Consolidated Plan, Housing Ser.
US. Department of Housing and Urban Development
Office of Public and Indian Housing
Certification by State or Local Official of PHA Plans Consistency with
the Consolidated Plan
I,
TERRANCE M DUGGAN
the
MAYOR, CITY OF DUBUQUE
certify
that the Five Year and Annual PHA Plan of the HOUSING SERVICES DEPARTMENT
is
consistent with the Consolidated Plan of
crn OF DUBUQUE
prepared
pursuant to 24 CFR Part 91.
Certitication by State and Local Official ofPHA Plans Consistency with the Consolidated Plan to Accompany the HUD 50075
OMB Approval No. 2577-0226
Expires 03/31/2002
(7/99)
Page 1 of 1
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Certification for
a Drug-Free Workplace
U.S. Department of Housing
and Urban Development
CITY OF DUBUQUE IOWA
Applicant Name
HOUSING SERVICES DEPARTMENT - ADMINISTRATION OF SECTION 8 PROGRAMS
Pmgeam/Activity Receiving Federal Grant Funding
Acting on behalf of the above named Applicant as its Authorized Official, I make the following certifications and agreements to
the Department of Housing and Urban Development (HUD) regarding the sites listed below:
I certify that the above named Applicant will or will continue
to provide a drug-free workplace by:
a. Publishing a statement notifying employees that the un-
lawful manufacture, distribution, dispensing, possession, or use
of a controlled substance is prohibited in the Applicant's work-
place and specifying the actions that will be taken against
employees for violation of such prohibition.
b. Establishing an on-going drug-free awareness program to
inform employees ---
( I ) The dangers of drug abuse in the workplace;
(2) The Applicant's policy of maintaining a drug-free
workplace;
(3) Any available drug counseling, rehabilitation, and
employee assistance programs; and
(4) The penalties that may be imposed upon employees
for drug abuse violations occurring in the workpIace.
c. Making it a requirement that each employee to be engaged
in the performance of the grant be given a copy of the statement
required by paragraph a.;
d. Notifying the employee in the statement required by para-
graph a. that, as a condition of employment under the grant, the
employee will ---
(I) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her convic-
tion for a violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such conviction;
e. Notifying the agency in writing, within ten calendar days
after receiving notice under subparagraph d.(2) from an em-
ployee or otherwise receiving actual notice of such conviction.
Employers of convicted employees must provide notice, includ-
ing position title, to every grant officer or other designee on
whose grant activity the convicted employee was working,
unless the Federalagency has designated a central point for the
receipt of such notices. Notice shall include the identification
number(s) of each affected grant;
f. Taking one of the following actions, within 30 calendar
days of receiving notice under subparagraph d.(2), with respect
to any employee who is so convicted ---
(I) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfacto-
rily in a drug abuse assistance or rehabilitation program ap-
proved for such purposes by a Federal, State, or local health, law
enforcement, or other appropriate agency;
g. Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs a. thru f.
2. Sites for Work Performance. The Applicant shall list (on separate pages) the site(s) for the performance of work done in connection with the
HUD funding of the program/activity shown above: Place of Performance shall include the street address, city, connty, State. and zip code.
Identify each sheet with the Applicant nnme and address and the program/activity receiviog grant funding.)
Check here D if there are workplaces on tile that are not identified on the attached sheets.
I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith. is true and accurate.
Warning: HUD will prosecute false ciaims and statements. Conviction may result In criminal and/or civil penalties.
(18U.S.C. 1001, 1010, 1012; 31 U.S.C.3729, 3802)
x
17 APRIL 2000
form HUD-SO070 (3/98)
ref. Handbooks7417.1, 7475.13. 7485.1 &.3
Disclosure of Lobbying Activities
Approved by OMB 0348-0048
Complete this torm to disclose lobbying actlv"ies pursuant to 31 U.S.C. 1352
(See reverse side for Instructions and Public Reporting burden statement)
2. Status of Feders' Action
D ~: ~~¡~tf:~:~tcation
c. post-award
3. Report Type
II a.initial filing
LAJ b. material change
For Material Change Only
year (yyyy) - quarter
date ot last report (mmiddlyyyy)
1. Type of Federal Ac1lon
,-- a. contract
~ b. grant
c. cooperative agreement
d. loan
e. loan guarantee
f. loan insurance
4. Name and Address of Reporting Entity
~Prime DSubawardee
Tier_,ifknown:
5. If Reporting Entity in No.4 is Subswsrdee, enter Name and Address
of Prime
Congressional District, if known 2nd
6. Federal Department/Agency
Congressional DIstrict, if known
7. Federal Program Name/Description
DEPT OF HOUSING AND URBAN DEVELOPMENT
SECTION 8 PROGRAMS
8. Federal Action Number, if known
CFDA Number, if applicable
9. Award Amount, if known
$
10a. Name and Address of Lobbying RegIstrant
(if individual, last name, first name, MI)
b. Individuals Performing Services (including address. difterentfmm No. 10a.)
