Amendments to U.S. Department of Housing and Urban Development Voluntary Compliance Agreement Copyrighted
May 6, 2019
City of Dubuque Action Items # 6.
ITEM TITLE: Amendments to U.S. Departmentof Housing and Urban
Development (HUD)Voluntary Compliance Agreement
Nca�
SUMMARY: City Manager transmitting information regarding an
amendment to the Voluntary Compliance Agreement
(VCA)with the U.S. Department of Housing and Urban
Development (HUD)and the City of Dubuque that reduces
the reporting requirements for the last two years of the
Agreement.
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File
ATTACHMENTS:
Description Type
HUD VCAAmendment-MVM Memo City Manager Memo
Staff Memo Staff Memo
HUD Letter New Requirements Supporting Documentation
OriginalAgreement Supporting Documentation
THE CTTY OF Dubuque
�"
ui���eNe�ary
DUB E 'il��i;'
Masterpiece on the Mississippi Z°°' Z°'Z
2013 2017
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: US Department of Housing and Urban Development (HUD) Voluntary
Compliance Agreement (VCA) Amendment for the City of Dubuque
DATE: April 30, 2019
Housing and Community Development Director Alexis Steger is transmitting information
regarding the amendment to the Voluntary Compliance Agreement (VCA) with the US
Department of Housing and Urban Development (HUD) and the City of Dubuque.
The Office of Fair Housing and Equal Opportunity responded to the bi-annual
submission required by the VCA stating; "In recognition of the City's compliance with the
Agreement thus far, the Department is willing to modify the Agreement to reduce the
reporting requirements for the last two years of the Agreement."
The requirements of the VCA that are no longer in effect will significantly reduce the
time that the City spends on reporting the Fair Housing efforts and allow the City to
focus that additional time on outreach efforts and additional data collection for outcome
tracking within programs. Housing staff will also have additional time to focus efforts on
self-sufficiency programming provided within Assisted Housing.
The VCA requirements that are no longer in effect for the last two years of the executed
agreement are;
• Public Housing Authority Annual Plan —Additional Sections
• Bi-Annual Waiting List Reports
• Bi-Annual Status Reports
• Reduced Reporting and Collaboration with HUD on Employee Education and
Training
• Reporting on Outreach Plan and Materials
The removal of the Bi-Annual Status Reports is the most significant time savings to the
City of Dubuque. While the City will still be collecting and tracking disaggregated data
and reviewing programs that the bi-annual report showed progress on, just compiling
the bi-annual report took 3-weeks of work from several employees prior to submission.
Also, the City can now submit streamlined Public Housing Authority Annual Plans. This
helps make the document easier to reference for policies and procedures and reduces
the administrative review burden on the Housing Commission and staff annually.
Overall, the time savings allows staff to re-focus efforts on ensuring the outcomes of
programs, providing direct service to residents in the self-sufficiency program.
However; the most significant and important accomplishment is that the City has shown
a proactive approach to Affirmatively Furthering Fair Housing and being an equitable
community of choice and this is being recognized by the U.S. Department of Housing
and Urban Development.
1 J��:2i��'1 �Na, f/���t/ls.t-�._
Mic ael C. Van Milligen �
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Cori Burbach, Assistant City Manager
Alexis M. Steger, Housing and Community Development Director
Kelly Larson, Human Rights Director
2
Dub�uqu.�e Housing and Community Development
THE CITY OF
ui��������c�a � Assisted Housing Program
D�� � �����r � 350 W. 6�' Street, Suite 312
Dubuque, IA 52001
Masterpiece on the Mississippi 20°7�2°'� �oP oR uNs'r"Y Office (563) 589-4230
wii�zoi,
TO: Michael C. Van Milligen, City Manager
FROM: Alexis M. Steger, Housing and Community Development Director
DATE: April 30t", 2019
RE: US Department of Housing and Urban Development (HUD) Voluntary
Compliance Agreement (VCA) Amendment for the City of Dubuque
BACKGROUND
The City of Dubuque entered into a Voluntary Compliance Agreement (VCA) with the
US Department of Housing and Urban Development (HUD) on March 31, 2014 after an
audit completed in 2010 by the Office of Fair Housing and Equal Opportunity, a division
of HUD.
The Voluntary Compliance Agreement between the City and HUD requires the City to
Affirmatively Further Fair Housing and continually review policies and procedures for
disparate impacts to any population of people, but specifically African Americans.
Annual trainings on Fair Housing are a requirement of the agreement, along with many
tedious reporting requirements that prove the City is taking a proactive approach to
Affirmatively Furthering Fair Housing. The extensive reporting requirements were
intended to help the City of Dubuque identify disparate impacts on African Americans
from changes to policies and procedures.
The City of Dubuque is dedicated in the effort to Affirmatively Further Fair Housing and
to continually review policies and procedures in Housing and other direct programs to
ensure disparate impacts are not occurring. The City has gone above and beyond what
was required under the VCA, to become an equitable city of choice, and will continue
those efforts without oversight from the Office of Fair Housing and Equal Opportunity.
Therefore, the City of Dubuque requested the VCA be terminated two years before the
end of the agreement.
DISCUSSION
The Office of Fair Housing and Equal Opportunity responded to the bi-annual
submission required by the VCA stating; "In recognition of the City's compliance with the
Agreement thus far, the Department is willing to modify the Agreement to reduce the
reporting requirements for the last two years of the Agreement."
The requirements of the VCA that are no longer in effect will significantly reduce the
time that the City spends on reporting the Fair Housing efforts, and allow the city to
focus that additional time on outreach efforts and additional data collection for outcome
tracking within programs. Housing staff will also have additional time to focus efforts on
self-sufficiency programming provided within Assisted Housing.
The VCA requirements that are no longer in effect for the last two years of the executed
agreement are;
. PHA Annual Plan — Additional Sections
. Bi-Annual Waiting List Reports
. Bi-Annual Status Reports
. Reduced Reporting and Collaboration with HUD on Employee Education and
Training
. Reporting on Outreach Plan and Materials
The removal of the Bi-Annual Status Reports is the most significant time savings to the
City of Dubuque. While the City will still be collecting and tracking disaggregated data
and reviewing programs that the bi-annual report showed progress on, just compiling
the bi-annual report took 3-weeks of work from several employees prior to submission.
Also, the City can now submit streamlined PHA Annual Plans. This helps make the
document easier to reference for policies and procedures, and reduces the
administrative review burden on the Housing Commission and staff annually.
Overall, the time savings allows staff to re-focus efforts on ensuring the outcomes of
programs, providing direct service to residents in the self-sufficiency program. However;
the most significant and important accomplishment is that the City has shown an
amazingly proactive approach to Affirmatively Furthering Fair Housing and being an
equitable community of choice.
RECOMMENDATION
No action is required for this amendment to the VCA for the City of Dubuque. The letter
transmitted from the Office of Fair Housing and Equal Opportunity releasing the City
from certain obligation under the VCA, is attached for the City Council's review.
U.S.DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
.�MENro Region VII
QPP F'S'p OFFICE OF FAIR HOUSING AND EQUAL OPPORTUNITY
o�' Gin Gateway Tower II,4tn Floor
� ,�, D * � 40o State Avenue
yo IIIII II � Kansas City, KS 66ioi-z4o6
e April 10, 2019
G9eqN D EV rc�'�
Kelly Larson
Director, Human Rights Department
City Hall
50 West 13`h Street
Dubuque, IA 52001
Dear Ms. Larson:
We are in receipt of your Bi-Annual Status Report pursuant to the Voluntary Compliance
Agreement that was entered to resolve issues of compliance identified in the June 17, 2013,
Letter of Findings. Our review of Dubuque's Bi-Annual Status Report submitted to the
Department by email on January 15, 2019, indicates that Dubuque remains in compliance with
the Agreement. The Report indicates that the City has increased African Americans' access to
the City's HUD-financed housing programs over the past five years.
In the Bi-Annual Status Report, Dubuque indicates that participation rates for African
American Tenant Based Section 8 Voucher holders has climbed to 40%. This reflects steady
growth, from the low point of African American participation of 21% in 2011, a shaip decline
fi•om the previous rate of 31%, that occurred after the implementation of policy changes in
Dubuque that led to the issuance of the Letter of Findings. Further, the City reports that the
percentage of Afi•ican Americans on the waiting list increased signi�cantly during the past five
years. The report also describes success of the community resource officer program in helping
the City to diversify the police force.
The Voluntary Compliance Agreement, effective March 31, 2014, is in effect for seven
(7) years after the effective date, as noted in Section III. General Provisions, Paragraph C. This
would place the end date of the Agreement at March 31, 2021. Dubuque has requested the
Agreement be terminated early, after five years, prior to the completion of the full seven-year
teim. While the Department does not believe that terminating the Agreement is the appropriate
course of action at this time, the Department is willing to modify the Agreement to reduce the
administrative burden for the City. In recognition of the City's compliance with the Agreement
thus far, the Department is willing to modify the Agreement to reduce the reporting requirements
for the last two years of the Agreement. Speci�cally, Sections IV.H. PHA Annual Plans,
IV.L.(2) Bi-Annual Waiting List Reports and V.A.(1)-(5) Bi-Annual Status Reports will not
be required the last two years of the Agreement.
