARTMENT
Emergency Transfer Plan for Victims of Domestic Violence, Dating Violence, Sexual
Assault, or Stalking
Emergency Transfers
City of Dubuque Housing& CD Department is concerned about the safety of its tenants, and
such concern ea�tends to tenants who are victims of domestic violence, dating violence, sexual
assault, or stalking. In accordance with the Violence Against Women Act(VAWA),3 City of
Dubuque Housing& CD Department allows tenants who are victims of domestic violence,
dating violence, sexual assault, or stalking to request an emergency transfer from the tenant's
current unit to another unit. The ability to request a transfer is available regardless of sex, gender
identity, or sexual orientation.' The ability of City of Dubuque Housing& CD Department to
honor such request for tenants currently receiving assistance, however, may depend upon a
preliminary determination that the tenant is or has been a victim of domestic violence, dating
violence, sexual assault, or stalking, and on whether City of Dubuque Housing& CD
Department has another dwelling unit that is available and is safe to offer the tenant for
temporary or more permanent occupancy.
Note: City of Dubuque Housing& CD Department administers Housing Choice Voucher
(including Project Based Voucher) and Moderate Rehabilitation Programs. City of Dubuque
Housing & CD Department does not own dwelling units,therefore has no dwelling units to offer
tenants far temporary or permanent occupancy.
This plan identifies tenants who are eligible for an emergency transfer,the documentation
needed to request an emergency transfer, confidentiality protections, how an emergency transfer
may occur, and guidance to tenants on safety and security. This plan is based on a model
emergency transfer plan published by the U.S. Department of Housing and Urban Development
(HUD), the Federal agency that oversees that City of Dubuque Housing& CD Department is in
compliance with VAWA.
'Despite the name of this law, VAWA protection is available to all victims of domestic violence, dating violence,
sexual assault, and stalking,regardless of sex,gender identity, or sexual orientation.
°Housing providers cannot discriminate on the basis of any protected characteristic, including race, color,national
origin,religioq sex, familial status, disability, or age. HUD-assisted and HUD-insured housing must be made
available to all otherwise eligible individuals regardless of actual or perceived sexual orientation,gender identity, or
marital status.
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Eligibility for Emergency Transfers
A tenant who is a victim of domestic violence, dating violence, sexual assault, or stalking, as
provided in HUD's regulations at 24 CFR part 5, subpart L is eligible for an emergency transfer,
if: the tenant reasonably believes that there is a threat of imminent harm from further violence if
the tenant remains within the same unit. If the tenant is a victim of sexual assault, the tenant may
also be eligible to transfer if the sexual assault occurred on the premises within the 90-calendar-
day period preceding a request for an emergency transfer.
• A tenant requesting an emergency transfer must expressly request the transfer in
accordance with the procedures described in this plan.
• Tenants who are not in good standing may still request an emergency transfer if they
meet the eligibility requirements in this section.
Emergency Transfer Request Documentation
To request an emergency transfer,the tenant shall notify City of Dubuque Housing& CD
Department and submit a written request for a transfer to their Assisted Housing Caseworker.
Reasonable accommodation to this policy will be provided for individuals with disabilities. The
tenanYs written request for an emergency transfer should include either:
1. A statement expressing that the tenant reasonably believes that there is a threat of
imminent harm from further violence if the tenant were to remain in the same dwelling
unit assisted under City of Dubuque Housing& CD DepartmenYs program; OR
2. A statement that the tenant was a sexual assault victim and that the sexual assault
occurred on the premises during the 90-calendar-day period preceding the tenanYs
request for an emergency transfer: AND
3. A copy of a written notification to their landlord of their intent to transfer from the unit
under VAWA, if currently under a lease agreement.
Confidentiality
City of Dubuque Housing& CD Department will keep confidential any information that the
tenant submits in requesting an emergency transfer, and information about the emergency
transfer, unless the tenant gives written permission to release the information on a time limited
basis, or disclosure of the information is required by law or required for use in an eviction
proceeding or hearing regarding termination of assistance from the covered program. This
includes keeping confidential the new location of the dwelling unit of the tenant, if one is
provided, from the person(s)that committed an act(s) of domestic violence, dating violence,
sexual assault, or stalking against the tenant.
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Note: See the Notice of Occupancy Rights under the Violence Against Women Act For All
Tenants for more information about City of Dubuque Housing& CD DepartmenYs
responsibility to maintain the confidentiality of information related to incidents of domestic
violence, dating violence, sexual assault, or stalking.