(last name, first name, MI)
(a«ach continuation sheet(s) . necessary)
13. Type of Payment (check all that apply)
D a. retainer
D b. one-time tee
D c. commission
D d. contingent fee
D e. deferred
D f. other (specify)
14. Brief Description of Services Performed or to be Performed and Date(a) of Service, Including offlcer(s), employee(s), or Member(s) contacted,
for Payment Indicated In ~em 11
11. Amount of Payment (check all that apply)
planned
12. Form of Payment (check all that apply)
D a. cash
D b. in-kind; specify: nature
value
(a«ach continuation sheet(s) if necessary)
15. Continuation sheets attached DYes D No
18. Information requested through this form is authorized by Sec.31 g,
Pub. L. 101-121, 103 Stat. 750, as amended by sec. 10; Pub. L. 104-
85, Slat. 700 (31 U.S.C. 1352). This disclosure of lobbying activities
is a material representation of fact upon which reliance was placed
by the above when this transaction was made or entered into. This
disclosure is required pursuant to 31 U.S.C. 1352. This information
will be reported to the Congress semiannually and will be available
for public Inspection. Any person who fails to file the required
disclosure shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure.
Signature
Print Name
Title
MAYOR
Telephone No. 11 g
'iRg-4170
Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt
of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required
for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress, or any employee of a Member of Congress in connection with
a covered Federal action. Complete all items that apply for both the initial filing and material change report. Refer to the implementing
guidance published by the Office of Management and Budget for additional information.
1.
Identify the type of covered Federal action for which lobbying
activity is andlor has been secured to influence the outcome
of a covered Federal action.
Identify the status of the covered Federal action.
Identify the appropriate classification of this report. If this is a
followup report caused by a material change to the informa-
tion previously reported, enter the year and quarter in which
the change occurred. Enter the date of the last previously
submitted report by this reporting entity for this covered
Federal action.
Enter the full name, address, city, state and zip code of the
reporting entity. Include Congressional District, if known.
Check the appropriate classification of the reporting entity
that designates if it is, or expects to be, a prime or subaward
recipient. Identify the tier of the subawardee, e.g., the first
subawardee of the prime is the 1 st tier. Subawards include but
are not limited to subcontracts, subgrants and contract awards
under grants.
If the organization filing the report in item 4 checks
"Subawardee", then enter the full name, address, city, state
and zip code of the prime Federal recipient, Include Congres-
sional District, if known.
Enter the name of the Federal agency making the award or
loan commitment. Include at least one organizational level
below agency name, if known. For example, Department of
Transportation, United States Coast Guard.
Enter the Federal program name or description for the cov-
ered Federal action (item 1). If known, enter the full Catalog of
Federal Domestic Assistance (CFDA) number for grants,
cooperative agreements, loans, and loan commitments.
Enter the most appropriate Federal identifying number avail-
able for the Federal action identified in item 1 (e.g., Request
for Proposal (RFP) number; Invitation for Bid (IFB) number;
grant announcement number; the contract, grant, or loan
award number; the application proposal control number as-
signed by the Federal agency). Include prefixes, e.g., "RFP-
DE-90-001."
2.
3.
4.
5.
6.
7.
8.
9. For a covered Federal action where there has been an award
or loan commitment by the Federal agency, enter the Federal
amount of the award/loan commitment for the prime entity
identified in item 4 or 5.
1 O. (a) Enter the full name, address, city, state and zip code of the
registrant under the Lobbying Disclosure Act of 1995 engaged
by the reporting entity identified in item 4 to influence the
covered Federal action.
(b) Enter the full names of the individual(s) performing ser-
vices, and include full address if different from 10 (a). Enter
Last Name, First Name, and Middle Initial (MI).
11. Enter the amount of compensation paid or reasonably ex-
pected to be paid by the reporting entity (item 4) to the
lobbying entity (item 10). Indicate whether the payment has
been made (actual) or will be made (planned). Check all
boxes that apply. If this is a material change report, enter the
cumulative amount of payment made or planned to be made.
12. Check the appropriate box (es). Check all boxes that apply.
If paymentis made through an in-kind contribution, specify the
nature and value of the in-kind payment.
13. Check the appropriate box (es). Check all boxes that apply.
If other, specify nature.
14. Provide specific and detailed description of the services that
the lobbist has performed, or will be expected to perform, and
the date(s) of any services rendered. Include all preparatory
and related activity, not just the time spent in actual contact
with Federal officials. Identify the Federal official(s) or
employee(s) contacted or the officer(s), employee(s), or
Member(s) of Congress that were contacted.