Further, after consultation with the Office of Public Housing, the requirement for
submission of a full PHA Annual Plan, contained in Section IV.H. PHA Annual Plans, is
modified, and Dubuque is now eligible to submit streamlined plans.
Section IV.I. Employee Education and Training requiring annual training will still be
in effect. The City will only be required to provide an annual statement to the Department as
evidence of compliance with paragraph I.(4). The City will retain a continuing obligation to
implement its outreach plan pursuant to Section IV.K. Outreach Plan. However, the
Department will no longer require the City to report and submit materials pursuant to paragraph
IV.K.(4). Other provisions of the Agreement, not specifically mentioned above, remain in effect.
These modifications to the reporting requirements under the Agreement do not affect the
obligation of the City to have all programs, facilities, activities and policies in compliance with
Title VI; Section 109; and the City's obligations to Affirmatively Further Fair 1-Iousing; nor does
it address whether each of the City's operations is in compliance.
Should you have any questions regarding your reporting obligations, or if the City would
like to execute a formal signed amendment to the Agreement, we are happy to discuss. You may
reach me at (913) 551-6958 or Beu .�tti�er@HUD.atov .
Sincerely,
Betty J. B tt ger
Region VII Director
Office of Fair Housing and Equa] Opportunity
cc: Frances Cleary, Director, Office of Public and Indian Housing
��,��/��'� ����/����i���.
� �����
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Region VII
PP.�MENTp�y OFFICE OF FAIR HOUSING AND EQUAL OPPORTUNITY
a °N Gateway Tower II, 4�h Floor
�� oo ��� � 400 State Avenue
y * � * ,� Kansas City, KS 66101-2406
2� II�II II �2
G9eqN DEV�b���
Apri19, 2014
CERTIFIED MAIL—RETURN RECEIPT REOUESTED
Honorable Roy D. Buol �
Mayor of Dubuque � �'`
City Hall CJ`c � �
50 West 13�' Street � �.� �' �
Dubuque, IA 52001 ,�� � �` �
� ,
m � �
Dear Mayar Buol: � ITl
� � ,- �
n
SUBJECT: Signed Voluntary Compliance Agreement � �.�
Regarding Ciyil Rights Compliance Review of the
City of Dubuque's CDBG and Section 8 Programs
Title VI Review Number: 07-11-R001-6
Section 109 Review Number: 07-11-R001-9
Enclosed is one copy of the Voluntary Compliance Agreement(VCA) signed by the City
of Dubuque, Iowa and the U.S. Department of Housing and Urban Development (HUD)
outlining remedies to address the findings of noncompliance identified in HUD's letter to the
City dated June 17, 2013. The VCA will bring the City and its HUD funded programs into
compliance with its civil rights obligations under Title VI of the Civil Rights Act of 1964, and
the implementing regulations at 24 C.F.R. Part 1.
We look forward to working with the City of Dubuque to fully implement the VCA. If
you have any questions,please call me at 913-551-6857.
Sincerely,
B tty J. B ttiger
Regional Director
Region VII Office of Fair Housing
and Equal Opportunity
Enclosure
Phone(913)551-6958 Fax(913)551-6856 -
www.hud.pov espanol.hud.4ov
� THE UNITED STATES OF AMERICA
DEPARTMENT OF HOUSING AND URB.AN DEVELOPMENT
OFFICE OF FAIR HOUSING AND EQUAL OPPORTUNITY
� VOLUNTARY GOMPLIANCE AGREEMENT •
BETWEEN
. THE U.S.DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
AND .
DUBUQUE, IOWA
� HUD COMPLIANCE REVIEW CASE NUMBER .07-11-R001-6
. Dubuque,Iowa
Voluntary Compliance�Agreement
Index �
L Introduction 3
II. Definitions � 4
III. General Provisions 7
� IV. Specific Provisions 9
A. Agreement Administrator 9
B. Analysis of Impediments 10
C. Amendments to Section S Administrative Plan 11
D. 2015 Consolidated Plan � 15
E. CAPER 17
• F. Annual Action Plan 17 .
G. 2015 PHA 5 Year Plan 18
� H. PHA Annual Plans � 22
I. Employee Education and Training 23
J. Notice and Publication 24
K. Outreach Plan 24
. L. Recordkeeping Requirements 26
� V. Reporting and Compliance Requirements 26
A. Bi-Annual Status Report 26
� B. General Reporting 28
VI. Additional Recordkeeping Requirements 29
VII. Implementation,Monitoring and Enforcement . 29
UIII. Effect of Non-Compliance witki the Agreement 30
IX. Signatures . � 31 ,
2 .
THE UNiTED STATES OF AMERICA
DEPARTMENT OF HOUS�NG AND.URBAN DEVELOPMENT
OFFICE OF FAIR HOUSING AND EQUAL OPPORTUNITY
VOLUNTARY COMPLIANCE AGREEMENT
BETWEEN
THE U.S.DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
AND
DUBUQUE,IOWA
� HUD COMPLIANCE REVIEW CASE NUMBER 07-11-R001-6
. I. INTRODUCTION
T�e City of Dubuque,Iowa(the City)receives funds from the U.S.Depa�tment of
Housing and Urban Development(HLTD or the Department)through the Section 8
Housing Choice Voucher program(Section 8 or HCV) and the Community
Development Block Gran.t(CDBG)program. The City's Housing and Community
Development Department(HCDD)both adnninisters and operates Section S and
operates and distributes CDBG monies. HCDD operates corollary programs that
include,but are not limited to the Family Self Sufficiency Program(FSS), and i
Circles Initiative.
The City is subject to various Federal civil rights laws and regulations including
Title VI.of the Civil Rights Act of 1964,42 U.S.C. § 2000d-1 and the implementing
regulations at 24 C.F.R. §Part 1 (Title Vn; Section 109 of Title I of the Housing and
Community Development Act of 1974, as amended,42 U.S.C. § 5309 and the
. implementing regulations at 24 C.F.R. Part 6(Section 109); and the Fair Housing
Act, as amended,42 U.S.C. §§ 3601 et seq. and its implementing regulations at
24 C.F.R.Part 100 (Fair Housing Act). Additionally,the City is obligated to
affumatively further fair housing(AFFH)pursuant to Section 104 of Title I of the
Housing and Community Development Act of 1974,42 U.S.C. § 5304,the Fair .
� Housing Act,42 U.S.C. § 3608(e)(5), and the regulations implementing AFFH �
obligations for programs administering CDBG funds at 24 C.F.R. Parts 570 and 91
. and public housing programs participating in the HCV program found at 24 C.F.R.
Parts 903 and 982.
3
On June 20-24, 201 l,staff from HUD's Office of Fair Housing and Equal
Opportunity (FHEO)completed a civil rights related program review of the City's
HCDD which administers the City's Section 8�program and the City's CDBG
program. The on-site review was conducted by Equal Opportunity Specialists from '
HUD's Of�ce of FHEO, a Community Planning and Development(CPD) �
• Representative, and a Financial Analyst from HUD's Office of Public and Indian
� Housing(PIH).
The review focused onpolicies that were primarily implemented in late 2009 and
early 2010 that Iimited the participation of African American participants in the
program. The review team collected demographic data on Section 8 program
participants,including wait list inf�rmation, applicant resolution information,and
voucher utilization. The team further collected and reviewed information available
through public record,including City meeting minutes, committee meeting minutes,
and newspaper articles. Finally,the team collected policies,.plans and reports such �
as the City's Consolidated Plan and HCDD's wait list and admission policies.
As a result of the compliance review;the Department issued a Letter of Findings on �
. � June 17, 2013, (tlie LOF) which is incorporated by reference in its entirety into this
Agreement,concluding that the City violated Title VT in the administration of its
Section 8 Program.
. Additionally, on October 26,2012,based on.the evidence gathered during the
compliance review,the Office of PIH withheld the City's Section 8 Management
Assessment Program(SEMAP)score for the fiscal year ending June 30, 2012, due to
substantial noncompliance with Program Requirements found at 24 C.F.R. §§
985.3(n) and 982.207(b). . � .
The City denies discriminating against African American applicants ko the program.
However,the City agrees to enter this Voluntary Compliance Agreement(VCA or
Agreement)to ensure continued compliance with its responsibilities under Title VI
and its innplementing regulations, as well as the City's AFFH obligations and
compliance with PIH Program Requirements.