Emergency Transfer Timing and Availability
City of Dubuque Housing& CD Department cannot guarantee that a transfer request will be
approved or how long it will take to process a transfer request. City of Dubuque Housing& CD
Department will, however, act as quickly as possible to move a tenant who is a victim of
domestic violence, dating violence, sexual assault, or stalking to another unit, subject to
availability and safety of a unit. If a tenant reasonably believes a proposed transfer would not be
safe, the tenant may request a transfer to a different unit. If a unit is available,the transferred
tenant must agree to abide by the terms and conditions that govern occupancy in the unit to
which the tenant has been transferred. City of Dubuque Housing& CD Department may be
unable to transfer a tenant to a particular unit if the tenant has not or cannot establish eligibility
for that unit.
Participants currently receiving tenant-based assistance will have their request to receive a
voucher and move to a new unit expedited. The new unit must still meet all program
requirements prior to executing a new contract. See City of Dubuque's Administrative Plan,
Chapter 10—Moving with Continued Assistance and Portability for references regarding moves.
City of Dubuque Housing& CD Department does not own dwelling units for which a tenant who
needs an emergency transfer, but will assist the tenant in identifying other housing providers who
may have safe and available units to which the tenant could move. At the tenant's request, City
of Dubuque Housing& CD Department will also assist tenants in contacting the local
organizations offering assistance to victims of domestic violence, dating violence, sexual assault,
or stalking that are included in this plan.
Safety and Security of Tenants
Pending processing of the transfer and the actual transfer, if it is approved and occurs, the tenant
is urged to take all reasonable precautions to be safe.
Tenants who are or have been victims of domestic violence are encouraged to contact the
National Domestic Violence Hotline at 1-800-799-7233, or a local domestic violence shelter, for
assistance in creating a safety plan. For persons with hearing impairments,that hotline can be
accessed by calling 1-800-787-3224 (TTY).
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Tenants who have been victims of sexual assault may call the Rape, Abuse & Incest National
Network's National Sexual Assault Hotline at 800-656-HOPE, or visit the online hotline at
httns://ohl.rainn.or�/online/.
Tenants who are or have been victims of stalking seeking help may visit the National Center for
Victims of Crime's Stalking Resource Center at https://www.victimsofcrime.org/our-
nroarams/stalkin�-resource-center.
Additional Information: Local organizations offering assistance to victims of domestic
violence, dating violence, sexual assault, or stalking.
For help regarding an abusive relationship, you may call the National Domestic Violence
Hotline at 1-800-799-7233 or, for persons with hearing impairments, 1-800-787-3224 (TTY).
Dubuque Community YMCA/YWCA Victim Services Shelter at 1-800-332-5899 or(563) 556-
1100.
Cedar Valley Friends ofthe Family, 1900 John F Kennedy Road, Dubuque, IA 52002; (563)
590-0537 or 1-800-410-7233.
New Beginnings, 35 N Booth Street, Dubuque, IA 52001; (563) 556-3371.
For tenants who are or have been victims of stalking seeking help, you may visit the National
Center for Victims of Crime's Stalking Resource Center at https://www.victimsofcrime.arg/our-
nroarams/stalkin�-resource-center or call 1-855-484-2846.
Victims of stalking seeking help should contact their local police department.
For help regarding sexual assault, you may contact Riverview Center at 1-888-557-0310.
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EXHIBIT 16-4: EMERGENCY TRANSFER REQUEST FOR CERTAIN VICTIMS OF
DOMESTIC VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING,
FORM HUD-5383
EMERGENCY TRANSFER U.S. Department ofHousing OMB ApprovalNo. 2577-0286
REQUEST FOR CERTAIN and Urban Development Exp. 06/30/2017
VICTIMS OF DOMESTIC
VIOLENCE,DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING
Purpose of Form: If you are a victim of domestic violence, dating violence, sexual assault, or stalking,
and you are seeking an emergency transfer,you may use this forxn to request an emergency transfer and
certify that you meet the requirements of eligibility for an emergency transfer under the Violence Against
Women Act(VAWA). Although the statutory name references women,VAWA rights and protections
apply to all victims of domestic violence, dating violence, sexual assault or stalking. Using this forxn does
not necessarily mean that you will receive an emergency transfer. See your housing provider's
emergency transfer plan for more information about the availability of emergency transfers.
The requirements vou must meet are:
(1)You are a victim of domestic violence, dating violence, sexual assault, or stalking.