15. Check whether or not a continuation sheet(s) are attached.
16. The certifying official shall sign and date the form, print his/her
name, title, and telephone number.
Public Reporting Burden for this collection of information is estimated to average 30 minutes per response, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Please do not
return your completed form to the Office of Management and Budget; send it to the address provided by the sponsoring agency.
Send comments regarding the burden estimate or any other aspect of this collection of information, inciuding suggestions for reducing this burden, to the
Office at Management and Budget, Paperwork Reduction Project (0348-0046), Washington, DC 20503.
Authorized for Local Reproduction
Standard Form-LLL (7/97)
Certification of Payments
to Influence Federal Transactions
U.S. Department of Housing
and Urban Development
Office of Public and Indian Housing
CITY OF DUBUOUE IOWA
Applicant Name
Program/Activity Receiving Federal Grant Funding
HOUSING SERVICES DEPARTMENT - ADMINISTRATION OF SECTION 8 PROGRAMS
The undersigned certifies, to the best of his or her knowledge and belief, that:
(I) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
an agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connec-
tion with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into
of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have
been pmd or will be paid to any person for influencing or
attempting to influence an officer or employee of an agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this
Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL,
Disclosure Form to Report Lobbying, in accordance with its
instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by Section 1352, Title
31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
I hereby certify that all the information stated herein, as well as any information provided in the accompaniment herewith, is true and accurate.
Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties.
(18U.S.C.1001,1010,1012; 31U.S.C.3729,3802)
Name of Authorized Otflclat
Tnte
MAYOR
Date
form HUD 50071 (3/98)
ref. Handboooks7417.1, 7475.13, 7485.1, & 7485.3
.~....~
I1't
....""
CITY OF DUBUQUE, IOWA
MEMORANDUM
7 April 00
To: Mike Van. Milligen, City Manager
From: David H~, Housing Services Department
Re: HUD Agency Plan
Introduction
The purpose of this memorandum is to request the City Council's approval of the attached
Agency Plan, to be submitted by the Housing Department to the US Department of Housing and
Urban Development (HUD).
.
Discussion
The HUD Quality Housing and Work Responsibility Act of 1998 contained a new requirement for
public housing authorities to submit an annual and 5-year 'agency plan' (PHA Plan). The
implementing rules have now been published and we are required to bring our program into
compliance.
In Dubuque, the 'public housing agency' is the Housing Services Department. In compliance with
requirements ofthe Act, we have developed both the annual and 5-year plans, formed a resident
advisory board (of Section 8 Program participants) to review it and held a public hearing at the
Housing Commission. It is now ready for submission to HUD.
The 5-year plan includes a statement of the Housing Department's mission for serving the needs
oflower-income families, and quantifiable goals and objectives for achievement. The annual plan
includes an assessment ofthe housing needs oflower-income families and of the needs of elderly,
disabled and minority families; a statement of agency financial resources; a statement of the
agency's policies governing family eligibility, selection, admissions, grievance procedures, and
maintenance of a waiting list; information describing the agency's managing organization and
staffing; a description of any homeownership programs administered by the agency; a description
of the agency's collaborative efforts with other community agencies to promote economic self-
sufficiency for program families, including the Family Self-Sufficiency Program; and a copy ofthe
agency's most recent fiscal year audit.
.
Action Step
The action requested of the City Council is to approve submission of the annual and 5-year
agency plans; and to authorize the Mayor to execute the HUD-required certifications.
CITY OF DUBUQUE, IOWA
MEMORANDUM
April 13,2000
TO:
The Honorable Mayor and City Council Members
FROM:
Michael C. Van Milligen, City Manager
SUBJECT:
HUD Agency Plan
The U.S. Department of Housing and Urban Development (HUD) requires an annual and 5-
year agency plan.
The 5-year plan includes a statement of the Housing Department's mission for serving the
needs of lower-income families, and quantifiable goals and objectives for achievement. The
annual plan includes an assessment of the housing needs of lower-income families and of
the needs of elderly, disabled and minority families; a statement of agency financial
resources; a statement of the agency's policies governing family eligibility, selection,
admissions, grievance procedures, and maintenance of a waiting list; information describing
the agency's managing organization and staffing; a description of any homeownership
programs administered by the agency; a description of the agency's collaborative efforts
with other community agencies to promote economic self-sufficiency for program families,
including the Family Self-Sufficiency Program; and a copy of the agency's most recent
fiscal year audit.
The Section 8 Program participants Advisory Board, the Housing Commission and Housing
Services Manager David Harris are recommending submittal of the plans.
I concur with the recommendation and respectfully request Mayor and City Council
Michael C. Van Milligen
MCVMfdd
Attachment
cc:
Barry Lindahl, Corporation Counsel
Tim Moerman, Assistant City Manager
David Harris, Housing Services Manager