Nothing herein shall be deemed or construed to be an admission or concession of any
liability whatsoever on the part of the City,that any policy or procedure of the City
had a discriminatory effect on a protected class,that the City liad the intent to
discriminate against anyone in a protected class,or that the City agrees with the
Department's conclusions i�the June 17,2013 Letter of Findings contained herein.
II. DEFII�ITIONS [Add or remove definitions as necessary.]
Administrative Plan(Admin Plan)—The written plan that establishes local policies
£or the administration of the HCV Program in accordance with HITD requirements.
Affirmativelv Further Fair Housin� (.AFFH) - A jurisdiction's obligation to conduct
an analysis to identify impediments to fair housing choice within the jurisdiction,take
� . 4
appropriate actions to overcome the effects of any impediments identified through
' that analysis, and maintain records reflecting the analysis and actions in this regard.
Affordable Housin� - Housing which in general allows a household to pay no more '
than thirty percent(30%) of its annual income on housing. In some instances,
families with lower income may pay more than this, even with financial or voucher
assistance.
Analvsis of Impediments to Fair Housin Cg hoice(AI)—An analysis undertaken by
the Cify to determine factors that prohibit or impede fair housing choice within the
Recipient's jurisdiction.
Annual Action Plan(AAP)—The CDBG written plan detailing the annual objectives
the City expects to achieve during the forthcoming program year and the resources to
be used and activities to be undextaken in pursuit of these objectives.
Certification—A written assertion,based on supporting evidence, that must be kept
available for inspection by HUD,by the Inspector General of HUD, and by the
, � public. See 24 C.F.R. § 9L5.
� C�-the City of Dubuque,Iowa. Dubiique,through its Housing and Community
Development Department(HCDD), administer.s Section 8 Housing Choice Vouchers
(Section 8 or voucher program)and Community Development Block Grant Funds
(CDBG). The City is a recipient of Federal financial assistance.
Consolidated Annual Performance and Evaluation Report(CAPER)—An annual
review and report for jurisdietions with Consolidated Plans on the progress the
jurisdiction has made in carrying out its strategic plan and its.action plan. See �
24 C.F.R. § 91.520. �
Consolidated Plan (Con Plan)—The document submitted to HUD that serves as the
comprehensive housing affordability strategy,community development plan,and
submissions for funding under any of the Community Planning and Development
formula grant programs (e.g.,CDBG,ESG,HOME and HOPWA)that is prepared in
accordance with the process described in 24 C.F.R. Part 91 5ubpart C. See 24 C.F.R.
§ 91.5.
Effective Date -The effective date of this Agreement is the date of the last signature
in Section IX.
� Family Self-Sufficiencv Pro�ram(FSS)—The program established by a PHA in
accordance with 24 C.F.R.Part 984 to promote self-sufficiency of assisted families,
including the coordination of supportive services.
5
Housin�Assistance Payments(HA.P)—The monthly assistance payment,on behalf of
the family participating in the HCV program,by a PHA to the property owner,for
. rent to the�owner under the family's lease.
Housin�and Communitv Development Department(HCDD)Pro�ra_m—The City of
Dubuque,Iowa's Housing Program,which operates the Section 8 Program and
distributes CDBG monies.
HA.P Contract—Housing assistance payments contract.
Non-housin P�rOgrams -Non-housing programs include any aid,benefit or service
provided by the Recipient,policies,procedures and services whose operation
� contributes to the application for housing,full enjoyment of housing, and full
participation in the Recipient's housing programs.
Participant(participant familv)—A family that has been admitted to the PHA
program and is currently assisted in the program. The family becomes a participant
on the effective date of the first HAP contract executed by the PHA for the faznily
(first day of initial lease term).
� Public Housing Agencv/Authority(PHA) -Also xeferred to as the Housing Authority
of Dubuque(HAD), operated by the HCDD for the City with Federal funding
received from HUD. � �
� PHA Plan—The Annual Plan(AP) and the 5-Year Plan as adopted by the PHA and �
approved by HUD as required by 5A of the United States Housing Act of 1937
(42 U.S.C. § 1437c-1) and in accordance with 24 C.F.R. Part 903. These plans
� provide the framework for local accountability.
Pxo�rarrx or ActivitX—All of the operations of a department,agency, special purpose
. district, or other instrumentality of a State or local government. For this Agreement,
the program or activity encompasses all of the operations of the HCDD,the
instrumentality of Dubuque,Iowa,that operates Dubuque's PHA and distributes
CDBG Program funds. See 24 C.F.R§ 6.3. � �
Undue Hardshin—An undue hardship,with respect to compliance with this
Agreement,means any action that would be unduly costly or disruptive or that would
significantly and adversely affect the operations of the City in its day to day�activities.
a) ff the City demonstrates that compliance with a provision of this Agreement
would cause an undue hardship;it is still required to act if funding from an
external source is available to offset the portion of the cost that would cause an
� undue hardship. � .
. b) If the City is or may be eligible to receive funds from an external source to offset
� the cost, the City must pursue such funds. The City may not claim cost as an
undue hardship, or claim cost as a defense to�oncompliance with this Agreement,
6 �
i .
unless it has unsuccessfully pursued such funds,or an alternative source does not
exist.
c) If an undue hardship arises in the course of implementation of one or more
provisions in this Agreement,the City shall propose to HUD an alternative course
of action that meets the spirit of this Agreement,but which is consistent with the
constraints identi�ed by the City.
d) The City's notice of an undue hardship to the Department shall provide: �
(1) an analysis detailing.why the cost ox difficulty of implementation of the action
sought is an undue hardship; (2) a detailed description of outside revenue sources
pursued unsuccessfully by the City; (3) the City's proposed alternative course of
. action; and(4) a list of dates and times within twenty(20)business days of the
date of the notice within which representatives of the City can meet
. (telephonically)with representatives of the Department to discuss the alternati�e
proposals. Upon receipt of the notice of undue hardship,the Department will
respond to the City to confirm or to propose an alternate date and tinne, within
which to discuss the information provided by the City. During the meeting(s),the
Department may provide alternate terms,and the City and the�Department agree �
to discuss potential alternatives. The Department will provide concurrence or
non-concurrence on the assessment of undue hardship, as well as approval or non-
approval on the alternative proposal sought during the discussions between the
parties,within forty-five days of the last meeting between the Department and the
• City.
Housing Choice Voucher(HCV)—A document issued by the PHA to a family
selected for admission to the voucher program. This document describes the program
� and the procedures for PHA approval of a unit selected by the family. The voucher
also states the obligations of the family under the program. � .
Voucher Holder—A family holding a voucher with an unexpired term(search time). �
� III. GENERAL PROVISIONS
A. This Agreement applies to all federally funded projects, developments and
related facilities and programs or activities that the City,its agents,successors,
and assigns or beneficiaries own,control, operate or sponsor.
B. This Agreement does not affect the obligation of the City to have a11 programs, �
facilities, activities and policies in compliance with Title VI;Section 109; and
the City's obligations to AFFH;nor does it address whether the entirety of the
City's operations are in compliance.
C. The effective date of this Agreement is the date of the l�st signature in '
Section IX. This Agreement shall be binding on all of the officers,trustees,
� directors, agents,employees, and successors or assigns of the City and HUD.
This Agreement shall remain in effect for seven(7) years after the effective date
of this Agreement. The City will provide a written letter of satisfaction for
. �
completed items. The Department will send a written response indicating
concurrence or non-concurrence to the letter of satisfaction within forty-five
� days.
D. This Agreement does not increase or diminish the ability of any person or class
of persons to exercise their rights under Title VI,.Section 109, and/or the Fair
Housing Act or any other federal, state, or local civil rights statute or authority.
This Agreement does not create any private right of action for any person or
class of persons not a party to this Agreement.
E. The City agrees to refrain from discriminating against any person in violation of
Title VI, Section 109; and the Fair Housing Act and to refrain from retaliating
against any person who has exercised his/her civil rights;has participated in any
mannex with respect to the above-xeferenced compliance review; or participated
in any manner in protecting the civil rights of the Recipient's residents. �
�F. This Agreeinent does not affect the ability of HUD or the City to take action �
under appropriate statutory or regulatory authorities unrelated to issues covered
� by this VCA. � .
G. This Agreement will be a public document when placed on the City Council•
Agenda. A copy o£this Agreement shalt be mada available to any person for
his/her review,in accordance with law.
H. The City shall provide a copy of reporting data it generates to comply with this
� Agreement to any person,upori request,in accordance with the City's
information and privacy practices and pxocedures and applicable law. In no
event will public disclosure include personally identifiable information
regarding applications or residents.