If your housing provider does not already have documentation that you are a victim of
domestic violence, dating violence, sexual assault, or stalking, your housing provider
may ask you for such documentation. In response, you may submit Form HUD-5382, or
any one of the other types of documentation listed on that Form.
(2) You expressly request the emergency transfer. Submission of this form confirms
that you have expressly requested a transfer. Your housing provider may choose to
require that you submit this forxn, or may accept another written or oral request. Please
see your housing provider's emergency transfer plan for more details.
(3) You reasonably believe you are threatened with imminent harm from further
violence if you remain in your wrrent unit. This means you have a reason to fear that
if you do not receive a transfer you would suffer violence in the very near future.
OR
You are a victim of sexual assault and the assault occurred on the premises during
the 90-calendar-day period before you request a transfer. If you are a victim of
sexual assault, then in addition to qualifying for an emergency transfer because you
reasonably believe you are threatened with imminent harm from further violence if you
remain in your unit, you may qualify for an emergency transfer if the sexual assault
occurred on the premises of the property from which you are seeking your transfer, and
that assault happened within the 90-calendar-day period before you submit this form or
otherwise expressly request the transfer.
Submission of Dowmentation: If you have third-party documentation that demonstrates why you are
eligible for an emergency transfer, you should submit that documentation to your housing provider if it is
safe for you to do so. Examples of third parly documentation include,but are not limited to: a letter or
other documentation from a victim service provider, social warker, legal assistance provider,pastoral
counselor,mental health provider, or other professional from whom you have sought assistance; a current
restraining order; a recent court order or other court records; a law enforcement report or records;
communication records from the perpetrator of the violence or family members or friends of the
perpetrator of the violence, including emails,voicemails, text messages, and social media posts.
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Confidentiality: All information provided to your housing provider concerning the incident(s) of
domestic violence, dating violence, sexual assault, or stalking, and concerning your request for an
emergency transfer shall be kept confidential. Such details shall not be entered into any shared database.
Employees of your housing provider are not to have access to these details unless to grant or deny VAWA
protections or an emergency transfer to you. Such employees may not disclose this information to any
other entity or individual, except to the extent that disclosure is: (i) consented to by you in writing in a
time-limited release; (ii)required for use in an eviction proceeding or hearing regarding termination of
assistance; ar(iii) otherwise required by applicable law.
TO BE COMPLETED BY OR ON BEHALF OF THE PERSON REOUESTING A TRANSFER
1. Name of victim requesting an emergency transfer:
2. Your name(if different from victim's)
3. Name(s) of other family member(s) listed on the lease:
4. Name(s) of other family member(s)who would transfer with the victim:
5. Address of location from which the victim seeks to transfer:
6. Address or phone number for contacting the victim:
7. Name of the acwsed perpetrator (if known and can be safely disclosed):
8. Relationship of the accused perpetrator to the victim:
9. Date(s), Time(s) and location(s) of incident(s):
10. Is the person requesting the transfer a victim of a sexual assault that ocwrred in the past 90
days on the premises of the property from which the victim is seeking a transfer? If yes, skip
question 1L If no,fill out question 11.
11. Describe why the victim believes they are threatened with imminent harm from further
violence if they remain in their wrrent unit.
12. If voluntarily provided, list any third-party dowmentation you are providing along with this
notice:
This is to certify that the information provided on this form is true and correct to the best of my
knowledge, and that the individual named above in Item 1 meets the requirement laid out on this form for
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an emergency transfer. I acknowledge that submission of false information could jeopardize program
eligibility and could be the basis for denial of admission,termination of assistance, or eviction.
Signabxre Signed on(Date)
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EXHIBIT 16-5: SAMPLE NOTICE TO HOUSING CHOICE VOUCHER OWNERS AND
MANAGERS REGARDING THE VIOLENCE AGAINST WOMEN ACT (VAWA)
NOTICE TO HOUSING CHOICE VOUCHER OWNERS AND MANAGERS
REGARDING THE VIOLENCE AGAINST WOMEN ACT (VAWA)
This notice was adapted from a notice prepared by the National Housing Law Project.
A federal law that went into effect in 2013 protects individuals who are victims of domestic
violence, dating violence, sexual assault, and stalking. The name of the law is the Violence
against Women Act, or"VAWA." This notice explains your obligations under VAWA.
Protections for Victims
You cannot refuse to rent to an applicant solely because he or she is or has been a victim of
domestic violence, dating violence, sexual assault, or stalking.