I. The Department acknowledges receipt and approval of the City's December 5, �
2012,response to the withholding of the City's SEMAP score. The City's
. response proposed corrective actions implemented by the City to address areas
of noncompliance with Housing Choice Voucher z'egulations revealed during the
on-site compliance review. Included in the proposed corrective actions from the
City was an intention to increase the City's lease up efforts to award 1,063
vouchers on an annual basis by June 2415. The Department approved the
implementation of this goal. �
� J. To the extent that any priox HUD guidance(wxitten or oral)in the form of
waivers, administrative decisions,letters;opinions, or similar guidance .
regarding the City's obligations,responsibilities,or technical requireinents
� under Title VI,Section 109,and/or the Faix Housing Act,conflicts with this
Agreement,this Agreement is the controlling document from the effective date
of this Agreement. ,
. K. This Agreement does not supersede, or in any manner change,the rights, �
� obligations,and responsibilities of the parties under any and all court orders, or
settlements of other controversies involving compliance with civil rights .
statutes. �
8 . .
L. This Agreement does not affect any requirements fox the City to comply with all
requirements of Title VI, Section 109,andlor the Fair Housing Act not
addressed in this Agreement.
� M. The City will provide in alternate fonmats,upon request,all notices, .
correspondence and/or communications.that this Agreement requires to be
disseminated. See 24 C.F.R. § 1.6(b). �
� N. The City shall hire or appoint appropriate personnel to oversee compliance with
� the provisions of this Agreement. � .
IV. SPECIFIC PROVISIONS .
A. Agreement Administrator �
(1) Within forty-five(45)days of the effective date of this Agreement, the City
shall hire or appoint an Agreement Administrator and provide HLTD with
the name of the individual designated to serve as such and a copy of the
Administrator's resume and/or curriculum vitae.
(2) The individual fulfilling the role of Agreement Administrator must have
prior experience that demonstrates k.nowledge of and expertise concerning
. the following: Title VI; Section�109; the Fair Housing Act; the regulations
. . implementing those statutes; as well as requirements related to AFFH; and �
Section 8 and CDBG Program and reporting requirements.
�(3) The Agreement Administrator will report dixectly to the City Manager and
shall serve as the point of contact fox the Department regarding this
Agreement. �
(4) The Agreement Administrator will perform the following functions:
a. Coordinate the City's connpliance with Title VI,Section 109,the Fair
Housing Act, and HLTD's implementing regulations,as well as
compliance with the Recipient's obligations to AFFH; �
b. Coordinate the innplementation of the provisions of this Agreement;
c. Coordinate the activities of the City's personnel who will assist with
both the im.plementation of HUD's regulations and this Agreement.
� � d. Submit reports,records and plans required by this Agreement to the
. Department. �
(5) Administration of this Agreement by the Administrator and the successful
accomplishment of the objectives laid out herein shall riot be iinpaired by a
lack of sufficient resources. The City shall pursue and make effective
. resource deternunations so as to ensure the success of the Agreement. The
City is required, absent undue hardship,to comply.
(6) In the event the Agreement Administrator resigns or is otherwise terminated
prior to the termination of this Agreement,the City shall designate an
. 9
Acting Agreement Administrator within fou�teen(14) days of the
resignation or termination. Upon designation,the City shall provide HUD
with the name of the individual selected to serve as the Acting Agreement
Administrator.
(7) Within forty-five(45) days of the termination or resignation of the
Agreement Administrator,the City shall select a new Agreement
Administrator. Upon designation,the City shall provide HUD with written
notice of the Agreement Administrator and a copy of the Agreement
. Administrator's resume and/or curriculum vitae.
B. Analysis of Impediments (AI)
(1) Within ninety(90) days of the effective date of this Agreement,the City
shall commence an update of the 2010 AT to include the following:
a. A history of race relations in Dubuque from at least 1987 to the present,
and how the recent history of race relations in Dubuque affects fair �
housing choice within the City.
b. A section addressing City policies and practices that operated as
�. impediments to fair housing choice.
c. A section addressing HCDD PHA specific policies that operated as
. impediments to fair housing choice. .
d. The Fair Housing Action Plan shall include within the identified
� � activities, specific, concrete steps the City shall take to overcoine
identi�ed impediments, and to address the discriminatory effects of the
� City's reduction of the Section 8 program. The activities shall include
efforts the City will take to integxate affordable housing that is fully
. available without regard to race or ethnicity throughout all of the ,
communities within the City and to create equal housing opportunities.
General.statements and/or goals without identi�ed implementing steps �
� will not be sufficient. �
(2) Within one hundred and eighty(180)days after commencing an update to
� . the AI,the City shall submit the completed and updated AI to the
Department. �
a. The Department shall provide approval or disapproval and comments
on the updated AI within sixty(60) days of receipt of the AI. .
b. In the event of the Department's disapproval,the City will have an
� � additional sixty(60)days from the receipt of the Department's
comments to provide an updated AT. �
c. Any further negotiations between the parties will occur within a thirty
(30) day time frame for approval or disapproval.
. d. Any amendments will be considered approved if the City does not � �
receive a response from the Department within sixty(60)days.
, 10
C: Amendments to the Section 8 Administrative Plan (Admin Plan):
(1) Within ninety(90)days of the effective date of this Agreement,the City �
shall submit either a new Admin Plan or an Admin Plan with the following
amendments to the Departmene for review and approval. ,
� a. Each Section of the Admin Plan is detailed below: �
i. Application Process � .
(a) "Availability of Application":
I. Include a clause requiring the PHA to provide HUD with
notice and justification for, and to receive HUD approval,
prior to accepting only applications meeting certain criteria
such as limiting the waiting list to applicants with local
preference only.
II. Allow application packets to be mailed.
IIT. Cross reference the section on Purging the Waiting List.
• (b) "Program Outreach"
. I. Insert the Outreach Plans specified in this Agreement to �
the section on Program Outreach.
(c) "Receipt of Applications" .
I. Include clause that whenever the Housing Commission. . .
directs staff to suspend taking applications,notice of such ' .
suspension shall be given to HUD with evidence that .
applicants have at least a year wait prior to being offered
assistance.
(d) "Purging the Waiting List" �
I. Specify exact Purging Policies,including whether
applicants will be contacted in groups or all at one time,when
� purges shall occur, and the time allotted for applicants to
respond to HA inquiry
� (e) "Local Preferences"1
I. Include that notice and final HUD approval is required
� whenever the PHA intends to change the preference system.
A. The Department will acknowledge receipt of the
� City.'s request to change the preference system within
twenty(20)days.
1 The Department recognizes that the City has made changes to its preference point allotments since the
• time of the review,including the removal of the residency preference point system. This information is
included so as to contractually bind the City to this update.
� 11
B. Tne Department shall provide approval or
disapproval of the proposed preference system,and
comments,if any,within sixty(60) days of receipt.
II. Include that when giving notice to the Department that a
local preference change is being sought,evidence supporting
.the need for the change must also be provided 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.
� III. Remove all residency preference point allotments. �
N. Remove section detailing residency preference
verification.
(� "Certification and Verification of Preference Quali�cation"
. �I. Remove language detailing verification of
� residency.
II. Ensure consistency amongst provisions on �
verification of disability.
ii. "Waiting List Selection"
. (a) Clarify how point system,if used,operates and indivicluals are
� ranked. Include explanation clarifying that single member
households consisting of disabled, elderly and displaced single
member households are housed prior to serving all other single
member households,regardless of points, as explained in the
� Section of the plan defining family, and family assistance.
� (b) Include information explaining the accumulative nature of
point system,if used,i.e. that individuals qualifying for more
than one poinX preference accumulate the points for all
. preferences. .
iii. "Eligibility and Denial of Assastance" �
(a) "Denial of Application"
� I. Insert a clause requiring the City to track.all families
denied admission to the program based on the
� requirements and standards of this part, and to submit a
bi-annual report on these families,including data on
race,national origin, address,age of applicants,and
� familial status and disability. The report 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 � .
� 12 � .
PHA learned of the activity or occurzence, and what if
, any, alternate option or information was provided to
the family at the time of denial or termination. The
Department reserves the right to require additional
changes to the Administrative Plan,if information
� revealed throughout the bi-annual reporting process
indicates non-compliance with Federal Civil Rights
law or non-compliance with this Agreement.
(b) "Ineligibility due to Criminal Background"
I. Insert a clause requiring the City to track all
families denied admission to the program based on
' the requirements and standards of this part,and to
` submit a bi-annual report on these families,
including data on race,national origin, address, age
of applicants,and familial status and disability. The
report shall in�lude 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 a copy of the denial
or termination notice or other information provided
� to the family at the time of denial or ternunation.
The Department reserves the right to require .
� additional changes to the Administrative Plan,if
� infoxmation revealed throughout the bi-annual
reporting process indicates non-compliance with
� Federal Civil Rights law or non-compliance with .
this Agreement.
iv. "Termination"
� (a) "Housing Assistance Termination." . �
T. Insert a clause requiring the City to track all families
, . denied admission to the progxann based on the requirements
and standards of this part, and to submit a bi-annual report on -
� � these families,including data on race, national origin, address,
age of applicants, and familial status and disability. The
� report shall include the specific activity or occurrence
identified by the PHA in inaking the determination to deny
admission to the program or to tenminate 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 ternunation. The Department reserves
the right to require additional�changes to the Administrative
Plan,if information revealed throughout the bi-annual
13
� � reporting process indicates non-cornpliance with Federal Civil
Rights law or non-compliance with this Agreement.
v. AdditionalItems
(a) "Managing the On-Going Operation"
� I. Include language specifying that any proposals to
decxease the size of the program must be based on evidence
. contained within the Con Plan that establishes the need for the
vouchers within the coxnmunity has decreased significantly
from the creation of additional affordable housing through
other programs or organizations. The PHA. shall endeavor to
maintain not less than 95%utilization rate based on the greater
of unit months leased or 95% of the dollar amount subject to :
the HAP budget. Any proposals to decrease the size of the
program must be submitted to the Department for verification
� of the evidence presented in the Con Plan indacating the
reduced need and Departmental approval prior to
implementation.
� b. HUD will provide its approval or comments to the proposed
amendments to the Administrative Plan within n'inety(90)days of
receipt.
c. Within foxty-five (45)days of HUD's approval,the City shall submit
the proposed amendments to the Administrative Plan to the Resident
. � Advisory�Board,followed by the City's Housing Commission and for
. � public comment pursuant to 24 C.F.R. §§ 982.54, 903.17 and 903.21.
d. Within thirty(30)days of the close of the public comment period and if
there are no public comments as described above,the City Council
� shall provide final approval and the City will fully adopt and implement
the amended Administrative Plan. �
� e. In the event that public comments require a change to any of the
amended Administxative Plan sections that relate to requirements of
� this Agreement, within thirty(30) days of the close of the public
comment period,the City shall submit proposed revisions of the
amended Administrative Plan to HUD for approval. Within thirty(30)
� days of HUD approval, the City's Board shall provide final approval
and the City will fully adopt and implement the amended
Administrative Plan.
• f. Within fifteen (15)days of the adoption of the new Administrative Plan
� the City shall notify all participantss of policy changes,rules and
� procedures by mailing and by publishing public notice pursuant to 24
C.F.R. § 982.206 that the wait list is open.
� 14
D. 2015 Consolidated Plan (Con Plan)
(1) The 2015 Con Plan shall contain the following:
a. The section of the Con Plan entitled 5ection 8 Housing Assistance, �
shall contain a narrative explaining the City's actions that led to the
significant,permanent decrease in the Section 8 Program during AY .
2010. The narrative sha11 include the effect this decrease had on the �
lack of affordable housing in Dubuque,the loss of funds to the
� commuriity,the effect on African Americans who were previously
eligible to participate iri the program,the African American community
in Dubuque, and the worsening of the impediments identified in the AI.
' , b. The section of the Con Plan detailing affordable housing needs must
provide both a table and map summarizing where affordable housing is �
generally located by census tract,the number of units, and whether and
what kind of assistance the units receive(project_based assistance,
tenant based assistance,or other,if any). This will allow the City and
� the Department to track the location of affordable housing and type,
� specific addresses of voucher holders are not required ox desired,rather
� ari accounting of the number of units per census tract.
c. The section entitled Barriers to Affoxdable Housing must include a
narrative identifying and pxionitizing Dubuque's need for affordable
housing throughout Dubuque,and how Dubuque will increase
affordable housing opportunities and fair housing choice throughout
• Dubuque.-This narrative will take into account the information
presented in the updated AT, as well as the infornaation identified in the
narrative described in Section 1V.B.l.a. of this Agreement and shall
speci�ically identify and addxess the needs of minority populations. �
d. The Fair Housing Action Plari shall include within the identified
activities specific,concrete steps the City shall take to overcome . .
identified impediments,and the effects of the City's reduction of the
. Section 8 Program. The activities shall include efforts the City will
take to integrate affordable housing that is fully available without � .
regard to race or ethnicity throughout all of the communities within
Dubuque and to create equal housing opportunities. General statements
andlor goals without identified implementing steps will not be
sufficient.
. . � e. The Strategic Plan portion of the Con Plan which summarizes the �
priorities and specific objectives of the City must include a specific
objective statement which prioritizes addressing the allegations and
�findings contained in the LOF,including how federal funds that are
reasonably expected to be available will be used including,but not �
limited to,addressing the effects of the City's actions and policy
. changes in 2009 and 2010 to the Section 8 program. `
�
� 15
f. The Con Plan shall include a list of specific proposals that will expand ,
opportunities for Section 8 Program applicants and participants;
g. A description of the manner in which the City will provide financial or
other assistance to the operations of the Section 8 Program, such as
� through the reallocation of costs, or coordination of CDBG programs
with Section 8 Programs to produce sustained and substantiai benefit to
participants. The City is required, absent undue hardship,to comply.
h. The 2015 Con Plan shall contain a provision entitled Factors Affecting
. Affordable Housing in Dubuque. This section shall specifically
identify any projected increase or decrease in any of the available
affordable housing in Dubuque. If a decrease is projected,for any
reason,in any of the available affordable housing, a narrative
explaining the cause of the decrease,how it affects the AT,the Con
� Plan,and other City Planning, as well as how the City aims to mitigate
and address the decrease shall be provided,both within the narrative
contained within.this section, and throughout the entirety of the Con
Plan,Annual Plan,PHA Annual Plan, and PHA 5-Year Plan.
i. The 2015 Con Plan shall contain a provision entitled Strategy
Development pursuant to the June 17,2013,Title VI Letter of
Findings. This section shall detail the strategies developed by the City
to address the first three Corrective Actions identified by the .
� Department: �
� i. A strategy to zncrease housing opportunities throughout Dubuque
which takes into account the needs of minority populations;
ii. A strategy to provide affordable housing that is fully ava�ilable
without regard to race or ethnicity throughout all the communities
� within Dubuque to create equal housing opportunities; and
iii. A strategy to take affirmative steps to provide opportunities for
desegregation of areas of racial and ethnic concentration and
. poverty, which may include,but would not be limited to,
expanding HCDD program opportunities for applicants and
� � participants.
� 16
(2) HUll will review the 2015 Con Plan upon zeceipt. The plan will be deemed
approved forty-five(45) days after HUD receives the plan, unless before
that date HLTD has notified the jurisdiction that the plan is disapproved.
a. If the Department disapproves the 2015 Con Plan,within fifteen(15)
days after HUD notifies the City that it is disapproving the plan,it will
inform the City in writing of the reasons for the disapproval and what '
actions the City can talce to meet the criteria for approval.
b. The City may revise and/or resubmit the 2015 Con Plan within forty
five(45) days after the first notification of disapproval.
. " c. The Department shall respond to appxove or disapprove within thirty
(30)days of receiving the revisions or resubmission.
E. Consolidated Annual Performance and Evaluation Report(CAPER)
. (1) All CAPERs submitted yearly throughout the course of this Agreement
. pursuant to 24 C.F.R. § 91.520 shall report on the specific actions taken by
the City to address.the allegations and findings contained in the LOF.
. (2) The portion detailing CDBG reporting requirements as required by �
24 C.F.R. § 91.520(d) shall include information on race and ethnicity of the �
individuals assisted with CDBG�funds, as well as a report on how CDBG .
� funds were utilized to assist the Section 8 program. �
(3) HUD shall review the report and determine if it is satisfactory.
F. Annual Action Plan(AAP)
(1) The CDBG AAP submitted for the Fiscal Year immediately following the
effective date of this Agreement shall reflect the City's obligations under
� this Agreement in light of the Department's Letter of Findings.� The Action
Plan shall include specific affordable housing objectives,to address the
diminished availability of affordable housing in Dubuque, and shall further
include the following additions to the sections identified below:
� a. The concise executive summary shall include a portion dedicated to
explaining the actions taken by the�City in late 2009 and throughout
2010 that led to the allegations and findings contained in the LOF, and
the need to consider and address the allegations and�ndings identified
by the Department in all of the Recipient's reporting,recordkeeping
� and objectives during the course of this seven(7)year Agreement.
b. The Annual Objectives section shall identify and summarize the annual
objectives that the City expects to achieve during the forthcoming fiscal
year that will specifically address the allegations and findings contained
. in the LOF.
17 -
c: The Activities to be Undertaken section shall provide a description of
the activities the City will undertake to address the allegations and
findings contained in the LOF.
d. The Affordable Housing section shall also include specific one year
goals to Affirmatively Further Fair Housing,by including a plan to
increase the number of minoxities, specifically African American
households,to be provided affordable housing through activities that
. provide rental assistance,family self-sufficiency programs,or
homeownership assistance. This may include marketing and
information sharing of the programs availability and participation
benefits. . �
e. �The Public Housing section shall include a description of the manner in
which the City will provide financial or other assistance to improve its
. operations and address the allegations and findings in the LOF. The
. City is required, absent undue hardship,to comply.