You cannot evict a tenant who is or has been the victim of domestic violence, dating violence,
sexual assault, or stalking based on acts or threats of violence committed against the victim.
Also, criminal acts directly related to the domestic violence, dating violence, sexual assault, or
stalking that are caused by a household member or guest cannot be cause for evicting the victim
ofthe abuse.
Permissible Evictions
You can evict a victim of domestic violence, dating violence, sexual assault, or stalking if you
can demonstrate that there is an actual and imminent(immediate)threat to other tenants or
employees at the property if the victim is not evicted. Also, you may evict a victim for serious or
repeated lease violations that are not related to the domestic violence, dating violence, sexual
assault, or stalking. You cannot hold a victim of domestic violence, dating violence, sexual
assault, or stalking to a more demanding standard than you hold tenants who are not victims.
Removing the Abuser from the Household
You may bifurcate (split)the lease to evict a tenant who has committed criminal acts of violence
against family members or others, while allowing the victim and other household members to
stay in the unit. If you choose to remove the abuser, you may not take away the remaining
tenants' rights to the unit or otherwise punish the remaining tenants. In removing the abuser from
the household, you must follow federal, state, and local eviction procedures.
Certification of Domestic Violence, Dating Violence, Sexual Assault, or Stalking
If a tenant asserts VAWA's protections, you can ask the tenant to certify that he or she is a
victim of domestic violence, dating violence, sexual assault, or stalking. You are not required to
demand official documentation and may rely upon the victim's statement alone. If you choose to
request certification, you must do so in writing and give the tenant at least 14 business days to
provide documentation. You are free to ea�tend this deadline. A tenant can certify that he or she is
a victim by providing any one of the following three documents:
• A completed, signed HUD-approved certification form. The most recent form is HUD-5382.
This form is available at the housing authority or online at
https://portal.hud.gov/hudportaUdocuments/huddoc?id=5382.docx.
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• A statement from a victim service provider, attorney, mental health professional, or medical
professional who has helped the victim address incidents of domestic violence, dating
violence, sexual assault, or stalking. The professional must state that he or she believes that
the incidents of abuse are real. Both the victim and the professional must sign the statement
under penalty of perjury.
• A police or court record, such as a protective order, or administrative record.
If the tenant fails to provide one of these documents within 14 business days, you may evict the
tenant if authorized by otherwise applicable law and lease provisions.
Confidentiality
You must keep confidential any information a tenant provides to certify that he or she is a victim
of domestic violence, dating violence, sexual assault, or stalking. You cannot enter the
information into a shared database or reveal it to outside entities unless:
• The tenant provides written permission releasing the information.
• The information is required for use in an eviction proceeding, such as to evict the abuser.
• Release of the information is otherwise required by law.
The victim should inform you if the release of the information would put his or her safety at risk.
VAWA and Other Laws
VAWA does not limit your obligation to honor court orders regarding access to or control ofthe
property. This includes orders issued to protect the victim and orders dividing property among
household members in cases where a family breaks up.
VAWA does not replace any federal, state, or local law that provides greater protection for
victims of domestic violence, dating violence, sexual assault, or stalking.
DeFmitions
For purposes of determining whether a tenant may be covered by VAWA, the following list of
definitions applies:
VAWA defines domestic violence to include felony or misdemeanor crimes of violence
committed by any of the following:
• A current or former spouse or intimate partner of the victim
• A person with whom the victim shares a child in common
• A person who is cohabitating with or has cohabitated with the victim as a spouse or intimate
partner
• A person similarly situated to a spouse of the victim under the domestic or family violence
laws of the jurisdiction receiving grant monies
• Any other person against an adult or youth victim who is protected from that person's acts
under the domestic or family violence laws of the jurisdiction
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VAWA defines daring violence as violence committed by a person (1) who is or has been in a
social relationship of a romantic or intimate nature with the victim AND (2) where the existence
of such a relationship shall be determined based on a consideration of the following factors:
• The length of the relationship
• The type of relationship
• The frequency of interaction between the persons involved in the relationship
VAWA defines sexual assault as "any nonconsensual sexual act proscribed by federal, tribal, or
state law, including when the victim lacks capacity to consenY' (42 U.S.C. 13925(a)).
VAWA defines stal7��ng as engaging in a course of conduct directed at a specific person that
would cause a reasonable person to fear for his or her safety or the safety of others, or suffer
substantial emotional distress.
Ad ditional Information
• If you have any questions regarding VAWA, please contact please contact City of Dubuque
Housing& CD Department at 563-589-4230.�
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