� � f. The Barriers to Affordable Housing section shall include actions the
. City plans to take to remove or ameliorate the negative effects of the
Title VI Findings. �
� g. Additionally, the AAP may not generally reference the Fair Housing �
� Action Plan inclucled in the Amended Con Plan,but must specifically
provide the details required by the foregoing provisions within the AAP � .
itself. � �
� (2) The Department will review the plan upon receipt. The plan will be
deemed appxoved forty-five(45) days after HUD receives the plan,unless
before that date HUD has notified the jurisdiction that the plan is
disapproved. �
a. If the Department disappraves the plan,within fifteen(15) days after
HUD notifies the City that it is disapprovirig the plan,it will inform the . �
City in writing of the reasons for the disapproval and what actions the
City can take to meet the criteria for approval.
� b. The City may revise and/or resubmit the�lan within forty five(45)
days after the first notification of disapproval.
c. The Department shall respond to approve or disapprove within thitrty _
� (30)days of receiving the revision or resubmission.
G. 2015 PHA 5-Year Plan
a. The 2015 5-Year Plan shall contain the following information in the
identified Sections,as based on Sections provided in previous 5-Year
Plans.
i. Section 1.0—Indicate that as a result of evidence obtained during
the on-site review indicating noncompliance with Housing Choice
� 18
Voucher regulations 24 C.F.R. §§ 982.207(b) and 985.3(n)for the
fiscal year ending 7une 30,2012,the City's SEMAI'rating of
"high performing"was withheld. The City implemented changes
to the program, and for the fiscal year that ended June 30, 2013,
the City's SEMAP rating was designated as "high performing."
ii. Section 2.0—Provide the number of Vouchers currently utilized
as well as baseline information. Include a brief explanation of the
� voucher freeze,the reduction in vouchers, and the resulting LOF.
iii. Section 5.1 -Add the following clause to subsection a"that is free
� from discrimination and available to all regardless of race,color,
religion, sex,familial status,national origin, or disability."
� iv. Section 5.2—Subsection 1,shall highlight the need to increase or �
� at a minimum maintain the number of vouchers in use withiri the
City, to ensure vital housing resources are available to those who
• need them,highlighting that the Mission Statement provides that
"The provision of shelter is a basic human need." Subsection 2, -
� objective b, shall be amended to read, "continue to •.
. develop/increase awareness of the benefits conferred by the
assisted housing program to participants and the community:" �
Subsection 6 shall be moved to Subsection 1, and shall include a .
narrative explaining that due to recent Title VI Findings stemming
from HCDD activities in 2009 and 2010, AFFH is the first and
� � foremost objective and goal.of the HCDD. Under"Other PHA.
Goals and Objectives," Subsection 7, amend to include(c)
Increase or at a minimum,maintain vouchers utilized by
� - individuals in the community to insure individuals with
accessibility needs can seek and find housing that meets those
� needs.
v. Section 6.0 PHA Plan Update—The narrative shall include a
timeline of the City's activities that led to a Finding of
Noncompliance under Title VI and the City's efforts to mediate
the effects of these activities by entering into this Agreement and
other anticipated steps.
vi. Section 6.0 PHA Plan Elements-
� . Accepting Application: remove the clause"or limited to applicant
households within certain criteria."
Availability of Application: remove the clause that"or may accept
only applications meeting certain criteria such as limiting the
waiting list to applicants with local preference only."
Local Preferences: Delete the final paragraph pertaining to
residency preferences.
vii. Section 6.0 Financial Resources—In 2010 this paragraph provided
� that the Section 8�Program administrative costs are being
19
supplemented by General Furids in the amount of approximately
$100,000 as designated by the City of Dubuque City Council to
assist with the deficit in funding from the federal government. In
2015 this section must be amended to explain that the
administrative fees received by the City weze reduced when the
program was deczeased by over 200 participants. It should also
provide an explanation of what services are.covered under the
adminis�rative fees,including the identification of specific
� positions for which salaries are covered.
viii.Section 6.0 Operation and Management, Section 3,paragraph 13, �
and paragraph 14 must include information requiring the
mandatory tracking and reporting detailed in Sections .
• IV.C.(1)(a)(iii)(a)(n;IV.C.(1)(a)(iii)(b)(n; and
N.C.(1)(a)(iv)(a)(n.
ix. Section 6.0 Civil Rights Certi:fication—Shall include a narrative
� explaining the events of 2009 through 2010 and the allegations
� and findings contained within the LOF, and the City's intention to
ameliorate the harm caused by the City's actions during that time,
� by complying with Federal Civil Rights law and certifications to
AFFH,insuring equal access to Section 8 vouchers and pursuing
equal access to affordable housing throughout the HCDD's
jurisdiction. �
. x. Section 7.0—Include a narrative explaining the Section 8 Program
� as it pertains to homeownership,its importance in the community,
� . how many are currently served by the program,the financial
benefit the City receives from the program, and how the City
intends to maximize the program.
xi. Section 9.0—Housing Needs—Include within the narrative a
description of affordable housing needs in I�ubuque, and the need
to maintain the supply of vouchers to address this need.
. xii. Section 9.1 —Strategy for Addressing Housing Needs—Include an
explanatory note that the number of individuals on the waitlist
was impacted by the actions taken by the City, including the
' closing of the wait list, and the purge in early 2010,which
removed 582 families from the waitlist, 387 of whom were
African American,approximately 67%, and that this section
therefore may not accurately reflect what the needs were when the
plan was drafted.
� xiii.Section 9.1 —Strategies: .
Paragraph 1)Need: Shortage of affordable housing.for all eligible �
populations- amend to include within Strategy 1 the requirement
that any change in lease up rates that would result in a decrease in
the number of vouchers utilized must be proposed and approved by
20 �
� the Department. Bullet points 2 and 3 shall include the words
. "Increase or"prior to Maintain.
� Paragraph 6)Need: Specific Family Types: Races or ethnicities .
with disproportionate housing needs,Strategy 1 —amend to include
. � a bullet point that provides marketing to minority races and
ethnicities, specifically to African Americans,including nnarketing
� on the Homeownership Program and corollary self-sufficiency
programs. Strategy 2—include a narrative summarizing the LOF
and efforts to correct the effects of the City's previous actions in
2009 and 2010. Include within the Reasons for Selecting
Strategies the need to address and correct the allegations and
findings contained in the LOF.
� xiv. Section 10.0-Additional Information,subsection(a)Progress in
Meeting Mission and Goals—Provide a narrative explaining the
need to address the allegations and findings contained in the LOF,
the goals identified by the City to do so,and progress.made on
meeting those goals. For the Goal of Ensuring Equal Opportunity
� in Housing for all Americans, a section will be added to explain
that while minority participation in the program and on the .
waiting list has varied,it decreased following the implementation
of policy changes in 2009 and 2010. The City will include a new
goal to allow minority participation to naturally fluctuate
. � consistent with market demand and the new outreach programs
and marketing plans and the elimination of the"local resident
� . prefexence"which led to the negative impact on African American �
participation in the program and on the waiting list.
xv. Section 10,0—Significant Amendment and Substantial Deviation
—Amend the narrative to provide that for the duration of this
Agreement that all changes to admissions policies,waiting list
organization, additional programs; changes to interim rent policies
and interim determinations affecting applicants and participants
will be reported to the Department prior to implementation.
xvi. Updated Certifications,submitted in conjunction with PHA 5-
Year Plans, affirnung the City's intention to comply with Federal
. non-discrinnination laws shall be signed and submitted in -
concurrence with the signing of this Agreement,reaffirming the
City's obligation to comply and AFFH.. �
(2) Additionally,if a section of the Plan includes information on a provision
� that specifically addresses a corrective action,the City shall identify that the�
corrective action, and what it is intended to address. '
� (3) Pursuant to 24 C.F.R. § 903.23,HUD will provide its approval or �
disapproval and comments to the proposed Plan within seventy-five(75)
days of receipt. HUD may disapprove the Amended 5-Year Plan if it fails
. to include the foregoing or is not otherwise consistent with applicable
21
Federal laws and regulations,or remains inconsistent with the information
and data available to HUD.
� (4) Upon receiving HUD approval of the amendments,HCDD shall follow the �
requirements of 24 C.F.R. § 903.21(a)(1)requiring an open meeting.
(5) The 2015 5-Year Plan sha11 also contain a provision entitled Factors
Affecting the Availability of Affordable Housing in Dubuque. This section
shall specifically identify any projected increase or decrease in the
availability of affordable housing in Dubuque. Tf a decrease is projected,
for any reason, a narrative explaining the cause of the decrease,how it �
affects the AT,the Con Plan, and other City Planning, as well as how the
� City intends to mitigate and address the decrease by providing or
. encouraging alternative affordable housing options shall be provided,both
� within the narrative contained within this section,and throughout the
� � entirety of the Con Plan,Annual Plan,PHA Annual Plan, and PHA 5-Year
. Plan. �
H. PHA Annual Plans
(1) The City,for the duration of this Agreement,is no longer eligible to submit .
streamlined plans and will commence submitting full PHA Annual Plans on
a yearly basis. These plans will contain the information required by
24 C.F.R. § 903.7, as well as the following:
a. A narrative explaining the history of race relations in Dubuque going
back to at least 1987,as well as the activities of the City in 200g and
2010 that led to the issuance of the LOF, and the City's commitment to
pursue.goals and objectives proposed by the City and identified in the
Annual Plan to ameliorate the effects of the City's previous actions.
� b. The Other Admissions 1'olicies section,required by 24 C.F.R. §
903.7(b)(3), shall include a narrative explaining why the residency
preference has beem removed as part of this Agreement, and how it will
not be reinstated throughout the duration of this Agreement. �
c. The Statement of Financial Resources section,required by 24 C.F.R. §
. 903.7(c), shall include a discussion of how the City will pursue
additional funding and coordinate CDBG resources pursuant to this
. Agreement to assist the Section 8 Program or Section 8 Program
participants. ,
d. In identifying the basic criteria the PHA will use for determining a
substantial deviation from its 5-Year Plan and Annual Plan andlor a
significant amendment or modification to its 5-Year and Annual Plan,
required by 24 C.F.R. § 903.7(r),the Plan shall state that pursuant to
this Agreement,the PHA broaden the definition so as to require that all
. 22
amendments,modifications and deviations shall be reported to the
. Department and must receive Departmental approval prior to �
. implementation.
(2) The first Annual Plan shall be submitted in conjunction with the proposed
Amended 5-Year Plan. �
. (3) Pursuant to 24 C.F.R. § 903.23,HUD will provide its approval or
disappxoval and comments to the proposed Annual Plan within seventy-five
(75) days of receipt. H[JD may disapprove the Annual Plan if it fails to �
� include the foregoing or is not otherwise consistent with applicable Federal
laws and regulations,or remains inconsistent with the information and data
available to HUD.
I. Employee Education and Training
(1) Within one hundred and eighty(180) days of the effective date of this
Agreement, all City Council members,Housing Commission members,
Long Range Planning Commission members, Community Development �
. � Advisory Commission members,the Mayor, as well as the current
administrators,managers and staff of the following departments: HCDD,
Human Rights Department,Planning&Zoning Department,Police
Department and City Manager's Office(hereinafter the core group).shall
receive the first of seven annual training sessions,consisting of a minimum
of three(3)hours of training related to the City's duties under this
Agreement, as well as applicable civil rights statutes. � .
a. The training shall cover topics including
i. 7inplementation of the VCA;
ii. General nondiscriminatory requirements under Title VI, �
� Section 109, and AFFH obligations.
iii. General nondiscriminatory requirements under the Fair Housing
Act.
b. The City shall submit the name and qualifications of the person and/or
organization providing the training to the Department within forty(40) �
days of the effective date of the Agreement. _
c. The Department shall provide its disapproval,approval and/or � -
� comments within fifteen(15) days of receipt of the information.
d. The proposed training shall be considered appxoved if the City does not
. receive a response from the Department within forty-five(45) days.
� � 23
(2) Within thirty(30) days of each new employee's entry date of service,the
City shall require new employees to review the materials provided during
' the previously conducted training as set forth in Paragraph I.(1) above.
New employees shall participate in the regularly scheduled annual training
when it occurs. �
(3) The training detailed in Paragraph N.J.(1)of this Agreement shall be held
each year,pursuant to a schedule submitted by the City within thirty(30)
days of the anniversary of the signing of this agreement,for the duration of
this Agreement.
(4) The Agreement Administrator shall maintain records of the dates the
training sessions were conducted, the names and titles of people in
attendance, and the agenda for the training. These records shall be included
� . in the Status Reports submitted to the Department throughout the duration
of this Agreement. . .
J• Notice and Publication
(1) Within sixty(60)days of the effective date of this Agreement,the
Agreement Administrator shall distribute a letter describing the terms of
this VCA to the Core Group.
(2) Within sixty(60) days of the effective date of this Agreement,the �
Agreement Administrator shall distribute a copy of the VCA to members of
the City's City Council members,Housing Commission members,Long
Range Planning Comrnission members,the Mayor and City Manager, as
well as the Core Group that will be responsible for the implementation of
the actions set out in the VCA. �
K. Outreach Plan
• (1) Within ninety(90)days of the effective date of this Agreement,the City
shall develop and submit to the Department an Outreach Plan to ensure that
information regarding the City's Section 8 Program,including the opening
of the waitlist and the corollary programs offered by the City, reaches
minority populations within Dubuque and surrounding interstate areas.
While the City does not operate public housing stock, and is therefore not
obligated to use th�Public Housing Occupancy Guidebook(PHOG),for
purposes of this�4greement,the CitX will perform outreach consistent with _
. � Section 1.3 of the PHOG,to reach those identified as the populations less
likely to apply. .
a. The Department shall provide approval and comments,if any, on the
outreach plan within thirty(30)days of receipt of the plan.
� b. If the Department disapproves the Outreach Plan,the City will have
forty-five(45) clays to submit an updated Outreach Plan.
c. Any further communications between the parties regarding the
Outreach Plan will occur within a thirty(30) day time frame for
approval,or disapproval with comments.
� 24
d. The Outreach Plan shall be considered approved if the City does not
receive a response from the Department within sixty(6Q)days.
(2) Within ninety(90) days of the effective date of this Agreement, the City
. shall develop and submit to the Department an Outreach Plan to ensure that
� information regarding the City's Homeownership Program reaches minority
populations within Dubuque and surrounding interstate areas.While the
City does not operate public housing stock,and is therefore not obligated to
use the Public Housing Occupancy Guidebook(PHOG),for purposes of this
Agreement, the City will perform outreach consistent with Section 1.3 of
the PHOG,to reach those identified as the populations less likely to apply.
a. The Department shall provide approval or disapproval and comments,
if any,on the Outreach Plan within thirty(30) days of receipt of the
plan.
b. If the Department disappxoves the Outreach Plan,the City will have
forty-five(45) days to submit an updated Outreach Plan.
� c. Any further communications between the parties regarding the �
Outreach Plan will occur within a thirty(30)day time frame for
approval,or disapproval with comments.
d. The Outreach Plan shall be�onsidered approved if the City does not
receive a response from the Department within sixty(60) days.
(3) The City shall iznplement the Outreach Plans within thirty(30) days of �
receiving the Department's approval. �
(4) As evidence of the implementation of the Outreach Plans,the City shall
submit copies of the noeices provided to community agencies and in the
� Recipient's quarterly newsletters,copies of advertisements purchased in
local papers,or receipts of other advertising actions,in the Status Reports
� submitted to the Department throughout the duration of this Agreement. �
(5) The City shall add questions to the Section 8 Program application, as well
as the Homeownership Program application,that tracks how an individual
, became aware of the program, and whether the applicant was aware of the
� � Recipient's Outreach activities. This information, along with race data,will
be tracked and monitored and submitted to HUD in the Bi-Annual Status
Reports as detailed below in Section V of this Agreement. If the
. information submitted to HUD indicates that the Outreach Plan is not �
successfully reaching a diverse pool of potential applicants as evidenced by
a lack of increased African Americans on the waitlist andJor a lack of
increased participation in the program by African American families,HUD
� may prescribe.additional Outreach activities that do not constitute an undue
burden, consistent with Section 1.3 of the PHOG.
25
L. Recordkeeping Reqnirements �
(1) Within one hundred and eighty(180) days of the effective date of this
Agreement,the City shall develop and submit the 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,�familiaUelderly or
� disability status;2)date of application; 3)date applicant placed on
� waiting list;4) applicant preference(s);5) date at�d time of offer; 6)
date of lease; and 7) date applicant removed from waiting list and
justification. .
(2) The City shall continue to submit a BWLR every six months for the
duration of this Agreement. Submissions of the BWLR shall occur on the
first day of the month for each six month period, and will include the wait .
list information for the immediately preceding six month period. The bi-
annual reporting periods are as follows: January 1 through June 30, due on
July 15; July 1 through December 31,due 7anuary 15. �
(3) The Depaxtment shall provide approval and comments,if any,on the report
within thirty(30) days of receipt of the report.
(4) The City shall maintain records for review by the Department for a
� minimum of five(5)years.after the close of the Agreennent. Records
subject to review include,but are not limited to: participant lists,wait lists,
ineligible applicant and applicant rejected lists, applications, and ternunated
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.
V.. .REPORTING AND COMPLIANCE REQUIREMENTS
A. Bi-Annual5tatns Reports(BSR) .
(1) This�Agreement establishes the requirement for the City to submit Bi-
Annual (Two�per�Annual Year) Status Reports to the Department detailing
the Recipient's ongoing progress towards compliance with.Title VI,
Section 109, and the Recipients AFFH obligations throughout the duration
� � of this Agreement.
26 � '
(2) The first of these BSR is due one hundred and eighty(180) days from the
effective date of this Agreement. Thereafter the BSR shall be due on the
� first day of the month for each six month period. The bi-annual reporting
periods are as follows: January 1 through June 30 due on July 15;July 1
through December 31 due January 15. �
(3) BSRs shall be submitted for the duration of the Agreement. The first BSR
shall contain:
a. Confirmation that the City has appointed or hired an Agreement . .
Administrator and that such person has begun to fulfill the duties set
� ont in Section IV of this Agreement.
b. Certification of or a report on the status of the items that have been
' completed pursuant to Sections N.B (Analysis of Impediments), C
, .(Amendments to the Admin Plan),G(2015 PHA 5 Year Plan),H(PHA
. Annual Plans),I(Employee Education and Training),J(Notice and
Publication),K (Outreach Plan), and L(Remedies for Recordkeeping
� Vi�lations).
c. A report on the xesults of the Outreach�Plan referenced in Section IV.K
of this Agreement,including copies of the advertisemenfs and
marketing required under Section N.K.(4), and as outlined in 24
C.F.R.903.2(d)(2) and the Public Housing Occupancy Guidebook, and
the data tracked by the City required pursuant to Section N.K.(5)of
� this Agreement. �
� d. Evidence that the employee training required under Section IV.I of this
Agreement has been completed.
e. Evidence that the notification requirements referenced in Section IV.Jof
this Agreement have been satisfied. �
f. . A breakdown of funds allocated and used in order to bring the HCDD
into Title VI, Section 109, and AFFH compliance during the phase
. being reported.
g. The data collected pursuant to sections N.C.(1)(a)(iii)(a)(1�;
N.C.(1)(a)(iii)(b)(n; and IV.C.(1)(a)(iii)(b)(n of this Agreement.
(4) The Second status report shall contain:
a. A report on the results of the Outreach Plan referenced in Section TV.K
of this Agreement, including copies of the advertisements and
_ �marketing requixed under Section IV.K.(4), and the data tracked by the .
City required pursuant to Section N.K.(5)of this Agreement.
b. Notice of the completion, submissions,or anticipated submissions of
the plans referenced in Section N. G(2015 PHA 5-Year Plan) and H
(PHA Annual Plans).
27
, c. A breakdown of funds allocated and used in order to bring the HCDD
into Title VI, Section 109, and AFFH compliance during the phase
being reported. :
d. The data collected pursuant to sections IV.C.(1)(a)(iii)(a)(n;
N.C.(1)(a)(iii)(b)(n; and N.C.(1)(a)(iii)(b)(n of this Agreement.
(5) The remaining status reports shall contain:
a. , Notice of the completion, submissions, or anticipated submissions of
the plans referenced in Section IV.F(Annual Action Plan)and H(PHA
Annual Plans).
li. A report on the results of the Outreach Plan referenced in Section TV.K
of this Agreement,including copies of the advertisements and
marketing required under Section IV.K.(4), and the data tracked by the •
. City required pursuant to Section N.K.(5) of this Agreement.
c. A breakdown of funds allocated and used in order to bring�the HCDD
into Title VI, Section 109, and AFFH compliance during the phase
being reported.
d. The data collected pursuant to sections N.C.(1)(a)(iii)(a)(I);
N,C.(1)(a)(iii)(b)(n; and IV.C.(1)(a)(iii)(b)(n of this Agreement.
B. General Reporting
(1) For purposes of this Agreement,if the reporting day falls on a weekend or a
federal holiday,the report will be due the first business dayafter the
. �weekend or holiday. �
(2) For purposes of this Agreement,all reporting and related material must be
mailed to:
. Betty Bottiger,Director
Region VII �
Office of Fair Housing and Equal Opportunity _
U.S.Department of Housing and Urban Development
Gateway Towex II,4th Floor
400 State Avenue
� Kansas City, KS 66101-2406
. (3) The submission of the Consolidated Plan,PHA Plan, and forthcoming
Annual Action Plans and Annual PHA Plans shall be submitted to the
Offices of Community Planning and Development�(CPD) and Public Indian .
Housing(PIH) and FHEO.
. 28
VI. ADDITIONAL RECORDKEEPING REQUIREMENTS �
A. During the term of this Agreement,the City shall maintain the following records
and upon request,the City shall make these records available for inspection to
appropriate Department employees.
(1) The City shall maintain records,including tHose required under HUD
program regulations,which disclose all individuals who apply and the
xnanner in which each application is treated,i.e., whether said individuals
. are accepted or rejected and the basis for any rejection.
(2) The City shall maintain all participant files,including applications for �
residency,xental agreements or leases,notices and letters to residents, and
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. � .
(3) 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 makeup of participants in Housing Programs, and copies of
denied applications.
(4) The City shall maintain copies of all race-related complaints,claims,
grievances,investigative records, including grievance process materials.
(5) The City shall maintain files containing documentation of its efforts to meet
�the obligations of this Agreement.
VII.IMPLEMENTATION,.MONITORING.AND ENFORCEMENT
A. HUD will monztox the City's implementation of this Agreement. During the
first year after the effective date of this Agreement,H[JD and the City will meet
� quarterly to discuss the City's progress towards meeting the requirements of this
Agreement. Thereafter, at its discretion,HUD may convene meetings with the
. � City's City Manager,Mayor,Housing and Community Development Director
. and/or Agreement Administrator andlor other appropriate personnel,to discuss
progress with implementing the terms of this Agreement, propose modifications,
� or conduct other business with respect to this Agreement.
B. HUD reserves the right to conduct periodic on-site record reviews to ensure —
compliance with this Agreement,Tide VI, Section 109 and the City's AFFH
obligations.
C. Prior to the expiration of any timeframe in this Agreement,the City nnay submit
a request for an extension supported by documentation of good eause. The
Department sha11 review requests for extensions and grant them if they are
� reasonable.
. D. In the event that the City shall fail to comply in a timely fashion with any
requirement of this Agreement without obtaining advance written agreement
. 29 .
from HUD,the Department may enforce the terms of this Agreement by any �
contractual, statutory or regulatory remedy available to HLTD.
E. Failure by HUD to enforce this entire Agreement or any provision in the
� Agreement with regard to any deadline or any other provision herein shall not be
construed as a waiver of its right to do so with regards to other deadlines and
provisions of this Agreement. Furthermore,HUD's failure to enforce this entire
Agreement or any provision thereof sha11 not be construed as a waiver o:F any -
� obligation of the City under this Agreement:
VIII. EFFECT OF NON-COMPLIANCE WITH THIS AGREEMENT
A. The parties intend to resolve their disputes with respect to non-compliance with
this Agreement in a timely and efficient manner. Upon a finding of non-
compliance,HUD will provide the City with a written statement specifying the
facts of the alleged non-compliance and a reasonable opportunity to resolve or
cure the alleged non-compliance; ox,in the alternative, an opportunity to
� negotiate in good faith HUll's findings of non-compliance. However,if the �
� Department determines that the City has not satisfactorily resolved the LOF,the
Department may take any of the following actions for non-compliance,in �
addition to actions permitted under HUD's statutory or regulatory authority but
• not,identified below. �
. (1) Any act(s) or omission(s)that violates the terms of this Agreement may
serve as grounds for HUD's declaririg a breach of the annual contributions
contract(ACC) with respect to some or all of the City's functions.
. 24 C.F.R. § 968.335(fl (2012). �
(2) Any act(s) or omission(s)that violates the terms of this Agreement may
serve as grounds for the United States to seek specific performance of any
or all of the provisions of this Agreement in federal court.
(3) Any act(s) or omission(s)that violates the terms of this Agreement may
serve as grounds for the Department to conduct additional compliance
reviews under Title VI,Section 109,AFFH or other appropriate statutory or
regulatory authority.
(4) Any act(s) or omission(s)that violates the terms of this Agreement may .
serve as grounds for the United States to pursue an action in federal court
for failure to comply with civil rights authorities.
B. The acts set forth in this Section VIII are not mutually exclusive, and the
Department has the right to pursue�any or all of these remedies or any other
rennedies available under law. �
� . 30
IX. SIGNATURFS
Dubuque,Iowa:
Michael Van Milligen
City Manager
Dubuque, owa
D,�'�.�°
Roy Bu
Mayor
Dubuque,Towa
�� f� /
��
,
Alvin Nash
Housing and Community Development Director
Dubuque,Iowa .
/ �"� � � �
�i��� 7
Date
For the U.S. Department of Housing and Urban Development:
`
- Be ty .Botti r zrector
Office of Fair Housing and Equal Opportunity
Region VII � -
�—
Frances leary,Director
Office of Public and Tndian Housing
Region VII
� �IAR 3 1 2014 .
Date
31